Developing Market-based Energy Efficiency Program in China Procurement Plan I. General 1. Bank’s approval Date of the procurement Plan: 2. Date of General Procurement Notice: September 19, 2017 3. Period covered by this procurement plan: The procurement period of project covered from year February 2017 to October 2017 II. Goods and Works and non-consulting services. 1. Prior Review Threshold: Procurement Decisions subject to Prior Review by the Bank as stated in Appendix 1 to the Guidelines for Procurement: Expenditure Contract Value Procurement Prior Review Threshold (US$) Category Threshold (US$) Method 1. Goods and ≥ 10,000,000 ICB All ≥ 4,000,000 (moderate risk) non-consulting services < 10,000,000 NCB All ≥ 2,000,000 (substantial risk) < 250,000 Shopping None Direct Contracting 2. Prequalification. Bidders for Not applicable shall be prequalified in accordance with the provisions of paragraphs 2.9 and 2.10 of the Guidelines. 3. Proposed Procedures for CDD Components (as per paragraph. 3.17 of the Guidelines: Not applicable 4. Reference to (if any) Project Operational/Procurement Manual: Not applicable 5. Any Other Special Procurement Arrangements: Not applicable July 9, 2010 6. Summary of the Procurement Packages planned during the first 18 months after project effectiveness ( including those that are subject to retroactive financing and advanced procurement) 1 2 3 4 5 6 7 Review Estimated Domestic by Ref. Description Cost Packages Preference Bank Comments No. US$1,000 (yes/no) (Prior / Post) III. Selection of Consultants 1. Prior Review Threshold: Selection decisions subject to Prior Review by Bank as stated in Appendix 1 to the Guidelines Selection and Employment of Consultants: Expenditure Contract Value Procurement Prior Review Threshold (US$) Category Threshold (US$) Method 2. Consultants Consultant (firms): ≥ 300,000 QCBS/QBS services All ≥ 2,000,000 (moderate risk) < 300,000 CQS All ≥ 1,000,000 (substantial risk) Individual None Consultant Consultant (individuals): None SSS (firm) All ≥ 400,000 (moderate risk) All ≥ 300,000 (substantial risk) None SSS (individual) Note: CQS = Selection Based on the Consultants’ Qualifications; ICB = International Competitive Bidding; QCBS = Quality- and Cost-Based Selection; QBS = Quality- Based Selection. 2. Short list comprising entirely of national consultants: Short list of consultants for services, estimated to cost less than $500,000 equivalent per contract, may comprise entirely of national consultants in accordance with the provisions of paragraph 2.7 of the Consultant Guidelines. 3. Any Other Special Selection Arrangements: Not applicable July 9, 2010 4. Consultancy Assignments with Selection Methods and Time Schedule 1 2 3 4 5 6 Estimate Review Estimated Date of by Bank Ref. No. Description of Assignment Cost Comments Open (Prior / US$1,000 Tendering Post) Strategic research of promoting energy NDRC- conservation and environment 100 9/2017 Post CQS 2017-1 protection service industry Planning and implementation of NDRC- "Energy Conservation Promotion of 180 9/2017 Post CQS 2017-2 2017" Implementation plan of coal NDRC- consumption reduction and substitution 150 9/2017 Post CQS 2017-3 program Implementation plan of coal boiler high NDRC- efficiency and low emission retrofit in 100 9/2017 Post CQS 2017-4 "2+26 cities of prevention and control of air pollution" in Jing-Jin-Ji region NDRC- Mechanism design of energy efficiency 80 9/2017 Post CQS 2017-5 network group NDRC- Implementation plan of district energy 80 9/2017 Post CQS 2017-6 system PMO- Project Manager 1 (12 months) 30 N/A Post SSS 2017-1 PMO- Project Manager 2 (12 months) 30 N/A Post SSS 2017-2 PMO- Project Procurement Manager (12 30 N/A Post SSS 2017-3 months) PMO- Financial Manager (12 months) 30 N/A Post SSS 2017-4 PMO- International Expert (12 months) 60 10/2017 Post IC 2017-5 July 9, 2010 PROCUREMENT China : Developing Market-based Energy Efficiency Program in China PLAN General Information Country: China Banks Approval Date of the Original Procurement Plan: 2017-09-22 Revised Plan Date(s): (comma delineated, leave blank if none) 2018-04-17 Project ID: P132748 GPN Date: 2017-09-19 Project Name: Developing Market-based Energy Efficiency Program in China Loan / Credit No: TF / A4256 Executing Agency(ies): National Energy Conservation Center, Hebei Energy Efficiency PMO, Huaxia Bank WORKS Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual GOODS Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual HX-2017-18 / industry and Component 2. Supporting result- Request for Single Stage - One Pending market information on EE, green TF / A4256 based green energy financing in Post Open - National 30,000.00 0.00 2018-02-05 2018-04-02 2018-12-31 Quotations Envelope Implementation development, and green financing Jing-Jin-Ji Region NON CONSULTING SERVICES Activity Reference No. / Bid Evaluation Report Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Draft Bidding Document Specific Procurement Bidding Documents as Proposal Submission / Description Loan / Credit No. Component Review Type Method Market Approach and Recommendation Signed Contract Contract Completion Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report / Justification Notice / Invitation Issued Opening / Minutes for Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Contract Type Estimated Actual Amount Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Technical Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Report and Draft Signed Contract Contract Completion Amount (US$) (US$) Notice Request for Proposals as Issued Proposals / Minutes Proposal Negotiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual NDRC-2017-1 / Strategic Component 1. Supporting Consultant research of promoting energy market-based priority energy TF / A4256 Post Qualification Open - National 100,000.00 100,000.00 Signed 2017-08-09 2017-09-22 2017-08-24 2017-09-22 2017-09-07 2017-10-18 2017-09-14 2017-10-23 2017-09-28 2017-10-26 2018-06-25 conservation and environment efficiency and coal cap control Selection protection service industry programs Component 1. Supporting NDRC-2017-2 / Planning and Consultant market-based priority energy implementation of "Energy TF / A4256 Post Qualification Open - National 180,000.00 180,000.00 Signed 2017-08-15 2017-09-22 2017-08-30 2017-09-22 2017-09-13 2017-09-20 2017-10-04 2017-10-26 2018-04-02 efficiency and coal cap control Conservation Promotion of 2017" Selection programs NDRC-2017-3 / Implementation Component 1. Supporting Consultant plan of coal consumption market-based priority energy TF / A4256 Post Qualification Open - National 150,000.00 150,000.00 Signed 2017-08-09 2017-09-22 2017-08-24 2017-09-22 2017-09-07 2017-10-20 2017-09-14 2017-09-28 2017-10-26 2018-08-24 reduction and substitution efficiency and coal cap control Selection program programs NDRC-2017-4 / Implementation Component 1. Supporting plan of coal boiler high efficiency Consultant market-based priority energy and low emission retrofit in "2+26 TF / A4256 Post Qualification Open - National 100,000.00 100,000.00 Signed 2017-08-09 2017-09-22 2017-08-24 2017-09-22 2017-09-07 2017-09-14 2017-09-28 2017-10-26 2018-07-25 efficiency and coal cap control cities of prevention and control of Selection programs air pollution" in Jing-Jin-Ji region Component 1. Supporting NDRC-2017-5 / Mechanism Consultant market-based priority energy design of energy efficiency TF / A4256 Post Qualification Open - National 80,000.00 80,000.00 Signed 2017-08-09 2017-09-22 2017-08-24 2017-09-22 2017-09-07 2017-09-14 2017-09-28 2017-10-26 2018-08-24 efficiency and coal cap control network group Selection programs Component 1. Supporting Consultant NDRC-2017-6 / Implementation market-based priority energy TF / A4256 Post Qualification Open - National 80,000.00 80,000.00 Signed 2017-08-09 2017-09-22 2017-08-24 2017-09-22 2017-09-07 2017-09-14 2017-09-28 2017-10-26 2018-03-27 plan of district energy system efficiency and coal cap control Selection programs HBGEF-2017-3 / Verifying DLI3 Component 3. Supporting result- Consultant of the result-based program in Under TF / A4256 based environmental program in Post Qualification Open - National 200,000.00 0.00 2017-10-10 2017-10-12 2017-10-12 2017-10-30 2017-11-02 2017-11-20 2017-11-30 2018-01-14 Hebei: Number of clean stoves Implementation Hebei Province Selection installed. HBGEF-2017-4 / Verifying DLI 4 of the result-based program in Hebei: Number of hectares with Component 3. Supporting result- Consultant Under increased NUE of at least 37 TF / A4256 based environmental program in Post Qualification Open - National 200,000.00 0.00 2017-10-10 2017-10-11 2017-10-12 2017-10-30 2017-11-02 2017-11-20 2017-11-30 2018-01-14 Implementation percent due to the application of Hebei Province Selection formula fertilizer based on soil testing HBGEF-2017-5 / Verifying DLI5 of the result-based program in Hebei: Number of clean energy Component 3. Supporting result- Consultant Under bus replacing diesel buses, TF / A4256 based environmental program in Post Qualification Open - National 150,000.00 0.00 2017-10-10 2017-10-11 2017-10-12 2017-10-30 2017-11-02 2017-11-20 2017-11-30 2018-01-14 Implementation which are disposed of , in Hebei Province Selection accordance with the national regulation HX-2017-2 / Hire firm verifi Component 2. Supporting result- Consultant TF / A4256 based green energy financing in Post Qualification Open - National 50,000.00 82,394.95 Signed 2017-12-04 2017-10-30 2017-12-25 2017-12-07 2018-02-07 2017-11-23 2018-03-09 2017-11-23 2018-04-13 2018-01-05 2021-12-31 cation of DLI 5、6 Jing-Jin-Ji Region Selection HX-2017-3 / Hire firm verifi Component 2. Supporting result- Consultant TF / A4256 based green energy financing in Post Qualification Open - National 135,000.00 0.00 Canceled 2017-12-04 2017-12-25 2018-02-07 2018-03-09 2018-04-13 2018-12-31 cation of DLI 2、3 Jing-Jin-Ji Region Selection HX-2017-10 / industry and Component 2. Supporting result- Consultant market information on EE, green TF / A4256 based green energy financing in Post Qualification Open - National 30,000.00 0.00 Canceled 2017-12-04 2017-12-25 2018-02-07 2018-03-09 2018-04-13 2018-06-30 development, and green financing Jing-Jin-Ji Region Selection Page 1 HX-2017-11 / Hire consulting firm Component 2. Supporting result- Consultant to make research and analysis TF / A4256 based green energy financing in Post Qualification Open - National 75,000.00 81,610.24 Signed 2017-12-04 2017-11-29 2017-12-25 2018-01-02 2018-02-07 2017-11-23 2018-03-09 2018-01-05 2018-04-13 2018-01-05 2018-12-31 on green finance market Jing-Jin-Ji Region Selection opportunity of Hua xia bank HX-2017-12 / Hire consulting firm to make research on pol icy、 techical routes and fina Component 2. Supporting result- Consultant ncial products for building en TF / A4256 based green energy financing in Post Qualification Open - National 90,000.00 0.00 Under 2017-12-31 2017-11-27 2018-01-21 2018-02-11 2018-03-06 2018-01-30 2018-04-05 2018-02-05 2018-05-10 2018-12-31 Implementation ergy efficiency、green buildi Jing-Jin-Ji Region Selection ng and green building materi als HX-2017-17 / Hire firm verifi Component 2. Supporting result- Consultant TF / A4256 based green energy financing in Post Qualification Open - National 75,000.00 7,950.77 Signed 2017-12-30 2017-09-11 2018-01-20 2018-01-31 2018-03-05 2017-11-23 2018-04-04 2017-12-11 2018-05-09 2018-01-05 2018-12-31 cation of DLI 2、3 Jing-Jin-Ji Region Selection HX-2017-15 / Hire consulting firm Component 2. Supporting result- Consultant Pending to make research on green TF / A4256 based green energy financing in Post Qualification Open - National 70,000.00 0.00 2017-12-31 2018-01-21 2018-03-06 2018-04-05 2018-05-10 2018-12-31 Implementation bonds Jing-Jin-Ji Region Selection HX-2017-13 / Hire consulting firm to carry out investigation on Component 2. Supporting result- Consultant energy service industry and TF / A4256 based green energy financing in Post Qualification Open - National 60,000.00 42,968.29 Signed 2017-12-31 2017-11-27 2018-01-21 2018-02-01 2018-03-06 2018-01-19 2018-04-05 2018-01-25 2018-05-10 2018-03-09 2018-12-31 hold at least 4 promotion Jing-Jin-Ji Region Selection meetings on EE projects HX-2017-14 / Hire consulting firm Component 2. Supporting result- Consultant to make research on how to Under TF / A4256 based green energy financing in Post Qualification Open - National 100,000.00 0.00 2017-12-31 2017-11-27 2018-01-21 2018-02-11 2018-03-06 2018-01-29 2018-04-05 2018-05-10 2018-12-31 build green energy projects Implementation Jing-Jin-Ji Region Selection development model of key cities HX-2017-16 / Hire firm verifi Component 2. Supporting result- Consultant TF / A4256 based green energy financing in Post Qualification Open - National 60,000.00 7,975.18 Signed 2017-12-30 2017-09-11 2018-01-20 2018-02-08 2018-03-05 2017-11-23 2018-04-04 2017-12-20 2018-05-09 2018-01-05 2018-12-31 cation of DLI 2、3 Jing-Jin-Ji Region Selection Component 1. Supporting NDRC-2018-1 / Research on Consultant market-based priority energy Pending energy efficiency international TF / A4256 Post Qualification Open - International 120,000.00 0.00 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 efficiency and coal cap control Implementation cooperation strategy. Selection programs NDRC-2018-2 / Energy Component 1. Supporting Consultant conservation promotion activity market-based priority energy Pending TF / A4256 Post Qualification Open - International 150,000.00 0.00 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 planning and implementing for efficiency and coal cap control Implementation Selection the mid-term of 13th FYP programs NDRC-2018-3 / Research on the Component 1. Supporting Consultant establishment of energy audition market-based priority energy Pending TF / A4256 Post Qualification Open - International 80,000.00 0.00 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 and energy efficiency diagnosis efficiency and coal cap control Implementation Selection on key enterprises programs Component 1. Supporting Consultant NDRC-2018-4 / Review market-based priority energy Pending TF / A4256 Post Qualification Open - International 100,000.00 0.00 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 international MRV experience efficiency and coal cap control Implementation Selection programs Component 1. Supporting NDRC-2018-5 / Recommend market-based priority energy Quality And Cost- Pending MRV principles and the design of TF / A4256 Post Open - International 300,000.00 0.00 2018-04-30 2018-05-20 2018-06-03 2018-07-01 2018-07-08 2018-07-22 2018-08-05 2019-12-18 efficiency and coal cap control Based Selection Implementation MRV system programs Component 1. Supporting NDRC-2018-6 / Develop Consultant market-based priority energy Pending guidelines for methodology TF / A4256 Post Qualification Open - International 200,000.00 0.00 2018-10-31 2018-11-20 2018-12-04 2018-12-11 2018-12-25 2019-11-20 efficiency and coal cap control Implementation development and management Selection programs Component 1. Supporting Consultant NDRC-2018-7 / Coordination market-based priority energy Pending TF / A4256 Post Qualification Open - International 100,000.00 0.00 2019-04-30 2019-05-20 2019-06-03 2019-06-10 2019-06-24 2020-05-19 between EE MRV and ETS MRV efficiency and coal cap control Implementation Selection programs Component 1. Supporting NDRC-2018-8 / Statistical report Consultant market-based priority energy Pending system of green product market TF / A4256 Post Qualification Open - International 100,000.00 0.00 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-04-20 efficiency and coal cap control Implementation share Selection programs Component 1. Supporting NDRC-2018-9 / Developing a top Consultant market-based priority energy Pending level design of EE trading TF / A4256 Post Qualification Open - International 60,000.00 0.00 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 efficiency and coal cap control Implementation scheme Selection programs NDRC-2018-10 / Design the Component 1. Supporting Consultant coverage, cap allocation and market-based priority energy Pending TF / A4256 Post Qualification Open - International 60,000.00 0.00 2018-11-20 2018-12-10 2018-12-24 2018-12-31 2019-01-14 2019-12-10 compliance mechanism of EE efficiency and coal cap control Implementation Selection trading programs Component 1. Supporting Consultant NDRC-2018-11 / Coordination market-based priority energy Pending TF / A4256 Post Qualification Open - International 80,000.00 0.00 2019-06-30 2019-07-20 2019-08-03 2019-08-10 2019-08-24 2020-07-19 between EE trading and ETS efficiency and coal cap control Implementation Selection programs Component 1. Supporting NDRC-2018-12 / Implement Consultant market-based priority energy Pending China-Denmark district energy TF / A4256 Post Qualification Open - International 60,000.00 0.00 2018-05-07 2018-05-27 2018-06-10 2018-06-17 2018-07-01 2019-05-27 efficiency and coal cap control Implementation pilot project Selection programs INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Contract Type Estimated Actual Amount Draft Negotiated Description Loan / Credit No. Component Review Type Method Market Approach Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion Amount (US$) (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Component 1. Supporting PMO-2017-5 / International market-based priority energy Individual Consultant TF / A4256 Post Open 60,000.00 40,000.00 Signed 2017-08-30 2017-10-20 2017-09-25 2017-10-02 2017-10-30 2017-11-20 2018-10-30 Expert (12 months) efficiency and coal cap control Selection programs Page 2 Component 1. Supporting PMO-2017-1 / Project Manager market-based priority energy Individual Consultant Under TF / A4256 Post Direct 30,000.00 156,013.28 2017-08-08 2017-10-18 2017-08-18 2017-10-18 2017-09-08 2017-10-18 2017-10-13 2017-03-29 2018-01-31 1 (12 months) efficiency and coal cap control Selection Implementation programs Component 1. Supporting PMO-2017-2 / Project Manager market-based priority energy Individual Consultant TF / A4256 Post Direct 30,000.00 52,923.22 Signed 2017-08-08 2017-10-18 2017-08-18 2017-10-18 2017-09-08 2017-10-18 2017-10-13 2017-03-29 2018-01-31 2 (12 months) efficiency and coal cap control Selection programs Component 1. Supporting PMO-2017-3 / Project market-based priority energy Individual Consultant Procurement Manager (12 TF / A4256 Post Direct 30,000.00 48,018.84 Signed 2017-08-08 2017-10-18 2017-08-18 2017-10-18 2017-09-08 2017-10-18 2017-10-13 2017-03-29 2018-01-31 efficiency and coal cap control Selection months) programs Component 1. Supporting PMO-2017-4 / Financial market-based priority energy Individual Consultant TF / A4256 Post Direct 30,000.00 48,018.84 Signed 2017-08-08 2017-10-18 2017-08-18 2017-10-18 2017-09-08 2017-10-18 2017-10-13 2017-03-29 2018-01-31 Manager (12 months) efficiency and coal cap control Selection programs Component 2. Supporting result- HX-2017-9 / Hire procurement Individual Consultant TF / A4256 based green energy financing in Post Open 20,000.00 20,402.56 Signed 2017-12-04 2017-11-29 2018-01-22 2017-12-10 2018-02-12 2017-12-18 2018-03-19 2017-12-18 2018-12-31 expert Selection Jing-Jin-Ji Region Component 2. Supporting result- Individual Consultant HX-2017-6 / Hire accounting TF / A4256 based green energy financing in Post Open 15,000.00 15,301.92 Signed 2017-12-04 2017-10-30 2018-01-22 2017-12-01 2018-02-12 2017-12-18 2018-03-19 2017-12-18 2018-12-31 Selection Jing-Jin-Ji Region Component 2. Supporting result- HX-2017-4 / Hire environmental Individual Consultant TF / A4256 based green energy financing in Post Open 20,000.00 20,402.56 Signed 2017-12-04 2017-10-30 2018-01-22 2017-12-01 2018-02-12 2017-12-18 2018-03-19 2017-12-18 2018-12-31 experts for due diligence review Selection Jing-Jin-Ji Region Component 2. Supporting result- HX-2017-5 / Hire social experts Individual Consultant TF / A4256 based green energy financing in Post Open 20,000.00 20,301.40 Signed 2017-12-04 2017-10-30 2018-01-22 2017-12-01 2018-02-12 2017-12-18 2018-03-19 2017-12-18 2018-12-31 for due diligence review Selection Jing-Jin-Ji Region HX-2017-1 / Hire auditing firm Component 2. Supporting result- for auditing and verification of DLI TF / A4256 based green energy financing in Post Direct Selection Direct 180,000.00 181,585.38 Signed 2017-12-04 2017-10-30 2017-12-14 2017-09-08 2017-12-29 2018-01-10 2020-10-31 -1 Jing-Jin-Ji Region Component 2. Supporting result- Individual Consultant Pending HX-2017-8 / Hire Audit Specialist TF / A4256 based green energy financing in Post Open 15,000.00 0.00 2018-02-28 2018-04-18 2018-05-09 2018-06-13 2019-12-31 Selection Implementation Jing-Jin-Ji Region Component 2. Supporting result- Individual Consultant Pending HX-2017-7 / Hire translation TF / A4256 based green energy financing in Post Open 20,000.00 0.00 2018-01-31 2018-03-21 2018-04-11 2018-05-16 2019-12-31 Selection Implementation Jing-Jin-Ji Region Page 3