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$1,000 Tendering Post) Strategic research of promoting energy NDRC- conservation and environment 100 9/2017 Post CQS 2017-1 protection service industry Planning and implementation of NDRC- "Energy Conservation Promotion of 180 9/2017 Post CQS 2017-2 2017" Implementation plan of coal NDRC- consumption reduction and substitution 150 9/2017 Post CQS 2017-3 program Implementation plan of coal boiler high NDRC- efficiency and low emission retrofit in 100 9/2017 Post CQS 2017-4 "2+26 cities of prevention and control of air pollution" in Jing-Jin-Ji region NDRC- Mechanism design of energy efficiency 80 9/2017 Post CQS 2017-5 network group NDRC- Implementation plan of district energy 80 9/2017 Post CQS 2017-6 system PMO- Project Manager 1 (12 months) 30 N/A Post SSS 2017-1 PMO- Project Manager 2 (12 months) 30 N/A Post SSS 2017-2 PMO- Project Procurement Manager (12 30 N/A Post SSS 2017-3 months) PMO- Financial Manager (12 months) 30 N/A Post SSS 2017-4 PMO- International Expert (12 months) 60 10/2017 Post IC 2017-5 July 9, 2010 PROCUREMENT China : Developing Market-based Energy Efficiency Program in China PLAN General Information Country: China Bank’s Approval Date of the Original Procurement Plan: 2017-09-22 2020-01-21 Revised Plan Date(s): (comma delineated, leave blank if none) Project ID: P132748 GPN Date: 2017-09-19 Project Name: Developing Market-based Energy Efficiency Program in China Loan / Credit No: TF / A4256 Executing Agency(ies): National Energy Conservation Center WORKS Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (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$) Status Documents Evaluation Report Notice / Invitation as Issued Opening / Minutes Recommendation for Justification Award Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Planned Actual Component 1. Supporting NDRC-2018-13 / Office Under market-based priority energy Request for Open - Single Stage - One equipment-two laptop TF / A4256 Post 2,200.00 0.00 Implementati 2019-04-15 2019-06-10 2019-12-07 efficiency and coal cap Quotations International Envelope computers on control programs NON CONSULTING SERVICES Bid Evaluation Activity Reference No. / Draft Bidding Loan / Credit Market Procurement Prequalification Estimated Actual Amount Process Draft Pre-qualification Prequalification Specific Procurement Bidding Documents Proposal Submission / Report and Description Component Review Type Method Document / Signed Contract Contract Completion No. Approach Process (Y/N) Amount (US$) (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 NDRC-2017-1 / Strategic Component 1. Supporting research of promoting energy Consultant market-based priority energy conservation and TF / A4256 Post Qualification Open - National 100,000.00 100,000.00 Completed 2017-08-09 2017-08-24 2017-09-07 2017-09-14 2017-09-28 2018-06-25 efficiency and coal cap environment protection Selection control programs service industry NDRC-2017-2 / Planning Component 1. Supporting Consultant and implementation of market-based priority energy TF / A4256 Post Qualification Open - National 180,000.00 180,000.00 Completed 2017-08-15 2017-08-30 2017-09-13 2017-09-20 2017-10-04 2018-04-02 "Energy Conservation efficiency and coal cap Selection Promotion of 2017" control programs NDRC-2017-3 / Component 1. Supporting Consultant Implementation plan of coal market-based priority energy TF / A4256 Post Qualification Open - National 150,000.00 150,000.00 Completed 2017-08-09 2017-08-24 2017-09-07 2017-09-14 2017-09-28 2018-08-24 consumption reduction and efficiency and coal cap Selection substitution program control programs Page 1 NDRC-2017-4 / Implementation plan of coal Component 1. Supporting boiler high efficiency and Consultant market-based priority energy low emission retrofit in TF / A4256 Post Qualification Open - National 100,000.00 100,000.00 Completed 2017-08-09 2017-08-24 2017-09-07 2017-09-14 2017-09-28 2018-07-25 efficiency and coal cap "2+26 cities of prevention Selection control programs and control of 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 Completed 2017-08-09 2017-08-24 2017-09-07 2017-09-14 2017-09-28 2018-08-24 efficiency and coal cap network group Selection control programs Component 1. Supporting NDRC-2017-6 / Consultant market-based priority energy Implementation plan of TF / A4256 Post Qualification Open - National 80,000.00 80,000.00 Completed 2017-08-09 2017-08-24 2017-09-07 2017-09-14 2017-09-28 2018-03-27 efficiency and coal cap district energy system Selection control programs NDRC-2018-1 / Research on Component 1. Supporting Consultant energy efficiency market-based priority energy Open - TF / A4256 Post Qualification 120,000.00 0.00 Canceled 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 international cooperation efficiency and coal cap International Selection strategy. control programs NDRC-2018-2 / Energy Component 1. Supporting conservation promotion Consultant market-based priority energy Open - activity planning and TF / A4256 Post Qualification 150,000.00 0.00 Canceled 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 efficiency and coal cap International implementing for the mid- Selection control programs term of 13th FYP NDRC-2018-3 / Research on Component 1. Supporting the establishment of energy Consultant market-based priority energy Open - audition and energy TF / A4256 Post Qualification 80,000.00 0.00 Canceled 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 efficiency and coal cap International efficiency diagnosis on key Selection control programs enterprises Component 1. Supporting NDRC-2018-4 / Review Consultant market-based priority energy Open - international MRV TF / A4256 Post Qualification 100,000.00 0.00 Canceled 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 efficiency and coal cap International experience Selection control programs Component 1. Supporting NDRC-2018-5 / Recommend market-based priority energy Quality And Cost- Open - MRV principles and the TF / A4256 Post 300,000.00 0.00 Canceled 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 Based Selection International design of MRV system control programs NDRC-2018-6 / Develop Component 1. Supporting Consultant guidelines for methodology market-based priority energy Open - TF / A4256 Post Qualification 200,000.00 0.00 Canceled 2018-10-31 2018-11-20 2018-12-04 2018-12-11 2018-12-25 2019-11-20 development and efficiency and coal cap International Selection management control programs Component 1. Supporting NDRC-2018-7 / Coordination Consultant market-based priority energy Open - between EE MRV and ETS TF / A4256 Post Qualification 100,000.00 0.00 Canceled 2019-04-30 2019-05-20 2019-06-03 2019-06-10 2019-06-24 2020-05-19 efficiency and coal cap International MRV Selection control programs Component 1. Supporting NDRC-2018-8 / Statistical Consultant market-based priority energy Open - report system of green TF / A4256 Post Qualification 100,000.00 0.00 Canceled 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-04-20 efficiency and coal cap International product market share Selection control programs Component 1. Supporting NDRC-2018-9 / Developing Consultant market-based priority energy Open - a top level design of EE TF / A4256 Post Qualification 60,000.00 0.00 Canceled 2018-04-30 2018-05-20 2018-06-03 2018-06-10 2018-06-24 2019-05-20 efficiency and coal cap International trading scheme Selection control programs NDRC-2018-10 / Design the Component 1. Supporting Consultant coverage, cap allocation and market-based priority energy Open - TF / A4256 Post Qualification 60,000.00 0.00 Canceled 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 International Selection trading control programs Page 2 Component 1. Supporting NDRC-2018-11 / Consultant market-based priority energy Open - Coordination between EE TF / A4256 Post Qualification 80,000.00 0.00 Canceled 2019-06-30 2019-07-20 2019-08-03 2019-08-10 2019-08-24 2020-07-19 efficiency and coal cap International trading and ETS Selection control programs Component 1. Supporting NDRC-2018-12 / Implement Consultant market-based priority energy Open - China-Denmark district TF / A4256 Post Qualification 60,000.00 0.00 Canceled 2018-05-07 2018-05-27 2018-06-10 2018-06-17 2018-07-01 2019-05-27 efficiency and coal cap International energy pilot project Selection control programs NDRC-2019-1 / Research on establishing and promoting a Component 1. Supporting Consultant sound economic structure market-based priority energy Open - Under TF / A4256 Post Qualification 50,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 that facilities green, low- efficiency and coal cap International Implementation Selection carbon and circular control programs development NDRC-2019-2 / Research on Component 1. Supporting Consultant green technology evaluation market-based priority energy Open - Under TF / A4256 Post Qualification 150,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 method and green catalogue efficiency and coal cap International Implementation Selection application control programs NDRC-2019-3 / Studying measures on achieving energy total cap and Component 1. Supporting intensity "double control" Consultant market-based priority energy Open - Under targets for 14th FYP and TF / A4256 Post Qualification 240,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation developing the "14th FYP Selection control programs Work Plan for Energy Conservation and Emission Reduction" Component 1. Supporting NDRC-2019-4 / Energy Consultant market-based priority energy Open - Under saving potential analysis and TF / A4256 Post Qualification 80,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation measures: building sector Selection control programs NDRC-2019-5 / Energy Component 1. Supporting Consultant saving potential analysis and market-based priority energy Open - Under TF / A4256 Post Qualification 80,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 measures: transportation efficiency and coal cap International Implementation Selection sector control programs Component 1. Supporting NDRC-2019-6 / Energy Consultant market-based priority energy Open - Under saving potential analysis and TF / A4256 Post Qualification 80,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation measures: industrial sector Selection control programs NDRC-2019-7 / Energy Component 1. Supporting Consultant saving potential analysis and market-based priority energy Open - Under TF / A4256 Post Qualification 80,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 propose the measures: public efficiency and coal cap International Implementation Selection facilities control programs NDRC-2019-8 / Energy Component 1. Supporting Consultant saving potential analysis and market-based priority energy Open - Under TF / A4256 Post Qualification 80,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 propose the measures: efficiency and coal cap International Implementation Selection residential sector control programs NDRC-2019-9 / Organizing activities for coal Component 1. Supporting Consultant consumption reduction and market-based priority energy Open - Under TF / A4256 Post Qualification 230,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 substitution policy efficiency and coal cap International Implementation Selection implementation in different control programs provinces Component 1. Supporting NDRC-2019-10 / Developing Consultant market-based priority energy Open - Under "2035 Cooling Efficiency TF / A4256 Post Qualification 280,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation Action Plan" Selection control programs Page 3 NDRC-2019-11 / Studying Component 1. Supporting Consultant the management mechanisms market-based priority energy Open - Under TF / A4256 Post Qualification 280,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-20 2020-06-19 of "Double control" policy at efficiency and coal cap International Implementation Selection enterprise and project levels control programs Component 1. Supporting NDRC-2019-12 / Studying Consultant market-based priority energy Open - Under the comprehensive retrofit TF / A4256 Post Qualification 100,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation plans for industrial parks Selection control programs NDRC-2019-13 / Evaluation Component 1. Supporting Consultant on energy performance market-based priority energy Open - Under TF / A4256 Post Qualification 50,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 contract mechanism: efficiency and coal cap International Implementation Selection challenges and opportunities control programs NDRC-2019-14 / Summarizing 40 years of Component 1. Supporting Consultant China's energy conservation market-based priority energy Open - Under TF / A4256 Post Qualification 150,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 and developing the annual efficiency and coal cap International Implementation Selection energy efficiency progress control programs report Component 1. Supporting NDRC-2019-15 / Reviewing Consultant market-based priority energy Open - Under international MRV TF / A4256 Post Qualification 100,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation experience Selection control programs NDRC-2019-16 / Developing generally accepted MRV Component 1. Supporting principle, system, and market-based priority energy Quality And Cost- Open - Under TF / A4256 Post 400,000.00 0.00 2019-04-19 2019-05-09 2019-06-06 2019-07-06 2019-07-13 2019-07-27 2019-08-10 2021-02-10 guidelines for methodology efficiency and coal cap Based Selection International Implementation development and control programs management Component 1. Supporting NDRC-2019-18 / Research Consultant market-based priority energy Open - Under on coordination between EE TF / A4256 Post Qualification 100,000.00 0.00 2020-03-31 2020-04-20 2020-05-04 2020-05-11 2020-05-25 2021-05-25 efficiency and coal cap International Implementation MRV and ETS MRV Selection control programs NDRC-2019-19 / Studying green standards system Component 1. Supporting Consultant regarding petrochemical, market-based priority energy Open - Under TF / A4256 Post Qualification 200,000.00 0.00 2019-04-19 2019-05-10 2019-05-24 2019-05-31 2019-06-14 2020-06-13 thermal power, iron and efficiency and coal cap International Implementation Selection steel and building materials control programs sector Component 1. Supporting NDRC-2019-20 / Developing market-based priority energy Quality And Cost- Open - Under national energy consumption TF / A4256 Post 300,000.00 0.00 2019-04-19 2019-04-21 2019-05-05 2019-06-04 2019-06-11 2019-06-25 2019-07-16 2021-01-16 efficiency and coal cap Based Selection International Implementation rights trading scheme control programs NDRC-2019-21 / Research Component 1. Supporting on the indicator system of Consultant market-based priority energy Open - Under green evaluation on project TF / A4256 Post Qualification 80,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation design, construction and Selection control programs operation NDRC-2019-22 / Conducting Component 1. Supporting Consultant international cooperation on market-based priority energy Open - Under TF / A4256 Post Qualification 60,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 district energy and energy efficiency and coal cap International Implementation Selection saving demonstration project control programs NDRC-2019-23 / Developing the progress report for "G20 Component 1. Supporting Energy efficiency leading Consultant market-based priority energy Open - Under programme" and "double ten TF / A4256 Post Qualification 60,000.00 0.00 2019-04-19 2019-05-09 2019-05-23 2019-05-30 2019-06-13 2020-06-12 efficiency and coal cap International Implementation EE technologies programme" Selection control programs and studying the promotion mechanism Page 4 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 1. Supporting Individual PMO-2017-5 / International market-based priority energy TF / A4256 Post Consultant Open 60,000.00 40,000.00 Signed 2017-08-30 2017-09-25 2017-10-02 2017-10-30 2018-10-30 Expert (12 months) efficiency and coal cap Selection control programs Component 1. Supporting Individual PMO-2017-1 / Project market-based priority energy Under TF / A4256 Post Consultant Direct 30,000.00 90,000.00 2017-08-08 2017-08-18 2017-09-08 2017-10-13 2018-01-31 Manager 1 (12 months) efficiency and coal cap Implementation Selection control programs Component 1. Supporting Individual PMO-2017-2 / Project market-based priority energy TF / A4256 Post Consultant Direct 30,000.00 80,859.41 Signed 2017-08-08 2017-08-18 2017-09-08 2017-10-13 2018-01-31 Manager 2 (12 months) efficiency and coal cap Selection control programs Component 1. Supporting PMO-2017-3 / Project Individual market-based priority energy Procurement Manager (12 TF / A4256 Post Consultant Direct 30,000.00 48,018.84 Terminated 2017-08-08 2017-08-18 2017-09-08 2017-10-13 2018-01-31 efficiency and coal cap months) Selection control programs Component 1. Supporting Individual PMO-2017-4 / Financial market-based priority energy TF / A4256 Post Consultant Direct 30,000.00 73,593.01 Signed 2017-08-08 2017-08-18 2017-09-08 2017-10-13 2018-01-31 Manager (12 months) efficiency and coal cap Selection control programs Component 1. Supporting NDRC-2019-24 / Project Individual market-based priority energy Procurement Manager-2019 TF / A4256 Post Consultant Open 30,000.00 21,080.59 Signed 2019-04-19 2019-06-02 2019-06-09 2019-06-23 2020-06-22 efficiency and coal cap (12 months) Selection control programs Component 1. Supporting NDRC-2019-25 / Hire an Individual market-based priority energy Pending expert for 14th FYP policies TF / A4256 Post Consultant Open 40,000.00 0.00 2019-12-15 2020-01-10 2020-01-15 2020-01-27 2022-01-26 efficiency and coal cap Implementation (24 months) Selection control programs Component 1. Supporting Individual NDRC-2019-26 / Hire an market-based priority energy Pending TF / A4256 Post Consultant Open 40,000.00 0.00 2020-03-01 2020-03-27 2020-04-01 2020-04-27 2022-04-27 expert for MRV (24 months) efficiency and coal cap Implementation Selection control programs Component 1. Supporting NDRC-2019-27 / Hire an Individual market-based priority energy Pending expert for EE-trading (24 TF / A4256 Post Consultant Open 40,000.00 0.00 2020-03-01 2020-03-27 2020-04-01 2020-04-27 2022-04-27 efficiency and coal cap Implementation months) Selection control programs Page 5