ENERGY EFFICIENCY SERVICES LIMITED (A JV of PSUs of Ministry of Power, Govt. of India)

A-13, IWAI Building, 4th & 5th Floors, Sector-1,

NOIDA - 201 301.

CONTRACTS DEPARTMENT

INVITATION FOR EXPRESSION OF INVITATION EOI

For

“Notice (Expression of Interest) for Hiring a Consultant on Competitive Bidding basis to conduct the

Independent verification of the achievement of the Disbursement Linked Indicators necessary for the

World Bank to trigger disbursements”

EOI No..: EESL/06/EOI-ICB-Independent Verification Agent dated 13.12.2017.

EESL invites eligible Consulting Firms (“Consultants”) to indicate their interest in providing the Services.

Interested Consultants should provide information demonstrating that they have the required qualifications

and relevant experience to perform the Services. The EOIs should be duly supported by

a) Submission of brochures/ presentations showcasing experience in Energy & Environment sectors,

particularly in

a. Development of Verification and Monitoring protocol & framework for due

diligence of the EE project.

b. Reporting on stakeholder consultations /participant responses and feedback

survey on usefulness of stakeholder consultation.

c. Development of reporting templates and database management system.

d. Market sounding or Industry survey related to consumer behaviour for

special category of product, buying behaviour, etc.

e. Development of action plans and decision making tools.

b) Core business of the firm specifically indicating the business model (Commercial, Not-For-Profit,

NGO, etc.)

c) Educational and professional qualifications of key personnel

d) Experience of key personnel in above areas of expertise

e) Technical and managerial organization of the firm (including the number, location, and size of

establishments in India)

f) Turnover for the last 3 years of the firm submitting the EOI (or of each of the Joint Venture partners,

if the EOI is submitted as a Joint Venture), etc.

EOI DETAILS

Period during which the EOI document will

be available on website www.eeslindia.org

From 14.12.2017 to 08.01.2018 (1400 hrs. IST)

Closing date and time for receipt of EOI 08.01.2018 (upto 1430 hrs. IST)

Time and date of opening of EOI On 08.01.2018 (at 1500 hrs. IST)

Contact Person(s) for EOI related Queries Mr. Birendra Kumar Singh, Dy. Manager (Contracts)/

Prashant Kumar Yadav AM (F)

Energy Efficiency Services Ltd.

Tel.: 0120-4908000

E-mail: eproc@eesl.co.in

RfP to be addressed to & Place of receipt of

EOI

GM (C&BD)

Energy Efficiency Services Limited,

A-13,IWAI Building, 4th & 5th Floor,Sector-1,

NOIDA-201 301, U.P.

EOI through E-mail Bidder may also submit their EOI through e-mail at

following e-mail addresses before the last date & time for

receipt of EOI:

pkyadav@eesl.co.in; barora@eesl.co.in; eproc@eesl.co.in

Terms of Reference is Attached

1

TERMS OF REFERENCE

For an Independent Verification Agent to verify the Disbursement Linked Indicators (DLIs) of the

India Energy Efficiency Scale-Up Program (P162849)

I. BACKGROUND

Energy efficiency is critical for India to address the multiple challenges facing the power sector, moderate

demand growth, and meet its climate change goals. Maintaining India’s electricity supply-demand balance

while curbing thermal generation, and therefore Greenhouse Gas (GHG) emission growth, will require a

combination of investments in networks, additional clean energy generation capacity and energy efficiency

(EE). India’s energy savings potential is estimated to be 15-30 percent across all demand segments,

representing about INR 740 billion, with industry and residential sectors offering the highest saving

potential. However, energy efficiency in India faces financing, awareness, technical and capacity barriers.

Energy Efficiency Services Limited (EESL) was established in 2009 as a state-owned ESCO under MOP,

a joint venture between four Public Sector Utilities – National Thermal Power Corporation Limited

(NTPC), Rural Electrification Corporation Limited (REC), Power Finance Corporation Limited (PFC), and

Power Grid Corporation of India Limited (PGCIL). EESL’s central role started with its implementation of

the “Unnat Jyoti by Affordable LEDs for All” (UJALA) program, which involves Light Emitting Diode

(LED) lightbulbs to replace conventional lightbulbs. Currently, the Government envisages 770 million

lightbulbs in the residential sector will be replaced by LED lightbulbs by March 2019, corresponding to

estimated load reduction of 20,000 MW and an annual energy savings of over 100 million kWh. Similarly,

EESL is implementing the Street Lighting National Program (SLNP), with the Government’s goal to

replace 13.4 million conventional street lights with LEDs. EESL’s newer initiatives target previously

underserved market segments, such as energy efficient air conditioners, buildings energy efficiency, and

agricultural demand side management.

Through the India Energy Efficiency Scale-up Program (P162849), the World Bank is supporting EESL in

the implementation of its growing program covering priority initiatives with the objective of to scale-up

energy savings in residential and public sector and to strengthen EESL’s institutional capacity.

II. WORLD BANK OPERATION

World Bank’s Program-For-Results instrument

World Bank financing ([$220] million) is provided through the Program-For-Results (PforR) financing

instrument (which is accompanied by an [$80m] IBRD Guarantee). The PforR focuses on the achievement

of outputs and outcomes derived from the four Results Areas described below. Funds are disbursed to EESL

when certain Disbursement Linked Indicators (DLIs) are met, signaling progress towards the overall

objectives of each Results Area.1 With the PforR instrument, the proposed operation scale up energy savings

in residential and public sectors, strengthen EESL’s institutional capacity, and enhance its access to

commercial financing. The PforR would support:

(i) Under Results Area 1, on energy savings and EE market transformation in the residential

sector, providing financing to scale up EE delivery in the residential sector under UJALA, focusing

on EESL’s sales of LED light bulbs, tube lights, and ceiling fans;

1 Additional program documents, including the Program Appraisal Document can be found here.

2

(ii) Under Results Area 2, targeting energy savings and EE market transformation in public street

lighting, providing financing for scaling-up LEDs in public street lighting through EESL’s SNLP

program.

(iii) Under Results Area 3, development of sustainable business models in new EE market

segments, focusing on upstream program development support and incorporation of technical,

environmental and social sustainability elements in the design of new initiatives under development,

such as its Air Conditioning, Agricultural Demand Side Management, and Building Energy

Efficiency Programs, which require additional preparatory work to ensure sustainable scale-up.

(iv) Under Results Area 4, on EESL institutional strengthening for sustainable EE scale-up,

focusing on technical, managerial, procurement, environmental and social capacity and practices.

Disbursement Linked Indicators (DLIs)

The World Bank will disburse [$220 million] against the achievement of outputs and outcomes derived

from the results chain (see Program Appraisal Document <hyperlink to be added>). The PforR envisions

disbursements according to six DLIs under the four results areas described above. EESL is hiring a

consultancy to conduct the independent verification of the achievement of the DLIs which is necessary for

the World Bank to trigger disbursements of the PforR as per the DLI Matrix (in Annex 3 of the Program

Appraisal Document - PAD) . The DLIs are outlined below, with details presented in Annex 1 of the PAD.

(i) Results Area 1: Energy savings and EE market transformation in the residential sector

DLI 1: Number of LED bulbs and LED tube lights sold via EESL Program.

DLI 2: Number of energy efficient ceiling fans sold via EESL Program.

(ii) Results Area 2: Energy savings and EE market transformation in public street lighting

DLI 3: Number of LED street lights installed under SLNP.

(iii) Results Area 3: Development of sustainable business models in new EE market segments

DLI 4: EESL implementation of EE AC sustainability actions

DLI 5: EESL approval of business model for collaboration with private sector ESCOs in

the implementation of EESL Building EE activities

(iv) Results Area 4: Institutional strengthening for sustainable EE scale-up

DLI 6: Establishment of sustainable development unit and implementation of updated

environmental and health safety standards (EHSS) guidelines covering all EESL programs

under implementation

Verification Protocols

Achievement of DLIs will be verified [bi-annually/ annually] and verification results will form the basis

for requesting the trigger of disbursement. For scalable DLIs (i.e., DLIs 1, 2 and 3), payments will be made

in proportion to the achieved results for each period, provided they meet the minimum requirement, after

they have been verified. For non-scalable DLIs (i.e., DLIs 4, 5 and 6), the complete target must be achieved

to trigger the corresponding disbursement. The IVA will follow the verification protocols which are detailed

in the PAD (shown in Annex 2 of these ToRs).

III. SCOPE OF WORK

The scope of work for the Independent Verification Agent (IVA) will consist of carrying out independent

verification of the achievement of the DLIs based on the agreed Verification Protocol of each DLI and

producing a report for EESL, which will accompany each disbursement claim prepared by EESL and

3

submitted to the World Bank for the duration of the India Energy Efficiency Scale-up program (i.e., 5

years). The report will include the details of the verification procedures, as well as the results for each DLI

as follows:

(i) DLI 1: Number of LED bulbs and LED tube lights sold by EESL under UJALA program

(as specified in the DLI matrix included in the PAD and copied in Annex 3) : the verification

will be based on the EESL dashboard (http://www.ujala.gov.in and http://ledtubes.ujala.gov.in/)

and [sale receipts]. IVA will confirm quantities reported in EESL dashboard by verifying system

integrity of reporting of sales through the dashboard and random sampling of sales receipts (to be

conducted by IVA). Upon verification of the achievement of the DLI, the IVA will report to EESL

and the WB the confirmation of quantities of LED bulbs and LED tube lights sold via EESL

program, along with description of verification process followed (including how the system

integrity was verified, along with information on the random sampling) and if the threshold for

disbursement was achieved.

DLI 2: Number of energy efficient ceiling fans (BEE 5-star or above) sold by EESL under

UJALA program (as specified in the DLI matrix included in the PAD and copied in Annex

3): The verification will be based on the EESL dashboard (http://fan.ujala.gov.in/) and [sale

receipts]. IVA will confirm quantities in EESL dashboard by verifying system integrity of

reporting of sales through the dashboard and random sampling of sales (to be conducted by IVA).

Upon verification of the achievement of the DLI, the IVA will report to EESL and the WB the

confirmation of quantities of energy efficient fans sold via EESL program, along with description

of verification process followed (including how the system integrity was verified, along with

information on the random sampling), and if the threshold for disbursement was achieved.

(ii) DLI 3: Number of LED street lights installed under SNLP (as specified in the DLI matrix

included in the PAD and copied in Annex 3): The verification will be based on quantities in

the EESL dashboard and a confirmation of those quantities through by verifying system integrity

of reporting of sales through the dashboard and random sampling of [Implementation Completion

Certificate] issued by the municipalities (to be conducted by IVA), along with description of

verification process followed (including how the system integrity was verified, along with

information on the random sampling) Upon verification of the achievement of the DLI, the IVA

will report to EESL and the WB a confirmation of quantities of LED street lights installed under

SNLP and that threshold for disbursement (as specified in Annex 2) was achieved.

(iii) DLI 4: Implementation of EE AC Sustainability Actions (as specified in the DLI matrix

included in the PAD and copied in Annex 3): For the verification, IVA will request ESSL and

ESSL will provide to the IVA the following documents:

EESL Board meeting minutes, as certified by the Company Secretary, confirming

approval of decision on AC sustainable actions, including the list and description of the

AC sustainable actions;

consumer guide covering among others steps to take to ensure safe replacement and

disposal of refrigerants, along with information on buy-back options (where available);

data or source of information of efficient AC sold / distributed after the Board decision,

to be data source for the IVA verification;

reporting template for manufacturers on AC refrigerant disposal, along with EESL’s

standard AC bidding documents, or bidding documents for the last [2-3] procurement

tenders, for the IVA verification; and

Report on stakeholder consultations on sustainable efficient AC, including, inter alia, date

and location, agenda; material presented and/or distributed; list and contact details of

4

participants; and participant responses to feedback survey on usefulness of stakeholder

consultation.

Other information the IVA may consider necessary for the verification.

IVA to carry out the procedures and assessment to verify the following:

(1) EE AC sustainability actions plan was submitted to and approved by the [Board][management]

with the decision instructing implementation, and that the actions approved are consistent to those

in the DLI;

(2) the consumer guide has been completed and is being disseminated in packaging (description

of EESL’s dissemination process and verification through random sampling);

(3) final reporting template on disposal of AC refrigerant has been completed and it is being

included as a requirement in EESL’s AC bidding documents [in standard documents or at least in

the latest [[2]-[3]] bids; and

(4) EESL has carried out stakeholder consultation (including with at least [3] AC manufacturers

and [2] waste disposal agents) on safe refrigerant disposal through report which includes elements

outlined in the DLI. The IVA can contact or request confirmation and feedback directly from

participants selected randomly by IVA.

(5) Confirm posting on EESL website of EE AC sustainability actions, (plan) approved the

consumer guide and the standard reporting template, as described before in (1), (2) and (3)

(iv) DLI 5: EESL approval of business model for collaboration with private sector ESCOs in the

implementation of EESL Building EE activities (as specified in the DLI matrix included in

the PAD and copied in Annex 3): IVA to request EESL and ESSL will provide to the IVA the

following documents

EESL Board meeting minutes, as certified by the Company Secretary confirming

approval of business model, and the copy of the document approved;

copy of report on business model; and

EESL report describing consultation with private ESCOs) carried out by ESSL (including

date and location; material presented and/or distributed; list and contact details of

participants; key issues raised by participants; and participant responses to feedback

survey on stakeholder consultation).

Other information the IVA may consider necessary for the verification.

IVA to carry out the procedures and assessment to verify the following:

(1) confirm the development and approval by [Board][Management] of ESSL of report on

business model and that it is consistent with the requirements of DLI5;

(2) Confirm the consultations done by ESSL and summarize scope, participation, and feedback by

participants. The IVA can contact or request confirmation and feedback directly from participants

selected randomly by IVA

(5) Confirm posting on EESL website of approved EESL business model with private ESCOs

(v) DLI 6: Establishment of Sustainable Development unit and implementation of updated

EHSS guidelines covering all EESL programs under implementation (as specified in the DLI

matrix included in the PAD and copied in Annex 3): IVA to request EESL and ESSL will

provide to the IVA the following documents :

EESL Board meeting minutes, as certified by the Company Secretary confirming

establishment of the Sustainable Development units described in the PAD, along with

agreed ToRs, staffing plan and budget allocation to IVA, copy of TORs and organization.

5

Updated EHSS guidelines in place and applicable/adopted at the time of the verification,

and documentation confirming that it covers and applies to all EESL programs under

implementation

Description of dissemination carried out by EESL of the updated ESSA guidelines to (i)

EESL staff and (ii) to vendors. The IVA will carry out the verification by randomly

selecting a sample of EE staff and of Vendors included in the dissemination.

Report to EESL management on activities of Sustainable Development Unit and on

implementation of updated EHSS Guidelines, covering all EESL programs under

implementation, and documentation confirming it has been submitted to management.

IVA to carry out the procedures and assessment to verify the following:

Verify that the unit has been established, with TORs covering scope of work as outlined

in Environmental and Social Safeguards Assessment (ESSA) <hyperlink to be added>

Annex VII and acceptable to WB) and staffing plan approved; and budget confirmed,

reporting to Managing Director.

The updated EHSS guidelines cover all EESL programs under implementation and is

consistent with ESSA and its Annex VII).

The completion and submission to EESL management of a report on activities of

Sustainable Development unit and on implementation of updated EHSS.

IV. REPORTING

The IVA will produce and deliver [annual] [bi-annual] reports covering the scope described in the section

Scope of Work directly to EESL . Based on the DLIs set out in the Program Appraisal Document (and

described in the Annexes of these ToRs)2 and the relevant terms and conditions in the legal agreement

signed for the India EE Scale Up program, [EESL will review and submit comments [to seek corrections

for any unclarities, inaccuracies, misunderstandings or misinterpretations], if any, to the consultant] Final

reports will accompany EESL’s requests for triggering disbursement by the World Bank to EESL.

The IVA should produce reports from its independent verification and submit to EESL them by March 31

each year.

V. DELIVERABLES

A verification work plan for the duration of the India Energy Efficiency Scale-up Program that

specifies the type of work, verification methodology and procedures (including approach for robust

random sampling), information requirements, roles and responsibilities, and timelines. This will

be prepared and submitted to EESL within [1 month] for EESL’s review and agreement, following

the signature of the contract;

[Annual] [Bi-annual] verification reports of DLI achievements including description of verification

procedures submitted to EESL for inclusion in its subsequent request to the World Bank to trigger

associated disbursements

Indicative report outlines (with timelines) should be prepared and shared with EESL prior to

commencement of verification exercises.

2 It may be noted that the annexes provide the current version of the DLIs and verification protocols for reference

only. The consultant would be required to verify to the online version of the Program Appraisal Document at all

times. In the event of any discrepancy between the Annexes contained in these ToRs and the PAD, the consultant

shall rely on the information provided in the PAD.

6

VI. SUPPORT FROM EESL

Provision of related documents and/ or information as agreed, including PAD;

Facilitation of access to data sources and stakeholders, as necessary for verification.

The EESL contact for the verification work to be conducted by the selected IVA is [EESL to

provide name and coordinates of EESL staff that will manage the verification process]

VII. WORKING SCHEDULE

It will be finalized later.

Annex 1: Summary of Disbursement Linked Indicators

Disbursement-Linked Indicator Definition Amount

(US$ millions)

Results Area 1: Energy savings and EE market transformation in the residential

sector (50% of total, $110 million)

DLI1. Number of LED bulbs and tube

lights sold via EESL Program

Number of LED bulbs and tube lights sold by EESL under

UJALA program

$66 million

DLI2. Number of energy efficient

ceiling fans sold through EESL

program

Number of EE ceiling fans (BEE 5-star rating or above)

sold by EESL under UJALA program

$44 million

Results Area 2: Energy savings and EE market transformation in public street lighting (25% of total)

DLI3. Number of LED street lights

installed under SLNP

Number of street lights installed under SLNP $55 million

Results Area 3 : Development of sustainable business models in new EE market segments (10% of total, i.e.

$22 million)

DLI4. EESL implementation of EE AC

sustainability actions (RF)

EESL [Board][Management] adopts decision to implement

EE AC actions, including (i) dissemination of consumer

guide on safe refrigerant replacement and disposal and of

buy-back options (where available) through packaging of

EESL-procured AC; (ii) use of reporting template for

manufacturers on AC refrigerant disposal, including

Registered E-Waste Dismantler/Recycler’s verification (or

evidence) of disposal, in conformity with India’s

Environmental Protection Act to enable monitoring and

recording of AC disposal and recycling actions by

manufacturers participating in EESL bids; (iii) and

conducting stakeholder consultations on safe refrigerant

disposal with e-waste providers and AC stakeholders.

Decision is implemented.

$14 million

7

DLI5. EESL approval of business

model for collaboration with private

sector ESCOs in the implementation of

EESL Building EE activities

EESL [Board][management] approval of business model for

broadening service offering and private sector ESCO

partnerships under the Buildings EE Program, including (i)

description of partnership model(s) and range of energy

solutions that would be targeted; (ii) clarification of roles,

responsibilities and implementation risk sharing; (iii)

description of M&V method for EE in buildings; and (iv)

plan for consultations with private sector ESCOs

$8 million

Results Area 4 – Institutional strengthening for sustainable EE scale-up (15% of total)

DLI6. Establishment of sustainable

development unit and adoption of

updated EHSS guidelines covering all

EESL programs under implementation

Establishment of EESL unit in charge of environmental and

social sustainability and EESL adoption of updated EHSS

guidelines covering all EESL programs under

implementation. The unit should (i) be set up based on agreed

TOR (as per work scope in Annex VII of ESSA and

acceptable to WB); (ii) be resourced with budget and

dedicated full-time qualified staff; and (iii) have direct

reporting to EESL’s Managing Director. Update of EHSS

guidelines covering all EESL programs under

implementation and delivery of management report on

implementation of the updated EHSS guidelines.

$33 million

Annex 2: Verification Protocol

# DLI Definition/

Description of

achievement

Scalability of

Disbursemen

ts

(Yes/No)

Protocol to evaluate achievement of the DLI and data/result

verification

Data source/agency Verification

Entity

Procedure

1 Number of

LED bulbs

and LED tube

lights sold via

EESL

program

Number of LED

bulbs and LED tube

lights sold by EESL

under UJALA

program.

Yes EESL Dashboard (

http://www.ujala.gov.

in) and sales receipts

independent

verification

agent (IVA)

IVA to confirm

quantities in EESL

dashboard through

random sampling.

IVA to send WB a

confirmation of

quantities of LED

bulbs and LED tube

lights sold via EESL

program and that

minimum number

for disbursement (in

table above) was

achieved.

2 Number of

energy

efficient

ceiling fans

sold via EESL

program

Number of energy

efficient ceiling fans

(BEE 5-star or

above) sold by

EESL under

UJALA program

Yes EESL Dashboard

(http://slnp.eeslindia.o

rg/) and sales receipts

independent

verification

agent (IVA)

IVA to confirm

quantities in EESL

dashboard through

random sampling.

IVA to send WB a

confirmation of

quantities of energy

efficient fans sold

via EESL program

and that minimum

number for

disbursement (in

table above) was

achieved.

3 Number of

LED street

lights installed

under SLNP

Number of EESL

street lights installed

under SNLP

Yes Dashboard and

contracts with ULBs

[and State rural

departments] and

Independent

verification

agent

IVA to confirm

quantities in EESL

dashboard through

random sampling.

IVA to send WB a

8

# DLI Definition/

Description of

achievement

Scalability of

Disbursemen

ts

(Yes/No)

Protocol to evaluate achievement of the DLI and data/result

verification

Data source/agency Verification

Entity

Procedure

contractors installing

street lights

confirmation of

quantities of LED

street lights installed

under SNLP and

that minimum

number for

disbursement (in

table above) was

achieved.

4 Implementatio

n of EE AC

sustainability

actions

EESL

[Board][managemen

t] approves decision

to implement EE AC

sustainable actions

and communicates

them on EESL

website, including,

(i) dissemination of

consumer guide on

safe refrigerant

replacement and

disposal and of buy-

back options (where

available) through

packaging of EESL-

procured AC; (ii)

use of reporting

template for

manufacturers on

AC refrigerant

disposal, including

Registered E-Waste

Dismantler/Recycler

’s verification (or

evidence) of

disposal, in

conformity with

India’s

Environmental

Protection Act to

enable monitoring

and recording of AC

disposal and

recycling actions by

manufacturers

participating in

EESL bids; and (iii)

consultations on safe

refrigerant disposal

with e-waste

providers and AC

stakeholders

(including at least

[3] AC

manufacturers and

[2] waste disposal

agents)

No [EESL Board meeting

minutes, as certified

by the Company

Secretary]; final

consumer guide;

random sample of

EESL ACs (to

confirm inclusion of

consumer guide);

final reporting

template; and EESL

AC bidding document

including reference to

use of template;

report from

consultations on safe

refrigerant disposal

Independent

verification

agent (IVA)

EESL submits to

IVA EESL Board

meeting minutes, as

certified by the

Company Secretary

confirming approval

of decision on AC

sustainable actions;

and the following

documentation: (i)

consumer guide

(including steps to

take to ensure safe

replacement and

disposal of

refrigerants, along

with information on

buy-back options

(where available)

and evidence of

inclusion of guide in

AC packaging from

random sample of

EESL ACs; (ii)

reporting template

for manufacturers

on AC refrigerant

disposal, along with

evidence of its

reference in EESL’s

AC bidding

documents; and (iii)

Report on

stakeholder

consultations,

including, inter alia,

date and location,

agenda; material

presented and/or

distributed; list and

contact details of

participants; and

participant

responses to

feedback survey on

usefulness of

stakeholder

consultation.

9

# DLI Definition/

Description of

achievement

Scalability of

Disbursemen

ts

(Yes/No)

Protocol to evaluate achievement of the DLI and data/result

verification

Data source/agency Verification

Entity

Procedure

IVA to confirm (1)

evidence of

[Board][managemen

t] decision; (2)

completion and

dissemination of

consumer guide in

packaging (through

random sampling);

(3) final template

and its reference in

EESL’s AC bidding

documents;

and (4) EESL’s

stakeholder

consultation on safe

refrigerant disposal

through report

which includes

elements outlined

above in (iii). IVA

to confirm posting

of (i); (i); and (iii)

on EESL website.

5 EESL

approval of

business

model for

collaboration

with private

sector ESCOs

in the

implementatio

n of EESL

Building EE

activities

EESL [Board]

[management]

approval of business

model for

broadening service

offering and private

sector ESCO

partnerships under

the Buildings EE

Program, including

(i) description of

partnership model(s)

and range of energy

solutions that would

be targeted; (ii)

clarification of

roles,

responsibilities and

implementation risk

sharing; (iii)

description of M&V

method for EE in

buildings; and (iv)

plan for

consultations with

private sector

ESCOs

EESL publishes

report on business

model for

broadening service

offering and private

sector ESCO

No EESL Board meeting

minutes, as certified

by the Company

Secretary; report

outlining business

model for

collaboration with

private sector ESCOs

in implementation of

EESL Building EE

activities; EESL

website

Independent

verification

agent

EESL submits to

IVA (i) EESL Board

meeting minutes, as

certified by the

Company Secretary

confirming approval

of business model;

(ii) copy of report

on business model;

and (iii) report on

consultation with

private sector

ESCOs (including

date and location;

material presented

and/or distributed;

list and contact

details of

participants; key

issues raised by

participants; and

participant

responses to

feedback survey on

stakeholder

consultation. IVA

to confirm

development of

report on business

model which

includes required

elements [and is

published on EESL

website];

10

# DLI Definition/

Description of

achievement

Scalability of

Disbursemen

ts

(Yes/No)

Protocol to evaluate achievement of the DLI and data/result

verification

Data source/agency Verification

Entity

Procedure

partnerships under

the Buildings EE

Program on

business model

containing elements

(i), (ii), (iii) and (iv)

on EESL website.

EESL conducts and

reports on

consultation (agenda

acceptable to WB)

with [at least [10]]

private sector

ESCOs.

completion of report

consultations with

private sector

ESCOs which

includes elements

specified in this

table.

6 Establishment

of Sustainable

Development

unit and

implementatio

n of updated

EHSS

guidelines

covering all

EESL

programs

under

implementatio

n

(1) EESL Board approval of

establishment of

Sustainable Development Unit; (2)

update of EHSS (Environmental,

Health, Social and

Safety) Guidelines to cover all EESL

programs under

implementation and (3) completion and

delivery of

management report on implementation of

updated EHSS

Guidelines.

The unit shall (i) have

direct reporting to EESL’s Managing

Director; (ii) be

resourced with budget and dedicated full-time

qualified staff (i.e., by

professionals of relevant academic and

professional

experience, such as environmental,

engineering/ sciences,

environmental law, social development

and community

outreach); and (iii) approved TOR (as per

the ESSA and its

Annex VII, and acceptable to WB)

which include, inter

alia:

- Continuous

Update of EHSS

Guidelines and

Manuals to (i)

ensure full

No (1) EESL Board

meeting minutes, as

certified by the

Company Secretary

providing evidence of

approval of unit,

along with staffing

plan; mandate; budget

and approved ToRs;

(2) Updated EHSS

guidelines covering

all EESL programs

under

implementation; and

(3) Management

report on activities of

Sustainable

Development Unit

implementation of

updated EHSS

guidelines.

Independent

verification

agent (IVA)

EESL to submit

EESL Board

meeting minutes, as

certified by the

Company Secretary

confirming

establishment of

unit, along with

agreed ToRs,

staffing plan and

budget allocation to

IVA. IVA to

confirm that unit has

been established,

with TORs covering

scope of work as

outlined in ESSA

Annex VII and

acceptable to WB)

and staffing plan

approved; and

budget confirmed,

reporting to

Managing Director.

EESL to submit

updated EHSS

guidelines (covering

all EESL programs

under

implementation) to

IVA. IVA to

confirm updated

EHSS guidelines

cover all EESL

programs under

implementation

(consistent with

ESSA and its Annex

VII). IVA to

confirm

dissemination of

11

# DLI Definition/

Description of

achievement

Scalability of

Disbursemen

ts

(Yes/No)

Protocol to evaluate achievement of the DLI and data/result

verification

Data source/agency Verification

Entity

Procedure

coverage of

programs carried

out by EESL; and (ii) cover all

environmental

and social risks and mitigation

plans for all

EESL programs under

implementation

- Development of

EHSS training

and capacity

building for

EESL staff and contractors

- Monitoring of

EHSS guidelines, and preparation

of bi-annual

management report on

implementation

of EHSS Guidelines

-The Updated EHSS guidelines (as

specified above) shall

cover all EESL

programs under

implementation3 and

be well disseminated among all EESL staff

and vendors - report to EESL

management on

activities of Sustainable

Development Unit and

implementation of updated EHSS

guidelines (including

implementation performance,

strengths, weaknesses,

as per Annex VII of

ESSA) covering all

EESL programs under

implementation.

updated ESSA

guidelines to EESL

staff and vendors

through random

sampling.

EESL to submit to

IVA Management

report on

implementation

report of updated

EHSS Guidelines,

covering all EESL

programs under

implementation.

IVA to confirm

report submitted to

EESL management

and covers, inter

alia, implementation

performance,

strengths,

weaknesses (as per

Annex VII of

ESSA) for all EESL

programs under

implementation.

3 An EESL program is deemed “under implementation” once it reaches a minimum of either (i) 5 projects (a project

is defined as one procurement and sale/ installation cycle for any appliance) completed; or (ii) cumulative program

investment of USD 30 million as of the year preceding the publication of the updated EHSS guidelines

12

Annex 3. Disbursement-Linked Indicator Matrix [numbers in brackets are indicative and not

final] 4

Total

Financing

Allocated

to DLI

As % of

Total

Financin

g Amount

DLI

Baselin

e

(3/31/20

17)

Indicative timeline for DLI achievement

Year or

Period 1

(3/31/201

8)

Year or

Period 2

(3/31/201

9

Year or

Period 3

(3/31/202

0)

Year or

Period 4

(3/31/202

1)

Year or

Period 5

(3/31/202

2

DLI 1 - Number of

LED bulbs and tube

lights sold via EESL

program

[DLI quantities are

based on 75% of

EESL targets, as

communicated

11/30/2017, i.e. 274

million bulbs and

tube lights]

[216]

million

[71]

million

[79]

million

[79]

million

[41]

million

[4

million]

Allocated amount:

[$[0.24] per LED

bulb or tube light]

for up to 274 million

LED bulbs and tube

lights.

[Disbursements

possible for

minimum of 50% of

yearly target up to

total of 25% above

yearly target]

[$66

million]

[30%] [$17.1]

million

[$19]

million

[$19]

million

[$9.9]

million

[$1.0]

million

DLI 2 - Number of

energy efficient

ceiling fans sold via

EESL program

[DLI quantities

based on 75% of

EESL target, as

communicated

11/30/2017, i.e. 7.2

million EE fans]

[0.59]

million

[1.1]

million

[1.5]

million

[1.65]

million

[1.5]

million

[1.5

million]

Allocated amount:

[$[3.01] per fan] for

up to 7.3 million EE

fans [Disbursements

possible for

minimum of 50% of

yearly fan target up

to total of 25% above

yearly target]

[$22

million]

[10%] [$3.4]

million

[$4.5]

million

[$5.0]

million

[$4.5]

million

[$4.5]

million

4 Consultant is advised to check information provided in this Annex with the PAD. In the event of any discrepancy,

the consultant should rely on the PAD.

13

Total

Financing

Allocated

to DLI

As % of

Total

Financin

g Amount

DLI

Baselin

e

(3/31/20

17)

Indicative timeline for DLI achievement

Year or

Period 1

(3/31/201

8)

Year or

Period 2

(3/31/201

9

Year or

Period 3

(3/31/202

0)

Year or

Period 4

(3/31/202

1)

Year or

Period 5

(3/31/202

2

DLI 3 - Number of

LED street lights

installed under SLNP

[DLI quantities

based on 75% of

EESL target, as

communicated

11/30/2017, i.e. 9

million street lights]

[2]

million

[2.3]

million

[2.2]

million

[2.2]

million

[1.9]

million

[0.4]

million

Allocated amount:

[$[8.56] per street

light] for up to 9

million street lights

[Disbursements

possible for

minimum of 50% of

yearly street light

target up to total of

25% above yearly

target]

[$77

million]

[35%] [$19.25]

million

[$19.25]

million

[$19.25]

million

[$16.04]

million

[$3.21]

million

DLI 4 - EESL

implementation of

EE AC

sustainability

actions

No

decision

Decision

adopted

Impleme

ntation of

EE AC

sustainab

ility

actions

Allocated amount: [$14

million]

[6.4%] [$7]

million

[$7]

million

DLI5 EESL

approval of business

model for

collaboration with

private sector ESCOs

in the

implementation of

EESL Building EE

activities

No

approve

d

business

model

Approval

of

business

model

Allocated amount: [$8 million] [3.6%] [$8]

million

DLI 6 –

Establishment of

Sustainable

Development unit

and implementation

of updated EHSS

Guidelines covering

all EESL programs

under

implementation

No env

and

social

unit;

EHSS

guidelin

es not

updated

(for new

program

s)

Board

approval

of new

unit

(ToRs and

staffing

plan)

updated

EHSS

guideline

s, incl all

EESL

programs under

implementation

Report

delivered

to

managem

ent on

activities

of SD

unit and

on

impleme

ntation of

EHSS

14

Total

Financing

Allocated

to DLI

As % of

Total

Financin

g Amount

DLI

Baselin

e

(3/31/20

17)

Indicative timeline for DLI achievement

Year or

Period 1

(3/31/201

8)

Year or

Period 2

(3/31/201

9

Year or

Period 3

(3/31/202

0)

Year or

Period 4

(3/31/202

1)

Year or

Period 5

(3/31/202

2

Allocated amount [$33

million]

[15%] [$14]

million

[$14]

million

[5

million]

TOTAL

AMOUNTS

$220,000,0

00

100% [$60.75]

million

[$64.82]

million

[$50.27]

million

[$35.45]

million

[$8.7]

million