Project Number: 43049 Loan Number: October 2012

People‘s Republic of China: Comprehensive

Agricultural Development Project

Project Administration Manual

Contents

ABBREVIATIONS

I. PROJECT DESCRIPTION 1

A. Rationale 1 B. Impact and Outcome 3 C. Outputs 3

II. IMPLEMENTATION PLANS 10

A. Project Readiness Activities 10 B. Overall Project Implementation Plan 11

III. PROJECT MANAGEMENT ARRANGEMENTS 12

A. Project Implementation Organizations – Roles and Responsibilities 12 B. Key Persons Involved in Implementation 13 C. Project Organization Structure 15

IV. COSTS AND FINANCING 16

A. Detailed Cost Estimates by Expenditure Category 17 B. Allocation and Withdrawal of Loan Proceeds 18 C. Detailed Cost Estimates by Financier 19 D. Detailed Cost Estimates by Outputs/Components 20 E. Detailed Cost Estimates by Year 21 F. Contract and Disbursement S-curve 22 G. Fund Flow Diagram 23

V. FINANCIAL MANAGEMENT 24

A. Financial Management Assessment 24 B. Disbursement 24 C. Accounting 25 D. Auditing 26

VI. PROCUREMENT AND CONSULTING SERVICES 26

A. Advance Contracting and Retroactive Financing 26 B. Procurement of Goods, Works, and Consulting Services 26 C. Procurement Plan 27

VII. SAFEGUARDS 43

A. Environment 43 B. Indigenous Peoples 44 C. Resettlement 45 D. Social Safeguards Screening and Approval Procedures 46

VIII. GENDER AND SOCIAL DIMENSIONS 48

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND

COMMUNICATION 52

A. Project Design and Monitoring Framework 52 B. Monitoring 55 C. Evaluation 56 D. Reporting 57 E. Stakeholder Communication Strategy 57

X. ANTICORRUPTION POLICY 57

XI. ACCOUNTABILITY MECHANISM 58

XII. RECORD OF PAM CHANGES 58

Project Administration Manual Purpose and Process

1. The project administration manual (PAM) describes the essential administrative and management requirements to implement the project on time, within budget, and in accordance with government and Asian Development Bank (ADB) policies and procedures. The PAM includes references to all available templates and instructions either through linkages to relevant URLs or directly incorporated in the PAM.

2. The State Office for Comprehensive Agricultural Development (SOCAD) and implementing agencies are wholly responsible for the implementation of the project, as agreed jointly between the borrower and ADB, and in accordance with government and ADB policies and procedures. ADB staff is responsible to support implementation, including compliance by SOCAD and implementing agencies of their obligations and responsibilities for project implementation in accordance with ADB policies and procedures.

3. At loan negotiations, the borrower and ADB shall agree to the PAM and ensure consistency with the loan and project agreements. Such agreement shall be reflected in the minutes of the loan negotiations. In the event of any discrepancy or contradiction between the PAM and the loan and the project agreements, the provisions of the loan and project agreements shall prevail.

4. After ADB Board approval of the project‘s report and recommendation of the President, changes in implementation arrangements are subject to agreement and approval pursuant to relevant government and ADB administrative procedures (including the project administration instructions) and upon such approval they will be subsequently incorporated in the PAM.

5.

ABBREVIATIONS

ADB – Asian Development Bank ACWF – All-China Women‘s Federation CAD – comprehensive agricultural development COCAD – city and/or county office for comprehensive agricultural development EMDP – ethnic minority development plan EMP – environmental management plan FPA – farmer professional association GAP – gender action plan ha – hectare ICB – international competitive bidding km – kilometer LIBOR – London interbank offered rate NCB – national competitive bidding O&M – operation and maintenance PAM – project administration manual PMO – project management office POCAD – provincial office for comprehensive agricultural development PPMS – project performance management system PRC – People‘s Republic of China SOCAD – State Office for Comprehensive Agricultural Development WUA – water users association

I. PROJECT DESCRIPTION

A. Rationale

1. Food security and agricultural development. The People‘s Republic of China (PRC) has made impressive achievements in securing a stable food supply for the largest population in the world due to substantial investments in the agriculture sector and in irrigation coverage and efficiency. Since 2006, the government has invested more in improving technical knowledge and training farmers to promote synergies between agricultural infrastructure, technology applications, and farmers‘ capabilities. In 2010, the grain production grew to a record high of 546.4 million tons.1 Nevertheless, food security remains a concern as the population is expected to reach about 1.46 billion in 2030. Feeding the growing population with a self-sufficiency rate above 95% will require increasing grain production by 50 million tons during 2009–2020.2 The PRC accounts for about 8% of the world‘s arable land, but it has to feed about 20% of the world‘s population. Meanwhile, increasing farmers‘ incomes and closing the income gap between the rural and urban areas continue to pose challenges to the sector. 2. Water availability and use efficiency. Water availability remains one of the greatest challenges to agricultural development in the PRC. Water shortage is a more serious problem in the Hai River and the Yellow River basins. Moreover, water scarcity is aggravated by climate change that results in more frequent droughts and floods, and subsequent reductions in grain output annually. The amount of water allocated to agriculture is unlikely to increase as the demand for water from the industry and domestic sectors is expected to continue increasing rapidly. Because of the political and social importance of food security in the PRC, securing enough water for agriculture remains a government priority; thus, more attention needs to be given to improving the efficiency of agricultural water use. The average irrigation water use efficiency is about 40%, and the efficiency in the project area is lower than the national average.3 There is a potential to increase water use efficiency in the project area by adopting water-saving irrigation measures such as canal lining, land leveling, and drip and sprinkler irrigation. 3. Irrigation and drainage systems. The irrigated area in the PRC in 2009 was 59.3 million hectares (ha), accounting for less than 50% of its total arable land.4 Irrigation and drainage systems are lacking in some regions, and many of the existing systems do not work efficiently because of poor operation and maintenance (O&M). Many of the canals are over 30 years old and require maintenance. The irrigation facilities are inefficient in water supply, and some cannot support a reliable supply of water for high-yielding grain production. In the PRC, about 24.4 million ha of cultivated land are prone to waterlogging because of deteriorated or lacking of drainage systems. In areas with high groundwater levels (including the project provinces of Anhui, Heilongjiang, and Jilin), crop production is constrained by waterlogging. Furthermore, farmers have not participated effectively in the O&M of irrigation and drainage systems.

1 Rural Development Institute of the Chinese Academy of Social Sciences and the Rural Social Economic Survey

Department of the National Bureau of Statistics. 2011. Rural Economy Analysis and Forecast Green Book (2010–2011). Beijing.

2 Government of the People‘s Republic of China, National Development and Reform Commission (NDRC). 2009.

National Plan for Expansion of Grain Production Capacity by 50 Billion Kilograms (2009–2020). Beijing. 3 Irrigation water use efficiency refers to the ratio of the net water volume irrigated into the field and the total water

volume supplied from the source. 4 National Bureau of Statistics. 2010. China Statistics Yearbook. Beijing.

2

4. Land quality. Soil fertility has degraded in many regions of the country because of the use of intensive farming techniques over long periods. In northwestern PRC, particularly in the Yellow River basin, soil salinity has become a significant problem because of natural factors (high groundwater tables and low rainfall) and human practices (poor irrigation management, rice cultivation, excess water application, and inadequate drainage). Of the total arable land in the PRC, about two thirds is classified as low- or medium-yield land; this indicates a significant potential to increase productivity by improving agricultural practices and irrigation and drainage systems. 5. Agricultural support systems. Agricultural extension services are important in supporting agricultural productivity and reducing poverty in the PRC. Public agricultural extension agencies at all administrative levels play a key role in helping farmers access new agricultural technologies and market information. However, they often have limited outreach and do not always deliver technical advice that corresponds to farmers‘ needs. Local agriculture bureaus are providing most of the services, but private extension providers (e.g., universities and private agro-enterprises) have recently emerged. 6. In many areas, seeds are stored, processed, and handled improperly which leads to poor seed quality, including low germination rates. Efficient fertilizer use is also a problem. Mechanized plowing and harvesting equipment is in short supply in the PRC‘s low- and middle-income farming areas. There is also a shortage of expertise and training in equipment maintenance, new product development, and profitable operation of machinery firms. Windbreaks and shelterbelt trees have proven to be useful for improving cultivation and crop yields. However, they are not widely adopted or well maintained because of a lack of funding sources. 7. An integrated approach should be adopted to address these issues. Infrastructure investments remain in high demand for irrigation and drainage systems, farm service roads, shelterbelt trees, etc. To promote effective O&M for irrigation and drainage systems, more guidance and assistance should be provided to farmer organizations, such as water users associations (WUAs), to enhance their capabilities. Moreover, training courses on advanced agricultural practices need to be introduced and promoted to help deal with issues such as low soil fertility, poor seed quality, and the improper application of fertilizers. 8. Project provinces and counties. Five provinces and one autonomous region5 have been identified for the proposed project to represent the national food-surplus and food-balanced regions. Anhui, Heilongjiang, Henan, and Jilin are the top four food-surplus provinces, accounting for over 28% of both the country‘s grain cultivation area and grain output in 2008. These four provinces are, therefore, highly important for ensuring the food security of the PRC. The Yunnan Province represents the food-balanced region of the southwest, and the Ningxia Hui Autonomous Region represents the northwest. They will also contribute to national food security by maintaining their food self-sufficiency status. There is a large potential to increase agricultural productivity in these inland provinces because (i) about 60% of their arable land is categorized as low- or medium-yield land; and (ii) the area is characterized by poorly maintained, or incomplete, or lack of irrigation and drainage systems; and poor-quality farm service roads. The project area provides a reasonable basis on which to develop new concepts that could be extended to the rest of the PRC. Within the project area, 69 comprehensive agricultural development (CAD) counties have been selected to be included in the project based

5 Include the provinces of Anhui, Heilongjiang, Henan, Jilin, and Yunnan; and the Ningxia Hui Autonomous Region.

3

on geographical, financial, and environmental criteria; as well as their water availability and potential for improving agricultural productivity. 9. Government policy and ADB’s strategy. The government has been shifting the emphasis from a growth-oriented focus towards a broader and more inclusive rural and sustainable development. The recently released Twelfth Five-Year Plan, 2011–2015 stresses the importance of food security, agricultural productivity, and water resources management.6 The CAD program, introduced in 1988 by the government to respond to the nation‘s food security problems, represents an integrated approach to addressing the common sector issues. With direct funding from the national government, the CAD program supports improving irrigation and drainage systems, soil quality, and agricultural production. The project is in line with the Asian Development Bank‘s (ADB) country partnership strategy, 2011–2015 for the PRC, which supports the government‘s goal of building a harmonious society by (i) addressing the rising income inequality and the widening regional disparities, and (ii) promoting environmentally sustainable development.7 10. Lessons. Based on experience from the PRC‘s CAD program and ADB‘s and other development partners‘ irrigation and drainage projects, the project design includes (i) creating a conducive institutional framework, which is essential for improving and sustaining irrigation and drainage systems; (ii) sustaining O&M with user-pay principle to improve project performance; (iii) ensuring the development, participation, and empowerment of farmers and farmer organizations, which are vital elements for the project‘s success; and (iv) improving farming technologies and marketing, which will be integral parts of the project. Having approved more than 10 investment projects since 1990, the World Bank is the major supporter of irrigation and drainage development in the PRC. It has supported the government‘s CAD program, particularly with three loan projects in the provinces of Anhui, Henan, Jiangsu, and Shandong which were considered successful. With numerous technical assistance and loan projects, ADB has extensive experience in agricultural development both in the PRC and in other developing member countries. The project will build on these experiences and best practices to support the government‘s CAD program by introducing (i) institutional reform in O&M of irrigation and drainage systems, (ii) impact monitoring and evaluation mechanisms, (iii) water use efficiency and environmental management, and (iv) farmers‘ participation and social inclusion. It will also introduce real-water savings and water footprint concepts. B. Impact and Outcome

11. The impact of the project will be enhanced food security in the PRC. The outcome will be increased agricultural productivity in the project area. C. Outputs

12. The project includes the following outputs to be implemented through subprojects in the project counties: (i) improved irrigation and drainage infrastructure; (ii) improved agricultural support; and (iii) improved project management. 13. Improved irrigation and drainage infrastructure will focus on improving the irrigation and drainage of about 117,000 ha of land. Improved irrigation and drainage infrastructure will

6 Government of the People‘s Republic of China, NDRC. 2011. The Outline of the Twelfth Five-Year Plan, 2011–

2015. Beijing. 7 ADB. 2012. Country Partnership Strategy: People’s Republic of China, 2011–2015. Manila.

4

support (i) upgrading and completing drainage and irrigation systems covering an area of 56,588 ha, and increasing the surface irrigated area by 8,650 ha; (ii) developing and upgrading groundwater irrigation systems in 32 counties covering an area of 41,183 ha, and increasing the irrigated area by 29,979 ha; (iii) introducing water-saving technology on 74,495 ha of surface- and groundwater-irrigation systems; and (iv) facilitating the establishment and operation of 68 WUAs. 14. Improved agricultural support will focus on (i) improving the soil quality of about 67,138 ha by land leveling, soil testing, appropriately applying fertilizers, returning crop residue to farmland, and reducing salinity (particularly in Ningxia); (ii) repairing farm service roads (about 1,866 kilometers) for field operations and transporting crops; (iii) reforming agricultural practices such as the wider distribution and promotion of quality seeds, and the provision of agricultural machinery for field cultivation and harvest activities; (iv) reducing land degradation in critical areas through the expansion of shelterbelt trees; (v) demonstrating modern agricultural technologies such as greenhouse agriculture and pollution-free and/or green agriculture; and (vi) developing farmer capacity through training and by establishing 117 farmer professional associations (FPAs) or cooperatives on balanced fertilization application, farming technologies, and marketing skills. 15. Improved project management will focus on (i) increasing the capacity of the six provincial CAD offices (POCADs) and 69 county CAD offices (COCADs) by providing training and capacity development, and necessary equipment; (ii) upgrading the information management system of the State Office for CAD (SOCAD) in the Ministry of Finance, and establishing a project performance management system; (iii) establishing expert teams at national, provincial, and county levels to provide technical advice for project implementation and safeguards management; (iv) conducting research and studies on water conservation, farmer participation, and farming technologies; and (v) training on real-water savings and reducing water footprints. 16. The detailed project location and activities are presented in the tables below.

5

List of Project Counties

Province Prefecture No. of

Counties County and/or City and/or District

Anhui Fuyang City 6 Jieshou City, Taihe County, Funan County, Linquan County, Yinquan District, Yinzhou District

Bozhou City 2 Mengcheng County, Guoyang County

Heilongjiang Haerbin City 1 Binxian County

Qiaihaer City 1 Fuyu County

Mudanjiang City 2 Hailin City, Ning‘an City

Jiamusi City 3 Huachuan County, Huanan County, Fujin County

Shuihua City 2 Qing‘an City, Wangkui County

Daqing City 2 Dumeng County, Saertu District

Hegang City 2 Luobei County, Suibin County

Shuayashan City 2 Raohe County, Baoqing County

Jixi City 1 Hulin City

Heihe City 1 Nengjiang County

Henan Zhengzhou City 2 Zhongmou City, Xinzheng City

Kaifeng City 3 Lankao County, Qi County Kaifeng County

Xinxiang City 2 Yanjin County, Changyuan County

Jiaozuo City 2 Qinyang City, Mengzhou City

Jilin Changchun City 5 Yushu City, Jiutai City, Dehui City, Shuangyuang District, Nongan County

Jilin City 2 Changye District, Yongji County

Songyuan City 1 Fuyu County

Siping City 1 Lishu County

Liaoyuan City 2 Dongfeng County, Dongliao County

Tonghua City 3 Meihetou City, Liuhe County, Huinan County

Baicheng City 1 Taobei District

Ningxia Yinchuan City 3 Helan County, Yongning County, Lingwu County

Wuzhong City 2 Qingtongxia City, Wuzhong City

Zhongwei City 2 Zhongwei City, Zhongning County

Ningxia Farming and Cultivation Bureau

1 Pengjibao Cattle Farm

Yunnan Kunming City 2 Yiliang County, Songming County

Qujing County 1 Qilin County

Baoshan City 2 Tengchong County, Channing County

Zhaotong City 1 Zhaoyang Ditrict

Lijiang City 1 Yulong County

Chuxiong Prefecture

1 Yao‘an County

Honghe Prefecture

1 Shiping County

Dali Prefecture 2 Heqing County, Eryuan County

Dehong Prefecture

1 Luxi City

Total 69

6

Description of Activities by Province

No. Component/Subcomponent/Activity Unit Province/Autonomous Region

Anhui Heilongjiang Henan Jilin Ningxia Yunnan

1. Improved Irrigation and Drainage Infrastructure 1.1 1.1.1 1.1.2 1.1.3 1.1.4

Subproject surface water irrigation systems completed and/or upgraded

with a total area of which incremental area

Irrigation and/or drainage canals dredged Branch canals Lateral and/or sublateral canals Branch drainage ditches Lateral and/or sublateral drainage ditches

Canal system structures built Bridges Weirs Culverts Gates Aqueducts Drop structures Inverted siphons Overflow weirs Outlet structures Tail water outlets

Irrigation pumping stations newly constructed and/or improved

of which newly constructed improved

no. ha ha km km km km km no. no. no. no. no. no. no. no. no. no. no. no.

no. no.

1

600 200

1,058 271 181

47 560

5,375 2,675

0 2,639

61 0 0 0 0 0 0 7

4 3

14

13,986 1,000

507 197

92 162

56 3,432

66 0

603 133

15 16 0 0

2,599 0 2

1 1

1

500 0

514 21 0

174 318

2,478 855

0 1,603

20 0 0 0 0 0

15

0

15

13

14,484 978 449 105 116 150

78 1,417

159 0

141 155

26 4

14 2

916 0

17

1 16

8

10,696 213

1,183 147 641 157 237

10,365 2,861

226 174 536 357

78 1 0

3,646 2,486

26

0 26

12

16,322 6,259

141 30

109 2 0

6,304 2,950

0 1,678 1,675

1 0 0 0 0 0

11

3 8

1.2

1.2.1 1.2.2 1.2.3 1.2.4

Subproject tube well (groundwater) irrigation systems developed and/or improved

with a total area of which incremental area

New tube wells constructed Existing tube wells improved Rural electric cables and accessories installed Transformers installed

no. ha ha

no. no. km set

8

17,083 16,026 3,746

0 16 59

6

4,330 3,700

249 -

36 16

9

16,813 7,959 3,215

788 1,694

823

3

2,508 2,300

302 … … …

3

205 34 … 11 29 22

3

244 0

… … 6 1

1.3 1.3.1

Water-saving technology promoted through Canals lined Of which branch canals Lateral and/or sublateral canals

ha

km km km

16,626

8 2 6

12,220

201 109

82

13,510

26 15 21

11,446

201 145

56

10,150

787 147 640

10,542

442 222 220

7

No. Component/Subcomponent/Activity Unit Province/Autonomous Region

Anhui Heilongjiang Henan Jilin Ningxia Yunnan

1.3.2 1.3.3 1.3.4 1.3.5 1.3.6

Low-pressure pipelines installed Sprinkler irrigation installed Micro-irrigation (incl. drip irrigation installed) Movable flexible pipes supplied Small water storage structures developed

of which newly constructed improved

km ha ha km no. no. no.

103 … … … … … …

… 1,150

…

… … …

1,171 … 3

222 … … …

… 992

1 80 8

… 8

8 366

… … … … …

44 316

… … 11 11 …

1.4 1.4.1 1.4.2 1.4.3 1.4.4

1.5

Water users associations (WUAs) supported Start-up Buildings Training and study Water-measuring equipment

Pilot solar-powered irrigation

no.

m2

pm set pilot

30 59

100 292

… …

6 … 4

16 10 …

1 … 60 2

… …

10 9

80 619

44 …

30 30 … … … 9

8 8

… … … …

2. Improved Agricultural Support

2.1 Soil quality improved through ha 9,675 7,495 18,193 7,665 17,744 6,366 2.1.1 2.1.2 2.1.3

Fields leveled Land deep plowed Balanced fertilizer application introduced

ha ha ha

1,200 2,620

…

5,329 4,960 4,564

2,826 5,620 6,837

4,525 1,400 1,786

5,110 9,828 7,140

550 1,418 7,219

2.2 2.2.1 2.2.2

Service roads improved Rural roads Hardened roads Gravel roads

Working roads Hardened roads Gravel roads Earthen roads

km km km km km km km km

274 238 203

35 36 11 25 …

264 174

19 155

90 2

59 29

628 305 182 123 323

… 68

255

155 93 37 56 62 … 62 …

204 136

9 127

68 40 28 …

227 94 8

86 133

4 129

…

2.3 2.3.1 2.3.2 2.3.3 2.3.4 2.3.5 2.3.6 2.3.7 2.3.8

Agricultural practices improved through Quality seed production area expanded Quality seed storage warehouse constructed Quality seed drying areas constructed Quality seed production increased Agricultural machinery power increased

through provision of tractors Farm implements distributed Plant protection equipment distributed IPM program introduced on Including equipment and vehicles

ha m

2

m2

tons kW

units units units ha

sets no.

6

450 1,200

16 24,027

… … … … … …

…

3,900 17,600

… 3,556

48 28 61

1,000 27 …

… … … 18 … … … …

606 … 9

…

1,700 11,600

25 8,256

89 99 20 … 20 …

…

1,260 26,000 4,048 1,462

15 60 36

4,909 198

…

1,220

200 …

307 2,500

282 4

… 3,210

310 …

8

No. Component/Subcomponent/Activity Unit Province/Autonomous Region

Anhui Heilongjiang Henan Jilin Ningxia Yunnan

2.4 2.4.1 2.4.2 2.4.3

Land degradation reduced through Farm shelterbelts planted

Requiring saplings purchased Environmental protection forests planted

Requiring saplings purchased Processes straw returned to farmland

ha

‗000s ha

‗000s ha

336

1,900 … …

10,970

243 387

… 10

1,370

578

1,241 … …

12,846

673 716

65 110

2,540

550

1,108 54

104 5,100

200 294 156

… 2,035

2.5 2.5.1 2.5.2

Farmer capacity improved through

Farmer professional associations and/or cooperatives established and strengthened by start-up and running costs provided

Training and study tours organized Instruments and equipment financed

Farmer training Publicity and start up Technical training

no. pm set pm pm pm

24 13 3

1,455 291

1,164

2 100

24 2,059

254 1,805

7 177

65 2,290

711 1,579

30 804 131

3,431 1,751 1,680

2 265 154 761 290 471

1 175

35 6,907 3,085 3,822

2.6

2.6.1 2.6.2

2.6.3

Modern agricultural technologies demonstrated, including Demonstration greenhouses constructed

and greenhouse equipment provided Pollution-free and/or safe agriculture demonstrated, including

Equipment provided Declarations supported

Organic and/or green agriculture demonstrated including

Equipment provided Declarations supported

ha ha set

ha set no.

ha set no.

19 18.7 …

… … …

… … …

2,145

4.5 36

2,140

124 1

… … …

672 71.8

1,499

600 300

3

… … …

4,570

5.6 337

2,989

83 6

1,575

133 7

7,702

84.8 15,021

7,617

179 1

… … …

2,528

15.6 78

1,742

225 5

770 140

5

3. Improved Project Management

3.1

3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.1.6 3.1.7 3.1.8

Provincial and city and/or county CAD offices upgraded, including Domestic training provided International training provided Domestic study tours undertaken International study tours undertaken National consulting services Office equipment purchased and installed Project management vehicles procured Agricultural management information system equipment installed and operational

pm pm pm pm pm set no.

1,827 4

251 35 …

399 12

75 4

92 16

310

20

868 4

733 12 1

198 15

270 4

235 30 50

188 17

48 16

180 60

105 107

10

175 4

175 48 92

344 13

9

No. Component/Subcomponent/Activity Unit Province/Autonomous Region

Anhui Heilongjiang Henan Jilin Ningxia Yunnan

3.1.8 3.1.9

Server equipment Software design Satellite remote sensing images Data acquisition MIS

Environmental monitoring Social and poverty monitoring

set set set no. set no. no.

… … … … … 4 4

… … … … 5

… … … … … … …

… … … … … … …

3 3

20 1

… 4 5

… … … … 1

… …

3.2 3.2.1 3.2.2

Rural women‘s capacity developed through Women‘s groups trained ACWF capacity built

county county

2 2

… …

… …

… …

2 2

2 2

3.3 3.3.1 3.3.2 3.3.3

CAD integrated management system established and operational, comprising

Agricultural management and information system installed

Servers installed Software design completed and operational Satellite remote sensing images procured Data acquired

Environmental monitoring system established Social and poverty monitoring system established

no.

CNY mn CNY mn CNY mn CNY mn CNY mn CNY mn CNY mn

… … … … … 0.50 0.50

5.00 0.20 3.00 0.90 0.90 0.17 0.17

… … … … … … …

… … … … … … …

1.45 0.10 0.20 0.80 0.35 1.00 1.00

… … … … … … …

… = data not available, ACWF = All China Women‘s Federation, CAD = comprehensive agricultural development, ha = hectare, IPM = integrated pest management, km = kilometer, kW = kilowatt, m

2 = square meter, no. = number, O&M = operation and maintenance, pm = person-month, WUA = water users

association. Sources: Asian Development Bank and the State Office for Comprehensive Agricultural Development.

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II. IMPLEMENTATION PLANS

A. Project Readiness Activities

2012 2013 Who

Indicative Activities Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun Responsible

Advance contracting actions PMOs, SOCAD

Retroactive financing actions PMOs, SOCAD

Establishing project imple-mentation arrangements

PMOs

ADB Board approval ADB

Loan signing ADB, Government

Government legal opinion provided

Government

Government budget inclusion PMOs, SOCAD

Loan effectiveness ADB, Government

ADB = Asian Development Bank, PMO = project management office, SOCAD = State Office for Comprehensive Agricultural Development. Source: ADB.

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B. Overall Project Implementation Plan

A. Design and Monitoring Framework 1 Improved Irrigation and Drainage Infrastructure 1.1 Prepare and implement resettlement plans 1.2 Upgrade and construct surface water irrigation and drainage

systems in 56,588 ha 1.3 Upgrade and construct groundwater irrigation systems

in 41,183 ha 1.4 Upgrade and construct drainage systems in 117,000 ha 1.5 Implement water-saving innovations in 74,495 ha 1.6 Establish or strengthen 68 WUAs and conduct training 2 Improved Agricultural Support 2.1 Prepare EMDPs as required; and implement EMDPs, GAP, and

related measures 2.2 Establish and/or strengthen 117 farmer professional

associations and conduct training for them 2.3 Implement soil improvement program in 67,138 ha 2.4 Construct and/or improve 1,866 km of farm access roads 2.5 Implement improved agricultural practices, including quality seed

storage warehouses, and seed drying and packaging areas 2.6 Plant 2,855 ha of farm shelterbelt trees and promote straw

processing in 34,800 ha 2.7 Train farmers on advanced farming technologies 2.8 Undertake demonstrations of modern agricultural production,

including greenhouse demonstrations and organic agriculture 3 Improved Project Management 3.1 Develop project management information system 3.2 Procure office equipment for the PMOs 3.3 Provide training and capacity development for PIU and PMO staff 3.4 Conduct regular monitoring and evaluation activities

B. 1 Procurement Plan Key Activities to Procure Contract

Packages 1.1 Prepare bidding documents 1.2 Conduct bidding and award contracts 1.3 Implement contracts and monitor their performance 2 Consultant Selection Procedures 3 Environmental and Social Safeguards Management 4 Gender Action Plan Key Activities 5 Annual/Midterm Review 6 Project Completion 6.1 Project physical completion 6.2 Loan closing

EMDP = ethnic minority development plan, GAP = gender action plan, ha = hectare, km = kilometer, PMO = project management office, WUA = water users association. Sources: Asian Development Bank and PMO estimates.

Indicative Activities Q3 Q4 Q3 Q4 2018

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q1 Q2 Q3 Q4 Q1 Q2

Management Activities

2016 2017 2013 2014 2015 Q1 Q2 Q3 Q4

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III. PROJECT MANAGEMENT ARRANGEMENTS

A. Project Implementation Organizations – Roles and Responsibilities

Project Implementation Organizations Management Roles and Responsibilities

State Office for Comprehensive

Agricultural Development (SOCAD)

Planning, financing, and overall financial management

Overall implementation and coordination

—Executing Agency Guidance on the strategic issues and interagency coordination

Consolidation and submission of withdrawal applications to ADB, and release of loan proceeds

Establishment and management of the imprest account

Organize training and study tours, monitoring and evaluation including project management information system across provinces

Consolidation and submission of progress reports to ADB and the government

Provincial Offices for Comprehensive Agricultural Development (POCADs), through the provincial project management offices (PMOs) —Implementing Agencies

Programming, planning, and organization of provincial program

Management of COCADs

Implementation of project activities at provincial level such as technical guidance and training

Preparation of withdrawal applications and submission to SOCAD; and release of loan proceeds to COCADs

Monitoring of project progress and impact

Organize and implement training and study tours, monitoring and evaluation across counties in each province

Conduct of procurement activities for province-wide contracts

Consolidation of progress reports from counties into provincial reports and submission to SOCAD

City and/or County Offices for Comprehensive Agricultural Development (COCADs), serving as county PMOs —Implementing Agencies

Daily management of the project, including project implementation

Checking of construction progress and quality Organization and implementation of civil works contracts Conduct of procurement of goods and other purchases

within the county Preparation of withdrawal applications and release of

loan proceeds

Overseeing and coordination of project implementation activities in the counties

Implementation of the development of farmer professional associations and water users associations

Monitoring and reporting of project progress to POCADs

13

Project Implementation Organizations Management Roles and Responsibilities

Asian Development Bank (ADB) Provision of overall advice for project administration

Monitoring and review of project progress and impact

Review and approval of procurement, contract awards, and other reports

Approval of withdrawal applications and disbursement of loan proceeds

B. Key Persons Involved in Implementation

Executing Agency

State Office for Comprehensive Agricultural Development (SOCAD), Ministry of Finance (MOF)

Officer‘s name: Luo Luyong Position: Director Telephone: +86-10-68553390, 68528396 Mobile: +86-136-51289225 Fax: +86-10-68553390 Email address: luoluyong@126.com

Office address: SOCAD/MOF, No. 3 Nan San Xiang, Sanlihe, Xicheng District, Beijing 100820 People‘s Republic of China (PRC)

Implementing Agencies (Provincial Level)

Anhui Provincial Office for Comprehensive Agricultural Development (POCAD), through the provincial PMOs

Officer‘s name: Wu Xingyi Position: Deputy Director General Telephone: +86-551-5100384 Mobile: +86-138-6611615 Fax: +86-551-5100378 Email address: dj1703@163.com

Office address: No. 238, West Funan Road, Hefei City, Anhui Province 230061 PRC

Heilongjiang POCAD, through its PMO Officer‘s name: Jiang Xianyou

Position: Director Telephone: +86-451-53609567 Mobile: +86-138-36039999 Fax: +86-451-53602919 Email address: Liuwei19660000@sina.com

Office address: No. 146 Jianshe Street, Nangang District, Harbin, Heilongjiang Province150001 PRC

Henan POCAD, through its PMO Officer‘s name: Huang Xingfu

Position: Deputy Director General Telephone: +86-371-65802158 Mobile: +86-136-03840781 Fax: +86-371-65802510 Email address: hxf-169@163.com

Office address: No 25 Jingsan Road, Zhengzhou City, Henan Province PRC

14

Jilin POCAD, through its PMO Officer‘s name: Sun Jian

Position: Deputy Director Telephone: +86-431-88550551 Mobile: +86-137-56112200 Fax: +86-431-88553907 Email address: sunnfb@yahoo.com.cn

Office address: No. 3646 Renmin Dajie, Changchun, Jilin Province130021 PRC

Ningxia Hui Autonomous Region POCAD, through its PMO

Officer‘s name: Zhou Bin Position: Director Telephone: +86-951-6019908 Mobile: +86-138-95189307 Fax: +86-951-6019908 Email address: Zhoubing3039@sina.com

Office address: No. 101 West Shanghai Road, Jinfeng District, Yinchuan City,

Ningxia Hui Autonomous Region, PRC

Yunnan POCAD, through its PMO Officer‘s name: Li Huiying Position: Deputy Director Telephone: +86-871-5181074 Mobile: +86-186-69069989 Fax: +86-871-3618854 Email address: Huiyingli1023@126.com

Office address: POCAD/Department of Finance of Yunnan Province, Wuhuashan, Kunming, Yunnan Province, PRC

Asian Development Bank

Division Director Staff‘s name: Yue-Lang Feng Position: Director Division: Environment, Natural Resources, and Agriculture Division Department: East Asia Department Telephone: +63-2-6326769, 6325769 Fax: +63-2-6362534, 6362444 Email address: fengyuelang@adb.org

Mission Leader Staff‘s name: Yaozhou Zhou Position: Senior Water Resources Specialist Division: Environment, Natural Resources, and Agriculture Division Department: East Asia Department Telephone: +63-2-6326170, 6325943 Fax: +63-2-636-2534, 6362444 Email address: yaozhou@adb.org

15

C. Project Organization Structure

Legend: Coordination and/or administration Lending agreement

Implementing agency Source: Asian Development Bank.

National Development and Reform Commission

Ministry of

Finance Asian Development Bank

State Office for Comprehensive

Agricultural Development (SOCAD)

Project Leading Group (PLG)

National Project Management Office (PMO)

in SOCAD

Provincial Offices for Comprehensive

Agricultural Development (POCADs)

Provincial PMOs

Prefecture Offices for Comprehensive

Agricultural Development

City and/or County Offices for

Comprehensive Agricultural Development

(COCADs) City and/or County PMOs

Contractors, suppliers, and farmers

16

IV. COSTS AND FINANCING

17. The project is estimated to cost $354.83 million. The detailed cost estimates by expenditure category and by financier, and the allocation and withdrawal of loan proceeds are listed in the following tables and charts. 18. The government has requested a loan of $200 million from ADB‘s ordinary capital resources to help finance the project.8 The loan will have a 20-year term, including a grace period of 5 years; an annual interest rate determined in accordance with ADB‘s London interbank offered rate (LIBOR)-based lending facility; a commitment charge of 0.15% per year; and other terms and conditions set forth in the loan and project agreements. Based on the above loan terms and borrower‘s choice of straight-line repayment method, the average loan maturity is 12.75 years, and there will be no maturity premium payable to ADB. The government has provided ADB with (i) the reasons for its decision to borrow under ADB‘s LIBOR-based lending facility based on these terms and conditions, and (ii) an undertaking that these choices were its own independent decision and not made in reliance on any communication or advice from ADB. The government has allocated the loan proceeds as follows: $30 million each to the Ningxia Hui Autonomous Region and the Yunnan Province; and $35 million each to the Anhui, Heilongjiang, Henan, and Jilin provinces. The government will make the loan proceeds available to the provincial governments, which in turn will make the loan proceeds available to the county governments through the prefecture governments on a grant basis and with proper arrangements acceptable to ADB. 19. The ADB loan will finance $200.00 million, or 56.36% of the total project costs, including civil works, equipment and materials, training and capacity development, formation and/or strengthening of the FPAs and WUAs, and taxes and duties.9 The national government will finance $8.16 million, or 2.30% of the total project costs, covering the financing charges during implementation. The provincial and local governments will finance $119.86 million, or 33.78% of the total project costs, including the balance of civil works, and training and capacity development; research and monitoring; land acquisition and resettlement; environmental management and monitoring; surveys, design, and supervision; taxes and duties; and the contingencies. The beneficiaries will finance $26.81 million or 7.56% through cash and in-kind contributions to land improvement and small canal dredging.

8 The ADB loan may finance the transportation and insurance costs for the project.

9 The amount of taxes and duties to be financed in the project has been determined based on the principles that (i)

the amount of taxes and duties financed by the ADB loan which representing about 2% of the project cost, does not represent an excessive share of the project; (ii) the taxes and duties apply only with respect to ADB-financed expenditures; and (iii) the financing of taxes and duties is material and relevant to the success of the project since the percentage of some financed expenditures needs 100%.

17

A. Detailed Cost Estimates by Expenditure Category

Local Currency Cost (CNY million) Foreign Currency Cost ($ million)

Item

Foreign

Exchange

Local

Currency Total Cost

Foreign

Exchange

Local

Currency

Total

Costa

A. Investment Costsb

1. ADB Financed Civil Works

a. Anhui Province 77.51 143.95 221.45 12.30 22.85 35.15 11.6%

b. Heilongjiang Province 67.48 125.31 192.79 10.71 19.89 30.60 10.1%

c. Henan Province 55.01 102.17 157.18 8.73 16.22 24.95 8.3%

d. Jilin Province 68.53 127.27 195.80 10.88 20.20 31.08 10.3%

e. Ningxia Hui Autonomous Region 56.94 105.74 162.68 9.04 16.78 25.82 8.6%

f. Yunnan Province 77.06 143.11 220.16 12.23 22.72 34.95 11.6%

Subtotal (1) 402.52 747.54 1,150.07 63.89 118.66 182.55 60.5%

2. Non-ADB Financed Civil Works

a. Anhui Province 0.00 34.75 34.75 0.00 5.52 5.52 1.8%

b. Heilongjiang Province 0.00 32.12 32.12 0.00 5.10 5.10 1.7%

c. Henan Province 0.00 34.08 34.08 0.00 5.41 5.41 1.8%

d. Jilin Province 0.00 14.82 14.82 0.00 2.35 2.35 0.8%

e. Ningxia Hui Autonomous Region 0.00 28.08 28.08 0.00 4.46 4.46 1.5%

f. Yunnan Province 0.00 40.00 40.00 0.00 6.35 6.35 2.1%

Subtotal (2) 0.00 183.85 183.85 0.00 29.18 29.18 9.7%

3. Equipment and Materials

a. Equipment 126.65 84.43 211.08 20.10 13.40 33.51 11.1%

b. Materials 60.47 60.47 120.95 9.60 9.60 19.20 6.4%

Subtotal (3) 187.12 144.91 332.03 29.70 23.00 52.70 17.5%

4. Research and Monitoringc 14.70 132.32 147.02 2.33 21.00 23.34 7.7%

5. Training and Study Tours

a. Training 4.78 43.04 47.82 0.76 6.83 7.59 2.5%

b. Study Tours 2.86 25.78 28.65 0.45 4.09 4.55 1.5%

Subtotal (5) 7.65 68.82 76.47 1.21 10.92 12.14 4.0%

6. Consulting Services 0.44 3.98 4.43 0.07 0.63 0.70 0.2%

7. FPAs and WUAs (equipment and training) 0.36 6.88 7.24 0.06 1.09 1.15 0.4%

Subtotal (A)—Total Baseline Cost 612.80 1,288.30 1,901.10 97.27 204.49 301.76 100.0%

B. Contingencies

1. Physicald 49.02 103.06 152.09 7.78 16.36 24.14 8.0%

2. Pricee

6.28 124.54 130.81 1.00 19.77 20.76 6.9%

Subtotal (B) 55.30 227.60 282.90 8.78 36.13 44.91 14.9%

C. Financing Charges During Implementationf

1. Interest During Implementation 46.67 0.00 46.67 7.41 0.00 7.41 2.5%

2. Commitment Charges 4.72 0.00 4.72 0.75 0.00 0.75 0.2%

Subtotal (C) 51.40 0.00 51.40 8.16 0.00 8.16 2.7%

Total Project Cost (A+B+C) 719.50 1,515.90 2,235.40 114.21 240.62 354.83 117.6% ADB = Asian Development Bank, FPA = farmer professional association, WUA = water users association.

Note: Numbers may not sum precisely because of rounding.a Including taxes and duties equivalent to $28.45 million to be financed from the government resources and ADB loan resources.

b In 2012 prices.

c Include costs for land acquisition and resettlement; environment management and monotoring; and surveys, design, and supervision.

d Computed at 8% for civil works, goods, research and monitoring, training, and consulting services.

e Computed based on the international and national price escalation factors, and include provision for potential exchange rate fluctuation under the assumption of a purchasing power parity

exchange rate.f Includes interest and commitment charges. Interest during construction for the ADB loan has been computed at the five-year forward London interbank-offered rate plus a spread of 0.4%.

Commitment charges for the ADB loan are computed at 0.15% per year to be charged on the undisbursed loan amount.

Source: ADB estimates.

% of Total

Base Cost

18

B. Allocation and Withdrawal of Loan Proceeds

Category ADB Financing

No. Item

Amount Allocated ($)

Percentage and Basis for Withdrawal from the

Loan Account Category Subcategory

1 Works 138,294,000

1A Anhui Province 26,363,650 75% of total expenditure

1B Heilongjiang Province 24,480,850 80% of total expenditure

1C Henan Province 15,718,050 63% of total expenditure

1D Jilin Province 24,863,650 80% of total expenditure

1E Ningxia Hui Autonomous Region 20,657,800 80% of total expenditure

1F. Yunnan Province 26,210,000 75% of total expenditure

2 Equipment and materials 52,703,500 100% of total expenditure

3 Training and study tours 5,947,500 100% of total expenditure

4 FPAs and WUAs 1,149,000 100% of total expenditure

5 Unallocated 1,906,000

Total 200,000,000

ADB = Asian Development Bank, FPA = farmer professional associations, WUA = water user associations.

19

C. Detailed Cost Estimates by Financier ($ million)

Item Amount

% of

Cost

Category Amount

% of

Cost

Category Amount

% of

Cost

Category Amount

% of

Cost

Category

Total

Costa

A. Investment Costsb

1. ADB Financed Civil Works

a. Anhui Province 26.36 75.0% 0.00 0.0% 8.79 25.0% 0.00 0.0% 35.15

b. Heilongjiang Province 24.48 80.0% 0.00 0.0% 6.12 20.0% 0.00 0.0% 30.60

c. Henan Province 15.72 63.0% 0.00 0.0% 7.88 31.6% 1.35 5.4% 24.95

d. Jilin Province 24.86 80.0% 0.00 0.0% 5.17 16.6% 1.04 3.4% 31.08

e. Ningxia Hui Autonomous Region 20.66 80.0% 0.00 0.0% 5.16 20.0% 0.00 0.0% 25.82

f. Yunnan Province 26.21 75.0% 0.00 0.0% 8.74 25.0% 0.00 0.0% 34.95

Subtotal (1) 138.29 75.8% 0.00 0.0% 41.86 22.9% 2.39 1.3% 182.55

2. Non-ADB Financed Civil Works

a. Anhui Province 0.00 0.0% 0.00 0.0% 2.13 38.6% 3.39 61.4% 5.52

b. Heilongjiang Province 0.00 0.0% 0.00 0.0% 1.71 33.5% 3.39 66.5% 5.10

c. Henan Province 0.00 0.0% 0.00 0.0% 0.00 0.0% 5.41 100.0% 5.41

d. Jilin Province 0.00 0.0% 0.00 0.0% 0.00 0.0% 2.35 100.0% 2.35

e. Ningxia Hui Autonomous Region 0.00 0.0% 0.00 0.0% 1.57 35.2% 2.89 64.8% 4.46

f. Yunnan Province 0.00 0.0% 0.00 0.0% 3.44 54.3% 2.90 45.7% 6.35

Subtotal (2) 0.00 0.0% 0.00 0.0% 8.85 30.3% 20.33 69.7% 29.18

3. Equipment and Materials

a. Equipment 33.51 100.0% 0.00 0.0% 0.00 0.0% 0.00 0.0% 33.51

b. Materials 19.20 100.0% 0.00 0.0% 0.00 0.0% 0.00 0.0% 19.20

Subtotal (3) 52.70 100.0% 0.00 0.0% 0.00 0.0% 0.00 0.0% 52.70

4. Research and Monitoringc 0.00 0.0% 0.00 0.0% 23.34 100.0% 0.00 0.0% 23.34

5. Training and Study Toursd

a. Training (ADB financed) 3.72 100.0% 0.00 0.0% 0.00 0.0% 0.00 0.0% 3.72

b. Training (Non-ADB financed) 0.00 0.00 3.87 100.0% 0.00 0.0% 3.87

c. Study Tours (ADB financed) 2.23 100.0% 0.00 0.0% 0.00 0.0% 0.00 0.0% 2.23

d. Study Tours (Non-ADB financed) 0.00 2.32 100.0% 0.0% 2.32

Subtotal (5) 5.95 49.0% 0.00 0.0% 6.19 51.0% 0.00 0.0% 12.14

6. Consulting Services 0.00 0.0% 0.00 0.0% 0.70 100.0% 0.00 0.0% 0.70

7. FPAs and WUAs (equipment and training) 1.15 100.0% 0.00 0.0% 0.00 0.0% 0.00 0.0% 1.15

Subtotal (A)—Total Baseline Cost 198.09 65.6% 0.00 0.0% 80.94 26.8% 22.73 7.5% 301.76

B. Contingenciese 1.91 4.2% 0.00 0.0% 38.91 86.7% 4.09 9.1% 44.91

C. Financing Charges During Implementationf

1. Interest During Implementation 0.00 0.0% 7.41 100.0% 0.00 0.0% 0.00 0.0% 7.41

2. Commitment Charges 0.00 0.0% 0.75 100.0% 0.00 0.0% 0.00 0.0% 0.75

Subtotal (C) 0.00 0.0% 8.16 100.0% 0.00 0.0% 0.00 0.0% 8.16

Total Project Cost (A+B+C) 200.00 56.4% 8.16 2.3% 119.86 33.8% 26.81 7.6% 354.83ADB = Asian Development Bank, FPA = farmer professional association, WUA = water users association.

Note: Numbers may not sum precisely because of rounding.a Including taxes and duties equivalent to $28.45 million to be financed from the government resources and ADB loan resources.

by the loan proceeds.b In 2012 prices.

c Include costs for land acquisition and resettlement; environment management and monotoring; and surveys, design, and supervision.

d Each provincial government will finance 51% of the training and study tour costs in the province and ADB will finance the balance (49%).

e Physical contingencies were computed at 8% for civil works, goods, research and monitoring, training, and consulting services. Price contingencies were computed based on

the international and national price escalation factors, and include provision for potential exchange rate fluctuation under the assumption of a purchasing power parity exchange rate.f Includes interest and commitment charges. Interest during construction for the ADB loan has been computed at the five-year forward London interbank-offered rate plus a spread of 0.4%.

Commitment charges for the ADB loan are computed at 0.15% per year to be charged on the undisbursed loan amount.

Source: ADB estimates.

Provincial and County

Bank National Government Governments Beneficiaries

Asian Development

20

D. Detailed Cost Estimates by Outputs/Components ($ million)

Item Amount

% of Cost

Category Amount

% of Cost

Category Amount

% of Cost

Category

A. Investment Costsb

1. ADB Financed Civil Works

a. Anhui Province 35.15 20.32 57.8% 14.83 42.2% 0.00 0.0%

b. Heilongjiang Province 30.60 23.07 75.4% 7.53 24.6% 0.00 0.0%

c. Henan Province 24.95 11.11 44.5% 13.84 55.5% 0.00 0.0%

d. Jilin Province 31.08 24.91 80.2% 6.17 19.8% 0.00 0.0%

e. Ningxia Hui Autonomous Region 25.82 23.34 90.4% 2.48 9.6% 0.00 0.0%

f. Yunnan Province 34.95 22.67 64.9% 12.28 35.1% 0.00 0.0%

Subtotal (1) 182.55 125.43 68.7% 57.13 31.3% 0.00 0.0%

2. Non-ADB Financed Civil Works

a. Anhui Province 5.52 1.82 33.0% 3.70 67.0% 0.00 0.0%

b. Heilongjiang Province 5.10 0.72 14.2% 4.38 85.8% 0.00 0.0%

c. Henan Province 5.41 1.51 28.0% 3.90 72.0% 0.00 0.0%

d. Jilin Province 2.35 0.55 23.2% 1.81 76.8% 0.00 0.0%

e. Ningxia Hui Autonomous Region 4.46 1.33 29.8% 3.13 70.2% 0.00 0.0%

f. Yunnan Province 6.35 3.01 47.5% 3.34 52.5% 0.00 0.0%

Subtotal (2) 29.18 8.94 30.6% 20.24 69.4% 0.00 0.0%

3. Equipment and Materials

a. Equipment 33.51 14.87 44.4% 12.08 36.1% 6.55 19.6%

b. Materials 19.20 13.43 69.9% 5.12 26.7% 0.65 3.4%

Subtotal (3) 52.70 28.30 53.7% 17.20 32.6% 7.20 13.7%

4. Research and Monitoringc 23.34 0.65 2.8% 5.37 23.0% 17.32 74.2%

5. Training and Study Tours

a. Training 7.59 0.38 5.0% 5.17 68.1% 2.04 26.9%

b. Study Tours 4.55 0.00 0.0% 0.00 0.0% 4.55 100.0%

Subtotal (5) 12.14 0.38 3.1% 5.17 42.6% 6.59 54.3%

6. Consulting Services 0.70 0.00 0.0% 0.00 0.0% 0.70 100.0%

7. FPAs and WUAs (equipment and training) 1.15 0.56 48.5% 0.59 51.5% 0.00 0.0%

Subtotal (A)—Total Base Cost 301.76 164.25 54.4% 105.70 35.0% 31.81 10.5%

B. Contingencies

1. Physicald

24.14 13.14 54.4% 8.46 35.0% 2.54 10.5%

2. Pricee 20.76 10.68 51.4% 7.65 36.9% 2.43 11.7%

Subtotal (B) 44.91 23.82 53.0% 16.11 35.9% 4.98 11.1%

C. Financing Charges During Implementationf

1. Interest During Implementation 7.41 4.60 62.1% 2.29 30.9% 0.52 7.1%

2. Commitment Charges 0.75 0.48 64.5% 0.24 32.0% 0.03 3.5%

Subtotal (C) 8.16 5.08 62.3% 2.53 31.0% 0.55 6.7%

Total Project Cost (A+B+C) 354.83 193.15 54.4% 124.34 35.0% 37.34 10.5%ADB = Asian Development Bank, FPA = farmer professional association, WUA = water users association.

Note: Numbers may not sum precisely because of rounding.a Including taxes and duties equivalent to $28.45 million to be financed from the government resources and ADB loan resources.

b In 2012 prices.

c Include costs for land acquisition and resettlement; environment management and monotoring; and surveys, design, and supervision.

d Computed at 8% for civil works, goods, research and monitoring, training, and consulting services.

e Computed based on the international and national price escalation factors, and include provision for potential exchange rate fluctuation under the assumption

of a purchasing power parity exchange rate.f Includes interest and commitment charges. Interest during construction for the ADB loan has been computed at the five-year forward London interbank-offered rate

plus a spread of 0.4%. Commitment charges for the ADB loan are computed at 0.15% per year to be charged on the undisbursed loan amount.

Source: ADB estimates.

Total

Costa

Improved Irrigation

and Drainage

Infrastructure

Improved Irrigated

Agriculture

Improved Project

Management

21

E. Detailed Cost Estimates by Year ($ million)

Item Total Costa Year 1 Year 2 Year 3 Year 4 Year 5

A. Investment Costsb

1. ADB Financed Civil Works

a. Anhui Province 35.15 3.82 10.56 10.75 10.02 0.00

b. Heilongjiang Province 30.60 3.46 7.25 8.30 8.78 2.81

c. Henan Province 24.95 0.00 9.89 7.81 7.26 0.00

d. Jilin Province 31.08 6.09 8.26 8.04 7.81 0.88

e. Ningxia Hui Autonomous Region 25.82 3.63 6.39 6.61 6.56 2.63

f. Yunnan Province 34.95 5.07 8.46 8.67 8.86 3.88

Subtotal (1) 182.55 22.08 50.80 50.19 49.29 10.20

2. Non-ADB Financed Civil Works

a. Anhui Province 5.52 0.65 1.60 1.66 1.61 0.00

b. Heilongjiang Province 5.10 0.78 1.41 1.28 1.13 0.51

c. Henan Province 5.41 0.00 2.02 1.81 1.58 0.00

d. Jilin Province 2.35 0.45 0.53 0.56 0.65 0.17

e. Ningxia Hui Autonomous Region 4.46 0.50 1.10 1.20 1.17 0.49

f. Yunnan Province 6.35 0.85 1.57 1.66 1.63 0.64

Subtotal (2) 29.18 3.23 8.23 8.15 7.76 1.81

3. Equipment and Materials

a. Equipment 33.51 10.20 8.29 6.88 6.49 1.65

b. Materials 19.20 2.20 6.60 5.69 4.19 0.51

Subtotal (3) 52.70 12.40 14.89 12.57 10.68 2.16

4. Research and Monitoringc 23.34 4.36 5.78 5.49 5.19 2.53

5. Training and Study Tours

a. Training 7.59 1.12 1.67 2.03 2.05 0.71

b. Study Tours 4.55 0.86 1.14 1.09 0.85 0.61

Subtotal (5) 12.14 1.98 2.82 3.12 2.90 1.32

6. Consulting Services 0.70 0.14 0.17 0.11 0.14 0.14

7. FPAs and WUAs (equipment and training) 1.15 0.17 0.31 0.40 0.25 0.03

Subtotal (A)—Total Base Cost 301.76 44.35 82.98 80.04 76.21 18.18

B. Contingenciesd 44.91 4.15 10.24 12.32 14.13 4.06

C. Financing Charges During Implementatione 8.16 0.40 0.90 1.64 2.34 2.88

Total Project Cost (A+B+C) 354.83 48.91 94.12 93.99 92.68 25.12

% Total Project Cost 100% 14% 27% 26% 26% 7%ADB = Asian Development Bank, FPA = farmer professional association, WUA = water users association.

Note: Numbers may not sum precisely because of rounding.a Including taxes and duties equivalent to $28.45 million to be financed from the government resources and ADB loan resources.

b In 2012 prices.

c Include costs for land acquisition and resettlement; environment management and monotoring; and surveys, design, and supervision.

d Physical contingencies were computed at 8% for civil works, goods, research and monitoring, training, and consulting services.

Price contingencies were computed based on the international and national price escalation factors, and include provision for potential

exchange rate fluctuation under the assumption of a purchasing power parity exchange rate.e Includes interest and commitment charges. Interest during construction for the ADB loan has been computed at the five-year forward London interbank-

offered rate plus a spread of 0.4%. Commitment charges for the ADB loan are computed at 0.15% per year to be charged on the undisbursed loan amount.

Source: ADB estimates.

22

F. Contract and Disbursement S-Curve

Item 2013-Q3 2013-Q4 2014-Q1 2014-Q2 2014-Q3 2014-Q4 2015-Q1 2015-Q2 2015-Q3 2015-Q4 2016-Q1 2016-Q2 2016-Q3 2016-Q4 2017-Q1 2017-Q2 2017-Q3 2017-Q4 2018-Q1 2018-Q2 2018-Q3 2018-Q4

Contract Awards 0 4,000 4,000 5,000 5,000 6,000 6,000 7,000 9,000 12,000 15,000 15,000 17,000 17,000 17,000 15,000 15,000 12,000 10,000 9,000

Disbursement 0 3,000 3,000 4,000 5,000 5,000 5,000 6,000 6,000 8,000 13,000 15,000 15,000 15,000 15,000 15,000 15,000 15,000 15,000 12,000 10,000 10,000

ADB = Asian Development Bank. Source: ADB estimates.

23

G. Fund Flow Diagram

Legend: Coordination and/or administration Flow of funds (Counterpart funds)

Lending agreement Implementing agency

Flow of funds (ADB loan proceeds)

Sources: ADB and SOCAD.

National Development and Reform Commission

Ministry of Finance Asian Development Bank (ADB)

State Office for Comprehensive Agricultural

Development (SOCAD)

Project Leading Group

National Project Management Office (PMO)

Provincial Offices for Comprehensive Agricultural

Development (POCADs)

Provincial PMOs

Prefecture Offices for Comprehensive Agricultural

Development

Prefecture PMOs

City and/or County Offices for Comprehensive

Agricultural Development (COCADs)

City/County PMOs

Imprest Account

Provincial Finance Departments

(Counterpart Funds)

Prefecture Finance Bureaus

(Counterpart Funds)

City and/or County Finance Bureaus

(Counterpart Funds)

Contractors, suppliers, and farmers

24

V. FINANCIAL MANAGEMENT

A. Financial Management Assessment

20. A financial management assessment was conducted to assess (i) the legal status of the executing and implementing agencies, (ii) the proposed fund flow arrangements, (iii) staff qualifications, (iv) current accounting policies and procedures, (v) reporting and implementation monitoring, (vi) internal and external auditing, (vii) information systems, and (viii) documentation management. 21. The assessment shows that SOCAD, the six POCADs, and a representative sample of the eight COCADs follow the national accounting standards and policies which meet ADB‘s acceptable standards and practices; and will be able to perform accounting and financial reporting to satisfy the needs for project implementation. They will be able to timely provide related financial information and statements. Considering their limited experience in implementing ADB-financed projects, training on ADB procedures and requirements on financial management, procurement, and disbursement will be provided to project management office (PMO) staff at all levels during implementation. B. Disbursement

22. The loan proceeds will be disbursed in accordance with ADB‘s Loan Disbursement Handbook (2007, as amended from time to time),10 and detailed arrangements agreed upon between ADB and the government.

23. Pursuant to ADB‘s Safeguard Policy Statement (2009),11 ADB funds may not be applied to the activities described in the ADB Prohibited Investment Activities List set forth in Appendix 5 of the Safeguard Policy Statement (2009). All financial institutions will ensure that their investments are in compliance with applicable national laws and regulations, and will apply the prohibited investment activities list (Appendix 5) to subprojects financed by ADB. 24. Direct payment, reimbursement, commitment, and imprest fund procedures may be used to withdraw funds from the loan account.12 To expedite the flow of funds and simplify document processing, the statement of expenditures (SOE) procedure may be used to reimburse, replenish, and liquidate eligible expenditures charged to the imprest account for any individual payment not exceeding $200,000. Payments exceeding this ceiling will be reimbursed, replenished, and liquidated based on the full documentation process. SOE records should be maintained and made readily available for review by ADB‘s disbursement and review mission or upon ADB‘s request for submission of supporting documents on a sampling basis, and for independent audit.13

10

Available at: http://www.adb.org/Documents/Handbooks/Loan_Disbursement/loan-disbursement-final.pdf 11

Available at: http://www.adb.org/Documents/Policies/Safeguards/Safeguard-Policy-Statement-June2009.pdf 12

Available at: http://www.adb.org/documents/handbooks/loan_disbursement/chap-06.pdf 13

Checklist for SOE procedures and formats are available at: http://www.adb.org/documents/handbooks/loan_disbursement/chap-09.pdf http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Contracts-100-Below.xls http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Contracts-Over-100.xls http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Operating-Costs.xls http://www.adb.org/documents/handbooks/loan_disbursement/SOE-Free-Format.xls

25

25. An imprest account will be set up for the project by SOCAD in a commercial bank acceptable to ADB.14 The maximum amount deposited into the imprest account will not exceed 10% of the total loan amount, or the estimated expenditures to be financed from imprest account for the next 6 months of implementation, whichever is lower. The currency of the imprest account will be US dollar. SOCAD will be responsible for management, monitoring, and reconciliation of the imprest account. The financial management assessment shows that SOCAD has the capacity to manage the imprest account, but will require further training on ADB policies and procedures on disbursement and financial management considering the limited experience of SOCAD and the provinces in implementing ADB-financed projects. The request for initial advance to the imprest account should be accompanied by an estimate of expenditure sheet setting out the estimated expenditures for the first 6 months of project implementation, and submission of evidence satisfactory to ADB that the imprest account has been duly opened.15 For every liquidation and replenishment request of the imprest account, the borrower will furnish to ADB (i) the statement of account (bank statement) where the imprest account is maintained, and (ii) the imprest account reconciliation statement reconciling the above mentioned bank statement against the executing agency‘s records.16

26. There is no need to create second or third generation imprest account. The loan proceeds will only be released from the SOCAD imprest account based on the claims made by COCADs through prefecture and provincial PMOs.

27. The national PMO, the provincial PMOs, and COCADs will be responsible for (i) preparing disbursement projections, (ii) requesting budgetary allocations for counterpart funds, (iii) collecting supporting documents, and (iv) preparing withdrawal applications. The national PMO will consolidate and send the withdrawal applications to ADB.

28. Before the submission of the first withdrawal application, the borrower should submit to ADB sufficient evidence of the authority of the person(s) who will sign the withdrawal applications on behalf of the borrower, together with the authenticated specimen signatures of each authorized person. The minimum value per withdrawal application is $100,000, unless otherwise approved by ADB. The borrower will consolidate claims to meet this limit for reimbursement and imprest account liquidation and replenishment. Withdrawal applications and supporting documents will demonstrate among other things that the goods and/or services were produced in or from ADB‘s developing member countries; and are eligible for ADB financing.

29. Counterpart funds will come from national, provincial, and local governments. The national government will provide $8.16 million, or 2.30% of the total project cost, to cover the financing charges during implementation. Provincial and local governments will provide $119.86 million, or 33.78% of the total project cost, to finance civil works; research and monitoring; land acquisition and resettlement; environmental management and monitoring; surveys, design, and supervision; taxes and duties for civil works and research, and part of contingencies. The beneficiaries will provide cash or in-kind contributions amounting to $26.81 million equivalent, or 7.56% of the total project cost, for soil improvement and small canal dredging, and contingencies. Counterpart funds will be disbursed and liquidated following the current SOCAD financial management manual for domestically financed CAD projects.

C. Accounting

30. SOCAD and each COCAD will maintain separate project accounts and records by funding source for all expenditures incurred on the project. Project accounts will follow

14

Bank charges incurred in the operation of the imprest account may be financed from the ADB loan. 15

Available in Appendix 29 of the Loan Disbursement Handbook. 16

Follow the format provided in Appendix 30 of the Loan Disbursement Handbook.

26

international accounting principles and practices and/or the government‘s accounting laws and regulations acceptable to ADB. Each COCAD will prepare annual financial statements for their project activities, and the provincial PMO will consolidate the financial statements for submission to SOCAD. SOCAD will consolidate all annual project accounts and financial statements for the project, as well as those related to the imprest account.

D. Auditing

31. SOCAD will cause the detailed consolidated project accounts to be audited following the International Standards on Auditing and/or the government‘s audit regulations by an auditor acceptable to ADB. The audited accounts will be submitted in the English language to ADB within 6 months of the end of the fiscal year by the executing agency. The annual audit report will include a separate audit opinion on the use of the imprest accounts and the SOE procedures. The government and SOCAD have been made aware of ADB‘s policy on delayed submission, and the requirements for satisfactory and acceptable quality of the audited accounts. ADB reserves the right to verify the project‘s financial statements to confirm that the share of ADB‘s financing is used for the intended purpose and following ADB policies and procedures.

VI. PROCUREMENT AND CONSULTING SERVICES

A. Advance Contracting and Retroactive Financing

32. All advance contracting and retroactive financing will be undertaken following ADB‘s Procurement Guidelines (2010, as amended from time to time).17 The issuance of invitations to bid under advance contracting and retroactive financing will be subject to ADB approval. The borrower, COCADs, POCADs, and SOCAD have been advised that approval of advance contracting and retroactive financing does not commit ADB to finance the project.

33. SOCAD and the provinces have requested advance contracting and retroactive financing to enable early commencement of procurement of civil works, goods, and training under components 1 and 2 by using the winter season for civil works construction in the provinces of Anhui, Henan, and Yunnan; and for conducting training activities in all six provinces. The details of activities to be financed and their justification will be set out in a written request to ADB. The government and SOCAD have been advised that retroactive financing may only apply to up to $40 million of the ADB loan for expenditures incurred before loan effectiveness, but not earlier than 12 months before the signing of the loan and project agreements. The executing and implementing agencies have the capacity for undertaking advance contracting given their experience in the implementation of the World Bank-financed projects.

B. Procurement of Goods, Works, and Consulting Services

34. All ADB-financed procurement of goods and works will be undertaken following ADB‘s Procurement Guidelines (2010, as amended from time to time). Major contracts for goods valued at $1 million equivalent or more will be awarded through ADB‘s international competitive bidding (ICB) procedures. Smaller contract packages for goods valued at less than $1 million equivalent will be procured following national competitive bidding (NCB) procedures following the PRC‘s Tendering and Bidding Law (1999), subject to modifications agreed upon with ADB. Civil works contracts estimated to cost $10 million equivalent or more will be procured using ICB procedures, while those costing less than $10 million equivalent will be procured using NCB procedures. The shopping method will be allowed for contracts valued at less than $100,000 for

17

Available at: http://www.adb.org/Documents/Guidelines/Procurement/Guidelines-Procurement.pdf

27

civil works and for goods. The relevant sections of ADB‘s Anticorruption Policy (1998, as amended to date) will be included in procurement documents and contracts.

35. A procurement capacity assessment for COCADs, POCADs, and SOCAD indicates that (i) there are established arrangements for handling various stages of procurement; (ii) they have undertaken a number of domestically and/or World Bank-financed water and irrigation projects which involve a large volume of procurement activities; and (iii) monitoring and internal controls regarding the procurement processes are generally in place. Considering their limited experience in implementing ADB-financed projects, training on ADB‘s procurement procedures and requirements will be provided by the project. A procurement review for effective implementation will be conducted in selected counties during midterm review to validate findings of the procurement assessment, identify gaps and weaknesses in procurement, and implement measures to solve the gaps and weaknesses to improve procurement performance.

36. An 18-month procurement plan indicating the thresholds and review procedures; indicative contract packages for goods, works, and consulting services; and the NCB guidelines is in Section C.

37. All consulting services required for the project will be financed by the counterpart funds, and will follow the government procedures and regulations on use of the consulting services. The terms of reference for the consulting services will be developed, and the consultants will be recruited by POCADs and SOCAD according to needs.

C. Procurement Plan

Basic Data Project Name: Comprehensive Agricultural Loan Number: Development Project Country: People‘s Republic of China Executing Agency: State Office for Comprehensive

Agricultural Development Loan Amount: $200 million Date of First Procurement Plan: Date of this Procurement Plan: 11 October 2012

1. Process Thresholds, Review, and 18-Month Procurement Plan

a. Project Procurement Thresholds

38. Except as ADB may otherwise agree, the following process thresholds shall apply to procurement of goods and works:

Procurement of Goods and Works Method Threshold

ICB for Works Above or equal to $10,000,000 ICB for Goods Above or equal to $1,000,000 NCB for Works Below $10,000,000 but equal to or more than $100,000 NCB for Goods Below $1,000,000 but equal to or more than $100,000 Shopping for Works Below $100,000 Shopping for Goods

a Below $100,000

Consulting Services All financed by counterpart funds and will follow government regulations and procedures.

Exceptional Method: Community Participation

For small on-farm civil works (each site values below $30,000)

ADB = Asian Development Bank, ICB = international competitive bidding, NCB = national competitive bidding. a For the procurement of items below $10,000, the executing agency may purchase the items directly from the

suppliers; and in such cases, ADB should be satisfied that the price paid is reasonable. Source: ADB.

28

b. ADB Prior or Post Review

39. Except as ADB may otherwise agree, the following prior or post review requirements apply to the various procurement and consultant recruitment methods used for the project:

Procurement Method Prior or Post Comment

Procurement of Goods and Works ICB Works Prior ICB Goods Prior NCB Works Post Prior review and approval by ADB is required for the first

NCB bidding documents for goods and for works respectively, for each project province or autonomous region.

NCB Goods Post

Shopping for Works Post Shopping for Goods Post

ADB = Asian Development Bank, ICB = international competitive bidding, NCB = national competitive bidding. Source: ADB.

c. Goods and Works Contracts Within 18 Months

40. The following table lists goods and works contracts for which procurement activities are either ongoing or expected to commence within the next 18 months.

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

A. CIVIL WORKS

A1. Anhui Province

A1.1 Funan County

AHFN-2011G-NCB001 Canals, bridges, and culverts

831.1 5,651.7 NCB Feb 2013

AHFN-2011G-NCB002 Farm access roads 689.7 4,690.0 NCB Feb 2013

A1.2 Jieshou City

AHJS-2011G-NCB001 Canals, bridges, and culverts

848.1 5,767.0 NCB Feb 2013

AHJS-2011G-NCB002 Farm access roads 716.2 4,870.0 NCB Feb 2013

A1.3 Linquan County

AHLQ-2011G-NCB001 Canals, bridges, and culverts

670.1 4,556.4 NCB Feb 2013

AHLQ-2011G-NCB002 Farm access roads 710.3 4,830.0 NCB Feb 2013

AHLQ-2011G-NCB003 Pump stations 322.3 2,191.6 NCB Feb 2013

A1.4 Taihe County

AHTH-2011G-NCB001 Canals, bridges, and culverts

954.1 6,487.7 NCB Feb 2013

AHTH-2011G-NCB002 Farm access roads 674.8 4,588.5 NCB Feb 2013

A1.5 Yingquan District

AHYQ-2011G-NCB001 Canals, bridges, and culverts

858.8 5,840.0 NCB Feb 2013

AHYQ-2011G-NCB002 Farm access roads 710.3 4,830.0 NCB Feb 2013

A1.6 Yingzhou District

AHYQ-2011G-NCB001 Canals, bridges, and culverts

858.8 5,840.0 NCB Feb 2013

AHYQ-2011G-NCB002 Farm access roads 710.3 4,830.0 NCB Feb 2013

A1.7 Mengcheng County

AHMC-2011G-NCB001 Canals, bridges, and culverts

1,089.9 7,411.2 NCB Feb 2013

29

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

AHMC-2011G-NCB002 Farm access roads 500.0 3,400.0 NCB Feb 2013

A1.8 Guoyang County

AHGY-2011G-NCB001 Canals, bridges, and culverts

848.1 5,767.1 NCB Feb 2013

AHGY-2011G-NCB002 Farm access roads 53.3 362.1 Shopping Feb 2013

AHGY-2011G-NCB003 Pump stations 63.8 433.5 Shopping Feb 2013

A2. Heilongjiang Province

A2.1 Baoqing County

HLJBQ-2012G-NCB001 Canal lining 412.8 2,704.0 NCB Mar 2013

HLJBQ-2012G-NCB002 2 bridges,

10 culverts, and 5 gates

129.8 850.0 NCB Mar 2013

HLJBQ-2012G-NCB003 Canal and ditches construction

315.1 2,064.0 NCB Mar 2013

A2.2 Binxia County

HLJBX-2012G-NCB001 Canal lining 696.5 4,562.3 NCB Mar 2013

HLJBX-2012G-NCB002 1 bridge, 3 culverts, 2 flumes, and gates

222.0 1,454.0 NCB Mar 2013

A2.3 Saertu County

HLJSE-2012G-NCB001 Farm access roads 210.7 1,380.0 NCB Mar 2013

HLJSE-2012G-NCB002 Tube wells 427.5 2,800.0 NCB Mar 2013

A2.4 Fujing County

HLJFJ-2012G-NCB001 Canal lining and farm access roads

451.9 2,960.0 NCB Mar 2013

HLJFJ-2012G-NCB002 2 bridges, 10 culverts, and 2 gates

125.2 820.0 NCB Mar 2013

A2.5 Fuyu County

HLJFY-2012G-NCB001 Canal and ditches construction

148.1 970.0 NCB Mar 2013

HLJFY-2012G-NCB002 Tube wells 209.2 1,370.0 NCB Mar 2013

A2.6 Hailin County

HLJHL-2012G-NCB001 5 bridges, 12 culverts, and 8 gates

189.3 1,240.0 NCB Mar 2013

HLJHL-2012G-NCB002 Canal lining 305.3 2,000.0 NCB Mar 2013

HLJHL-2012G-NCB003 Farm access roads 137.4 900.0 NCB Mar 2013

HLJHL-2012G-NCB004 Canal and ditch construction

109.9 720.0 NCB Mar 2013

A2.7 Hulin County

HLJHUL-2012G-NCB001

Canal and ditches construction

369.0 2,417.0 NCB Mar 2013

HLJHUL-2012G-NCB002

3 bridges, 10 culverts, and 4 gates

140.5 920.0 NCB Mar 2013

HLJHUL-2012G-NCB003

Greenhouse construction

218.3 1,430.0 NCB Mar 2013

A2.8 Huachuan County

HLJHC-2012G-NCB001 Canal dredging and construction

763.4 5,000.0 NCB Mar 2013

HLJHC-2012G-NCB002 Greenhouse construction

190.8 1,250.0 NCB Mar 2013

30

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

A2.9 Huanan County

HLJHN-2012G-NCB001 Canal dredging and lining

260.6 1,707.0 NCB Mar 2013

HLJHN-2012G-NCB002 Bridges, gate, flume, and well construction

212.8 1,394.0 NCB Mar 2013

HLJHN-2012G-NCB003 Well houses and greenhouses

249.3 1,633.0 NCB Apr 2013

A2.10 Luobei County

HLJLB-2012G-NCB001 2 bridges and 40 culverts

283.5 1,857.0 NCB Apr 2013

HLJLB-2012G-NCB002 Water gates and flumes

164.3 1,076.0 NCB Apr 2013

A2.11 Nenjiang County

HLJNJ-2011G-NCB001 Tube wells and well houses

305.3 2,000.0 NCB Apr 2013

A2.12 Raohe County

HLJRH-2012G-NCB001 Gates 188.7 1,236.0 NCB Apr 2013

HLJRH-2012G-NCB002 Canal lining 549.6 3,600.0 NCB Apr 2013

A2.13 Suibin County

HLJSB-2012G-NCB001 Canal lining 279.7 1,832.0 NCB Apr 2013

HLJSB-2012G-NCB002 Bridges and gates 190.1 1,245.0 NCB Apr 2013

HLJSB-2012G-NCB003 Canal and ditch construction

206.0 1,349.0 NCB Apr 2013

A2.14 Wangkui County

HLJWK-2012G-NCB001

Canal lining 395.7 2,592.0 NCB Apr 2013

HLJWK-2012G-NCB002

7 bridges, 9 culverts, and 10 gates

608.1 3,983.0 NCB Apr 2013

A2.15 Dumeng County

HLJDM-2012G-NCB001 Canal and ditch construction

622.9 4,080.0 NCB Apr 2013

HLJDM-2012G-NCB002 8 gates and 12 culverts

195.4 1,280.0 NCB Apr 2013

HLJDM-2012G-NCB003 Farm access roads 189.3 1,240.0 NCB Apr 2013

A2.16 Ning’an County

HLJNA-2012G-NCB001 Canal lining and bridges

415.3 2,720.0 NCB Apr 2013

HLJNA-2012G-NCB002 Canal lining and culverts

286.3 1,875.0 NCB Apr 2013

A2.17 Qing’an County

HLJQA-2012G-NCB001 Canal construction and farm access roads

238.5 1,562.0 NCB Apr 2013

HLJQA-2012G-NCB002 2 bridges and 25 culverts

121.3 794.6 NCB Apr 2013

HLJQA-2012G-NCB003 Land leveling 215.1 1,409.0 NCB Apr 2013

HLJQA-2012G-NCB004 Canal lining 201.5 1,320.0 NCB Apr 2013

A3. Henan Province

A3.1 Kaifeng County

HNKF-2012G-NCB001 50 bridges and 25 culverts

128.7 875.0 NCB May 2013

HNKF-2012G-NCB002 180 tube wells 140.3 954.0 NCB May 2013

HNKF-2012G-NCB003 180 small pump houses

84.7 576.0 Shopping May 2013

HNKF-2012G-NCB004 Concrete farm roads 282.4 1,920.0 NCB May 2013

31

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

HNKF-2012G-NCB005 Farm access roads (sand pavement)

129.4 880.0 NCB May 2013

A3.2 Lankao County

HNLK-2012G-SP001 Canal construction 153.7 1,045.1 NCB May 2013

HNLK-2012G-NCB001 95 bridges 436.1 2,965.5 NCB May 2013

HNLK-2012G-NCB002 140 tube wells and pump houses

185.1 1,258.6 NCB May 2013

HNLK-2012G-SP002 Transformer transmission lines installation

123.3 838.2 NCB May 2013

HNLK-2012G-NCB003 Concrete farm roads 437.9 2,977.9 NCB May 2013

HNLK-2012G-SP003 Land leveling and deep ploughing for about 360-hectare

142.1 966.4 NCB May 2013

HNLK-2012G-NCB004 Greenhouses (7,500 m

2)

99.1 674.2 Shopping May 2013

A3.3 Zhongmu County

HNZM-2012G-NCB001 Canal and ditch construction

97.6 663.6 Shopping May 2013

HNZM-2012G-NCB002 121 bridges and culverts

284.6 1,935.0 NCB May 2013

HNZM-2012G-NCB003 217 tube wells 161.6 1,099.2 NCB May 2013

HNZM-2012G-SP001 10-kV and 380-V transmission lines installation

59.6 405.5 Shopping May 2013

HNZM-2012G-NCB006 Farm access roads 305.5 2,077.2 NCB May 2013

A3.4 Qinyang

HNQY-2012G-NCB001 60 bridges 35.3 240.0 Shopping May 2013

HNQY-2012G-NCB002 140 tube wells 226.5 1,540.0 NCB May 2013

HNQY-2012G-SP002 10-kV and 380-V transmission lines installation

103.4 672.0 NCB May 2013

HNQY-2012G-NCB004 10-km farm access roads

117.6 800.0 NCB May 2013

HNQY-2012G-NCB005 4-km concrete roads 147.1 1,000.0 NCB May 2013

HNQY-2012G-NCB008 Canal lining 264.7 1,800.0 NCB May 2013

A3.5 Mengzhou

HNMZ-2012G-NCB001 145 tube wells 298.5 2,030.0 NCB May 2013

HNMZ-2012G-NCB002 180 pumping houses 105.9 720.0 NCB May 2013

HNMZ-2012G-SP001 Installation of transmission lines

31.5 214.0 Shopping May 2013

HNMZ-2012G-NCB003 Pipe installation 79.9 543.0 Shopping May 2013

HNMZ-2012G-NCB004 Farm access roads 393.2 2,673.6 NCB May 2013

A3.6 Yanjin County

HNYJ-2012G-NCB001 15 bridges 32.0 217.9 Shopping May 2013

HNYJ-2012G-NCB002 110 tube wells 121.2 824.2 NCB May 2013

HNYJ-2012G-NCB004 Transmission lines and transformer installation

145.9 992.1 NCB May 2013

HNYJ-2012G-NCB007 48-km pipes installation

89.0 605.4 Shopping May 2013

HNYJ-2012G-NCB008 Farm access roads 388.8 2,643.8 NCB May 2013

A3.7 Changyuan County

HNCY-2012G-NCB001 34 bridges 131.0 891.0 NCB May 2013

32

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

HNCY-2012G-NCB002 9 gates 75.0 510.0 Shopping May 2013

HNCY-2012G-NCB003 113 tube wells 219.1 1,490.0 NCB May 2013

HNCY-2012G-NCB004 146 pump houses 10.1 69.0 Shopping May 2013

HNCY-2012G-NCB005 Installation of transmission lines

159.7 1,086.0 NCB May 2013

HNCY-2012G-NCB008 Concrete farm roads 524.6 3,567.0 NCB May 2013

A3.8 Qixian County

HNQX-2012G-NCB001 18 bridges and 4 culverts

68.4 465.0 Shopping May 2013

HNQX-2012G-NCB002 60 tube wells and 190 pump houses

111.8 760.0 NCB May 2013

HNQX-2012G-NCB003 Transmission lines and transformer installation

352.9 2,400.0 NCB May 2013

HNQX-2012G-NCB004 70-km low-pressure pipes

72.1 490.0 Shopping May 2013

HNQX-2012G-NCB005 Farm access roads 367.6 2,500.0 NCB May 2013

A3.9 Xinzheng County

HNXZ-2012G-NCB001 Canal and ditch construction

21.2 144.0 Shopping May 2013

HNXZ-2012G-NCB002 24 bridges and 400 culverts

196.5 1,336.0 NCB May 2013

HNXZ-2012G-NCB003 54 tube wells 104.8 712.8 NCB May 2013

HNXZ-2012G-SP001 10-kV and 380-V transmission lines, and transformer installation

56.3 383.0 Shopping May 2013

HNXZ-2012G-NCB007 Farm access roads and ditches

350.2 2,381.5 NCB May 2013

HNXZ-2012G-NCB010 Land leveling 66.8 454.2 Shopping May 2013

A4. Jilin Province

A4.1 Jiutai City

JLJT-2012G-NCB001 Seeding warehouses

250.0 1,700.0 NCB Mar 2013

JLJT-2012G-NCB002 Canals and structures (bridges, gates, and culverts)

886.3 6,027.0 NCB Mar 2013

JLJT-2013G-NCB002 Greenhouses and farm access roads

382.3 2,599.6 NCB Mar 2013

A4.2 Nong’an County

JLNA-2012G-NCB001 26 tube wells and pump houses, and greenhouses

153.9 1,046.2 NCB Mar 2013

JLNA-2012G-NCB002 Farm access roads 232.3 1,579.6 NCB Mar 2013

JLNA-2013G-NCB001 Bridges and culverts 138.7 943.0 NCB Mar 2013

JLNA-2013G-NCB002 42 tube wells and pump houses

177.3 1,205.4 NCB Mar 2013

JLNA-2013G-NCB003 Farm access roads 582.5 3,961.0 NCB Mar 2013

A4.3 Yongji County

JLYJ-2012G-NCB001 Canal lining, 20 bridges, 3 pump stations, and roads

470.4 3,198.4 NCB Mar 2013

33

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

JLYJ-2012G-NCB002 Canal lining, 20 bridges, and 4 culverts

488.8 3,324.1 NCB Mar 2013

A4.4 Lishui County

JLLS-2012G-NCB001 62 tube wells and pump houses

227.9 1,549.4 NCB Mar 2013

JLLS-2012G-NCB002 Farm access roads 737.3 5,013.4 NCB Mar 2013

JLLS-2012G-NCB004 Agriculture demonstration structures

135.9 924.0 NCB Mar 2013

A4.5 Dongfeng County

JLDF-2012G-NCB001 Canal lining 721.9 4,909.0 NCB Mar 2013

JLDF-2012G-NCB003 13 bridges, 11 culverts and 42 gates

408.8 2,780.0 NCB Mar 2013

JLDF-2012G-NCB004 Warehouses and greenhouses

132.4 900.0 NCB Mar 2013

A4.6 Huinan County

JLHN-2012G-NCB001 Bridges, culverts, pump stations, and canal lining

673.2 4,577.5 NCB Mar 2013

JLHN-2012G-NCB002 Bridges, culverts, pump stations, and canal lining

672.2 4,570.9 NCB Mar 2013

A4.7 Liuhe County

JLLH-2013G-NCB001 Water gates 656.8 4,466.5 NCB Mar 2013

JLLH-2013G-NCB002 25 bridges and culverts, and farm access roads

450.0 3,060.0 NCB Mar 2013

A5. Ningxia Hui Autonomous Region

A5.1 Helan County

NXHL-2012G-NCB001 Canals, 137 bridges, 328 gates, 6 flumes, 2 tube wells, and 4.2-km farm access roads

872.3 5,670.0 NCB Apr 2013

NXHL-2011G-NCB001 Canals, 80 bridges, 317 gates and other structures, and pump stations

480.0 3,120.0 NCB Apr 2013

A5.2 Yongning County

NXYN-2011G-NCB001 32 bridges, 3 culverts, 5 flumes, 80 gates and other structures

423.1 2,750.0 NCB Apr 2013

NXYN-2012G-NCB001 53 bridges, 6 culverts, 8 flumes, gates and other structures

781.5 5,080.0 NCB May 2013

NXYN-2012G-NCB002 32,000-m2 facility

agriculture development

246.2 1,600.0 NCB May 2013

34

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

A5.3 Lingwu County

NXLW-2011G-NCB001 Canals, 109 bridges, 8 culverts, 80 gates, 2 flumes, 4-km roads, 30-m

2

pump stations

526.2 3,420.0 NCB Apr 2013

NXLW-2012G-NCB002 Canals, 88 bridges, 4 culverts, 3 flumes, gates and other structures, and 4-km farm access roads

490.2 3,186.0 NCB Apr 2013

NXLW-2012G-NCB001 Canals, 92 bridges, 5 culverts, 1 flume, gates and other structures, and 2-km farm access roads

371.4 2,414.0 NCB Apr 2013

A5.4 Qingtongxia City

NXQT-2011G-NCB001 25 bridges, 2 culverts, 5 flumes, 20 gates and other structures, and pumping stations

209.2 1,360.0 NCB Mar 2013

NXQT-2012G-NCB001 21 bridges, 2 culverts, 4 flumes, gates and other structures, 2-km farm access roads, and pump stations

343.7 2,233.9 NCB Mar 2013

NXQT-2012G-NCB002 20 bridges, 1 culvert, 4 flumes, 7 gates and other structures, 2-km roads, and pump stations

320.9 2,086.1 NCB Mar 2013

A5.5 Wuzhong County

NXWZ-2012G-NCB001 Canals and canal lining, 104 bridges, 200 gates, 4.5-km farm access roads

795.4 5,170.0 NCB Dec 2013

A5.6 Zhongwei County

NXZW-2011G-NCB001 Canals, 53 bridges, 15 flumes, gates and other structures, and 10.5-km farm access roads

484.6 3,150.0 NCB Mar 2013

NXWZ-2011G-NCB001 Canals, 50 bridges, 4 flumes, water gates and other structures, 14-km farm access roads

481.5 3,130.0 NCB Mar 2013

35

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

NXZW-2012G-NCB001 Canals and canal lining, 90 bridges, 22 gates, 24 flumes, and 9-km farm access roads

807.7 5,250.0 NCB Mar 2013

A5.7 Zhongning County

NXZN-2012G-NCB001 79 bridges, 16 culverts, 27 flumes, 9 gates and other structures, and 10-km farm access roads

473.8 3,080.0 NCB Feb 2013

NXZN-2011G-NCB001 47 bridges, 10 culverts, 16 flumes, gates and other structures, and 3-km farm access roads

287.7 1,870.0 NCB Mar 2013

A5.8 Nongken

NXNK-2011G-NCB001 Canal lining, 22 bridges, 1 flume, gates and other structures

212.3 1,380.0 NCB Mar 2013

NXNK-2011G-NCB002 Canals, 9 bridges, 3 culverts, 2 flumes, gates and other structures

189.2 1,230.0 NCB Mar 2013

NXNK-2012G-NCB001 Canals, 36 bridges, 2 flumes, 18 gates and other structures

343.1 2,230.0 NCB Feb 2013

NXNK-2012G-NCB002 Canals, 16 bridges, 8 culverts, 3 flumes, gates and other structures

323.1 2,100.0 NCB Feb 2013

A6. Yunnan Province

A6.1 Yulong County

YNYL-2011G-NCB001 Canals and 28 structures (bridges, culverts, and gates)

220.2 1,497.4 NCB Feb 2013

YNYL-2011G-NCB002 Pumping stations and installation of transmission lines

274.9 1,869.6 NCB Feb 2013

A6.2 Shiping County

YNSP-2011G-NCB001 263 structures (bridges, culverts, and gates) and canal lining

206.9 1,407.1 NCB Feb 2013

YNSP-2011G-NCB002 Farm access roads 141.0 958.6 NCB Feb 2013

36

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

A6.3 Tengchong County

YNTC-2011G-NCB001 Canal construction and lining

279.6 1,901.6 NCB Feb 2013

YNTC-2011G-NCB002 Farm access roads 187.1 1,272.4 NCB Feb 2013

A6.4 Heqing County

YNHQ-2011G-NCB001 Canals and 35 structures (bridges, culverts, and gates)

220.0 1,496.1 NCB Feb 2013

YNHQ-2011G-SP001 Farm access roads 117.4 798.1 NCB Feb 2013

A6.5 Qilin District

YNQL-2011G-NCB001 546 structures (bridges, culverts, and gates) and canal lining

267.3 1,817.7 NCB Feb 2013

YNQL-2011G-NCB002 Installation of transmission lines

11.6 79.1 Shopping Feb 2013

A6.6 Yao’an County

YNYA-2011G-NCB001 Canal lining and 77 structures (bridges, culverts, and gates)

403.8 2,745.7 NCB Feb 2013

YNYA-2011G-NCB002 Farm access roads 13.1 88.9 Shopping Feb 2013

A6.7 Songming County

YNSM-2011G-NCB001 31 structures (bridges, culverts, and gates) and canal lining

399.1 2,713.6 NCB Feb 2013

YNSM-2011G-NCB002 Farm access roads 103.3 671.7 NCB Feb 2013

A6.8 Changning County

YNCN-2011G-NCB001 10-km canals and ditches

102.4 696.3 NCB Feb 2013

YNCN-2011G-NCB002 6-km canal lining 221.6 1,507.2 NCB Feb 2013

YNCN-2011G-NCB003 Farm access roads 102.1 694.4 NCB Feb 2013

A6.9 Zhaoyang County

YNZY-2011G-NCB001 Canals, 19 structures (bridges, culverts, and gates), and 2 small water storages

264.7 1,799.9 NCB Apr 2013

YNZY-2011G-NCB002 Farm access roads 176.3 1,199.1 NCB Apr 2013

A6.10 Eryuan County

YNEY-2011G-NCB001 Canals and canal lining, and 15 structures (bridges, culverts, and gates)

342.4 2,328.0 NCB Apr 2013

YNEY-2011G-NCB002 Farm access roads 204.2 1,388.8 NCB Apr 2013

A6.11 Luxi County

YNLX-2011G-NCB001 Canals and five structures

283.2 1,925.9 NCB Apr 2013

YNLX-2011G-NCB002 Farm access roads 323.0 2,196.2 NCB Apr 2013

YNLX-2011G-SP001 Land leveling 4.8 32.6 Shopping Apr 2013

37

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

B. GOODS

B1. Anhui Province

AH-2011H-NCB001 Office equipment 407.7 2,772.5 NCB Mar 2013

AHV-2011V-NCB001 Vehicles for pest monitoring and maintenance

666.7 4,200.0 NCB Aug 2013

AHFY-2011H-NCB001 Pumps and accessories for wells (Fuyang)

640.3 4,354.0 NCB Mar 2013

AHBZ-2012H-NCB001 Pumps and accessories for wells (Bozhou)

369.7 2,514.0 NCB Mar 2013

AHFY-2011H-NCB002 Transformers 225.6 1,534.0 NCB Aug 2013

AHFN-2011H-SP001 PVC pipes 638.1 4,339.0 NCB Aug 2013

AHFN-2011H-CP001 Young trees for Funan County

29.1 198.0 Shopping Feb 2013

AHJS-2011H-CP001 Young trees for Jieshou City

70.6 480.0 Shopping Feb 2013

AHLQ-2011H-NCB002 Pumps for pumping stations

576.5 3,920.0 NCB Dec 2012

AHLQ-2011H-CP001 Young trees for Linquan County

76.2 518.0 Shopping Feb 2013

AHTH-2011H-SP002 Young trees for Taihe County

74.7 508.2 Shopping Feb 2013

AHYQ-2011H-CP001 Young trees for Yingquan County

114.7 780.0 NCB Feb 2013

AHYZ-2011H-CP001 Young trees for Yingzhou District

51.5 350.0 Shopping Feb 2013

AHMC-2011H-CP001 Young trees for Mengcheng County

72.1 490.5 Shopping Feb 2013

AHGY-2011H-CP001 Young trees for Guoyang County

87.1 592.0 Shopping Feb 2013

B2. Heilongjiang Province

HLJSZ-12H-NCB001 Office equipment 229.0 1,500.0 NCB Mar 2013

HLJSZ-12V-NCB001 Vehicles for pest monitoring and maintenance

952.4 6,000.0 NCB Aug 2013

HLJSZ-2012H-NCB002 Management information system

763.4 5,000.0 NCB Mar 2013

HLJ-2012H-NCB001 Farming machinery 775.3 5,078.0 NCB Mar 2013

HLJ-2012H-NCB002 Facility agricultural equipment

465.0 3,046.0 NCB Mar 2013

HLJ-2012H-NCB003 Sprinkler equipment 503.8 3,300.0 NCB Mar 2013

HLJ-2012H-NCB001 Nursing equipment 152.7 1,000.0 NCB Mar 2013

HLJ-2012H--NCB001 Laboratory instruments

158.5 1,038.0 NCB Mar 2013

HLJHL-2012H-SP003 Yong trees 68.7 450.0 Shopping Mar 2013

HLJHN-2012H-SP001 Cables and transformers

45.8 300.0 Shopping Mar 2013

HLJQA-2012H-SP001 Pumps 12.2 80.0 Shopping Mar 2013

B3. Henan Province

HN-2011H-NCB001 Vehicle for pest monitoring and maintenance

8,09.5 5,100.0 NCB May 2013

38

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

HN-2011H-NCB002 Office equipment 247.1 1,680.0 NCB May 2013

HN-2011H-NCB003 1,129 deep-water pumps

417.6 2,840.0 NCB May 2013

HN-2011H-NCB004 486 spiral pumps 355.9 2,420.0 NCB May 2013

HN-2011H-NCB005 Transmission lines 926.5 6,300.0 NCB May 2013

HN-2011H-NCB006 PVC pipes 441.2 3,000.0 NCB May 2013

HN-2011H-NCB009 91 transformers 557.4 3,790.0 NCB May 2013

HN-2011H-NCB010 Young trees for Xinzheng County

16.2 110.0 Shopping May 2013

HN-2011H-NCB011 Young trees for Zhongmu County

29.4 200.0 Shopping May 2013

HN-2011H-NCB012 Young trees for Kaifeng County

58.8 400.0 Shopping May 2013

HN-2011H-NCB013 Young trees for Lankao County

66.2 450.0 Shopping May 2013

HN-2011H-NCB014 Young trees for Qixian County

61.8 420.0 Shopping May 2013

HN-2011H-NCB015 Young trees for Changyuan County

49.1 334.0 Shopping May 2013

HN-2011H-NCB016 Young trees for Yanjing County

44.1 300.0 Shopping May 2013

HN-2011H-NCB017 Young trees for Qingyang County

13.2 90.0 Shopping May 2013

B4. Jilin Province

JL-H-2012-NCB001 Office equipment 536.2 3,646.4 NCB Mar 2013

JL-H-2012-NCB002 Vehicles for pest monitoring and maintenance

904.8 5,700.0 NCB May 2013

JL-H-2012-NCB003 Farming machinery 1,360.7 9,252.5 NCB Mar 2013

JLJT-2012H-SP001 Young trees for Jiutai City

51.5 350.0 Shopping Mar 2013

JLJT-2013H-NCB001 Sprinkler equipment and other equipment for Jiutai City

114.7 780.0 NCB Mar 2013

JLNA-2012H-SP001 Young trees for Nong‘an County

39.0 265.0 Shopping Mar 2013

JLNA-2012H-SP001 Pumps for Nong‘an County

97.8 665.0 Shopping Mar 2013

JLYJ-2012H-SP001 Young trees for Yongji County

54.4 370.0 Shopping Mar 2013

JLYJ-2012H-SP002 Water measurement instrument for Yongji County

132.4 900.0 NCB Mar 2013

JLLS-2012H-NCB001 Pumps and diesel motors for Lishui County

317.1 2,156.1 NCB Mar 2013

JLDF-2012H-SP001 Young trees for Dongfeng County

52.9 360.0 Shopping Mar 2013

JLHN-2012H-NCB001 Pumps for Huinan County

121.4 825.6 NCB Mar 2013

JLHN-2012H-SP002 Nursing equipment for Huinan County

34.8 236.7 Shopping Mar 2013

JLLH-2012H-SP001 Young trees for Liuhe County

88.2 600.0 Shopping Mar 2013

39

Contract Reference Description

Contract Value

($‘000)

Contact Value

(CNY‘000)

Procure-ment

Method

Expected Date of

Advertise-ment Comments

B5. Ningxia Hui Autonomous Region

NXQZ-2011H-NCB003 Pumps and cables for Helan, Qingtongxia and Linwu counties

426.2 2,770.0 NCB Feb 2013

NXQZ-2011H-NCB002 Office equipment 264.6 1,720.0 NCB Feb 2013

NXQZ-2012V-NCB001 Vehicles for pest control and maintenance

777.8 4,900.0 NCB Aug 2013

NXZN-2011H-NCB001 Sprinkler equipment 461.5 3,000.0 NCB Feb 2013

NXLW-2011H-NCB001 Monitoring instruments

173.8 1,130.0 NCB Feb 2013

NXZW-2012H-SP002 Greenhouse equipment and materials

86.2 560.0 Shopping Apr 2013

NXZN-2012H-SP001 Transformers and transmission lines

70.8 460.0 Shopping Mar 2013

NXHL-2011H-SP001 Pumps 35.4 230.0 Shopping Mar 2013

NXNK-2011H-SP003 Young tress for Nongken

20.0 130.0 Shopping Mar 2013

NXWZ-2011H-SP002 Young trees for Wuzhong County

18.5 120.0 Shopping Mar 2013

NXZW-2011H-SP004 Office equipment for farmer professional associations

18.5 120.0 Shopping Aug 2013

B6. Yunnan Province

YNSZ-2011H-NCB002 Office equipment 403.0 2,740.6 NCB Feb 2013

YNSZ-2012V-NCB001 Vehicles for operation and maintenance

888.9 5,600.0 NCB Aug 2013

YN-2011H-SP001 Monitoring instruments

22.1 150.0 Shopping Feb 2013

YNSP-2011H-NCB001 Low-pressure pipes 170.2 1,157.5 NCB Feb 2013 YNSP-2011H-SP001 Farm machinery 61.8 420.0 Shopping Mar 2013

YNQL-2011H-SP001 Pumps and motors 83.1 565.0 Shopping Mar 2013

YNYL-2011H-SP002 Transformers and transmission lines

60.4 410.6 Shopping Mar 2013

YNSM-2011H-SP002 Young trees for Songming County

12.7 86.6 Shopping Mar 2013

YNEY-2011H-SP002 Young trees for Eryuan County

14.3 97.4 Shopping Apr 2013

ADB = Asian Development Bank, ICB = international competitive bidding, km = kilometer, kV = kilovolt, m2 = square

meter, NCB = national competitive bidding, PVC = polyvinyl chloride, V = volt. Source: ADB estimates.

2. Indicative List of Packages Required Under the Project (beyond 18 months)

41. The following table provides an indicative list of all procurement of civil works and goods over the life of the project for which procurement activities are either ongoing or expected to commence within the next 18 months.

40

No. Contract Reference and/or Description

Estimated Value

($‘000)

Estimated No. of

Contracts

Comments Procurement

Method

A. CIVIL WORKS

A1 Anhui Province

Canals, bridges, and gates 10,335.5 16 NCB Farm access roads

7,879.9 16 NCB

Rural Installation of transmission lines 40.0 4 Shopping

Land leveling

250.0 4 Shopping

Deep ploughing

181.3 6 Shopping

Straw processing to farmland 1,424.0 various Community Participation

A2 Heilongjiang Province

Canal system 11,618.0 34 NCB

Farm access roads 3,653.5 17 NCB

Tube wells and pumping stations 2,100.0 17 NCB

Quality seed base 700.0 10 NCB

Greenhouses 978.0 10 NCB

Land leveling 340.0 6 Shopping

Rural transmission lines 152.7 6 Shopping

A3 Henan Province

Rural transmission lines 2,360.6 27 Shopping

Low pressure pipelines 681.4 14 Shopping

Farm access roads 5,979.0 27 NCB

Canal structures 2,971.2 18 NCB

Tube wells and pumping stations 2,755.9 18 NCB

Greenhouses 1,557.8 10 NCB

A4 Jilin Province

Canals, bridges, and gates 7,972.1 20 NCB

Farm access roads 3,283.1 13 NCB

Tube wells and pumping stations 622.0 10 NCB

Seed warehouses and greenhouses 565.1 8 Shopping

Land leveling 300.0 6 Shopping

Quality seed base 98.6 2 Shopping

A5 Ningxia Hui Autonomous Region

Canal system 6,497.5 16 NCB

Water-saving projects 6,334.3 10 NCB

Farm access roads 2,657.0 16 NCB

Tube wells and pumping stations 300.0 2 Shopping

Greenhouses 458.0 3 Shopping

Rural transmission lines 660.0 8 Shopping

Land leveling 180.0 4 Shopping

A6 Yunnan Province

Water-saving projects 11,366.7 24 NCB

Farm access roads 6,469.7 24 NCB

Canal system 7,024.6 24 NCB

Pumping stations 150.5 2 Shopping

Greenhouses 985.2 12 Shopping

Land leveling 240.0 12 Shopping

41

No. Contract Reference and/or Description

Estimated Value

($‘000)

Estimated No. of

Contracts

Comments Procurement

Method

B. GOODS

B1 Anhui Province

Office equipment 844.5 2 NCB

Transmission lines and transformers 391.5 10 NCB

Equipment for tube wells 1,419.3 16 NCB

PVC pipes 899.1 10 NCB

Saplings 846.9 16 NCB

Monitoring equipment

5.9 1 Shopping

B2 Heilongjiang Province

Farming machinery 978.8 7 NCB

Sprinkler irrigation equipment 453.5 2 NCB

Office equipment 244.3 1 NCB

Nursery equipment

338.0 2 NCB

Greenhouse equipment 165.4 2 NCB

Laboratory and IPM equipment 152.7 2 Shopping

Transmission lines and transformers

176.8 2 Shopping

Pumps 89.0 1 Shopping

Saplings 700.0 2 Shopping

B3 Henan Province

PVC pipes 1,606.1 2 NCB

Transformers 1,042.4 2 NCB

Rural transmission lines 1,674.6 3 NCB

Pumps 752.2 3 NCB

Low-pressure pipes 1,194.7 2 NCB

Sprinkler and drip irrigation equipment 96.0 1 Shopping

Keyboards 89.0 2 Shopping

Soft PVC pipes 76.0 1 Shopping

Steel frames 81.8 2 Shopping

Electronic motors 87.0 1 Shopping

Saplings 908.0 18 Shopping

B4 Jilin Province

Office equipment 536.2 2 NCB

Harvesters and tractors 1,560.7 2 NCB

Monitoring and laboratory equipment 172.0 2 NCB

Sprinkler irrigation equipment 214.7 1 NCB

Pumps 617.0 3 NCB

Drip irrigation equipment 89.0 1 Shopping

Saplings 442.7 8 Shopping

Nursery equipment 69.6 1 Shopping

B5 Ningxia Hui Autonomous Region

Water-saving projects 736.0 4 NCB

Greenhouses 669.0 5 NCB

Farming machinery 900.0 3 NCB

Office equipment

120.0 2 Shopping

Rural transmission lines 95.0 2 Shopping

IPM equipment 83.6 1 Shopping

Pumping station equipment 94.2 1 Shopping

Saplings 753.6 12 Shopping

42

No. Contract Reference and/or Description

Estimated Value

($‘000)

Estimated No. of

Contracts

Comments Procurement

Method

B6 Yunnan Province

Office equipment 150.0 1 NCB

Farming machinery 600.0 2 NCB

Low-pressure pipes 500.0 3 NCB

Greenhouses 400.0 3 Shopping

IPM equipment 80.0 1 Shopping

Pumping station equipment 76.0 3 Shopping

Transformers 50.0 2 Shopping

Saplings 500.0 10 Shopping

ADB = Asian Development Bank, IPM = integrated pest management, NCB = national competitive bidding, PVC = polyvinyl chloride. Source: ADB estimates.

3. National Competitive Bidding

42. The borrower‘s Law of Tendering and Bidding of the People‘s Republic of China, promulgated by Order No. 21 of the President of the People‘s Republic of China on 30 August 1999, is subject to the following clarifications required for compliance with the Guidelines:

(i) All invitations to prequalify or to bid shall be advertised in the national press, or official gazette, or through a free and open access website in the borrower‘s country. Such advertisement shall be made in sufficient time for prospective bidders to obtain prequalification or bidding documents, and prepare and submit their responses. In any event, a minimum preparation period of thirty (30) days shall be given. The preparation period shall count (a) from the date of advertisement; or (b) when the documents are available for issue, whichever date is later. The advertisement and the prequalification and bidding documents shall specify the deadline for such submission.

(ii) Qualification requirements of bidders and the method of evaluating the qualification of each bidder shall be specified in detail in the bidding documents; and in the prequalification documents, if the bidding is preceded by a prequalification process.

(iii) If bidding is preceded by a prequalification process, all bidders that meet the qualification criteria set out in the prequalification document shall be allowed to bid; and there shall be no limit on the number of pre-qualified bidders.

(iv) All bidders shall be required to provide a performance security in an amount sufficient to protect the borrower and/or the project executing agency in case of breach of contract by the contractor, and the bidding documents shall specify the required form and amount of such performance security.

(v) Bidders shall be allowed to submit bids by mail or by hand. (vi) All bids shall be opened in public; all bidders shall be afforded an opportunity to

be present (either in person or through their representatives) at the time of bid opening, but bidders shall not be required to be present at the bid opening.

(vii) All bid evaluation criteria shall be disclosed in the bidding documents and quantified in monetary terms or expressed in the form of pass or fail requirements.

(viii) No bid may be rejected solely on the basis that the bid price falls outside any standard contract estimate, or margin or bracket of average bids established by the borrower and/or the project executing agency.

43

(ix) Each contract shall be awarded to the lowest evaluated responsive bidder; that is, the bidder who meets the appropriate standards of capability and resources; and whose bid has been determined (a) to be substantially responsive to the bidding documents, and (b) to offer the lowest evaluated cost. The winning bidder shall not be required, as a condition of award, to undertake responsibilities for work not stipulated in the bidding documents; or otherwise, to modify the bid as originally submitted.

(x) Each contract financed with the proceeds of the loan shall provide that the suppliers and contractors shall permit ADB, at its request, to inspect their accounts and records relating to the performance of the contract, and to have said accounts and records audited by auditors appointed by ADB.

(xi) Government-owned enterprises in the borrower‘s country may be permitted to bid if they can establish that they (a) are legally and financially autonomous, (b) operate under commercial law, and (c) are not a dependent agency of the borrower and/or the project executing agency.

(xii) Re-bidding shall not be allowed solely because the number of bids is less than three (3).

VII. SAFEGUARDS

A. Environment 43. The project has been classified by ADB as category B and an initial environmental examination and consolidated environmental management plan (EMP) have been prepared by SOCAD following the requirements of ADB‘s Safeguard Policy Statement (2009). These documents are consistent with and complement the domestic environmental impact assessment (EIA) report that meets the requirements of the PRC‘s Environmental Impact Assessment Law (2003) and relevant regulations.18 44. The environmental analysis focused on the following issues: (i) water availability; (ii) irrigation water quality; (iii) lake eutrophication; (iv) pollution prevention, public health, and biodiversity protection; (v) physical and cultural resources; (vi) involuntary resettlement and economic displacement; and (vii) indigenous peoples. The environmental assessment confirmed that the project will generate multiple environmental benefits. The major anticipated environmental benefits will include (i) water savings from existing irrigated lands, (ii) reduced use of agrochemicals per hectare, (iii) reduced soil loss and improved soil quality, (iv) reduced salinization and waterlogging, (v) recovery of plastic mulch, and (vi) increased climate resilience. 45. No major adverse impacts were identified. Construction and rehabilitation works are small and relatively simple. Some counties may increase overall water use, which are all located in areas where water resources are more abundant. Groundwater will only be used in areas where sufficient recharge is available, and a detailed monitoring program will be implemented. No project activities will be carried out in environmentally sensitive areas. It is expected that all impacts will be prevented or minimized to an acceptable level through implementation of the EMP and environmental monitoring program. 46. A consolidated EMP has been prepared. The EMP includes a detailed description of the potential environmental impacts and mitigation measures, environmental monitoring program,

18

Government of the People‘s Republic of China, National People‘s Congress. 2003. Environmental Impact Assessment Law of the People’s Republic of China. Beijing.

44

public consultation program, reporting and supervision, feedback and adjustment mechanism, and institutional responsibilities. They are designed to fit into the PRC‘s existing environmental management system. B. Indigenous Peoples 47. The project is classified as category B. According to preliminary screening, about 16 counties in Heilongjiang, Jilin, and Yunnan provinces and the Ningxia Hui Autonomous Region have sizeable ethnic minority populations in the project area and among the project beneficiaries. Based on the social assessment, the project is not expected to have significant negative impacts on ethnic minorities. Of the project beneficiaries, around 50% in the Yunnan Province and 30% in the Ningxia Hui Autonomous Region are ethnic minorities. Detailed screening will be done before or in early stages of project implementation. ADB‘s safeguard for indigenous peoples in the Safeguard Policy Statement (2009) will be triggered by the presence of ethnic minority communities in project areas. 48. ADB‘s Safeguard Policy Statement (2009) requires that ethnic minority development plans (EMDP) be prepared for those project sites with ethnic minorities among the beneficiaries or affected persons of the project. SOCAD, through POCADs and the county governments, ensured that ADB‘s safeguard for indigenous peoples will be followed during project implementation. The EMPDs have to be prepared for each county where ethnic minorities are among the beneficiaries or affected persons of the project. It has to be noted that the EMDP should be commensurate with the impact of the project in the county. 49. The detailed design of the project components will be prepared when the county PMOs get ready for their implementation, so subprojects or components will be prepared after Board approval. Therefore, it is not yet possible for the implementing agencies to prepare the EMDPs. Instead, an ethnic minority planning framework has been prepared following ADB‘s Safeguard Policy Statement (2009). The framework explains under which conditions an EMDP has to be prepared, and specifies the detailed screening process, procedural requirements, outline of the EMDP, monitoring, and grievance redress mechanism. Measures will be designed to ensure that the ethnic minorities among the beneficiaries have been consulted, can fully participate, and derive benefits in a culturally appropriate manner. Special emphasis will be placed on ethnic minority participation during the FPA and WUA formulation, and in the provision of training and extension services. 50. The grievance redress procedure involves four possible steps to reach a solution, including submission of grievance to (i) the village committee, (ii) the county government, (iii) the provincial PMO, and (iv) the relevant government authorities (level by level). In addition, grievances could also be submitted to the external monitoring agency or to ADB following ADB‘s Accountability Mechanism.19 A final recourse would be through the courts. 51. SOCAD, through POCADs and the county governments, will ensure for counties that require EMDP that

(i) EMDPs are prepared following the procedures in the ethnic minority planning framework and submitted to ADB for review and concurrence prior to the commencement of the relevant subprojects;

(ii) EMDPs are implemented following their terms;

19

For further information see: http://compliance.adb.org/.

45

(iii) targeted ethnic minorities benefit from the project at least equitably and in a culturally appropriate manner;

(iv) civil works contractor specifications include requirements to comply with the EMDPs and provide employment to ethnic minority people with priority;

(v) adequate staff and resources are committed to supervising and monitoring the implementation of the EMDPs and reporting progress to ADB through the quarterly progress reports;

(vi) an independent agency acceptable to ADB is engaged to monitor and evaluate progress and to forward reports to ADB semiannually until the completion of the project; and

(vii) monitoring reports include data disaggregated by ethnic group and gender, and assessment of gender impacts.

C. Resettlement 52. There is a potential of numerous small land acquisition impacts under the project; but overall, the project will have significant impact to very few, if any, households. The project is therefore classified as category B. Possible resettlement impacts in subprojects have been initially screened for permanent farmland acquisition, temporary farmland occupation, and demolition of all types of assets such as houses, trees, tombs and facilities, etc. (numbers and types), and redistribution of farmland use rights. Land ownership is not changed in most of the subprojects that include resettlement impacts. Initial screening of project sites for resettlement impacts indicates that (i) there would be little permanent land loss, and (ii) no house demolition will be necessary. Detailed screening will be done before or in early stages of the project implementation to identify impacts and determine whether a resettlement plan needs to be prepared. All impacts (canals and ditches, farm access roads, tube wells, etc.) will be within the villages on land that remains under village ownership, so no formal land acquisition will be necessary. The impact of land loss, temporary or permanent, to each affected household will be minor, as construction will mainly upgrade and use existing structures. Most land that will be needed temporarily or permanently for the project will be compensated through land adjustments in the villages. 53. ADB‘s safeguard on involuntary resettlement in the Safeguard Policy Statement (2009) will be triggered by permanent loss of land from legal title holders, but also by temporary land losses. The Safeguard Policy Statement (2009) requires resettlement plans to be prepared for those project sites with land acquisition and resettlement impacts. 54. A resettlement framework and two draft resettlement plans have been prepared. The framework explains under which conditions a resettlement plan has to be prepared. The framework specifies the detailed screening process, procedural requirements, outline of the resettlement plan, monitoring, and grievance redress mechanism. Resettlement plans should be commensurate with the losses due to the project activities incurred by affected persons in the county. 55. SOCAD, through POCADs and the county governments, will ensure for counties that require resettlement plan that

(i) the resettlement plan is implemented in accordance with its terms; (ii) all land and rights–of–way required by the project are made available in a timely

manner;

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(iii) the provisions of the resettlement plan, including compensation and entitlements for affected persons, are implemented following all the borrower‘s applicable laws and regulations, and ADB‘s Safeguard Policy Statement (2009);

(iv) the timely provision of counterpart funds is made for land acquisition and resettlement activities;

(v) compensation, including land adjustments in the villages, is given to the affected persons prior to dispossession;

(vi) the affected persons are at least as well off as they would have been in the absence of the project;

(vii) resettlement plans are prepared following the resettlement framework for counties that require land acquisition according to ADB‘s Safeguard Policy Statement (2009), upon the completion of detailed design and are updated to reflect any significant changes in the project scope or other areas, and submit any such changes to ADB for its concurrence;

(viii) civil works contractor specifications include requirements to comply with the resettlement plan and entitlements for permanent and temporary impacts to affected persons, and supervise the contractors to ensure compliance with requirements of the resettlement plans;

(ix) adequate staff and resources are committed to supervising and internally monitoring the implementation of the resettlement plan and providing ADB with key information in the quarterly progress reports during resettlement implementation and in the resettlement completion report;

(x) an independent agency acceptable to ADB is engaged to monitor and evaluate progress and to forward reports to ADB semiannually until the completion of resettlement;

(xi) monitoring reports include data disaggregated by gender and assessment of gender impacts; and

(xii) update the two resettlement plans upon the completion of detailed designs and measurement surveys, revise the resettlement plans as necessary to reflect any significant changes in the project scope or other areas, and submit any such changes to ADB for its concurrence.

D. Social Safeguards Screening and Approval Procedures 56. For each subproject, screening for the impacts on ethnic minorities and/or resettlement should be carried out by the city and/or county PMO. If the screening determines that a subproject has impacts, either positive or negative, on ethnic minorities, an EMDP shall be prepared by the city and/or county PMO and approved by ADB; if the screening determines that there will be resettlement impacts, a resettlement plan shall be prepared by the city and/or county PMO and approved by ADB before the commencement of the subproject. The following diagram shows the screening and approval procedures.

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1. CPMO screens the subproject on resettlement and ethnic minority impacts

(using the subproject screening forms in Annex 1 of the RF and EMPF)

2. CPMO, through PPMO, submits the subproject screening forms to NPMO

3. NPMO submits the screening forms to ADB for review and approval

If no RP or EMDP required

4. ADB reviews and approves the screening forms

If a RP and/or an EMDP required

5. CPMO prepares subproject RP and/or EMDP

(see detailed requirements in the RF and EMPF)

6. CPMO, through PPMO submit the subproject RP and/or EMDP to NPMO for review

7. NPMO submits the subproject RP and/or EMDP to ADB for review and approval

8. ADB reviews and approves the subproject RP and/or EMDP

Social Safeguards Screening and Approval

Commence the subproject

ADB = Asian Development Bank, CPMO = city and/or county project management office, EMDP = ethnic minority development plan, EMPF = ethnic minority planning framework, NPMO = national project management office, PPMO = provincial project management office, RF = resettlement framework, RP = resettlement plan. Source: ADB.

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VIII. GENDER AND SOCIAL DIMENSIONS

57. Gender. A gender analysis was carried out during project preparation, and the project supports effective gender mainstreaming. The main gender issues in the rural PRC and the project area are women‘s participation in decision making; and increasing workloads due to the exit of many men and young people for better job opportunities, leaving women and older persons on the farm. More than 50% of the farmers in the project area are female, and the overall quality of the infrastructure in the project area is relatively poor. The project, by improving irrigation and drainage infrastructure, will reduce the workload, particularly for female farmers; increase their income; and promote their development. 58. A gender action plan (GAP) has been developed to ensure women‘s rights, interests, and participation while maximizing their contribution to the project. The features of the proposed gender design correspond to the project outputs and focus on (i) encouraging the participation of women in the establishment and strengthening of FPAs and WUAs; (ii) women‘s capacity development through training, including training on pollution-free and organic agriculture; and (iii) women‘s economic empowerment. COCADs, POCADs, and SOCAD will ensure to effectively implement and monitor gender-related activities and actions; and collect gender-disaggregated data during project implementation. The project includes a special focus on the support of women, as ―feminization‖ of agriculture becomes increasingly common across the rural PRC in areas with high out-migration of men to off-farm jobs. Because rural women are busy with both farming and the household chores, they have little chance to learn new technologies necessary to reduce their heavy labor burden and to improve their livelihoods. The GAP, therefore, includes provisions to ensure their skills development. 59. Other social dimensions. The project documents contain assurances that the project will respect labor standards, relevant regulations and best practices regarding labor, and other relevant issues. The project will provide labor opportunities with specific attention to vulnerable groups, ethnic minorities, and the poor among the beneficiaries and affected persons. Particular attention is given to consultation and participation, particularly with the poor, other vulnerable groups, women, and ethnic minorities. Key features of consultation and participation processes, particularly on participation in decision making and of economic empowerment, are FPAs and WUAs. FPAs will enhance capacity of farmers, improve input provision, and enhance market linkages, thus enabling a value-chain orientation of agricultural production. WUAs will take responsibility for O&M and water use management.

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GENDER ACTION PLAN

Gender Equality Component Outputs and/or Activities Targets Responsibilities

Time Frame for Implementation

1. Project Component: Improved Irrigation and Drainage Infrastructure

Gender-balanced information disclosure and participation

Project information will be disclosed to women. Consultation with the women on project implementation

Women beneficiaries will be informed about opportunities to access project funds, technical advice, training, and employment opportunities. Women will be consulted about how irrigation and drainage infrastructure will be made more beneficial to them.

Information will be provided by COCADs.

Early during implementation

Employment Employment opportunities will be made equally accessible to both women and men.

At least 50% of employment opportunities created under the project will be taken up by women.

COCADs will monitor, and contractors will be made to ensure.

During implementation

Capacity and skills development

Women will have equal access to all training programs. Programs will contain gender-sensitive curricula.

About 50% or more of training opportunities will be provided to women. At least 1/3 of the training sites will be selected in the local communities and at times sensible to enable active participation of both men and women. Women will be consulted about how capacity development content will be adapted to their needs.

COCADs will monitor curricula and women‘s participation.

During implementation of capacity development planning and activities

Participation of women

Women will participate equally in the strengthening and/or formation of all WUAs.

About 35% or more women participating in WUAs, with relevant participation in the WUA management bodies.

COCADs will monitor women‘s participation.

During implementation

2. Project Component: Improved Irrigated Agriculture

Gender-balanced information disclosure and participation

Project information will be disclosed to women. Consultation with the women on project implementation

Women beneficiaries will be informed about opportunities to access project funds, technical advice, training, and employment opportunities. Women will be consulted about how irrigated agriculture will be made more beneficial to them.

Information will be provided by COCADs.

Early during implementation

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Gender Equality Component Outputs and/or Activities Targets Responsibilities

Time Frame for Implementation

Employment Employment opportunities will be made equally accessible to both women and men.

At least 50% of employment opportunities created under the project will be taken up by women.

COCADs will monitor, and contractors will be made to ensure.

During implementation

Capacity and skills development

Women will have equal access to all training programs. Programs will contain gender-sensitive curricula.

At least 50% of training opportunities will be provided to women. At least 1/3 of the training sites will be selected in the local communities and at times sensible to enable active participation of both men and women. Women will be consulted about how capacity development content will be adapted to their needs.

COCADs will monitor curricula and women‘s participation.

During implementation of capacity development planning and activities

Participation of women

Women will participate equally in the strengthening and/or formation of all FPAs.

About 35% or more women will be participating in FPAs, with relevant participation in the FPA management bodies.

COCADs will monitor women‘s participation.

During implementation

3. Project Component: Improved Project Management

Strengthen gender awareness among project staff

Staff training includes gender awareness and the GAP.

Staff training curricula for 6 POCADs and 69 COCADs include capacity enhancement measures for gender awareness and the GAP implementation.

ACWF and/or NGO in the provinces

Early during implementation

Enhance the ACWF‘s role

Effective implementation and monitoring of gender-related activities and actions

Three or more provincial and six or more county and/or village ACWF offices will be upgraded by providing staff training on leadership and thematic skills related to community empowerment, ethnic minorities (where applicable), and gender issues. The county ACWF chairwoman will be a member of the county-level project leading group.

ACWF and/or NGO in the provinces COCADs will monitor ACWF involvement.

Early during implementation, financing unclear

Ensure women‘s rights in project decision making and implementation

Women‘s economic and political empowerment on the community level

At least 30% female representatives should run for village council elections to ensure consultation and participation during project decision making and implementation.

COCADs will periodically monitor the indicators. Female representatives in the village will participate in M&E annually.

During implementation

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Gender Equality Component Outputs and/or Activities Targets Responsibilities

Time Frame for Implementation

Sex- disaggregated M&E

Gender-sensitive indicators will be included in the project M&E system.

Gender-sensitive indicators will be set up in areas such as access to technical advice and training, employment and income, and women‘s representation in decision making.

Project performance monitoring and reports by the COCADs

During implementation

ACWF = All-China Women‘s Federation, COCAD = city and/or county office for comprehensive agricultural development, FPA = farmer professional association, GAP = gender action plan, M&E = monitoring and evaluation, NGO = nongovernment organization, POCAD = provincial office for comprehensive agricultural development, WUA = water users association. Source: Asian Development Bank.

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IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION

A. Project Design and Monitoring Framework Design Summary

Performance Indicators and Targets with Baselines

Monitoring Mechanisms

Assumptions And Risks

Impact Enhanced food security in the PRC

Grain output in Anhui, Heilongjiang, Henan, and Jilin provinces increased from 500,700 tons in 2009 to 662,700 tons in 2020; and in the Ningxia Hui Autonomous Region and the Yunnan Province from 162,300 tons in 2009 to 211,300 tons in 2020 in the project area Average per capita income for farmers increased by 11% from CNY3,614 in 2010 to CNY4,012 in 2020 in constant 2010 values in the project area

County, provincial, and national economic records and annual statistics

Assumption The government continues to support the CAD program and pursues inclusive development policies.

Outcome Increased agricultural productivity in the project area

Grain yields increased by 27% from 5.74 tons/ha in 2010 to 7.31 tons/ha by 2018, cash crop yields (excluding vegetables) by 27% from 1.90 tons/ha in 2010 to 2.41 tons/ha by 2018, and vegetables by 27% from 25.2 tons/ha in 2010 to 32.0 tons/ha by 2018 Overall irrigation water use efficiency increased from 40% in 2010 to 45% by 2018 for surface water irrigation systems, and from 60% in 2010 to 75% by 2018 for groundwater irrigation systems

County, provincial, and national economic records and annual statistics Water resource bureaus‘ statistics Project performance monitoring and progress reports by the PMO Project completion and evaluation reports

Assumptions Farmers are willing to participate and take over O&M of irrigation works. Maintenance of irrigation and drainage systems is inadequate.

Crop production is economically viable. Counterpart funds are available on time. Risk Farmers lack access to appropriate farming technologies and marketing skills after irrigation and drainage systems are improved.

Outputs 1. Improved

irrigation and drainage infrastructure

By 2018: Drainage of about 117,000 ha land improved Surface water irrigation upgraded and/or completed in 56,588 ha Groundwater irrigation systems developed or improved in 41,183 ha

Project progress reports County and provincial water resource bureaus‘ records

Assumption Farmers actively participate in the design, implementation, and management of irrigation and drainage infrastructure. Risks Groundwater overdraft in some locations.

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Design Summary

Performance Indicators and Targets with Baselines

Monitoring Mechanisms

Assumptions And Risks

2. Improved

agricultural support

3. Improved

project management

Water-saving technology introduced in 74,495 ha About 68 WUAs formed or strengthened, with at least 35% female participation as WUA members and as WUA committee members About 50% or more of employment opportunities created under the project taken up by women By 2018: Soil improvement implemented in 67,138 ha 1,866 km of farm access roads improved Improved mechanized farming from 74% of farmers in 2010 to over 80% Establishment and strengthening of 117 FPAs, with at least 35% female participation as FPA members and as FPA management committee members Farmers‘ farming skills improved by provision of 16,904 person-months of training, with at least 50% female participation 50% or more of employment opportunities created under the project taken up by women By 2018: Implementation and management capacity of the executing and implementing agencies improved through training Integrated management information system for the project established and operational

County and provincial annual statistics WUAs‘ monitoring and evaluation records

ADB review missions Project progress reports County and provincial annual statistics FPAs‘ records and reports ADB review missions Project progress reports Training evaluation records ADB review missions

WUAs‘ weak capacity and unsustainability. Assumption Farmers are receptive to improved technologies and participate in farmer organizations. Risk Agricultural support to farmers is insufficient. Assumption Provinces and counties retain CAD staff at required levels and qualifications. Risks The capacity of the county implementing agencies is weak. Ability to handle ADB‘s safeguards requirements.

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Activities with Milestones 1. Improved Irrigation and Drainage Infrastructure 1.1. Upgrade and construct surface water irrigation systems

in 56,588 ha by end 2017 1.2. Upgrade and construct groundwater irrigation systems

in 41,183 ha by end 2017 1.3. Implement water-saving innovations in 74,495 ha

between 2013 and 2018 1.4. Upgrade and construct drainage systems in about

117,000 ha by 2018 1.5. Establish or strengthen 68 WUAs and conduct training

by 2018 2. Improved Agricultural Support 2.1. Establish and/or strengthen 117 FPAs and conduct

training during 2013–2018 2.2. Implement soil improvement program, including land

leveling, soil test and analysis, and/or salinity mitigation in 67,138 ha by mid-2018

2.3. Construct and improve 1,866 km of farm access roads by mid-2018

2.4. Implement improved agricultural practices, including quality seed storage warehouses, and seed drying and packaging areas by 2018

2.5. Provide agricultural machinery for field cultivation and harvest activities by 2018

2.6. Plant 2,855 ha of farm shelterbelt trees, and promote straw processing in 34,800 ha by 2018

2.7. Train farmers on advance farming technologies by 2018 2.8. Undertake demonstrations of modern agricultural

production, including greenhouse demonstrations and organic agriculture by 2018

3. Improved Project Management 3.1. Develop project management information system by

2014 3.2. Procure office equipment for the PMOs during 2013–

2015 3.3. Provide training for the PMOs and relevant staff during

2013–2017 3.4. Prepare and implement resettlement plans as required

during 2013–2017 3.5. Prepare EMDPs as required, and implement EMDPs,

gender action plan, and related measures during 2013–2018

3.6. Conduct regular monitoring and evaluation activities during 2013–2018

Inputs ADB: $200.00 million

Item Amount ($ million)

Civil works Equipment and materials Training and study tours FPAs and WUAs (equipment and training) Contingencies

138.29 52.70 5.95

1.15 1.91

National government: $8.16 million

Item Amount ($ million)

Financing charges during implementation

8.16

Provincial and county governments: $119.86 million

Item Amount ($ million)

Civil works Research and monitoring Training and study tours Consulting services Contingencies

50.72 23.34 6.19 0.70

38.91

Beneficiaries: $26.81 million

Item Amount ($ million)

Civil works Contingencies

22.72 4.09

ADB = Asian Development Bank, CAD = comprehensive agricultural development, EMDP = ethnic minority development plan, FPA = farmer professional association, ha = hectare, km = kilometer, O&M = operation and maintenance, PMO = project management office, PRC = People‘s Republic of China, SOCAD = State Office for Comprehensive Agricultural Development, WUA = water users association. Source: ADB and SOCAD estimates.

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B. Monitoring

60. Project performance monitoring. To monitor the progress of the project in achieving the planned outcome and outputs, SOCAD will coordinate with COCADs and POCADs for the establishment and maintenance of the project performance management system (PPMS), which will permit adequate flexibility to adopt remedial action regarding project design, schedules, activities, and development impacts.20 In addition, risk management for the project shall be incorporated in the PPMS. 61. The monitoring will cover all indicators listed in the design and monitoring framework; and the indicators reflecting the development results contributed by the project, such as (i) project physical and financial progress; (ii) irrigated agriculture development and productivity; (iii) improvement in irrigation water use efficiency; (iv) fee collection and O&M of irrigation and drainage facilities; (v) increased frequency of extension service providers; (vi) farm gate price improvement for typical produce sent to the market; (vii) poverty and rural income; and (viii) social development (resettlement, ethnic minority, and gender). 62. In addition, to monitor the project contribution to inclusive growth, a set of indicators should be designed to measure the contribution to productive employment for the affected persons in the project area, for which the following types of indicators may be used: (i) increase in income per head affected, (ii) increase in number of jobs created, (iii) gender distribution of jobs created, and (iv) improved opportunities for ethnic minorities. 63. At the beginning of project implementation, the PMOs will finalize comprehensive PPMS procedures to systematically generate data in the above areas in consultation with the implementing agencies. The PMOs will refine the PPMS framework, confirm achievable targets and the monitoring and recording arrangements, and establish relevant systems and procedures not later than 6 months after project implementation begins. The PMOs and implementing agencies will assign staff or consultants to collect baseline and progress data at the requisite time intervals, including annual reporting on the implementation of EMDP, EMP, GAP, and resettlement plans. The PMOs will be responsible for analyzing and consolidating reported data through its management information system, and reporting outcomes to ADB through quarterly progress reports. 64. A project progress report monitoring the project inputs and activities should be submitted to ADB semiannually starting from project inception. In addition to the framework of project performance monitoring that provided the baseline to monitor the project impact and outcome, a project performance monitoring report will be submitted to ADB before project implementation, at project completion, and 3 years after project operation. These quarterly progress reports and project monitoring and evaluation reports will provide information necessary to update ADB‘s PPMS.

65. Compliance monitoring. During project implementation, ADB and SOCAD will closely monitor the compliance of all the covenants under the project and will take necessary remedy actions for any noncompliance. The compliance status will be reported in the quarterly progress report by the provincial PMO and will be reviewed during project review missions.

20

ADB‘s project performance reporting system is available at: http://www.adb.org/Documents/Slideshows/PPMS/default.asp?p=evaltool

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66. Environmental safeguard monitoring. An environmental monitoring program has been prepared describing the scope of monitoring, environmental media, monitoring parameters, the time and frequency of monitoring, and implementing and supervising agencies. During construction, the implementing agencies will conduct internal environmental monitoring and inspections to ensure that environmental mitigation measures are properly implemented. Inspections or audits will mainly cover construction activities, but these will also review the affected environment. During operation, the implementing agencies will be responsible for internal monitoring and reporting to SOCAD. External monitoring and inspection will be conducted by local environmental monitoring centers under the local environmental protection bureaus. They will be responsible to undertake regular and random environmental monitoring and inspection activities before, during, and after construction as well as in the event of emergencies. 67. Environmental monitoring, including environmental benefits monitoring, will be incorporated in the PPMS. The monitoring results will be used to evaluate (i) the extent and severity of environmental impacts compared with the predicted impacts, (ii) performance of the environmental protection measures or compliance with related rules and regulations, (iii) impact trends, and (iv) the overall effectiveness of the EMP. The effectiveness of the mitigation measures and monitoring plans will be evaluated through a feedback reporting system. 68. Resettlement monitoring. Internal and external monitoring of resettlement implementation will be conducted and the methodologies are specified in the resettlement framework and resettlement plans. Internal supervision and monitoring will be done by COCADs and POCADs to ensure compliance with the provisions of the resettlement planning documents. To ensure that affected persons have been adequately compensated and rehabilitated, COCADs and POCADs will monitor the progress of resettlement implementation quarterly until resettlement activities are completed. COCADs and POCADs will engage a consultant and/or firm as the external monitoring agency for semiannual monitoring during resettlement implementation and annual evaluation of resettlement results for 2 years. 69. Ethnic minority development plan monitoring. Internal and external monitoring of EMDP implementation will be conducted, and the methodologies are specified in the EMDPs and the ethnic minority planning framework. COCADs, POCADs, and relevant ethnic affairs bureau will regularly supervise and monitor the implementation of the EMDP to ensure activities are being implemented and are effective. The project supervision engineers will monitor social aspects related to construction contractors to ensure compliance with relevant labor, health, and safety requirements. COCADs and POCADs will engage a consultant and/or firm as the external monitoring agency for semiannual monitoring during EMDP implementation. 70. Gender monitoring. COCADs and POCADs will monitor the implementation of the GAP. For monitoring the targets and indicators in the design and monitoring framework, the socioeconomic data collected will be disaggregated by sex. The monitoring results will be submitted to SOCAD for consolidation and inclusion in the semiannual progress report and PPMS reports.

C. Evaluation

71. In addition to regular monitoring, project performance will be reviewed at least once a year jointly by ADB, SOCAD, and the government. The review will assess implementation performance and achievement of project outcome and outputs, assess financial progress, identify issues and constraints affecting implementation, and work out a time-bound action plan

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for their resolution. ADB, SOCAD, and the government will undertake a midterm review to assess implementation status and take appropriate measures—including modification of scope and implementation arrangements; and reallocation of loan proceeds, as appropriate—to achieve the project impact and outcome. During the midterm review, a procurement review for effective implementation shall also be conducted to identify risks in procurement and measures for improves procurement performance.

D. Reporting

72. SOCAD will provide ADB with (i) semiannual progress reports in a format consistent with ADB‘s PPMS; (ii) consolidated annual reports, including (a) progress achieved by output as measured through the indicator‘s performance targets; (b) key implementation issues and solutions; (c) updated procurement plan; and (d) updated implementation plan for the next 12 months; (iii) a resettlement completion report at the completion of resettlement; and (iv) a project completion report within 3 months of physical completion of the project.21 To ensure that the project continues to be both viable and sustainable, project accounts and the executing agency‘s annual financial statements, together with the associated auditor‘s report, should be adequately reviewed. E. Stakeholder Communication Strategy

73. Project information will be communicated through public consultation; information disclosure mechanism in ADB‘s and government‘s website, meetings, interviews, focus group discussions; and community consultation meetings following ADB‘s requirements of information disclosure policy. The households and villages participating in the project will be informed in a culturally appropriate and gender-sensitive way about project benefits and potential project risks prior to the project activities. The channels of information will be through village institutions, independent groups, the women‘s federations, or others. Relevant project information will also be disclosed in the websites of POCADs and SOCAD. 74. FPAs and WUAs will manage effectively the irrigation systems and help conduct water-saving, farming, and marketing-awareness activities. They will also help convey opinions and advice of villagers and monitor the implementation of EMDPs, GAP, resettlement plans, and other social aspects.

X. ANTICORRUPTION POLICY

75. ADB reserves the right to investigate, directly or through its agents, any violations of the Anticorruption Policy (1998, as amended to date) relating to the project.22 All contracts financed by ADB shall include provisions specifying the right of ADB to audit and examine the records and accounts of the executing agency and all project contractors, suppliers, consultants, and other service providers. Individuals and/or entities on ADB‘s anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contracts under the project.23

21

The format is available at: http://www.adb.org/Consulting/consultants-toolkits/PCR-Public-Sector-Landscape.rar 22

Available at: http://www.adb.org/Documents/Policies/Anticorruption-Integrity/Policies-Strategies.pdf 23

ADB‘s Integrity Office web site is available at: http://www.adb.org/integrity/unit.asp

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76. ADB‘s Anticorruption Policy (1998, as amended to date) was explained to and discussed with COCADs, POCADs, and SOCAD. To support these efforts, relevant provisions are included in the loan and project agreements, and the bidding documents for the project. All contracts particularly financed by ADB in connection with the project will include provisions specifying the right of ADB to audit and examine the records and accounts of the executing and implementing agencies, and all contractors, suppliers, consultants, and other service providers as they relate to the project. The project design and implementation arrangements provide for mitigating corruption risks. Risks associated with project management will be mitigated by (i) training of the executing and implementing agencies‘ staff in the procurement of civil works, goods, and services under the project; and (ii) periodic inspection of contractors‘ activities related to fund withdrawals and settlements by the executing agency‘s staff.

XI. ACCOUNTABILITY MECHANISM

77. People who are, or may in the future be, adversely affected by the project may submit complaints to ADB‘s Accountability Mechanism. The Accountability Mechanism provides an independent forum and process whereby people adversely affected by ADB-assisted projects can voice, and seek a resolution of their problems, as well as report alleged violations of ADB‘s operational policies and procedures. Before submitting a complaint to the Accountability Mechanism, affected people should make a good faith effort to solve their problems by working with the concerned ADB operations department. Only after doing that, and if they are still dissatisfied, should they approach the Accountability Mechanism.24

XII. RECORD OF PAM CHANGES

Date Project Administration Manual Changes

7 April 2011 11 October 2012

The first draft discussed during loan fact-finding mission. Discussed and agreed during loan negotiations

Source: Asian Development Bank.

24

For further information, see: http://compliance.adb.org/.