Antecedentes

China has currently ranked second all over the world in terms of energy output and consumption. Moreover, primary energy, i.e. fossil energy like coal, etc. still predominates the overall energy consumption in China, thus leading to severe environmental pollution domestically and globally and causing harms to public health. The rapidly growing Chinese economy and population have let to, among others, an increase in building sector accounted for nearly a half of the total national energy consumption. Currently, environmental problems caused due to energy consuption have become one of the most challenging issues facing the government of China and a highly concerned issue worldwide.

Deberes y responsabilidades

The project was designed to project is the enhanced promotion and resulting higher utilization of energy saving lamps (ESLs) in China through the transformation of the local lighting products market and the phasing-out of incandescent lamp production and sale. It is expected to contribute to the reduction of GHG emissions through the transformation of the Chinese lighting market towards more energy-efficient lighting products, technologies, and practices. The project is comprised of activities aimed at promoting the widespread adoption of energy efficient lighting products (ESLs), improving the Chinese ESL market, and working towards the phasing-out of ILs. Moreover, the project is also in line with the GEF’s global lighting program that aims to transform the global market toward efficient lighting technologies and through accelerated phase-out of inefficient lighting, thereby reducing global GHG emissions.

The TE will be conducted according to the guidance, rules and procedures established by UNDP and GEF as reflected in the UNDP Evaluation Guidance for GEF Financed Projects.

The objectives of the evaluation are to assess the achievement of project results, and to draw lessons that can both improve the sustainability of benefits from this project, and aid in the overall enhancement of UNDP programming. 

Objectives of the Final Evaluation

The objectives of this Terminal Evaluation (TE) seek to fulfill the following overarching objectives of the monitoring and evaluation of GEF projects:

• Promote accountability for the achievement of GEF objectives through the assessment of results, effectiveness, processes and performance of the partners involved in GEF activities. GEF results will be monitored and evaluated for their contribution to global environmental benefits;
• Promote learning, feedback and knowledge sharing on results and lessons learned among the GEF and its partners, as basis for decision-making on policies, strategies, program management, and projects and to improve knowledge and performance.

Scope of the Evaluation

The scope of the TE covers the entire UNDP/GEF-funded project and its components as well as the co-financed components of the project.

The TE will assess the Project implementation taking into account the status of the project activities and outputs and the resource disbursements made up to the point of the start of the review

The evaluation will involve analysis at two levels: component level and project level. On the component level, the following shall be assessed:

• Whether there is effective relationship and communication between/among components so that data, information, lessons learned, best practices and outputs are shared efficiently, including cross-cutting issues;
• Whether the performance measurement indicators and targets used in the project monitoring system are specific, measurable, achievable, reasonable and time-bounded to achieve desired project outcomes;
• Whether the use of consultants has been successful in achieving component outputs.

The evaluation will include such aspects as appropriateness and relevance of work plan, compliance with the work and financial plan with budget allocation, timeliness of disbursements, procurement, coordination among project team members and committees, and the UNDP country office support.  Any issue or factor that has impeded or accelerated the implementation of the project or any of its components, including actions taken and resolutions made should be highlighted.

On the project level, it will assess the project performance in terms of: Progress towards achievement of results, Factors affecting successful implementation and achievement of results, Project Management framework and Strategic partnerships.

Progress towards achievement of results (internal and within project’s control):

• Is the Project making satisfactory progress in achieving project outputs vis-à-vis the targets and related delivery of inputs and activities?
• Are the direct partners and project consultants able to provide necessary inputs or achieve results?
• Given the level of achievement of outputs and related inputs and activities to date, is the Project likely to achieve its Immediate Purpose and Development Objectives?
• Are there critical issues relating to achievement of project results that have been pending and need immediate attention in the next period of implementation?

Factors affecting successful implementation and achievement of results (beyond the Project’s immediate control or project-design factors that influence outcomes and results):

• Is the project implementation and achievement of results proceeding well and according to plan, or are there any outstanding issues, obstacles, bottlenecks, etc. on the consumer, government or private sector or other organizations that are affecting the successful implementation and achievement of project results?
• To what extent does the broader policy environment remain conducive to achieving expected project results, including existing and planned legislations, rules, regulations, policy guidelines and government priorities?
• Is the project logical framework and design still relevant in the light of the project experience to date?
• To what extent do critical assumptions/risks in project design make true under present circumstances and on which the project success still hold? Validate these assumptions as presently viewed by the project management and determine whether there are new assumptions/risks that should be raised?
• Is the project well-placed and integrated within the national government development strategies, such as community development, poverty reduction, etc., and related global development programs to which the project implementation should align?
• Do the Project’s purpose and objectives remain valid and relevant, or are there items or components in the project design that need to be reviewed and updated?
• Are the Project’s institutional and implementation arrangements still relevant and helpful in the achievement of the Project’s objectives, or are there any institutional concerns that hinder the Project’s implementation and progress.

Project management (adaptive management framework):

• Are the project management arrangements adequate and appropriate?
• How effectively is the project managed at all levels? Is it results-based and innovative?
• Do the project management systems, including progress reporting, administrative and financial systems and monitoring and evaluation system, operate as  effective management tools, aid in effective implementation and provide sufficient basis for evaluating performance and decision making?
• Is technical assistance and support from project partners and stakeholders appropriate, adequate and timely?
• Validate whether the risks originally identified in the project document and, currently in the APR/PIRs, are the most critical and the assessments and risk ratings placed are reasonable;
• Describe additional risks identified during the evaluation, if any, and suggest risk ratings and possible risk management strategies to be adopted;
• Assess the use of the project logical framework and work plans as management tools and in meeting with UNDP-GEF requirements in planning and reporting;
• Assess the use of electronic information and communication technologies in the implementation and management of the project.
• On the financial management side, assess the cost effectiveness of the interventions and note any irregularities;
• How have the APR/PIR process helped in monitoring and evaluating the project implementation and achievement of results?

Strategic partnerships (project positioning and leveraging):

• Asses how project partners, stakeholders and co-financing institutions are involved in the Project’s adaptive management framework;
• Identify opportunities for stronger collaboration and substantive partnerships to enhance the project’s achievement of results and outcomes;
• Are the project information and progress of activities disseminated to project partners and stakeholders? Are there areas to improve in the collaboration and partnership mechanisms?

Project Background

The Chinese government has been undertaking Green Lighting Projects since 1996. To further strengthen the promotion of energy efficient lighting, in 2008 the National Development and Reform Commission (NDRC) and Ministry of Finance (MOF) jointly initiated an efficient lighting subsidy programme. This programme provides financial support of 50% for efficient lighting for household users and 30% for industrial and commercial users.

More recently, in response to global climate change and in recognition of a number of phasing-out actions beginning around the world, NDRC, the United Stations Development Programme (UNDP) and the Global Environment Facilities (GEF) have agreed to co-operate to enable the implementation of the PILESLAMP project.

Project Summary

The budget of the PILESLAMP program is US$ 14,000,000 granted by GEF, with a 5 years’ implementation period from 2009 to 2014. This project is executed by the Department of Resources Conservation and Environmental Protection of NDRC as the national executive agency and UNDP as the international executive agency.

The objective of the PILESLAMP project is to restructure this market through the further stimulation of demand for higher efficiency lighting products, enabling a transformation of the lighting industry from the production of older products to their more efficient alternatives and, ultimately, creating a schedule for the phase-out of production and sale of inefficient lighting. The implementation of PILESLAMP project is expected to contribute to the enhanced promotion and resulting higher utilization of ESLs, the reduction of GHG emission, and the improvement of the global environment.

The project is divided into of three major complementary and interdependent components:

Component 1: Lighting Industry Capacity Enhancement

This component supports manufactures of inefficient lighting products in their transformation to the production of efficient alternatives. The project will directly support the transition of producers. Additionally it will provide technical and business support and training to a large number of other producers based on the lessons learned through the pilot conversions. In addition, this component will support the audits of cleaner production technologies enabling producers to reduce exposure of their employees to harmful substances; support the development of techniques to limit mercury content in CFLs; and investigate recycling and other disposal options at the end of product life.

Component 2: Efficient Lighting Market Development and Product Promotion

The first element of this component focuses on development of a market for efficient lighting in small cities and rural communities. Traditionally excluded from adoption of efficient lighting through the higher purchase price and lack of marketing and distribution channels, this particularly needy group has not been able to access the benefits offered by efficient lighting. The project will aim to signpost the most effective market mechanisms to enable adoption of efficient lighting by these communities through the experimental use of various financing options and through support for the development of distribution channels accessing these more remote consumers. This component also seeks to enhance rates of adoption of efficient lighting in the more affluent areas through increasing promotion activity and strengthening the ability of local actors to maximize demand at the local level.

Component 3: Efficient Lighting Policy and Institutional Support

This component is designed to lock in the progress made by the other two components. Through the creation of a roadmap to the phase-out of inefficient lighting, the project will assist NDRC and other institutional actors create the framework which will guide the public and private sector to the ultimate goal of phasing-out inefficient lighting. In particular, activities within this element will seek to assist NDRC and other actors with actions related to the National 12th Five-Year Plan.

Project Expected Outcomes and Outputs

A number of outcomes resulting from full project activities are expected.

These include:

• Increased volume of investments in energy saving lamp manufacturing and conversion of incandescent lamp production lines to energy saving lamps;
• Successful business transformation of incandescent lamp manufacturers to energy saving lamp producers;
• Improved availability and accessibility of energy saving lamps in the domestic market;
• Improved quality of locally manufactured energy saving lamp;
• Reduced hazardous waste pollution from energy saving lamp production and disposal;
• Improved capacity of the energy service institutes and market partners to promote energy saving lamps country widely;
• Expanded marketing channels for energy saving lamps in large/medium size cities and big towns;
• Significant improvement in the sales of energy saving lamps and reduction in the sales of incandescent lamps in the rural areas (small towns & villages);
• Improved public awareness on the benefits and application of energy saving lamps, especially in the rural areas;
• Phasing out incandescent lamps and promote energy saving lamps in China.

Evaluation Approach and Method

An overall approach and method for conducting project terminal evaluations of UNDP supported GEF financed projects has developed over time. The evaluator is expected to frame the evaluation effort using the criteria of relevance, effectiveness, efficiency, sustainability, and impact, as defined and explained in the UNDP Guidance for Conducting Terminal Evaluations of  UNDP-supported, GEF-financed Projects. A  set of questions covering each of these criteria have been drafted and are included with this TOR (fill in Annex C) The evaluator is expected to amend, complete and submit this matrix as part of  an evaluation inception report, and shall include it as an annex to the final report.

The evaluation must provide evidence-based information that is credible, reliable and useful. The evaluator is expected to follow a participatory and consultative approach ensuring close engagement with government counterparts, in particular the GEF operational focal point, UNDP Country Office, project team, UNDP GEF Technical Adviser based in the region and key stakeholders.

The evaluator will review all relevant sources of information, such as the project document, project reports – including Annual APR/PIR, project budget revisions, midterm review, progress reports, GEF focal area tracking tools, project files, national strategic and legal documents, and any other materials that the evaluator considers useful for this evidence-based assessment. A list of documents that the project team will provide to the evaluator for review is included in Annex B of this Terms of Reference.

The Final Evaluation Team is expected to become well versed as to the project objectives, historical developments, institutional and management mechanisms, activities and status of accomplishments. Information will be gathered through document review, group and individual interviews and site visits. Review relevant project documents and reports will be based on the following sources of information: review of documents related to the project and structured interviews with knowledgeable parties.

The TE Team will conduct an opening meeting with the National Project Director (NPD), Project Management Office (PMO), the Ministry of Finance, and the China International Center for Economic and Technical Exchanges. An “exit” interview will also be held to discuss the findings of the assessment prior to the submission of the draft Final Report.

Prior to engagement and visiting the PMO, the TE Team shall receive all the relevant documents including at least:

• The PILESLAMP Project Document and Project Brief;
• Inception Report;
• Annual Work and Financial Plans;
• Annual Project Report/Project Implementation Review (APR/PIR) for from 2009 to 2013;

To provide more details, as may be needed, the following will be made available for access by the TE Team:

• Executive summary of all quarterly reports;
• Internal monitoring results;
• Terms of Reference for past consultants’ assignments and summary of the results;
• Past audit reports;
• MTE report.

All additional material related to the project management and implementation and held by the PMO and their subcontracts will be available for review at the discretion of the Evaluation Team.

The TE Team should at least interview the following people:

• National Project Director;
• National Project Coordinator;
• PMO Director;
• International Chief Technical Advisor;
• Project Financial Officer;
• A representative of the Project Steering Committee;
• UNDP Country Office in China in-charge of the PILESLAMP Project.

It is also anticipated that the TE will interview a number of sub-contractors and recipients of services, and make site visits to implementation areas. However, the degree to which such interactions are required will be at the discretion of the Evaluation Team.

With the aim of having an objective and independent evaluation, the TE Team is expected to conduct the project review according to international criteria and professional norms and standards as adopted by the UN Evaluation Group.

Evaluation Criteria and Ratings

An assessment of project performance will be carried out, based against expectations set out in the Project Logical Framework/Results Framework (see Annex A), which provides performance and impact indicators for project implementation along with their corresponding means of verification. The evaluation will at a minimum cover the criteria of: relevance, effectiveness, efficiency, sustainability and impact. Ratings must be provided on the following performance criteria. The completed table must be included in the evaluation executive summary.   The obligatory rating scales are included in Annex D.

Evaluation ratings include:

• Monitoring and Evaluation: M&E design at entry, M&E plan implementation and overall quality of M&E;
• IA & EA Execution: quality of UNDP implementation, quality of execution- executing angency and overall quality of implementation and execution;
• Assessment of Outcomes: relevance, effectiveness, efficiency and overall project outcome rating;
• Sustainability: financial resources, socio-political, institutional framework and governance, environmental and overall likelihood of sustainability.

Project Finance and Co-finance

The Evaluation will assess the key financial aspects of the project, including the extent of co-financing planned and realized. Project cost and funding data will be required, including annual expenditures.  Variances between planned and actual expenditures will need to be assessed and explained.  Results from recent financial audits, as available, should be taken into consideration. The evaluator(s) will receive assistance from the Country Office (CO) and Project Team to obtain financial data in order to complete the co-financing table (see in full TOR), which will be included in the terminal evaluation report.

Mainstreaming

UNDP supported GEF financed projects are key components in UNDP country programming, as well as regional and global programmes. The evaluation will assess the extent to which the project was successfully mainstreamed with other UNDP priorities, including poverty alleviation, improved governance, the prevention and recovery from natural disasters, and gender.

Impact

The evaluators will assess the extent to which the project is achieving impacts or progressing towards the achievement of impacts. Key findings that should be brought out in the evaluations include whether the project has demonstrated: a) verifiable improvements in ecological status, b) verifiable reductions in stress on ecological systems, and/or c) demonstrated progress towards these impact achievements.

Conclusions, Reccomendations and Lessons

The evaluation report must include a chapter providing a set of conclusions, recommendations and lessons.

Implementation Arrangements

The principal responsibility for managing this evaluation resides with the UNDP CO in China. The UNDP CO will contract the evaluators and ensure the timely provision of per diems and travel arrangements within the country for the evaluation team. The Project Team will be responsible for liaising with the Evaluators team to set up stakeholder interviews, arrange field visits, coordinate with the Government etc.

Evaluation Timeframe

The total duration of the evaluation will be 25 days according to the following plan:

• Preparation for 2 days (recommended:2-4);
• Evaluation Mission for 10 days (r: 7-15);
• Draft Evaluation Report for 10 days (r: 5-10);
• Final Report for 3 days (r: 1-2).

Evaluation Deliverables

The evaluation team is expected to deliver the following:

• Inception Report: Evaluator provides clarifications on timing and method and submits to UNDP CO no later than 2 weeks before the evaluation mission;
• Presentation: Evaluator presents initial findings to project management UNDP CO at the end of evaluation mission;
• Draft Final Report: Evaluator sends full report to CO and reviewed by RTA, PCU, GEF OFPs within 3 weeks of the evaluation mission;
• Final Report: Evaluator sends the revised report to CO for uploading to UNDP ERC within 1 week of receiving UNDP comments on draft.

When submitting the final evaluation report, the evaluator is required also to provide an 'audit trail', detailing how all received comments have (and have not) been addressed in the final evaluation report.

The TE is provisionally scheduled to commence in October 2014. The draft evaluation report should be produced with 6 weeks, highlighting important observations, analysis of information and key conclusions including its recommendations.

Based on the scope of the TE described above, the Evaluation Report will include, among others:

• Findings on the project implementation achievements, challenges, and difficulties to date;
• Assessments of the progress made towards the attainment of outcomes;
• Recommendations for modifications and the future course of action;
• Lessons learned from the project structure, coordination between different agencies, experience of the implementation, and output/outcome and,

The report will be initially shared with the PILESLAMP PMO, NDRC and the UNDP China Office to solicit comments or clarifications. Consequently, a presentation of the report will be made to an open meeting of all project stakeholders for comment. The evaluation report will then be submitted within 2.5 months of the initiation of the evaluation. Three copies of the report will be submitted to the UNDP China Office and a copy to the PILESLAMP PMO.

There will be two main deliverables:

• TE report, including an executive summary, fulfilling the evaluation requirements set out in this Terms of Reference (TOR).  The final report (including executive summary, but excluding annexes) should not exceed 50 pages;
• A power-point presentation of the findings of the evaluation.

Team Composition

The FE Team will be composed of one International Lead Consultant and one National Consultants. The Team is expected to combine international standards of evaluation expertise, excellent knowledge of Energy Efficiency and Climate Change projects and the national context of in which PILESLAMP is being implemented.

At the minimum, the members of the TE Team shall have the following professional background and responsibilities:

International Lead Consultant (one person)

Numbers of working days: 25 days

Anticipated missions to China: 1

Location: Beijing and other cities in China

Profile:

• Minimum of ten years accumulated and recognized experience in the Energy Efficiency and climate change area;
• Minimum of five years’ experience of project evaluation and/or implementation experience in the result-based management; framework;
• Familiarity with China;
• Experience with multilateral and bilateral supported project environments;
• Comprehensive knowledge of international project best practices;
• Very good report writing skills in English.

Responsibilities:

• Define the evaluation methodology and schedule, and report to the PMO;
• Documentation of the review;
• Leading the TE Team in planning, conducting and reporting on the evaluation;
• Deciding on division of labor within the team and ensuring timeliness of reports;
• Use of best practice evaluation methodologies in conducting the evaluation;
• Leading presentation of the draft evaluation findings and recommendations in-country;
• Conducting the debriefing for the UNDP China Office and the PILESLAMP PMO;
• Leading the drafting and finalization of the TE report.

National Consultant (Two persons)

Numbers of working days: 25 days

Location: Beijing and other cities in China

Profile

• Post-graduate in engineering, management or business, or college degree in said areas with at least ten years experience of project development and implementation.
• A minimum of five years of project management experience in EE/RE or related climate change projects
• EE/RE and climate change training and technical experience
• Knowledge of EE/RE projects
• Multilateral and bilateral funded project development and implementation
• Familiarity with Energy Conservation national development policies, programs and projects

Responsibilities:

• Define the evaluation methodology and schedule, and report to the PMO;
• Documentation review and data gathering;
• Contributing to the development of the evaluation plan and methodology;
• Conducting those elements of the evaluation determined by the International Lead Consultant;
• Contributing to presentation of the evaluation findings and recommendations at the evaluation wrap-up meeting;
• Contributing to the drafting and finalization of the evaluation report.

All TE Team Members

The members of the team must be independent from both the policy-making process and the delivery and management of the UNDP/GEF assistance to the PILESLAMP project. Therefore, candidates who had any direct involvement with the design and implementation of the project will not be considered.

Evaluation Ethics

Evaluation consultants will be held to the highest ethical standards and are required to sign a Code of Conduct (Annex E) upon acceptance of the assignment. UNDP evaluations are conducted in accordance with the principles outlined in the UNEG 'Ethical Guidelines for Evaluations'.

Payment Medalities and Specifications

10% at contract signing, 40% following submission and approval of the 1st draft terminal evaluation report and 50% following submission and approval (UNDP-CO and UNDP RTA) of the final terminal evaluation report.

All the costs incurred for the conduct of the TE for the PILESLAMP Project shall be charged against project funds allocated for the conduct of such activity. Payment of the TE Evaluation Team’s professional fees shall be made in accordance with the IC and LC Agreement to be issued in this regard.

Application Process

Applicants are requested to apply online (http://jobs.undp.org) by 10 September 2014. Individual consultants are invited to submit application including a technical proposals together with their CV for these positions. The application should contain a current and complete C.V. in English with indication of the e-mail and phone contact. Shortlisted candidates will be requested to submit a price offer indicating the total cost of the assignment (including daily fee, DSA and travel costs).

UNDP applies a fair and transparent selection process that will take into account the competencies/skills of the applicants as well as their financial proposals. Qualified women and members of social minorities are encouraged to apply.

Full copy of the TOR

http://yun.baidu.com/share/link?shareid=1646533174&uk=3544336216

Competencias

Functional Competencies:

• Knowledge of EE/RE projects;
• Multilateral and bilateral funded project development and implementation;
• Familiarity with Energy Conservation national development policies, programs and projects.

Habilidades y experiencia requeridas

Education:

• Post-graduate in engineering, management or business, or college degree in said areas with at least ten years experience of project development and implementation.

Experience:

• A minimum of five years of project management experience in EE/RE or related climate change projects;
• EE/RE and climate change training and technical experience.

Language:

• Fluency in English.