Background

Please provide Offeror’s Letter and proposal (download the format in the link provided) together with your CV while submitting application.  And please note that the system will not accept the uploading of more than one document so please merge or scan all your documents into one prior to uploading.

1. Project Background

Lighting is an important necessity for people, for society and for almost all human activities. It is also accounts fora significant portion of energy consumption both at the sectoral, national and global levels. Currently, global lighting energy consumption accounts for about 19% of the global electricity consumption. This is equivalent to 8.9% of worldwide energy consumption and accounts for 0.63% of the global GDP. The popularization of green lighting technologies has become an effective option for countries all over the world to promote and realize energy savings and GHG emission reductions in tackling the global issue of climate change.

Mankind has been using electric lamps since the incandescent lamp was invented in 1879. With the progress of lighting technology, various kinds of new lighting devices have been developed to further enhance the quality of lighting but also improve lamp efficacy. The current electric lighting technologies that are available in China include: (a) thermal radiation lamps (e.g., incandescent lamps, halogen tungsten lamps); (b)gas-discharge lamps (e.g., fluorescent lamps, high pressure mercury lamps, high pressure sodium lamps, metal halide lamps); and, (c)solid state lamps (e.g., light emitting diode (LED) and organic light emitting diode (OLED) lamps.

Solid State Lighting (SSL) refers to the lighting devices made from semiconductor materials and organic materials. These have such advantages as low power consumption, long life, rich colors, as well as good applicability and controllability. Since heavy metal elements such as Hg are not added during the manufacturing of SSL products and with long life and high lamp efficiency, these are becoming popular application products in the area of green lighting. SSL technology is recognized worldwide. In 2014, three inventors of blue LED were awarded the Nobel Prize in Physics, which brought the SSL into the public view, and also represented the highest recognition of the development and energy conservation value of the SSL industry.

SSL has tremendous energy saving potentials. The maximum theoretical lamp efficacy of LED lamps is 370 lm/W. At present, the typical efficacy of LED lamps is more than 75lm/W. Incandescent lamp, CFL and LED lamp share the same life cycle energy consumption percentage, i.e., more than 90% at service stage, and less than 1% at manufacturing and transportation stage. In 2011, the energy consumption of an incandescent lamp is nearly 4 times of that of a LED lamp (based on the same illumination level). With the technical progress for LED, it is expected that the life cycle energy consumption of incandescent lamp in 2015 will be 8.6 times of that of a LED lamp, and the energy consumption of CFL will be about 2.2 times of that of an LED lamp.

Under the influence of the need to save energy and compliance with environmental protection regulations, countries all over the world have begun to use more energy efficient lighting products, as well as issue orders/regulations to restrict or ban the use of less efficient lighting products such as the incandescent lamp. Since 2014, some countries have banned the use of incandescent lamps. For example, since 1 January 2014, incandescent lamps above 40W have been banned for sales in the USA; and, China prohibited the selling or importing of incandescent lamps above 60W for use in general lighting starting 1 October 2014. It can be expected that the global lighting demand will continue to increase in the future, and the use of more energy efficient lighting products and systems (i.e., green lighting) will be among the typical interventions countries will carry out in contributing to the worldwide effort to save energy and deal with the issue of climate change.

The SSL industry in China has been growing at a rapid pace. With the technical progress and increased market demand, the scale of global SSL market is constantly expanding, as the technical breakthrough exceeds expectation and products are updated rapidly. The forms and business models of lighting industry will experience earthshaking changes in the future.

China has become the biggest energy consumer in the world. Suppose the energy consumption per GDP of every five years reduces by 20% continuously, the energy consumption of China after 2019 will account for more than 30% of the world’s total energy consumption. At present, China tops the world in power generating capacity. The total power generating capacity of China in 2014 was 5.55T kWh, with a year-on-year growth of 3.6%.The country-wide electricity consumption is 5.52T kWh, with a year-on-year growth of 3.8% .More than 80% of the electricity production in China is based on thermal power generation (mainly using coal), making the power generation industry an important source of carbon emission. The carbon emission of coal-fired power generation in China accounts for nearly half of the country’s total carbon emission. Thus, power generation not only causes large amount of coal consumption, but also becomes a major source of pollution (air, water and land).

China has become a main exporter of LED lighting products in the world. At present, China's LED lighting products exports to three main markets in the world: European Union, United States of America, and Japan account for 50.2% of its total exports. There are also new markets for Chinese-made LED products such as the BRICS countries, and those in the Middle East and Southeast Asia. The share of the locally produced LEDs in the country’s export market in the BRICS countries has increased by 6.8%, Middle East by 2.1% and Southeast Asia by 1.3%. This type of information gives a general impression that there is already substantial progress made in quality improvements in the SSL industry in China. However, hearing the views and concerns of the local lighting industry (e.g., NDRC, China Solid State Lighting Alliance, Standards Administration of China, International SSL Alliance), and reading articles in the China Daily News like “EU and U.S. Technological Barriers Besiege China LED Lighting Exports Again”, indicates there is something wrong in the industry. The often reported booming SSL products industry in the country is mainly in terms of SSL product exports (mainly those consigned to foreign buyers that have to comply with quality requirements), and does not include those that are low quality products that are sold domestically, and in some cases illegally sold across borders to other Asian countries. The low quality of SSL products in the local market is one of the main causes of consumer avoidance of using such lighting products. Thus, it can be seen that the quality and output of China's LED lighting products production will be an important factor in the global popularization of high efficient lighting products.

1.2 Project Summary

The goal of this project is the reduction of GHG emissions in power generation in China. The GHG emission reduction is in terms of the avoided electricity generation (mainly from coal-fired power generation) due to electricity savings from the use of SSL systems in energy end-use sectors with lighting requirements. Energy savings in lighting will result in the reduction of electricity consumption and demand for lighting. Since, electricity is the most common form of energy used for lighting, the electricity savings translates to the reduction in electricity generation in China, and consequently reduced GHG emissions from the use of fossil fuel (mostly coal) in power generation. With this goal, this project is in line with GEF’s goal of supporting developing countries and economies in transition toward a low-carbon development path through the widespread application and practice of energy efficiency.

Duties and Responsibilities

Expected outcomes:

1. SSL Market Development Enhancements. a) Completed Comprehensive SSL Industry and Market Survey; b) Established and Operational SSL Industry Database; c) Established and Operational SSL Technology Information Exchange Service; d) Established and Operational SSL  Applications Service Industry Accreditation System; e) Completed and Operational SSL Product Manufacturer Support Program and Rating Scheme; f) Completed and Operational SSL Product Manufacturer Support Program and Rating Scheme.
2. SSL Market Transformation Policies and Mechanisms. a) Completed Research Report on Energy Saving Lamp Policies and Regulations; b) Approved and Implemented SSL Industry Development Plans; c) Enforced Policy and Regulatory Frameworks for Supporting the SSL Industry; d) Established and Operational SSL Financing Scheme; e) Established and Operational SSL Manufacturers Accreditation Scheme; f) Completed technical assistance program for local SSL products manufacturers in the design and manufacture of quality compliant SSL products.
3. SSL Application Demonstration. a) Completed Demonstrations on SSL Product Manufacturing and SSL Product Lighting Applications; b) Completed Report on the Demonstration Scheme Results Evaluation and Dissemination; c) Documented Sustainable Follow-up Program Design for Financially Supporting SSL Technology Innovations, and Production of New SSL Products and their Applications.
4. Strengthening of SSL Quality Assurance Capabilities. a) Completed Study on SSL Quality and Energy Performance Standards; b) Documented Identified Potential Improvements in SSL Products; c) Documentation on Completed Research and Development on SSL Product Improvements; d) Established and Enforced Chinese Standards for SSL Products; e) Completed Capacity Building Program on the Application of SSL Product Standards; f) Established and Operational SSL Product Testing and Certification System; g) Completed Assessment of the Impacts of the SSL Product Standards Implementation.

Funding:

Total Budget (USD): 32,697,694, including 6,242,694 from GEF

Implementation Period: 2017-2019

           Objectives of the Mid-Term Review

The objectives of this Mid-Term Review (MTR) seek to fulfill the following overarching objectives of the monitoring and evaluation of GEF projects:

The objective of the MTR is to gain an independent analysis of the progress of the project so far. The MTR will identify potential project design problems, assess progress towards the achievement of the project objective, identify and document lessons learned (including lessons that might improve design and implementation of other UNDP-GEF projects), and make recommendations regarding specific actions that should be taken to improve the project. The MTR will assess early signs of project success or failure and identify the necessary changes to be made. The project performance will be measured based on the indicators of the project’s logical framework (see Annex 1) and various Tracking Tools.

The MTR must provide evidence based information that is credible, reliable and useful. The review team 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. Interviews will be held with the following organizations and individuals at a minimum:

1. UNDP staff who have project responsibilities;
2. Executing agencies (including but not limited to senior officials and task team/ component leaders: MEE, key experts and consultants in the demonstration areas, PSC members;
3. The Chair of Project Steering Committee 
4. Project stakeholders, to be determined at the MTR inception meeting; including academia, local government and CBOs

The team will review all relevant sources of information, such as the project document, project reports – including Annual APR/PIR, project budget revisions, progress reports, GEF focal area tracking tools, project files, national strategic and legal documents, and any other materials that the team considers useful for this evidence-based review.

         Scope of the Evaluation

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

The MTR 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.  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: (a.) Progress towards achievement of results, (b.) Factors affecting successful implementation and achievement of results, (c.) Project Management framework, and (d.) 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?

          Evaluation Methodology

The MTR 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 MTR 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 MTR Team shall receive all the relevant documents including at least:

• The Project Document and Project Brief
• Inception Report
• Annual Work and Financial Plans
• Annual Project Report/Project Implementation Review (APR/PIR) for 2015 and 2016

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

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 MTR Evaluation 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 Project

It is also anticipated that the MTR 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 MTR Team is expected to conduct the project review according to international criteria and professional norms and standards as adopted by the UN Evaluation Group.

          Mid Term Review 

The MTR 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 the project is being implemented.

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

Competencies

International Lead Consultant (one person)

Budget:Consultant fee + air tickets cost

Numbers of working days: 12 days

Anticipated missions to China: 1

Location: Beijing

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

Required Skills and Experience

Responsibilities

• Define the evaluation methodology and schedule, and report to the PMO
• Documentation of the review
• Leading the MTR 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 LED PMO
• Leading the drafting and finalization of the MTR report

All MTR 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 project. Therefore, candidates who had any direct involvement with the design and implementation of the project will not be considered.

      Evaluation Schedule and Deliverables

The MTR is provisionally scheduled to commence in December 2017. The draft evaluation report should be produced with 2 weeks, highlighting important observations, analysis of information and key conclusions including its recommendations. Based on the scope of the MTR 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.

The report will be initially shared with UNDP China Office and PMO 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 final MTR report will then be submitted within 1 month of the initiation of the evaluation. Three copies of the report will be submitted to the UNDP China Office and a copy to PMO.

There will be two main deliverables:

• MTR 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

         Budget

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

Evaluation Criteria:

• Technical evaluation (including written test, interview, desk review of technical proposal, if any): 70% (includes 20% of Job Related Technical  Expertise; 25% of Relevant working experience; 25% of Methodology &   Approach to Assignment)
• Financial Evaluation: 30%.

Please provide Offeror’s Letter and proposal (download the format in the link provided) together with your CV while submitting application.  And please note that the system will not accept the uploading of more than one document so please merge or scan all your documents into one prior to uploading.

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.

Offeror’s letter and proposal download link: https://pan.baidu.com/s/1CJry4w2FSlGEDIPGvJHbxA