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$1,000 Tendering Post) Strategic research of promoting energy NDRC- conservation and environment 100 9/2017 Post CQS 2017-1 protection service industry Planning and implementation of NDRC- "Energy Conservation Promotion of 180 9/2017 Post CQS 2017-2 2017" Implementation plan of coal NDRC- consumption reduction and substitution 150 9/2017 Post CQS 2017-3 program Implementation plan of coal boiler high NDRC- efficiency and low emission retrofit in 100 9/2017 Post CQS 2017-4 "2+26 cities of prevention and control of air pollution" in Jing-Jin-Ji region NDRC- Mechanism design of energy efficiency 80 9/2017 Post CQS 2017-5 network group NDRC- Implementation plan of district energy 80 9/2017 Post CQS 2017-6 system PMO- Project Manager 1 (12 months) 30 N/A Post SSS 2017-1 PMO- Project Manager 2 (12 months) 30 N/A Post SSS 2017-2 PMO- Project Procurement Manager (12 30 N/A Post SSS 2017-3 months) PMO- Financial Manager (12 months) 30 N/A Post SSS 2017-4 PMO- International Expert (12 months) 60 10/2017 Post IC 2017-5 July 9, 2010 PROCUREMENT China : Developing Market-based Energy Efficiency Program in China PLAN General Information Country: China Bank’s Approval Date of the Original Procurement Plan: 2017-10-17 2019-10-16 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P132748 GPN Date: 2017-09-19 Project Name: Developing Market-based Energy Efficiency Program in China Loan / Credit No: TF / A4256 Executing Agency(ies): Huaxia Bank WORKS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual GOODS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual HX-2017-18 / industry and Component 2. Supporting market information on EE, result-based green energy Request for Single Stage - One TF / A4256 Post Open - National 30,000.00 26,099.48 Signed 2018-02-05 2018-04-02 2018-12-31 green development, and financing in Jing-Jin-Ji Quotations Envelope green financing Region HX-2018-2 / industry and Component 2. Supporting Pending market information on EE, result-based green energy Request for Single Stage - One TF / A4256 Post Open - National 30,000.00 0.00 Implementati 2019-10-21 2019-12-16 2020-09-14 green development, and financing in Jing-Jin-Ji Quotations Envelope on green financing Region NON CONSULTING SERVICES Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (US$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual CONSULTING FIRMS Activity Reference No. / Combined Evaluation Loan / Credit Market Contract Type Estimated Actual Expression of Interest Short List and Draft Request for Proposals Opening of Technical Evaluation of Description Component Review Type Method Process Status Terms of Reference Report and Draft Signed Contract Contract Completion No. Approach Amount (US$) Amount (US$) Notice Request for Proposals as Issued Proposals / Minutes Technical Proposal Negotiated Contract Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Component 2. Supporting Consultant HX-2017-2 / Hire firm ve result-based green energy TF / A4256 Post Qualification Open - National 50,000.00 82,394.95 Signed 2017-12-04 2017-12-25 2018-02-07 2018-03-09 2018-04-13 2021-12-31 rification of DLI 5、6 financing in Jing-Jin-Ji Selection Region Component 2. Supporting Consultant HX-2017-3 / Hire firm ve result-based green energy TF / A4256 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 rification of DLI 2、3 financing in Jing-Jin-Ji Selection Region HX-2017-10 / industry and Component 2. Supporting Consultant market information on EE, result-based green energy TF / A4256 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 green development, and financing in Jing-Jin-Ji Selection green financing Region Page 1 HX-2017-11 / Hire Component 2. Supporting consulting firm to make Consultant result-based green energy research and analysis on TF / A4256 Post Qualification Open - National 75,000.00 81,610.24 Signed 2017-12-04 2017-12-25 2018-02-07 2018-03-09 2018-04-13 2018-12-31 financing in Jing-Jin-Ji green finance market Selection Region opportunity of Hua xia bank HX-2017-12 / Hire consultin g firm to make research on Component 2. Supporting policy、 techical routes and f Consultant result-based green energy inancial products for building TF / A4256 Post Qualification Open - National 90,000.00 89,120.18 Signed 2017-12-31 2018-01-21 2018-03-06 2018-04-05 2018-05-10 2018-12-31 financing in Jing-Jin-Ji energy efficiency、green build Selection Region ing and green building mate rials Component 2. Supporting Consultant HX-2017-17 / Hire firm veri result-based green energy TF / A4256 Post Qualification Open - National 75,000.00 7,950.77 Signed 2017-12-30 2018-01-20 2018-03-05 2018-04-04 2018-05-09 2018-12-31 fication of DLI 2、3 financing in Jing-Jin-Ji Selection Region Component 2. Supporting HX-2017-15 / Hire Consultant result-based green energy consulting firm to make TF / A4256 Post Qualification Open - National 70,000.00 69,201.43 Signed 2017-12-31 2018-01-21 2018-03-06 2018-04-05 2018-05-10 2018-12-31 financing in Jing-Jin-Ji research on green bonds Selection Region HX-2017-13 / Hire consulting firm to carry out Component 2. Supporting Consultant investigation on energy result-based green energy TF / A4256 Post Qualification Open - National 60,000.00 42,968.29 Signed 2017-12-31 2018-01-21 2018-03-06 2018-04-05 2018-05-10 2018-12-31 service industry and hold financing in Jing-Jin-Ji Selection at least 4 promotion Region meetings on EE projects HX-2017-14 / Hire consulting firm to make Component 2. Supporting Consultant research on how to build result-based green energy TF / A4256 Post Qualification Open - National 100,000.00 95,485.90 Signed 2017-12-31 2018-01-21 2018-03-06 2018-04-05 2018-05-10 2018-12-31 green energy projects financing in Jing-Jin-Ji Selection development model of key Region cities Component 2. Supporting Consultant HX-2017-16 / Hire firm veri result-based green energy TF / A4256 Post Qualification Open - National 60,000.00 7,975.18 Signed 2017-12-30 2018-01-20 2018-03-05 2018-04-04 2018-05-09 2018-12-31 fication of DLI 2、3 financing in Jing-Jin-Ji Selection Region HX-2018-1 / Hire firm to Component 2. Supporting Consultant make VI for Hua xia bank, result-based green energy Pending TF / A4256 Post Qualification Open - National 290,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-10-15 desire and print material of financing in Jing-Jin-Ji Implementation Selection green finance product Region HX-2018-4 / Hire consulting Component 2. Supporting firm to make research on Consultant result-based green energy Pending carbon quota/certification TF / A4256 Post Qualification Open - National 100,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-10-15 financing in Jing-Jin-Ji Implementation voluntary emission reduction Selection Region mortgage innovation model HX-2018-5 / Hire consulting Component 2. Supporting Consultant firm to make research on result-based green energy Pending TF / A4256 Post Qualification Open - National 90,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-11-11 financial support for financing in Jing-Jin-Ji Implementation Selection geothermal energy utilization Region Component 2. Supporting HX-2018-6 / Hire consulting Consultant result-based green energy Pending firm to make interim TF / A4256 Post Qualification Open - National 70,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-11-11 financing in Jing-Jin-Ji Implementation report of P4R project Selection Region Page 2 HX-2018-8 / Hire consulting firm to conduct in-depth follow-up analysis of recent Component 2. Supporting developments in green Consultant result-based green energy Pending finance, especially in EE,RE TF / A4256 Post Qualification Open - National 70,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-10-15 financing in Jing-Jin-Ji Implementation and air pollution control, Selection Region hold no less than six seminars and no less than five reports. HX-2018-9 / Hire consulting firm to to promote P4R projects and ideas, combining with the local green Component 2. Supporting industrial policy, especially Consultant result-based green energy Pending in and around beijing-tianjin- TF / A4256 Post Qualification Open - National 200,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-11-11 financing in Jing-Jin-Ji Implementation hebei province energy Selection Region conservation and environmental protection policies, promote green finance work . HX-2018-7 / According to Component 2. Supporting MOF regulations, hire Consultant result-based green energy Pending consulting firm to make TF / A4256 Post Qualification Open - National 70,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-11-11 financing in Jing-Jin-Ji Implementation performance evaluation Selection Region report of CHEEF project HX-2018-10 / Based on the market situation of energy conservation and environmental protection industry in zhejiang Component 2. Supporting Consultant province, hire consulting result-based green energy Pending TF / A4256 Post Qualification Open - National 80,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-11-11 firm to to promote the financing in Jing-Jin-Ji Implementation Selection result-oriented project Region experience and marketing organization method of P4R,build the project docking. HX-2018-11 / Based on the market situation of energy conservation and environmental protection Component 2. Supporting Consultant industry in yunnan province, result-based green energy Pending TF / A4256 Post Qualification Open - National 60,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-11-11 hire consulting firm to financing in Jing-Jin-Ji Implementation Selection promote the result-oriented Region project experience and marketing organization method of P4R. HX-2018-3 / Hire consulting firm to make research on p Component 2. Supporting Consultant olicy、 techical routes and ri result-based green energy Pending TF / A4256 Post Qualification Open - National 50,000.00 0.00 2019-10-16 2019-11-06 2019-12-20 2020-01-19 2020-02-23 2020-11-11 sk prevention for photovoltai financing in Jing-Jin-Ji Implementation Selection c industry and wind power i Region ndustry. INDIVIDUAL CONSULTANTS Activity Reference No. / Invitation to Loan / Credit Market Contract Type Estimated Actual Draft Negotiated Description Component Review Type Method Process Status Terms of Reference Identified/Selected Signed Contract Contract Completion No. Approach Amount (US$) Amount (US$) Contract Consultant Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Component 2. Supporting Individual HX-2017-9 / Hire result-based green energy TF / A4256 Post Consultant Open 20,000.00 20,402.56 Signed 2017-12-04 2018-01-22 2018-02-12 2018-03-19 2018-12-31 procurement expert financing in Jing-Jin-Ji Selection Region Page 3 Component 2. Supporting Individual HX-2017-6 / Hire result-based green energy TF / A4256 Post Consultant Open 15,000.00 15,301.92 Signed 2017-12-04 2018-01-22 2018-02-12 2018-03-19 2018-12-31 accounting financing in Jing-Jin-Ji Selection Region Component 2. Supporting HX-2017-4 / Hire Individual result-based green energy environmental experts for TF / A4256 Post Consultant Open 20,000.00 20,402.56 Signed 2017-12-04 2018-01-22 2018-02-12 2018-03-19 2018-12-31 financing in Jing-Jin-Ji due diligence review Selection Region Component 2. Supporting HX-2017-5 / Hire social Individual result-based green energy experts for due diligence TF / A4256 Post Consultant Open 20,000.00 20,301.40 Signed 2017-12-04 2018-01-22 2018-02-12 2018-03-19 2018-12-31 financing in Jing-Jin-Ji review Selection Region Component 2. Supporting HX-2017-1 / Hire result-based green energy auditing firm for auditing TF / A4256 Post Direct Selection Direct 180,000.00 181,585.38 Signed 2017-12-04 2017-12-14 2017-12-29 2020-10-31 financing in Jing-Jin-Ji and verification of DLI -1 Region Component 2. Supporting Individual HX-2017-8 / Hire Audit result-based green energy TF / A4256 Post Consultant Open 15,000.00 15,000.00 Signed 2018-02-28 2018-04-18 2018-05-09 2018-06-13 2019-12-31 Specialist financing in Jing-Jin-Ji Selection Region Component 2. Supporting Individual HX-2017-7 / Hire result-based green energy TF / A4256 Post Consultant Open 20,000.00 20,000.00 Signed 2018-01-31 2018-03-21 2018-04-11 2018-05-16 2019-12-31 translation financing in Jing-Jin-Ji Selection Region Component 2. Supporting HX-2018-12 / Hire social Individual result-based green energy Pending experts for due diligence TF / A4256 Post Consultant Open 10,000.00 0.00 2019-10-16 2019-12-04 2019-12-25 2020-01-29 2020-11-11 financing in Jing-Jin-Ji Implementation review Selection Region Component 2. Supporting Individual HX-2018-13 / Hire result-based green energy Pending TF / A4256 Post Consultant Open 2,500.00 0.00 2019-10-16 2019-12-04 2019-12-25 2020-01-29 2020-11-11 accounting financing in Jing-Jin-Ji Implementation Selection Region Page 4