Promotion of energy efficient lighting in Kazakhstan

Report Cover Image
Evaluation Plan:
2016-2020, Kazakhstan
Evaluation Type:
Final Project
Planned End Date:
05/2017
Completion Date:
06/2017
Status:
Completed
Management Response:
Yes
Evaluation Budget(US $):
35,000

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Title Promotion of energy efficient lighting in Kazakhstan
Atlas Project Number: 00063090
Evaluation Plan: 2016-2020, Kazakhstan
Evaluation Type: Final Project
Status: Completed
Completion Date: 06/2017
Planned End Date: 05/2017
Management Response: Yes
Focus Area:
  • 1. Environment & Sustainable Development
  • 2. Others
Corporate Outcome and Output (UNDP Strategic Plan 2014-2017)
  • 1. Output 1.5. Inclusive and sustainable solutions adopted to achieve increased energy efficiency and universal modern energy access (especially off-grid sources of renewable energy)
Evaluation Budget(US $): 35,000
Source of Funding: Project
Evaluation Expenditure(US $): 15,000
Joint Programme: No
Joint Evaluation: No
Evaluation Team members:
Name Title Email Nationality
Zharas Takenov KAZAKHSTAN
GEF Evaluation: Yes
GEF Project Title: Promotion of energy efficient lighting in Kazakhstan
Evaluation Type: Terminal Evaluation
Focal Area: Climate Change
Project Type: FSP
GEF Phase: GEF-5
GEF Project ID:
PIMS Number: 4326
Key Stakeholders:
Countries: KAZAKHSTAN
Lessons
Findings
1.

Project strategy and relevance

Since its independence twenty-five years ago, the Republic of Kazakhstan has taken good strides in terms of social and economic development. This large land-locked country located at the heart of Eurasia attracts attention in the form of trade and investment from the West, East, North and South. Its engagement in multi-lateral diplomatic process (including 2010 Chairmanship of the OSCE, Shanghai Cooperation Organization, and OIC), shows its growing influence as a trusted international partner, including for championing global development agendas such as the Sustainable Development Goals (SDGs). While Kazakhstan recently attained the status of a middle-income country, it remains dependent to a large extent on revenues from the sale of oil and other fossil fuels. It is also the largest GHG emitter and second most energy intensive country in the region. There is a considerable potential for improving energy efficiency in industry, housing and transport sectors. On this backdrop, it is important to note that the Government of Kazakhstan (GoK) has set an ambitious vision of the path to address these challenges, most notably with the adoption of the “Concept on Transition to Green Economy of Kazakhstan” and “Strategy 2050”. These documents signal the plans to shift to a principally new way of economic and social development.


Tag: Emission Reduction Energy Relevance Programme/Project Design Education Trade and Development Awareness raising Agenda 2030

2.

Project strategy and relevance

Since its independence twenty-five years ago, the Republic of Kazakhstan has taken good strides in terms of social and economic development. This large land-locked country located at the heart of Eurasia attracts attention in the form of trade and investment from the West, East, North and South. Its engagement in multi-lateral diplomatic process (including 2010 Chairmanship of the OSCE, Shanghai Cooperation Organization, and OIC), shows its growing influence as a trusted international partner, including for championing global development agendas such as the Sustainable Development Goals (SDGs). While Kazakhstan recently attained the status of a middle-income country, it remains dependent to a large extent on revenues from the sale of oil and other fossil fuels. It is also the largest GHG emitter and second most energy intensive country in the region. There is a considerable potential for improving energy efficiency in industry, housing and transport sectors. On this backdrop, it is important to note that the Government of Kazakhstan (GoK) has set an ambitious vision of the path to address these challenges, most notably with the adoption of the “Concept on Transition to Green Economy of Kazakhstan” and “Strategy 2050”. These documents signal the plans to shift to a principally new way of economic and social development.


Tag: Emission Reduction Energy Relevance Global Environment Facility fund Programme/Project Design Education Trade and Development Awareness raising Agenda 2030 Vulnerable

3.

4.1 PROJECT DESIGN AND SCOPE

The evidence suggests that both the capacity of the executive partner, Ministry of Industry and New Technologies (currently MID), and other partners as well as partnership mechanisms were adequately considered during project design. Despite the restructuring in 2010, MINT was best positioned to perform the role of the project’s implementing partner in the government, as it was entrusted with the government energy efficiency policies, development of a strategic plan for cross sectoral EE plan. During the design stage, the Ministry of Environmental Protection (MEP) retained a major role, aithough not as the nominal national implementing partner. A series of workshops and face-to-face consultations with government, local authorities and academic institutions resulted in the assessment of, and recommendations for, their involvement in the project execution. As a result, the project strategy included joint activities on policy and legal issues, standards design, etc. Beyond this, consultations with market parties and NGOs were conducted including numerous bilateral consultations with private manufacturers and market players. This consultation allowed for understanding and detailing the cooperation with manufacturers and other suppliers, distributors and retailers of lighting equipment as well as coordinating arrangements for pilot projects, supply-chain initiatives and marketing of EE lighting. The choice of the four (4) Project Outcomes was, and is still very relevant, and the choice of the planned outputs/strategies is overall relevant as it was showed by the experience during the past 5 years of the project, as well as the interviews conducted in the framework of the current TE, highlight the areas under each Outcome have been well designed with minor issues responded and corrected by the Project Management during the implementation process. This is best discussed along the four (4) Outcomes:


Tag: National Partnership Programme/Project Design Project and Programme management Policy Advisory Energy Environment Policy

4.

Outcome 2 Market development

The Market Development Component planned to tackle two (2) main areas, namely (1) Market stimulus to promote EE lighting and (2) labeling program for energy-efficient lighting products. Two assumptions has been designed for the Outcome 2: 1. Cost-effective distribution is possible even to remote towns and rural areas 2. Promotion, targeted discounts, and new national laws and policies are enough to overcome cost barriers among poor rural consumers. The project has commissioned background research into the market for EE lighting and a study to identify the exact strategy for “Component 2.1: Market Stimulus”.

Outcome 3 Promotion and educational outreach

The “Promotion and educational outreach” Component planned to tackle 2 main areas: (1) awareness raising campaigns among the public (including a website and FB on EE lighting) and (2) promotional campaigns/training for EE market professionals (building-industry professionals, responsible regional officials, and other specialists, including industrial energy auditors). One assumption has been designed for the Outcome 3: (1) Continued stability of cost-sharing will make large-scale media campaigns possible. The both areas and the assumption are very relevant as avenues to pursue the objectives of this project.


Tag: Energy Education Technology Trade and Development Awareness raising Coordination

5.

4.2 INSTITUTIONAL SET-UP AND MANAGEMENT ARRANGEMENTS

The Ministry of Energy and Mineral Resources (MEMR), which was listed in the PIF as one of the original national implementing partners, ceased to exist in 2010, upon government restructuring. Many of MEMR’s responsibilities were transferred to the new Ministry of Oil and Gas. Responsibilities regarding energy efficiency were transferred to the new Ministry of Industry and New Technologies (MINT), which itself comprised many of the functions of the former RK Ministry of Industry and Trade. These responsibilities included transformation of markets for energy-efficient lighting, including implementation of the IL phase-out. Then, further reorganization of the Government of Kazakhstan led to the dissolution of MINT, with most of its key functions, including those related to energy efficiency, transferred to the newly formed MID. MID thus became the national implementing partner of the project. Throughout this process, the essential functions of the national implementing partner continued without interruption. Notably, key committees and departments dealing with technical standards and metrology, industry, and energy efficiency continued to respond essentially to the same chain of command. Three different senior representatives of MID served throughout the project as National Project Coordinator (NPC) – (1) Alibek Kabylbay, deputy director of the Energy Saving Department; (2) Maksut Ordabayev, Deputy Chairman of the Committee of Industrial Safety; and (3) Olzhas Alibekov, Head of Energy Saving Department. But despite these transitions at the level of personnel as well as the agency itself, communication between project staff and the NPCs also remained steady throughout the whole project period, within and outside business hours. Overall, the project roles (Project Board, Project Manager (PM) and UNDP CO roles and responsibilities) are properly distributed in the Project Document and comply with the UNDP and GEF guidance. The implementation approach uses the Nationally Executed (NEX) modality. This was realised in a competent manner, with the appointment of staff to create a Project Management Unit (PMU) that was independent of but answerable to the client (MINT and then MID) and both supported and overseen by the implementing agency (UNDP CO). Aside from the strong project design, another major asset of the project was its implementation team, led by the Project Manager, Mr. Syrym Nurgaliyev. Mr. Nurgaliyev oversaw all aspects of project management, including hiring and supervision of other staff and consultants; strategy, work planning, and monitoring of progress; representation of the project in contacts with partners, media, and the public; and budgetary, financial, and administrative matters. In all these aspects, Mr. Nurgaliyev was assisted full-time by Project Assistant Zulfiya Suleymenova, with support from the UNDP Country Office and the UNDP/GEF Istanbul Regional Hub. The full-time project team also included a strong and diverse set of technical specialists, including PR expert Dinara Tamabayeva, lighting markets expert Lyudmila Teplovodskaya, and policy expert Sergey Inyutin. Ms. Tamabayeva led the project’s extensive work in generating printed media, videos, print publications, and television coverage. Ms. Teplovodskaya carried out major market research studies and led the project’s work on certification and labeling. Mr. Inyutin oversaw policy and standards development, and took the lead on the project’s work on mercury waste management.


Tag: Energy Environment Policy Global Environment Facility fund National Programme/Project Design Project and Programme management Country Government Capacity Building Institutional Strengthening

6.

4.3 PROJECT IMPLEMENTATION, ROLE OF UNDP AND FINANCIAL MANAGEMENT

The support role of UNDP, as the Implementing Agency through its Country Office and RTA, has been sustained and effective throughout current project implementation, undoubtedly contributing significantly to the achievements. Its support has been particularly beneficial on a number of occasions, including the initial selection of PMU staff (jointly with MINT) through an open application process, regular monthly meetings with the Project Manager to formally review project achievements and project implementation strategy, and the RTA challenging the project’s pace related to establishment of pilot project monitoring and evaluation framework, collection and analysis of baseline data, selection of pilot projects for demonstration and replication. In addition to routine progress monitoring exercised by UNDP CO, the EEL Project has been supported by Ms. Zhanetta Babasheva, UNDP Resource Monitoring Associate, to meet UNDP procedures and accounting requirements. UNDP has several instruments at its disposal for project monitoring and steering, as well as for evaluating progress and results, including: • Project inception workshop and report; • Annual reporting (APR, PIR); • Quarterly progress reports; • Annual work plans and budgets; • Project Board meetings; • UNDP field visits to the project; • Mid-term and terminal evaluations; and • Ad-hoc evaluations and expert missions. • Atlas issue and risks logs As a general appreciation, UNDP CO has made effective use of the available tools for monitoring. The effectiveness of annual work plans and budgets, as a tool for monitoring and planning, was very well maintained Terminal Evaluation of UNDP-supported GEF-financed Project “Promotion of Energy Efficient Lighting in Kazakhstan” 42 | P a g e throughout the lifespan of EEL Project.


Tag: Energy Effectiveness Communication Human and Financial resources Implementation Modality Monitoring and Evaluation Partnership Awareness raising

7.

Financial management

The total budget in the Project Document was US$ 32,022,338, of which US$ 3,400,000 (11%) was grant-aided by GEF35 and US$ 28,622,338 co-financed by national and city governments, private companies, and NGOs (89%). Total project budget and work plan (Section III of the approved Project Document) includes 3,450,000 US$, of which GEF resources accounts for 3,400,000 US$ and 50,000 US$ of UNDP TRAC. The original planned budget is shown in Table 4 below. Each year a new annual budget has been prepared for the next year and submitted for approval to the Project Board in the form of Annual Work Plan. These annual budgets as shown in AWPs are summarized in below. By the end of the project it does not go beyond the permitted threshold of 10% (earlier there was a remark from MT evaluators about possible exceeding). The main disbursements were done in procurement area, thus in Outcome 1 the contractual services make up for 58%, expenses for international consultants make up for 11%, in the Outcome 2 – the contractual services make up 51%, and expenses for international consultants make up for 15%, in the Outcome 3 – the contractual services make up 51%, expenses for publication make up for 20%, in the Outcome 4 – the contractual services make up 80%.

Annual budget and disbursements are typical of a normal project cycle, with a lower allocation in the first year while the Project got up to speed, establishing the necessary infrastructure, contracting staff and consultants etc., following by years of higher investments (Table 6) Total project expenditures over the project implementation period, August 2012 - May 2017, are 3,450,000 US$, of which GEF resources account for 3,400,000 US$ and UNDP TRAC resources for 50,000 US$. The project was subject to three financial audits in 201336, 2014 and 2015. All three financial audits had “no comments or observations” and provided the overall satisfactory rating across the following audit areas: (i) review of project progress; (ii) human resources; (iii) finance; (iv) procurement; (v) asset management; (vi) cash management; (vii) general administration; (viii) information systems; (ix) follow-up on previous audits. The audits confirmed that the project has been implemented in accordance with UNDP accounting requirements.37


Tag: Efficiency Global Environment Facility fund Human and Financial resources Policies & Procedures Project and Programme management

8.

4.4 PROJECT RESULTS

GEF Tracking Tool (TT)

The Terminal GEF Tracking Tool (TT) reports 11,520,000 MJ of lifetime energy saved (vs. the end-of-project target of 10,800,000,000 MJ as reported in GEF TT at CEO endorsement). The reported fuel savings realized from the government ban on the use of incandescent lamps 2012 and 2016. Thus, the total direct emission reduction is 47,062 t CO2, exceeds by 1.5 times the planned target (vs. 31,329 t CO2 equivalent in CEO Endorsement TT), energy saving is 50 GWh, exceeds by 1.5 times the planned target (33 GWh) respectively (see Annex 12). The indirect energy savings amount 4 14 GWh, exceeds the planned target (1607 GWh) 2,6 times and indirect 3964 thousand t CO2, exceeds by 2,6 times the planned target (1495 GWh) respectively, for the period of the UNDP-supported GEF-financed project implementation (2013-2027). The analysis of the results revealed that the greatest effect on reducing greenhouse gas emissions was achieved in the implementation of modernization of street lighting and especially of the building surrounding ground, and then healthcare facilities, it is recommended to replicate such projects. Monitoring of energy saving is necessary on annual basis per the indications of electric meters and bills for payment. Monitoring of GHG emissions reduction depends on CEF i38ndicators. This indicator should be monitored; it is recommended to use CEF officially adopted indicators at the national level. In addition to the effect of energy saving and reduction of GHG emissions, there is a substantial savings in cash to prevent the acquisition and replacement of lamps in the baseline case. In terms of the policy aspects, the terminal evaluator believes that the rating 5 (policy/regulation/strategy enforced) is given due to the project invested considerable efforts in designing and revising relevant policies and regulations that await adoption.


Tag: Emission Reduction Energy Environment Policy Effectiveness Global Environment Facility fund Technology Advocacy Policy Advisory

9.

Outcome 2 Market development

With the implementation of the phase-out of high-wattage lamps, a large segment of the consumer market in Kazakhstan has shifted from incandescent to compact fluorescent lamps (CFLs). Rising use of CFLs has led in turn to a new challenge – containment of mercury from spent lamps. Mercury (Hg) is highly toxic, a serious hazard to humans and many other organisms. Both older-generation and newer, more efficient fluorescent lamps contain mercury in vapor and/or powder forms. Therefore, proper containment of spent Hg-containing lamps is a vitally important consideration for public health and environmental protection. Before 2013, Kazakhstan had no systems for collection and recycling of Hg-containing wastes in the residential sector. Then the city administration of Astana and the EEL project jointly launched a pilot project on collection and safe processing of Hg-containing lamps from the public. The city administration purchased 100 containers for the collection of linear and compact fluorescent lamps, as well as batteries. The containers have already been installed in 50 public areas in the city. The EEL project provided informational and promotional support, through a video aired in movie theaters and television, as well as posters and instructions in both Kazakh and Russian. The project has supported the replication of residential mercury waste collection in the Mangystau and Kyzylorda regions, with the purchase and installation of containers, as well as the delivery of education and promotion among the public. Such containers are gradually being installed in public areas of Almaty as well. Across the country, as of July 2016, the EEL project has prevented the uncontained disposal of 9.67 million fluorescent lamps.


Tag: Energy Waste management Communication Education Trade and Development Awareness raising Institutional Strengthening Technical Support

10.

Outcome 4. Demonstration projects embodying best practices and technology.

The EEL project has conducted several pilot projects throughout Kazakhstan to demonstrate, document, and promote the cost-effectiveness and other benefits of energy efficient lighting, in both indoor and outdoor spaces. These projects included the following.

Indoor lighting: • Modernization of lighting in 41 classrooms in seven schools in six cities and villages of central and eastern Kazakhstan, involving replacement of 100W incandescent lamps and their fixtures with 42W linear fluorescent lamps. The project then supported similar lighting upgrades in four other schools in the cities of Aktau and Kyzylorda, plus a school for visually-impaired students in Semey, under UN joint programs with the Mangystau and Kyzylorda regional administrations. • Installation of efficient lighting systems for stairwells and common areas in a large residential building complex in Karaganda. • Modernization of lighting from incandescent to LEDs in health-care facilities in Ust-Kamenogorsk, Aktau, Kyzylorda, and Fort Shevchenko. • Delivery of direct technical support for lighting upgrades to the headquarters building of MID, which have been approved and will lead to the prevention of more than 5,445 tons of CO2 emissions. • A special integrated project on narrow-spectrum LED greenhouse lighting in the village of Arnasai. This technology is highly energy-efficient relative to other supplemental greenhouse lighting. It also reduces the vegetative period of crops by half, increasing the local availability of vegetables for a local school canteen and other customers in winter. Highly innovative for Kazakhstan, this project is attracting research attention from the national Agrarian University and Nazarbayev University. Thus, the project addresses several of UNDP’s sustainable development goals – climate change mitigation, food availability, and innovation -- all at once.


Tag: Emission Reduction Energy Effectiveness Women's Empowerment National Technology

11.

Outcome 4. Demonstration projects embodying best practices and technology.

The EEL project has conducted several pilot projects throughout Kazakhstan to demonstrate, document, and promote the cost-effectiveness and other benefits of energy efficient lighting, in both indoor and outdoor spaces. These projects included the following.

Indoor lighting: • Modernization of lighting in 41 classrooms in seven schools in six cities and villages of central and eastern Kazakhstan, involving replacement of 100W incandescent lamps and their fixtures with 42W linear fluorescent lamps. The project then supported similar lighting upgrades in four other schools in the cities of Aktau and Kyzylorda, plus a school for visually-impaired students in Semey, under UN joint programs with the Mangystau and Kyzylorda regional administrations. • Installation of efficient lighting systems for stairwells and common areas in a large residential building complex in Karaganda. • Modernization of lighting from incandescent to LEDs in health-care facilities in Ust-Kamenogorsk, Aktau, Kyzylorda, and Fort Shevchenko. • Delivery of direct technical support for lighting upgrades to the headquarters building of MID, which have been approved and will lead to the prevention of more than 5,445 tons of CO2 emissions. • A special integrated project on narrow-spectrum LED greenhouse lighting in the village of Arnasai. This technology is highly energy-efficient relative to other supplemental greenhouse lighting. It also reduces the vegetative period of crops by half, increasing the local availability of vegetables for a local school canteen and other customers in winter. Highly innovative for Kazakhstan, this project is attracting research attention from the national Agrarian University and Nazarbayev University. Thus, the project addresses several of UNDP’s sustainable development goals – climate change mitigation, food availability, and innovation -- all at once.


Tag: Emission Reduction Energy Effectiveness Women's Empowerment National Technology

12.

4.5 RATING OF THE RESULT INDICATORS

This Section is organized in a line with the 4 outcomes: for each one the extent of achievement of the planned outputs is described based on a quantitative assessment of the planned end- of -project targets in May 201741 .

Outcome 1: Policy development and implementation supports effective IL phase-out, expansion of market share and use of EE lighting, and safe disposition of spent Hg-containing spent lamps Indicator: 1.1. Implementation of incandescent-lighting phase-out

Delivery of the main planned outputs The project indirectly contributed to the adoption of the “Law on Energy saving and increasing energy efficiency” (2012), even though it was passed before the project started. The key stakeholders from the MID confirmed that the project preparation process incentivized them to accelerate the adoption of the Law and consultations during the preparation of the Project Document also contributed to its content. After the passage of the Law the project contributed to the elaboration of the State program "Energy saving - 2020" in the parts related to the regulatory framework stimulating activities and disposal of mercury-containing lamps. The program was approved by the Government in August 2013. Amendments and additions to Energy Efficiency Law of the RK 279-V dated January 14, 2015 have been proposed and adopted allowing for implementation of energy performance contracts by ESCOs, including in the lighting sector. The project’s contribution was highly valued by the stakeholders interviewed as part of this TE. Extent of achievement of planned targets The end-of-project target, namely “Phase-out implemented in stages and documented (100W bulbs phased out by 2013, 75W bulbs by 2014, and 25W bulbs by 2015)” has been met. Although the cases of relabeling by the importers, unauthorized sales of the banned lamps are common. As for information of Prosecutor's office 24,254 cases of procuring IL through the Government procurement processes were recorded during 2016.


Tag: Energy Environment Policy Effectiveness Rule of law Policy Advisory

13.

Indicator 1.2 Requirements of technical standards for EE lighting

Delivery of the main planned outputs The project supported the Kazakhstan Institute for Standardization and Certification in developing seven (7) national technical standards on lighting. All below standards were developed and approved, namely: • Art RK GOST R 54815 LED lamps with built-in controls for general lighting at voltages above 50 V. Performance requirements; • Art RK GOST R 54943 Buildings and facilities. Method for determination of discomfort under artificial lighting of facilities; • Art RK GOST R 54945 Buildings and facilities. Methods of measurement of the pulsation light coefficient; • Art RK IEC / TS 62504, general lighting. Light-emitting diodes and modules. Terms and definitions; • Art RK GOST R 54305 Auto-roads of public use. Horizontal illumination from artificial lighting. Technical requirements; • Art RK GOST R 54308 Auto-roads of public use. Horizontal illumination from artificial lighting. Methods of control; and • Art RK GOST R 54984 Outside lighting of railway vehicle objects. Norms and methods of control. To facilitate and strengthen the national compliance system for the adopted standards for domestically produced and imported lighting equipment, the project has identified the list of certified testing laboratories for domestic lighting market products, conducted their capacity assessment, and strengthened capacity building plan, including the needs in specialized testing equipment. The standards are included into the state registry of technical regulation system.


Tag: Energy Environment Policy Effectiveness National Technical Support

14.

Indicator 1.3 Code requirements for energy performance of lighting in buildings

Delivery of the main planned outputs Recommendations for the Committee on Construction and Communal Services (as well as other organizations) related to the new requirements and other norms were developed. In particular, MID introduced the draft amendments to the legislation of the RK on the issues of Energy Service Contracts (ESCOs). Project contributed to the drafting of the “Law on the changes and additions in relation to the matters concerning Energy Saving” (R? ?279-V from the 14 January 2015) with an analysis on using ESCO model for EE lighting. This Law defines the term ESCO as a juridical term and defines an unified format for ESCO contracts. Additional research on the assessment of the LED lighting impact on human organism was carried out with the agreement of the Ministry of Healthcare of the RK. Draft amendments into the existing sanitary regulations have been prepared jointly with the Sanitary and Epidemiological Expertise and Monitoring Republican State Enterprise of the Ministry of Health (MoH) of the RoK and formally circulated within the GoK for comments. All the interested governmental agencies and organizations had agreed upon. The approval is expected in June-July 2017. At the same time this document is not an indicator. Along the project progress it was found out that it was necessary to amend the SanPin.


Tag: Energy Environment Policy Effectiveness Country Government Technical Support

15.

Indicator 1.4 Procurement of energy-efficient lighting by public agencies Delivery of the main planned outputs

An overview of the current situation in the RK in the field of procurement of EE lighting fixtures was prepared based on the analysis of the provisions of existing Law on public procurement and the provisions on the regulations pertaining to the procurement by regional governments and major state-owned enterprises. MID was assisted with drafting a Decree, subsequently adopted: MID decree รข?? 415 (31/03/2015) stipulates that state procurement needs to comply with the newly adopted requirements for the lighting products for outdoor and indoor lighting. The Law of the Ministry for Investments and Development of the RK 415 dated March 31, 2015 (valid as a decree of the RK) has approved the following: - requirements to minimal light efficiency of LED lamps; - new requirements to the lighting fixtures of indoor lighting in public and administrative buildings; - new requirements to lighting fixtures for lighting the housing objects - new requirements to lighting fixtures for street lighting.


Tag: Energy Environment Policy Procurement Country Government Awareness raising

16.

Outcome 2: Increased accessibility and market share of EE lighting  Delivery of the main planned outputs

To assess the accessibility and market share of EE lighting the EEL Project developed the following: (a) an assessment of basic power consumption and the number of light points in the lighting structure of the following various sectors; (b) scenarios on market development in Kazakhstan, including a quantitative assessment of the use of light products, electricity consumption and the potential of market transfer, energy saving and reduction of GHG emissions because of the strategies developed for 2013-2018; and (c) options for the stimulation of the market of EE lighting products. Regarding the latter, a pilot discount program has been implemented to stimulate the purchase of LED lamps by the population leading to additional sales of 3,000 LED devices by the population. The project assisted the Committee on Technical Regulation in the development of recommendations on labelling of the lighting products to be considered in the framework of the Customs Union. The project assisted with the development of 2 sets of proposals (a) labeling of power consuming fixtures, including lamps, in the form of the Draft of the Customs Union technical regulations on "Informing consumers about energy efficiency of electrical power consuming devices"; and (b) Draft technical regulations on "Requirement to energy efficiency of power consuming devices"42 . Since 2013 there started preparation of the Technical Regulations and the process of amendments or coordination between the CU countries took all this period. In 2013 there existed the unified Technical Regulations which combined two components (?) and (b). During 2013 and 2014 it was under the process of agreement with the CU countries. In 2015 at the Committee for consideration of the Technical regulations of the Customs Union it was decided to divide one document into two different ones. In this regards the agreement process got a new cycle within the countries of the Customs Union. Extent of achievement of planned targets


Tag: Energy Environment Policy Partnership Trade and Development Awareness raising

17.

Outcome 3: Increased familiarity among diverse stakeholders with EE lighting and associated issues

Delivery of the main planned outputs

A) The population The following were the main means of the public awareness campaign: • Media Training and TV talk shows. Media training in the regions of Eastern and Southern Kazakhstan for journalists regarding the use of multi-media tools in discussions and writing on EE issues. In 2015 seminars and media-trainings were conducted in Kyzylorda, Aktau, and Shymkent cities. In Kyzylorda, , Aktau and Shymkent the project participants took part in the TV talk-show where they were answering questions about energy efficiency (about 400 000 people covered). Also, there was a regional mediatraining in Bishkek, Kyrgyzstan which involved journalists from various Kazakhstan media. Knowledge received from the training resulted in numerous articles both in newspapers and Internet resources. (about 500 000 people covered). In 2016, a large media-training took place in Yerevan, Armenia. Journalists from Kazakhstan and Armenia had an opportunity to interact with the representatives of UNDP Kazakhstan and UNDP Armenia, learn more about the project and its achievements and findings. Both Kazakhstan and Armenian journalists reflected the information and interviews in their articles in newspapers, Internet resources, and TV interviews. (about 800 000 people covered). The amount of reached audience through the seminars, media-trainings and its coverage in media and TV by years was the following: from 2013- 2014 – 250,000 people; from 2014-2015 – 150,000 people; from 2015-2016 – 1,345,000 people. • Video clips: A video clip calling for the proper disposal of waste mercury-containing lamps has been prepared and played in the network of Kinopark cinemas; also, the municipal authority of Astana city held airplay on TV channels. A video clip on the benefits of EE lighting, and several other videos (including a cartoon and a 3D video) were prepared, passed on to MID and played on state TV channels. Nowadays this video is being promoted in trade centers, buses, train stations, and other public locations of Astana. In total about 800 000 people has been reached. Total rotation of utilization video has been the following: from 2013-2014 – 620,000 people and from 2014-2015 – 200,000 people. Also, there had been made video about EE lighting advantages. The video was submitted to the MINT, and it was shown on state channels. It is having been regularly promoted during project events. (about 700 000 people covered. Total rotation of energy efficient lighting video on TV and project events was the folloing: from 2013-2014 – 600,000 people and from 2014-2015 – 170,000 people.


Tag: Energy Environment Policy Effectiveness Communication Knowledge management Monitoring and Evaluation Awareness raising

18.

Indicator 3.1 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 data. Coverage of outreach campaigns, in terms of population.

The first End of project target “Outreach campaigns conducted, reaching 6.5 million citizens” is met as campaigns conducted has reached in total 6,790,000 people and this amount has surpassed the target set for end of project. The second End-of-project target “Fourty (40) 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” has been met. Rating for Outcome 3: Outcome 3 is rated as Satisfactory as the end-of-project targets were not only met but surpassed. There was a large variety of the activities related to public awareness raising and training for the energy managers and professionals.


Tag: Energy Environment Policy Waste management Awareness raising

19.

Indicator 3.1 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 data. Coverage of outreach campaigns, in terms of population.

The first End of project target “Outreach campaigns conducted, reaching 6.5 million citizens” is met as campaigns conducted has reached in total 6,790,000 people and this amount has surpassed the target set for end of project. The second End-of-project target “Fourty (40) 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” has been met. Rating for Outcome 3: Outcome 3 is rated as Satisfactory as the end-of-project targets were not only met but surpassed. There was a large variety of the activities related to public awareness raising and training for the energy managers and professionals.


Tag: Energy Environment Policy Waste management Awareness raising

20.

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

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

Delivery of the main planned outputs: Considering each stage of the project separately, the following results can be noted in the course of monitoring: as for the first stage of the project implementation, concidering period from 2013-2014, GHG emission reduction amounted to 11,460 tons of CO2 as for the following project activities during the mentione period: Schools: • Lighting audit was conducted in selected schools in 6 villages of Kazakhstan for LEDs and CFLs to be installed with financial and technical support of Kazakh private producers, • Lighting modernization to LED was performed in 24 classrooms in Central and Eastern Kazakhstan. Energy saving is 1,876 MWt/h, estimated 1,834 tons of CO2 emissions prevented. Together with UN Joint program of Mangistau and Kyzylorda and the regional akimats the lighting systems were upgraded in 4 schools with ES around 3,179 MW/h, preventing 3,053 tons CO2 emissions.


Tag: Emission Reduction Energy Environment Policy Global Environment Facility fund Government Cost-sharing Local Governance Partnership Programme/Project Design Project and Programme management Trade and Development

21.

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

Delivery of the main planned outputs

Replication is taken place in 14 regions of Kazakhstan, as well as in two major cities, Astana and Almaty, with dedicated funds allocated from the National Modernization Programme for Communal Infrastructure, National Energy Efficiency Programme, as well as from the local budgets for the total of over $31 million in the period of 2013-2016. Good level of replication has been recorded in Astana, East Kazakhstan, Aktau and Pavlodar oblasts. • Residential building: in Karaganda, within the UNDP/GEF Project “Energy efficient design and construction of residential buildings”. Energy saving – 841 MW/year, GHG emissions reduction – 780 tons ??2/year • Schools: SGP of UNDP/GEF in the context of the project «Green Pack for Caspian region as a tool for promotion of Energy Efficiency and Energy Saving technologies in schools of Caspian region of Kazakhstan (Aturau, Mangystau and Ural oblast)” promoted the EE lighting idea in the secondary schools in the Caspian region. Given that the western part of Kazakhstan was not covered by this stream of activities by 2013 the current project helped SGP with lighting audit (technical examination), facilitating the expansion of the coverage of the Green Pack project. In 2015-2016 in Astana 15 schools had its lighting modernized to LED for 24,4 million KZT. In the specified institutions, there were withdrawn mercury luminescent lamps, they were replaced with the LED lighting equipment.


Tag: Energy Environment Policy Effectiveness Impact Local Governance Health Sector Infrastructure

22.

Rating for Sustainability Criteria

Institutional frameworks and public administration risks for sustainable development Adoption of the Law “On energy saving and energy efficiency" (2012) stipulates a solid platform for a high probability of the ILs gradual phase-out. There are certain concerns related to the degree of conformity and quality of CFL and LED that shall replace ILs. In this case the project strategy regarding support of quality control system had been duly developed to enable the system to become sustainable through: development of standards; support in creation of testing laboratories network, elaboration of norms and regulations. Similarly, adoption of the revised construction and health norms related to EE lighting create incentives for sustainable development for further EE lighting products accelerated acceptance and use. The approach to training (training trainers) of energy auditors and people responsible for energy saving policy in all 14 regions of Kazakhstan who had held training in their regions for specialists in lighting, has also welldeveloped elements of sustainable development, including training of instructors, development of manuals for higher educational institutions and course in training programs of the Center of Energy Efficiency in housing and utilities.


Tag: Energy Environment Policy Challenges Sustainability National Public administration reform Rule of law Partnership

23.

Financial risks and sustainability

The main financial risks of sustainability are related to financial capacities of regional and local authorities (Akimats), also to lack of finance resources for manufacturers and large-scale consumers. This creates risk for continuation / pace of some activities currently supported within the GEF financing trend (for example, related to safe collection of mercury CFLs, street lighting). At the same time the adoption of the extended responsibilities of manufacturers and SPP mechanisms create an opportunity to eliminate barriers that prevent from financing energy saving and energy efficiency events by Akimats.


Tag: Energy Environment Policy Sustainability Global Environment Facility fund Resource mobilization

24.

Environmental risks and sustainability Before the lack of the centralized level system for strengthening the implementation of mercury lamps collection at the regional level and lower was aggravated with worsening financial position of Akimats, and also by the fact that there was functioning collection system and it caused environmental and health risks related to uncontrolled disposal of mercury lamps. On January 1, 2016 the principles of extended responsibilities of manufacturers (importers) were accepted in the Republic of Kazakhstan and it has made the current system more sustainable: creation of a unified system of complex production wastes management, development of collection infrastructure, transportation, recycling, utilization, neutralization of production (goods) wastes, using the best available technologies. In this regard, in 2017-2018 in 9 regions it was planned to use 1276 containers for collection of mercury lamps for the amount more than 500 thousand US dollars.


Tag: Energy Environment Policy Waste management Sustainability Human and Financial resources Infrastructure Technology

25.

4.6 PROJECT IMPACT AND BENEFITS

Market transformation45 During the project period, in all of Kazakhstan’s 14 regional (oblast) administrations, oblast and municipal governments have invested a total of at least US $28 million in EE lighting upgrades on streets and in public buildings. Throughout the country, technologies demonstrated and promoted by the project, including LEDs and automated street lighting controls, have become the new “business as usual,” with municipalities and regional governments widely investing their own budget funds in EE lighting. Similarly, numerous major enterprises as well as high-profile buildings such as the country’s major monuments, concert halls, theaters, and libraries, have also widely made the transition to LED lamps. Market figures confirm the trends that one witnesses everywhere in Kazakhstan’s public and governmental sectors. Indeed, the whole lighting market in Kazakhstan has undergone a fundamental shift during the project period. The share of incandescent lamps in the total installed lighting stock has declined from 77 percent in early 2012 to below 26 percent by 2016, while the share of compact fluorescents has more than doubled over the same period (Table 9).


Tag: Impact Government Cost-sharing National Regional Local Governance Human and Financial resources Trade and Development

26.

4.6 PROJECT IMPACT AND BENEFITS

Market transformation45 During the project period, in all of Kazakhstan’s 14 regional (oblast) administrations, oblast and municipal governments have invested a total of at least US $28 million in EE lighting upgrades on streets and in public buildings. Throughout the country, technologies demonstrated and promoted by the project, including LEDs and automated street lighting controls, have become the new “business as usual,” with municipalities and regional governments widely investing their own budget funds in EE lighting. Similarly, numerous major enterprises as well as high-profile buildings such as the country’s major monuments, concert halls, theaters, and libraries, have also widely made the transition to LED lamps. Market figures confirm the trends that one witnesses everywhere in Kazakhstan’s public and governmental sectors. Indeed, the whole lighting market in Kazakhstan has undergone a fundamental shift during the project period. The share of incandescent lamps in the total installed lighting stock has declined from 77 percent in early 2012 to below 26 percent by 2016, while the share of compact fluorescents has more than doubled over the same period (Table 9).


Tag: Emission Reduction Waste management Impact Government Cost-sharing National Regional Local Governance Human and Financial resources Trade and Development Awareness raising

27.

4.7 OVERALL RATING OF PROJECT ACHIEVEMENTS

So, to summarize the clear majority of the End-of-project targets for the Indicators against and EEL project impact (above section 4.5 Rating of The Result Indicators and section 4.6 Project Impact and Benefits) it can be concluded that the main Objective of the EEL project were met. Therefore, an overall rating for extent of attainment of planned Objective is Satisfactory. Project implementation and adaptive management of EEL project is rated as Satisfactory on the basis that Implementing and Executing agencies have worked well together, serviced by a very competent PIU that has established effective working relations with key partners and more widely at Oblast and city levels. The project team has been persistent in working with the government, the private sector and NGOs that resulted in a high percentage of disbursed as well as additionally leverage co-financing by the midpoint in project implementation, despite the challenges.


Tag: Energy Effectiveness Implementation Modality Partnership Project and Programme management

Recommendations
1

UNDP CO should recommend the MFA RK the replication of EEL Project results in the Kazakhstan ODA recipient countries in Afghanistan, Tajikistan and Kyrgyzstan and involvement of GEF RBEC/RBAP and UNDP COs in respective countries to ensure smooth and successful replication process to achieve Climate Change Global benefits.

2

It is recommended that future project/s should pay more attention to the gender aspects in the design of activities. Professional training and public outreach should be designed with a special eye toward both gender equity and responsiveness to gender-specific issues. Outreach materials should portray both sexes and indeed also multiple generations as sharing responsibility for managing households, including and especially lighting, with efficient appliances playing a significant role in providing comfort and safeness while also limiting costs and health and environmental impact. It is also important to note mandatory Annex on gender mainstreaming analysis and action plan for future GEF projects. 

3

It is recommended to address gender dimensions of consumer preferences and household decision-making dynamics with market research, including both surveys and focus groups structured to allow for breakdowns by gender.

4

It is recommended to address low income and other barriers to purchase of EE items with high initial cost with targeted incentives to be delivered with the assistance of NGOs and local Akimats for the advancement of the welfare of low-income valnurable part of population.

5

UNDP CO should continue considering joining forces with UN agencies, international donors and Government stakeholders for promotion of changes in the budgeting codex/laws/regulations in the country which currently does not allow municipalities to allocate necessary finances for EE projects (including EE lighting) through ESCO mechanisms.

6

The certified laboratories should be properly equipped and completely functional with qualified technical staff

7

It is recommended to support establishment of a National Association of Producers of Energy Efficient Lamps and Appliances to insure sustainability in promotion of EE quality products available on Kazakhstani market.

8

. It is recommended to consider the above 1-8 recommendations for its inclusion in the new UNDPsupported GEF-financed Project on Energy Efficient Standards, Certification, and Labelling for Appliances and Equipment in Kazakhstan.

1. Recommendation:

UNDP CO should recommend the MFA RK the replication of EEL Project results in the Kazakhstan ODA recipient countries in Afghanistan, Tajikistan and Kyrgyzstan and involvement of GEF RBEC/RBAP and UNDP COs in respective countries to ensure smooth and successful replication process to achieve Climate Change Global benefits.

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

The recommendation is accepted.

Within the project on raising potential of the RK authorized body on establishing the system of the official development aid (ODA) and the KazAID ODA agency, the UNDP Country Office has developed a preliminary list of projects for project results replication for the countries officially receiving aid from Kazakhstan.  Project results on EEL promotion are also included into the list of projects for replication in Afghanistan, Tajikistan, and Kyrgyzstan.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Prepare a list of projects for the MFA RK, EEL project results are also included.
[Added: 2017/09/19]
UNDP CO 2017/05 Completed
2. Recommendation:

It is recommended that future project/s should pay more attention to the gender aspects in the design of activities. Professional training and public outreach should be designed with a special eye toward both gender equity and responsiveness to gender-specific issues. Outreach materials should portray both sexes and indeed also multiple generations as sharing responsibility for managing households, including and especially lighting, with efficient appliances playing a significant role in providing comfort and safeness while also limiting costs and health and environmental impact. It is also important to note mandatory Annex on gender mainstreaming analysis and action plan for future GEF projects. 

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

The new project “Standards, certification, and labelling of energy efficiency of electric domestic appliances and equipment in Kazakhstan” (2017-2022) has been given the gender marker 2. It means that one of the project subcomponents is focused on works related to gender equality. 

Key Actions:

Key Action Responsible DueDate Status Comments Documents
To consider gender strengthening in the new project with prior gender analysis
[Added: 2017/09/19]
Project staff 2017/05 Completed
3. Recommendation:

It is recommended to address gender dimensions of consumer preferences and household decision-making dynamics with market research, including both surveys and focus groups structured to allow for breakdowns by gender.

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

The sociological research regarding use of energy efficient technologies in households has been performed, that sociological research considered gender issue, including focus groups with gender breakdown.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
The research has been conducted
[Added: 2017/09/19]
Project staff 2017/05 Completed
4. Recommendation:

It is recommended to address low income and other barriers to purchase of EE items with high initial cost with targeted incentives to be delivered with the assistance of NGOs and local Akimats for the advancement of the welfare of low-income valnurable part of population.

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

In the new project together with the executive agency and the Ministry of labor and protection there will be followed recommendations to work with low income groups, to analyze barriers to purchase of EE items with high initial cost and address the targeted incentives to be delivered with the assistance of NGOs, local Akimats, etc. for the advancement of the welfare of women.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Discussion of exact activities and its inclusion into the project document into the inception period
[Added: 2017/09/19]
Project staff 2017/05 Completed
5. Recommendation:

UNDP CO should continue considering joining forces with UN agencies, international donors and Government stakeholders for promotion of changes in the budgeting codex/laws/regulations in the country which currently does not allow municipalities to allocate necessary finances for EE projects (including EE lighting) through ESCO mechanisms.

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

To follow this recommendation the new project provides measures to engage women leading in various regions in terms of awareness on energy expenses, energy efficiency, environment protection, and household responsibilities.  

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Within the new project during the inception period there will be activities involving works together with leader-women in various regions of Kazakhstan.
[Added: 2017/09/19]
UNDP CO staff 2017/08 Completed
6. Recommendation:

The certified laboratories should be properly equipped and completely functional with qualified technical staff

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

The UNDP Country Office and the RK Government (Ministry for investments and development RK) actively work on improving energy service contracts through State-Private Partnership mechanism: for collaboration of private business/investors with state under mutually beneficial terms with the defined and exact results of quality and quantity.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Elaboration of typical concepts for attraction investments to low carbon urban projects
[Added: 2017/09/19]
CO staff, Ministry of Investments and Development 2017/08 Completed
7. Recommendation:

It is recommended to support establishment of a National Association of Producers of Energy Efficient Lamps and Appliances to insure sustainability in promotion of EE quality products available on Kazakhstani market.

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

The executive agency together with business-structures is taking measures to establish a National Association of Producers of Energy Efficient Lamps and Appliances. LED System Ltd is the leader in this trend and it holds negotiations with the Russian Association of Producers for two countries cooperation.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
Constituent documents for the National Association of Producers are prepared
[Added: 2017/09/19]
Project staff 2017/05 Completed
8. Recommendation:

. It is recommended to consider the above 1-8 recommendations for its inclusion in the new UNDPsupported GEF-financed Project on Energy Efficient Standards, Certification, and Labelling for Appliances and Equipment in Kazakhstan.

Management Response: [Added: 2017/09/19] [Last Updated: 2021/02/04]

During the inception period, July-August 2017, there shall be considered inclusion of all the recommendations into the new project.

Key Actions:

Key Action Responsible DueDate Status Comments Documents
To consider the inclusion of all recommendations into new project on Energy Efficient Standards, Certification, and Labelling for Appliances and Equipment in Kazakhstan.
[Added: 2017/09/19]
CO staff 2017/09 Completed

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