Procurement Preparation and Bid Packaging 采购准备和分包计划编制 ADB Resident Mission in the PRC 亚行驻中国代表处

2. Procurement Preparation 采购准备工作 EA Capacity Assessment 执行机构的能力评估 Procurement Plan 采购计划 Advanced Procurement Action 提前采购活动 Use of Agencies 代理的使用 Bid Packaging 划分合同包

2. Procurement Preparation 采购准备工作 EA Capacity Assessment 执行机构的能力评估 Purpose：目的： identify the capacity, procedural and organizational constraints that will hinder effective Project implementation and agree an action plan to address these constraints; 确定在能力、程序和机构方面对有效的项目实施带来障碍的制约因素，并同意采取相应措施的行动计划 determine the overall procurement risk and put in place appropriate review and supervision processes and thresholds to mitigate those risks, 决定总的采购的风险，并采取相应的检查和监督程序， 来减低这些风险 To the maximum extent possible and sensible, ensure that procurement is undertaken by the regular line units within the EA, agreeing in the action plan measures to strengthen and support these units when necessary thereby ensuring that EA capacity is built beyond the project’s lifecycle. 达到最大程度，以确保采购活动是由执行机构的常规部门来完成， 行动计划中的措施要加强并支持这些部门的能力建设，如果需要，在项目周期之外继续执行机构的能力建设 3

2. Procurement Preparation 采购准备工作 EA Capacity Assessment 执行机构的能力评估 The Capacity Assessment will become a requirement of the detailed procurement plan guide and be used to justify review procedures, inc. the introduction of post review 能力评估将成为采购计划指南的所要求完成的一个部分， 并将用来评估亚行的审查程序（包括使用后审查的方式） Until the detailed guide is issued, inc. instructions on doing capacity assessment, capacity assessments are not required and post review procedures should not be proposed. 在采购计划指南（包括能力评估的方法）颁布之前，能力评估暂不作要求，同时后审查程序也不可以使用 3

2. Procurement Preparation 采购准备工作 Procurement Plan 采购计划 Over $100,000 in value, list all packages by procurement method and the date by which procurement activity to commence. 十万美元以上：列出所有合同，包括采购方式，和开始执行的日期 Below $100,000, the method of procurement is to be indicated 十万美元以下，只列出采购方式 prepared by the borrower, be annexed to the RRP 由借款人准备，是RRP的一个附件 not a substitute for a project implementation schedule which details the major activities 不可替代项目实施计划， be updated annually on a rolling 18-month basis. 涵盖项目之初的18个月，每年更新，以18个月为滚动周期 Not required to publish Procurement Plan locally, but encouraged to do so.鼓励但不要求必须在当地公开发布。 3

2. Procurement Preparation 采购准备工作 Procurement Plan 采购计划 Contents 内容： The particular contracts for goods, works, and consultants services 货物，工程和咨询服务合同 The proposed method of procurement of such contracts 每个合同的采购方式 The related ADB procedures 相关的亚行程序 Threshold values for procurement methods to be applied 各个采购方式的基础限额 The procurement that will be subject to ADB’s post review 需要亚行后审查的采购合同 A list of significant procurement packages with milestone dates 主要合同包清单，包括关键日期 3

2. Procurement Preparation 采购准备工作 Procurement Plan 采购计划 流程图 3

2. Procurement Preparation 采购准备工作 Procurement Plan 采购计划 Project Information Country P.R.China Name of Borrower Project Name Loan or TA reference Date of Effectiveness Amount US$ Of which committed, US$ Executing Agency Approval Date of Original Procurement Plan Approval of most recent Procurement Plan Publication for Local Advertisements Period covered by this procurement plan 3

2. Procurement Preparation 采购准备工作 Procurement Plan 采购计划 Procurement Thresholds – Goods & Related Services, Works and Supply and Install (Illustration only) Procurement Method To be used above (Value $) ICB Works >$10,000,000 ICB Goods >$1,000,000 NCB Works <$10,000,000 NCB Goods <$1,000,000 Shopping Works <$100,000 Shopping Goods Exceptional Methods: LIB Direct contracting For specialized agencies Force account 3

2. Procurement Preparation 采购准备工作 Procurement Plan 采购计划 Procurement Thresholds – Consulting Services Illustration only Procurement Method To be used above (Value $) Quality Cost Based Selection (QCBS) >$200,000 Consultants Qualification Selection (CQS) <$200,000 Least Cost Selection (LCS) <$100,000 Alternative Methods: Quality based selection (QBS) Single source selection (SSS) 3

2. Procurement Preparation 采购准备工作 Procurement Plan 采购计划 List of contract packages in excess of $100,000 Illustration only 3

2.Procurement Preparation 采购准备工作 Bid Packaging 划分采购包 Principles 原则 Types of Contracts 合同类型 Methods of Procurement 采购方式 3

2.Procurement Preparation 采购准备工作 Types of Contract 合同类型 Type and Size of Contracts 合同的类型和大小 Contract size to attract international competition 吸引国际竞争 Supply Contracts involve delivery of goods to location indicated in the contract. May include related services such local handling and transportation, installation, testing and commissioning, training, etc. 供货合同 Works Contracts involve execution of works. Unit price contracts or lump sum price contracts or combination of both for different portions of contract 工程合同 Turnkey (Plant) Contracts for design, supply and installation of a complete plant through a single contract 交钥匙工程合同 13

2.Procurement Preparation 采购准备工作 Types of Contract 合同类型 Supply Contracts 供货合同 Supply only 供货 Delivery of equipment or materials to location indicated in the contract Supply and Related Services 供货及相关服务 Includes supply, delivery, installation, testing and commissioning of equipment at site, training, etc.

2.Procurement Preparation 采购准备工作 Types of Contract 合同类型 Civil Works Contracts 土建工程合同 Unit Price Contracts 单价合同 Unit price is fixed but contract price subject to adjustments based on measured actual performance during implementation (quantities of goods or works to be procured is not precisely known but estimated during bidding), e.g. road contract Lump Sum Contracts 总价合同 Fixed price based on quantities of goods to be used in project that can be determined precisely prior to bidding, e.g. building contract

2.Procurement Preparation 采购准备工作 Types of Contract 合同类型 Plant – Design, Supply & Install Contract 交钥匙工程合同 Also known as turnkey contract Where the design, supply of equipment, and the testing and commissioning of a complete plant or installation is provided through a single contract (single responsibility contract) Consider when institutional capacity of EA is inadequate to administer various individual contracts Cost will be slightly higher, but administrative costs will be less

2.Procurement Preparation 采购准备工作 Methods of Procurement 采购方式 International Competitive Bidding (ICB) 国际竞争性招标 Limited International Bidding (LIB) 有限国际竞争性招标 National Competitive Bidding (NCB) 国内竞争性招标 Shopping 询价采购 Direct Contracting 直接签订合同 Force Account (FA) 自营工程 Procurement under BOO/BOT/BOOT 基于BOO/BOT/BOOT 的采购 Performance-Based Procurement 基于性能的采购

2.Procurement Preparation 采购准备工作 Bid Packaging 划分采购包 Content of Bid Package 合同包内容 Competitive Aspects 竞争性 Timing of Delivery 交付时间 Bid Package 划分采购包 Market Practices 市场惯例 Location 地点 Institutional Capability 执行能力

2.Procurement Preparation 采购准备工作 Advance Procurement Action 提前采购 APA - the process for procuring goods and works before the date of loan effectiveness or approval of TA. 提前采购－是指在贷款生效日期或技援项目批准日期之前进行的采购活动 APA may include approval of the award of contract for the procurement of goods and related services and works if RF has also been approved. 如果追溯贷款已经批准，提前采购活动可以包括对采购合同进行授标的批准 Retroactive financing (RF) refers to the ADB‘s approval in principle to finance project expenditures prior to the loan or TA becoming effective. 追溯贷款是指在贷款或技援生效之前亚行原则上批准为项目的开销进行融资

2.Procurement Preparation 采购准备工作 Advance Procurement Action 提前采购 Where APA is approved, the EA must be advised : 如果提前采购得到批准，执行机构必须： To seek ADB’s approval for the draft prequalification and bidding documents before they are issued; 资审和招标文件在发布之前要取得亚行的批准 To follow requirements for public advertising ; 满足发布广告的要求 Note that ADB's approval of APA will not commit ADB to subsequently approve the project or to finance the procurement costs; 注意： 亚行对提前采购的批准不代表亚行一定批准对该项目或该采购活动的融资 Note that ADB will not finance expenditures paid by the borrower prior to loan effectiveness, even if APA is approved, unless RF has also been approved by ADB. 注意： 除非追溯融资得到批准，亚行不会在贷款生效之前对执行机构的有关支出进行融资，即使批准了提前采购

2.Procurement Preparation 采购准备工作 Use of Agencies 代理的使用 Specialized Agencies: 专业代理 The Procurement Guidelines allow for direct procurement from specialized agencies. 亚行采购指南允许使用专业代理来进行直接采购 The use of specialized agencies should be identified in the procurement plan. 使用专业代理必须在采购计划中明示 Procurement from the agency would follow direct contracting procedures, it must be satisfied of eligibility requirements. 专业代理的采购必须遵照直接采购的程序,其程序必须满足基本合格性的要求 3

2.Procurement Preparation 采购准备工作 Use of Agencies 代理的使用 Procurement agents 采购代理 Management Contractor 项目管理承包商 Construction Manager 施工管理商 The practices followed by the agent must comply with the Guidelines, the procurement plan, and the financing agreement. 代理的工作必须遵守亚行采购指南，采购计划和融资协议的要求 The agent should be selected following procedures for consultant recruitment. 代理的选择必须依照亚行聘用咨询的程序 Inspection agents 监理代理 To fulfill inspection requirements of procurement. 完成采购中对监理工作的要求 The agent should be selected following procedures for consultant recruitment. 代理的选择必须依照亚行聘用咨询的程序 3