UNDP/GEF Project 'Improving Energy Efficiency in...

PROMOTION OF ENERGY-EFFICIENT LIGHTING IN KAZAKHSTAN

Inception Report

United Nations Development Programme

Global Environmental Facility

Ministry of Industry and New Technologies of the Republic of Kazakhstan

April 2013

CONTENTS

I. INTRODUCTION................................................................................................................................. 1

II. CURRENT MARKET CONDITIONS AND GOVERNMENT PRIORITIES.......................................................2

III. PROJECT STARTUP AND MANAGEMENT............................................................................................3

IV. COMPONENTS AND PLANNED ACTIVITIES........................................................................................5

V. RISKS.............................................................................................................................................. 12

VI. BUDGET REVISIONS........................................................................................................................ 17

VII. INDICATORS AND TARGETS IN THE PROJECT RESULTS FRAMEWORK...............................................17

Annexes.......................................................................................................................................................21

I. Introduction

In 2012, the United Nations Development Programme (UNDP), jointly with the Ministry of Industry and New Technologies and the Ministry of Environmental Protection of the Republic of Kazakhstan (MINT and MEP), launched a new project entitled “Promotion of Energy-Efficient Lighting in Kazakhstan.” This project, which is supported financially by the Global Environment Facility (GEF) as well as various sources of national co-financing, seeks to achieve energy savings and avoided greenhouse gas (GHG) emissions via transformation of the lighting market in the Republic of Kazakhstan (RK), including implementation of a phase-out of incandescent lamps (IL), while ensuring product quality and cost-effectiveness as well as safe disposition of spent mercury-containing lamps.

The project will achieve this objective via four components.

1) Policy development and implementation;2) Market development;3) Promotion and educational outreach;4) Demonstration projects embodying best practices and technology.

Detailed background, goals, justifications, planned action steps, and general expected results for the project are presented in the Request for CEO Endorsement approved by GEF, as well as the highly similar UNDP Project Document (both documents together hereinafter referred to collectively as “the project document”). Throughout the duration of the project, the project document should be used as the basis for planning, definition of goals, mapping of action steps, and ongoing project management and evaluation. The project document’s Project Results Framework is the most important tool for all these areas, as it plainly defines concrete indicators and targets against which the project’s performance will be directly evaluated at its midterm and terminal stages.

Much time has elapsed from the initial preparation of the Request for CEO Endorsement and the launch of the project. Therefore it is urgently necessary for the project to revisit and adjust the Project Results Framework and the entire project document before moving ahead in earnest with project implementation. This process of review and revision of the framework is permitted by UNDP and GEF, within certain limitations.

This Inception Report begins with an update of current market conditions and government priorities in Kazakhstan, then summarizes project activity to date. The report then elaborates proposed strategies and activities for each project component, revised and made specific in light of updated findings. The Inception Report also includes an updated risk log and a summary of proposed changes to the Project Document and Project Results Framework. The revised Project Results Framework and 2013 Annual Work Plan are included in an extensive set of Annexes.

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II. Current market conditions and government prioritiesThe central focus of the project is the implementation of a phase-out of incandescent and other inefficient lighting in Kazakhstan. The legislative mandate for this phase-out is contained in a new law entitled “On Energy Conservation and Increasing of Energy Efficiency,” which was signed by President Nazarbayev on January 13, 2012. This law contains provisions for the gradual phase-out of incandescent lighting in Kazakhstan, as follows: lamps 100 watts and above banned starting from July 1, 2012; 75 watts or more starting from January 1, 2013; and 25 watts and above starting in 2014.

Now the focus of the RK government is to ensure effective implementation of the phase-out via supporting regulations. The government’s main priority remains in this area the same as envisioned in the Project Document – the development of technical standards, to be issued by the RK Ministry of Industry and New Technologies, for the quality and performance of energy-efficient lighting products. Notably, whereas during the project preparatory period there were no active lighting laboratories in Kazakhstan suitable for testing products for compliance with standards, now there are at least two such laboratories already equipped, under certification, active, and ready to expand operations, with further capacity noted in the country for creation of new laboratories if needed.

The market share of energy-efficient (EE) lighting is growing slowly in Kazakhstan already, and implementation of the phase-out is expected to accelerate this expansion. At the end of 2012, however, industry representatives report that the ban on 100W lamps has so far had a minimal effect, as manufacturers simply relabel or perhaps minimally modify their products, so that their rated power is only barely less than 100 watts. It is further expected that the ban on 75W lamps starting in 2013 will lead to a spike in demand for 60W lamps, with results still falling far short of the technical potential for cost-effective energy efficiency in lighting. By 2014, however, if the law is enforced effectively, then compact fluorescent lamps (CFLs) should occupy the large majority of the market now claimed by incandescents.

In addition to the policy-mandated shift away from incandescents, Kazakhstan’s lighting market is undergoing a second major change: the rapid growth of interest in light-emitting diodes (LEDs). Major consumers, including the municipal governments of Astana, Karaganda, and Almaty, have begun planning and implementing LED applications for street lighting, Furthermore, the government of Kazakhstan is placing its strong support behind national research entities and enterprises, toward developing new capacity for in-country production of LEDs. Already there are six facilities for assembly of LEDs in Kazakhstan, using many foreign-made components. The government and private-sector entities have high hopes for an expanded, more comprehensive process of LED production in Kazakhstan, especially given the potential for integration with indigenous raw material supply. At present, however, LEDs remain largely unavailable in the marketplace in Kazakhstan, and are very expensive wherever they are available.

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The expected steep rise in CFL demand over the next few years will create a significant new pathway by which mercury could enter the environment as consumer waste. Therefore, mercury containment from spent lamps has become a very high priority for the RK Ministry of Environmental Protection. MEP has instructed regional governments nationwide to develop action plans for collection, documentation, and recovery of mercury in consumer waste. But there has been little action from the regions so far. National partners note that the absence of these regional plans, with particular regard to collection of mercury wastes from private citizens, is therefore a most pressing need. (Capacity of demercurization facilities is not in itself a major problem.)

III. Project startup and managementThe main achievement of the project to date has been the formation of a strong and diverse team of project staff and consultants under the direction of Project Manager Syrym Nurgaliyev.

This team includes four other full-time team members: Project Assistant Anara Ayaganova, public relations specialist Dinara Tamabayeva, and national experts Lyudmila Teplovodskaya and Sergei Inyutin. The project plans for the recruitment and hiring of another national expert, who will manage demonstration projects, with a target time frame for starting work during the first or second quarter of 2013.

The UNDP country office in Kazakhstan provides steady support for the project team, under the leadership of Stanislav Kim, head of the Energy and Environment Unit, and Irina Goryunova, Programme Analyst and Portfolio Manager. Marina Olshanskaya, Regional Technical Adviser on Energy, Infrastructure, Technology and Transport at the UNDP Regional Centre for Europe and the CIS in Bratislava, provides higher-level guidance and supervision.

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In December 2012, the project hired Mark Chao as International Technical Advisor for the inception period. Having previously participated in the development of the project document, Mr. Chao has shared his detailed understanding and communication about the project goals and components throughout the inception period. Mr. Chao participated in the two-day Inception Workshop. He also joined project staff on two additional days for planning discussions.

Steering Committee and National Project DirectorThe project’s Steering Committee (also commonly referred to as the Project Board) serves as the governing body for the project in Kazakhstan, approving major issues of work planning and budgets. The Steering Committee includes members of MINT, MEP, the Ministry of Transport and Communications of the RK, the RK Agency of Constriction Affairs 1 (Committee), the Kazakhstan Association of High-Technology and Innovative Companies, the national sovereign wealth fund Samruk-Kazyna, the Kazakhstan Housing and Utilities Reform Center, and UNDP [See Annex D for a full roster with affiliations.

The National Project Director and chair of the Steering Committee is Mr. Talgat Mukanov, Director of the Department of New Technologies and Energy Conservation at MINT. The project is very grateful for Mr. Mukanov’s steady support. The project also relies heavily on the leadership, expertise, and excellent strategic planning and management of Mr. Alibek Kabylbai, who is one of Mr. Mukanov’s top deputies.

Inception Workshop The project held its Inception Workshop on 10-11 December 2012. The first day of the workshop was structured as an internal meeting of the Steering Committee and some key partners, with a focus on discussion and agreement regarding the project’s targets and planned activities. The second day of the meeting was a larger, more open session, with about 60 participants. The general goal of this second day was to build connections and facilitate information exchange between the project and a broader range of stakeholders, including regional governments, research institutions, private companies, and analogous UNDP/GEF projects on EE lighting in Russia and Ukraine. At the end of the second day’s meeting, the project arranged for participants to visit a factory in Astana, where the company LED Systems assembles LEDs for the domestic market.

Please see Annex C for a full agenda and lists of participants from both days.

IV. Components and planned activitiesGiven recent developments and current conditions in Kazakhstan, the onset of the UNDP/GEF project is very timely. The needs of MINT, MEP, and regional governments for technical

11 Reorganization of the Agency of Construction took place in January 2013. As a result, a new ministry was established called the Ministry of Regional Development (MRD). Under

MRD , a Committee of construction affairs was established

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assistance match very well with the project’s position to deliver it – and the potential for significant energy savings and nationwide market transformation is very high, if the phase-out and the nation’s associated plans are implemented successfully.

The intended activities, outputs, and outcomes of the project remain mostly unchanged from the Project Document, with some updates as presented below. Numbering and content of components and activities are the same as shown in the Project Document, except where noted. All changes and additions are highlighted in yellow.

For more details on planned project activities, please see the full 2013 work plan in Annex B.

Component 1: Policy development and implementationAs noted in the Project Document, the first project component will support the development and implementation of national policy to promote energy-efficient lighting, with a particular focus on carrying out the legislative mandate of the IL phase-out. Policy support will focus on development of specific technical regulations for buildings and lighting products. The component also includes efforts toward promoting EE lighting in public procurement and nationwide establishment of regional systems for recovery of mercury from spent lamps. The intended outcome of this work is the successful implementation of the IL phase-out with smooth transition to EE lighting with adequate assurances of product quality and containment of mercury wastes. Most of this far-reaching component remains unchanged from the Project Document.

One addition is that the project team, based on input from national partners at the Inception Workshop, now intends to support not only the enhancement of building codes with regard to EE lighting, but also the possible amendment of health codes for the quality indoor lighting, so as to allow the expanded use of LEDs.

The project also proposes changes to its planned subcomponent on state procurement. During the Inception Workshop, representatives of key national partners, including MINT and the huge national company Samruk-Kazyna, joined national experts in stating clearly that it would be unrealistic to try to bring about changes to the national procurement law, as articulated as a goal in the Project Document. Instead, these partners and experts recommended that the project should focus on helping agencies to develop technical specifications and cost justifications for advanced lighting products, which would in turn help guide purchasers to choose lighting in full consideration of costs, long-term performance, and environmental protection. This approach is now being applied in highly analogous activity in the UNDP/GEF project on EE lighting in Russia.

Outcome 1.1: Developed and implemented roadmap for IL phase-outActivities1.1.1 A comprehensive market assessment and forecast for lighting in Kazakhstan

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1.1.2. Development and adoption of a roadmap for implementation of IL phase-out

Outcome 1.2: Developed and adopted official technical standards and certification procedures for quality and performance for EE lighting productsActivities1.2.1. Formation of a working group for development of technical standards1.2.2. Development of the technical standards 1.2.3. Establishment of an enforcement mechanism for these standards, including processes

for certification and testing1.2.4. Assurance of consistency of any new standards with the requirements of the Customs

Union, of which Kazakhstan is a member along with Russia and Belarus. Entry of additions and changes into the Technical Regulations of the Customs Union on lighting equipment energy efficiency. Participation in meetings with lighting-industry representatives from all three countries.

Outcome 1.3: Updated relevant mandatory and recommended sections of the national building code on lighting, as well as other normative documentsActivities1.3.1. Review of RK building codes and other normative documents and identification of

opportunities to include and/or increase requirements for lighting efficiency. 1.3.2. Review of international best practices with regard to efficiency requirements for lighting

in building codes. This work will also include examination of health codes with regard to lighting quality.

1.3.3. Preparation of recommendations to the RK Agency on Construction and Residential-Communal Affairs and other relevant agencies on new requirements and/or recommendatory sections in lighting codes and/or other normative documents. In addition to recommendations regarding energy efficiency for lighting in buildings, the project will seek to develop recommendations on health-related requirements for lighting, and specifically the possibility of expanded acceptance of LED lighting in public buildings.

1.3.4. Delivery of training to relevant agencies on implementation of new lighting requirements in new codes

1.3.5 Development and delivery to relevant agencies of practical methodological guidance on energy audit of indoor and/or outdoor lighting

Output 1.4: Enhanced public procurement processes favoring EE and life-cycle cost criteriaActivities1.4.1. Elaboration of guidance for government ministries, regional administrations, and large

state entities on criteria for bulk purchase of high-quality energy-efficient lighting. [This activity, which is similar to the original Activity 1.4.2, now replaces the original Activity 1.4.1, in order to reflect a new focus on technical guidance rather than legal reform of the government procurement process.]

1.4.2. Preparation and regular updating of registers of recommended products and suppliers [formerly Activity 1.4.3]

Output 1.5: Established systems for collection, recycling, and storage of Hg-containing lampsActivities

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1.5.1. Review of existing practices in Kazakhstan and international best practices regarding collection, containment, and recycling of mercury-containing lamps

1.5.2. Development, implementation, and assessment of pilot program for collection of spent mercury-containing lamps in one region.

1.5.3. In other regions of Kazakhstan, promotion of replication and/or dissemination of lessons learned from early adopters of collection/recycling programs.

1.5.4. Preparation and dissemination of materials, via electronic and/or print media, instructing consumers nationwide on handling of mercury-containing lamps, including both spent and broken ones.

1.5.5 from the project document (“Development of national policy regarding mercury waste”) is eliminated, as it is excessively vague and also redundant with activities already planned in Output 1.5.

Component 2: Market development for EE lightingThe project’s second component calls for market-development activity to support the policy-related steps of Component 1. Given the passage of the new law on energy efficiency and the expected market-transforming effects of the IL phase-out, the project team and its partners have carefully examined this component during the Inception Period. Some redirection of activities under Component 2 has emerged as a result.

As foreseen in the original Project Document, Component 2 was to emphasize activity to provide low-income citizens with some help, perhaps in the form of coupons, to make EE lighting more affordable. But markets for EE lighting are already transforming so quickly in Kazakhstan, especially with the onset of the mandatory IL phase-out, that markets for CFLs are already expanding significantly in Kazakhstan. Furthermore, while direct assistance to low-income citizens would certainly help address economic hardship and inequality, it would not have an appreciable effect in terms of global environmental benefits, which are the defining goals of UNDP and GEF in this project.

Therefore the project team will proceed cautiously in designing market incentives for CFLs, offering them only in regions and/or demographic sectors where they are truly needed to support the phase-out. Moreover, the project also now plans to direct its work on market-based stimulus at a sector where such activity very likely would be beneficial – the promising, growing, but still immature market for LEDs. Market-based promotional activity for both CFLs and LEDs will be linked where possible with campaigns to promote collection of spent mercury-containing lamps. Revised activities are shown below, and targets in the Project Framework have also been adjusted accordingly. (See Section VII.)

The need, feasibility, and precise process for labeling of lighting products remains uncertain, especially given Customs Union issues. Still, it is likely that at least some kind of labeling system for lamps would be useful, based on the standards and certification of Output 1.2 as well as international best practice, in order to show consumers reliable basic information about wattage, expected operating life, and mercury content. Activities regarding labeling remain

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essentially unchanged from the Project Document, but also remain contingent upon findings of initial research and development of standards.

Output 2.1: Market stimulus to promote EE lighting Activities2.1.1. Preparation of proposal for one or more programs for consumer discounts and/or

financing for LEDs or other qualifying energy-efficient lighting, possibly in conjunction with mercury recycling programs

2.1.2. Negotiation and finalization of partnerships for such program(s)2.1.3. Implementation and evaluation of program(s)

Output 2.2: Implemented labeling program for energy-efficient lighting productsActivities2.2.1 Determination of further activity for this output on the basis of the market study of

Output 1.1 and the development of technical standards of Output 1.2.2.2.2. As needed, facilitation of revisions to the national policy framework on consumer

protection to accommodate product labeling2.2.3. Based on the results of Activity 2.2.1 and 2.2.2., creation and implementation of a

voluntary labeling program for CFLs and/or other EE lighting products, including a post-project strategy for transition to sustainable management by another party

Component 3: Promotion and educational outreach This project component and its activities remain essentially unchanged from the Project Document. It will include promotion of EE lighting among the general public and design professionals. The given outputs are intended to yield increased awareness among both constituencies of how and why to implement EE lighting, as well as how to properly handle spent Hg-containing lamps.

A senior staff member at MINT has specifically requested that the project provide assistance in training professionals who are carrying out energy audits of major industrial facilities around Kazakhstan. At the moment, such training does not include content on energy efficiency of lighting and lighting systems, even though the potential for savings is very high, given the size and round-the-clock operations of most of these facilities. The project has agreed to provide such assistance as a high priority.

Output 3.1: Completed promotional campaigns for EE lighting among the general public. Activities3.1.1: Hosting and co-hosting of seminars and other events to promote energy-efficient

lighting among the general public3.1.2: Production and dissemination of advertisements to promote energy-efficient lighting

and proper handling of spent mercury-containing lamps3.1.3: Development of a website on energy-efficient lighting, including a plan for transfer to

another organization that will maintain the site and update content after the UNDP/GEF project is completed

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Output 3.2: Completed EE lighting promotional campaigns among professionalsActivity3.2.1: Hosting and co-hosting of seminars and other events to promote energy-efficient

lighting among building-industry professionals, responsible regional officials, and other specialists, including industrial energy auditors

Component 4: Demonstration projectsAs foreseen in the Project Document, the project still plans to facilitate the conception, execution, and replication of demonstration projects on energy-efficient lighting. By raising national technical experience as well as creating a technical and financial track record for renovation projects, this component will remove barriers of low technical capacity and risk aversion about new technologies and practices.

Early in 2013, the project will recruit and hire a full-time national expert, whose main responsibility will be management of the demonstration projects, including both new projects and replication efforts. Meanwhile, even before the conclusion of this recruitment process, the project will begin the process of soliciting and assessing proposals for the demonstration projects themselves.

Already the project has several promising ideas and leads about possible areas of work, including parks, apartment complexes, schools, and railroad stations. The latter possibility seems particularly promising given that round-the-clock operation of railroad stations yields greater potential for energy savings, and also given the great potential for wide visibility, synergy with public outreach, and replicability.

As stated in the Project Document, the criteria for selection of demonstration projects will be: 1) demonstrable potential for cost-effective energy savings; 2) large-scale replicability during the project period; and 3) opportunity for capacity-building among professionals and administrators in project design and management. The selection process will also favor diversity in the overall project portfolio, including the potential for both short-term and long-term market transformation. Matching of work timetables and the amount and stability of co-financing will also be attentively considered in the selection process.

The Project Manager will make recommendations on final selection of the demonstration projects, subject to consensus approval of the Steering Committee. Final selection and approval is expected to take place no later than six months after project inception. Implementation of the demonstration projects will follow, with installation expected to be complete within two months after selection.

The Project Document foresees not only the execution and replication of new demonstration projects, but also the facilitation of replication of demonstration projects completed before the UNDP/GEF project’s inception. In selecting such previously-completed projects for replication

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support, the project will apply similar criteria of energy savings potential, practical potential of replicability, need for capacity-building, scheduling, and cost-sharing. Assistance from the project may be as minimal as simple information dissemination or may involve more active managerial assistance and technical support. No direct investment of project funds for the purchase and installation of EE lighting equipment is anticipated for replication of demonstrations completed before the project period.

Output 4.1: Completed new demonstration projectsActivities4.1.1: Elaboration of selection criteria and solicitation of demonstration project applications4.1.2: Evaluation and selection of demonstration projects, with subsequent formalization of

agreements4.1.3: Installation and management of EE lighting4.1.4: Monitoring and evaluation, including quantification of both baseline and EE electricity

consumption, as well as illumination and occupant satisfaction.4.1.5: Documentation of results and lessons learned4.1.6: Dissemination of results via seminars and distribution of information via electronic and

print media4.1.7: Facilitation of implementation of replication projects

Output 4.2: Replicated other known lighting upgrades. 4.2.1: Review of documentation of previous EE lighting projects and verification of quantitative

results4.2.2: Dissemination of results and solicitation of replication applications4.2.3: Facilitation of connections among clients, suppliers, and installers4.2.4: Implementation of the selected replication projects 4.2.5: Monitoring and verification of energy savings and GHG emission reductions realized

from the replication projects.4.2.6: Documentation of results and lessons learned4.2.7: Dissemination of results via seminars and distribution of information via electronic and

print media

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V. Risks

The table below enumerates risks, assesses their probability and potential impact on an ascending scale of 1 to 5, and outlines planned management responses. Several risks noted during the project preparatory phase are no longer applicable. Remaining risks are generally rather minor, with clear mitigation strategies.

# Description Date Identified

Type Impact & Probability Countermeasures / Management response

Responsible party

Status

1 IL phase-out is removed or weakened in final version of new federal law on energy efficienc

Low political will and high stakeholder resistance regarding IL phase-out implementation and associated policies

Changes in RK government lead to new priorities and/or require re-establishment of partnerships

September 2011 (during project preparatory phase)

Political IL phase-out adopted and already under implementation as of January 2012. Government commitment and organization, as well as stakeholder support, continue to be high as of December 2012.

Probability and impact ratings no longer applicable

Already addressed. No response necessary.

Not applicable Listed in project document but no longer applicable

2 EE lighting September Other -- Cost of advanced lighting does The project still plans to Not applicable Listed in project 11

technology has initial costs that remain prohibitively high for poor citizens, especially in rural areas, even after project activity

2011 (during project preparatory phase)

market-related

remain an issue for citizens with low incomes, but markets are evolving so rapidly that cost does not appear to be a barrier for the IL phase-out. The project team has determined that it is beyond the scope of the project to subsidize lighting for the primary purpose of low-income support.

Probability and impact ratings no longer applicable

organize coupon programs to encourage mercury recycling and the transition from CFLs to LEDs. Here the purpose of the programs will be Hg containment and market transformation, not low-income support as such.

document but no longer applicable

3 Customs Union countries cannot agree on the need for technical standards and/or product labeling for lighting


Political and Regulatory

As a member of the Customs Union with Belarus and Russia, Kazakhstan is obligated to observe mutually-agreed regulations on certain products. The Customs Union has not yet addressed lighting quality standards nor labeling, but it is possible that it will take up these issues during the project period. The content of regulations and their implications with regard to energy efficiency and mercury content is yet to be determined. Any Customs Union activity on lighting would directly affect Kazakhstan’s development of its own technical standards. But Kazakhstan’s law on phase-out of incandescent lamps would still apply no matter what the outcome of Customs Union regulations.

Probability = 2

UNDP/GEF projects in both Russia and Kazakhstan will monitor Customs Union activity with regard to lighting and will submit input. The UNDP/GEF project in Kazakhstan and its partners will convene a meeting in February 2013 for discussion of Customs Union issues and priorities with regard to advanced lighting. This meeting and other ongoing assessment will clarify this risk and needed responses.

Besides the project subcomponent on technical standards for lighting, Customs Union activity is not expected to affect any other

Project Manager, national expert on policy, and national expert on lighting markets

No change since project preparatory phase

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Impact = 2 project components.

4 National consumer protection law impedes creation of labeling system for EE lighting


Regulatory The national consumer protection law is intended to protect consumers from misleading product labeling. This law could impede creation of product labels for lighting products.

Probability = 1

Impact = 1

The project will seek to identify and facilitate the removal of policy barriers to product labeling. If in the end it proves impossible to remove these barriers, then the project should still be able to achieve significant market transformation in Kazakhstan without labeling, via other project activity.

Project Manager, national expert on lighting markets


5 National capacity for testing and enforcement of lighting products is insufficient for effective implementation of technical standards

December 2012

Organizational and Operational

Laboratory facilities and personnel will be needed for testing of lighting products if technical standards are to be implemented in Kazakhstan. Kazakhstan has recently established two such facilities, one in Astana and one in Almaty. National partners state that if technical standards do come into force, sufficient laboratory capacity will follow.

Probability = 1

Impact = 1

The project will be ready to offer organizational assistance and training to new laboratories as needed

Project Manager, national expert on policy, national expert on lighting markets

Diminishing since project preparatory phase

6 Cost and complexity of collection of spent lamps prohibits success of mercury-recycling programs in some


Financial, organizational and operational

The Ministry of Environmental Protection (MEP) of Kazakhstan requires regional governments to develop plans for collection, containment, and processing of mercury-containing lamps. Collection of spent lamps may be prohibitively difficult or expensive,

The project will provide technical assistance to MEP and regional governments in developing cost-effective collection programs. The project will aim to link recycling programs with the same channels used for

Project Manager, national expert on policy


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regions especially in regions with a sparsely distributed population.

Probability = 3

Impact = 2

supply and distribution. To the extent that collection for recycling is truly impossible in some cases, then the project may focus on education and outreach regarding secure packaging of spent lamps for disposal with other wastes, as is standard even in some developed countries such as the United States.

7 General public fails to respond to promotion of EE lighting, for various reasons, including low electricity prices


Other (market-related)

The onset of the legal mandate for the IL phase-out has effectively eliminated the risk that the general public will fail to respond to promotion of EE lighting. There does continue to be some risk that consumers will fail to heed promotion of proper containment of spent mercury-containing lamps.

Probability = 1

Impact = 1

The project will use various modes of public outreach, including electronic and print media, seminars, and coupon programs. All outreach will be conducted in collaboration with established agencies with strong prior understanding of target constituencies. The most effective efforts will be replicated; less successful modes will be dropped. In any case, although the understanding of the general public would be most desirable, the implementation of a mandatory national IL phase-out and other policies would transform the market even without public support.

Project manager, national expert on public relations


8 Demonstration September Technical and As with all demonstration projects, The project will agree with Project Manager, No change since

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projects are technically unsuccessful or insufficiently cost-effective

2011 (during project preparatory phase)

financial there is some risk that pilot lighting projects supported by the project will underperform with regard to energy savings, or will have cost overruns. Such problems could arise from incorrect installation, product failures, or supply problems.

Probability = 1

Impact = 2

all partners on respective financial obligations for demonstration projects. The project will not be responsible for cost overruns. It is expected that project partners will be ready to devote significant financial resources to demonstration projects, enough to withstand any unexpected overruns.

All projects will be vetted carefully in terms of both technical and financial potential by national experts, at least one international expert, and national partners. It is highly likely that chosen projects will based on known technology applied elsewhere in the world.

national and international experts on pilot projects

project preparatory phase

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VI. Budget revisionsIn addition to enumerating planned activities by component, the Annual Work Plan for 2013 (see Annex B) shows projected spending by component and category. This budget is mostly consistent with that of the original Project Document, with two notable changes.

1. Rental of project office. The project is renting a modest one-room office. The original budget called for the project to receive an office rent-free from one of its national partners, but this plan has proven not to be feasible. Government ministries do not actually own the public buildings they occupy, and therefore do not have the legal ability to allocate space to other agencies. Other projects in the UNDP/GEF portfolio have encountered similar issues and have rented office space too. Rent is projected at $1000 per month, which is very modest given the market for commercial building space in Astana.

The project team understands the need to stay within the limitations of the budget for project management as stated in the original Project Document and the Request for CEO Endorsement approved by the GEF. Even with the continual rental of the office throughout the project period at stated monthly cost levels, the project expects to remain within with the original limitations because of reduced costs elsewhere in project management, including personnel.

2. Hiring of driver. The project has hired a driver to take project staff to and from meetings around Astana and vicinity. This decision has arisen from analysis of project needs and costs. Project staff do not have their own cars to use for business purposes. Public transportation is too slow and unreliable to fit into the very tight schedules of staff. Taxis are much more convenient, but more expensive than having a driver on call. As with the item above, the addition of this cost will be compensated by other reductions in the project management budget, ensuring that overall management costs remain within limits approved by the GEF.

VII. Indicators and Targets in the Project Results FrameworkSeveral changes to indicators and targets are being proposed for the Project Results Framework, in light of changed conditions and new findings from the Inception Workshop. These changes are consistent with the revisions to outputs and activities, as noted above in Section IV. Please see Annex A for the full updated Project Results Framework.

Overall objective and targetsBaseline and targets for IL phase-out. In the first row of the framework, where the overall project objective and associated general targets are enumerated, the baseline condition has been updated to reflect the adoption of the IL phase-out before the start of the project. The framework now sets a midterm target of adoption of supporting policies, including technical standards for lighting, and a final target of implementation of these policies. It also contains

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updated targets for light sources by wattage, consistent with stipulations of the new phase-out law.

Mercury containment. The indicators and targets for mercury containment from spent lamps have been significantly changed. In the original version, the Project Results Framework stipulated a target of “Documented 90 percent collection and recovery of mercury from spent lamps,” first at a regional level and later nationwide. But this target is problematic for a few reasons.

First, it is overly ambitious, compared to the experience of developed countries. In its 2003 Directive on Waste Electrical and Electronic Equipment (WEEE), the European Union adopted targets of 80 percent mercury recycling from lamps; the U.S. EPA set a similar target. Available published literature indicates very few cases in which this 80 percent target has been achieved and documented. See the table below.2

Country Recycling rate of Hg-containing lamps Target

USA 24% in 2004 80% by 2009

Taiwan 87% (fluorescents only) in 2003 Not available.

Germany 70-80% in 1994 80% of all lighting products by 2006 (WEEE)

Switzerland 60-70% in 2005 80% of all lighting products by 2006 (WEEE)

The Netherlands Well over 50% in 2005 80% of all lighting products by 2006 (WEEE)

Austria 50% in 2005 80% of all lighting products by 2006 (WEEE)

Other recent experience indicates that even the figures in the above table may be excessively unrealistic for some jurisdictions, even ones that are motivated and well funded. For example, in the state of Massachusetts in the United States, a law on mercury management was adopted

2 Table taken from the Sustainable Public Lighting Toolbox (http://www.iclei.org/index.php?id=6625, retrieved January 2013). This table, in turn, is constructed based on data from Hilkene, Christopher, and Friesen, Krista. 2005. Background Study on Increasing Recycling of End-of-life Mercury-containing Lamps from Residential and Commercial Sources in Canada. Action Plan 2000 on Climate Change, Enhanced Recycling Program, Natural Resources Canada. http://www.nrcan.gc.ca/sites/www.nrcan.gc.ca.minerals-metals/files/pdf/mms-smm/busi-indu/rad-rad/pdf/fl-r-jan06-eng.pdf. Retrieved January 2013.

17

http://www.nrcan.gc.ca/sites/www.nrcan.gc.ca.minerals-metals/files/pdf/mms-smm/busi-indu/rad-rad/pdf/fl-r-jan06-eng.pdf

http://www.nrcan.gc.ca/sites/www.nrcan.gc.ca.minerals-metals/files/pdf/mms-smm/busi-indu/rad-rad/pdf/fl-r-jan06-eng.pdf

http://www.iclei.org/index.php?id=6625

in July 2006, with target recycling rates of 30 percent by the end of 2008, 40 percent by the end of 2009, 50 percent by the end of 2010, and 70 percent by the end of 2011 and thereafter. The state documented a recycling rate of 33.8 percent for 2009.3

But managing spent lamps is only part of the picture. It is but one of several means toward achieving the overall goal of reducing the release of mercury into the environment. Beyond collection and containment, it is imperative also to achieve reduction of the amount of mercury that becomes waste in the first place. Such reduction, in turn, can arise from several important additional activities, including limitation of the allowable mercury content in fluorescent lamps; assurance of long lamp operating life; and conversion from mercury lamps to mercury-free lamps.

Given these issues, the project team proposes to revise its overall and specific targets for program activity related to mercury. Now the project sets targets not only for mercury containment (establishment of regional programs with documented 50 percent recovery), but also for mercury content and operating life of CFLs.

Mobilization of investment and other financial support. Figures for mobilization of investment and other financial support have been added to the project framework at the objective level. Targets are consistent with co-financing projections of the Project Document, as well as project work plans.

Outcome 1 The description of the outcome has been changed to reflect a broader, more rational goal with regard to mercury control, as mentioned just above.

IL phase-out. Targets and indicators have been updated to reflect specifics of the new law. The word “adopted” has been replaced with “approved”, in order to more accurately reflect the status of the roadmap as a guiding document rather than an actual regulation.

Technical standards. Targets for these standards are now defined with specific reference to desired content of the standards, including maximum allowed mercury content and operating life of lamps.

Building codes – addition of health standards for LED light sources. This target now reflects new intended activity toward updating of health codes, which currently do not permit LED lighting for indoor applications, because of concern for lighting quality. The word “agency” has been replaced with “agencies” to reflect that health standards and building codes are handled by two separate institutions in the RK government.

3 Department of Environmental Protection. Commonwealth of Massachusetts. August 2011. Draft 2009 Mercury Lamp Recycling Rate Determination. http://www.mass.gov/dep/toxics/stypes/09hglrrd.pdf (Retrieved January 2013).

18

Procurement. As discussed in Section IV, the project has recast its work on state procurement to focus on guidance and selection criteria, instead of revision of the state procurement law itself. The indicator remains unchanged, but targets, sources of verification, and assumptions in the Project Results Framework have been adjusted. Quantitative targets for procurement of energy-efficient lighting have been removed from the framework because it is excessively complicated to define exactly what types of lighting should qualify as energy-efficient, and what baselines and targets should be defined for each lighting type for various bulk purchasers.

Mercury containment and recovery. As discussed above, targets for mercury containment have been changed for greater practicality and consistency with world best practice. The new targets for Outcome 1 with regard to mercury involve technical standards for mercury content and lamp operating life (see Technical standards, above), and development of regional collection programs, with a target of 50 percent documented recovery of mercury from spent lamps. Informational outreach about mercury containment (including handling of broken and unrecyclable lamps) is addressed separately below.

Outcome 2Market expansion for EE lighting. The targets for Outcome 2 now specifically address market expansion of LEDs, with an ambitious but realistic project-end target of a doubling of their market share. These targets and corresponding market-share targets at the objective level of the Project Results Framework have been mutually adjusted for consistency with each other.

Outcome 3Targets for outreach volume. The quantitative targets for total outreach have been revised downward to reflect updated analysis of demographic information and estimates of audience sizes for various mass media channels. The total volumes remain very large, reflective of campaigns that will be conducted nationwide or in multiple major cities and regions.

Outcome 4The indicators and targets for Outcome and 4 of the project document remain unchanged, except for the addition of a co-financing target for investment by national partners, consistent with estimates shown in the original Request for GEF CEO Endorsement. Sectoral and technological aspects of replication targets should be made more specific at the Midterm Evaluation, after demonstration projects are selected.

Sources of verificationThroughout the Project Results Framework, sources of verification have been expanded and made more specific, in order to match more closely with indicators and to give clarity to program management and evaluators.

19

Annexes

A. Revised Project Results Framework

B. Annual Work Plan (2013)

C. Agenda of Inception Workshop and list of participants

D. Members of Project Steering Committee

E. Responsibilities of Project Steering Committee and National Project Director

F. TOR of National Consultants and International Consultant

20

ANNEX A. REVISED PROJECT RESULTS FRAMEWORK

Project Strategy Objectively verifiable indicators

Goal To achieve energy savings and avoided GHG emissions from lighting in the Republic of Kazakhstan (RK)

Indicator Baseline Midterm target End-of-project target Sources of verification

Assumptions

Objective:

To phase out inefficient lighting and transform lighting markets towards greater energy efficiency, while ensuring product quality and cost-effectiveness, as well as safe disposition of spent mercury-containing lamps.

Electricity consumption and associated GHG emissions from lighting

Adoption of IL phase-out and associated policies

Share of incandescent lamps, CFLs, and other types of conventional and efficient lighting

Quantity of contained and uncontained mercury from lamps, relative to the overall quantity of Hg-containing lamps in the market. This indicator

10.0 TWh/year and 9.3 million tonnes of CO2/year

IL phase-out adopted but without specific implementation plans

Incandescent lighting accounts for 77 percent of all lighting in buildings.. Lamps up to 100W permitted as of July 2012.

No limit on quantity of mercury in CFLs. No requirement or standards for operating life time of CFLs.

9 TWh/year and 8.4 million tonnes of CO2/year

IL phase-out adoptedSupporting policies developed, including national technical standards for lighting

Incandescent lighting accounts for 40 percent of lighting in all buildings Documented removal from market of lamps up to 75W for conventional applications in Kazakhstan

Maximum permitted contents of 3.5 milligrams of Hg per CFL. Maximum rated operating life of CFLs of 8000 hours, with associated test procedures established.

7 TWh/year and 6.5 million tonnes of CO2/year.

IL phase-out and full range of accompanying policies implemented, including technical standards

Incandescent lighting is no longer sold for conventional applications in Kazakhstan

In addition to midterm targets, documented expansion of market share of LEDs to 6 percent of national lighting total. At least three regional programs for collection and containment of spent fluorescent lamps, with documented 50 percent

Baseline, midterm, and final market studies of lighting and associated energy consumption.1

Published policy documents and standards, and official approvals for regional programs

The IL phase-out mandate is not delayed, weakened, or abandoned.

Sufficient political will to pass and implement IL phase-out, mercury recovery provisions, and other key policies.

21

Project Strategy Objectively verifiable indicators

Goal To achieve energy savings and avoided GHG emissions from lighting in the Republic of Kazakhstan (RK)

Indicator Baseline Midterm target End-of-project target Sources of verification

Assumptions

depends directly on Hg content of lamps, their operating lifetime, and effectiveness of collection and containment.

Mobilization of investment and other financial support for EE lighting in Kazakhstan

Containment not defined quantitatively; collection and recycling only from state agencies and larger enterprises, not general public

Investment and state budget support for EE lighting is just beginning in Kazakhstan

At least one regional program for collection and containment of spent fluorescent lamps.

US $7 million in co-financing for EE lighting secured and applied

recovery of mercury from spent lamps.

US $28 million in co-financing for EE lighting secured and applied

22

Outcome 1:

Policy development and implementation supports effective IL phase-out, expansion of market share and use of EE lighting, and minimization of release into the environment of Hg from spent lamps

Implementation of incandescent-lighting phase-out

Phase-out included in adopted RK law On Energy Efficiency, but without specific implementation plans.

Phase-out included in adopted RK law On Energy Efficiency. Roadmap for IL phase-out developed and adopted by MINT. Roadmap for IL phase-out developed and approved by MINT.

Phase-out implemented in stages and documented (100W bulbs phased out by 2013, 75W bulbs by 2014, and 25W bulbs by 2015).

Published official documentation (laws, state programs, etc.). Official statistics and records of testing, certification, customs control, etc..

The IL phase-out mandate is not weakened or abandoned.

Requirements of technical standards for EE lighting

No technical standards for EE lighting

Technical standards developed and adopted for CFLs, LEDs, and/or other EE lighting, including requirements for energy efficiency, mercury content (maximum 3.5 mg Hg per CFL), and operating life of lamps (minimum rated operating life of 8000 hours for CFLs), as well as enhanced rules on certification and licensure of certifying agencies

Technical standards developed, adopted, and enforced for EE lighting

Published technical standards. Agency documentation. Market data from suppliers.

Continued support from Committee for Technical Regulation of MINT.

Code requirements for energy performance of lighting in buildings

Minimum 55 lumens per watt (for limited applications)

Requirement of minimum 70 lumens per watt developed (for same limited applications). Development and delivery of recommendations to RK

Additional revision of SNRK 2.04-05-2002 and others for greater energy efficiency, including recommendatory sections

Published code requirements and recommendatory sections.

Code revision will be prioritized by the responsible agencies

23

Ministry of Health on standards for light quality from LEDs, allowing for expanded use

Procurement of energy-efficient lighting by public agencies

Public agencies do not consider life-cycle costs or energy efficiency of lighting equipment in procurement

Development and delivery of recommended instructions to government agencies and large national companies on specifications for bulk purchases of high-quality lighting products,

Observance of recommended procurement guidelines by at least two national agencies or other bulk purchasers.

Published instructions.Evaluation study of procurement practices.

Political resistance from government agencies and entrenched suppliers is ensured. Government agencies and other large purchasers heed instructions despite entrenched existing practice

State policy and program on mercury (Hg) containment and recovery

National mandate for Hg containment and recovery developed by RK Ministry of Environmental Protection and sent to regional governments. No regional programs yet implemented in response. No organized collection of spent lamps among general public.

National mandate and regional programs for mercury containment and recovery developed and adopted. Pilot programs for collection of mercury wastes established. At least one regional program for collection of mercury wastes

Processes for collection of mercury wastes operating nationwide. At least three regional programs for collection of mercury wastes, with documented 50 percent recovery of mercury from spent lamps.

Published regulations and program documentation. Reports from mercury-recovery facilities

Adequate logistics available for effective collection program in all regions

24

Outcome 2:

Increased accessibility and market share of EE lighting

Market share of incandescent lamps, CFLs, and other types of conventional and efficient lighting

Incandescent lighting accounts for 77 percent of all lighting in buildings.. Lamps up to 100W permitted as of July 2012.

LEDs account for 3 percent of the market for light sources in Kazakhstan

Incandescent lighting accounts for 40 percent of lighting in all buildings. Documented removal from market of lamps up to 75W for conventional applications in Kazakhstan

Documented expansion of markets of LEDs and/or other EE lighting, types of applications, and total market share of 4 percent for LEDs in Kazakhstan

Incandescent lighting is no longer sold for conventional applications in Kazakhstan

LEDs are available for indoor and outdoor applications nationwide and account for 6 percent total national market share for lighting.

Baseline, midterm, and final market study commissioned by the project, based on data on production and import, as well as sales if possible

Cost-effective distribution is possible even to remote towns and rural areasPromotion, targeted discounts, and new national laws and policies are enough to overcome cost barriers among poor rural consumers

Government agencies, state concerns, and private companies continue placing high priority on development and promotion of LEDs

Outcome 3:

Increased familiarity among diverse stakeholders with EE lighting and associated issues

Awareness of general public about advantages of EE lighting, rating and labeling systems for lighting, and proper handling of spent mercury-containing lamps, as measured by quantitative scoring of survey dataCoverage of outreach campaigns, in terms of population

Not defined quantitatively. General public widely disregards advantages of EE lighting. Rating/labeling systems and mercury-lamp collection programs for general public do not exist.

Outreach campaigns conducted, reaching 1.5 million citizens.

Outreach campaigns conducted, reaching 6.5 million citizens

Forty percent of overall population is aware of advantages of EE lighting, rating and labeling systems for lighting, and proper handling of spent mercury-containing lamps

Baseline and final surveys commissioned by the project, assessing the general public’s lighting awareness and preferencesCirculation and viewership data

Continued stability of cost-sharing will make large-scale media campaigns possible

25

Outcome 4: Increased investor confidence, design and administrative capacity, and market share of EE lighting as a result of demonstration projects

Energy savings and GHG emissions reductions from EE upgrades of lighting in selected public buildings or street-lighting projects

Outdated lighting technology is widely used in both buildings and street lighting. Quantitative baseline parameters to be determined during design phase for each specific project.

Measures installed and evaluation started for two new demonstration projects

31,000 tonnes of direct avoided CO2 emissions over operating lifetime of deployed demonstration technologySpecific technical and economic performance targets to be determined for each project.

Measurement and verification, including metering of installed lighting., at both pre-installation (baseline) and post-installation stages

Continued stability of partnership and cost-sharing

Replication of demonstration project results, in terms of number of projects, number of regions, and amount of financing mobilized

Business-as-usual does not reflect practices that are to be applied in demonstration projects

Replication of at least two pilot projects conducted prior to project inception (subcomponent 4.2).

Replication of demonstration project results in at least five projects in five regionsAt least $12 million invested in EE lighting projects

Project reports and documentation from state agencies

1. These studies will document the market availability of lamps under the phase-out, and will also contain calculations of energy consumption from lighting, based on data on import, domestic production, and sale of lamps, obtained from suppliers, distributors, and retailers, as well as the RK Ministry of Industry and New Technologies and RK Ministry of Environmental Protection.

26

ANNEX B. ANNUAL WORK PLAN 2013

I. Annual Work Plan

Year: 2013

OUTCOMES, OUTPUTS PLANNED ACTIVITIES

TIMEFRAMEResponsible party

PLANNED BUDGET

Q1 Q2 Q3 Q4 Source Budget description Q1 Q2 Q3 Q4 Total

Component 1: Policy development and implementation

Output 1.1: Developed and implemented roadmap for IL phase-

1.1.1 Preparation of a comprehensive market study and forecasts for lighting markets in Kazakhstan

- Analysis of the market structure, participants and tendencies development

- Calculation of the reduction potential of the lighting power consumption

- Calculation of GHG quantities reduction due to transformation of the lighting equipment market

- Elaboration of energy efficient lighting program for a short term period – transition from the IL to CLLs in indoor facilities

Expert on policies and measures

Expert on standardization, certification and market development

GEF

71300 –

local experts

1455 1455 1455 1455 5820

71400 – project manager

515 515 515 515 2060

71200- international experts

0 0 0 0 0

74200- Communications and publications (television, web, print, etc.)

4306 6806 1806 1806 14724

72100-

Contractual services

0 0 0 0 0

71600- Travel0 6155 6155 0 12310

Output 1.2: Developed and adopted official technical standards and certification procedures

1.2.1 Formation and design of the activity plan of a technical sub-committee on lighting standards and certification


GEF 71300 –

local experts

1455 1455 1455 1455 5820

for quality and performance for EE lighting products

- Analysis of normative documents in the part of energy efficient lighting jointly with the Committee of technical regulation and metrology of the MINT RK - Elaboration and drawing up of an action plan for a technical managing group on standards and certification of lighting equipment.


515 515 515 515 2060


0 17000 0 0 17000


0 0 0 0 0

72100-


0 4500 0 3500 8000

71600- Travel0 0 0 0 0

1.2.4. Analysis of the Customs Union in the terms of developing of customs regulations, certification and checking of lighting products jointly with the Russian authorities- Harmonization of the Russian, Kazakhstan, Belarus, and the Ukraine national standards on lighting technology. - Arrangement of a meeting with stakeholders in February, 2013, carrying out of a meeting at the UNDP in Moscow



GEF


0 0 15000 0 15000


0 0 0 0 0

72100-


0 4000 4000 0 8000

71600- Travel10000 0 0 0 10000

Output 1.3: Updated relevant mandatory and recommended sections of the national building code on lighting

1.3.1. Review of existing RK building codes and other normative documents and identification of opportunities to include and/or increase requirements for lighting efficiency


GEF 71300 –

local experts

1455 1455 1455 1455 5820


515 515 515 515 2060


0 0 0 0 0

28


0 0 0 0 0

72100-


0 5000 0 5000 10000

71600- Travel0 0 0 0 0

1.3.2. Review of international best practices with efficiency requirements for lighting in building codes


GEF


0 0 17000 0 17000


0 0 0 0 0

72100-


0 0 3000 0 3000

71600- Travel0 0 0 0 0

1.3.4.Delivery of training to relevant agencies on implementation of new lighting requirements in new codes



GEF


0 0 0 0 0


0 0 0 0 0

72100-


0 0 5000 0 5000

71600- Travel0 0 0 0 0

Output 1.4: Enhanced public procurement processes favoring

1.4.1. Elaboration of guidance for government ministries, regional administrations, and large state entities on


GEF 71300 –

local experts

1455 1455 1455 1455 5820

29

energy efficiency and life-cycle cost criteria.

criteria for bulk purchase of high-quality energy-efficient lighting.


515 515 515 515 2060


0 0 0 0 0


0 0 0 0 0

72100-


0 4000 0 0 4000

71600- Travel0 0 0 0 0

Output 1.5: Established system for collection, recycling, and storage of mercury-containing lamps

1.5.1. Development of national policy

regarding mercury waste.

- Development of the map of mercury disposal landfills in Kazakhstan;

- consideration and working out of a pilot project jointly with Almaty Akimat

71300 –

local experts

1455 1455 1455 1455 5820


515 515 515 515 2060


20000 0 0 0 20000

72100-


4000 4000 4000 4000 16000


0 0 0 0 0

71600- Travel0 1500 0 0 1500

Total Outcome 1 48156 62811 65811 24156 200934

30

Component 2: Market development for EE lighting

Output 2.1: Market stimulus to promote EE lighting

2.1.1 Preparation of proposal for one or more programs for consumer discounts and/or financing for LEDs or other qualifying energy-efficient lighting, possibly in conjunction with mercury recycling programs.


GEF

71300 –

local experts

3637 3637 3638 3638 14550


1258 1258 1258 1258 5032


0 0 0 0 0

72100-


10000 10000 0 0 20000


0 0 0 0 0

71600- Travel0 10000 0 0 10000

Output 2.2: Implemented labeling program for energy-efficient lighting products

2.2.1 Determination of further activity for this output on the basis of the market study of Output 1.1 and the development of technical standards of Output 1.2.

- Elaboration of the technical standard on labeling of EE lighting equipment together with the cl.1.2.1.


71300 –

local experts

3637 3637 3638 3638 14550


1258 1258 1258 1258 5032


0 0 20000 0 20000

72100-


3810 3810 3810 3810 15240


0 0 0 0 0

71600- Travel0 0 0 0 0

31

Total Outcome 2 23600 33600 33602 13602 104404

Component 3: Promotion and educational outreach

Output 3.1: Completed promotional campaigns for EE lighting among the general public.

3.1.1. Hosting and co-hosting of seminars and other events to promote energy-efficient lighting among the general public

- Preparation and distribution of informational materials in order to promote EE lighting and proper handling of the spent mercury lamps - development of the UNDP EE projects website. Preparation of information to be spread through social networks, including Facebook and Twitter. - Making and rotation of videos about EE lighting on the national television channels. Tv-interview with the information about the Project.- Contests among schoolchildren and/or students for the best knowledge in the field of EE lighting, etc.

PR Specialist GEF

71300 –

local experts

2500 2500 2500 2500 10000


1258 1258 1258 1258 5032


0 0 0 0 0

72100-


15000 0 0 15000


0 5000 0 0 5000

75700- workshops10000 0 10000 0 20000

71600- Travel0 0 0 0 0

Output 3.2: Completed EE lighting promotional campaigns among professionals

3.2.1: Hosting and co-hosting of seminars and other events to promote energy-efficient lighting among building-industry professionals, responsible regional officials, and other specialists, including industrial energy auditors

PR Specialist GEF

71300 –

local experts

2500 2500 2500 2500 10000


1258 1258 1258 1258 5032


0 0 0 0 0

72100-


0 15000 0 0 15000

75700- workshops0 10000 0 0 10000

32


0 0 0 0 0

71600- Travel0 0 0 0 0

Total Outcome 3 32516 37516 17516 7516 95064

Output 4.1: Completed new demonstration projects

4.1.1: Elaboration of selection criteria and solicitation of demonstration project applications

PR Specialist GEF

71300 –

local experts

1500 1500 1500 1500 6000


838 838 839 840 3355


0 0 0 0 0

72100-


0 0 0 0 0

75700- workshops0 0 0 0 0


0 0 0 0 0

71600- Travel 0 0 0 0 0

4.1.2: Evaluation and selection of demonstration projects, with subsequent formalization of agreements 71200- international

experts

0 0 0 0 0

72100- Contractual services

10000 0 0 0 10000

33

PR Specialist GEF74200- Communications and publications (television, web, print, etc.)

0 0 0 0 0

71600- Travel 0 20000 0 0 20000

Output 4.2: Replicated other known lighting upgrades.

4.2.1: Review of documentation of previous EE lighting projects and verification of quantitative results

PR Specialist GEF

71300 –

local experts

1500 1500 1500 1500 6000


838 838 839 840 3355


0 0 0 0 0

72100-


0 10000 0 0 10000


0 0 0 0 0

71600- Travel0 0 0 0 0

Total Outcome 4 24676 24676 4678 4678 58710

PROJECT MANAGEMENT

Project Manager PM

GEF-62000

71400- SC838 838 839 840 3355

Project Assistant PM 71400- SC 4575 4575 4575 4575 18300

Preparation of quarterly reports PM NA 0 0 0 0 0

Preparation of annual report PM NA 0 0 0 0 0

Communication services Project Assistant (PA)

72400 – communication

1080 1080 1080 1080 4320

34

PROJECT MANAGEMENT UNIT

(This is not to appear as an Outcome in the Results Framework)

Miscellaneous PA 74500- miscellaneous 3000 3000 3000 3000 12000

Office supplies PA 72500 – office supplies 250 250 250 250 1000

Equipment and furniture PA72200 – equipment and furniture

250 250 250 250 1000

Total PROJECT MANAGEMENT 9993 9993 9994 9995 39975

TOTAL 138941 158596 131601 59949 499087

35

ANNEX C. AGENDA OF INCEPTION WORKSHOP AND LIST OF PARTICIPANTS

INCEPTION WORKSHOP

December 10-11, 2012Hotel “Grand Park Esil”, Astana

DAY 1. INTERNAL DISCUSSION

09.00-09.20 Registration

09.20-09.30 Opening statements- Talgat Mukanov, Director of the Department of new technologies and energy

efficiency MINT RK (Moderator)- Stanislav Kim, Head of Energy and Environment Unit,UNDP

09.30-09.45 Project structure: goal, objectives, outcomes Syrym NurgaliyevProject Manager

09.45-10.15 UNDP and GEF requirements for monitoring, evaluation, and risk managementMarina Olshanskaya Regional Technical Advisor, UNDP

10.15-10.45 Project document and framework of targeted results Mark ChaoInternational Consultant

10.45-11.00 Coffee break

11.00-11.15

11.15-11.30

Presentation on energy efficient (EE) lighting policy and development of the roadmap for IL phase-out: current conditions and needs Sergey Inyutin

Discussion of targeted results of the project: EE lighting policy and IL phase-out

11.30-11.45

11.45-12.00

Presentation on establishing system for collection, recycling, and storage of mercury-containing lamps: current conditions and needsSergey Inyutin

Discussion of targeted results of the project: establishing system for collection, recycling, and storage of mercury-containing lamps

12.00-12.20

12.20-12.45

Presentation on market accessibility of EE lighting among targeted populations: current conditions and needsLyudmila Teplovodskaya

Discussion of targeted results of the project: market development for EE lighting

12.45-14.00 Lunch break

36

14.00-14.20

14.20-14.30

Presentation on project’s approach to education, outreach, and public relationsDinara Tamabayeva

Discussion of targeted results of the project: education and outreach

14.30-15.00 Discussion of demonstration projects. goals, selection criteria, and process


15.30-16.30 Summary discussion and confirmation of plansOpen discussion led by Syrym Nurgaliyev and Mark Chao

Confirmation of project framework of targeted results Confirmation of 2013 Annual Work Plan by Project Steering Committee Preparation for the external session

16.30 Closing remarks

DAY 2. EXTERNAL SESSION

09.00-09.30 Registration

09.30-09.50 Welcoming remarks Talgat Mukanov, Director of the Department of new technologies and energy efficiency MINT RKRepresentative of the Ministry of Environment ProtectionEkaterina Paniklova, Deputy Resident Representative, UNDP in Kazakhstan

09.50-10.00 UNDP and GEF: global goals and projectsMarina OlshanskayaRegional Technical Advisor, UNDP or Head of Energy and Environment Unit, UNDP

10.00-10.20 Potential of energy savings in lighting in KazakhstanLyudmila Teplovodskaya

10.20-10.40 Project structure: goal, objectives, outcomesSyrym NurgaliyevProject Manager

10.40-11.15 Brief presentations by project partners Samruk-Kazyna, Philips, OSRAM, Teksan, SemiLEDs


11.30-11.45 UNDP/GEF project on energy-efficient (EE) lighting in Russia Anatoly Shevchenko Project Manager

11.45–12.00 UNDP/GEF project on energy-efficient (EE) lighting in UkraineSergey Vagra

37

Project Manager

12.00-13.00

12.00-12.20

12.20-12.35

12.35-13.00

Confirmation of project framework: targeted results, action plan, partnerships, and rolesModerated by Syrym Nurgaliyev and Mark Chao, International Consultant

Component 1: Policy development and implementation (phase-out of incandescent lighting, building codes, state procurement)Component 1, continued: Containment of mercury from spent lamps

Component 2: Market development and increasing accessibility of EE lighting13.00-14.00 Lunch break

14.00-14.40

14.00-14.20

14.20-14.40

Confirmation of project framework: targeted results, action plan, partnerships, and rolesModerated by Syrym Nurgaliyev and Mark Chao, International Consultant

Component 3: Education and outreach

Component 4: Demonstration projects14.40-15.00 Summary and confirmation of next steps for inception period and plans for 2013

Syrym Nurgaliyev and Mark Chao

15.00-15.15 Thanks and closing remarks


15-30 Visit on a production site

17.00 Dinner

List of participants

№ Name Organization, positionGovernmental institutions, state organizations

1.Talgat Mukanov

Ministry of industry and new technologies of the RK Director of Department of new technologies and energy saving

2.

Gulmira Atemova

Ministry of environmental protection of the RK Committee of ecological control and regulation Main Expert on industrial waste treatment

3.Amirkhan Kenzhebayev

Ministry of health of the RKCommittee for state sanitary-epidemiological control, expert

4.Dinara Sabdinova

Ministry of transport and communications of the RK Director of Department of strategic planning and analysis of program documents

5.Dina Medeubayeva

Ministry of transport and communications of the RK Head of Division of analysis and monitoring of program documents

6. Ministry of transport and communications of the RK

38

Dinara Argyngazina Expert7.

Sergey Vasiliyev РГП «Information-analytical center for environmental protection » RSE, MEP of the RK Director General

8.Mergen Magutov

«Division of energy and public utilities for West Kazakhstan oblast» State Institution, Head

9.Beimbet Musin

«Division of energy and public utilities for West Kazakhstan oblast» State Institution, Main Specialist

10.Olzhas Alimbekov

“Kazakhenergoexpertiza” RSEDirector of Department of energy-efficiency and energy saving

11.S. Khozhakhmetova

Division for natural resources and environmental management for Kyzylorda oblast, Head of unit for ecological projects and monitoring

12.

Rustem AtabayevAlmaty city Division for economy and budget planningMain specialist, Investment policy unit

13.Orak Bisembiyev

Atyrau oblast Division for energetics and housing and public utilities Deputy Head, Department of natural resources and environmental management

14. Marat Karamalayev Atyrau oblast Division for energetics and housing and public utilities Head of Division for housing and public utilities

15.Bolat Kudaspayev

“Mangystau oblast Division for energetics and housing and public utilities” State Institution Director, “ Beineuenegroservice” State Communal Enterprise

16.

M. Shakirov

“Zhambyl oblast Division for energetics and housing and public utilities” Communal State InstitutionHead, unit for housing and public utilities and energetics

17.A. Medetbekov

“Zhambyl oblast Division for energetics and housing and public utilities”Head, Shu district Akimat unit for automobile roads and energetics

18. N. Nurmagambetov Akim of Shu city, Zhambyl oblast19. Yerlan Soltanbayev Zhambyl oblast, inspector, unit for residential houses 20.

Maksatzhan SamatovAkmola oblast Division for energetics and housing and public utilities Main specialist, unit for energetics

21.Yermekbay Satimirov

Astana city Division for energetics and housing and public utilities Deputy head

22.Bolat Akhmetov

Astana city Division for natural resources and environmental managementDeputy head

23.Zhenis Tuyakov

“KazInst” RSECommittee for technical regulation and metrology

24.А

Yerkezhan Amirkhanova

“KazInst” RSECommittee for technical regulation and metrologyHead of Division of technical regulation

25.

Alexander Pak“KazInst” RSECommittee for technical regulation and metrology

26.Erik Zhalmanbetov

“Kazakhstan metrological institute” RSE Committee for technical regulation and metrology

National Enterprises27.

Kadyrbek AbdirovKaraganda GosvetDirector General

28.A. Repin Kazresursconsulting

29. "Almatygorsvet" JSC

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Sergey Padalko Main engineer 30.

Nurlan Bekzhanov

“Almatyecologstroy” State Communal Enterprise Director General

31.

Shyngys Ryskulbekov

“Almatyecologstroy” State Communal Enterprise Director of Center for demercurization Mercury-containing lamps and devices

32.Daniyar Kenbayev

“National info-communicational holding “Zerde”” JSC Director of Department for investment project in information-communicational sector

33.Ruslan Akhmetzhanov

Astana Gorsvet Engineer on technical control

34.Nurlan Syzdykov

Astana Gorsvet Engineer on technical control

35.Yeldos Abakanov “Kazakhstan Housing and Utilities Reform Center” JSC

Main manager of Department for residential sector

36.U Komek Medelov «Mangystauenergo» State Communal Enterprise

Private companies37.

Murat OrazbayevPhillipsHead of division

38. Valery Stepanov Phillips39.

Amangeldy Taukenov LED SystemDirector General

Scientific – research institute and centers 40.

Timur Underbayev«National scientific-technical holding «Parasat» JSCMain manager, Department of project management

41.Serik Nurzhan

«National scientific-technical holding «Parasat» JSCSenior manager, Department of project management

42.I.Nevmezhitskiy

«Phisics-technical institute» JSCJunior researcher

43.T. Aitmukan

«Phisics-technical institute» JSCengineer

44.

Petr Martsev

“Turan-Profy” JSCProfessor

45.

Valery Dvornikov “Almaty University of energetics and communication» Non-profit JSCHead of scientific-research sector

Associations, NGOs

46.Galym Amreyev

Fund of National Welfare “Samruk-Kazyna” Director of Department of innovative policy

Kazakhstan association of high-tech energy-efficient and innovative companies (KAVEIK) Head

47. Regional Ecological center for Central Asia

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Tatiana Shakirova

48.Valentina Kryukova Climate Change Coordination Center, Director

International organizations49. Marina Olshanskaya UNDP RBEC50. Stanislav Kim UNDP Kazakhstan 51. Irina Goryunova UNDP Kazakhstan52. Lucia Hagerova UNDP RBEC53. Saulet Sakenov UNDP Kazakhstan 54. Alexander Belyi UNDP Kazakhstan 55. Bayan Abulkairova UNDP Kazakhstan 56. Anatoly Shevchenko UNDP Russia57. Sergey Varga UNDP Ukraine58. Syrym Nurgaliyev UNDP Kazakhstan 59. Sergey Inyutin UNDP Kazakhstan 60. Lyudmila Teplovodskaya UNDP Kazakhstan 61. Anara Ayaganova UNDP Kazakhstan 62. Dinara Tamabayeva UNDP Kazakhstan 63. Mark Chao International consultant, UNDP

ANNEX D. MEMBERS OF PROJECT STEERING COMMITTEE

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Name Organization, position

Mr. Talgat MukanovMinistry of industry and new technologies of the RK Director of Department of new technologies and energy saving

Ms. Dinara Azhigaliyeva

Ministry of environmental protection of the RK Main Expert of Department of ecological legislation and legal support

Mr. Bolatbek Aitbayev

Ministry of transport and communications of the RK Committee of automobile roads Head of Division of science and works quality

Mr. Rauan Skakov

Ministry of economic development and trade of the RK Head of Division of industrial, agricultural and ecological developmentDepartment of economic sectors development

Mr. Igor Alekseyev

Agency of the RK on construction affairs and housing and public utilities Head of Division for planning and development of communal sector

Mr. Galym Amreyev

Fund of National Welfare “Samruk-Kazyna” Director of Department of innovative policy Kazakhstan association of high-tech energy-efficient and innovative companies (KAVEIK) Head

Mr. Yeldos Abakanov“Kazakhstan Housing and Utilities Reform Center” JSC Main manager of Department for residential sector

ANNEX E. RESPONSIBILITIES OF PROJECT STEERING COMMITTEE AND NATIONAL PROJECT DIRECTOR

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draft

Regulation on Project Steering Committee

1. General provisions

1.1. Project Steering Committee (hereafter referred to as the SC) is formed on the basis of “Promotion of energy-efficient lighting in Kazakhstan” Project (hereafter referred as - Project) Document signed between Ministry of industry and new technologies of the RK, Ministry of environmental protection of the RK and the United Nations Development Programme. 1.2. Present regulation shall set main tasks, structure, arrangement for organization and holding of the SC meetings, functions and rights of the SC and the National Project Director. 1.3. Provisions of present document (hereafter referred to as Regulation) shall refer to activity of all members of the SC. 1.4. The SC is a monitoring and governing body, executing coordinative functions and providing political support to the Project. 1.5. Activity of the SC is based on the principles of freedom for discussion and publicity.

2. Main tasks of the SC. 2.1. Monitoring and coordination of project activity. 2.2. Creation of collaborative conditions of local authorities with the Project management unit, which shall facilitate successful project activity implementation. 2.3. Consideration, assessment and elaboration of recommendations, as well as consultative and expert support of the recommendations on the theme, context, volume and terms of certain stages of the project work. 2.4. Provision of support in implementation of the Project work plans.

3. Main functions of the SC. 3.1. Provision of general supervision under implementation of the project;3.2. Definition of directions of the project activity on the higher level;3.3. Provision of the cooperation of the project with other complementary projects;3.4. Provision of the cooperation between governmental bodies, organizations and other institutions for the successful implementation of the project;3.5. Provision to the project of full access to all documents and information of different state institutions, which may be required for monitoring and implementation of the project;3.6. Rendering of methodological and practical assistance to the project on the issues of the project actions implementation;3.7. Consideration and approval of Annual Work plans, revised budget and stepwise funding;3.8. Consideration and approval of Annual project implementation reports;3.9. Functioning as a main body for activity coordination and promotion of project interests in order to provide political, legislative and financial support from the Government of the RK;3.10. Continuation of fundraising efforts in order to support results and activity of the project after completion of funding from Global Environment Facility.3.11. Discussion and approval of a structure of the working groups responsible for pilot projects selection in the framework of design and construction of residential buildings and responsible for selection of energy-efficient construction materials in the framework of project results achievement.

4. Structure of the SC4.1. The SC includes representatives from the following organizations4:

4 Final list of the SC members is approved at the first SC meeting and could be changed during the project implementation period

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Ministry of industry and new technologies of the RK (Chairman) Ministry of environmental protection of the RK Ministry of economic development and trade of the RK Ministry of transport and communications of the RK «FNW “Samruk-Kazyna» JSC Committee of construction affairs MRD RK “Kazakhstan Housing and Utilities Reform Center” JSC Kazakhstan association of high-tech energy-efficient and innovative companies

4.2. The Chairman exercises general supervision under the Committee. The SC Chairman is a National Project Director, appointed by the Ministry of industry and new technologies of the RK.4.3. In order to resolve concrete tasks for the SC meeting the following participants could be invited:

Representatives of Scientific and research institutes, project institutes and academies, project companies,

Independent consultants and experts in the certain fields, and others.

4.4. Structure of the SC can be changed and complemented by agreement with the SC members and upon approval of the Chairman. 4.5. The SC is a component part of the project organizational structure, that was represented in the project document and is an integral part of present Regulation (Annex №1).

5. Role and responsibilities of National Project Director

5.1. National Project Director (NPD) is responsible for coordination of project implementation on behalf of the National Executing Agency. 5.2. NPD represents the Government of Kazakhstan as an official, responsible for promotion of energy-efficient lighting.5.3. NPD manages the project on energy-efficient lighting during the whole period of the project in order to secure an implementation of the project activities in accordance with the project document.5.4. NPD delegates the main responsibilities required for successful project implementation to the Project Manager, except those which refer to his\her exclusive competence.5.5. Ensures provision of financial information to corresponding authorized persons in accordance with operational principles of national implementation. 5.6. Ensures coordination between project activities and the corresponding activities in the frameworks of state programs, as well as incentives, related to the project.5.7. Provides other types of support for successful implementation of the project and corresponding activities after completion of the project, including an ensuring of sustainability and experience sharing.5.8. NPD shall approve Annual work plans and budget of the project. 5.9. NPD shall approve and sign financial and other reports on the project implementation. 5.10. NPD shall ensure inter-relation with partners and coordination with the structures of the National Executive Agency.

6. Organization of the activity and conduction of the SC meetings

6.1. The working format of the SC is a meeting, conducted in accordance with the work schedule not less than twice per year or more often, as required.6.2. The SC meeting is considered to be authorized upon quorum of 2/3 of the SC membership.6.3. In case of his\her absence, NPD can delegate the chairmanship in the SC together with delegation of authorization to sign the SC protocol.

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6.4. Expenses for conduction of the SC meeting shall be covered by the Project. The SC makes decisions by voting during the meetings. The SC members shall make all efforts to decide on the basis of consencus. 6.5. Decisions made by the SC shall be formed as a protocol and disseminated between all participants of the meeting, and then signed by the SC chairman. 6.6. In the course of the project implementation works, as required and upon urgent issues arising, the SC members can negotiate such issues and proposals via e-mails and/or letters with subsequent approval by the Chairman.6.7. Decisions, made on the SC meetings, are obligatory for the Project management group and the SC member-organizations.6.8. The PMU shall carry out the following actions to organize and conduct the SC meeting:

Shall analyze an information, received from member-organizations, shall draft an agenda and other required documents;

Shall send draft of the agenda and other required documents for consideration and approval by the SC Chairman; Shall form a package of materials for dissemination between the SC members after the agenda is approved; Shall inform the SC member about date and venue of the meeting and send the agenda not later than 7 days before the meeting.

7. Rights and obligations7.1. In order to realize their functions, the SC members are vested by the necessary rights, obligations and responsibility in accordance with the legislation of the Republic of Kazakhstan, other legal acts and the present Regulation.7.2. The SC members have a right to:

7.2.1. take part in all SC meetings; 7.2.2. receive any information about the SC’ activity;

7.2.3. come out with corresponding initiatives to adopt the SC’ decisions; 7.2.4.perform other authority. 7.3. The SC Chairman:

7.3.1. shall define internal work schedule of the SC;7.3.2. shall chair the SC meetings; 7.3.3. shall call for extraordinary meetings of the SC; 7.3.4. shall maintain permanent communication with Project management group;7.3.5. shall support informational communication among the SC members;7.3.6. shall assign a date for the SC meeting upon consent of the Project manager;7.3.7. shall consider and approve an agenda for the SC meeting;

7.3.8. shall coordinate the SC activity on provision to PMU of required support for successful project implementation;7.3.9. shall represent the SC in relations with other organizations.

8. Performance control8.1. The SC shall be guided by present Regulation in its activity. 8.2. The SC’ activity shall be assessed on a regular meeting of the SC after hearings on annual reports.

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ANNEX F. TOR OF NATIONAL CONSULTANTS AND INTERNATIONAL CONSULTANT

Position: National Project Manager Project: Promotion of Energy-Efficient Lighting in KazakhstanType of Contract: Service Place of Work: Astana, KazakhstanPeriod: February 2012 through December 2016 ______________________________________________________________________

Brief description

The Project Manager (PM) will be responsible for the daily management of all project activity at the national level. The PM will head the work of the Project Implementation Group, providing supervision of all consultants, contracted companies, and technical and administrative staff. The PM will work under the general oversight of the National Project Director and the Project Board, with supervision from the project coordinator at UNDP. All work conducted by the PM and the entire Project Implementation Group will be coordinated with the RK Ministry of Industry and New Technologies, which is the national implementing agency for the project from the Republic of Kazakhstan.

This is a full-time position. The PM is responsible for the following:

Effective project planning and implementation, with participation of all interested parties, in accordance with the project document

Preparation, tracking, and implementation of annual work plans for the project Organization and management of the work of the Project Implementation Group Development of Terms of Reference and contracts for national and international consultants Provision of effective interaction with relevant state agencies, private companies, NGOs and

other interested parties Development of relations with other relevant GEF programs or other regional programs on

energy efficiency and/or lighting; Dissemination of information of project activity and results to project partners and the general

public (including the creation and updating of project web page) Supervision of internal processes for quality control, including creation of logs of risks, problems

and quality indicators of project activity, monitoring and maintaining these logs, and making necessary changes

Provision of progress reports on project implementation in accordance with the project document

Delivery of needed information to independent outside project evaluators Regular reporting and communication with the Project Board and UNDP about project status,

including problems Control of spending of project funds on intended purposes in accordance with the approved

budget of each project outcome Monitoring and coordination of the delivery of co-financing as stipulated in the project

document.

The overall goal for the PM's work is the successful implementation of the project in accordance with the goals, work plan and budget set forth in the project document, including the following specific outputs:

Policy roadmap for implementation of an incandescent lighting phase-out in Kazakhstan Implementation of state policies and programs based on this roadmap Development and adoption of technical standards on quality, performance, and material

content of lighting

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Development and implementation of a system for collection, containment, recycling, and accounting of spent mercury-containing lamps

Creation of a program providing coupons or other discounts for high-quality EE lighting, to be made available to targeted market segments

Implementation of at least two demonstration projects embodying best practices in energy-efficient lighting

Reporting and dissemination of demonstration project results, lessons learned, and opportunities for further activity

Required qualifications

Higher education (specialist designation, bachelor's degree, or equivalent, as granted by a university or institute) in a field related to energy-efficient lighting (electrical engineering, business, economics, energy, etc.)

Technical knowledge and work experience of not less than 5 years in energy efficiency and/or lighting

Experience in strategic planning and project management Experience in supervision of employees and consultants Excellent abilities to motivate and supervise a diverse team Excellent computer skills Familiarity with the structure and strategic priorities of UNDP and GEF projects is preferable Fluency in written and oral Russian and English Knowledge of Kazakh is preferable

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Position: Project Assistant Project: Promotion of Energy-Efficient Lighting in KazakhstanType of Contract: Service Place of Work: Astana, KazakhstanPeriod: February 2012 through December 2016 ______________________________________________________________________

Description

The Project Assistant (PA) will provide administrative and other support for the Project Manager (PM) and other project staff and consultants.

This is a full-time position, under the direct supervision of the PM. The PA's duties will include:

Administrative activity and logistics in support of the project General administration of the project office Business correspondence, telephone calls, and other communication related to the project Maintenance of business and financial documentation, according to requirements of the UNDP

and donor organizations Preparation of internal reports and recording of meetings Organizing and executing meetings and workshops Assistance to project manager in preparation of financial and other reports

Required qualifications

Work experience and skills in office administration Ability to work effectively under pressure Perfect computer skills Fluency in English and Russian; knowledge of Kazakh is desirable

UNITED NATIONS DEVELOPMENT PROGRAMMEJOB DESCRIPTION

48

I. Job Description

Position: Expert in elaboration and implementation of energy efficient lighting policy Project Number&Title: 00080414, UNDP/GEF Project “Promotion of Energy-Efficient Lighting in

Kazakhstan”

Post level: SB 3 Subordinated to: Project Manager Location: AstanaType of Contract: Services (SC) Duration of Contract: One year (renewable)

II. Background

Long-term mission of UNDP/GEF Project is to achieve energy efficiency and GHG emission reduction by transforming lighting market in Kazakhstan. This includes gradual replacement of incandescent electric lamps by alternative goods of ensured quality providing their cost-effectiveness and safe disposal of mercury-containing lamps used previously.

The following four components shall be implemented to achieve the stated above: 1) formulation and implementation of the policy; 2) development of energy efficient lighting market; 3) training and public awareness; 4) demo projects disclaiming best practice and technologies applied.

A great number of barriers do exist in Kazakhstan which must be overcome in order to implement energy efficient lighting including regulatory, institutional, informative and market barriers. At present, there are no mandatory national legal requirements, standards, or official incentive programs in support of energy-efficient lighting in Kazakhstan. With this regard drafting of national policy needs support in order to promote energy efficient lighting focusing specifically on implementation of expected legislative mandate on gradual disposal of incandescent lamps. Political support to be rendered widely beginning from general strategic planning and ending with drafting of specific technical provisions foreseen for buildings and lighting products. Policy and programs for collection and safe disposition of mercury-containing lamps have their gaps. These policy gaps severely impede the potential of EE lighting to overcome market barriers and gain widespread use in the country. The work to eliminate the existing gaps will include drafting of national policy and rules for collection, transportation, recording and long-term storing of mercury wastes, plated mercury and waste lamps.

With this regard the project stipulates Component 1. Policy drafting and implementing. This component includes the tasks targeted to reforming of state procurements system and creation of national system for removing mercury from waste lamps. Result expected from this work will be successful gradual replacement of incandescent lamps by energy efficient ones ensuring adequate products quality and mercury wastes containment.

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In order to achieve the goals described above with desired deliverables, to regulate the questions arisen from this project mission successfully and to cooperate with the governmental and other agencies the assignment of an expert with corresponding education and skills is needed.

III. Duties and Responsibilities

Key duties summary:

An expert will be responsible for controlling the measures to be taken under component 1 in coordination with Project Manager in achieving the following results:

Drafting and implementing a program on gradual replacement of IL; Improving state procurement processes to promote energy efficiency and elaboration of life

cycle costs criteria; Elaborating a system for mercury containing lamps collection, recycling and storing.

Assist to Project Manager in recruitment of short-term experts with appropriate qualification, proper realization of working plan measures and providing quality/quality control of information/reports submitted by the experts;

Draft and approve normative legal documents and other measures foreseen to achieve desirable results;

Draft and implement a program on gradual replacement of IL; Assist in drafting annual working plans in cooperation with Project Manager; Draft terms of reference for national and international consultants in cooperation with Project

Manager; Ensure project’s objectives implemented in due time and properly in compliance with working

plan, project document and Project Manager’s instructions; Prepare appropriate methodical, issue-related and informative materials in frames of project’s

objective in cooperation with PR and other experts; Draft technical reports on assigned issues; Draft and adjust current working plan and scheme of work with stakeholders upon approval by

Project Manager; Draft quarterly, semi-annual and annual reports and other reporting as required; Participate in preparation, organization and implementation of project’s measures; Other duties as instructed by Project Manager needed to achieve the objectives and project

mission, as well as may be instructed by the UNDP head office.

IV. Expected results

Analysis of regulatory framework for energy efficient lighting Analysis of state procurements processes to promote lighting energy efficiency Analysis of Kazakhstan’s experience in mercury containing lamps collection, containment and

recycling Draft a pilot program on collecting mercury containing wastes lamps Arrangement and participation jointly with the national implementation agency and other

stakeholders in cooperative activities targeted to energy efficiency policy promotion Arrangement and implementation of various activities targeted to improve public awareness

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(workshops, round tables and conferences) in frames of other project components and directions in coordination with project PR expert

Monthly reporting on the works rendered

V. Purpose

Successful performance of the RoK Government/UNDP/GEF project objectives in compliance with annual working plan and Project Document including.

VI. Competencies/ Critical Success Factors

CORPORATE SKILLS

Demonstrate integrity by modeling values and UN ethic standards Promote UNDP vision, mission and strategies Demonstrate culture, gender, religion, nationality and age tolerance and ability to adopt

FUNCTIONAL SKILLS

Knowledge management and training Share own knowledge and experience Give helpful advises and comments to colleagues Skills to work in team, good organizational and communicative skills

Leader’s ability and self-control Focus on work with a customer Constructive and enthusiastic approach to scope of work rendered Demonstrate ability to stay possessed and keep control in a stressful situation Response friendly to critics and dissent

RESPONSIBILITY

Agrees own actions with experts and reports to Project Manager Ensures the requirements of terms of reference are met in due time and a proper manner Ensures complete execution of requirements stated in Services Contract Submits materials on works performed to the project implementation team (to the attention of

Project Manager) for approval Focuses on work with a customer Subordinates directly to Project Manager in cooperation and coordination with other project experts,

international and national consultants and organizations

VII. Required Skills and Experience

Education: University Degree/Bachelor (Master’s or Advanced Degrees will be an asset) in ecology, energy, electric engineering and/or other relevant field.

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Experience/Skills: Technical skills and a minimum of 5 years of work experience in the field of electric lighting, ecology;

Experience in energy efficient lighting and national reference documents, construction norms and regulations, as well as similar issues related to these terms of reference;

Strong computer skills including ability to use the other software needed for performance of works;

Experience in working and collaborating with governmental agencies, local authorities, public relations, non-governmental organizations, research societies and institutes;

Experience in sourcing and establishing cooperation with stakeholders, international institutes and organizations;

Experience in drafting analytical reports, articles and publications.

Languages: Excellent Russian skills; Knowledge of English and Kazakh will be an asset.

VIII. Signatures - Job Decsription Authorisation

Incumbent (if applicable)

Name Signature DateSupervisor

Name Irina Goryunova Signature DateHead of EE unit

Name Stanislav Kim Signature Date


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I. Job Description

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Position: Expert in standardization, certification and energy efficient lighting products market development

Project Number&Title: 00080414, UNDP/GEF Project “Promotion of Energy-Efficient Lighting in Kazakhstan”

Post level: SB 3 Subordinated to: Project Manager Location: AstanaType of Contract: Services (SC) Duration of Contract: One year (renewable)

II. Background



The lighting market in Kazakhstan has its origins in the Soviet era. During that time, mass production in the absence of competition yielded lamps and fixtures of low price, low quality, and low energy efficiency. After the collapse of the Soviet Union, independent Kazakhstan found itself without domestic production of lighting products. As markets opened up, imported lighting products began to enter the country. Some foreign entrants into the market, including Philips, OSRAM, and General Electric (GE), provided goods and services of a quality higher than customary in the previous market.

At the same time, many smaller firms from China, Turkey, the United Arab Emirates, Taiwan, and others provided lower-quality but cheaper products. As of February 2011, imports continue to account for all of the lamps in Kazakhstan’s market.

The quality of imported goods by these suppliers is low as a rule what forms a prevailing impression that goods of this sector are unreliable. Frequent failures of Chinese CFL were registered within the first year of use which exclude presumable advantages of energy efficiency during goods life cycle and costs occurrence.

The state procedures for testing and certification of products are not perfect . Low quality products with unreliable certificates are available both on legal and big “black” markets of the country. Lighting systems equipment is not subject to any obligatory testing and certifying to ensure energy efficiency and lighting properties of goods. Moreover no marking system of lighting equipment to indicate the level of energy efficiency is foreseen. This system could assist in testing procedures weather the goods correspond to existing standards and regulations.

Based on stated above technical specifications, quality certification procedures, performance

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characteristics of energy efficient goods need to be elaborated and adopted together with revision of construction norms and regulations to the extent of lighting.

Another problem occurs due to the country’s large area and long distance between the cities. It results in limited achievement of market innovations, low supply of advanced lighting technologies and low demand by end consumers. With this regard implementation of additional market targeted support is feasible.

In order to achieve the goals described above with desired deliverables, to regulate the questions arisen from this project mission successfully and to cooperate with the governmental and other agencies the assignment of an expert with corresponding education and skills is needed.


Key duties summary:

An expert will be responsible for controlling the measures to be taken under components 1 and 2 in coordination with Project Manager in achieving the following results:

Draft and adopt official technical standards and procedures on certifying energy efficient lighting products quality and performance characteristics; Renew corresponding obligatory and recommended sections of the national construction norms and regulations to the extent of lighting; Coordinate cooperation with manufacturers of lighting equipment and private companies/distributors; Participate in marking program of energy efficient lighting products; Develop, implement and assess retail coupon and other discount programs for targeted groups of population; Assist to Project Manager in recruitment of short-term experts with appropriate qualification, proper realization of working plan measures and providing quality/quality control of information/reports submitted by the experts; Draft and promote normative legal documents and other activities foreseen to achieve desirable results; Assist to Project Manager to draft Annual work plans; Draft terms of reference for national and international consultants in cooperation with Project Manager; Ensure project objectives implemented in due time and properly in compliance with working plan, project document and Project Manager’s instructions; Prepare appropriate methodical, issue-related and informative materials in frames of project objective in cooperation with PR and other experts; Draft technical reports on assigned issues; Draft and adjust current working plan and scheme of work with stakeholders upon approval by Project Manager; Draft quarterly, semi-annual and annual reports and other reporting as required; Participate in preparation, organization and implementation of project’s measures; Other duties as instructed by Project Manager needed to achieve the objectives and project mission, as well as may be instructed by the UNDP head office.

IV. Expected results

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Technical standards for energy efficient lighting including improved certification and licensing procedures of authorized agencies;

Analysis of construction norms and regulations valid in Kazakhstan together with other regulating documents available for lighting and adjustments required;

Recommendations for Agency for construction & HI based on renewed construction norms and regulations;

Analysis of legislative documents in the field of certification, inspection and marking of lighting equipment in frames of Custom Union;

Cooperation with private sector, lighting products manufacturers and distributors; Replication of coupon and discount programs in the regions; Arrangement and participation jointly with the national implementation agency and other

stakeholders in cooperative activities targeted to energy efficiency policy promotion; Arrangement and implementation of various activities targeted to improve public awareness

(workshops, round tables and conferences) in frames of other project components and directions in coordination with project PR expert;

Monthly reporting on the works rendered.

V. Purpose

Successful performance of the RoK Government/UNDP/GEF project objectives in compliance with annual working plan and Project Document including.

VI. Competencies/ Critical Success Factors

CORPORATE SKILLS


FUNCTIONAL SKILLS


Leader’s ability and self-control Focus on work with a customer Constructive and enthusiastic approach to scope of work rendered Demonstrate ability to stay possessed and keep control in a stressful situation Response friendly to critics and dissent

RESPONSIBILITY

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VII. Required Skills and Experience

Education: University Degree/Bachelor (Master’s or Advanced Degrees will be an asset) in marketing, energy and/or other relevant field.

Experience/Skills: Technical skills and a minimum of 5 years of work experience in the field of lighting

Knowledge of world practice in energy efficient lighting and national regulations, construction norms and regulations, as well as similar issues related to these terms of reference;

Strong computer skills including ability to use the other software needed for performance of works;

Experience in working and collaborating with governmental agencies, local authorities, public relations, non-governmental organizations, research societies and institutes;

Experience in sourcing and establishing cooperation with stakeholders, international institutes and organizations;

Experience in drafting analytical reports, articles and publications.

Languages: Excellent Russian skills; Knowledge of English and Kazakh will be an asset.

VIII. Signatures - Job Decsription Authorisation



Name Irina Goryunova Signature DateHead of EE Unit


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I. Job Description

Position: Specialist in public relations Project Number&Title: 00080414, UNDP/GEF Project “Promotion of Energy-Efficient Lighting in

Kazakhstan”

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Post level: SB 3 Subordinated to: Project ManagerLocation: AstanaType of Contract: Service Contract (SC)Duration of Contract: One year (renewable)

II. Background

Specialist in public relations works under the direct supervision of Project Manager and is responsible for providing effective, high-quality daily support to the project in achieving the results framework of the project



A separate area of Project is education and overcoming the information barrier on energy-efficient lighting. Thus, each component of the project involves the information coverage of the project, updating the website, preparation and production of information materials in the mass media, printed materials on the project activities, etc. For the successful coverage of the project this scope of work needs an assignment of special expert in public relations.


Key duties summary: Provide support in public awareness campaigns; Prepare and update information through online resources; Training and development of information and handouts; Provide administrative and organizational support to the Project in Public Relations

1. Provide support in public awareness campaigns in achieving the following results: Conducting of information campaign aimed at raising of public awareness and support of energy-efficient lighting; Development and implementation of the concept and plan for informing different target groups for the successful implementation of the project objectives; Preparation and dissemination of information materials about the experience of foreign countries on the establishment of a legal framework and incentives for energy efficiency lighting among government agencies and mass media; Preparation and implementation of PR-campaigns, presentations and dissemination of information and educational materials in certain different target groups of the project (administration, universities, companies, owners of residential buildings, etc.); Collection, processing and analysis of materials to highlight the activities of the project by all

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components;

2. Preparation and updating of information through online resources in achieving the following results: development of the section on energy-efficient lighting in conjunction with the project partners and regularly update of information material about the project activities on the web site of partner (s) of the project in three languages (English, Russian, Kazakh); participation in supporting of the Central Asian regional website on energy conservation measures;

3. Preparation and development of information and handouts in achieving of the following results: organization and conduct mass media meetings for journalists and other interested parties; production of brochures and information materials together with experts of the project; preparation and organization of the publication in mass media of articles on the subject of the project and its activities;

4. Providing administrative and organizational support to Project in lieu of Public Affairs in achieving of the following results: participate in the preparation and conduction of seminars / roundtables / meetings (preparing press releases, organizing media work, reporting on activities, etc.); organization of interviews, TV, radio programs, etc.; trips within Kazakhstan as necessary to participate in the project and in consultation with national manager in accordance with UNDP; preparation of reports and other tasks as requested by Project Manager needed to achieve the objectives and project mission, as well as may be instructed by the UNDP head office.

IV. Purpose

The main results are the implementation of a strategy of informing of target groups about organization and conduction of the relevant information sharing and analytical events, PR-campaigns, etc., coverage of project activities, administration and fill in/ update information on the project and on the issues of EE in buildings at the partner(s)’ website, preparation and production of information materials about the project and its activities in media, participation in the preparation and production of printed materials on the activities of the project according to Work plan.

V. Competencies/Critical Success Factors

CORPORATE SKILLS


FUNCTIONAL SKILLS


Leader’s ability and self-control Focus on work with a customer

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Constructive and enthusiastic approach to scope of work rendered Demonstrate ability to stay possessed and keep control in a stressful situation Response friendly to critics and dissent

RESPONSIBILITY




VI. Required Skills and Experience:

Education: University Degree/Bachelor in journalism, public relations, environmental sciences or other relevant field

Experience/Skills: Minimum of 4 years of work experience in the field of journalism, mass media and public relations in government or private structures; Experience in preparing analytical reports in the formats of international organizations; experience in the organization of conferences, seminars, training, preparation of training materials, articles, interviews, and events related to the operation of public relations; Strong computer skills including ability to use Word, Power Point, Outlook Express, Internet Explorer and the other software needed for performance of works, including strong Web sites skills;

Languages: Proficiency in English. Fluency in Russian Knowledge of Kazakh will be an asset.

VII. Signatures - Job Description Authorisation





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TERMS OF REFERENCE

Position: Project Inception Phase Consultant

Project number and name: 80414 UNDP/GEF Project “Promotion of Energy-Efficient Lighting in Kazakhstan”

Type of Contract: IC

Duty Station: Home-based with one mission to Astana, Kazakhstan

Duration: 20 working days between October 2012 and February 2013Introduction:

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The objective of the proposed full-sized UNDP/GEF project is to achieve energy savings and avoided GHG emissions via transformation of the lighting market in the Republic of Kazakhstan (RK), including implementation of a phase-out of incandescent lamps, while ensuring product quality and cost-effectiveness as well as safe disposition of spent mercury-containing lamps. The project will achieve this objective via four components: 1) policy development and implementation; 2) market development; 3) Promotion and educational outreach;4) demonstration projects embodying best practices and technology

Background:

In Kazakhstan, about twice as much consumption of electricity per capita of any other country in Central Asia, and about 3.5 times more than the average of other developing countries worldwide. Approximately 78 TWh of electricity were consumed in Kazakhstan in 2009; this figure is expected to increase by a staggering 36 percent by 2015. Electricity consumption in buildings represents 22 percent of the total electricity consumption of the country, with the residential sector constituting 9.3 percent of total electricity consumption, the service sector about 8 percent, and the public sector about 5 percent. About three-fourths of Kazakhstan’s electricity is generated at coal-fired power stations and cogeneration facilities.As in other countries, lighting is a major contributor to electricity consumption in buildings in Kazakhstan.The lighting market in Kazakhstan has its origins in the Soviet era. During that time, mass production in the absence of competition yielded lamps and fixtures of low price, low quality, and low energy efficiency. After the collapse of the Soviet Union, independent Kazakhstan found itself without domestic production of lighting products. As markets opened up, imported lighting products began to enter the country. Some foreign entrants into the market, including Philips, OSRAM, and General Electric (GE), provided goods and services of a quality higher than customary in the previous market. At the same time, many smaller firms from China, Turkey, the United Arab Emirates, Taiwan, and others provided lower-quality but cheaper products.Inefficient incandescent lamps (IL) account for approximately 77 percent of lighting in buildings in Kazakhstan. At present, the market supply of energy-efficient lighting in Kazakhstan is relatively low, accounting for only about 3 percent of the market. All the same, demand for energy-efficient lighting is rising.Various market barriers impede the successful and widespread application of energy-efficient lighting in Kazakhstan: (1) Informational barriers, (2) Lack of quality control over energy-efficient lighting, (3) Structural barriers in the marketplace (4) Lack of policy support (5) Mercury recovery and recycling.The proposed UNDP/GEF project will seek to overcome the market barriers and policy gaps described above, and specifically to support the effective execution of the IL phase-out, by means of four interrelated components.

Objective:

Provide management oversight for project as required and recommend actions that focus work plans on achieving key milestones in a timely manner;

Provide technical support to the Project Manager to go through and finalize the Inception phase of the Project. In essence, the responsibility of the IC is to ensure that the overall technical direction of the project in this phase is maintained and flexibly adapted to meet the practical challenges faced during implementation.

Scope of work:

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Review the project document against components, outputs and activities and, in discussion with the Project team and key project partners, identify the potential gaps/areas that need to be re-examined in the inception phase.

Support project management: planning, quality management, monitoring and evaluation. Based on project Logical Framework, prepare and help PMU assure the effective implementation of the project impact-oriented M&E plan.

• Prepare recommendations on strengthening institutional and technical capacities of the Project, know-how recommendations on Project design:

Policy development and implementation- Based on the existing legislative acts, provide recommendations on: (1) development

and implementation of the program of gradual retirement from operation and usage of IL, (2) necessity of adoption of new technical standards and constructional norms and rules on EE lighting or amendments to them.

- Provide recommendations within framework of new MEP public “green procurement” program

Market development for EE lighting- provide recommendations on instrument to be used to prepare market stakeholders,

especially consumers, to be ready and able to implement new policy provisions regarding EE lighting

- provide recommendations on development of EE lighting products labeling Promotion and educational outreach

- Identify capacity gaps and provide recommendations for development of training programs for each group of stakeholders and course content for integrated energy-efficient lighting;

- Advice on organization of study tour on integrated energy-efficient lighting, including country/-es to visit, training agenda, and potential partner organizations.

• Prepare recommendations on future implementation of Work Plan based on international best practices in energy-efficient lighting and current situation and existing legislative acts on energy-efficient lighting in the Republic of Kazakhstan:

Provide strategic advice on the overall project implementation strategy to Project Board and PM. Assist PMU to carry out risk assessment and prepare risk mitigation plan, ensuring that risk

mitigation actions are incorporated in the project work plan Participate at the Inception Workshop, make a presentation of recommended steps, and facilitate

input from national experts and stakeholders. Jointly with Project Manager and based on inputs from national experts prepare Project Inception

Report, including overview of changes in project environment, summary and justification for revision in Project Logical Framework, Monitoring and Evaluation Plan, Risk Log, QA/QC provisions and quarterly annual work plan and budget for 2013-2017 in full compliance and in the format presented by the PMU.

Expected results and payments:

No. Results Timing Amount (optional)1 Recommendations on each project outcome are

presented in the form of an analytical paper and accepted by the PM

21 November 2012

20%

2 Draft Inception Report to be due two weeks before the end of the contract

30%

3 Final Inception Report to be due by 50%

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the end of the contract

Payment ConditionsThis is a lump sum contract that should include costs of consultancy and travel costs required to produce the above deliverables. One mission to Astana must be undertaken for participation in the Inception Workshop.Payment will be released in three installments: 20% (deliverable 1), 30% (deliverable 2) and 50% (deliverable 3), upon satisfactory provision of respective deliverables.

Deliverables and timeframeThe following deliverables and indicative schedule are expected from the consultancy contract. The final schedule will be agreed upon in the beginning of consultancy assignment. All deliverables should be submitted to UNDP by the Consultant in English.

Consultant will not be held responsible for any delays in deliverables resulting from any delays in the schedule of the mission, if such a delay is initiated by UNDP. It is also mutually understood that fulfillment of these deliverables will depend on timely provision of information to the Consultant by UNDP staff and other project team members. Unavailability of key information may necessitate deferral of dates in this schedule of deliverables.

Responsibility:

Reports to Project Manager Ensures timely and quality execution of the Terms of Reference Ensures unconditional carrying out of requirements of the Contract

Knowledge and skills:

Education: Master Degree in engineering, environmental policies and

protection, energy technology, project management or closely related field. Ph.D will be considered as advantage.

Experience: • At least 7 years of experience and proven track record with policy advice and/or project development/implementation in environment (preferably specialization in the field of energy efficiency and lighting);

Experience with CIS, Central Asian countries and/or Kazakhstan is preferable

• Proven track record of application of results-based approaches to evaluation of projects focusing on financial mechanisms in environmental protection (relevant experience in the CIS region and within UN system would be an asset);

• Previous experience in monitoring and evaluation of environmental projects will be considered as an asset.

Language Requirements: Full proficiency in English both written and verbal; Knowledge of Russian would be considered an advantage.

Others:

Familiarity with result-based management in project formulation, implementation, and monitoring and evaluation, experience with GEF projects is a plus;

Excellent communication skills,

COA (MUST BE INDICATED IN NUMBERS)Project

ID Activity Account Amount Fund Dept ID Impl Agency Donor

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80414 Activity 1 71300 62000 55205 004409 10003

Total:

Signatures - Job Description Authorisation

Project Manager




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