Ⅲ Project Results Framework This project will contribute to achieving the following Country Programme Outcome as defined in CPAP or CPD: Country Programme Outcome Indicators: Primary applicable Key Environment and Sustainable Development Key Result Area (same as that on the cover page, circle one): 1. Mainstreaming environment and energy OR 2. Catalyzing environmental finance OR 3. Promote climate change adaptation OR4. Expanding access to environmental and energy services for the poor. Applicable GEF Strategic Objective and Program: GEF-5 CCM Strategic Program SP2: promote market transformation for energy efficiency in industry and the building sectors Climate change (energy efficiency) Applicable GEF Expected Outcomes: Appropriate policy, legal and regulatory frameworks adopted and enforced; Sustainable financing and delivery mechanisms established and operational Applicable GEF Outcome Indicators: Energy efficiency policy and regulation in place; Investment mobilized; Energy savings achieved Strategy Objectively Verifiable Indicators Source of Verification Critical Risks Indicator Baseline Target Project Objective: Facilitation of the enhanced production and widespread application of quality solid state lighting (SSL) products in Annual direct energy savings in by EOP (GWh) Annual direct CO2 emissions reduced in by EOP (kilotons) No. of new jobs available in the ESL industry by EOP No. of women employed in new jobs in the ESL industry by EOP •158 •143 0 0 • 937.2 • 850.4 •1000 •200 Progress reports on the demonstrations Project monitoring and evaluation reports Project Final Report Survey Report Stable economic growth in will be sustained Outcome 1 Enabling of enhanced and strategic SSL technology and market developments based on comprehensively assessed and documented up-to-date status of the SSL industry Value of quality standards compliant SSL products produced in China by EOP (billion RMB) Export value of quality standards compliant SSL products produced in China by EOP (billion USD) • 58.6 • 5.4 •184 •13.8 Annual reports on China SSL industry Annual export reports on China SSL products
Program and Rating Scheme NECC GEF 75700 Training/Workshop/Meetings 0 7,500 2,500 10,000 33 NECC GEF 72500 Office Supplies Cost 0 1,000 700 1,700 34 NECC GEF 72400 Communication & AV Equipment 0 500 400 900 35 Sub-Total 0 43,450 17,450 60,900 Component 1 Total 62,850 267,900 118,750 449,500 Component 2: SSL Market Transformation Policies and Mechanisms Output 2.1: Completed Research on Energy Saving Lamp Policies and Regulations NECC GEF 71200 International Consultants 20,000 17,500 0 37,500 36 NECC GEF 71300 Local Consultants 12,500 10,000 6,000 28,500 37 NECC GEF 71600 Travel 30,000 16,000 9,500 55,500 38 NECC GEF 74200 Audio Visual & Print Prod Costs 2,500 7,500 0 10,000 39 NECC GEF 74500 Miscellaneous Expenses 1,000 1,000 2,000 4 NECC GEF 75700 Training/Workshop/Meetings 5,000 20,000 10,000 35,000 40 NECC GEF 72500 Office Supplies Cost 1,800 1,800 1,800 5,400 41 NECC GEF 72400 Communication & AV Equipment 1000 500 500 2,000 42 Sub-Total 73,800 74,300 27,800 175,900 Output 2.2: Approved and implemented SSL Industry Development Plans NECC GEF 71200 International Consultants 10,000 5,000 0 15,000 43 NECC GEF 71300 Local Consultants 8,000 5,000 2,000 15,000 44 NECC GEF 71600 Travel 12,000 10,000 4,000 26,000 45 NECC GEF 74500 Miscellaneous Expenses 1,000 500 500 2,000 4 NECC GEF 72100 Contractual Services - Companies 30,000 20,000 8,700 58,700 46 NECC GEF 75700 Training/Workshop/Meetings 2,500 5,000 2,500 10,000 47 NECC GEF 72500 Office Supplies Cost 1,000 500 500 2,000 48
NECC GEF 75700 Training/Workshop/Meetings 0 2,500 2,500 5,000 127 NECC GEF 72500 Office Supplies Cost 0 500 500 1,000 128 NECC GEF 72400 Communication & AV Equipment 0 500 1000 1,500 129 Sub-Total 0 20,750 31,510 52,260 Output 4.5: Completed Capacity Building Program on the Application of SSL Product Standards NECC GEF 71200 International Consultants 0 10,000 8,750 18,750 130 NECC GEF 71300 Local Consultants 1,000 8,000 4,500 13,500 131 NECC GEF 71600 Travel 0 5,500 4,000 9,500 132 NECC GEF 74200 Audio Visual & Print Prod Costs 0 3,000 3,000 6,000 133 NECC GEF 74500 Miscellaneous Expenses 500 2,000 2,500 5,000 4 NECC GEF 72100 Contractual Services - Companies 0 15,000 9,800 24,800 134 NECC GEF 75700 Training/Workshop/Meetings 0 10,000 10,000 20,000 135 NECC GEF 72500 Office Supplies Cost 250 1,000 750 2,000 136 NECC GEF 72400 Communication & AV Equipment 0 1500 1500 3,000 137 Sub-Total 1,750 56,000 44,800 102,550 Output 4.6: Established and Operational SSL Product Testing and Certification System NECC GEF 71200 International Consultants 5000 10,000 3,750 18,750 138 NECC GEF 71300 Local Consultants 1,000 10,000 4,000 15,000 139 NECC GEF 71600 Travel 0 5,000 2,500 7,500 140 NECC GEF 72200 Equipment & Furniture 0 150,000 150,000 300,000 141 NECC GEF 74200 Audio Visual & Print Prod Costs 1,000 1,000 2,000 142 NECC GEF 74500 Miscellaneous Expenses 500 2,500 2,500 5,500 4 NECC GEF 72100 Contractual Services - Companies 0 20,000 16,705 36,705 143 NECC GEF 75700 Training/Workshop/Meetings 5,000 20,000 20,000 45,000 144
IPR and use of logos Relevant disclosure document, publications and deliverables of this Project will be provided with GEF and UNDP logos as required by UNDP and GEF. Meanwhile, logos of this Project will also be used. V Monitoring Framework and Evaluation This Project will be monitored through monitoring and evaluation activities below. And for the budgets, see the table below: Table 3: Work Plan and Budget for Evaluation Monitoring and Evaluation Activity Responsible Party Budget $ Time Kick-off meeting and report ■Project Manager ■ UNDP , UNDP GEF 10,000 Within 2 months after the Project is started Measurement methodology for verification of project outcome ■ UNDP GEF RTA/ The Project Manager shall supervise employment of relevant institutions and assign specific duties to team members. To be determined during the inception phase Inception, and final of the Project, and annually (if necessary) Measurement methodology for validation of project outputs and implementation ■Project Manager's supervision ■ Project team To be determined during development of annual work plans Before the annual APR/PIR and determining the annual work plan ARR/PIR ■ Project Manager and project team ■UNDP country office ■UNDP RTA ■ UNDP EEG None Annually Regular situation/progress report ■ Project Manager and project team None Quarterly Middle-term evaluation ■Project Manager and project team ■UNDP country office ■UNDP RCU ■ External expert consultant(s) 40,000 Middle-term of project enforcement Final evaluation ■ Project Manager and project team ■UNDP country office ■ UNDP RCU ■ External expert consultant(s) 40,000 At least three months before the end of project implementation Project final report ■ Project Manager and project team ■ UNDP country office 0 At least three months before the end of the Project
Annex IV: Annual Project Targets Strategy Objectively Verifiable Indicators Annual Targets Indicator Description Baseline Target Year 1 Year 2 Year 3 Project Objective: Facilitation of the enhanced production and widespread application of quality solid state lighting (SSL) products in Annual direct energy savings in by EOP (GWh) 158 • 937.2 193 462 937.2 Annual direct CO2 emissions reduced in by EOP (kilotons) 143 850.4 175 419 850.4 No. of new jobs available in the ESL industry by EOP 0 1000 100 500 1000 No. of women employed in new jobs in the ESL industry by EOP 0 200 20 100 200 Outcome 1 Enabling of enhanced and strategic SSL technology and market developments based on comprehensively assessed and documented up-to-date status of the SSL industry and market in China The value of quality standards compliant SSL products produced in by EOP (billion RMB) 117.1 184 110 142 184 The export value of quality standards compliant SSL products produced in China by EOP (billion USD) 5.4 13.8 8.9 11.2 13.8 Outcome2 Facilitation of support and incentives in the local production of quality SSL products, and in the application of SSL products compliant with established quality No. of policy recommendations adopted and enforced by relevant government agency departments by EOP • 3 • 6 4 5 6 Qualified rate of quality standards compliant SSL products by EOP • 50% • 70% 55% 60% 70%
and energy performance standards Outcome 3 Increased penetration rate of SSL products especially in the residential sector in China Market share of qualified SSL products in general lighting market in by EOP • 8.2% • 28% 15% 21% 28% Outcome 4 Enhanced quality and energy performance of locally produced SSL products both for the domestic and international markets No. of SSL quality and energy efficiency certificates issued by institutions by EOP • 1200 • 1500 1300 1400 1500 No. of local SSL manufacturers that are complying to the new EE standard/label for SSL products by EOP • 0 • 100 10 50 100