CAPE Mission Concurrence and Visa Request - 30 Sep 2014

7
Mr. Baoshan Feng, Director, Loan Division I, Foreign Capital and Overseas Investment Department, National
Development and Reform Commission (+86 10 68502978)
Mr. Mo Xiaolong, Director, Technical Assistance Division, International Department, Ministry of Finance, Tel:+86 10
6855 2587, Fax: +86 10 6855 2585
Mr. Liu Jing, Officer, Technical Assistance Division, International Department, Ministry of Finance, Tel:+86 10 6855
2587, Fax: +86 10 6855 2585
Ms. Youyou Zhou, Project Officer, Department of International Cooperation and Exchanges & International
Organizations, Ministry of Education (+86 10 66013647)
Mr. Xuefeng Sun, Director, Department of International Cooperation, Ministry of Environmental Protection (+86 10
66556534)
Ms. Jingwen Gong, Project Officer, Science, Technology and International Cooperation Department, Ministry of Land
and Resources (+86 10 66127247)
Mr. Bo Gao, Director General, Department of International Cooperation and Science & Technology, Ministry of Water
Resources, (+86 10 63548037)
Mr. Dali Geng, Director, External Economic Cooperation Center, Ministry of Agriculture (+86 10 65003273)
Mr. Xiaonan Lin, Director, Department of Finance Planning and Foreign Affairs, Ministry of Housing and Urban-Rural
Development (+86 10 68313669)
Ms. Xin Lou, Director, Multilateral Relations Division, International Cooperation Department, Ministry of Civil Affairs
(+86 10 58123292)
Mr. Jianan Guo, Director General, Department of Judicial Assistance and Foreign Affair, Ministry of Justice (+86 10
65153065)
Mr. Ziping Liu, Director, International Cooperation Department, Ministry of Industry and Information Technology (+86
10 66011370)
Wang Wenyuan, Department of Energy Conservation and Resource Utilization, Ministry of Industry and Information
Technology, 13 West Chang An Ave, Beijing, 100804, China , Tel: +86 10 68205365, Fax: +86 10
68205354, <jienengchu@miit.gov.cn>
Mr. Ji Ma, Deputy Director, Comprehensive Planning Department, Ministry of Transport (+86 10 65293102)
Mr. Haoyong Dong, Deputy Director, Division of Construction, Department of Material, China Railway Corporation
(+86 10 51848407)
National Health and Family Planning Commission, 1 Xizhimenwai Nanlu, Xi Cheng District, Beijing, Tel: 010-
68792114, Fax: +86(10)68792082
Mr. Liu Yutong, Director, Technical Cooperation Division, Department of International Cooperation, Ministry of
Human Resources and Social Security, phone: 0086-10 8423 3369, Fax: 0086 10 8423 3333 or +86 10
8423 3372, Email: liuyutong@mohrss.gov.cn
Ms. Ding Zhimin, National Energy Administration, 38 Yuetan Nanjie, Beijing, 100824, fax +8610 68501458, Email:
nyfgxm@163.com
Ms. Yang Yang, Section Chief, International Cooperation Department, National Energy Administration
(+86 10 68505673)
Cai Renjun, Deputy Division Director, Social Law Dept.,Legislative Affairs Commission , Standing Committee of
National People's Congress, Qianmen West Road 1, Telephone:+86-10-63099752, Fax:+86-10-63096644,
<cairenjun@139.com> National Peoples Congress
Hu Yuhong, Deputy Director General, State Administration of Work Safety, National Center for Int'l Exchange &
Cooperation, 21 Hepingli Beijie,, tel 86-10 644 64591, fax 86-10 642 37410, email huyh@chinasafety.gov.cn
Mr. Mr. Zhang Weidong, State Forestry Administration, Room 428, Building 22, Debao Xinyuan, Xicheng District,
Fax: 86 10 6833 4527 2
Mme. Hu Zhangcu, Project Director/Deputy Director General, Science and Technology Department., State Forestry
Administration, Room 428, Building 22, Debao Xinyuan, Xicheng District, Tel. +84 10 84218778, Fax.
+84 10 84210791
Beijing Academy of Social Sciences, No.33, Beisihuan Zhonglu, Chaoyang District, Beijing, tel 0860-10-6487-2504
Lan TAO, China Beijing Environment Exchange, Research Department Deputy Director, F10, Block C, HuiChen
Building, No.8 Finance Street, Xicheng District, Beijing, Tel: +86-10-6629 5743, Fax: +86-10-6629 5798,
Cell: +86-13466395390, email:ltao@cbeex.com.cn
Mr. XIE Fei, Division Director of the CDM Fund, China Clean Development Mechanism Fund, Room 1206, Zhong
Shang Plaza, No. 5 Sanl, Sanlihe East Street, Xicheng Distnct Beijing
China Health Economics Institute
Mr. Tian Li, President, New Energy Development Department, China Huadian Engineering Co., Ltd., No. 273
Xizhimennei Road, Beijing 10035, PRC, Tel: (86 10) 5196 6280, Fax:(86 10) 8842 4544
Mr. Michael Chang, Project Liaison Officer, Datang International Power Generation Co., Ltd., 9 Guangningbo Street,
Xicheng District, Beijing, Tel + 8610 88008319, Fax + 8610 88008300, Email: zyxwg@vip.sina.com
Ding Zhiyin, Representative of International Organization Division, General Administration of Quality Supervision,
Inspection, and Quarantine, No.9 Madian East Rod. Haidian District, Beijing, tel +86-10-82261812, fax
+86-10-82260215, email dingzy@aqsiq.gov.cn
8

Dr. Wang Wei, State Grid Corporation of China, No. 86, West Chang'an Street, Xicheng District, Beijing, email:
wang-w <wang-w@epri.sgcc.com.cn>
Dr. Jian Cheng, Huaneng Clean Energy Research Institute, phone: +86-10-89181203, email: chengjian@hnceri.com
Mr. NA Risong, Deputy Director, Foreign Affairs Division, Inner Mongolia Autonomous Region Finance Bureau, No.
19 Chilechuan Street, Huhhot City, Inner Mongolia, PRC, Tel: +86 471 4192209, Fax: +86 471 4192157,
Email: RZ_Na@public.hh.nm.cn
IMAR State Environmental Protection Agency
Mr. Jiliang Zhang, Director, Tianjin Finance Bureau, Tianjin Municipal Government, Tianjin Municipal Government,
B1102 TEDA Bldg., Jienfannan Road, Tianjin Fax: +86 022 2331 1489; 8622 23145183
DR. WENBIN SU - PRESIDENT, Greengen Co. Ltd., 21st Floor, Yindu Building A, Zinchunlu, A-48, Haidian District
Beijing, tel +8610 58733398, fax +8610 58733395, email W.SU@GREENGEN.COM.CN
Wang Xiaoyan, Deputy Division Chief, Finance Department, China Huaneng Group, No. 23A, Fuxing Road, Beijing,
email xy_wang@chng.com.cn
Mr. Gao Ning, Deputy Director, Hi-Tech &Industrialization Division, Tianjin Science and Technology Commission,
287 Heping Road, Tianjin, Tel +86 022 2711 6463, Fax: + 86 22 2711 4808
Mr. Zhang Bing, Director, Harbor Economic Area Administrative Commission (Now called, Tianjin Harbor Economic
Area), No. 1 Harbor Economic Area, Tianjin Binhai new area (TBNA), 300452 Tianjin, Peoples Republic of
China, tel 86-22-66619780, fax 86-22-66619613, heppmo@163.com
Guangxi Finance Bureau
Mr. He Bin, Director, Foreign Capital Utilization & Overseas Investment Division, Guangxi Development and Reform
Commission, Concurrently Executive Director, Guangxi Foreign Loan Projects Management Office,
Guangxi Zhuang Autonomous Region Govt , No. 1 Minle Road, Nanning, Guangxi, PRC, Email:
gxpmo@163.com
Mr. Bei Liu, Director General, Baise Project Management Office, Baise Municipal Government, Dong He Er Lu Road,
Baise City, Guangxi, tel 86 776 286 0189, +86 776 285 1333, fax 86 776 285 3160, Email:
bsswdb@163.com
Beihai Municipal Government
Chongzou Municipal Government
Fangchenggang Municipal Government
Mr. Bian Zuoxin, Nanning Municipal Government, 129 Dongge Road, Nanning City, PRC, tel 86-771-218-9168,
email dbzx@sohu.com
Qinzhou Municipal Government
Ou Yanmei, ADB Loan Guangxi Wuzhou Urban Development Project Management Office, Wuzhou Devt. & Reform
Commission, Wuzhou Municipal Government, #1 Xinxing San Road, Wuzhou City, Guangzi Zhuang
Autonomous Region, PRC , Tel: (86) 774 3820892, Fax: (86) 774 3820891 / 3865667, E-mail:
liangyun3820892@163.com
Mr. Fan Xining, Director of Project Division, Poverty Reduction Project Management Center, Guangxi Zhuang
Autonomous Region. Tel: +86 771-5316309; Mobile: +86 13907865902 E-mail:fanxining8288@163.com
Ms. Wang Huixian, Deputy Director, Foreign Capital Project Management Center, LGOP
Tel: +86 10 64953625(O); Mobile+86 18612230285; Email: wanghuixian8@gmail.com
Bureau of Finance of Hunan Province
Mr. Qiu De, Deputy Division Director, Foreign Capital Utilization, Hunan Education Department, Hunan University,
Changsha, Hunan Province, China, 410082, tel +86 731 88664060 E-mail: hunanedu413@163.com
Mr. Zhou Hui, Section Chief, Xinjiang Altay Prefecture Development & Reform Committee, Altay Prefecture
Government, 341 Jiefang South Road, Altay City, Altay Administrative Offices, Xinjiang Uygur Autonomous
Region, PRC, Tel: +86 906 2126077, Cellphone: +86 13579181115, Email: zhalt0906@163.com
Mr. Xie Xuan, Director, Xinjiang Finance Bureau, Government of Xinjiang Uygur Autonomous Region, Zhongshan
Road, Urumqi, Xinjiang Uygur Autonomous Region, PRC, tel 86 991 2838803, fax 86 991 2838863
Madam Yao Yuzhen, Chief Economist of Xinjiang Housing and Urban-Rural Development Dept. (concurrent Deputy
Director of Xinjiang ADB Project Management Office Government of Xinjiang Uygur Autonomous Region,
Planning & Budget Division,Construction Bureau, No. 462 Zhongshan Road, Urumqi, Xinjiang Uygur
Autonomous Region, PRC, fax 0086-991-2818291, ). Email: jstjhcwc@sina.com
Department of Finance of Yunnan Province, Division of International Cooperation Wuhuashan, Kunming Yunnan,
Peoples Republic of China, tel 0086-871-3631-002
Yunnan DRC
Mr. Mu Yong, Project Officer, Kunming Water Supply Group Company Limited, No. 626, Beijing Street, Kunming, tel
86 87 1315 1526, email: muyongkm@qq.com
Mr. Xiangmin Liu, Deputy Director-General, Legal Department, People's Bank of China, 32 Cheng Fang Street, West
District, Beijing, Phone: +86.10.6619.5958, Fax: +86.10.6605.1601, lxiangmin@pbc.gov.cn
Ms. Yan Jiao, China Banking Regulatory Commission, Statistics Department, 33A Fangcheng Street, Xicheng
District, Beijing, phone: 010-66279078, fax: 010-66299181 and email of yanjiao@cbrc.gov.cn
Mr. Lu Dabiao, Division Chief, Bond Supervision Department, China Securities Regulatory Commission, Focus place
9

19 Jing Rong street,West Pistrict Beijing, TEL:+(86)10-88060655, Fax: 8610-88061384, email:
ludabiao@csrc.gov.cn
Zang Qansheng, Deputy Director, Planning Department, Heilongjiang Provincial Transportation Department, 72
Heping Road, Xiangfang District, Harbin, Heilongjian, tel +86 451 8260 8489
Heilongjiang Provincial Finance Department, No. 146, Jianshe Street, Harbin, Heilongjian, fax +86 451 5363-1663
China Water Affairs Group Limited, Suite 6408, 64/F Central Plaza, 18 Harbour Road, Wanchai, Hong Kong, contact
person: Ms. Hisaka Kimura, PRCM
China Gas Holdings Limited, 16/F AXA Center, 151 Gloucester Road, Wanchai, Hongkong, contact person: Ms.
Hisaka Kimura, PRCM
China Everbright International Limited, Room 2703, 27th Floor Far East Finance Centre, 16 Hardcourt Road, Hong
Kong, contact person: Ms. Hisaka Kimura, PRCM
Clean Bus Leasing Program c/o Ms. Lv CHENG of Far East Horizon, 35Floor,Jin Mao Tower,88 Century Boulevard
Pudong,Shanghai, contact person: Ms. Hisaka Kimura, PRCM

Mr. Zhongjing Wang, Executive Director, BOD

Mr. Ayumi Konishi, Director General, EARD
Mr. Hamid Sharif, Country Director, PRCM, Fax: +86 10 8573 0808
Mr. Edgar Cua, Senior Advisor, EARD
Mr. Philip Chang, Head of Program Unit, PRCM
Ms. Ma Nan (Nancy), PRCM
Ms. Wang Na (Angelica), PRCM

10 Appendix 1

Appendix 1 11
12 Appendix 2

Appendix 2: Issues for Discussion in Meetings
Table A2.1: Discussion with NDRC and MOF (Beijing)
1

Data/time Organization Issues for Discussion
3 Nov, PM National Development
and Reform Commission
(NDRC)
Underlying theme for the discussion. How can ADB
contribute to achieving the objectives outlined in the
November 2013 3
rd
Plenum of the Central Committee of
the Communist Party, such as (i) Giving a more decisive
role to the market for allocating resources; (ii) Increasing
competitiveness and efficiency of primary, secondary and
tertiary sectors; (iii) Environmentally sustainable and
socially equitable development?
ADB Support to PRC. Is the ADB program well balanced
in terms of provincial spread, sector mix, hard vs soft
support? In what way (or to what extent) has ADB
contributed to reducing disparities between eastern and
central/western regions? Are ADB programs sufficiently
well focused on medium term outcomes, yet have
sufficient flexibility to respond to PRCs rapidly changing
requirements?
Instruments. What new instruments should ADB
introduce? Would policy-based-lending and results-based-
lending be useful for innovation and knowledge
creation/sharing? Are these instruments seen as a means
to facilitate a programmatic approach?
Innovation. Does the ADB program have significant
innovation content? What are PRC views on ADBs
capacity development support for design and
implementation of innovative projects (or for EAs/IAs to
internalize innovation)?
Knowledge. What are PRCs knowledge and learning
objectives? How well did ADB knowledge products and
services measure up? What are your views for ADBs role
in knowledge and learning in the coming years, including
from regional knowledge sharing initiative (RKSI) and
knowledge hubs.
Regional Cooperation. In the context of PRC
contributions to South-South Cooperation, plus PRCs role
as donor and knowledge sharer with other international
bodies, how can ADB further its support for regional
cooperation?
Private Sector. In the context of supporting industrial
transformation and improving productivity, what are your
views on the ADB approach to private sector development
and private sector operations?
Development Partner Coordination. Does ADB program
complement other development partners programs well
(any gaps, overlaps etc.)
Social Equity and Environmental Sustainability. Given
the deterioration of environmental quality over the past 10
years, how should ADB change its approach to supporting
EAs/IAs to better manage environment impacts? What are

1
The CAPE team members Kapil Thukral (Principal Evaluation Specialist), Benjamin Graham (Senior Evaluation
Specialist), Christine Wong (Consultant), Anis Dani (Consultant) and Yingchun (Meggie) Lee (Consultant).
Appendix 2 13

the priority areas for ADB support to enable EAs/IAs to
efficiently plan and implement resettlement of affected
persons and address ethnic minority related issues? What
are the key issues in adhering to ADB or country systems
for safeguards? What efforts are being made to
strengthen country systems and capabilities of executing
and implementing agencies across the country?
4 Nov, AM Ministry of Finance
(MOF), Loan Division
Portfolio programming. Is it possible to modify the
approach to country programming to help increase the
innovative content of the loan portfolio? What are MOF
views on a programmatic engagement approach, wherein
ADB and PRC jointly work out programs of intervention
(including loans, grants, TAs and knowledge products)
that from the very beginning are conceptualized to
contribute to achieve some aspect of PRC government
objective of deepening reforms? What types of lending
instruments are thus required? To what extent would
policy-based-lending and results-based-lending be
relevant in the PRC context?
Regional Mix. To what extent did the ADB lending
program contribute to reducing disparities between
eastern and western/central regions?
Project Configuration. Have design of projects in the
ADB portfolio become more complex in the past 5-10
years? Or is it that a larger share of projects is now being
implemented by EAs/IAs with relatively low capacity?
What are the major reasons for changes in project scope
or/and project implementation arrangements?
Innovation. To what extent has ADB loan portfolio
contributed to providing innovative project designs and
insights for policy formulation? Any scale-up and
replication? Please provide some examples. What are
MOF views on impact of ADB supported projects with
innovative features on overall PRC portfolio performance?
What are MOF views on capacity requirements for
EAs/IAs to employ innovative features?
Regional Cooperation. How can ADB enhance regional
support for transport infrastructure and services, energy
trading, other regional and global public goods, and
inward and outward knowledge exchange? What role can
ADB play in facilitating South-South cooperation?
ADB Performance. What are PRC views on ADB
performance, in terms of continuity of ADB staff, their
understanding of ADBs procedures, complexity of ADB
procedures and resulting delays, delegation of authority to
PRCM etc.?
Domestic Consultants. What are your views on
increasing competition among domestic consultants?
4 Nov,
PM
Ministry of Finance
(MOF),
TA Division
What are MOF views on the current country programming
processes for TAs and Knowledge Products and Services
(KPS)? Any suggestions for improvement?
Are there any innovation related benefits from: (i) a
participatory approach to country programming for TAs;
and (ii) new financial instruments (such as policy based
14 Appendix 2

loans).
What are MOF views on ADB contribution to date across
various sectors in terms of policy, regulation, institutional
frameworks, organizational structures and capacity
building?
What are MOF views on ADB contribution to innovation,
knowledge and regional cooperation?
Is the government articulating (or has it articulated) a
comprehensive KPS strategy? What would be the key
elements of such a strategy?
What are MOF views on changing priorities or emphasis
for TA and KPS in the coming years?
What are MOF views on improving the quality of TA
outputs and outcomes?
What are MOF perspectives on role of KPS in spurring
innovation and transformation?
What are MOF perspectives on improving linkages
between TAs and knowledge products and services
(KPS)? How can MOF and ADB collaborate to track the
dissemination and use of KPS?
What are your views on increasing competition among
domestic consultants?

What are MOF views on three TA modalities: (i) TA
Facility, which enables ADB to respond to changing PRC
requirements; (ii) TA Cluster, which enables medium term
and strategic focus; (iii) delegated TA, which is intended to
foster ownership by EAs/IAs?
Beyond policy notes/briefs and Facility-type TAs, what is
required to enable ADB to respond better to PRCs rapidly
changing requirements?
What are MOF perspectives on policy based lending vs
TA

Table A2.2: Issues for Discussion on PSM Sector EAs/IAs in Beijing
2

Date/time Organization Issues for Discussion
4 Nov,
PM
Ministry of Finance
NOTE: these questions
are combined with the
existing set of
questions for the
meeting with MoF TA
Division on 4 Nov.
Introduction and Purpose of Mission

Strategic issues: in the coming decade, what are likely to be
the most critical areas for strengthening public financial
management in the country, to support the governments
broader development agenda? What are the Ministrys priority
areas for reform and strengthening, in particular? What are
likely to be the key actions set out in the Public Finance
Development Strategy currently under development?

ADBs role and support: how does MoF view ADBs role in
terms of its support for PSM, reforms, learning, and capacity
development in PRC? Does MoF foresee a continued need for
ADB support in these areas over the coming decade? If so, in

2
The CAPE team members Ben Graham (Senior Evaluation Specialist), Anis Dani (Consultant) and Yingchun
(Meggie) Lee (consultant) will attend the proposed meetings.
Appendix 2 15

what particular areas will ADB support be most value-adding
going forward? In what areas has ADB support been most
effective? What are the some examples of high-impact PSM
projects supported by ADB?

Project/modality related issues: ADB has provided numerous
Public Sector Management (PSM) related TAs over the past
decade, most of which have been managed by MoF (as the
EA). Many of these TAs include multiple components and
subcomponents, with some including different implementing
agencies, with activities and outputs delivered on a parallel
basis (e.g. the facility-type TAs). Experience has shown that for
some of these TAs, implementation has been a challenge
(leading to delays in some cases), given the multiplicity of
components, outputs, and objectives. What are the Ministrys
views on these issues?

5 Nov, AM

5 Nov, AM

Ministry of Finance
International
Department

Director, International
Department

International Department

TA 4968-PRC: Operational Capacity Building and Value
Addition
Approved 2007; ongoing, closing extended from Dec 2009 to
Dec 2014

What is the status of major activities and outputs under the
TA?
How is the TA progressing towards its outcome of
strengthened capacity of EAs/IAs to plan, manage, monitor,
and operate ADB-financed loan projects?
How can the effects of the TA on EA/IA capacity be
measured?
The TA closing date has been extended by 5 years (to Dec
2014) what caused this and how has it affected the TA?
How have contract award, disbursement ratios, and project-
at-risk ratios trended since 2007 (these are the
outcome/impact indicators)?
What are the major challenges and achievements thus far,
and what lessons have emerged over the 7 year
intervention?
In general, what are some of the broader project
management issues and challenges facing EAs/IAs in PRC?
In what sectors is project management more challenging?

TA 7763: Strengthening Fiscal Policy and Public Finance
Reform Over the Medium-Term
Approved 2010; closed 2014

The focus of the TA changed soon after it commenced, with
a reorientation to local government public finance, along with
a change in IA from MoF to the AFDC and a change in the
scope of activities. How did these substantive changes affect
the achievement of the intended outcome and impact of the
16 Appendix 2


5 Nov, AM

5 Nov, AM

5 Nov, AM

TA Division,


Director, TA Division,

TA? If local government public finance reform was a major
concern, why did the TA design not take this into account?
To what extent have the recommendations in the synthesis
paper been implemented?

TA 7703-PRC: Capacity Building for Enhanced Partnership
and Development Impact (MULTISECTOR WITH PSM)
Approved 2010; ongoing, closing moved from Dec 2013 to Dec
2015

TA?
How is the TA progressing towards its objectives of reducing
loan processing times, improving project implementation,
increased use of new ADB lending modalities, and
successful implementation of nine delegated TA projects?
What measures are taken to assess whether capacity
development activities (e.g. training) are effective in terms of
strengthening individuals knowledge of ADB procedures
and processes?
The TA is to provide a wide range of institutional,
organizational, and individual level capacity development
activities. What challenges (if any) have been met in
implementing these many activities?

TA 7896: Public Finance and Financial Management
Reforms
Approved 2011; ongoing, closing moved from Dec 2013 to Nov
2014

TA?
How is the TA progressing towards its outcome targets of:
Improved fiscal policy framework for emergency
management
prepared by 2013; Improved framework for Social Insurance
Fund management prepared by 2013; Framework for
smooth transition to systems for local government bond
issues prepared by 2013; Improved capacity building
framework for LATP prepared by 2013?
What progress is being made towards local government
bond issuances in seven pilot provinces?

TA 7974: Promoting Partnerships for South-South
Cooperation (MULTISECTOR WITH PSM)
Approved 2011; ongoing (to Dec 2015)

What is the status of the learning activities and major
publications from the TA, and the Regional Knowledge
Sharing Initiative?
What lessons have emerged thus far in terms of the
effectiveness of South-South knowledge-sharing?
What challenges (if any) have been met in implementing the
many activities under the TA?
Appendix 2 17


5 Nov, PM Ministry of Finance (EA)
Three IAs:
Output A: Department of
Social Security of MOF
Output B: Budget
Department of MOF
Output C: Treasury
Department of MOF
TA 7095: Supporting Fiscal Reforms in High Priority
Sectors

The original TA design included three components
(Outputs), all of which saw changes in scope during the
project. How did these scope changes affect the TA in terms
of achieving its objectives? Was the TA still able to
contribute towards the outcome of deepened fiscal reforms
in key areas through (A) improving the equity, efficiency, and
sustainability of grassroots health care facilities; (B)
efficiently managing subnational government implicit and
explicit debt; and (C) effectively containing the increase in
administrative costs?
For Output A, what policy recommendations emerged on
reforming subsidy mechanisms for grassroots health care
facilities and what effect has this knowledge had thus far?
For Output B, to what extent did the outputs of this
component help to improve local government debt
management? Has the measurement and management of
subnational liabilities improved? Does this remain a major
risk/concern area?
For Output C, what is the status of the five recommendations
made in the final report, Strengthening Local Government
Treasury Cash Management in the PRC?
The TA Completion Report stated that combing three
different outputs with different Implementing Agencies into
one TA was a huge management task. Why was this done in
the first place and is this a lesson that other multi-
focus/multi-component TAs in PRC should consider?
5 Nov, PM Ministry of Finance
Wang Ying (department
not specified)
TA 7313: Facility for Policy Reform and Capacity Building
III (facility-type TA)
Approved 2009; ongoing, closing moved from Aug 2012 to
Dec 2014

What is the status of subprojects under the two major
outputs?
How is the TA progressing towards its outcome of adoption
of policy reforms, regulations, and new ideas introduced or
recommended under the TA? Are there any specific
examples that can be considered?
What challenges (if any) have been met given the parallel
implementation of multiple subprojects under the TA?
5 Nov, PM Ministry of Finance (EA),
four IAs specified:
Tax Policy Department
MoF, Enterprise
Department MoF,
Treasury Department
MoF, Policy and Law
Dept. of State
Administration of
Taxation
TA 7568: Supporting Reforms in Taxation and Budget
Management

To what extent have the measures recommended under
Component 1 been accepted and implemented (revenue
neutral broadening of the tax base, increased collections
from environmental and resource-based taxes, increased
reliance on income taxes, deepening of reforms on VAT and
business tax, and introduction of a social security tax)?
18 Appendix 2

Component 1: Ms
PanHong, ""
Component 2: Li Ying,
Enterpriese Department,
""
Component 3: Ming
Tang, ""
Given the non-completion of Component 2 (Framework for
SDRF policy and implementing regulations), have efforts
continued to increase the contribution of enterprises in
extractive industries to poverty reduction and sustainable
development? Is this an initiative that ADB continues to
support?
Component 3 was to provide a framework for complete
implementation of the TSA and realtime budget monitoring
system for all national and subnational governments. How is
implementation progressing on this?
(department not
specified)
1) Director Zhang Jing
Tao
2) Comp 1- Xiang
Yanjing,
3) Comp 2- Chengliang
Wu
4) Comp 3- Qiu Ying,
TA 8192: Improvement of Fiscal Management and
Accounting Services Supervision
Approved 2012; ongoing (to Oct 2015)

TA?
How is the TA progressing towards its objectives of: a
budget management system incorporating public asset
management designed by 2015; the fiscal policy framework
for water resource management formulated by 2015; the
certified public accountants law amendment and
implementation regulations issued by 2015?
Given past experience with multi-focus, multi-objective TAs,
what has been the experience thus far with this TA in terms
of implementation of its three different components?
Ms. Zhao Minmin,
Deputy Division Chief,
Comprehensive
Department
TA 8379: Public Finance Development Strategy 2020
Approved 2013; ongoing (to June 2015)

How is progress towards the strategy? Has the TA final
review workshop (scheduled for Sep 2014) been
undertaken?
How will the strategy reflect and relate to the many public
finance TAs supported by ADB (including ongoing ones)?
6 Nov, AM National Audit Office
Department of Foreign
Funds Application Audit,
1 Bei Lu Yuan, Zhanlan
Road, Xicheng District,
Beijing 100830
TA 7017: Enhancement of the Performance Audit Capacity
of the China National Audit Office

How effectively did the TA help the CNAO to mainstream
performance audits for assessing the impact, efficiency, and
effectiveness of publicly financed projects, including foreign-
funded projects?
Are CNAO staff now proficient in undertaking performance
audits?
Are performance audits conducted more widely as a result of
the TA?
The TA Completion Report suggested that ADB use the
opportunity to evaluate the quality of the performance audit
and continue to help CNAO in performance audit through the
learning by doing process. Is continued support from ADB
needed?
6 Nov, AM Ministry of Human
Resources and Social
Security
Department of
TA 7906: Strategies for Green Jobs Creation and
Promotion

Appendix 2 19

International
Cooperation, 12 Hepingli
Zhongjie, Beijing, fax
(0086 10) 64211624, Mr.
Liu Yutong, Director,
International
Cooperation Division
To what extent have the policy recommendations from the
TA been adopted or likely to be adopted?
Is a national framework or strategy for promoting green jobs
in place?
Given the important findings of the TA and the early-stage of
development and knowledge on green jobs, is this an area
that ADB should continue to support through TA?
Are efforts under way to further develop enterprise and
occupational surveys and to improve occupational and
industry classifications?
6 Nov, PM National Development
and Reform
Commission, No. 8
South Yuetan St.,
Beijing 100824, tel 8610-
685-01-608, fax 8610-
685-02-728,
1) Ms. Zhang Lina
Director General,
Department of Economic
System Reform, NDRC
2) Ms. Chen Yanjun
Project Officer,
Department of Economic
System Reform, NDRC
TA 7855: Management System and Legislative Mechanism
for Nonprofit Organizations
Approved 2011; ongoing, closing moved from Nov 2013 to Nov
2014

How has the TA progressed in its early stages, in particular
the initial research work and preparation of policy
recommendations?
Since the approval of the TA (in 2011), have any major
developments taken place in terms of the policy and
regulatory framework for NPOs? What are the trends in
terms of registration of NPOs?
A change in focus in the scope of the TA took place after the
inception workshop what was this change in focus and
how will it affect the overall objectives of the TA?

6 Nov, PM National People's
Congress, No. 23, Xi
Jiao Min Xing, Beijing
100805, fax 86 10 630
98 439,
Cai Renjun, Deputy
Division Director, Social
Law Dept.,Legislative
Affairs Commission ,
Standing Committee of
National People's
Congress, Qianmen
West Road 1, Beijing
100805
TA 8161: Streamlining Legal and Regulatory Framework for
Social Assistance
Approved 2012; ongoing, closing Dec 2014

How is the TA progressing on its four major outputs,
including the initial analyses, and in terms of moving toward
its intended outcome of an improved legal and regulatory
framework for social assistance, ensuring equitable access
to basic social services?
What are the proposed legal and policy recommendations
emerging from the study and are these still targeted for
adoption by the Legislative Affairs Commission of the
Standing Committee of the National Peoples Congress by
2016?
The TA targets (impact) a 10% increase in the coverage
ratio of social assistance programs, i.e., the minimum living
allowance, temporary relief, and the rural five guarantees, to
people below the poverty line by 2020. What are the general
trends in terms of increased coverage so far? Given the
long-term target toward 2020, does this suggest that follow-
on ADB support (beyond 2014) will likely be needed?

20 Appendix 2

Table A2.3: Issues for Discussion on Finance Sector EAs/IAs in Beijing
3

3 Nov,
AM-PM
Peoples Bank of China Where are the needs for developing the financial markets
the greatest? What strategies do you have for developing
these markets?
What are the greatest risks to the overall financial markets?
What are your views on the state of local government
finances and the real estate market, and their effects on the
soundness of financial markets? How are these risks
managed?
Progress is being made towards greater use of the RMB in
international transactions. How will the internationalization of
the RMP affect your domestic financial markets?
The financial markets have expanded at a very rapid rate
over the past decade in the PRC, despite a challenging
global environment. Can you elaborate on policies that have
enabled this and if this has led to weakening of overall credit
quality?
Looking ahead, what do you feel the key challenges are for
developing the banking and capital markets in PRC?
ADB has provided support to develop rural micro-finance
markets. How well have rural financial markets developed?
What is needed to address gaps in these markets or to
provide more rural households with suitable financial
services?
ADB has assisted the government in developing pension
systems, in both rural and urban areas. How well do you
feel the pension systems are developed? What additional
measures are required to develop the pension systems?
In terms of developing rural financial markets, do you
envision any further need for ADB support?
In terms of developing public pensions, is there any need for
further ADB technical or capacity development support, as
participation in the system increases over time?
3 Nov,
AM-PM
Peoples Bank of China TA 7454 on Strengthening the Legal Framework for Money
Laundering and Combating Financial Terrorism

How did this TA help advance thinking or understanding of
AML issues?
The initial objective of establishing an AML legal regime
wasnt achieved? Why?
Has there been any further progress in this area since the
TA? Were any of the TA recommendations in this area---
such as strengthening the legal basis for sanctions on
individuals required by UN Security Council resolutions
carried forward?
Were you satisfied with the performance of ADB-financed
consultants?
How well did ADB assist you in developing the TA and
helping to manage the project?

3 Nov, Peoples Bank of China TA 8099-Capacity Building for Statistical Competence for

3
The CAPE team members Nathan Subramaniam (Principal Evaluation Specialist), Steve Tabor (Consultant) and
Langnan Chen (Consultant) will attend the proposed meetings.
Appendix 2 21

AM-PM County-level financial institutions and TA 7322-Rural
Finance Innovation and Rural and Agriculture Financial
Statistical System Development

ADB has provided two TAs which supported the
development of improved systems for rural financial
statistics reporting. Can you discuss the effects and the
impacts the TAs have had on your rural financial statistics
reporting?
Has, with the TAs support, a system been developed for
better tracking rural financial market performance?
Are other rural financial institutions making use of the IT
framework developed under the project?
Was the design of TA appropriate for meeting these
needs? Did it sufficiently take into consideration
constraints that rural financial institutions might face in data
collection, IT and reporting?
What use have policy makers in PBC made of the more
complete and timely data on rural financial market
conditions?
Has ADB been sufficiently responsive to PBCs needs, both
during the design and implementation of this project?

3 Nov,
AM-PM
Peoples Bank of China
(Legal Affairs
Department)
TA 7835 - Developing a Legal System for the Credit Market

ADB provided support for developing legislation defining
credit and governing key aspects of entry, operations, exist
and oversight of credit delivering institutions. Can you
discuss what was actually accomplished under this TA?
Has new credit oversight legislation been drafted and/or
tabled with government?
The TA talked about using a national conference and a
study tour to tackle these issues. Was that done and how
useful were these?
What impact has changes in the legal framework on the
credit market had?
Was the ADB TA well-designed and implemented? Was
ADB supportive during the TA itself?

4 Nov, AM China Banking
Regulatory Commission
TA 8355: Strengthening the Stress Testing Capacity of the
Banking System

Has a stress testing framework been developed with ADB
support?
How is the framework being applied in practice?
Has a stress test unit been created?
Has this resulted in information to guide increase in capital
adequacy of the banks?
consultants?

4 Nov, AM China Banking China Banking Regulatory Commission (rural finance
22 Appendix 2

Regulatory Commission development working group team). TA 7187 Rural Finance
Development and Supervision.

As a result of the TA, have your policy guidelines for rural
credit been revised? Have the improved policies had a
positive effect, and if so, in what way?
As part of the TA, were the assessments of the policy and
regulatory assessments of good quality?
Under TA 7147 Rural Finance Development and
Supervision, support was provided for a study tour was
organized for an assessment of rural credit and regulatory
options. Were you able to visit a rural credit system
considered a good practice model? What were the key
lessons learned?
Have you adopted the recommendations that were made?
If so, which, and if not, why?
Are there still issues that need to be resolved to improve
rural credit markets? Are you continuing to work with ADB
on those?
consultants?

4 Nov, PM Securities Regulatory
Commission
TA 7052. Asset-Backed Securitization for Expressway
Financing and Corporate Debt Restructuring in Yunnan
Province

Did this TA contribute to a better understanding of the role
of asset based securitization?
What role do you perceive asset based securitization
playing in local government finance in years to come?
Our understanding is that the asset based securitization TA
support was stopped before asset-backed bonds could be
created due to the financial crisis--- can you discuss?
Now that global financial markets are more stable, is there
more of a role for asset backed securitization for
infrastructure? Is this happening in Yunnan and in other
parts of the country?
Are there other ways in which ADB could have supported
capital market development to improve local infrastructure
financing capacity?
The scope of this TA had to be changed mid-course---was
ADB sufficiently responsive and flexible to changing
country conditions?

4 Nov, PM Securities Regulatory
Commission
(Bond Supervision
Department)
TA 8461. TA innovative Small Scale and Medium-Sized
Enterprise Bond Financing and Investor Protection
Mechanism

The TA provides support to develop a high-yielding bond
market for SME development and investor protection. Do
you feel this TAs products are useful for PRCs
development needs at this point in time?
Appendix 2 23

What progress is being made towards identifying the key
issues for such a bond market and for investor protection
measures?
Has ADB assistance been designed and initiated in a
timely and effective way?

6 Nov AM Ministry of Human
Security

(Rural pensions) TA7317 - Rural Pension Reform and
Development and TA7606 - Capacity Development for
Rural Pension Administration and Services

ADB has provided you support, two TAs. The first was TA
7317 on rural pension reform and development and then
TA7606, for rural pension development. These worked on
reform options and design of new management systems for
rural pension administration. Both TAs included field
surveys in 4-5 regions of the country, workshops, and
diagnostic assessments. Were these TAs timely and useful
for your development needs?
A series of different reports and recommendations were
provided under both TAs, a study tour and a number of
workshops were undertaken. What were the most
important contributions of these two TAs to your policies
and management systems for rural pension development?
Were the many assessments of good quality, and how
were these used?
ADB has provided support for rural pension reform for
several years. Is continuity important to making progress in
these areas?
What are the most important recommendations from the
two TAs that have been adopted and applied? How has
the application of these recommendations contributed to
improvements in rural pension development?
What are the factors, at present, that hamper rural pension
development and what is currently being done to address
these?
Was ADB sufficiently responsive to the Ministrys needs
and requirements during the design and implementation of
this TA?

6 Nov AM Ministry of Human
Security
Urban pensions: TA 8463 on the Sustainable Development
of Urban Pension Insurance

ADB is providing you on-going TA support on sustainable
urban pension insurance. The focus of this TA is on
estimating how sustainable the urban pension system is,
taking stock of recommendations for improving it, holding
various workshops and providing recommendations. Why
have you approached ADB for assistance in this area and
is this TA timely and useful? What do you hope that the TA
support will accomplish?
Has the TA been implemented in a reasonably efficient
fashion to date?
What has the TA achieved so far? Are there findings or
24 Appendix 2

recommendations coming out of the TA so far that you are
making use of?
Has ADB been sufficiently responsive to the Ministrys
needs and requirements during the design and
implementation of this TA?

7 Nov, AM Ministry of Finance
(Finance Department)
Where are the needs for developing the financial markets
the greatest? What strategies do you have for developing
these markets?
What are the greatest risks to the overall financial markets?
What are your views on the state of local government
finances and the real estate market, and their effects on the
soundness of financial markets? How are these risks
managed?
Progress is being made towards greater use of the RMB in
international transactions. How will the internationalization of
the RMP affect your domestic financial markets?
The financial markets have expanded at a very rapid rate
over the past decade in the PRC, despite a challenging
global environment. Can you elaborate on policies that have
enabled this and if this has led to weakening of overall credit
quality?
Looking ahead, what do you feel the key challenges are for
developing the banking and capital markets in PRC?
ADB has provided support to develop rural micro-finance
markets. How well have rural financial markets developed?
What is needed to address gaps in these markets or to
provide more rural households with suitable financial
services?
ADB has assisted the government in developing pension
systems, in both rural and urban areas. How well do you
feel the pension systems are developed? What additional
measures are required to develop the pension systems?
In terms of developing rural financial markets, do you
envision any further need for ADB support?
In terms of developing public pensions, is there any need for
further ADB technical or capacity development support, as
participation in the system increases over time?

Table A2.4: Issues for Discussion with MOF (CAREC) in Beijing
4

(CAREC)
What importance is given to regional cooperation or
regional integration in formulating national development
plans?
To what extent are ADBs regional cooperation and
integration (RCI) strategies and interventions consistent
with PRCs needs and priorities?
How relevant are ADBs sub-regional interventions (such
as CAREC) to PRCs needs and priorities?
How does ADBs support for RCI compare with other
development partners? To what extent are these

4
CAPE Team members Kapil Thukral (Principal Evaluation Specialist) and Christine Wong (Consultant) will attend
the proposed meetings.
Appendix 2 25

interventions harmonized?
Are adequate measures taken by ADBs support to sustain
regional cooperation outcomes?
How much is ADBs role as a neutral, honest broker valued
in helping deal with provision of regional public goods: in
ecological and biodiversity conservation; prevention of
communicable diseases; and dealing with transboundary
issues such as shared river basin management?
To what extent did ADBs support help to accommodate
different national perspectives on specific projects or
programs (eg. dams on rivers)?
To what extent has ADBs support helped in creating and
disseminating knowledge? (on benefits from trade
facilitation measures such as harmonization,
standardization and modernization of trade procedures)
What are the activities of south-south cooperation that PRC
is involved in or hopes to be involved in and what role is
ADB expected to play in these activities? E.g. sharing of
knowledge and innovative experiences in green
development and sustainable growth?
(CAREC)
TA 7353 Central Asia Regional Economic Cooperation:
Working with the Private Sector in Trade Facilitation
(approved Sept 2009) Promotion of awareness of investment
potentials in trade logistics in the CAREC region among
neighboring countries (Russian Federation, PRC, Turkey, etc.)
through road shows and investment seminars.

To what extent has this TA led to interest among private
investors from PRC to invest in trade logistics in CAREC
countries?
To what extent was this possible due to building of capacity
in CAREC countries in trade facilitation?
(CAREC)
TA8220 Joint Control of Transboundary Animal Diseases
in the Peoples Republic of China and Mongolia (approved
November 2012) The TA's impact will be strengthened
regional cooperation to prevent and control Transboundary
Animal Diseases (TADs) in the PRC, Mongolia, and more
broadly in the CAREC region. The outcome will be a well-
functioning institutional mechanism for cooperation to jointly
prevent and control TADs in the PRC and Mongolia.
What policy recommendations were identified for
prevention of TADs?
What institutional mechanisms were identified for capacity
building of the governments for safe cross border trade in
animal products?
(CAREC)
Loan 2755 CAREC Transport Corridor I (Bishkek-Torugart
Road) Project 3 (approved May 2011) Part of the Central Asia
Regional Economic Cooperation (CAREC) Corridor 1(c), which
extends from Troitsk in the Russian Federation to Kashi in
Xinjiang Uygur Autonomous Region of the PRC.
The impact of this project would be boosting of cross border
trade and tourism between PRC and CAREC countries.

Has there been any appreciable increase in trade/tourism
26 Appendix 2

flows between PRC and CAREC countries?

Table A2.5: Issues for Discussion on Transport Sector EAs/IAs in Beijing
5

5 Nov, AM Ministry of Transport Introduction and Purpose of Mission

Strategic Issues: MOT views on how transport sector can
contribute to achieving the objectives outlined in the November
2013 3
rd
Plenum of the 18
th
Central Committee of the
Communist Party:
Giving a more decisive role to the market for allocating
resources;
Increasing competitiveness and efficiency of primary,
secondary and tertiary sectors;
Environmentally sustainable and socially equitable
development).

Sector level Issues: What are the sector priorities to achieve
the following:
Improving sector-wide energy efficiency and reducing
greenhouse gas emissions
Improving connectivity to central and western provinces to
the east
Improving reliability and safety
Increasing competition between transport modes

General Issues on ADB support:
Views on time required and processes followed to obtain
ADB support.
Views on the role and contribution of ADB in design and
scoping of loan and TA projects.
How has the policy dialog with ADB evolved during the 11
th

and 12
th
five year plan periods?
Did ADB supported TAs and projects approved during 11
th

and 12
th
five year plan periods contribute to any policy /
regulatory framework? If yes, give number, date, title, and
brief description of concerned policy or regulation.
Have ADB supported loans and TAs delivered on their
innovation objectives? Are transport sector loans and TAs
linked to ADB knowledge products and services (KPS)?
What is the perception of ADBs knowledge products and
knowledge services?
What are the likely priority areas for new knowledge in the
transport sector in the 13
th
five year plan period? What role
can ADB play in that?
Views on results based lending? Any views on policy based
lending?
Views on loan project design complexity, safeguards issues
and compliance, project readiness at approval,
procurement and contracting matters etc. for loans
approved during 11
th
and 12
th
five year plan periods.

5
The CAPE team members Kapil Thukral (Principal Evaluation Specialist), Gunter Hecker (Consultant) and Liya Liu
(Consultant) will attend the proposed meetings.
Appendix 2 27

What is the outlook for success of ongoing projects which
have complex designs (eg. multi-modal facilities, port
facilities on a river)?
Regarding TAs approved during 11
th
and 12
th
five year plan
periods, views on TA complexity, quality of consultants,
successful implementation of TAs, timeliness of TA
completion and closing etc.
5 Nov, PM Ministry of Transport

TA4806: Sustainable Rural Transport Services (completed
September 2007)

What is the current thinking on: (i) role of SOEs and private
sector in passenger transport in rural areas; (ii) financing
needs and sources of funds, to expand and improve rural
roads, terminals, vehicles and rural transport services; (iii)
incentivizing private participation in rural transport
infrastructure and services?
5 Nov, PM Ministry of Transport TA4877: Resource Optimization in the Road Sector
(completed October 2009)

Have the policy recommendations from this TA contributed
to policy formulation regarding: (i) integrated approach to
planning for transport, considering land-use and alternative
modes; (ii) use of shadow cost of land in conducting
feasibility studies for road and other transport networks; (iii)
national standards for vehicle registration fees, road
maintenance charges, vehicle insurance etc.; (iv) standards
on vehicle fuel efficiency and fuel quality etc.
5 Nov, PM Ministry of Transport
(Comprehensive
Planning Department,
Highway
Administration
Department)
TA4991: Transport Information System (completed in
October 2009)
TA7308: Improving Road Safety through Application of
Intelligent Transport Systems (completed in October 2012)

From the choices presented through these TAsregarding
road network monitoring, speed control, prevention of
fatigue driving, reduced response time for emergency
services etc.what options are being seriously
considered?
What road safety improvements are important (in terms of
human behavior, vehicle maintenance, infrastructure
quality etc.?)
What are the emerging issues on policy, regulation,
capacity / skills, vehicle manufacture etc. related to
introduction of mobile-communication-based technologies
for improving road safety and system performance, and
reducing emissions?
6 Nov, AM Ministry of Transport
(Comprehensive
Highway Administration
Department)
Two TAs: Financing Road Construction and Maintenance
after Fuel Tax Reform (Phase 1 TA7456 completed in June
2011; and Phase 2 TA7694 completed in March 2013)

What are the key issues regarding management of a
centralized road construction and maintenance funding
program?
What non-toll-road options are considered for raising
financing for road construction and maintenance on a
28 Appendix 2

sustained basis?
(Comprehensive
Waterway Transport
Department, Highway
Transport Department)
TA7174: Transport Efficiency through Logistics
Development Policy Study (completed September 2012)

What are the key contributions from this TA towards raising
government awareness on various aspects of logistics
development?
What particular aspects of logistics development are or
have contributed to a framework strategy and policy for
efficient logistics?
What are the key findings regarding economic, legal,
organizational, institutional, regulatory, market structure,
performance and efficiency of logistics industry and
intermodal transport services
What progress has been made in framing and
implementing action plans to encourage logistics industry
and intermodal transport services?
(Comprehensive
China Railway
Corporation)
TA7925: Developing Multimodal Passenger Transport
Hubs (approved Nov 2011)

What is the status of firming up design standards, financial
standards, service standards etc. for various types of
multimodal hubs?
What policy approach to encourage cooperation across all
modes and stakeholders for successful operation of a
multi-modal hub?
6 Nov, PM Ministry of Transport,
NEAL-NET Secretariat
TA8482: Formulation of the Northeast Asia Logistics
Information Sharing Network (NEAL-NET) Development
Program and Organizational Mechanism (approved
October 2013)

What is the status / outlook for a common information-
sharing standard between PRC, Japan and Korea? What is
the outlook for reforming interfaces in PRC pilot port?
For making it compatible with ASEAN, EU, other regions ---
what more is required?
China Railway
Corporation
TA4864: Managing Railway Passenger Operations more
Efficiently (completed September 2009)
TA7147: Enhancing the Competitiveness and Efficiency of
Railway Passenger Operations (completed May 2012)

What issues arise in maintaining financial viability of
dedicated passenger lines in different joint venture entities?
How do business strategies differ between dedicated
passenger lines and mixed traffic lines? Are there any
differences between eastern coastal areas and
central/western areas? Given that the TA consultants did
not deliver, how have these business strategies come
about?
China Railway
Corporation
TA4955: Railway Emergency Management System Study
(Completed May 2010)
Loan 2390: Railway Safety Enhancement Project

How have the TA recommendations on the following been
Appendix 2 29

implemented: (i) institutional arrangements for better
emergency management; (ii) improving railway emergency
management in tunnels; (iii) information systems for rescue
teams?
With the rescue and restoration equipment procured
through this loan, coupled with training provided through
the loan, is it expected that best international practices
have been imbibed for railway emergency management?
China Railway
Corporation
TA8464: Railway Container Transport Development
(approved September 2013)

What is the status / outlook of this TA? How is CRC
preparing to offer door-to-door container service? Where is
CRC intending to begin such door-to-door service?
7 Nov, AM Ministry of Transport,
China Railway
Corporation
Loans 2605, 2724, 2765, 3082, 3109: Railway Energy
Efficiency and Safety Enhancement Investment Program
(MFF Tranches 15; approved between December 2009 and
February 2014)
TA 7403: Institutional and Capacity Development, piggy
backed to MFF (completed May 2013)

To what extent have safety and energy audits conducted in
the Kunming Railway Station Bureau been attempted in
other railway bureaus also? What are the major findings
from safety and energy audits?
What are plans to scale up energy savings and emission
reductions from the five MFF loans?
MORE Qs AFTER FINDING OUT MORE ABOUT THE EE
and SAFETY EQUIPMENT
China Railway
Corporation
TA7692: Capacity Development for Railway Track
Maintenance (approved December 2010)

Is this TA likely to be completed by end-2014?
What changes are anticipated from changing from periodic
maintenance system to a sensor-gauged as-required
maintenance system? What recommendations are
expected for better management information systems and
other track maintenance systems?
What are CRC plans for scale-up of such systems from
Kunming training center to other centers?
China Railway
Corporation
TA7916: Improving Energy Efficiency and Reducing
Emissions through Intelligent Railway Station Buildings
(approved November 2011)

How robust are the estimates energy savings in PRC
railway station buildings (20% for new type of existing
stations, and 40% for conventional stations)
What progress has been made in designing a project to
obtain ADB loan for implementing energy efficiency and
emission reduction measures?
7 Nov, PM Beijing Academy of
Social Sciences
TA7976: Beijing Sustainable Urban Transport (approved
December 2011)

What is the key learning of the TA regarding: (i) travel
30 Appendix 2

demand management; (ii) traffic operation improvement;
(iii) infrastructure improvement; and (iv) urban transport
options?
What are the key findings regarding parking policy and
imposing a congestion charge?
What needs to be done to encourage use of bicycles
again?

Table A2.6: Issues for Discussion on WMIS Sector EAs/IAs in Beijing
6

3 Nov, PM Ministry of Housing and
Urban-Rural
Development
(MOHURD)

Strategic Issues: MOHURD views on how water and municipal
infrastructure services sector, including urban development,
can contribute to achieving the objectives outlined in the
November 2013 3
rd
Plenum of the Central Committee of the
Communist Party:
resources;
development.

Sector level Issues: What are the sector priorities to
Support greener, more inclusive and sustainable cities/city
clusters
Achieve improved access to municipal and social services,
specifically increasing: (i) urban population with access to
piped water supply; (ii) urban population with access to
improved sanitation; and (iii) domestic solid waste
treatment ratio
Achieve more balance in urban-rural development in the
western and central regions.

ADB support for MOHURD itself as EA, and general
feedback (if any) from local governments as EAs/IAs.
Views on the role and contribution of MOHURD in directing
ADB lending support to particular local governments for
water and municipal infrastructure related services relative
to overall FYP priorities.
scoping of TA projects.
Views on the role and contribution of provincial and local
governments in design and scoping of TA projects
implemented at the national level as these relate to WMIS
loans implemented by local governments.
How has the policy dialog on water and municipal
infrastructure services, including urbanization, evolved

6
CAPE team members Ruel Janolino (Consultant), Marie Gail de Sagon (Consultant), and Xie Pengfei (Consultant)
will attend the proposed meetings.
Appendix 2 31

during the 11
th
and 12
th
five year plan (FYP) periods?
Did ADB support TAs and projects approved during 11
th

and 12
th
FYP periods contribute to any policy / regulatory
framework? If yes, give number, date, title, and brief
description of concerned policy or regulation.
Overall MOHURD views on the innovation objectives of
ADB supported loans and TAs. Are loans and TAs linked
to ADB knowledge products and services (KPS)?
knowledge services?
Views on the effectiveness of existing knowledge sharing
platforms in order to improve adoption/implementation by
municipal authorities (crucial since TA resources support
select pilot/ demonstration only and municipal authorities
appear to implement loans only and not TAs).
What are the likely priority areas for new knowledge in
water and municipal infrastructure services and other urban
development issues in the 13
th
FYP period?
Views on policy based lending and results based lending?
Does MOHURD itself assess the strategic priority and
outcomes/impacts of ADB loans implemented by local
governments? Is there any LGU feedback and/or
MOHURD views on project design complexity, safeguards
issues and compliance, project readiness at approval,
approved during 11
th
and 12
th
FYP periods.
th
and 12
th
FYP periods,
views on TA complexity, quality of consultants, successful
implementation of TAs, timeliness of TA completion and
closing etc.
4 Nov, AM MOHURD
Department of Urban
Development
TA8165: Management of Uncontrolled Landfills (ongoing,
to be closed 30 Sep 2014)

Update on the status of the framework for uncontrolled
landfill management and the strategy for national
implementation.
Update on the status of development and acceptability of
technical guidelines for the remediation of uncontrolled
landfills. Is there any plan to pilot test this in any particular
city?
Progress on the 12
th
FYP targets ( e.g., rehabilitation and
securing of 1,882 uncontrolled landfills in or near major
cities and towns) and overall status of building technical
knowledge and financial, institutional, and regulatory
frameworks to achieve 12
th
FYP targets .
Views on priorities under future update (if any) of the
Master Plan for National Urban Domestic Solid Waste
Treatment Facilities, 20122015.
Views on further knowledge support needed to address
solid waste management (including landfills) in the PRC.
4 Nov, AM MOHURD
Department of Planning,
Financing and Foreign
Affairs
TA7839: Urban Stormwater Management and Waterlogging
Disaster Prevention (closed Apr 2013)
Updates on implementation of the new national policy on
Enhancements of the Construction of Urban Drainage and
32 Appendix 2

Urban Flooding-protective Facilities, issued by the State
Council of the PRC in 2013 (to which the outputs of the TA
contributed to).
Updates on how the piloted operational model plan at the
city level to improve the urban stormwater and
waterlogging prevention mechanisms (Beijing was the
pilot city) is being used by municipal authorities across the
PRC. Which cities are now implementing?
Two knowledge products were yet to be finalized as of TCR
preparation in ADB- views on the value addition or
contribution to innovation of these products.
Views on recommendation to further capacity development
(at national, provincial, and local levels) to utilize
recommendations and implement new policy in urban
development projects.
urban flood water management (including storm water and
water logging management) in the PRC
4 Nov, PM MOHURD
Affairs
TA7083: Urban Wastewater Reuse and Sludge Utilization
Policy Study (closed Sep 2011)

Update on the adoption of a finalized national policy
framework and supporting guidelines for wastewater
reuse and sludge management in the PRC (after
publication of the trial technical guideline for urban sewage
sludge treatment and disposal)
MOHURD views on the findings of related pilot studies and
if ADB support is needed to further adjust the policy
recommendations and technical guidelines and further
capacity development to implement the same across PRC
Updates on implementation by 2 pilot cities (Beijing and
Shanghai) of their strategic plans for wastewater reuse and
sludge treatment and disposal, and whether initiatives to
expand implementation in other cities have progressed
since then
Progress on achievement of 12
th
FYP related targets
Views on priorities under future update (if any) of the
National Plan for the Construction of Urban Wastewater
Treatment and Reuse Facilities (2011 to 2015)
urban wastewater reuse and sludge in the PRC
4 Nov, PM MOHURD
Affairs
TA7002: Urban Wastewater and Solid Waste Management
for Small Cities and Towns (closed Mar 2012)

Update on MOHURDs progress in developing a national
policy framework and guidelines for urban wastewater
management and solid waste management for small
cities and towns in the PRC
Any progress on the draft tariff framework on solid waste
and wastewater management in pilot small cities and towns
for national implementation, after the TA-supported draft
tariff framework for pilot implementation.
Overall progress on tariff reforms intended to allow small
cities and towns to generate funds for the construction and
Appendix 2 33

operation and maintenance (O&M) of UWM and SWM
infrastructure services; overall situation regarding policy on
full cost recovery as well as provision of subsidies by local
governments across PRC.
Any updates/feedback on the pilot implementation of the
guidelines in the counties covering the top three national
pollution control areas of Dianchi Lake Basin (Yunnan
Province); Chao Hu Lake Basin (Anhui Province); and
upstream of the Three Gorges Dam, Chongqing
Municipality (Chongqing City).
waste water and solid waste management as applied to
small towns and cities in the PRC.
6 Nov, PM

6 Nov, PM

6 Nov, PM

Ministry of
Environmental
Protection,
Department of Pollution
Prevention and
Treatment

Ministry of
Environmental
Protection,
Prevention and
Treatment

Ministry of
Environmental
Protection,
Prevention and
Treatment
TA8537: Institutionalization of Urban-Rural Environmental
Master Planning to Guide Environmentally Sustainable
Urbanization in the PRC (SSTA approved Dec 2013, to be
closed Sep 2015)

What is the status of implementation of this TA?

TA7617: Capacity Building for ICT-Based Industrial Waste
Management (closed Jan 2013)

Updates on the operation of the now improved National
Industrial Solid Waste Management Information System
(NISWMIS), current institutional capacity and the state of
implementation of the institutional capacity develoment
plan supported by the TA.
Results of the demonstration in two municipal
Environmental Protection Bureau (EPBs) of implementing
the improved industrial waste management information
system and related testing of the TA supported
management guidelines.

TA4967: Policy Study on Market-Based Instruments for
Water Pollution Control (closed May 2011 )

Results of piloting of projects launched by local
governments across the country, which harness market-
based instrument to strengthen water pollution control,
using the TA recommended policy framework and
operational model.
Updates on progress towards targets under 12
th
FYP
period, including chemical oxygen demand (COD) targets
(TA was partly in response to failure to achieve COD
targets under the 10
th
FYP) and ammonia nitrogen targets
(listed for the first time under the 12
th
FYP as a mandatory
reduction target following TA recommendation) .
Views on TA promoting policy innovation to improve the
efficiency and effectiveness of the PRC environmental
management system.
7 Nov, PM

Ministry of Finance
(MOF), International
TA7974: Promoting Partnerships for South-South
Cooperation (approved Dec 2011) and TA7330: ADB-PRC
34 Appendix 2


7 Nov, PM

7 Nov, PM

Department, TA Division

Ministry of Finance

Ministry of Finance

Platform for Knowledge Sharing and Pilot Workshop on
Sustainable Urbanization (closed Dec 2010)

Current views on the effectiveness of knowledge platform
sharing (KPS) and South-South knowledge cooperation
initiatives supported by ADB TAs.
How have these TAs benefitted EAs/IAs in the WMIS
sector, including LGUs or municipal authorities
(partnerships and knowledge sharing via KSP workshops,
study tours, field visits, papers/publications, policy studies,
information sharing)
TA 7730 piloted KPS in sustainable urbanization did the
activities and KPs translate to substantial capacity
development for municipal authorities in the PRC

TA7703: Capacity Building for Enhanced Partnership and
Development Impact (approved Dec 2010, revised closing
date 31 Dec 2015, original 31 Dec 2013)

Views on improvements in the implementation and
administration of ADB-supported loans and TAs.
Any significant improvements for participating national
agencies, or provincial/municipal authorities involved in
water and municipal infrastructure services and/or the
urban development sector (especially for WMIS projects
that appear to be increasingly complex in design).

TA4933: Facility for Policy Reform and Poverty Reduction
(closed Jun 2010)

Views on how Subproject 1.2 Beijing-Hebei Water
Resource Compensation Mechanisms and Approaches,
one of many subprojects under the TA, contributed to
achievement of the 11
th
FYP targets.
How was output used to support policy reforms in the water
sector national policy framework, operational model or
guidelines, pilot demonstration, etc? How linked to the
work of MOHURD or municipal authorities.
6 Nov, AM NDRC
Department of
Development Planning
TA7533: Policy Study on Strategic Options for
Urbanization (closed June 2013)

NDRC views on specific contribution of the TA to
innovations in the new national urbanization plan of 2014-
2020 (released in March 2014 by the PRC) in the areas of
(i) expediting the hukou household registration system
reform; (ii) effectively coordinating rural urban
development; (iii) optimizing city planning at macro and
micro levels, and (iv) placing more emphasis on
environmentally friendly urbanization.
Views on future efforts that ADB can support under the 13
th

FYP period to support sustainable urban development
planning, including capacity development and addressing
the needs of small and medium-sized cities.

Appendix 2 35

6 Nov, AM NDRC
Department of Climate
Change
TA7687: Strengthening Capacity to Address Climate
Change for Small and Medium-Sized City Development
(closed October 2013)

State of use/adoption by small- and medium-sized cities of
TA-recommended low carbon city development practices
(TA output was to be disseminated to 22 provinces, 5
autonomous regions, and 4 directly administered
municipalities).
Update on results of pilot in two selected PRC cities how
did the two cities (i.e., Guangyuan, Sichuan Province and
Song Xian, Henan Province) apply the good practices
following their applicability assessment in these two cities.
5 Nov, AM

5 Nov, AM
Ministry of Civil Affairs
(MOCA)

Ministry of Civil Affairs
(MOCA)
TA7081: Providing Emergency Response to Sichuan
Earthquake (closed Dec 2008)

Latest update on effort to adopt a more comprehensive
approach to disaster risk management in the PRC.
Has the TA output/outcome (considered highly
successful) helped formulate the key programs
necessary to begin the process of reforming disaster
risk management and disaster response, at the
province level and even the national level.
Views on priorities for supporting disaster risk
management and disaster prevention under the 13
th

FYP.

TA7203: Promoting a More Inclusive and Effective Disaster
Risk Management System (approved Dec 2008 but
subsequently cancelled)

Have the objectives of this cancelled TA been pursued
in other ADB/non-ADB interventions. [Note: The TA
would have supported (i) a review of the current
disaster risk management system in the PRC; (ii)
research on and review of best international practices
and experiences in disaster risk management in
selected developed countries with similar disaster
relevant issues; (iii) the preparation of a strategy and
the recommendation of actions for a more inclusive and
effective disaster risk management system, which the
Government can implement; (iv) a capacity
development program to build knowledge and capacity
for disaster risk management; and (v) pilot testing of a
few demonstration projects that can be replicated. EA
was to have been the Promotion Center for Emergency
Assistance (PCEA)]
Views on the difficulty of implementing this TA- TA
design issues, institutional arrangements, etc?

36 Appendix 2

Table A2.7: Issues for Discussion on Social Sectors in Beijing
7

3 Nov, PM Ministry of Education
(MOEd)

Strategic Issues: MOEd views on how education can contribute
to achieving the objectives outlined in the November 2013 3
rd

Plenum of the 18
th
Central Committee of the Communist Party:
Accelerate transformation of the growth pattern;
Promote innovation both in theory and practice;
Promote equal access to basic public services.

the following:
Integrated development of rural and urban areas;
Improve early childhood education, especially in rural
areas;
Improve access to basic education in Western provinces
and rural areas;
Improve the quality of basic education in Western
provinces and rural areas;
Improve basic educational opportunities for poor children
and ethnic minorities;
Improve quality and relevance of technical and vocational
education (TVET);
Improve skills matching for TVET;
Improve the quality and relevance of university and college
education;
Promote research and innovation in universities.

Role and contribution of MOEd in design and scoping of
education sector loan and TA projects that are executed
and implemented at the Provincial level.
ADB support.
governments in the design and scoping of loan and TA
projects implemented by them.
How has the policy dialog on education evolved during the
11
th
and 12
th
Have ADB supported TAs delivered on their innovation
objectives? Are education TAs and loans linked to ADB
knowledge products and services (KPS)?
What are the findings of MOEds assessment of strategic
priority and outcomes/impacts of ADB loans implemented
by local governments?
th

and 12
th
regulatory framework? If yes, please provide number, date,
title, and brief description of the policy or regulation.
th
and 12
th
five year plan

7
The CAPE team members Maya Vijayaraghavan (Senior Evaluation Specialist) and Li Mou (Consultant) will attend
Appendix 2 37

education in the 13
th
five year plan period?
What is the perception of ADBs education sector
knowledge products and knowledge services?
platforms. How and to what extent the knowledge sharing
benefits provincial and municipal governments on
education related matters?
Views on policy based lending and results based lending.
4 Nov, AM Ministry of Health (MOH) Introduction and Purpose of Mission

Strategic Issues: MOH views on how the health sector can
2013 3
rd
Plenum of the 18
th
Communist Party:
Deepen social structural reform by centering on
safeguarding and improving the peoples wellbeing and
promoting social fairness and justice;
Promote system innovation in the social sector;
Promote equal access to basic public services, including
public health.

Sector level Issues: What are the sector priorities to achieve:
Affordable and accessible healthcare system, for the
elderly, the poor, and all residents of urban and rural areas;
Improved public healthcare infrastructure and service
network;
Improved medical insurance system;
Reformed public hospital system.

ADB support.
Views on the role and contribution of ADB and MOH in
design and scoping of TA projects.
implemented at the national level and at provincial / local
levels.
How has the policy dialog evolved during the 11
th
and 12
th

Regarding TAs approved during the 11
th
and 12
th
five year
plan periods, views on TA complexity, quality of
consultants, successful implementation of TAs, timeliness
of completion and closing etc.
objectives? Are health sector TAs linked to ADB knowledge
products and services (KPS)?
Did ADB supported TAs approved during 11
th
and 12
th
five
year plan periods contribute to any policy / regulatory
framework? If yes, please provide number, date, title, and
brief description of the policy or regulation.
38 Appendix 2

health in the 13
th
knowledge services in the health sector?
platforms. How and to what extent do they help to improve
public health care systems at the provincial and municipal
levels?
Views on policy based lending and results based lending.
4 Nov, PM Ministry of Health
(MOH), Center for
Cooperative Medical
Scheme (CCMS). CCMS
was the IA as listed in
the TA document, but
also became the EA
during the course of the
TA.
TA7592: Rural Health Insurance: Improving Provider
Payment Methods (completed June 2013)

What are your views on the usefulness of the knowledge
product from this TA on provider payment methods for New
Rural Cooperative Medical Scheme (NRCMS), targeting
decision-makers and technical staff?
To what extent has MOH adopted (or is planning to adopt)
the TA recommendations on provider payment methods
(PPM) reform in its policy-making process?
6 Nov, AM National Development
(NDRC), China Health
Economics Institute
(CHEI)
TA4931: Assessment of Rural Health Services System
(completed March 2010)

Have the policy recommendations from this TA contributed
to policy formulation regarding equity, efficiency, and
effectiveness of rural health services;
To what extent did the policy note issued by NDRC form
the basis for a review and possible revision of the Rural
Health Services Construction and Development Program
(RHSCDP)?
Have the recommendations of the knowledge product from
this TA: Summary Report for Decision Makers been
adopted to improve government investment decisions for
rural health?
What are your views on timeliness and usefulness of the
additional knowledge product from this TA: Population
Aging and Longterm Health Care in the Peoples Republic
of China?
5 Nov, AM Ministry of Civil Affairs
(MOCA)

Strategic Issues: MOCA views on how social protection can
2013 3
rd
Plenum of the 18
th
Communist Party:
Deepen social structural reform by centering on
safeguarding and improving the peoples wellbeing and
promoting social fairness and justice;
Reform the income distribution system and promote
common prosperity;
Promote system innovation in the social sector;

Sector level Issues: What are the sector priorities to:
Reforming the hukou system, especially in the context of
the urbanization strategy;
Identifying and targeting the poor for social assistance
(dibao) in rural and urban areas;
Appendix 2 39

Improving dibao coverage and sustainability in both rural
and urban areas;
Integrating rural dibao with the rural pension program, and
medical and financial aid;
In urban areas, providing incentives for beneficiaries to
graduate from assistance, addressing child poverty, and
integrating dibao with other social insurance benefits and
labor market policies.

ADB support.
Views on the role and contribution of ADB and MOCA in
design and scoping of TA projects.
implemented at the national level and at provincial / local
levels.
How has the policy dialog on social protection evolved
during the 11
th
and 12
th
Regarding TAs approved during the 11
th
and 12
th
five year
plan periods, views on TA complexity, quality of
consultants, successful implementation of TAs, timeliness
of completion and closing etc.
objectives? Are TAs on social protection linked to ADB
Did ADB supported TAs approved during 11
th
and 12
th
five
year plan periods contribute to any policy / regulatory
framework? If yes, please provide number, date, title, and
brief description of the policy or regulation.
social protection in the 13
th
knowledge services on social protection?
platforms. How and to what extent do they help to improve
social protection at the provincial and municipal levels?
Views on policy based lending and results based lending
5 Nov, PM Ministry of Civil Affairs
(MOCA),
Department of Social
Assistance (DSA)

TA7438: Strengthening the Antipoverty Effects of Social
Assistance (completed June 2012)

Have the recommendations from this TA resulted in
improvements in social assistance, specifically for: (i)
Sustainable financing and institutional arrangements; (ii)
Identification and targeting the poor; (iii) social inclusion
5 Nov, PM Ministry of Civil Affairs
(MOCA),
Assistance (DSA)
TA7702: Building Equitable Opportunities into Social
Assistance (completed April 2013)

What are your views on the usefulness of the two
40 Appendix 2

knowledge products on migrant access to social
assistance, and linking social assistance to employment
services?
What are your views on the usefulness of the study tour
focusing on social assistance policy design and program
implementation in the United States?
What are your views on the usefulness of the policy note
containing the main findings and policy recommendations?
Were recommendations from this TA on establishing a
social assistance management system (that links
information on beneficiaries and benefits across programs
and administrative levels) implemented? If yes, did it result
in a one-stop shop for all social assistance benefits?
Was the TA recommendation of de-linking access to other
subsidized benefit programs, such as medical and
education assistance from dibao eligibility to address the
lack of incentives to graduate adopted? If yes, did it result
in an increase in graduation from dibao?
5 Nov, PM Ministry of Civil Affaris
(MOCA),
Assistance (DSA)
TA8447: Strategies for Involving Social Workers in Social
Assistance (approved in September 2013; in progress)

To what extent are social workers currently involved in the
delivery of social assistance services?
What are the key challenges/barriers to using social
workers for delivery of social assistance services?
5 Nov, PM Ministry of Civil Affaris
(MOCA),
Assistance (DSA)
TA8095: Performance Evaluation Model for the Urban
Rural Subsistence Security System (approved in June
2012; in progress)

Are there currently any arrangements in place for
information sharing among ministries?
What are your views on the feasibility of data sharing
among ministries in PRC?
In your view, how is a management information system
(MIS) for dibao likely to result in a more effective targeting
indexing system, and address: (i) public and agency
confidence in system efficiency and transparency, (ii) user
satisfaction levels, and (iii) greater social and economic
inclusion of vulnerable groups

Table A2.8: Issues for Discussion with Energy Sector EAs/IAs in Beijing
8

4 Nov, AM National Energy
Administration

Strategic Issues: NEAs views on how energy can contribute to
achieving the objectives outlined in the November 2013 3
rd

Plenum of the Central Committee of the Communist Party:
resources;

8
The CAPE team members Kelly Hewitt (Evaluation Specialist), Alan Poole (Consultant) and Hong Miao
Appendix 2 41

development.

Sector level Issues: What are the priorities to achieve the
following?
Reducing greenhouse gas emissions (from industry,
buildings and power generation) per unit of GDP;
Maintaining the security and affordability of energy supply;
Increasing resilience and reliability of energy supply
(especially electricity);
Increasing the share of natural gas (including shale gas
and CBM/CMM);
Increasing the share of renewable energy, especially for
heat and electricity.
For meeting NDRC's 1 GW target in 2015 for concentrated
solar power (CSP)?

ADB support.
Views on ADBs and your role and contribution in design
and scoping of TA.
th
and 12
th

objectives?
Did ADB supported TAs contribute to any policy /
Views on TA complexity, quality of consultants, successful
closing etc.
What are the likely priority areas for new knowledge in low-
carbon development tools and strategies, integrating
renewable energy into the grid and expanding shale gas
production in the 13
th
knowledge services?
Administration
TA: TA7202: Utilization of Foreign Capital to Promote
Energy Conservation and Energy-Efficient Power
Generation Scheduling (Part B)

The new generation scheduling and dispatch system
(GS&DS) reduced coal consumption per kWh in the pilot
provinces in 2009. What was the impact after 2009? Has
the new GS&DS been applied in additional provinces?
Was most of the saving due to dispatching more efficient
coal plants or to more renewable energy being supplied?
How have the guidelines for generation scheduling and
dispatch evolved since 2009?
The growth of wind and solar implies more variation of the
capacity of thermal plants which is dispatched. What
measures, if any, are being taken to increase the overall
capability of thermal plants to ramp output up or down?
Are forecasting tools for wind & solar significantly improving
42 Appendix 2

the accuracy of thermal plant scheduling?
What progress has there been towards establishing a
competitive wholesale market for electricity?
Administration
TA7963: Enhancing the Energy Regulation System for
Low-Carbon Development

What is the status of the TA? Were there any knowledge
products?
What were the recommendations on amending the
electricity law to promote low-carbon development (Part 1)
and regarding shale gas development (Part 2)? Has NEA
endorsed the policy recommendations made under the TA?
What changes have been or are being made in the
electricity law?
What are the prospects for shale gas development - can
"best practices" adequately limit adverse environmental
impacts?
What is the assessment of expanding natural gas supply
on the deployment of renewable energy resources?
Administration/ Ministry
of Finance
TA4975: Utilization of Renewable Shallow-Ground Geo-
Energy (SGGE)

What were the conclusions regarding: the potential and
opportunities for SGGE (Shallow-Ground Geo-Energy) for
space heating and cooling; appropriate business models?
Has there been any follow-up on SGGE?
Were the proposed demonstration projects implemented?

7 Nov,
AM-PM
National Development
(NDRC)


following?
Reducing other environmental and social impacts of energy
supply and use;
Increasing the efficiency of energy use;
heat and electricity;
Capturing and storing CO
2
from power generation and
industries.

demand-side energy efficiency; carbon capture, use &
storage (CCUS); and low-carbon development tools and
strategies in the 13
th

7 Nov, NDRC - Department of TA4948: Promoting Resource Conservation and Energy
Appendix 2 43

AM-PM Resource Conservation
and Environmental
Protection (DRCEP)
Efficiency

What role did this TA and the energy conservation
evaluation system (ECES) play in developing national EE
programs?
Did subsequent EE projects use the ECES approach?
Was the ECES associated with any particular EE
mechanism, such as tax and rebate incentives?
How have priorities and mechanisms for achieving EE
gains in industry, buildings and residential energy use
evolved since 2006/7?
To what extent is there coordination and information
exchange with the Ministry of Industry and Information
Technology (regarding TA7564: Innovative Financing
Mechanisms for Energy Efficiency and Emission Reduction
in Small- and Medium-sized enterprises)
7 Nov,
AM-PM
NDRC - Foreign Capital
Utilization Department
TA7202: Utilization of Foreign Capital to Promote Energy
Conservation and Energy-Efficient Power Generation
Scheduling (Part A)
What role did this TA play in the preparation of the three
demand-side energy efficiency projects in Guangdong,
Hebei and Shandong?
Are these energy efficiency projects achieving the desired
results? Has there been replication of the approach in other
provinces?
How have priorities and mechanisms for achieving EE
gains in industry, buildings and residential energy use
evolved since about 2006?
What barriers are being encountered and adjustments in
EE policies and mechanisms are being considered?
7 Nov,
AM-PM
NDRC - Department of
Climate Change (CC)
TA7286: Carbon Dioxide Capture and Storage (CCS)
Demonstration-Strategic Analysis and Capacity
Strengthening
Ref TA8133: Road Map for Carbon Capture and Storage
(CCS) Demonstration and Deployment

What is the current status of the preparation of the Road
Map? Are there preliminary conclusions? Is it believed
that CCUS could make a significant contribution to GHG
mitigation? Is this approach to GHG mitigation a priority for
achieving the Low-Carbon Goal for 2020 ?
What demonstration projects other than the Tianjin IGCC
are being developed? Has there been a list and ranking of
possible CCUS demonstration sites? Is the focus
exclusively on power generation plants (especially coal)?
Are proposals for CCUS natural gas-fired power plants (eg
TA8001 , with Datang Power) going ahead?
Is the objective to demonstrate power plants with zero net
emissions, or to capture and store only a part of the
emissions?
Has a suitable business model (or models) for
implementing early-stage CCS projects been developed?
7 Nov,
AM-PM
NDRC - Department of
Climate Change (CC
TA8563: Strategic Analysis and Recommendations for
Achieving the 2020 Low-Carbon Goal
44 Appendix 2


What is the status of the TA and what knowledge products
are planned?
Under the 12th FYP's endeavor to reduce energy and
carbon intensity - what has worked well so far? What
challenges have emerged?
What are key premises and initial conclusions regarding
targets for the 13th FYP? Is there a need to differentiate
targets and mechanisms across provinces?

17 Nov, AM Datang Power


Strategic Issues: Datang Powers views on how energy can
2013 3
rd
Plenum of the Central Committee of the Communist
Party:
resources;
development.

following?
Reducing greenhouse gas emissions (from industry and
buildings) per unit of GDP;
supply and use;
Increasing the share of natural gas (including shale gas
and CBM/CMM);
Capturing and storing CO2 from power generation and
industries.

ADB support.
and scoping of loan and TA.
objectives?
closing etc.
carbon capture, use & storage (CCUS) in the 13
th
five year
plan period?
17 Nov, AM Datang Power

TA8001: Study on Carbon Capture and Storage (CCS) in
Natural Gas-Based Power Plants
Appendix 2 45


What is the status of this TA?
Has a CCS road map been developed for a natural gas-
based combined heat and power (CHP) plant?
How did the TA assist Datang in moving forward with
developing CCS technology for the new Gaojing plant?
Is a date expected for commissioning of the Gaojing pilot
CCS? If no date yet set, then what are some of the current
challenges faced that must be addressed to facilitate CCS
pilot testing?
Is the target of the pilot to have zero net emissions?
Have CCS-ready standards been developed and priority
CCS-ready projects been identified? Was a knowledge
product disseminated?
17 Nov, AM General Administration
of Quality Supervision,
Inspection, and
Quarantine (AQSIQ)

Strategic Issues: AQSIQs views on how energy can contribute
rd

Plenum of the Central Committee of the Communist Party:
resources;
development.

Sector level Issues: What are the priorities to achieve
Increased efficiency of energy use, specifically of commonly
used appliances?

ADB support.
and scoping of TA.
th
and 12
th

objectives?
closing etc.
demand-side energy efficiency in the 13
th
five year plan
period?
knowledge services?
17 Nov, AM AQSIQ TA8174 : Promoting Energy-Efficient Products by
Strengthening the Energy Labeling Scheme

What is the status of this TA? Is any knowledge product
46 Appendix 2

produced from this TA for wider dissemination?
What is the status of the China Energy Label (CEL)
program today - specifically, are the 2015 targets for
adopting the new instructions on track? Have the
instructions been pilot tested?
What are the conclusions of the assessment of the CEL
program and how does it compare with other countries'
energy label schemes?
What is needed technically and with regard to regulatory
policy to strengthen the CEL scheme? What is the
estimated impact on energy consumption of the
strengthened CEL program?
Has the priority of the CEL program increased? Is it
planned to introduce mandatory minimum standards,
building from the capabilities of the CEL?
The ability to test appliance efficiency can be adapted in
the future to test for demand response capability. Is
attention being given to testing the demand response
capability of appliances?
17 Nov, PM China Clean
Development
Mechanism Fund
(CCDMF)

Sector level Issues: What are the priorities to reduce
greenhouse gas emissions (from agriculture, industry,
buildings, transport and power generation) per unit of GDP?

ADB support.
and scoping of TA projects.
th
and 12
th

innovation objectives? Are energy and climate change
loans and TAs linked to ADB knowledge products and
services (KPS)?
Did ADB supported TA contribute to any policy / regulatory
closing etc.
What are the likely priority areas for new knowledge in low-
carbon development tools and strategies in the 13
th
five
year plan period?
knowledge services?
17 Nov, PM CCDMF TA7212: China Clean Development Mechanism Fund
(CCDMF) Capacity Development

TA was approved in 12/2008 & was completed 16 months
late in December 2011. The TA is rated highly successful.
However, it was about that time that CDM market prices
began to collapse. What is the present status of CCDMF?
Appendix 2 47

A book on PRC's CDM experiences was to be released in
2012. Did that occur?
Given the collapse of the CDM in 2012, what has been
taken from the CDM experience to facilitate movement
forward for new, current, and innovative financial
mechanisms that further catalyze clean energy
development in the country?
Did ADB follow up with co-financed projects as
recommended?
17 Nov, PM CCDMF TA8580: Innovative Models for Climate Change Financing

Why is there a need for a fund of funds for climate change
in the PRC? IS the goal both innovative financing and
technologies?
Why is it important that the fund of funds operate like a
private venture capital fund? What are the perceived
benefits?
18 Nov, AM State Administration of
Work Safety (SAWS)


Sector level Issues: What are the priorities and approaches to
achieve the following?
Reducing the local environmental and social impacts of
energy supply and use;
Increasing the share of coal bed and coalmine methane
CBM/CMM which are recovered.

ADB support.
and scoping of TA?
th
and 12
th

objectives?
Did ADB supported TA contribute to any policy / regulatory
closing etc.
What are the likely priority areas for new knowledge in coal
supply and coal mine safety in the 13
th
five year plan
period?
18 Nov, AM SAWS TA4849: Coal Mine Safety Study

How has the SAWS's coal mine safety program developed
since 2006? How have the key indicators of coal mine
safety evolved since 2006?
What were the key contributions of this TA? It was
expected that, if successful, the TAs approach in the
Zhengshou mining area would be replicated in other mining
areas. Was it? If so, in which areas?
A key conclusion of the TA was the importance of the
48 Appendix 2

capture of methane (CMM/CBM). How has CMM/CBM
capture and use evolved since 2006 (provinces, number of
mines, volume of gas? Is there still a significant share of
CMM/CBM which is not recovered? If so, what are the main
barriers to increasing recovery?
What are the main challenges to the improvement of coal
mine safety. Is there any area where ADB might provide
support?
18 Nov, AM China Huadian
Engineering Company
(CHEC)


following?
supply and use;
heat and electricity;

ADB support.
Views on the role and contribution of MWR in design and
th
and 12
th

objectives?
th

and 12
th
closing etc.
renewable energy in the 13
th
knowledge services?
18 Nov, AM CHEC TA7402: Concentrating Solar Thermal (CST) Power
Development

What are the key points in the CSP road-map?
As follow-up there are two 50 MW demos with ADB support
(Gansu and Qinqhai). Are there other CSP projects as
well?
What are the prospects for meeting NDRC's 1 GW target in
2015 for CSP?
What is the current status of the regulatory and tariff
framework? Is it adequate or are additional regulatory and
tariff reforms needed?

18 Nov, PM North China Grid Introduction and Purpose of Mission
Appendix 2 49

Company

following?
supply and use;
heat and electricity.

ADB support.
and scoping of loan and TA projects.
th
and 12
th

objectives?
closing etc.
integrating renewable energy into electricity supply in the
13
th
knowledge services?
18 Nov, PM North China Grid
Company

TA7721: Developing Smart Grid Technology for Efficient
Utilization of Renewable Energy

This is the first ADB TA predominantly focused on the
smart grid and integrating renewables. To what extent are
the recommendations from this TA being considered or
have been adopted by North China Grid Company?
What has been the evolution of efforts to integrate wind
(and subsequently solar) energy in the power grid system
over the past few years?
Is there a knowledge product or guidelines that cover: (a)
the procedures and standards to Improve capacity of grid
to integrate wind power plants; (b) smart grid road map for
harmonizing renewable energy development with grid
expansion been developed; (c) wind forecasting tools?

50 Appendix 2

Table A2.9: Issues for Discussion on ANR Sector EAs/IAs in Beijing
9

3 Nov,
AM-PM
Ministry of Agriculture Introduction and Purpose of Mission

Strategic Issues: MOA views on how Agriculture sector can
2013 3
rd
Plenum of the 18
th
Communist Party:
resources;
development.

the following?
Ensure food security and meeting the growing urban
demand for quality and safe food.
Rural development and reducing the gap between urban
and rural areas
Environmentally sustainable adoption of mechanization and
new technology in agriculture

ADB support.
th

and 12
th
th

and 12
th
innovation objectives? Are agriculture loans and TAs linked
to ADB knowledge products and services (KPS)?
knowledge services?
agriculture sector in the 13
th
five year plan period? What
role can ADB play in that?
lending?
approved during 11
th
and 12
th
Most ADB supported completed projects are considered
successful or highly successful. What is the outlook for
success of ongoing projects? Are ongoing projects

9
The CAPE team members Srinivasan Palle Venkata (Evaluation Specialist), Alan Poole (Consultant) and Hong
Miao (Consultant) will attend the proposed meetings.
Appendix 2 51

generally more complex than completed projects?
th
and 12
th
five year plan
3 Nov,
AM-PM
Ministry of Agriculture

TA4810: National Strategy for Rural Biomass Renewable
Energy (BRE) Development

To what extent community based straw digestion systems
have been piloted and ready for replication?
Are extension services being made available for community
or centralized BRE projects?
How will sustainability of biomass resource be ensured and
technical support services for the maintenance of the
biogas system operations?

3 Nov,
AM-PM
(Implementing Agency)
TA4987: National Strategies for Environmental
Management and Energy Conservation

Have any fiscal measures been considered for reducing
emissions from agriculture?
Have any strategies been identified for scaling up the
commercialization of energy crops for producing biofuels
while taking into account the food security concerns and
environmental implications?- possible crops and locations
3 Nov,
AM-PM
Ministry of Agriculture TA7027: Strengthening the Capacity of the Sanmenxia
Municipal Government in Strategic Planning and
Management

To what extent the use of good agricultural practices
(management practices regarding inputs, waste disposal)
manual been promoted and used in the province?
Did it have a demonstration effect in other places
(replication)?
Is Insurance being provided to farmers moving into high
value crops?
3 Nov,
AM-PM
(IA-Department of
Development and
Planning)
TA8126: Study on Modern Agriculture Demonstration Area
(MADA) Planning and Financial Support Mobilization

Has the MOA been able to mobilize finances for the MADA
approach?
How has the MADA approach worked in terms of
encouraging adoption of modern agriculture?
What policy implications are derived from the MADAs?
(e.g. microfinance, insurance or pricing of inputs/outputs)
Any spillover effects on other areas?
3 Nov,
AM-PM
(Department of
Development Planning)
TA7306: Policy Study on Government Public Expenditure
in Agricultural Production

What were the major recommendations from the review of
public expenditure policies?
Have these been incorporated in the government action
plans?
Any knowledge products published on review of public
52 Appendix 2

expenditure on agriculture or on the impact of climate
change on food security in PRC?
3 Nov,
AM-PM
Ministry of Agriculture Loan2474: Dryland Sustainable Agriculture

How far did the project provide incentives to farmers to
adopt water and land conservation measures?
To what extent the high value cropping and value chain
approach increase farm incomes?
What lessons have been derived for likely replication of this
approach to other provinces?
3 Nov,
AM-PM
(Foreign Economic
Cooperation Center)
TA7534: Strengthening Carbon Financing for Regional
Grassland Management in Northeast Asia

How has the TA helped in facing the challenges monitoring
of grassland carbon finance projects and in the creation of
carbon markets?
Have potential financiers been identified for carbon
financing for grasslands?
Have any project proposals been prepared for discussion
with potential financiers?
4 Nov, PM Beijing Municipal Bureau
of Financial Work

Strategic Issues: Municipal Bureaus views on how market-
based eco-compensation mechanisms can contribute to
achieving the objectives outlined in the November 2013 3
rd

Plenum of the 18
th
resources;
development.

the following?
Sustainable land management
Climate change adaptation and mitigation

ADB support.
th

and 12
th
What are your views on ADB contributions to any policy /
What are your views on innovation related contributions of
ADB interventions?
knowledge services?
What are the likely priority areas for new knowledge
regarding sustainable land management and climate
Appendix 2 53

change in the 13
th
five year plan period? What role can
ADB play in that?
lending?
Most completed projects are considered successful or
highly successful. What is the outlook for success of
ongoing projects, many of which have complex designs?
th
and 12
th
five year plan
of Financial Work
TA8471:Market-Based Multisector Eco-compensation
Mechanisms in Beijing

What are the major findings so far on the potential and
valuation of carbon sequestration in agriculture and forestry
sectors?
Has the feasibility of incorporation carbon trading market in
forestry and agriculture been examined?
Were any recommendations made regarding fiscal policies
or market based eco-compensation mechanisms?

of Financial Work
TA7589: Study on Beijing Green Finance Development
Strategy

In 2011, the NDRC issued the Notice on the
Implementation of Pilot Carbon Emission Trading, which
approved the establishment of 7 regional pilot ETSs.
During 2013, 5 pilot ETSs were launched in Shenzhen,
Shanghai, Beijing, Tianjin, and Guangdong. How did this
TA facilitate the establishment of subsequent ETSs?
What are the key issues (found under the case of the
Beijing ETS pilot) in the development of carbon markets?
Who are the stakeholders that would form the Beijing
carbon finance district? Are they fully participatory?
What more is needed to get the Beijing District up and
running?
5 Nov, AM-
PM
Ministry of
Environmental
Protection (MEP)

Strategic Issues: MEP views on how soil and water pollution
management can contribute to achieving the objectives
outlined in the November 2013 3
rd
Plenum of the 18
th
Central
Committee of the Communist Party:
resources;
development.

Sector level Issues: What are the priorities to achieving the
following?
Balance between agricultural modernization and
environmental protection
54 Appendix 2

Reducing surface and ground water pollution
Managing soil pollution
Managing human and farm livestock wastes in rural areas
Supporting green, inclusive and sustainable growth

ADB support.
Views ADBs and your role and contribution in design and
th

and 12
th
th

and 12
th
innovation objectives? Are environment and natural
resource management loans and TAs linked to ADB
knowledge services?
environment and natural resource management in the 13
th

five year plan period? What role can ADB play in that?
Views on effectiveness of existing knowledge sharing
platforms to improve adoption / implementation by
municipal authorities
lending?
approved during 11
th
and 12
th
ongoing projects?
th
and 12
th
five year plan
5 Nov, AM-
PM
Ministry of
Environmental
Protection

TA7217: Preparing National Guidelines for Eco-
compensation in River Basins and a Framework for Soil
Pollution Management

Are there plans for pilot testing the framework
recommended for market based eco-compensation efforts?
Has there been pilot testing of the framework for soil
pollution management?
What knowledge products are being produced?
5 Nov, AM-
PM
Ministry of
Environmental
Protection (Department
of Pollution Control)
TA7952: Nonpoint Source Pollution Control in Catchment
Areas

Appendix 2 55

What are the main causes identified for non-point source
pollution (NPS)?
What are the major challenges to controlling NPS?
What international practices were identified?
What are the policy recommendations?
Is a knowledge product likely to be published?
5 Nov, AM-
PM
Ministry of
Environmental
Protection
TA8445: Policy and Management System Development for
Rural Environmental Protection

What international best practices were identified in rural
sewage and household solid waste management?
What kind of policy changes are expected due to the TA
recommendations?
5 Nov, AM-
PM
Ministry of
Environmental
Protection
TA8175: Improving the Institutional Framework for
Environmental Statistics

What are the key contributions of this TA towards tracking
pollution from different sources?
What has been the progress in adopting the technical
guidelines on accounting methods for livestock related
pollutants by the concerned departments?
5 Nov, AM-
PM
Ministry of
Environmental
Protection
TA7915: Innovations in Administrative Functions of
Environmental Protection and Human Resources
Development

Have any Knowledge Products been prepared from this
TA?
What type of changes if any were made in administrative
systems and institutional frameworks as a result of this TA?
What steps have been recommended for strengthening
human resource capacity in environment protection skills?
5 Nov, AM-
PM
Ministry of
Environmental
Protection
TA7191: Design of the National Sulfur Dioxide Emission
Trading System

In what way has this TA contributed to the national SO2
trading system?
How successful has the market been? Have national
annual SO
2
emissions from power generation been
reduced? As of close of year 2013, by how much since
close of year 2008? [10 million tpy was the national goal]
Is SO
2
trading policy limited to power plants or has it been
expanded to cover industries?
How has the SO
2
trading system served as a reference for
more recent carbon trading systems being pilot tested?
Were there any knowledge products resulting from the TA?
6 Nov, AM-
PM
Ministry of Water
Resources (MWR)

Strategic Issues: MWR views on how irrigation and water
resource management can contribute to achieving the
objectives outlined in the November 2013 3
rd
Plenum of the 18
th

resources;
56 Appendix 2

development.

Sector level Issues: What are the sector priorities to:
Improve Irrigation water use efficiency
Manage risks from floods and droughts
Optimize allocation of river basin water resources across
competing uses

ADB support.
th

and 12
th
th

and 12
th
innovation objectives? Are ADB loans and TAs linked to
ADB knowledge products and services (KPS)?
knowledge services?
water resource management in the 13
th
five year plan
period? What role can ADB play in that?
lending?
approved since 2006.
ongoing projects?
th
and 12
th
five year plan
6 Nov, AM-
PM
Ministry of Water
Resources

TA7049: Implementing the National Flood Management
Strategy

What recommendations have been made and what steps
have been taken to improve the flood management
strategies in the Hunan and Jianxi provinces?
What prototype projects have been developed to test the
national flood management strategy including improved
flood forecasting, flood risk mapping etc at the provincial
level?
6 Nov, AM- Ministry of Water TA7261: Strategy for Drought Management
Appendix 2 57

PM Resources
What has been the progress in the adoption of drought
management strategy and preparation of action plans at
the local government level?
Has the action plan been pilot tested or are there any plans
to do so?
6 Nov, AM-
PM
Ministry of Water
Resources
TA7127: River Basin Water Resources Allocation and
Management Policy

What has been the progress in developing operational
guidelines for river basing water resource allocation based
on the TA recommendations?
Have water allocation plans been developed for any of the
river basins so far?
Is the recommended framework being pilot tested in any of
the river basins?
6 Nov, AM-
PM
Ministry of Water
Resources
TA8185:Pilot Implementation of the Drought Management
Strategy

Have detailed plans for managing drought risk been made
in all the pilot provinces?
What is the progress in the preparation of guidelines for the
implementing the national drought management strategy?
To what extent has institutional capacity been developed
for drought management and water conservation?
7 Nov, PM State Forestry
Administration

Strategic Issues: SFA views on how sustainable land
management can contribute to achieving the objectives
rd
Plenum of the 18
th
Central
resources;
development.

the following?
Prevention of land degradation
Sustainable forest management
Climate change adaptation and mitigation

ADB support.
th

and 12
th
th

and 12
th
58 Appendix 2

innovation objectives? Are ADB loans and TAs linked to
knowledge services?
13
th
five year plan period? What role can ADB play in that?
lending?
approved during 11
th
and 12
th
ongoing projects, some of which have complex designs?
th
and 12
th
five year plan
Administration

TA7439: Management and Policy Support to Combat Land
Degradation

Have any innovative sustainable land management
practices been pilot tested so far? If so, what is the
likelihood of scaling up these practices?
To what extent has integrated ecosystem management
(IEM) been effective in combating land degradation?
What are the major challenges to implementing IEM
approach to tackle land degradation?
Administration

Loan2744: Forestry and Ecological Restoration in Three
Northwest Provinces

To what extent integrated ecosystem management (IEM)
approach has been mainstreamed into economic tree crop
development and ecological forestry development?
To what extent did the IEM approach lead to productivity
increase in forest lands and reduced land degradation?
7 Nov; AM NDRC (Department of
Western Region
Development)
TA7699: Study on Eco-compensation Regulations

What has been the progress so far in the drafting of
national eco-compensation legislation?
Has any Knowledge product been produced based on the
review of international approaches in eco-compensation
and payment for ecosystem services legislation?

Appendix 2 59

Table A2.10: Issues for Discussion on Water and Urban sector with EAs/IAs in Nanning,
Guangxi
10

10 Nov,
AM
Guangxi Zhuang
Autonomous Region
Government (GZARG)

Strategic Issues. In what way and to what extent can ADB
November 2013 3
rd
Plenum of the 18
th
Central Committee
of the Communist Party: (i) giving a more decisive role to
the market for allocating resources; (ii) increasing
tertiary sectors; and (iii) environmentally sustainable and
socially equitable development.
ADB support to Guangxi. In what way and to what extent
has ADB contributed to reducing disparities between
Guangxi and other provinces/regions? Are ADB programs
tailored to Guangxi requirements? Are ADB programs
flexible to meet Guangxis changing requirements? Has
ADB support contributed to formulating policy at the
provincial or local level? What are your views on time
required and processes followed to obtain ADB support?
Innovation. In what way are ADB supported loans and TAs
considered innovative? What are your views on: (i) capacity
of EAs/IAs to employ innovative projects; and (ii) ADBs
implementation of innovative projects?
Knowledge. What is the perception of ADBs knowledge
products and services (KPS) so far? What are the likely
priority areas for new knowledge in the 13
th
five year plan
period? What contribution is expected from ADB?
Regional Cooperation. What is your view of ADB inputs to
improving cooperation with GMS countries? How can ADB
support PRC and Guangxi governments agenda for
regional cooperation and south-south cooperation,
including in water and municipal infrastructure and services
sector?
Private Sector. What support should ADB give to
encourage private sector in transport, water, energy and
other infrastructure development in Guangxi?
Environmental and Social Issues. Are there regular
establishments in Executive and Implementing Agencies in
Guangxi to oversee environment management,
resettlement and indigenous people safeguards? What
steps are being taken to improve the situation?
Capacity Development: What measures are being taken
by the government to retain trained staff?

Sector issues at the province level: GZARG priorities with
respect to
supporting greener, more inclusive and sustainable
cities/city clusters
achieving improved access to municipal and social
services, specifically increasing the:
o urban population with access to piped water supply

10
CAPE team members Ruel Janolino (Consultant), Marie Gail de Sagon (Consultant) and Xie Pengfei (Consultant)
60 Appendix 2

o urban population with access to improved sanitation
o domestic solid waste treatment ratio
delivery of water and municipal infrastructure services as
well as urbanization challenges, specifically on:
(i) water supply
(ii) sewerage and sanitation
(iii) waste management
(iv) flood control
(v) urban redevelopment
(vi) capacity development
tariff reforms, cost recovery and subsidy support for
delivery of municipal services
private sector participation
10 Nov,
PM
Guangxi Zhuang
Autonomous Region
Government (GZARG)

[IA: Three municipal
governments: Beihai
municipal government
(BMG), Qinzhou
(QMG), and
Fangchenggang
(FMG) and their
respective project
implementing companies
(PICs)]
Project-specific questions

LN2821: Guangxi Beibu Gulf Cities Development (approved
Dec 2011, closing (original) on 30 Jun 2017)

Updates on provincial government policy and regulatory
environment for tariff setting for municipal services in
Guangxi?
Updates on status of unbundling of municipal services
tariffs and GZARG plans to unbundle (if any).
Updates on current state of cost recovery and levels and
sources of subsidy for municipal services in GZAR.
Project involves significant involuntary resettlement, which
is identified as a possible source of risk and with mitigation
indicated as (i) early availability of compensation for
affected persons; (ii) knowledge transfer from other cities in
Guangxi with ongoing ADB financed projects. Any
implementation issues so far (appears to be a challenge for
prior WMIS projects)? How are these being addressed?
Prior solid waste project in Nanning, Guangxi covenants
increases in tariffs for revenue generating components
(wastewater treatment plant). This loan no longer does so,
although municipal government commits to providing
subsidies to sustain operations if revenues do not cover
O&M. Why the shift? Financial analysis for the project
indicates that waste water tariffs will need to be increased
every 5 years.
Cost-recovering Tariff: The reform agenda in promoting
greener urbanization (in Urban China prepared by The
World Bank and Development Research Center of the
State Council, the Peoples Republic of China) includes the
recommendations of setting cost-recovering tariffs and
completing water metering to encourage water-saving
behavior and generate resources to sustainably fund water
and wastewater management. What are the activities
towards this direction?
Industries Connected to the WWTP: Achievement of project
outcome (better urban infrastructure services and
environment in five project areas in the three project cities)
assumed (indicated in DMF) that all industries connected to
the WWTP comply with pre-treatment obligations for their
Appendix 2 61

wastewater discharge. What is the progress on this aspect?
10 Nov,
PM
Guangxi Zhuang
Autonomous Region
Government (GZARG)

Project Specific (RCI theme):
TA7380: Enhancing Border Trade Services and Rules for
Small and Medium-Sized Enterprises (SMEs) (closed 30-
Sep-13)
To what extent are the policy/regulatory recommendations
being considered or have been adopted?
Have any and new financial products been made available
to SMEs to enable cross border trading?
Is there any visible benefit to SME traders?

TA7356: Developing Cross-Border Economic Zones
between the People's Republic of China and Viet Nam
(approved 30-Sep-09, to be closed 31-Dec-14)

What has been the experience so far in the private sector
participation in cross border economic zones and in
attracting investments to the economic zones? Specific to
PingxiangDong Dang CBEZ?
11 Nov,
AM-PM
Guangxi Zhuang
Autonomous Region
Government (GZARG)

[IA: Three municipal
governments: Baise
(BMG), Chongzuo
(CMG) and
Fangchenggang
(FMG) and their
respective project
implementing companies
(PICs) ]
LN 2657: Guangxi Southwestern Cities Development
(approved 26 Jul 2010, closing (original) on 31 Dec 2015)

Need implementation updates. Project has significant land
acquisition and resettlement impact. Has land acquisition
and resettlement been a continuing challenge-
implementation and cost-wise, as in previous urban
development projects in Guangxi?
Does packaging components dealing with various services
- urban development, urban transport and urban
environment result in more effective project design? Do
integrated projects result in more effective implementation?
Are project delays already foreseen at this point?
(Cumulative loan disbursements as of August 2014 at
about 36%.)
Status of Guangxi's regional integration activities to the
Southeast Asian markets.
Status of existing wastewater treatment systems: The
project will included sewerage pipelines as part of the
related municipal infrastructures. Can the existing sewage
treatment system handle the additional wastewater load? If
not, what is the schedule for the additional treatment
systems?
Problems/difficulties in fully complying with ADB policies
and operational requirements for project implementation.
Status of Capacity Development for Project
Implementation: Part of the project's capacity development
is to provide technical support, including training to GZARG
and the project cities, to ensure that project implementation
will fully comply with ADB policy and operational
requirements. What is the progress and outlook?
11 Nov,
AM-PM
Baise Municipal
Government (BMG).

[IA: BaiseDevelopment
LN3035: Guangxi Baise Integrated Urban Environment
Improvement (approved Sep 2013, closing (original) on 30
Jun 2019)

62 Appendix 2

& Investment Group] How does PRC/GZARGdetermine a project with urban
transport/urban development component as having regional
cooperation and integration (RCI) impact- eg., this project
vs. L2821- Guangxi Beibu Gulf Cities Development (with
RCI impact)vs. L2657 - Guangxi Southwestern Cities
Development (with RCI impact)vs. L2491 - Guangxi
Wuzhou Urban Development (no RCIimpact) vs. L2239 -
Guangxi Nanning Urban Environmental Upgrading (with
RCI context).
Involuntary resettlement significant. Any indications of
implementation issues on resettlement [perhaps too early to
tell]?
Status of existing Baise wastewater treatment system: The
project will construct a wastewater collection trunk line to
take wastewater from Dongsun to the existing build-
operate-transfer wastewater treatment plant in Baise. Can
the existing system handle the additional wastewater load
from 12,000 new customers in Dongsun? If not, what is the
schedule for the additional treatment capacity?
Integrated community development planning on solid waste
management: It is assumed that the proposed solid waste
transfer station will be used by people including women. In
what way is the transfer station anchored on an effective
community-based solid waste management program, so
that it would be used by people, including women.
Status of Capacity Building and Project Management: What
is expected to be achieved through the project component
for institutional development and capacity building in
integrated urban development, (integrated feature is the
laying of water supply pipelines and wastewater collection
trunk lines along urban road alignments).
Problems/difficulties in fully complying with ADB policies
and operational requirements for project implementation.
11 Nov,
AM-PM
Wuzhou Municipal
Government (WMG)
[IA: Dongtai State
Assets Operations
Corporation]
TA2491: Guangxi Wuzhou Urban Development (approved
15 Dec 2008, closing (revised) on 31 Dec 2016)

The proposed revolving financing mechanism (an
innovation per RRP) would enable the WMG to fully recover
the cost of geohazard resettlement and prevention through
sales of the treated and geohazard-free land, assuming
urban land values remain in Wuzhou and initial resetllement
costs estimates do not change substantially. Are these
assumptions still true? Is there likely prospect for the
revolving financing mechanism to work, now knowing the
post appraisal environment?
Has the cost of resettlement been well estimated any
indications of cost overruns at this point? [Land acquisition
and resettlement at appraisal about 32% of investment
costs- is this changing?]
Status of Capacity Development and Institutional Building:
What is the status / outlook, in terms of providing technical
support, including relevant training in urban planning and
strengthening the capacity of the project implementing
agency (to meet the operational requirements of the Project
Appendix 2 63

during implementation)
Status of sewerage system: The Hongling 36.2-kilometer
urban road network will include sewers. Will this be
connected to an existing wastewater treatment system and
can the system handle the additional wastewater load from
7,000 people?
11 Nov,
AM-PM
Nanning Municipal
Government (NMG)

[IAs: Four state-owned
enterprises: (1) Nanning
Investment and
Development Company
for the Xinxujiang River
environmental upgrading
subproject; (2) Nanning
Xiangsihu Investment,
Construction, and
Development Company
Limited for the Kelijiang
River environmental
upgrading subproject;
(3) Nanning Shixi Solid
Waste Treatment
Company Limited for the
solid waste management
subproject; and (4)
Nanning Qingxiu
Mountain Scenic and
Tourist Resort
Development Company
Limited for the
Qingxiushan Park
ecological upgrading
subproject.]
LN2239: Guangxi Nanning Urban Environmental Upgrading
(approved 26 Jun 2006, closed (actual) on 16 Dec 2013)

Updates on the Water City concept (adopted and
implemented by NMG in 2009 following the update of the
city masterplan) how did it result in significant changes in
project scope and costs? Was ADB sufficiently flexible and
responsive to these policy changes?
The NMG policy on compensation rates for land acquistion
and resettlement was revised in 2008, resulting in
significant project cost increases. Do these adjustments
put NMGs current adjusted rates at par with the rest of
GZAR/PRC? Are more rate adjustments expected in the
future? What are the NMG principles for determining these
compensation rates and their adjustment? What are the
factors that will be affecting such adjustments in the future?
What is the latest GZAR/NMG action on solid waste tariffs-
are upward adjustments to obtain full cost recovery in the
schedule or is the bundling of the the solid waste, water
and sanitation services tariffs pushing through. [Views on
the magnitude of current underrecovery and compare to
other municipal governments in GZAR? Average PRC?]
At appraisal, the share of government and external
financing to total project cost was 58% and 4%
respectively. What drove the significant shift in shares for
government and local bank loans to 15% and 68% of total
project costs, respectively. [Resettlement costs not directly
funded from the budget? Are these usually financed
through municipal and other loans?]
Compared to mainly waste management only projects,
does packaging of projects benefit more from integrating
subcomponents that cover a broader scope of urban
environment challenges (flood control, waste water
management, solid waste management, greening and other
sanitation subcomponents)? Does it improve effectiveness
in terms of achieving FYP/city masterplan goals?
Efficiency?
In the shift from manual to mechanized SWM in addition
to new plant and equipment, what manpower and
management capacity has been built?
SW Tariff: The reform agenda in promoting greener
urbanization includes the recommendations of phasing out
(partially) the subsidies for solid waste management over a
period of five to ten years while payment mechanisms are
introduced to create incentives to reduce waste, recycle
more, and operate systems more efficiently and effectively.
What are the activities and plans towards this direction?
Sustainability of outcomes for the solid waste management
64 Appendix 2

aspect would be unlikely if the tariff issue is not addressed.
The PCR (June 2014) mentioned that solid waste tariff
remains too low for full cost recovery and does not cover
the O&M costs fully. The project design assumed that the
intended project outcome (improved urban environmental
management) will be achieved if customers are willing to
pay increased tariffs.
Private Sector Participation: The central government has
been encouraging the marketization of solid waste
management. What are the activities and plans towards this
direction?

Table A2.11: Issues for Discussion on Social Sectors with EAs/IAs in Nanning, Guangxi
Province
11

13 Nov,
AM
Department of Education
(DepEd),
Guangxi Zhuang
Autonomous Region
(GZAR)
November 2013 3
rd
Plenum of the 18
th
Central Committee
ADB support to Guangxi. In what way and to what extent
Guangxi and other provinces? Are ADB programs tailored
to Guangxi requirements? Has ADB support contributed to
formulating policy at the provincial or local level? Are ADB
programs flexible to meet Guangxis changing
requirements? What are your views on time required and
processes followed to obtain ADB support?
th
five year plan
improving cooperation with CAREC countries? How can
ADB support PRC and Guangxi governments agenda for
regional cooperation and south-south cooperation?
other infrastructure development in Guangxi?
Guangxi to oversee environment management,

11
Appendix 2 65


Sector level Issues: What are the sector priorities to achieve:
Integrated development of rural and urban areas of
Guangxi;
Improve early childhood education, especially in rural areas
and among ethnic minority populations in Guangxi;
Improve access to basic education, especially in rural
areas and among ethnic minority populations in Guangxi;
Improve the quality of basic education, especially in rural
areas and for ethnic minority populations in Guangxi;
education (TVET) in Guangxi;
Improve skills matching for TVET in Guangxi;
education in Guangxi;
Promote research and innovation in universities in
Guangxi.
13 Nov, PM Nanning Municipal
Government (NMG),
IAs: Nanning Health
School (NHS), Nanning
No.4 Vocational and
Technical School
(NVTS), Xiangsihu
Investment and
Development Company
(XIDC)
PPTA 8158: Guangxi Nanning TVET

Were design and monitoring framework workshops
conducted for this PPTA? If yes, how many workshops
were held and what was the level and quality of
participation?
What inputs did NMG provide to the sector and subsector
analysis?
Were any public consultation workshops conducted? If yes,
how many and what was the level and quality of
participation?
What was NMGs contribution to the design and scope of
the proposed project components?

Loan3095: Guangxi Nanning Vocational Development
Project (approved November 2013)

Are all project components relevant to the development
needs of Nanning?
What is the anticipated impact of improving capacity and
effectiveness of social services in Nanning?
How will this project contribute to the development of social
services TVET in the country?
How will the elderly care curriculum for the nursing program
help the Nanning Health School to be more responsive to
demographic shifts and industry needs?
How will the bridging mechanism create new pathways to
career development for the students in the elderly care
certificate program?
How will the development of pilot training bases in
kindergarten teaching and rural health contribute to
competency-based curricula (CBC) development and
improve TVET quality?
How will the industry reference groups work with the
schools in areas such as curriculum development to help
66 Appendix 2

ensure that TVET is more demand-led?
How will the project include ethnic minorities in curriculum
and training?
14 Nov, AM At the national level, EA
is Foreign Capital
Project Management
Center (FCPMC) of the
State Council Leading
Group of Poverty
Alleviation and
Development (LGOP)
TA7664: East-West Partnerships for Poverty Reduction
(approved September 2013)

Views on the recommendations and use of the report from
this TA that synthesizes lessons from the East-West
partnerships for poverty reduction, and documents
guidelines for effective implementation of east-west
partnerships for poverty reduction, CDD, gender, and
microcredit?
Are the policy notes that resulted from this TA useful to
Guangxi?
Did Guangxi Government use the information in the reports
generated from this TA to propose new and innovative
projects? If yes, did any of these new projects receive
funding from sources outside GZAR?
Was randomized evaluation adopted to assess the impact
of any of the model options that were proposed by this TA?
14 Nov, PM Baise Municipal
Government (BMG)
PPTA 8448: Guangxi Baise TVET

Were design and monitoring framework workshops
conducted for this PPTA? If yes, how many workshops
were held and what was the level and quality of
participation?
What inputs did BMG provide to the sector and subsector
analysis?
Were any public consultation workshops conducted? If yes,
how many, and what was the level and quality
participation?
What was BMGs contribution to the design and scope of
the proposed project components?

Table A2.12: Issues for Discussion on Social Sectors with EAs/IAs in Changsha, Hunan
Province
12

10 Nov,
AM
Hunan Education
Department (HED)

Strategic Issues: HED views on how education can contribute
rd

Plenum of the 18
th
Accelerate transformation of the growth pattern;
Promote innovation both in theory and practice;

the following:
Integrated development of rural and urban areas of Hunan;
Improve early childhood education, especially in rural areas

12
Appendix 2 67

of Hunan;
Improve access to basic education, especially in rural
areas of Hunan;
Improve the quality of basic education, especially in rural
areas of Hunan;
Improve basic educational opportunities for poor children
and ethnic minorities in Hunan;
education (TVET) in Hunan;
Improve skills matching for TVET in Hunan;
education in Hunan;
Promote research and innovation in universities in Hunan.

ADB support.
Views on the role and contribution of HED in design and
scoping of Loan 3010 and TAs 4868 and 8462.
How has the policy dialog on education evolved during the
11
th
and 12
th
objectives? Are education TAs and loans linked to ADB
th

and 12
th
regulatory framework? If yes, please provide number, date,
title, and brief description of the policy or regulation.
th
and 12
th
five year plan
education in the 13
th
knowledge services?
10 Nov, PM Bureau of Finance of
Hunan Province (BOFH)
TA4868: Technical and Vocational Education Training and
Development (completed September 2009)

Views on the policy recommendations from this TA on
measures and mechanisms for improving TVET for Hunan
province? Views on the wider applicability of these
recommendations across PRC?
What were the benefits from the study tour to Singapore
that was organized from this TA? How and to what extent
was knowledge gained from Singapore applied to
strengthen TVET in Hunan province?
11 Nov, AM Hunan Education
Department (HED)
TA8462: Technical and Vocational Education and Training
Management Capacity Building in Hunan (approved
September 2013)

Views on how TVET management in Hunan improved
because of policy recommendations and guidelines from
this TA on (i) east-west partnership in TVET; (ii) monitoring
68 Appendix 2

of key performance indicators; (iii) draft institution-level
TVET quality improvement framework; and (iv) skill testing
for 3 priority fields of study?
Views on how useful this TA is for implementing
Loan3010?
11 Nov, PM Hunan Education
Department (HED)
Loan3010: Technical and Vocational Education and
Training Demonstration Project (approved June 2013)

Are all project components relevant to the development
needs of Hunan?
Views on the anticipated impact of industry involvement in
TVET?
Views on the role can industry advisory groups in key
sectors play in TVET development?
Views on how information and communication technology
promote inclusive TVET?
Views on how this project can contribute to improving
alignment of TVET with industry needs?
In your view, is the proposed model for greening TVET
provision relevant for other provinces in the country?
Views on how and to what extent will this project contribute
to making the shift from low to higher value-added
industries in Hunan?

Table A2.13: Issues for Discussion on Energy, Agriculture and Natural Resources
Sectors with EAs/IAs in Hohhot, Inner Mongolia Autonomous Region
13

13 Nov,
AM-PM
Government of Inner
Mongolia Autonomous
Region (IMAR),
including IMAR Finance
Bureau

Strategic Issues: Views on how energy, agriculture and natural
resources sectors can contribute to achieving the objectives
rd
Plenum of the Central
resources;
development.

More Specifically:
ADB support to IMAR. In what way and to what extent has
ADB contributed to reducing disparities between IMAR and
other provinces? Are ADB programs tailored to IMAR
requirements? Has ADB support contributed to formulating
policy at the provincial or local level? Are ADB programs
flexible to meet IMARs changing requirements? What are
your views on time required and processes followed to
obtain ADB support?

13
The CAPE team members Srinivasan Palle Venkata (Evaluation Specialist), Kelly Hewitt (Evaluation Specialist),
Alan Poole (Consultant) and Hong Miao (Consultant) will attend the proposed meetings.
Appendix 2 69

ADB support PRC and IMAR governments agenda for
other infrastructure development in IMAR?
IMAR to oversee environment management, resettlement
and indigenous people safeguards? What steps are being
taken to improve the situation?

Sector level Issues: What are the energy sector priorities to
buildings, transport and power generation) per unit of GDP;
supply and use;

Sector Level Issues. What are the agriculture and natural
resources (ANR) sector priorities to:
Achieve a balance between increasing livestock
productivity and ecosystem protection;
Develop markets for carbon trading;
Prevent land degradation; and
Encourage climate change adaptation and mitigation
measures

ADB support.
th
and 12
th

ongoing projects?
Views on project design complexity, safeguards issues and
compliance, project readiness at approval, procurement
and contracting matters etc. for loans approved during 11
th

and 12
th
innovation objectives? Are loans and TAs linked to ADB
th

and 12
th
70 Appendix 2

th
and 12
th
five year plan
district heating in the 13
th
knowledge services?
13 Nov,
AM-PM
Government of Inner
Mongolia Autonomous
Region
TA7261: Strategy for Drought Management

to do so?
14 Nov,
AM-PM
Government of Inner
Mongolia Autonomous
Region
TA7439: Management and Policy Support to Combat Land
Degradation

Have any innovative sustainable land management
practices been pilot tested so far? If so, what is the
likelihood of scaling up these practices?
To what extent has integrated ecosystem management
(IEM) been effective in combating land degradation?
What are the major challenges to implementing IEM
approach to tackle land degradation?
14 Nov,
AM-PM
State Environmental
Protection Agency
TA4061: Songhua River Water Quality and Pollution
Control Management

How far has the TA helped develop institutional and legal
frameworks to protect water resources?
What investment activities for pollution control are planned
as a result of the TA?
Is this approach likely to be replicated in other river basins
in PRC?
14 Nov,
AM-PM
Government of Inner
Mongolia Autonomous
Region
TA7534: Strengthening Carbon Financing for Regional
Grassland Management in Northeast Asia

How has the TA helped in facing the challenges monitoring
of grassland carbon finance projects and in the creation of
carbon markets?
Have potential financiers been identified for carbon
financing for grasslands?
Have any project proposals been prepared for discussion
with potential financiers?
14 Nov,
AM-PM
Government of IMAR,
Bureau

TA7443: Energy Efficiency Improvements in Inner
Mongolia Autonomous Region (IMAR)

Apparently the TA successfully addressed the most urgent
capacity gaps, but are there any remaining capacity gaps
of local governments and implementing agencies in
planning and managing energy efficiency investment
projects?
Appendix 2 71

Part 2 of TA addressed monitoring and reporting of
performance and demand-side energy efficiency (EE).
Were there advances subsequently in these areas? Has
demand-side EE improved?
Were recommendations regarding consumption based
billing, heat metering, and two-part heating tariff
consolidated in Wuhai City and replicated in the other
subprojects of both loans?
14 Nov,
AM-PM
Government of IMAR,
Bureau
L2260: Inner Mongolia Autonomous Region Environment
Improvement and Ref L2658: Inner Mongolia Autonomous
Region Environment Improvement Project (Phase II)

Are the projects on track to being implemented on the
revised schedule?
Are the DH systems upgraded in the loans now financially
sustainable (or approaching sustainability) with adequate
revenue to cover operating and maintenance costs?
Have measures (including those recommended in TA7443)
been taken to link consumption to billing, increase revenue
and improve the efficiency of heat use?
How has demand-side energy efficiency evolved? How
reliable are the indicators of heat use considered to be?
Are further upgrades and expansion of district heating
systems planned in IMAR? Are there any changes in basic
design being contemplated (e.g. more Combined Heat and
Power)?

Table A2.14: Issues for Discussion on Energy, Agriculture and Natural Resources
Sectors with EAs/IAs in Tianjin
14

10 Nov,
AM-PM
Government of Tianjin,
including Tianjin Finance
Bureau

rd
resources;
development.

More Specifically:
ADB support to Tianjin. Are ADB programs tailored to
Tianjin requirements? Has ADB support contributed to
programs flexible to meet Tianjins changing requirements?
What are your views on time required and processes
followed to obtain ADB support?

14
The CAPE team members Srinivasan Palle Venkata (Evaluation Specialist), Kelly Hewitt (Evaluation Specialist),
Alan Poole (Consultant) and Hong Miao (Consultant) will attend the proposed meetings.
72 Appendix 2

encourage private sector in transport, water, energy,
natural resources and other development in Tianjin?
Tianjin to oversee environment management, resettlement

Sector level Issues: What are the energy sector priorities to
buildings, transport and power generation) per unit of GDP;
supply and use;

Sector Level Issues. What are the agriculture and natural
resources (ANR) sector priorities to:
Achieve a balance between increasing livestock
productivity and ecosystem protection;
Develop markets for carbon trading;
Prevent land degradation; and
Encourage climate change adaptation and mitigation
measures

ADB support.
th
and 12
th

ongoing projects?
and contracting matters etc. for loans approved during 11
th

and 12
th
innovation objectives? Are loans and TAs linked to ADB
th

and 12
th
th
and 12
th
five year plan
Appendix 2 73

district heating in the 13
th
knowledge services?
10 Nov, PM Government of Tianjin TA7261: Strategy for Drought Management

to do so?
10 Nov, PM Tianjin Finance Bureau

TA7956: Developing Tianjin Emission Trading System
(TETS)

Has the Emission Trading System been successfully set up
in Tianjin? If yes, when did the system commence
operations?
Have relevant market regulatory institutions that facilitate
TETS been established? If yes, since when? Is the TETS
based on intensity-based targets or absolute targets?
Has there been sufficient TETS operational activity to
highlight areas of success and lessons learned to guide
ETS expansion? If yes, what are they?
Has the TETS helped fulfill the objectives of the Tianjin EE
Program (TA7640)?
What is the status of the other pilot ETSs (Beijing,
Chongquing, Guangdong, Hubei, Shanghai and Shenzen)
and how does the experience with the TETS compare?
What is the status of the national ETS, whose start-up had
been planned for 2015?
10 Nov, PM Borrower: Tedahang
Cold Chain Logistics
Loan7367/2896: Tianjin Cold Chain Logistics Facility
Development Project (non-sovereign operation)

What are the likely impacts on food trade between
Mongolia and PRC and Mongolias transit trade to the rest
of the world using this cold chain logistics?
What is the progress in corresponding investments in cold
chain logistics in Mongolia?
Are other complementary trade facilitation measures in
place are or being planned?
What is the nature of value addition due to ADBs
assistance?
11 Nov, AM Tianjin Science and
Technology Commission
(TSTC)


Sector level Issues: What are the priorities to Increase the
efficiency of energy use?

ADB support.
th
and 12
th

74 Appendix 2

objectives?
Did ADB supported TAs and projects contribute to any
policy / regulatory framework? If yes, give number, date,
title, and brief description of concerned policy or regulation.
closing etc.
demand-side energy efficiency in the 13
th
five year plan
period?
knowledge services?
11 Nov, AM Tianjin Science and
Technology Commission
(TSTC)

TA7640: Promoting Energy Conservation in Tianjin

What are the key features of Tianjins strategy, action plan
and investment plan for promoting energy efficiency (EE)
through the Energy Conservation Platform (ECP)?
What role did the TA have in developing and implementing
the ECP?
What financing is needed for energy conservation in
Tianjin?
What are the priority sectors for EE retrofits? Are there
specific finance arrangements to facilitate such retrofits? If
yes, then what are those arrangements?
What are the sectors where there has been most progress
so far? Are there lessons learned from the ECP that may
be of interest in other provinces?
11 Nov, PM Greengen Co. Ltd. and
China Huaneng Group
(CHG)

Note: This EA is cited for
Loan2616, a direct
follow on to the TA.
China Huaneng Group
(CHG) is the managing
partner of Greengen,
which in turn has a
subsidiary HTICL
(Huaneng Tianjin IGCC
Co. Ltd.) to develop the
IGCC project.

Strategic Issues: CHG & Greengens views on how energy can
2013 3
rd
Plenum of the Central Committee of the Communist
Party:
resources;
development.

following?
Capturing and storing CO2 from power generation and
industries;
supply and use;
Maintaining the security and affordability of energy supply.

ADB support.
Appendix 2 75

th
and 12
th

ongoing projects?
and contracting matters etc. for ADB supported loans.
innovation objectives? Are energy loans and TAs linked to
Did ADB supported TAs and projects contribute to any
policy / regulatory framework? If yes, give number, date,
title, and brief description of concerned policy or regulation.
closing etc.
more efficient generation from coal and carbon capture,
use and storage in the 13
th
knowledge services?
11 Nov, PM Greengen Co. Ltd. and
China Huaneng Group
(CHG)
TA7146: Capacity Strengthening in Planning and
Implementation of Integrated Gasification Combined Cycle
Plant Ref L2616 Tianjin Integrated Gasification Combined
Cycle Power Plant

What role did the TA7146 have in the development of the
Tianjin IGCC project? Did the TA consider other IGCC
projects?
Was the Tianjin IGCC plant implemented on schedule? Is
the plants operation reliable and performance satisfactory?
What is the efficiency of generation and what are the
indicators for key pollutants from coal combustion? How do
these indicators and the estimated levelized cost of the
IGCC compare with ultra super-critical coal plants?
What is the prospect for new IGCC plants taking a growing
share of coal-fired generation? What are the key factors
inhibiting investment in new IGCC capacity and key drivers
which favor it?
11 Nov, PM ADB. IA is HNCERI
(Huaneng Clean Energy
Research Institute)
TA8499: Tianjin Integrated Gasification Combined Cycle
Power Plant (Additional Financing)

What is the status of the CCUS pilot project?
What are the benefits and challenges of the pre-
combustion capture of CO
2
? What is the estimated
levelized cost, per MWh, of the pre-combustion capture of
CO
2
?
What is the overall strategy for CCUS at the Tianjin IGCC?
Is the objective to achieve zero net emissions?
Would a successful demonstration of pre-combustion
capture of CO
2
significantly improve the prospects for IGCC
coal plants in China relative to ultra super-critical coal
76 Appendix 2

plants?
12 Nov, AM Harbor Economic Area
Administrative
Commission
Loan2829: Hai River Estuary Area Pollution Control and
Ecosystem Rehabilitation

What innovative approaches have been used in wastewater
treatment and recycling?
What is the likelihood of replication of this approach in other
cases?
12 Nov, AM EA: Tianjin Harbor
Economic Area
Administrative
Commission (HEAAC)
TA7985: Capacity Development for Green Growth
Demonstration

What best practices have been identified in monitoring
pollution and in ecosystem rehabilitation?
What steps, institutional changes for environmental
management are expected as a result of the TA?

Table A2.15: Issues for Discussion with EAs/IAs in Urumqi (Xinjiang Autonomous
Region)
15

10 Nov, AM Xinjiang Uygur
Autonomous Region
Government (XUARG)
and Implementing
Agencies
November 2013 3
rd
Plenum of the 18
th
Central Committee
ADB support to Xinjiang. In what way and to what extent
Xinjiang and other provinces? Are ADB programs tailored
to Xinjiang requirements? Has ADB support contributed to
programs flexible to meet Xinjiangs changing
th
five year plan
ADB support PRC and Xinjiang governments agenda for
other infrastructure development in Xinjiang?

15
The CAPE team members Kapil Thukral (Principal Evaluation Specialist), Gunter Hecker (Consultant) and Liya Liu
Appendix 2 77

Xinjiang to oversee environment management,
10 Nov, PM Xinjiang Autonomous
Region Government and
Implementing Agencies
TA 7353 Central Asia Regional Economic Cooperation:
Working with the Private Sector in Trade Facilitation
(approved Sept 2009). Promotion of awareness of investment
potentials in trade logistics in the CAREC region among
neighboring countries (Russian Federation, PRC, Turkey, etc.)
through road shows and investment seminars.

To what extent has this TA led to interest among private
investors from PRC to invest in trade logistics in CAREC
countries?
To what extent was this possible due to building of capacity
in CAREC countries in trade facilitation?
TA8220 Joint Control of Transboundary Animal Diseases
in the Peoples Republic of China and Mongolia (approved
November 2012). The TA's impact will be strengthened
regional cooperation to prevent and control Transboundary
Animal Diseases (TADs) in the PRC, Mongolia, and more
broadly in the CAREC region. The outcome will be a well-
functioning institutional mechanism for cooperation to jointly
prevent and control TADs in the PRC and Mongolia.

What policy recommendations were identified for
prevention of TADs?
What institutional mechanisms were identified for capacity
building of the governments for safe cross border trade in
animal products?
Loan 2755 CAREC Transport Corridor I (Bishkek-Torugart
Road) Project 3 (approved May 2011). Part of the CAREC
Corridor 1(c), which extends from Troitsk in the Russian
Federation to Kashi in Xinjiang Uygur Autonomous Region of
the PRC.
The impact of this project would be boosting of cross border
trade and tourism between PRC and CAREC countries.
Has there been any appreciable increase in trade/tourism
flows between PRC and CAREC countries?
11 Nov, AM Xinjiang Development
(XDRC)
TA4873: Logistics Development and Capacity Building in
Xinjiang Uygur Autonomous Region (XUAR); completed
December 2009

To what extent does the XUARs logistics development
plan for 2011-2015 incorporate recommendations from this
TA (regarding logistics zoning, functions of level-1, level-2
and level-3 nodes)?
To what extent are key investment projects proposed by
the TA under implementation?
What learning has this TA provided to cities, prefectures
and municipalities as they formulate their respective
logistics development plans?
To what extent is this TA perceived as contributing to
development of trade and industry?
78 Appendix 2

What more support from ADB is required to further trade
with CAREC countries?
11 Nov, AM Xinjiang Transport
Department (XTD) and
implementing agencies
PPTA 4773 and Loan 2393: Xinjiang Regional Road
Improvement Project (KorlaKuqa section); approved Dec
2007

What is the status of progress on Korla-Kuqa section?
Are there any visible benefits for international trade
already? What are the expected benefits in terms of
international trade?
What is the status of progress on three priority local roads
What bus route licensing reforms introduced and what key
findings / learnings from pilot tests?
How is the regional transport hub terminal development
progressing? What is the progress of web-based logistics
system on freight terminals in Urumqi? What benefits are
expected from the hub and logistics center?
What is the progress in improving road safety so far and
how has this been achieved?
What benefits seen from capacity development supported
by Loan 2393?
How much delay has occurred in project implementation,
and why? What are cost over-runs? How do they impact
projects economic and social viability?
How is the environment protected? How are concerns of
ethnic minorities and other project-affected-persons
addressed?
11 Nov, PM Xinjiang Transport
Department (XTD)
TA4806: Sustainable Rural Transport Services (completed
September 2007)

What is the current thinking in Xinjiang on: (i) role of SOEs
and private sector in passenger transport in rural areas; (ii)
financing needs and sources of funds, to expand and
improve rural roads, terminals, vehicles and rural transport
services; and (iii) incentivizing private participation in rural
transport infrastructure and services?
What value added learning did this TA provide to XTD?
11 Nov, PM Xinjiang Uygur
Autonomous Region
Government (XUARG)
and Implementing
Agencies
PPTA4805 and Loan 2420: Xinjiang Municipal
Infrastructure and Environmental Improvement Project
(approved April 2008)

How has the project contributed to economic development,
inclusive growth and environmentally sustainable growth in
Yinning City, Alashanku Land port and Kanas Scenic
region?
Are there any noticeable positive impacts on regional trade
owing to investments in this project?
Is there any innovative aspect of this project? Has
experience from this project given ideas for type of
innovations that can be introduced in other similar urban
projects in Xinjiang?
What special effort has been made to address safeguard
issues related to environment, involuntary resettlement and
ethnic minority?
Appendix 2 79

What institutional capacity building has the loan supported
for project management, sustainable O&M, road safety etc.
?
How much delay has occurred in project implementation,
and why? What are cost over-runs? How do they impact
projects economic and social viability?
12 Nov, AM Xinjiang Uygur
Autonomous Region
Government (XUARG)
and Implementing
Agencies
Loan 2526: Xinjiang Urban Transport and Environmental
Improvement Project (approved June 2009)

Is there any noticeable improvement in transport services
and environmental quality in the urban areas of Altay,
Changji, Hami, Kuytun and Turpan?
What are the visible benefits of capacity building in terms
of: (i) infrastructure planning, project design and
management; (ii) project financing and financial
management; (iii) traffic planning and management; (iv)
environmental management and public education?
What is the likelihood of timely completion of road and
environmental improvement subprojects in the five urban
areas
What new learning (if any)?
What new risks identified / experienced ?
12 Nov, AM Altay Prefecture
Government (APG);
Xinjiang Project Leading
Group and Xinjiang
PMO (oversight bodies)
Loan 2759: Xinjiang Altay Urban Infrastructure and
Environment Improvement Project (approved June 2011)

What is the status of the institutional capacity building
program? How successful is the idea of having regional
technical support groups that cut across all counties in
Altay?
How did the reduction-reuse-recycling (3R) approach
influence project design? Is there any learning / lesson so
far for other urban projects that adopt the 3R approach?
What is the status of implementing road, water supply,
wastewater, solid waste management, centralized heating
subprojects? What is the status of infrastructure
construction in Kanas scenic area? Are there any visible
benefits?
Is it proceeding on schedule and within budget?
What is the outlook for tariff revisions and cost recovery of
various municipal services?
What special effort has been made to address safeguard
issues related to environment, involuntary resettlement and
ethnic minority?
12 Nov, PM Xinjian Uygur
Autonomous Region
Government (XUARG)
and Implementing
Agencies
Loan 3017: Xinjiang Integrated Urban Development Project
(approved August 2013)

What lessons have been incorporated in the design of this
project, from Loans 2420, 2526 and 2759)?
Any further insights into the best practices in the use of
wetland storage for wastewater reuse and water
management improvements?
What progress so far on improving institutional capacity on
O&M and strategic aspects (planning, tariffs etc.)?
What benefit of improving urban infrastructure in urban
80 Appendix 2

areas close to a border crossing point (Tacheng, 17 km
from border crossing in to Kazakhstaneven though it has
been closed since 2009)

Table A2.16: Issues for Discussion with EAs/IAs in Kunming, Yunnan
16

13 Nov, AM

Yunnan Provincial
Government,
Kunming Municipal
Government (KMG)


rd
resources;
development.

More Specifically:
ADB support to Yunnan. In what way and to what extent
Yunnan and other provinces? Are ADB programs tailored
to Yunnans requirements? Has ADB support contributed to
programs flexible to meet Yunnans changing
improving cooperation with GMS countries? How can ADB
support PRC and Yunnan governments agenda for
other infrastructure development in Yunnan?
Yunnan to oversee environment management, resettlement

Sector/Municipal issues (to establish context):
Updates on state of service delivery levels for municipal
services in Kunming.
Updates on priorities of municipal government for water
and municipal infrastructure services delivery for the

16
CAPE team members Ruel Janolino (Consultant), Marie Gail de Sagon (Consultant) and Xie Pengfei (Consultant)
Appendix 2 81

coming 13
th
FYP
Updates on the policy and regulatory environment for tariff
setting for municipal services in Yunnan/Kunming.
Updates on current state of cost recovery and levels and
sources of subsidy for municipal services in Kunming.
Capacity Development: What are the measures being
taken by the government to retain trained staff?

General issues on ADB support:
Views on ADB procedures (time required and processes
followed to obtain ADB support)
Views on the evolution of policy dialog on water and
municipal infrastructure services during the 11
th
and 12
th

FYP periods?
Overall views on the innovation objectives of ADB
supported loans and TAs. Do ADB knowledge products
and services reach the KMG?
Views on project complexity, quality of consultants,
successful implementation, timeliness of completion and
closing, etc.
Views (if any) on the evolution of project design and
priorities for water and municipal infrastructure services.
Although the water supply and other municipal
infrastructures/services sector is not one of the nine priority
sectors of cooperation in the GMS, in what way can ADB
help PRC strengthened the sector in Yunnan so as to help
support the regional cooperation agenda.
Views on the level of participation of YPG and/or its
municipal governments in knowledge sharing platforms
and/or capacity building activities for nationally
implemented TAs for the water and municipal infrastructure
services sector.
platforms to improve adoption/implementation by municipal
authorities (crucial since TA resources support select pilot/
demonstration only and municipal authorities appear to
implement loans only and not TAs).
knowledge services?
13 Nov, PM Kunming Municipal
Government (KMG)

[IA: Kunming Water
Supply Group Company
Limited]
Project Specific: LN2388: Kunming Qingshuihai Water
Supply Project (closed )

Does the incentive and regulatory structure for water and
municipal services tariffs (which follows financial
sustainability practice and full cost recovery) at appraisal
continue to abide at present? [Per RRP, the historical
financial performance of KWSG water operations indicates
that it has been able to operate without any subsidies and
within the tariff structure.]
Has the intention to gradually move towards equalization of
nondomestic tariffs for industries and commercial users
earliest by 2012 (to promote water conservation and
efficiency) been implemented?
Significant involuntary resettlement common in such a
82 Appendix 2

project- what has been the project experience? Any major
cost overruns, project scope changes, delays, lessons?
Updates on private sector participation in the provision of
municipal services in Kunming, including KMGs
experience in PSP in the water sector what are the
lessons, has the project been able to help in further tariff
reforms and meter installation reforms to support the PSP
environment?
Sustainability of Outcomes: Project design made 7
assumptions (per DMF in RRP) for the expected project
outcome, are these assumptions still valid today? Are all
the indicators of the project outcome still being monitored
today? Are there new risks to the sustainability of outcomes
identified today aside from those identified during appraisal
(as indicated in the DMF)?
Institutional Capacity Development: How did the private
sector participation set-up contribute to KWSG's long-term
institutional capacity development? Is it one of the major
factors in capacity development?
14 Nov, AM Yunnan Provincial
Government
Project Specific (RCI theme):
TA7356: Developing Cross-Border Economic Zones
between the People's Republic of China and Viet Nam
(approved 30-Sep-09, to be closed 31-Dec-14)

What has been the experience so far in the private sector
participation in cross border economic zones and in
attracting investments to the economic zones? Specific to
HekouLao Kai CBEZ?

TA6214: Strengthening Capacity and Regional Cooperation
in Advanced Agricultural Science and Technology
(approved 17-Dec-04, closed 30-Apr-09)

What has been Yunnans participation and experience in
GMS regional cooperation activities towards capacity
strengthening on agricultural biotechnology, and related
intellectual property rights and food safety issues?
What capacity building benefits were intended vs what is
visible?

Proposed TA on Harmonizing the Greater Mekong
Subregion Power Systems to facilitate Regional Power
Trade. To harmonize and develop at a regional level,
performance standards, grid codes, market rules and a
subregional transmission expansion plan.

What is the progress so far in harmonizing grid codes and
market rules? What are the key barriers to such
harmonization over the next 3 to 5 years?
What power export / import transmission projects are being
planned or developed in the border countries?

Appendix 2 83

Other Proposed Meetings from 3 to 22 November 2014
17

China Water Affairs Group Limited
China Gas Holdings Limited
China Everbright International Limited
China Bus Leasing Program
Heilongjiang Provincial Government, including Provincial Finance Department

Table A2.17: Wrap-Up Meeting in Beijing
18

19 Nov, PM Ministry of Finance,
other PRC agencies
Preliminary findings of CAPE mission (presentation by IED)
Feedback on preliminary findings
Schedule for draft CAPE report

17
CAPE team member Lauren Hauck will attend the proposed meetings. She will be accompanied by ADB staff
working on the selected projects for the EAs/IAs listed.
18
CAPE team members Kapil Thukral (Principal Evaluation Specialist), Srinivasan Palle Venkata (Evaluation
Specialist), Kelly Hewitt (Evaluation Specialist), Alan Poole (Consultant), Hong Miao (Consultant) and Yingchun
Lee (Consultant) will attend the proposed meetings.

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