VPA Validation Report

Transcription

1 VPA Validation Report TITLE OF VPA Solar Lighting in Rural Ethiopia - VPA 1 TITLE OF THE GS VPOA TO WHICH VPA IS TO BE INCLUDED: GS-911: SOLAR LIGHTING IN RURAL ETHIOPIA VPOA REPORT NO July 2012 TÜV SÜD Industrie Service GmbH Carbon Management Service Westendstr Munich GERMANY

2 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 1 of 25 Report No. Date of first issue Revision No. Revision Date Certificate No Subject: Validation of the VPA Solar Lighting in Rural Ethiopia - VPA 1 under the GS VPoA Solar Lighting in Rural Ethiopia VPoA Accredited TÜV SÜD Unit: TÜV SÜD Industrie Service GmbH Certification Body climate and energy Westendstr Munich Germany Managing Entity: Stiftung Solarenergie Solar Energy Foundation Josefstrasse Zürich, Switzerland Project Site(s): Federal Democratic Republic of Ethiopia: TÜV SÜD Contract Partner: TÜV SÜD Industrie Service GmbH Carbon Management Service Westendstr Munich Germany VPA Implementer: Stiftung Solarenergie Solar Energy Foundation Josefstrasse Zürich, Switzerland East West South North Longitude N(07) (58.466)' N(07) (56.260)' N(03) (27.514)' N(14) (52.791)' Latitude E(47) (59.353)' E(33) (02.906)' E(39) (33.581)' E(37) (55.564)' The VPA constitutes the establishment of 11 Solar Centers in Ethiopia in the following locations. The Solar Centers coordinates are the followings: Minjar N(08) (44.818)'/E(39) (08.755)' Yirgalem N(07) (10.401)'/E(37) (20.607)' Gumer N(07) (56.410)'/E(38) (04.086)' Wolkite N(08) (16.912)'/E(37) (46.696)' Awassa N(07) (02.816) /E(38) (28.726) Sodo N(06) (50.878)'/E(37) (45.707)' Woliso N(08) (44.925)'/E(39) (21.400)' Borena N(05) (29.469)'/E(38) (36.703)' Bedele N(08) (19.094)'/E(36) (18.568) Alicho-Woriro N(08) (58.114)'/E(38) (43.308)' Humera N(14) (17.248)'/E(36) (36.365)' The below mentioned coordinates are the extreme corner points of all the Solar Centers, except Humera: N(08) (20.532)'/E(33) (58.389)' N(03) (36.500)'/E(38) (36.175)' N(08) (45.923)'/E(41) (38.046)' N(12) (32.187)'/E(38) (55.578)'

3 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 2 of 25 As Humera is at the extreme north of the map, close to the frontier, Humera is considered separately. N(12) (02.238)'/E(36) (33.303)' N(14) (18.478)'/E(38) (55.123)' Applied Methodology / Version: AMS.I.A / Ver. 14 Scope(s): 1 Technical Area(s): 1.2 First VPA -DD Version: Date of issuance: Version No.: 01 Publication date at TÜV SÜD website: Estimated Annual Average Emission Reduction: Assessment Team Leader: Katrin Hartmann Assessment Team Members: Johann Thaler Eswar Murty Final VPA-DD version: Date of issuance: Version No.: 04 Final Passport version: Date of issuance: Version No: 04 16,901 tco 2 e Technical Reviewer: Nikunj Agarwal Responsible Certification Body Member: Thomas Kleiser Summary of the Validation Opinion: The review of the VPA design documentation and the subsequent follow-up interviews have provided TÜV SÜD with sufficient evidence for the determination of the VPA s fulfilment of all stated criteria. In our opinion, the VPA meets all relevant Gold Standard requirements. Therefore, TÜV SÜD recommends the VPA for inclusion under the VPoA by the Gold Standard Foundation. The review of the VPA design documentation and the subsequent follow-up interviews have not provided TÜV SÜD with sufficient evidence for the determination of the VPA s fulfilment of all stated criteria. Therefore, TÜV SÜD will not recommend the VPA for inclusion under the VPoA by the Gold Standard Foundation and will inform the project participants and the Gold Standard Foundation of this decision.

4 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 3 of 25 Abbreviations AMS BM CAR CDM CM CME CMP CR / CL DNA DOE EF EIA / EA ER FAR GHG GS GS TAC IPCC IRL KP MP NGO NPV OM PIP PP SEF TÜV SÜD UNFCCC VPA VPA-DD VPoA VPoA DD VVM VER Approved Methodology Small Scale Build Margin Corrective Action Request Clean Development Mechanism Combined Margin Coordinating Managing Entity Conference of the Parties serving as the Meeting of the Parties to the Kyoto Protocol Clarification Request Designated National Authority Designated Operational Entity Emission Factor Environmental Impact Assessment / Environmental Assessment Emission Reduction Forward Action Request GreenHouse Gas(es) Gold Standard Gold Standard Technical Advisory Committee Intergovernmental Panel on Climate Change Information Reference List Kyoto Protocol Monitoring Plan Non Governmental Organisation Net Present Value Operating Margin Project Implementing Partner Project Participant Solar Energy Foundation TÜV SÜD Industrie Service GmbH United Nations Framework Convention on Climate Change Voluntary Project Activity Voluntary Project Activity Design Document Voluntary Programme of Activities Voluntary Programme of Activities Design Document Validation and Verification Manual Verified Emission Reductions / Voluntary Emission Reduction

5 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 4 of 25 Table of Contents Page 1 INTRODUCTION Objective Scope METHODOLOGY Appointment of the Assessment Team Review of Documents Follow-up Interviews Cross-check Resolution of Clarification and Corrective Action Requests Internal Quality Control VALIDATION FINDINGS VPA Design Documents VPA Description Eligibility Criteria Additionality Emission Reductions Monitoring Plan Stakeholder Consultation Environmental Analysis VALIDATION OPINION Annex 1: Validation Protocol Annex 2: Information Reference List Annex 3: Appointment Certificates

6 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 5 of 25 1 INTRODUCTION 1.1 Objective The objective of the validation process is to provide an independent assessment by a third party, a Designated Operational Entity (DOE), of the evaluation of the Voluntary Project Activity (VPA), based on Voluntary Programme of Activities (VPoA) design, and criteria outlined for VPA inclusion under the Gold Standard of Gold Standard Technical Advisory Committee (GS-TAC). The assessment involves the evaluation of the VPA basis and design identified in the VPoA Design Document (VPoA-DD) and the template VPA design document (VPA-DD) using the defined criteria outlined by the registration under the Gold Standard. VPA validation is part of the VPoA project cycle and results in a conclusion by the executing DOE on whether or not a VPA is valid to be included under the VPoA. This validation and inclusion is for the first completed Voluntary Project Activity Design document (VPA -DD) titled: Solar Lighting in Rural Ethiopia - VPA 1 to be included under the VPoA titled: Solar Lighting in Rural Ethiopia VPoA 1.2 Scope The scope of any assessment is defined by the underlying legislation, regulation and guidance given by relevant entities or authorities. In the case of VPA, the scope is set by: The Gold Standard Technical Advisory Committee (GS-TAC) Guidance and decisions provided by GS-TAC GS v2.1 Requirements The Kyoto Protocol, in particular 12 and modalities and procedures for the CDM Decision 2/CMP1 and Decision 3/CMP.1 (Marrakech Accords) Further COP/MOP decisions with reference to the CDM (e.g. decisions 4 8/CMP.1) Decisions and specific guidance outlined by the EB which are published der Guidelines for Completing the VPoA Design Document (VPoA-PDD), voluntary project of activities template and design document (VPA-DD) and the applied CDM methodology including the sections especially dedicated to VPoA Registration of a programme of activities as a single CDM project activity and issuance of CERs for a PoA Version 4.1 (Annex 38 of EB55) Management systems and auditing methods Environmental issues relevant to the applicable sectoral scope Applicable environmental and social impacts and aspects of VPA activity Sector specific technologies and their applications Current technical and operational knowledge of the specific sectoral scope and information on best practice The validation process is not meant to provide any form of consulting for the VPoA project participant(s) (PP) and VPA Implementer(s). However, stated requests for clarifications, corrective actions, and/or forward actions may provide input for improvement of the VPA design.

7 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 6 of 25 Since this is the first VPA-DD, TÜV SÜD receives the completed VPA-DD along with the VPoA-DD submitted for validation, and makes it publicly available on TÜV SÜD s website ( mode=4). Information on the first and the final VPoA-DD and VPA-DD version is presented on page 1 of this report. The purpose of validation is to scrutinize the information in the VPA-DD against the latest version of the VPoA and documentation requirements and, if consistency/integrity is confirmed include the proposed VPA(s) in the VPoA by forwarding the 1 st VPA -DD (generic and specific case) together with the VPoA-DD to GS-TAC.

8 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 7 of 25 2 METHODOLOGY The VPA assessment is based on the Clean Development Mechanism Validation and Verification Manual, version 1.2 Gold Standard Requirements v2.1 Gold Standard Toolkit and is conducted using standard auditing techniques to assess the correctness of the information provided by the project participant(s) and/or VPA implementer(s). Before the assessment begins, members of the team covering the technical scope(s), sectoral scope(s), and relevant host country experience for evaluating the VPA are appointed. Once the VPA documents are made available, members of the team carry out the desk review, follow-up actions, resolution of issues identified, and the preparation of the validation report. The prepared validation report and other supporting documents then undergo an internal quality control by the TÜV SÜD Certification Body CB Climate and Energy and if approved the VPA is submitted for inclusion to the GS-TAC. In order to ensure transparency, assumptions must be clear and stated explicitly and background material must also be referenced. TÜV SÜD has developed a methodology-specific protocol customized for the VPA. The protocol demonstrates, in a transparent manner, the VPA criteria (requirements), discussion on each criterion by the assessment team, and the results from validating the identified criteria. The validation protocol serves the following purposes: To organize the details and provision of clarifications on the requirements which a VPA-DD is expected to meet To elucidate how a particular requirement has been validated as well as to document the results of the validation and any adjustments made thereby to the VPA-DD. The validation protocol consists of three tables. The different columns in these tables are described in the tables below. Validation Protocol Table 1: Conformity of Voluntary Project Activity (VPA ) Checklist Topic / Question Reference Comments Draft Final The checklist is organised in sections following the arrangement of the applied VPA -DD version. Each section is then subdivided. The lowest level constitutes a checklist question / criterion. The section gives reference to documents in which the answer to the checklist question or item is found in case the comment refers to documents other than the VPA -DD. The section is used to elaborate and discuss the checklist question and/or the conformance to the question. It is used to explain the conclusions reached. In some cases sub-checklists are applied indicating yes/no decisions on the compliance with the stated criterion. Any Request has to be substantiated within this column. The section is used to present conclusions based on the assessment of the first VPA-DD version. The VPA-DD is either acceptable based on evidence provided () or a Corrective Action Request (CAR) is issued due to non-compliance with the checklist question (See below). Clarification Request (CR) is used when the validation team has identified a need for further clarification. Conclusions are presented in the same manner based on the assessment of the final VPA- DD version and further documents including assumptions presented in the documentation.

9 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 8 of 25 Validation Protocol Table 2: Resolution of Clarification and Corrective Action Requests Clarifications and corrective action requests Ref. to table 1 Summary of project owner response Validation team conclusion If the conclusions from table 1 are either a CAR or a CR, these should be listed in this section. Reference to checklist question no. in Table 1 where the issue is explained. The responses given by the project participants and/or VPA Implementer(s) during the communications with the validation team should be summarised in this section. This section should summarise the discussion on and revision to VPA- DD together with the validation team s responses and final conclusions. The conclusions should be reflected in Table 1, under Final. In case of a denial of the VPA detailed information on this decision will be presented in Table 3. Validation Protocol Table 3: Unresolved Corrective Action and Clarification Requests Clarifications and corrective action requests Referenced request if final conclusions from table 2 resulted in a denial. Id. of CAR/CR Identifier of the Request. Explanation of the Conclusion for Denial Detailed explanation of why the VPA is considered noncompliant with a criterion and a clear reference to the criterion The completed validation protocol is enclosed in Annex Appointment of the Assessment Team According to the technical scopes and experiences in the sectoral or national business environment, TÜV SÜD has composed a project team in accordance with the appointment rules of the TÜV SÜD certification body Climate and Energy. The composition of an assessment team has to be approved by the Certification Body (CB) to assure that the required skills are covered by the team. The CB TÜV SÜD operates four qualification levels for team members that are assigned by formal appointment rules: Assessment Team Leader (ATL) Validator (V) Validator Trainee (T) Expert (E) It is required that the sectoral scope(s) and the technical area(s) linked to the methodology and VPA have to be covered by the assessment team. The assessment team members are as follows: Name Qualification Coverage of sectoral scope Coverage of technical area Host country experience Coverage of Financial aspect Katrin Hartmann ATL - Eswar Murty V - Johann Thaler V - - Technical Reviewer: Nikunj Agarwal

10 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 9 of Review of Documents The completed VPA-DD for validation was submitted to the DOE in July TÜV SÜD published the project documents on TÜV SÜD s own website at the given link: mode=4 The additional background documents related to the VPA design and baseline have been reviewed to verify the correctness, credibility, and interpretation of the presented information. Furthermore, a cross-check between information provided and information from other sources has been done as an initial step of the validation process. A complete list of all documents and evidence material reviewed is attached as Annex 2 to this report. 2.3 Follow-up Interviews During the period to , TÜV SÜD performed interviews and physical site inspections with VPoA and VPA stakeholders to confirm relevant information, and to resolve issues identified in the document review. The following table provides a list of all key persons interviewed in this process. Name Worku Abebe Samson Tsegaye Yonas Workie Anteneh Samson Abraham Lencho Dereje Agonafir Birham Ayalew Azamach Aseefa Gima Koreso Arega Hewiso Endalkachew Kayuso Nebiyou Wolderufael Different households in different villages Organisation SEF, Financial Administrator SEF, Country Director SEF, Technical Director SEF, IT & Revolving Fund officer SEF, Technician EPA, Director EPA, Special Advisor Secretary, Woreda office, Bokaso Officer, Water & Energy, Bokaso Farmer (Stakeholder), Bokaso Politician, Bokaso SEF, Technician Stakeholders 2.4 Cross-check During the validation process the team has made reference to available information related to similar projects or technologies as the given GS VPA. VPA documentation has also been reviewed against the approved methodology applied to confirm the appropriateness of formulae and correctness of calculations. 2.5 Resolution of Clarification and Corrective Action Requests The objective of this phase of the validation is to resolve the requests for corrective actions, clarifications, and any other outstanding issues which need to be clarified for TÜV SÜD`s conclusion on the

11 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 10 of 25 VPA design. The CARs and CRs raised by TÜV SÜD are resolved during communication between the managing entity and TÜV SÜD. To guarantee the transparency of the validation process, the concerns raised and responses that have been given are documented in more detail in the validation protocol in Annex 1. The final VPA-DD version 04 that was submitted in June 2012 serves as the basis for the final assessment presented herewith. Additional changes to the VPA during the validation process are not considered to be significant with respect to the qualification of the project as a GS project. 2.6 Internal Quality Control Internal quality control is the final step of the validation process and is conducted by the CB Climate and Energy who checks the final documentation, which includes the validation report and annexes. The completion of the quality control indicates that each report submitted has been approved either by the head of the CB or the deputy. In projects where either the Head of the CB or his/her deputy is part of the assessment team, the approval is given by the one not serving on the project team. After confirmation by the Managing Entity and/or VPA Implementer(s) and/or PP, the validation opinion and relevant documents are submitted for inclusion under the VPoA to the GS TAC through the DOE access to the GS registry.

12 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 11 of 25 3 VALIDATION FINDINGS The assessment work and the main results are described below in accordance with the VVM reporting requirements and Gold Standard criteria. The reference documents indicated in this section and Annex 1 are stated in Annex VPA Design Documents The VPA-DDs (generic and specific case) are in compliance with relevant form and guidance as provided by GS and UNFCCC requirements under the VPoA. TÜV SÜD considers that the guidelines for the completion of the VPA documents in their most recent version have been followed. Relevant information was provided by the Managing Entity (which is at the same time the VPA implementer for the 1 st VPA) in the applicable VPA-DD sections. Completeness was assessed through the protocol included in Annex VPA Description The following description of the project activity as per VPA -DD was verified: The VPA is developed under the Small-Scale Programme of Activities (VPoA ) titled Solar Lighting in Rural Ethiopia VPoA. The VPA implementer is Solar Energy Foundation Switzerland (hereafter SEF) which is at the same time the CME for the VPoA and responsible for the overall implementation and coordination of the VPoA. The VPA aims to provide households in Ethiopia which have no access to the electricity grid, with solar PV lighting systems. Currently the prevalent form of lighting in rural Ethiopia is the use of kerosene lamps. The VPA will reduce emissions by replacing GHG emitting kerosene lamps with solar PV lighting systems. In order to distribute the solar lighting systems, so called Solar Centres will be established throughout Ethiopia. Solar Centres will manage the sale, distribution and installation as well as maintenance of the solar systems. Systems will be sold within a 250 km radius of each solar center. Future VPAs may overlap with this radius; however systems sold by future VPAs will be marked with a VPA identification code to prevent double counting and to show to which VPA a system belongs to. Besides, all systems to be implemented are labelled with the components serial numbers which are recorded in the database. For this 1 st VPA, it is expected to operate 11 solar centres with a target to sell around 100,000 solar lighting systems resulting in estimated annual average emission reductions of 16,901 tco 2 e during the 10 years crediting period. Depending on the type to be installed, systems are equipped with one to four LEDs and the solar modules have a capacity of 1.5 Wp, 2 Wp, 5 Wp or 10 Wp. One LED will reduce kg CO 2 per day as validated by the DOE through the ER excel calculation file (IRL 112). There are no mandatory policies or regulations for the adoption of solar lighting systems in households in Ethiopia. The proposed VPA is a voluntary action by the CME SEF. The same was confirmed based on a self-declaration submitted by the CME (SEF) (IRL 100), an on-site interview with the Environmental Protection Authority (the same time Ethiopian DNA) and the host country experience of the audit team (IRL 10). There is currently no direct public funding from Annex 1 Parties for this VPA as it was confirmed by the CME during the on-site interview. In the future the VPA may receive some support from donors, which may occasionally come from overseas development assistance (ODA). However, in line with Gold Standard guidelines,, the Official Development Assistance (ODA) received would not render the project activity ineligible for carbon crediting under the Gold Standard as such ODA would not be provided under the condition that the credits generated by the project activity would be transferred,

13 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 12 of 25 either directly or indirectly, to the donor country providing ODA support. The same is confirmed by a declaration signed by the CME (SEF) (IRL 99). The government of Ethiopia provides no funding for the programme. The starting date of this 1 st VPA is based on the upload date of the VPA LSC report to GS website (IRL 110). The length of the crediting period of the VPA is taken as 10 years. The VPA will not only lead to emission reductions, but also contribute in a significant manner to sustainable development in rural Ethiopian households in the following ways: Improved lighting conditions will allow children to study in the evenings. It also allows residents to work and run their businesses in the evenings. Improvement of indoor air quality. Kerosene lamps cause respiratory problems so the introduction of lighting from clean energy sources will improve the health of residents. New job opportunities are created for the employees both in the local Solar Centers and in the central office of the Solar Energy Foundation As per EB54, Annex 13, paragraph 10, it is clearly explained that the VPA of the VPoA is exempted from performing de-bundling check. The audit team has assessed from UNFCCC and GS websites and on-site interviews that there is no other similar PoA/VPoA or CDM project occuring in the VPA area. The information presented in the VPA documents is consistent with the actual planning and implementation of the activity confirmed in the following ways: A review and cross check of data and information (see annex 2). An on-site visit with relevant stakeholder and personnel with knowledge of the project in attendance. In case of doubt, further cross checks through additional interviews were conducted. A review of information related to similar projects or technologies which have been used if available to validate the accuracy and completeness of the project description. In conclusion, TÜV SÜD confirms that the VPA project description is sufficiently accurate and complete in order to comply with the requirements of the VPoA VPA boundary The VPA boundary was assessed considering information gathered from the physical site inspection, interviews, and secondary evidence received on the design of the VPoA. As per AMS-I.A, version 14 the physical, geographical site of the renewable energy generating unit and the equipment that uses the electricity produced delineates the project boundary. Thus, the project boundary is each household receiving a solar lighting kit consisting of a solar modul and LED lamp(s). The household will directly consume the electricity generated by the solar unit predominantly for lighting purposes. The sources and gases within the boundary have been considered in a clear manner. The CO 2 emissions from kerosene lamps have been included. TÜV SÜD confirms that the identified boundary, the selected sources, and gases as documented in the VPA-DD are justified for the project activity and are fully in line with the requirements set by the applied methodology.

14 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 13 of Eligibility Criteria All the eligibility criteria required for the inclusion of the VPA under the VPoA have been addressed in the VPA -DD. The stated confirmation against each eligibility criteria has been checked and found acceptable. The project activity installs solar home (lighting) systems that supply rural households with electricity. Compliance of this criterion has been validated by the DOE through field visits and interviews in villages with project stakeholders, SEF business plan for sustainable solar energy business in Ethiopia (IRL 23), samples of sales agreements with customers (IRL 25), technical specifications (sales) sheets of Suntransfer types ST1, ST2, ST5 and ST10 (IRL 33). The total capacity of the solar panels included in a VPA does not exceed 5 MW, according to EB 60, Annex 25, Guidelines for demonstrating additionality of micro-scale project activities. Compliance of this criterion has been validated by the DOE through emission reduction excel calculation sheet (IRL 112), supporting information about sales forecast (IRL 94) and a selfdeclaration signed by the CME (IRL 118). Solar technicians have undergone training in the installation and maintenance of solar systems at SEF s International Solar Energy School. Compliance of this criterion has been validated by the DOE through training certificates of technicians (IRL 30), participations lists of undergone training (IRL 76), on-site interviews with technicians and technical director (IRL 10). The project takes place within Federal Democratic Republic of Ethiopia which represents the project boundary. Only rural households that are not connected to the electricity grid can be included in a VPA. Compliance of this criterion has been validated by the DOE through on-site field visits and interviews in villages with project stakeholders (IRL 11), SEF business plan for sustainable solar energy business in Ethiopia (IRL 23), sales agreement template which mentions amongst others that the buyer has to confirm that he/she is not currently connected to the electricity grid and hence needs to install the solar home system for lighting purposes (IRL 120) and samples of sales agreements with customers (IRL 25). Measures are in place to recycle batteries. Solar technicians will collect the batteries or verify the same once they were informed by a household that the battery is defect or is not working. The collected batteries will be recycled locally or returned to the manufacturer. Compliance of this criterion has been validated by the DOE through template for maintenance and replacement activities (IRL 45) as well as visual inspection of the storage center in SEF Solar Valley (Addis Ababa) during on-site visit. The collected batteries will be recycled locally or returned to the manufacturer (as soon as sufficient batteries are collected that it is possible to fill up one ship container). The same was confirmed by SEF to the DOE during the on-site visit, The project activity is a voluntary action and not required by law. Compliance of this criterion has been validated by the DOE through an on-site interview with the Ethiopian DNA (IRL 10) and a self-declaration submitted by SEF to the DOE (IRL 100). All sales are recorded by Solar Centers and the records are sent periodically to the PIP. The sales record shall include: Household location (region, zone, Woreda 1 1 WOREDA is the Ethiopian equivalent of a county

15 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 14 of 25 /district/kebele 2 ), household identification number (depending on system type), client s name, system type and serial number, payment details, GPS data and Solar Centres. Compliance of this criterion has been validated by the DOE through SEF flowchart for revolving fund reporting procedures (IRL 41), template of sales and maintenance reporting (IRL 42), template of sales report (IRL 43), template for new system installation and inventory activity (IRL 44), sales records (IRL 119), check of the database during the on-site visit (IRL 95) and on-site interviews (IRL 10). Each VPA is uniquely identified and defined by way of the unique identification numbers (serial numbers) attached to each system s components to ensure that all VPAs under its VPoA are not developed under a different VPA/CPA or different project. -Components are labeled with a SEF logo so that they are easily recognized to belong to the proposed programme. -The database clearly indicates for each system the solar centre as well the respective VPA to which each system belongs to. -The same information as in the database - VPA number, Solar Center, system type, client name, household location, household identification number (depending on system) and component serial numbers - will be stated in a passport that will be given to each household participating in the programme. Compliance of this criterion has been validated by the DOE through field visits of households (IRL 11), self-declaration issued by CME (SEF) confirming that the VPA is neither registered as an individual VER/CDM project activity nor is part of another registered PoA/VPoA (IRL 98) and check of the database during the on-site visit (IRL 95), however see the following FAR. Forward Action Request No.1 (VPoA protocol) During on-site audit, the validation team has identified that the software of the central database is not configured yet in a way that it is able to allocate each household to a certain VPA. Besides, at households location site, no measures have been provided to clearly indicate to which VPA the household belongs to (e.g. the passport or household identification number (in case of ST-10) do not indicate the VPA to which the household belongs to). The verifying DOE has to ensure that appropriate measures will be undertaken from the 2 nd VPA inclusion on. All households joining the program cede the rights for carbon to the CME, SEF. Compliance of this criterion has been validated by the DOE through field visits and interviews of households (IRL 11) and carbon right transfer agreement (template) for systems ST-1, ST- 2 and ST-5 (IRL 49) and samples of sales agreement for ST-10 mentioning the carbon right transfer (IRL 25). None of the SHSs included in the VPA of the VPoA is larger than 1% of the 5 MW (threshold of guidelines for micro-scale project activities) and thus de-bundling will not be an issue. Compliance of this criterion has been validated by the DOE through technical specifications (sales) sheets of Suntransfer types ST1, ST2, ST5 and ST10 (IRL 33), on-site field visits checking implemented systems (IRL 11), check of database (IRL 95) and ER excel calculation spreadsheet (IRL 112). To be included in the VPoA,PIPs have to sign an agreement with the CME under which they acknowledge that they have signed up to the VPoA and are aware of all its 2 Kebele is the Ethiopian equivalent of a village

16 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 15 of 25 duties and tasks within the programme and project level including its eligibility criteria The PIPs have signed the Official Development Assistance Declaration. Compliance of this criterion has been validated by the DOE through the self-declaration of non-use of official development assistance signed by SEF (CME and PIP in the 1 st VPA) (IRL 99). Since the CME is the PIP of the 1 st VPA, the acknowledgement about signing up to the VPoA and duties and tasks including its eligibility criteria is not applicable in this case. In conclusion, TÜV SÜD confirms that the VPA complies with the eligibility criteria requirements of the VPoA. 3.4 Additionality Additionality has been determined at the VPoA level. However each VPA must comply with the following criteria defined in the Guidelines for demonstrating additionality of microscale project activities to be considered as additional: (1) Project activities up to 5 MW that employ renewable energy technology (2) The geographic location of the project activity is in one of the LDCs The compliance of these criteria is checked within the following eligibility criteria for each VPA: Criterion (1) by eligibility criterion 1: The project activity installs solar home (lighting) systems that supply rural households with electricity and eligibility criterion 2: The total capacity of the solar panels included in a VPA does not exceed 5 MW, according to EB 60, Annex 25, Guidelines for demonstrating additionality of micro-scale project activities. Criterion (2) by eligibility criterion 4: The project takes place within Federal Democratic Republic of Ethiopia the project boundary. Only rural households that are not connected to the electricity grid can be included in a VPA. As already shown in chapter 3.3., the VPA complies with all eligibility criteria including criteria 1,2 and 4. Based on the aforementioned approach, TÜV SÜD confirms that additionality can be appropriately demonstrated for this VPA. Based on the above, TÜV SÜD confirms the additionality of the VPA. 3.5 Emission Reductions Parameters determined ex-ante The parameters that are determined ex-ante are: LE i The nominal lumen output of solar lamps of system type i deployed as part of the project activity has been determined to be 93 lumen and was validated as per the manufacturer specifications (IRL 102) and Cree XLamp LEDs Data Sheet (IRL 20). LE ker The specific light output of kerosene when burnt in a hurricane kerosene lamp has been determined to be 45 lumen and was validated by IRL 16. h Average number of hours solar lamps are used per day has been determined to be 3.5 hours/day which is equivalent to the default value as per AMS-I.A., version 14. l ker Kerosene consumption of each kerosene lamp per hour has been determined to be l/hour and is according to the SSC WG Report on Consideration of Potential Fossil Fuel Lighting

17 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 16 of 25 Replacement Methodology a reasonable conservative approximation in lieu of superior local data (IRL 12). EF Ker CO2 emission factor of kerosene has been determined to be tco 2 /GJ which is equivalent to the 2006 IPCC guidelines value. NCV ker Calorific value of kerosene has been determined to be 43.8 TJ/Gg which is equivalent to the 2006 IPCC guidelines value. den ker Density of kerosene has been determined to be kg/l and could be validated by & (IRL 88). z value for a confidence level of 90% has been determined to be and is the commonly accepted value for a standard normal distribution. The same was crosschecked by IRL 113. In summary, the parameters determined ex-ante have been correctly presented according to the requirements of the applied methodology Emission reduction calculations The procedures provided in the methodology are correctly depicted in the VPA-DD and the template VPA-DD. It has been indicated that the equivalent level of lighting service is to be considered instead of energy (footnote 4 of AMS-I.A, version 14). Given the lumen output of one LED lamp is 2.07 times the lumen output of hurricane kerosene lamp, one LED lamp (93 lumen) is assumed to be installed instead of slightly more than two hurricane kerosene lamps (each 45 lumen). Even though the baseline consists of simple kerosene wick lamps (as explained above), the lumen output of LED lamps has been compared with the more conservative lumen output of hurricane kerosene wick lamps. The study of Evan Mills (Lawrence Berkeley National Laboratory): Technical and economic performance analysis of kerosene lamps and alternative approaches to illumination in developing countries (IRL 16) mentions a lumen (lu) output for simple kerosene wick lamps of 7.8 lu and for hurricane kerosene wick lamps of 45 lu. The more conservative value of 45 lu has been considered in the ER calculation. The lumen output of 93 lu of project LED solar lamps has been validated by IRL 102 together with IRL 20 as it was already explained in section of this report. The average daily operating hours have been fixed as 3.5 hours/day (default value as per the applied methodology AMS-I.A, version 14, paragraph 8 (c). IPCC 2006 default values have been applied for calorific value of kerosene (43.8 TJ/Gg) and CO 2 emission factor of kerosene ( tco 2 /GJ). The applied (fixed) value for density of kerosene ( kg/l) could be validated by the web-pages indicated in IRL 88. The project implementation schedule in the ER excel calculation spreadsheet (IRL 112) transparently demonstrates the dissemination of about 100,000 solar lighting systems for the 1 st VPA through 11 Solar Centres. The DOE checked the excel file and concludes that the assumptions and calculation are plausible. Ex-ante baseline emissions are calculated by option 3 (using equation 4) of the applied methodology AMS-I.A, version 14. However, the fuel consumption is not based on a trend-adjusted projection of historic fuel consumption data but on a default value of kerosene consumption per hour indicated in the SSC WG paper Consideration of potential fossil fuel lighting replacement methodology (EB25, Annex 13) (IRL 12). Page 4 of the paper mentions that Rates range from 0.01 to 0.10 liters per hour, with most products operating in the 0.02 to 0.04 range (i.e., the small/medium wick lamps and the kerosene lanterns A value of is a reasonable conservative approxima-

18 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 17 of 25 tion in lieu of superior local data. The DOE accepted the use of the default value of liters/hour due to the following reasons: there are no trend-adjusted historic fuel consumption data available in the LDC Ethiopia; almost all households use simple kerosene wick lamps without any (glass) cover in the baseline scenario. The same is confirmed by several published documents like - IFC/ Worldbank: Lighting Africa Market Assessment Results Quantitative Assessment Ethiopia (IRL 14), - Electrifying the poor: Highly economic off-grid PV systems in Ethiopia A basis for sustainable rural development (IRL 18) - Delft University of Technology: Renewable Energy Support Policy Options for sustainable development: Using the analytic hierarchy process: The case of rural Ethiopia (IRL 19) - The socio environmental impacts of solar home lighting project implementation, A case analysis of REMA solar home lighting project (IRL 15) The predominant use of simple kerosene wick lamps for lighting purposes in rural Ethiopian households could be further confirmed by the DOE during household field visits carried out at the time of on-site audit. The Guidelines on the consideration of suppressed demand in CDM methodologies (EB62, Annex 6) have not been applied however this can be accepted in the opinion of the DOE due to the following reasons: the minimum service level could have been calculated only with unreasonable burden as according to the knowledge of the DOE currently no national/international peer reviewed research or relevant studies nor benchmarks that take into account that emissions will rise to achieve the international/national development goals are available in the LDC Ethiopia; it can be assumed that in case a minimum service level would be available, this minimum service level would be less conservative than the approach chosen by the PPs in the ER calculation.. The formulae are correctly presented for the determination of ex-ante emission reductions. TÜV SÜD has assessed the calculations of emission reductions. Corresponding calculations have been carried out based on calculation spreadsheets. The parameters and equations presented in the VPA-DD, as well as other applicable documents, have been compared with the information and requirements presented in the methodology. An equation comparison has been made to ensure consistency between all the formulae presented in the VPoA-DD, template VPA-DD, VPA-DD (specific case), calculation files, methodology (AMS-I.A., version 14). The assumptions and data used to determine the emission reductions are listed in the VPA-DD and all the sources have been checked. Based on the information reviewed it is confirmed that the sources used are correctly quoted and interpreted in the VPA-DD. In summary, the calculation of emission reductions are considered correct and the baseline methodology has been applied correctly according to requirements. 3.6 Monitoring Plan The monitoring plan presented in the VPA-DD complies with the requirements of the VPoA-DD and applicable methodology. The assessment team has verified all parameters in the monitoring plan against the requirements of the methodology and no deviations have been found.

19 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 18 of 25 The procedures have been reviewed by the assessment team through document review and interviews with the relevant personnel. The information provided has allowed the assessment team to confirm that the proposed monitoring plan is feasible within the VPA project design. The relevant points of monitoring plan have been discussed with the VPoA managing entity. Specifically; these points include the monitoring methodology, data management, and the quality assurance and quality control procedures to be implemented in the context of the project. Therefore, the VPoA managing entity (CME is at the same time VPA implementer of the 1 st VPA) will be able to implement the monitoring plan and the achieved emission reductions can be reported ex-post and verified at VPA level. The parameters that are to be monitored ex-post are: N i,a The total number of solar lamps of system type i deployed in period a are recorded in the sales data base. Each VPA determines the representative sample size with minimum 90% confidence interval and 10% error margin. The sample size shall not be less than 100. d i,a,y Average number of days lamps of system type i that have been deployed in period a were operating in period v. In order to ensure that lamps are in operation for at least 180 days in the first and last year of the crediting period, the parameter is monitored by checking the implementation date, which is recorded in the central database, and interviewing the households of the selected sample groups whether the lamps have been operational since then. CF i,v,lfr Factor that corrects the total number of lamps of system type i by the share of these lamps that were found to be operational according to the sampling in period v. LFR i.v - Lamp Failure Rate (share of lamps of system type i in checked sample group g i,v not operational in period v) n i,v,total - Total amount of lamps of system type i checked that were found to be operational. In the monitoring period v for each system type i a random sub-group of at least 100 households according to the sample list SL i,v is contacted. Ex-post baseline emissions for each system type i are calculated as per the following formula considering the below mentioned steps: 1. Aggregated emission reduction calculation for groups of lamps (all lamps of the same type i sold in the same period form one group); 2. An adjustment parameter for operational time of continuously sold lamps; 3. For conservative approach, statistical correction factors for lamp failure rate will be applied. v 1 BE = ( N * d )* CF * LE * * h* l * EF * NCV * den CO2, y ia, iav,, ivlfr,, i ker ker ker ker a= 1 LEker The aforementioned formula is derived from equation (4) mentioned in paragraph 10 of AMS-I.A., version 14 which is explained in more detail in section E.6.2. of the VPoA-DD. The DOE through its sectoral expertise confirms that the formula is appropriate and plausible in the context of the project. Where: BE CO2, y Emissions in the baseline in year y; tco2 N i,a The total number of solar lamps of system type i deployed in period a

20 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 19 of 25 d i,a,y LE i LE ker h CF i,v,lfr l ker EF ker NCV ker den ker Average number of days lamps of system type i that have been deployed in period a were operating in period v; days Nominal lumen output of solar lamps of system type i deployed as part of the project activity; lumen The specific light output of kerosene when burned in a kerosene lamp; lumen Average number of hours solar lamps are used per day; hours This factor corrects the total number of lamps of system type i by the share of these lamps of the same system type i that were found to be operational according to the sampling in period v. The statistical error is included in this parameter (confidence level 90%) Kerosene consumption each kerosene lamp per hour; liter/hour CO2 emission factor of kerosene; tco 2 /GJ Calorific value of kerosene; TJ/Gg Density of kerosene; Kg/l The following formula describes the calculation of CF i,v,lfr, based on the LFR and the application of a 90% confidence level. CF i, v, LFR = 1 LFR i, v + z * LFR i, v * (1 LFR n i, v, total i, v ) Where: z for a confidence level of 90% LFR i.v n i,v,total Lamp Failure Rate - Share of lamps of system type i in checked sample group g i,v not operational in period v Total amount of lamps of system type i checked that were found to be operational The following formula describes the calculation of LFR i.v adopted from AMS-II.J (version 04), paragraph 14 3 : If y*x i <L i, LFR i,y =y*x i *(100 - R i ) /(100*L i ) If y*x i >=L i, LFR=1 3 The applied methodology AMS-I.A. does not mention the calculation for the LFR, thus the calculation was adopted from AMS-II.J., version 04.

21 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 20 of 25 Where: LFR i,y = Lamp Failure Rate for system type i in year y (fraction) L i = Rated average life for system type i: 30,000 hours (ST1/2/5) and 50,000 hours (ST10) as per the SHS specifications sheets (IRL 33) R i = % of lamps of system type i operating at the rated lifetime (default value of 50 as per AMS-II.J) X i = Number of operating hours per year for system type i (1,277.5 hours calculated as hours per day (3.5 hours) multiplied with 365 days/year) y = Counter for year The CME has opted to implement a verification system which consists of verification of each VPA (instead of sampling VPAs) in order to determine the emission reductions from each VPA. FAR 1 ensures that the central database managed by the CME includes data that can be directly attributed to each VPA within the VPoA, thereby allowing unambiguous determination of the emission reductions attributable to each VPA. Within each VPA, monitoring consists of a set of samples amongst all systems within the respective VPA in order to check whether the SHSs (lamps) are still operating or not. The sampling plan is defined as per the following: Sampling is carried out separately for each solar system type i. The 4 solar system types are: -SHS Sun Transfer 1 (1 LED lamp) -SHS Sun Transfer 2 (1 LED lamp) -SHS Sun Transfer 5 (3 LED lamps) -SHS Sun Transfer 10 (4 LED lamps) To ensure that all SHSs are fully operational, it has to be monitored whether the total numbers of lamps in each SHS of the different types are operational. During monitoring checks, system will be differentiated by type and therefore 4 sampling groups will be created to account for the different types of SHSs installed. The field measurement objective is to identify the total number of LEDs operational based on the number of SHSs installed. di,a,y: As the systems are installed gradually, the average number of days in the first year is set as 180 days; meanwhile, with the same reason, the average number of days in the last year is set as 180 days. All the years in between are considered at 365 days.in order to ensure that lamps are in operation for at least 180 days in the first and last year of the crediting period, the parameter is monitored by checking the implementation date, which is recorded in the central database, and interviewing the households of the selected sample groups whether the lamps have been operational since then. CF i,v,lfr : Once the number of solar lamps of system type i that are operational have been identified a correction factor is applied. This factor corrects the total number of lamps of system type i by the share of these lamps that were found to be operational according to the sampling in the monitoring period v. The statistical error is included in this parameter (confidence level 90). The correction factor is based on the Lamp Failure Rate LFR i,v : The LFR is the share of lamps of system type i in the 4 Sample Groups that were found not to be operational for the monitoring period v. Even though all SHSs use the same lamp type, based on the different composition of the SHSs, the estimated lifetime of lamps varies between the ST10 and the remainder of systems. LEDs of ST10 are estimated to have an operational lifetime of 50,000 hrs whereas LEDs of ST1,2 and 5 are estimated to be

22 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 21 of 25 operational for 30,000 hrs. The fraction of checked lamps according to system type i which were found not to be operational is calculated by dividing the fraction of non-operational lamps of the respective system type i by the total number of lamps of the same system type i. The target population are households participating in the VPA that use SHSs for lighting purposes. The sampling frame is a listing of all Solar Centres (clusters) to which the households are linked to according to the sales records and database entries. A multi-stage-sampling method, with an element of stratification, is applied. Clusters: The population of households are to be sub-divided geographically, according to the Solar Center they belong to. Hence, each Solar Center is to represent a cluster. Clusters shall be randomly selected for the identification of sample groups. The number of clusters depends on when the required amount of households within a Sample Group is reached. For example, if after random sampling within two clusters the Sample Group for Sun Transfer 10 does not reach the required sampling number of 150 households, then a third cluster is being added to the Sample database. Sample Groups: For the monitoring period v sample groups for each type of SHS shall be identified by using random sampling. Thus, in total, 4 sample groups have to be selected. Sample Lists: The data sets for each sample group are randomly ordered resulting in a numbered list of SHSs, and corresponding lamps, identified. The list provides a binding order in which the monitoring team shall interview households from the sample group until a minimum number of 100 households has been contacted. Thus, in total there will be four sample lists corresponding to the four sample groups. Desired Precision/Expected Variance and Sample Size: According to AMS-II.J., which refers to an applicable sample size (unlike AMS-I.A)., the sampling size is determined by minimum 90% confidence interval and the 10% maximum error margin; the size of the sample shall not be less than 100 for each sample group. However, the sample groups selected for the project will have a size of 150 households to ensure that there are sufficient households on the list to reach the target of 100 interviews. The minimum sample size is computed using the following formula: n i = z E 2 π(1 π) (sample size for each system type i (sample group)) where, z = (z-score for a confidence level of 90%) E = 0.1 (10% error margin) π = 0.5 (proportion of 50% as conservative approach in the 1 st monitoring period; π determined from the initial monitoring will then be used to calculate the sample size for subsequent monitoring efforts). To identify those systems which are still operating, considering the methodological requirement as per paragraph 14(a), a minimum of 100 households will be sampled for each type of SHS. However, if within a sample group of 100 households, the 90/10 confidence/ precision cannot be fulfilled; more households will be interviewed until the required confidence level has been achieved. As mentioned above, to guarantee the minimum sample size of 100 households, each sample group will consist of 150 households. The rationale is that at some households it might not be possible to contact a household at the time the monitoring team wants to interview the household. In this event the next household on the list substitutes the household that could not be duly contacted. As a sample list is a random order of the sample group which has a size of at least 150 households it is guaranteed that there are sufficient households on the list to reach the target of 100 interviews. As mentioned above, the data sets for each sample group are randomly ordered resulting in a numbered list of SHSs. The list provides a binding order in which the

23 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 22 of 25 monitoring team shall interview households from the sample group until a minimum number of 100 households has been contacted. Procedures for Administering Data Collection and Minimizing Non-Sampling Errors: A dedicated monitoring team will interview the households of the sample group one by one according to the order in the sample lists. The monitoring will consist of interviews. The interviews will result in filling in a questionnaire. The final design of the questionnaire will be similar to the one that can be found in Annex 5 of the VPoA-DD. During this check the following scenarios may apply: (a) If the specific solar system is found to be working at the specific household it will count as operational ; if all of the provided LEDs of the specific solar system are not working it will count as not operational ; (b) If a part of the provided LEDs of the specific solar system is not working (e.g. 1 LED out of the provided 4 LEDs in a ST10 solar system), the project will be classified as not operational. (c) If the household contact data has changed but the lamp can be found at another site the following procedure will apply: The name/address details in the data base will be updated and steps a) and b) are conducted. (d) If a household can (1) not be found according to the contact data from the sample list, (2) could not be contacted due to temporary absence of all household members over age 12 or (3) it is found that the data was erroneous the household is skipped. In case (1), (2) or (3) the household is deleted from the sample database from which it originated. (e) If a household is found to be located outside the project boundary, the respective SHSs shall count as non-operational. Checks are conducted until at least the target number of 100 filled in questionnaires is achieved. All questionnaires and information gathered during the sampling by the monitoring team are handed over to the Solar Energy Foundation who takes care of entering the information to the central electronic database and updating the sample database where appropriate. Response rates will be maximized by the involvement of sampling team and its supervisor. Solar technicians are part of the sampling team. Through their frequent visits to the villages, as they are responsible for installation, operation and maintenance, they have good relationships with project beneficiaries that should maximize response rates. In addition, response rates will be maximized by use of a sufficiently large sample that allows room for non-response. Further, SEF will provide training, such as interview techniques, to parties involved in the monitoring plan to ensure accuracy and completeness of data recorded and unbiased responses. In the exceptional case that the monitoring period would cover two or more years and not one year, to safeguard that the lamps that are checked during sampling are age representative, an age weighted sub-sample is generated. The number of sample lamps from the sample database that is included in the sample groups shall have the same weight as all lamps deployed in year a relative to the total of lamps sold under the project. E.g. if in the first year 10,000 lamps have been sold and in year two 20,000 lamps have been sold the number of sample lamps in the sample group from year two will be two times the number of lamps coming from year one2. This mechanism guarantees that the sample group s average age is equal to the average age of the total population of lamps. Implementation: A supervisor from SEF who is responsible for coordinating the sample activities has the responsibility to determine the annual sample schedule. The supervisor will receive all the information required on the number of systems installed from the solar centers. The SEF supervisor will then randomly choose the households to be surveyed in each year and submit a list to the solar center level monitoring team. Sample findings and results will be transferred to the SEF supervisor and his team for analysis. This will be done with reference to possible

24 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 23 of 25 errors, non-response rates and verification that sampling is on track to deliver the 90/10 confidence/precision. The DOE confirms that statistical sound sampling has been adopted and sampling plan design has been described transparently in the VPoA-DD. The sampling size is determined with 90/10 confidence/precision which is in line with paragraph 8 of the applied General Guidelines for sampling and surveys for SSC CDM project activities (EB50, Annex 30) which was applicable at the time of starting this GS validation. The DOE by assessing Applied Statistics in Business and Economics, chapter: Sampling distributions and estimation, issued by Doane and Seward (IRL 113) confirms that the formula for calculating the sampling size as well as the chosen z-value are appropriate and correct and to use the proportion of 50% (π = 0.5) is the most conservative assumption for the 1 st monitoring period. The proportion π determined from the initial monitoring will then be used to calculate the sample size for subsequent monitoring efforts. The minimum sample size of households to be taken is 100, which is in accordance with the methodology AMS-II.J which describes generic instructions for conducting surveys and sampling (unlike the applied methodology AMS-I.A). However, if the sample size of 100 is not sufficient to ensure a 90%/10% confidence/precision, the sample size will be increased until the 90%/10% confidence/precision is met. The sampling plan design has been assessed to be adequate by the validation team during the document review and on-site audit. In summary, the parameters determined ex-post have been presented correctly according to requirements of the applied methodology. 3.7 Stakeholder Consultation The local stakeholder consultation has been done at the VPoA level and 1st VPA level and will be done for each future VPA individually. For the 1st VPA, stakeholder consultation meeting took place in Bokaso (village close to the solar center of Yirgalem) on June 27, Stakeholder opinion has been sought from different groups like district (Woreda) administrators, village (Kebele) chairpersons beneficiaries and potential beneficiaries of solar lighting systems. The relevant stakeholders have been invited via invitation letters or word of mouth (IRL 55,58). The minutes and evidence of stakeholder consultations carried out on the VPA level have been submitted (IRL 52,60). The assessment team has reviewed the documentation in order to validate the inclusion of relevant stakeholders. It can be confirmed that the communication method used to invite the stakeholders is appropriate. The summary of comments presented in the VPA-DD has been verified with the documentation of the stakeholder consultation and has been found to be complete. Comments presented by the local stakeholders have been taken into account by the CME and has been verified with information obtained during interviews. During the on-site field visits, the DOE had the chance to talk with some of the stakeholders who were participating in the stakeholder meeting at VPA level as well as with household owners who could not participate. The DOE confirms that those stakeholders not participating in the stakeholder meeting had no different comments to the ones in the stakeholder meeting, thus it is accepted by the DOE for this VPA to have invited stakeholders only from Bokaso region and not from other regions included as well in the VPA, however the following FAR was raised. Forward Action Request No. 1 (VPA protocol): CME/PIP has to take care for future VPAs that stakeholders are invited in a more representative way considering comments from as many regions as possible participating in the VPA, unless a justification is given that stakeholder invitations of one region are enough for representing the whole VPA.

25 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 24 of Environmental Analysis It has been indicated in chapter C.1. of the VPA-DD that the environmental analysis is done at the VPoA level and VPA level. A passport has been submitted for this 1 st VPA mentioning the environmental impacts within the sustainable development matrix and the results of the Do No Harm assessment. It is in line with the PoA Rules and Guidance, Annex F (December 2010) to carry out the environmental analysis at VPoA and VPA level. Annex F states in chapter 7.1 and 7.2 that coordinating entities submitting a PoA for GS registration shall conduct the Do No Harm assessment [and] Detailed Impact Assessment at the VPA equivalent level, unless convincing argumentation validated by a DOE and approved by the GS is provided as to why this should not be required for the particular PoA. As per regulations defined by the Ethiopian DNA, no EIA is necessary for the given kind of programme, however an appropriate management plan (addressing adverse impacts of the project and any unforeseen fact of serious implication that may arise during implementation) has to be submitted to the Ethiopian DNA (IRL 64). This management plan has been submitted to the Ethiopian DNA as well as to the DOE for review (IRL 103) and has been accepted by the Ethiopian DNA through the issuance of the Host Country Letter of Approval (IRL 107). Both management plan and Host Country Letter of Approval have been validated by the DOE. No significant negative impacts on the environment and/or people are expected due to this project. On the contrary, the project will bring several benefits to the environment like e.g. reducing the consumption of nonrenewable natural resources, such as fossil fuels, GHG emissions and indoor air pollution.

26 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Page 25 of 25 4 VALIDATION OPINION TÜV SÜD has performed a validation of the following VPA -DD: Solar Lighting in Rural Ethiopia - VPA 1 for inclusion under the VPoA titled: Solar Lighting in Rural Ethiopia VPoA Standard auditing techniques have been used for the validation of the VPA. A methodology-specific protocol for the VPA has been prepared to conduct the validation process in a transparent and comprehensive manner. An analysis, as provided by the applied methodology, demonstrates that the proposed VPA is not a likely baseline scenario. Emission reductions attributable to the VPA are additional to any that would occur in the absence of the project activity. Considering that the VPA will be implemented as designed, the VPA is likely to achieve the estimated amount of emission reductions of 16,901 tco 2 e annually and a total estimated amount of 169,015 tco 2 e as specified within the final VPA-DD version. The validation is based on the information made available to TÜV SÜD, as well as the engagement conditions detailed in this report. The validation has been performed following the VVM and GS requirements. The single purpose of this report is its use during the inclusion process under the VPoA. Based on the work described in this report, nothing has come to our attention that causes us to believe that any project component or issue has not been covered by the validation process. The review of the VPA -DD, subsequent follow-up interviews, and further verification of references have provided TÜV SÜD with sufficient evidence to determine the fulfilment of stated criteria in the protocol. In the opinion of TÜV SÜD, the VPA meets all relevant GS requirements if the underlying assumptions do not change. TÜV SÜD recommends the VPA project for inclusion under the VPoA. Munich, Munich, Thomas Kleiser Certification Body Climate and Energy TÜV SÜD Industrie Service GmbH Katrin Hartmann Assessment Team Leader

27 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Annex 1: Validation Protocol

28 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 Table 1: Conformity of Voluntary Programme of Activities CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final A. General description of small-scale Voluntary programme activity (VPA) A.1. A.2. Title of the small-scale VPA: A.1.1. Does the used VPA title clearly enable to identify the unique CDM programme activity? A.1.2. Are there any indications concerning the revision number and the date of the revision? A.1.3. Is this consistent with the time line of the programme s history? Description of the small-scale VPA: A.2.1. Is the description delivering a transparent overview of the VPA? 5,104, the VPA title is clearly indicated. The VPA is being implemented under Solar Lighting in rural Ethiopia Phase I. The PPs decided to slightly change the title of the final VPA to Solar Lighting in rural Ethiopia VPA 1 which was communicated to Gold Standard (IRL 104). The final title is consistent with GS website. 5, the GSP-VPA-DD is indicated version number 01, dated 16/06/ It has been described that SEF as the CME will be also the PIP (project implementing partner) of this VPA. SEF will establish and coordinate the network of 11 Solar Centers with the aim of distributing the solar lighting systems, which displace carbon dioxide emitting kerosene lamps which are currently the prevalent form of lighting in rural Ethiopia. Corrective Action Request No.1 The names of the villages Mijar, Wariso and Alicho-Woriro are not consistent with chapter A PPs are requested to provide consistent information. CAR CR Clarification Request No.1 Table 1 is applicable to AMS I.A. version 14 Page A-1

29 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final 1) PPs are requested to clarify how the over 120,000 solar lighting systems have been determined, once the ER excel file in worksheet Sales fcts results in a total of 136,000 in column P. 2) A.2. mentions that all systems sold during the trial period are not included in this VPA. PPs are requested to clarify how they ensure the same. A Is it unambiguously stated which technology or measures are to be employed by the SSC-VPA? A Are the eligibility criteria for the inclusion of a SSC-VPA into the VPoA being met? A Does the technical design of the programme activity reflect current good practices? A Is a schedule available for the implementation of the programme and are there any risks for delays? A.2.2. What proofs are available demonstrating that the programme description is in compliance with the actual situation or planning? 5, it has been clearly presented that solar lighting systems will displace carbon dioxide emitting kerosene lamps which are currently the prevalent form of lighting in rural Ethiopia. 5. All the eligibility criteria of VPoA are met by the VPA. 5 It is understood that LED solar lamps provide more lumen output and do not emit GHG emissions. Besides, indoor air quality is improved. 5 The project implementation schedule and sales forecast have been submitted to the validation team. No significant delays are expected. 5,10,11,21,22, 33,52, 53 The following documents have been submitted to demonstrate that the project description is in compliance with the actual situation/planning: - Project implementation schedule (IRL 22) - Gold Standard Local Stakeholder Consultation Report and 2 nd (Feedback) Round in Bokaso (IRL 52,53) - Sales sheets of Suntransfer models ST1, ST2, ST5 and ST10 (IRL 33) - DOE interviews carried out during on-site visit (IRL 10,11) Table 1 is applicable to AMS I.A. version 14 Page A-2

30 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final - Emission reduction excel calculation file (IRL 21) A.3. A.4. A.2.3. Is the information provided by these proofs consistent with the information provided by the VPA-DD and the VPoA-DD? A.2.4. Is all information presented consistent with details provided by further chapters of the VPA-DD and the VPoA-DD? Entity/individual responsible for the small scale VPA: A.3.1. Does it become evident which entity/individual is responsible for the VPA (the VPA implementer)? A.3.2. Is there any document substantiating that the stated entity/individual is responsible for the implementation of the VPA? A.3.3. Is all information on the VPA implementer provided in consistency with details provided by further chapters of the VPA-DD (in particular annex 1)? A.3.4. Is the VPA implementer project participant of the VPoA and if so, is its name correctly stated in the PoA-DD? Technical description of the small-scale VPA: A.4.1. Identification of the small scale VPA: A Is the Host Party stated and consistent with the information provided in the VPoA- 5 5 See CAR/CR in A.2.1. See CAR/ CR 5, SEF which is the CME is at the same time VPA implementer of this first VPA. 5 Clarification Request No.2 PPs are requested to provide documentary evidence to substantiate that SEF is responsible for VPA implementation. 5 Clarification Request No.3 Information box about PPs and involved parties has to be taken out from A.3. (VPA-DDs) since PPs and involved parties are determined at VPoA level. 5 SEF, the VPA implementer is PP of the PoA. The name is correctly stated in the PoA-DD. 5, Ethiopia is the host party. It is consistent with the information provided in the VPoA-DD. CR CR Table 1 is applicable to AMS I.A. version 14 Page A-3

31 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final DD? A Does the information provided on the location of the programme activity allow for a unique identification of the location and the boundary of the VPA in terms of the geographical area? A Are the geographic reference and the means of identification transparent and clear? Is GPS data provided? 5,85 GPS coordinates of the 11 solar centres are indicated. Systems will be sold within a 250 km radius of each solar center. Corrective Action Request No.2 1) It has to be indicated in A who is responsible for the GPS coordinates (see A of the PoA-form Template) and how the GPS coordinates have been determined. 2) There are some inconsistencies with the generic VPA template (e.g. Ethiopian map is missing, phrase The solar center coordinates are listed here:" is missing) 3) A mentions that future VPAs may overlap with this radius, however systems sold by future VPAs will be marked to show they do not belong to the current VPA. PPs are requested to mention in more detail how it will be ensured that a certain system is allocated to the relevant VPA (to which the system belongs to). 4) regarding the generic VPA template (chapter A ): -instead of 1 or more Solar Centers it has to be stated [number of solar centers] 5) A.4. of the VPA (specific case) mentions that the models used will change over time, as technology develops and improves. However, technology has to be determined at VPA level from the beginning, thus clarity has to be provided about this sentence. CAR 5 See CAR/CR in A See CAR/ CR A How is it ensured and/or demonstrated, that the project proponents can implement the project (ownership, licenses, con- 5 The project implementer is the same entity as the CME (SFE), thus no additional contract is necessary for this 1 st VPA. Table 1 is applicable to AMS I.A. version 14 Page A-4

32 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final tracts etc.)? A.4.2. Duration of the small scale VPA: Description of a typical small-scale voluntary programme activity (VPA) A Is the starting date of the small scale VPA provided? A Is the starting date consistent with the VPoA timeline and the requirements of the VPoA procedures? A Is the operational lifetime of the small scale VPA clearly defined and plausible? 5,9 The start date has been indicated as 13/08/2010, which is the date when the LSC Report was uploaded to GS website. According to the GS PoA Rules and Guidance Annex F (December 2010) retroactive registration and retroactive crediting is possible (see chapter 3.2, scenario 2 (regular VPA) of Annex F). Corrective Action Request No.3 PPs are requested to indicate the basis of VPA starting date in A ,9 Since the proposed project activity is a GS VPoA, GS PoA Rules and Guidance, Annex F, chapter 3.2 (retroactive registration and retroactive crediting) can be followed. The VPA is considered a regular VPA, as the Local Stakeholder Consultation has been conducted as per GS requirements before the start of implementation. Thus, no pre-feasibility assessment is necessary. VPAs that become operational prior to GS registration are eligible for receiving credits for realised emission reductions for a maximum of 2 years. 5, the operational lifetime has been clearly defined as 10 years. Clarification Request No.4 PPs are requested to submit the documentary evidence to validate the operational lifetime of 10 years of the solar home systems (modules/batteries/lamps). CAR CR A.4.3. Choice of the crediting period and related information: A Is the starting date of the crediting 5 The start date has been indicated as 13/08/2010. This is the date Table 1 is applicable to AMS I.A. version 14 Page A-5

33 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final period stated and plausible (in accordance when the LSC Report was uploaded to GS website, which is plausible. with the VPoA procedures)? A Is it evident that fixed crediting period is chosen, what is the length of the crediting period? A.4.4. Estimated amount of emission reductions over the crediting period: A Estimated amount of emission reductions stated? A Estimated amounted consistent with section B 5 of the VPA-DD? A.4.5. Public funding of the small-scale programme activity A Is the information provided on public funding provided in compliance with the actual situation or planning? 5. Fixed crediting period has been used. Length of crediting period is 10 years for this VPA. Corrective Action Request No.4 The generic VPA template has to keep the length of the crediting period in A in general as [length of the crediting period] instead of indicating 10 years. Reason: The duration of crediting period of any VPA shall be limited to the end date of the PoA regardless of when the CPA was added, thus the length of the crediting period of a VPA is not necessarily 10 years. CAR ,99 There is currently no direct public funding from Annex 1 Parties for this VPA. In the case that there would be public funding in the future, it is confirmed by a signed commitment from SEF that any kind of ODA received will not be provided under the condition that the credits generated by the project activity will be transferred, either directly or indirectly, to the donor country providing ODA support. This in line with the GS requirements. However, the declaration refers only to the programme in general. Clarification Request No.5 The ODA declaration has to refer not only to the PoA (programme) level but as well to the VPA (project) level. PPs are re- CR Table 1 is applicable to AMS I.A. version 14 Page A-6

34 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final quested to submit a revised ODA declaration or a 2 nd one which refers to the activity level. A Is all information provided consistent with the details given in remaining chapters of the VPA-DD (in particular annex 2)? 5 The information is consistent within the VPA-DD. A.4.6. Information to confirm that the proposed small scale VPA is not a de-bundled component (considering PoA-de-bundling guidance): A Is there a system or procedure to detect whether a SSC-VPA to be included in the VPoA is not a de-bundled component of another VPA or CDM project? A Are all PoAs considered which are in the same geographical area and use the same methodology? A Is there a registered CDM project or another VPA (either registered or in the state of application) which has the same activ- 5,115 As per EB 54, Annex 13, paragraph 10, it is clearly explained that the VPA of VPoA is exempted from performing de-bundling check. As each of the independent subsystems/measures (solar home systems) included in the VPA of the VPoA is no larger than 1% of the small scale threshold defined by the methodology applied (1% of the threshold of 15MW is equal to 150kW), therefore the VPA of VPoA is exempted from performing de-bundling check i.e. considered as not being a de-bundled component of a large scale activity. Corrective Action Request No.5 Section A.4.6. of both VPA-DD (specific case) and VPA-DD (generic) has to be revised bearing in mind that as per EB 54, Annex 13, paragraph 10, it is clearly explained that the VPA of VPoA is exempted from performing de-bundling check as each of the independent subsystems/measures (solar home systems) included in the VPA of the VPoA is no larger than 1% of the small scale threshold defined by the methodology applied. 5,115 Not applicable as VPA of VPoA is exempted from performing debundling check (see explanation given in A.4.6.1). 5,115 NA as VPA of VPoA is exempted from performing de-bundling check (see explanation given in A.4.6.1). Table 1 is applicable to AMS I.A. version 14 Page A-7 CAR

35 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final ity implemented or has a coordinating/managing entity which also manages a large scale PoA of the same scope and the boundary is within 1 km of the boundary of the proposed VPA? A Is the information on registered CDM projects or other VPAs transparent, understandable and substantiated by documents? A If the proposed VPA is deemed to be a de-bundled component but the size of both activities combined does not exceed the SSC threshold, is this statement provided in a transparent und substantiated manner? 5,115 NA as VPA of VPoA is exempted from performing de-bundling check (see explanation given in A.4.6.1). - Not applicable A.4.7. Confirmation that the SSC VPA is neither registered as an individual VER/CDM project activity or is part of another registered PoA/VPoA A Confirmation provided by coordinating/managing entity or VPA implementer? 5 Corrective Action Request No.6 1) SEF has to provide a confirmation that the VPA is neither registered as an individual VER/CDM project activity or is part of another registered PoA/VPoA. 2) A.4.7. has to also refer to VER project activity and VPoA (both generic VPA and specific VPA). B. Eligibility of the small scale VPA and estimation of emission reductions: B.1. B.2. Title and reference of the registered VPoA to which the small scale VPA is added: Title and reference provided and cor- B.1.1. rect? 5, the VPA correctly refers to the VPoA (Solar lighting in rural Ethiopia VPoA). Justification of why the small-scale VPA is eligible to be included in the registered PoA:: B.2.1. Are all criteria as per VPoA-DD ad- 5 Corrective Action Request No.7 Regarding the eligibility criteria: Table 1 is applicable to AMS I.A. version 14 Page A-8 CAR CAR

36 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final dressed? 1) The wording of some of the eligibility criteria in VPA-DD do not correspond exactly to the one stated in the VPoA-DD. 2) Evidences showing the compliance of the following eligibility criteria have to be submitted: measures are in place to recycle batteries, technicians have undergone training in the installation and maintenance of solar equipment, systems sold are clearly marked to show they are part of the VPoA, sales are recorded by solar centers and the records are sent periodically to the PIP, project activity is a voluntary action and not required by law. 3) Consider the CAR in chapter A of the VPoA-DD protocol as well for the VPA (generic and specific case) 4) the generic VPA refers to a limit of 15 MW (even though the guidelines for micro-scale project activities is applied and thus the limit is 5 MW) and the following conclusion as it was done in the VPA (specific case) "To conclude, the VPA [meets/meets not] all the eligibility criteria for inclusion in the VPoA" is missing. B.2.2. Are all eligibility criteria met regarding the proposed VPA? 5, however see CAR in B.2.1. See CAR B.3. B.2.3. Are the statements substantiated by credible documents? B See CAR in B.2.1. See CAR Assessment and demonstration of additionality of the SSC VPA, as per eligibility criteria listed in the registered PoA: Are the key criteria and data for assessing additionality of a SSC-VPA that are included into the VPoA addressed? 4,5 Additionality is demonstrated at VPoA level by adopting the Guidelines for demonstrating additionality of microscale project activities, version 02, EB60, Annex 25. According to the Guidelines, project activities up to 5 MW that employ renewable energy technology (hereby all technologies/measures included in approved Type I SSC methodologies Table 1 is applicable to AMS I.A. version 14 Page A-9

37 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 B.3.2. B.3.3. CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final are eligible to be considered) are additional if e.g. the geographic location of the project activity is in one of the LDCs/SIDs) countries or in a special underdeveloped zone of the host country identified by the government before 28 May 2010 (item 2 a in the Guidelines). As Ethiopia is considered as LDC and the total capacity of solar panels included in this VPA is clearly below the 5 MW limit (i.e. the eligibility criterion regarding total capacity is complied with), additionality has been successfully demonstrated for this VPA. GS PoA Rules and Guidance, Annex F are correctly followed which states that in the case that additionality is demonstrated only at PoA level, additionality at the VPA level has to be defined as part of the eligibility criteria for the inclusion of a project activity as a VPA under the PoA. One of the eligibility criteria was defined to be the total capacity of the solar panels included in the VPA will not exceed 5 MW. Corrective Action Request No.8 1) The calculation (with all relevant figures and formulae) resulting in a total capacity of 0.8MWp has to be added into the ER excel calculation file. 2) Clarification has to be provided for the term less than in both VPA-DDs (specific case and generic case). Are the key criteria and data for assessing additionality of a SSC-VPA that are included into the VPoA met? If the starting date of the VPA is before the date of validation, is evidence available to prove that incentive from the CDM was seriously considered in the decision to proceed with the programme activity? 4,5, see description in B For this VPA the starting date is before the date of validation. The early consideration of revenues from VERs was already demonstrated in the VPoA-DD and evidences were submitted to the validation team. Table 1 is applicable to AMS I.A. version 14 Page A-10

38 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 B.3.4. B.3.5. B.3.6. CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final Does it become evident how these criteria were applied to assess the additionality of the VPA? Does this list include at least one of the following barriers? Does the discussion sufficiently take into account relevant national and/or sectoral policies? 5 See description in B Barrier Discussed? Verifiable? Investment NA NA Technological NA NA Due to prevailing practice NA NA Other NA NA - NA B.3.7. B.3.8. Is transparent and documented evidence provided on the existence and significance of these barriers? Is it appropriately explained how the approval of the programme activity will help to overcome the identified barriers? - NA - NA B.4. Description of the sources and gases included in the project boundary and proof that the small scale VPA is located within the geographical boundary of the registered PoA B.4.1. Does the SSC-VPA boundary include the physical and geographical location where the programme activities take place? 5 Corrective Action Request No.9 Chapter B.4. of the VPA-DD (specific case and generic case) has to add the geographical boundary of the VPA and confirm that the boundary of the VPA is within the boundary of the VPoA. CAR B.4.2. Is there any proof that the VPA is located within the geographical boundary of the registered PoA? 5 The VPA occurs in the host country Ethiopia. GPS coordinates of each household participating in the VPA are recorded in the central database. It will be ensured that all those GPS coordinates Table 1 is applicable to AMS I.A. version 14 Page A-11

39 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final are within the GPS coordinates of the host country Ethiopia. B.5. B.4.3. Are all sources and gases within the boundary considered in a clear manner? B.4.4. Do the spatial and technological boundaries as verified on-site comply with the discussion provided by / indication included to the VPoA-DD or VPA-DD? Emission reductions: Integrate questions concerning methodological choices and selection of options, if necessary B.5.1. Data and parameters that are available at validation: B Are the equations, including fixed parametric values, to be used for calculation of emission reductions of a SSC- VPA, completely presented? 5, the sources and gases within the boundary have been considered in a clear manner. The CO 2 emissions from kerosene lamps have been included. Corrective Action Request No.10 The Table in chapter B.4 refers to methodology AMS-I.D, even though the applied methodology in the project is AMS-I.A. Clarification has to be provided about this inconsistency. CAR 5 3,5, ex-ante baseline emissions (equal to emission reductions as no PE and LE are expected) are calculated as per the following formula: IPCC default values are used for calorific value of kerosene and CO2 emission factor of kerosene. B Is the list of parameters presented in chapter B.6.2 considered to be complete 3,5 Corrective Action Request No.11 The parameter CF i,v,lfr can be taken out from B.5.1 as the same CAR Table 1 is applicable to AMS I.A. version 14 Page A-12

40 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final with regard to the requirements of the is a monitored parameter. applied methodology? B Comment on any line answered with No B Parameter Title: EF CO2,j - CO2 Emission factor of fuel type j in tco 2 /GJ B Parameter Title: h Average daily operating hours of the lighting devices (hrs/day) 3,5 Data Checklist / No / NA Title in line with methodology? Data unit correctly expressed? Appropriate description of parameter? Source clearly referenced? Correct value provided? Has this value been verified? Choice of data correctly justified? Measurement method correctly described? NA 3,5 Data Checklist / No / NA Title in line with methodology? Data unit correctly expressed? Appropriate description of parameter? Source clearly referenced? Correct value provided? Has this value been verified? Choice of data correctly justified? Measurement method correctly described? NA B Parameter Title: FCj,y - Amount of historic fuel consumption of fuel type j (mass or volume unit) 3,5 Data Checklist / No / NA Title in line with methodology? Data unit correctly expressed? Appropriate description of parameter? Source clearly referenced? Correct value provided? See CR Table 1 is applicable to AMS I.A. version 14 Page A-13

41 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final Has this value been verified? Choice of data correctly justified? Measurement method correctly described? NA The Table in B.5.1.indicates the kerosene consumption of each kerosene lamp per hour (with the parameter title l ker ) which is accepted by the validation team. See CR in E of validation protocol (VPoA). B Parameter Title: NCVj Net calorific value of fuel type j (GJ per mass or volume unit) B Parameter Title: Density of fuel type j (kg/l) 3,5 3,5 Data Checklist Title in line with methodology? Data unit correctly expressed? Appropriate description of parameter? Source clearly referenced? Correct value provided? Has this value been verified? Choice of data correctly justified? Measurement method correctly described? Data Checklist Title in line with methodology? Data unit correctly expressed? Appropriate description of parameter? Source clearly referenced? Correct value provided? Has this value been verified? Choice of data correctly justified? Measurement method correctly described? / No / NA NA / No / NA NA Table 1 is applicable to AMS I.A. version 14 Page A-14

42 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final B Parameter Title: Nominal lumen output of solar lamps of type i deployed as part of the project activity (lumen) 3,5 Data Checklist / No / NA Title in line with methodology? Data unit correctly expressed? Appropriate description of parameter? Source clearly referenced? No Correct value provided? No Has this value been verified? Choice of data correctly justified? No Measurement method correctly described? NA See CR in item E of the validation Protocol PoA-DD See CR B Parameter Title: Light output of kerosene when burnt in a hurricane kerosene lamp 3,5 Data Checklist Title in line with methodology? Data unit correctly expressed? Appropriate description of parameter? Source clearly referenced? Correct value provided? Has this value been verified? Choice of data correctly justified? Measurement method correctly described? / No / NA NA B Parameter title: z (Standard normal for a confidence level of 90%) 3,5 Data Checklist Title in line with methodology? / No / NA See CAR Table 1 is applicable to AMS I.A. version 14 Page A-15

43 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final Data unit correctly expressed? NA Appropriate description of parameter? Source clearly referenced? Correct value provided? No Has this value been verified? Choice of data correctly justified? Measurement method correctly described? NA See CAR in item E (Validation Protocol PoA-DD) B.5.2. Ex-ante calculation of emission reductions (B.5.2.): B Is the projection based on the same procedures as used for future monitoring? 3,5 Ex-ante emission reductions are calculated as per the following formula: Ex-post emission reductions are calculated as per the following formula: and CFi,v,LFR is calculated by Table 1 is applicable to AMS I.A. version 14 Page A-16

44 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final And LFRi,y is calculated by B Are the GHG calculations documented in a complete and transparent manner? 3,5, GHG calculations are documented in a complete and transparent manner in the ER excel calculation spreadsheet. Corrective Action Request No.12 The following has to be corrected in the ER excel calculation file: 1) In worksheet Input parameters : The percentage of kerosene users in rural Ethiopia (99%) has to be taken out, as the number is not used in the ER calculation. 2) In worksheet Input parameters : The source of ST-5 and ST-10 has to be corrected as there are 3 and 4 lights respectively in each of the systems. 3) The importance of indicating luminous efficiency of wick kerosene lanterns has to be indicated. Possibly it has to be taken out. 4) In worksheet CO2 hurricane lamps : PPs are requested to indicate the data units for kerosene consumption per hour and CO2 per day. 5) There is one sub sheet in the excel sheet named Sheet1, this sheet1 needs to be rephrased for better transparency. 6) Column F 5 (in the sub sheet CO2 hurricane lamps) is not clear, there is #. 7) What is the significance of Column P 24,25,26,27 in the sub sheet Sales_fcst. CAR B Is the data provided in this section con- 3,5 Table 1 is applicable to AMS I.A. version 14 Page A-17

45 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final sistent with data as presented in other chapters of the VPoA-DD or CPA-DD? B.5.3. Summary of the ex-ante estimation of emission reductions (B 5.3) B.6. B Will the programme activity result in fewer GHG emissions than the baseline scenario? B Is the form/table required for the indication of projected emission reductions correctly applied? B Do these values comply with smallscale criteria for every year? B Is the projection in line with the envisioned time schedule for the programme s implementation and the indicated crediting period? B Is the data provided in this section in consistency with data as presented in other chapters of the VPoA- or VPA- DD? 5,21, the VPA will use solar lighting systems which replace carbon intensive kerosene lamps in rural households in Ethiopia, thus resulting in fewer GHG emissions. 5, the table has been correctly applied. 5,21. Each VPA is limited to a total installed capacity of 5 MW, thus remains below the threshold of 15 MW for SSC projects Application of the monitoring methodology and description of the monitoring plan B.6.1. Description of the monitoring plan for the SSC-VPA B Is the operational and management structure clearly described and in compliance with the envisioned situation? B Are responsibilities and institutional arrangements for data collection and archiving clearly provided? 5 The operational and management structure has been defined in the VPoA-DD (chapter A ). 5 See CAR in item E of the validation protocol (VPoA-DD) See CAR B Does the monitoring plan provide cur- 5 See CAR in item E of the validation protocol (VPoA-DD) CAR Table 1 is applicable to AMS I.A. version 14 Page A-18

46 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final rent good monitoring practice? Corrective Action Request No.13 See CAR Chapter B.6.1. (VPA-DD specific case and generic case) has to confirm that the monitoring plan as per the description in chapter E.7.2. of the VPoA-DD will be followed. B If applicable: Does annex 4 provide useful information enabling a better understanding of the envisioned monitoring provisions? B Is the list of parameters presented in chapter B.6.2 considered to be complete with regard to the requirements of the applied methodology? B Parameter Title: Annual check of all systems or a sample thereof to ensure that they are still operating (other evidence of continuing operation, such as on-going rental/lease payments could be a substitute) B Parameter Title: Nominal lumen output of lamps, L i 5 Annex 4 illustrates a questionnaire example for household interviews. 3,5 No, parameters to be monitored are not mentioned. Corrective Action Request No.14 PPs are requested to indicate the list of parameters that will be monitored using the table format as provided in section E.7.1 of the VPoA-DD template. 3,5 Sampling of the systems is done to ensure that they are still operating or to record the end of operation of the systems. 3,5 Please refer to CR in item of the validation protocol (VPoA-DD) CAR See CR B Parameter Title: Total number of lamps of type i deployed in period a, N i,a 3,5 Please refer to CAR in item B See CAR Table 1 is applicable to AMS I.A. version 14 Page A-19

47 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final B Parameter Title: Lamp failure rate, LFR i,v, B Parameter Title: Correction factor CF i,v,lfr 3,5 Please refer to CAR in item B See CAR 3,5 Please refer to CAR in item B See CAR B Parameter Title: Average operational days of lamps i deployed in period a, d i,a,v, B Parameter title: Total number of lamps checked that were found to be operational, n i,v,total 3,5 Please refer to CAR in item B See CAR 3,5 Please refer to CAR in item B See CAR C. Environmental Analysis C.1. Definition of the level at which environmental analysis as per requirements of the CDM modalities and procedures is undertaken: C.1.1. Is it defined whether the environmental analysis takes place at VPoA or VPA level? C.1.2. Is the choice whether the environmental analysis takes place at VPoA or VPA level justified? 5 According to the information provided in the VPA-DD, environmental analysis takes place at VPoA level, however please see CAR in item C.1.1. (validation protocol of the VPoA-DD). 5 No, please see CAR in item C.1.1. (validation protocol of the VPoA-DD). C.2. Documentation on the analysis of the environmental impacts of the VPA, including transboundary impacts (not applicable if environmental analysis is undertaken on VPoA level): C.2.1. Are there any Host Party requirements for an Environmental Impact Assessment 5 There are no host country requirements for EIA for this VPA - installation of Solar Home Systems. However, see CR in C.1.1 See CAR See CAR See CR Table 1 is applicable to AMS I.A. version 14 Page A-20

48 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final (EIA), and if yes, has an EIA been approved? (validation protocol of the VPoA-DD). C.2.2. Has the analysis of the environmental impacts of the project activity been sufficiently described? 5 Environmental impacts on the project activity are in detail discussed in the GS passports (VPoA level and VPA level). However, see CAR in item C.1.1. (validation protocol of the VPoA- DD). See CAR C.2.3. Will the programme create any adverse environmental effects? C.2.4. Were transboundary environmental impacts identified in the analysis? 5 No adverse environmental effects are created by the project. For details please refer to the GS passport (VPA level). 5 NA C.3. Please state whether in accordance with the host Party laws/regulations, an environmental impact assessment is required for a typical VPA of the VPoA (not applicable if environmental analysis is undertaken on VPoA level): : C.3.1. Have the identified environmental impacts been addressed in the project design sufficiently? C.3.2. Does the programme comply with environmental legislation in the host country? C.3.3. Is, per host country laws/regulations, an environmental impact assessment necessary for a typical VPA? D. Stakeholders comments D.1. 5 NA as there are no negative environmental impacts. 5 5 EIA is not required to be carried out for such kind of activity (solar home systems). Please indicate the level at which local stakeholder comments are invited. Justify the choice: D.1.1. Is there a clear statement whether the stakeholder comments were invited at VPoA or VPA level? 5 No, see CR in item D.1.1. (validation protocol of the VPoA-DD). See CR D.1.2. Is the choice justified in a clear and 5 Local Stakeholder Consultations (LSC) have been both done at VPoA and VPA level. Table 1 is applicable to AMS I.A. version 14 Page A-21

49 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final reasonable manner? D.2. D.3. Brief description how comments by local stakeholders have been invited and compiled D.2.1. Have relevant stakeholders been consulted? D.2.2. Have appropriate media been used to invite comments by local stakeholders? D.2.3. If a stakeholder consultation process is required by regulations/laws in the host country, has the stakeholder consultation process been carried out in accordance with such regulations/laws? D.2.4. Is the undertaken stakeholder process that was carried out described in a complete and transparent manner? Summary of the comments received D.3.1. Is a summary of the received stakeholder comments provided? 5 Clarification Request No.6 Local Stakeholder Consultation at VPA level has been taken place in Bokaso (village close to the solar center of Yirgalem). How was it ensured that stakeholders of the other regions participating in the VPA (in total there are 11 solar centers from different regions in Ethiopia included in the VPA) were invited for comments and those comments were taken due account? PPs have to clarify. 5 Corrective Action Request No.15 It has to be explained in more detail in D.2. of the VPA-DD how stakeholders were invited to the local stakeholder consultation meeting and how comments have been invited. See also CR in D Clarification Request No.7 PPs are requested to confirm if stakeholder consultation is required in host country for this kind of project. 5,52 The local stakeholder consultation report describes in detail the stakeholder process, however see CAR in D.2.2. and CR in D ,52 A short summary of the received stakeholder comments is provided in D.3. of the VPA-DD. The GS Local Stakeholder Consultation Report provides a detailed list of all comments. CR CAR See CR CR See CAR/ CR Table 1 is applicable to AMS I.A. version 14 Page A-22

50 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 D.4. CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final Report on how due account was taken of any comments received D.4.1. Has due account been taken of any stakeholder comments received, according to the CDM modalities and procedures? E. Annexes 1 4 E.1. Annex 1: Contact Information E.1.1. Is the information provided consistent with the one given under section A.3? E.1.2. Is the information on all private participants and directly involved Parties presented? E.2. Annex 2: Information regarding public funding E.2.1. Is the information provided on the inclusion of public funding (if any) in consistency with the actual situation presented by the project participants? E.2.2. If necessary: Is an affirmation available that any such funding from Annex-Icountries does not result in a diversion of ODA? E.3. Annex 3: Baseline information E.3.1. If additional background information on baseline data is provided: Is this information consistent with data presented by 5,52, all comments were received and recorded. An assessment of the comments was written and was made available to the public. In addition all negative comments were discussed at the stakeholder meeting and were taken into account as per the stakeholder report. This could be confirmed by DOE interviews with stakeholders during on-site visit. 5 See CR in A.3.3. CR See CR in A CR 5,14 Some information about results from the survey done by Lighting Africa (WorldBank) in 2008 is summarized. Table 1 is applicable to AMS I.A. version 14 Page A-23

51 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 CHECKLIST TOPIC / QUESTION Ref. COMMENTS GSP Final other sections of the PoA- or VPA-DD? E.3.2. Is the data provided verifiable? Has sufficient evidence been provided to the validation team? E.3.3. Does the additional information substantiate / support statements given in other sections of the PoA- or CPA-DD? E.4. Annex 4: Monitoring information E.4.1. If additional background information on monitoring is provided: Is this information consistent with data presented in other sections of the PoA- or CPA-DD? E.4.2. Is the information provided verifiable? Has sufficient evidence been provided to the validation team? E.4.3. Do the additional information and / or documented procedures substantiate / support statements given in other sections of the PoA- or CPA-DD? 5,14. The survey Lighting Africa has been submitted to the validation team. 5 5 A questionnaire example for household interviews is illustrated in Annex Table 1 is applicable to AMS I.A. version 14 Page A-24

52 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 Table 2 Resolution of Corrective Action and Clarification Requests Clarifications and corrective action requests by validation team Corrective Action Request No.1. The names of the villages Mijar, Wariso and Alicho-Woriro are not consistent with chapter A PPs are requested to provide consistent information. Ref. to table 1 A.2.1. Summary of programme activity implementer s response The PDD has been revised accordingly. (Correct names: Minjar, Woliso, Alicho-Woriro) Validation team Conclusion The names of the villages are consistent now. CAR is closed. Corrective Action Request No.2. 1) It has to be indicated in A who is responsible for the GPS coordinates (see A of the PoA-form Template) and how the GPS coordinates have been determined. 2) There are some inconsistencies with the generic VPA template (e.g. Ethiopian map is missing, phrase The solar center coordinates are listed here:" is missing) 3) A mentions that future VPAs may overlap with this radius, however systems sold by future VPAs will be marked to show they do not belong to the current VPA. PPs are requested to mention in more detail how it will be ensured that a certain system is allocated to the relevant VPA (to which the system belongs to). 4) regarding the generic VPA template (chapter A ): -instead of 1 or more Solar Centers it has to be stated [number of solar A ) It has been indicated that SEF is the entity responsible. SEF uses the Model: Garmin, GPS MAP60 2) Phrase and reference to the map have been included in the VPA-DD. 3) Paragraph, in PDD as well as generic template, has been revised to: All systems sold as part of this VPA will be marked with a unique serial code to prevent double counting and to show that system is a part of the VPA. Systems will be sold within a 250km radius of each Solar Center, using the coordinates provided above. Future VPAs may overlap with this radius; however systems sold by future VPAs will be marked to show they do not belong to the current VPA. All systems to be implemented will also be labelled with a unique serial as well as a VPA identification code to prevent double counting and to show that system is a part of the VPA. 1. A mentions now that SEF is the responsible entity for the GPS coordinates (1 st VPA) and that any project implementer will be responsible for any future VPAs (generic VPA). 2. VPA-DD (specific case) is now consistent in A with the VPA- DD (generic). The respective map will be included for each VPA when VPA inclusion is undertaken. A reference to the map is however already indicated in the VPA (generic). 3. More detailed information has been provided. Table 1 is applicable to AMS I.A. version 14 Page A-25

53 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 centers] 5) A.4. of the VPA (specific case) mentions that the models used will change over time, as technology develops and improves. However, technology has to be determined at VPA level from the beginning, thus clarity has to be provided about this sentence. Corrective Action Request No.3. PPs are requested to indicate the basis of VPA starting date in A Corrective Action Request No.4. The generic VPA template has to keep the length of the crediting period in A in general as [length of the crediting period] instead of indicating 10 years. Reason: The duration of crediting period of any VPA shall be limited to the end date of the PoA regardless of when the CPA was added, thus the A All serial codes will be recorded. 4) Has been revised accordingly. 5) Respective sentence has been removed. PDD includes The basis for the starting date is the upload date of the VPA LSC report to the GS website. Every system sold as part of a VPA will be marked with a unique serial number as well as a VPA identification number to prevent double counting and to clearly indicate to which VPA a system belongs to. 4. Revised in order to address the finding. 5. Sentence regarding model change has been removed from the VPA- DD (specific case). CAR is closed. However, see FAR 1 (in VPoA- DD protocol) It has been indicated in A that the starting date is based on the upload date of the VPA LSC report. CAR is closed. A The template has been revised accordingly. Generic VPA template has been corrected in A and indicates now [length of the crediting period] instead of 10 years. CAR is closed. Table 1 is applicable to AMS I.A. version 14 Page A-26

54 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 length of the crediting period of a VPA is not necessarily 10 years. Corrective Action Request No.5. Section A.4.6. of both VPA-DD (specific case) and VPA-DD (generic) has to be revised bearing in mind that as per EB 54, Annex 13, paragraph 10, it is clearly explained that the VPA of VPoA is exempted from performing de-bundling check as each of the independent subsystems/measures (solar home systems) included in the VPA of the VPoA is no larger than 1% of the small scale threshold defined by the methodology applied. A Section A.4.6. of both VPA-DD (specific case) and VPA-DD (generic) has been revised accordingly Section A.4.6. of both VPA-DD (specific case) and VPA-DD (generic) has been revised. CAR is closed. Corrective Action Request No.6. 1) SEF has to provide a confirmation that the VPA is neither registered as an individual VER/CDM project activity or is part of another registered PoA/VPoA. 2) A.4.7. has to also refer to VER project activity and VPoA (both generic VPA and specific VPA). A SEF to sign Annex 2, once approved by TÜV SÜD (TS) Further PPs response: Instead of Annex 2, please see document 2 of the supporting documentation, which is a declaration signed by SEF stating that the VPA is neither registered as an individual VER/CDM project activity or is part of another registered PoA/VPoA. 2. Section A.4.7. of both VPA-DD (specific case) and VPA-DD (generic) has been revised accordingly 2 nd Further PP response: 2) The text in A.4.7 of the generic VPA has been revised to be consistent with the one in the specific VPA. Further DOE request: 1) Annex 2 (VPoA-DD) has to be submitted signed to the DOE. 2) Section A.4.7. (in VPA-DD specific and generic) has to state the following: The VPA has not been registered as an individual CDM or VER project activity nor as part of another registered PoA or VPoA. 2 nd Further DOE Request/conclusion: 1) A declaration signed by the CME has been submitted to the DOE (IRL 98) confirming that Table 1 is applicable to AMS I.A. version 14 Page A-27

55 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 Corrective Action Request No.7. Regarding the eligibility criteria: 1) The wording of some of the eligibility criteria in VPA-DD do not correspond exactly to the one stated in the VPoA-DD. 2) Evidences showing the compliance of the following eligibility criteria have to be submitted: measures are in place to recycle batteries, technicians have undergone training in the installation and maintenance of solar equipment, systems sold are clearly marked to show they are part of the VPoA, sales are recorded by solar centers and the records are sent periodically to the PIP, project activity is a voluntary action and not required by law. 3) Consider the CAR in chapter A of the VPoA-DD protocol as well for the VPA (generic and specific case) B ) Eligibility criteria are now identical in the tables of the VPA-DD, generic VPA-DD template as well as PoA-DD. 2) More specific information has been provided. TS further can check on-site. 3) Eligibility criteria have been revised according to CAR in chapter A of the VPoA-DD protocol. Now all eligibility criteria are identical in the VPA-DD, generic VPA-DD template as well as PoA-DD. 4) The generic VPA has been changed accordingly. Further PPs response: 1. The table is now consistent in all documents 2. And 3. Please refer the response provided in A of the VPoA protocol VPA 1 is neither registered as an individual VER/CDM project activity nor is part of another registered PoA/VPoA. 2) The text in A.4.7. of the generic VPA is not consistent with the one in the specific VPA. PPs are requested to revise in the generic VPA. Final conclusion: 2) The text in A.4.7. is consistent now between specific and generic VPA. CAR is closed. 1. see Further DOE request 2. The below-mentioned eligibility criteria have been evidenced during the on-site visit by the following: - measures are in place to recycle batteries : Template for Maintenance and Replacement activities (IRL 45) as well as storage center in SEF Solar Valley (Addis Abeba). The collected batteries will be recycled locally or returned to the manufacturer (as Table 1 is applicable to AMS I.A. version 14 Page A-28

56 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 4) the generic VPA refers to a limit of 15 MW (even though the guidelines for micro-scale project activities is applied and thus the limit is 5 MW) and the following conclusion as it was done in the VPA (specific case) "To conclude, the VPA [meets/meets not] all the eligibility criteria for inclusion in the VPoA" is missing. soon as so many batteries are collected that it is possible to fill up one ship container). - technicians have undergone training in the installation and maintenance of solar equipment : Training certificates of technicians (IRL 30), participations lists of undergone training (IRL 76), interviews with technicians and Technical director. - systems sold are clearly marked to show they are part of the VPoA : could be evidenced during field visits of households, however see Further Request DOE in A (VPoA protocol). - sales are recorded by solar centres and the records are sent periodically to the PIP : SEF flowchart for revolving fund reporting procedures (IRL 41), template of sales and maintenance reporting (IRL 42), template of sales Table 1 is applicable to AMS I.A. version 14 Page A-29

57 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 report (IRL 43), template for new system installation and inventory activity (IRL 44), on-site interview. - project activity is a voluntary action and not required by law : interview with the Ethiopian DNA. 3. see below 4. Correction has been provided and conclusion "To conclude, the VPA [meets/meets not] all the eligibility criteria for inclusion in the VPoA" has been added. Further DOE request: 1. The number of eligibility criteria is not consistent between VPA-DD (specific case), VPA-DD (generic) and PoA-DD. PPs are requested to be consistent in all 3 documents. Besides, criterion 3 is different between PoA-DD and VPA-DD (specific case); (in VPA-DD (generic case) criterion 4); See also CAR 6 of the VPoA-DD protocol. Table 1 is applicable to AMS I.A. version 14 Page A-30

58 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 Corrective Action Request No.8. 1) The calculation (with all relevant figures and formulae) resulting in a total capacity of 0.8MWp has to be added into the ER excel calculation file. 2) Clarification has to be provided for the B nd Further PP response: 1) and 2) Eligibility criteria have been revised as per the comments provided in A of the VPoA-DD protocol. 1) The calculation has been included resulting to 0.9MWp. The total capacity has been revised in the VPA DD accordingly. 2) Both documents have been revised. 2. For item: systems sold are clearly marked to show they are part of the VPoA, see Further DOE request in A of VPoA protocol. 3. See Further DOE request in A of the VPoA-DD protocol 2 nd Further DOE Request: 1) Eligibility criteria have to be revised as per the further DOE request provided in A of the VPoA-DD protocol. 2) Final assessment after VPoA assessment. Final conclusion: Eligibility criteria have been revised as per the further DOE request/comments provided in A of the VPoA-DD protocol. Eligibility criteria are finally consistent between the 3 documents (VPoA-DD, VPA- DD (specific) and VPA-DD (generic). CAR is closed. 2) less than has been taken out (chapter B.3.). Further DOE request: The calculation resulting in the total capacity of the VPA has Table 1 is applicable to AMS I.A. version 14 Page A-31

59 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 term less than in both VPA-DDs (specific case and generic case). Further PPs response: Please note that due to a revised sales forecast, the calculation now results to 0.67MWp. The total capacity has been revised in the VPA DD accordingly. Please accept document 1 as supporting documentation for the sales forecast, which estimates are the basis for the calculation. 2 nd Further PP Response: The calculation of the total capacity is now based on the total products installed until 2020, the end of the crediting period, Thus, the calculation now results to 0.56MWp. been added in the excel file and results in 0.9MWp. The figure has been revised in the VPA- DD. Since so far no explanation/supporting documentation/justification for the sales forecasts have been submitted to the validation team, the DOE cannot confirm yet that the figure of 0.9MWp is appropriate and plausible. PPs are requested to submit explanation/supporting documentation/justification for the sales forecasts. 2 nd Further DOE Request/Conclusion: A revised sales forecast for the 1 st VPA has been presented to the DOE (IRL 94). The figures for 2011 and partly 2012 are based on the stock available in Ethiopia and the shipments to SEF Ethiopia which have been made recently. From 2013 (and partly 2012), the figures are based on SEF forecasts and estimates of new agreements with potential donors and investors. Using the revised sales forecast figures results in a total capacity which is clearly below Table 1 is applicable to AMS I.A. version 14 Page A-32

60 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 Corrective Action Request No.9. Chapter B.4. of the VPA-DD (specific case and generic case) has to add the geographical boundary of the VPA and confirm that the boundary of the VPA is within the boundary of the VPoA. B.4.1. Both documents have been revised. Further PP response: The requested revisions have been carried out in both documents. the threshold of 5 MW as per the Guidelines for demonstrating additionality of microscale project activities. PPs have to clarify why the calculation of the total capacity is based on the total products installed until 2022 (i.e. beyond the end of the crediting period). Final conclusion: The revised calculation of the total capacity is based on the total products installed until 2020, the year in which the crediting period ends. The total capacity is clearly below the threshold of 5 MW as per the Guidelines for demonstrating additionality of microscale project activities. The calculation has been verified by the DOE and deems to be correct. CAR is closed. Further DOE Request: Even though PPs state in their protocol answer that both documents have been revised, no revision has taken place in the VPA-DD (specific case and generic case). Revision addressing the CAR has still to be carried out. Table 1 is applicable to AMS I.A. version 14 Page A-33

61 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 Corrective Action Request No.10. The Table in chapter B.4 refers to methodology AMS-I.D, even though the applied methodology in the project is AMS-I.A. Clarification has to be provided about this inconsistency. Corrective Action Request No.11. The parameter CF i,v,lfr can be taken out from B.5.1 as the same is a monitored parameter. Corrective Action Request No.12. The following has to be corrected in the ER excel calculation file: 1) In worksheet Input parameters : The percentage of kerosene users in rural Ethiopia (99%) has to be taken out, as the number is not used in the ER calculation. 2) In worksheet Input parameters : The source of ST-5 and ST-10 has to be corrected as there are 3 and 4 lights respectively in each of the systems. 3) The importance of indicating luminous efficiency of wick kerosene lanterns has to be indicated. Possibly it Final conclusion: Chapter B.4. of the final VPA- DD (specific case and generic case) confirms that the boundary of the VPA is within the boundary of the VPoA. CAR is closed. B.4.3. The VPA-DD and generic template have been revised. Correction has been carried in order to address the CAR. CAR is closed. B The VPA-DD and generic template have been revised. The parameter CF i,v,lfr has been taken out from B.5.1. CAR is closed. B ) The parameter was deleted 2) The source for ST-5 and ST-10 has been corrected for the correct number of LEDs. 3) The input parameter has been taken out as it is not relevant for the calculations. 4) The worksheet now states l kerosene consumption per hour and kgco2 per day. 5) The sub sheet calculates the total MWp capacity of the VPA. Therefore it is named VPA MWp. 6) # has been replaced with number. 7) Column P states the sum of the individual system types to be sold as well as the total amount of all systems to be sold until 08/2020 To make this more evident, a heading was included. 1) The percentage of kerosene users in rural Ethiopia has been taken out from the worksheet Input parameters. 2) Corrected has been carried out. 3) luminous efficiency of wick kerosene lanterns has been taken out as not relevant. 4) Data units are now indicated as l kerosene consumption per hour and kgco2 per day. 5) Sub-sheet has been rephrased to VPA MWp. Table 1 is applicable to AMS I.A. version 14 Page A-34

62 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 has to be taken out. 4) In worksheet CO2 hurricane lamps : PPs are requested to indicate the data units for kerosene consumption per hour and CO2 per day. 5) There is one sub sheet in the excel sheet named Sheet1, this sheet1 needs to be rephrased for better transparency. 6) Column F 5 (in the sub sheet CO2 hurricane lamps) is not clear, there is #. 7) What is the significance of Column P 24,25,26,27 in the sub sheet Sales_fcst. 6) # has been replaced with number, thus it is clear now. 7) A header has been added to make it more transparent. The DOE by assessing the final ER excel calculation file (IRL 112) concludes that the ER calculation of the 1 st VPA is deemed to be correct and plausible. CAR is closed. Corrective Action Request No.13. Chapter B.6.1. (VPA-DD specific case and generic case) has to confirm that the monitoring plan as per the description in chapter E.7.2. of the VPoA-DD will be followed. Corrective Action Request No.14. PPs are requested to indicate the list of parameters that will be monitored using the table format as provided in section E.7.1 of the VPoA-DD template. B B The VPA-DD and generic template have been revised to include the information of the monitoring plan as per chapter E.7.2. of the VPoA-DD. The VPA-DD has been revised to include the monitoring parameters presented in table format under section B.6.2. Further PPs response: All relevant parameters to be monitored have been in- In B.6.1. of VPA (specific case and generic case) the information of the monitoring plan has been added and is consistent with the information provided in E.7.2. of the VPoA-DD. The DOE cross-checked all three documents for consistency. CAR is closed. Further DOE Request: No parameter is mentioned in VPA generic case as per E.7.1. of the VPoA-DD. PPs are requested to include all relevant parameters to be monitored in Table 1 is applicable to AMS I.A. version 14 Page A-35

63 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 Corrective Action Request No.15. It has to be explained in more detail in D.2. of the VPA-DD how stakeholders were invited to the local stakeholder consultation meeting and how comments have been invited. D.2.2. cluded in the VPA (generic case). 2 nd Further PPs response: Parameters to be monitored have been included under section B.6.1. in both documents. The section has been revised to include the first two paragraphs from the section D.2. of the VPoA-DD. Further PPs response: 1. A justification has been added why stakeholders B.6.1. of the VPA (generic case). There is no B.6.2. as per the PoA form (CPA), thus PPs are requested to revise that in the VPA (specific case). 2 nd Further DOE Request: As previously mentioned, there is no section B.6.2. as per the CPA form. PPs are requested to revise format (both in VPA specific case and generic case) and mention the parameters to be monitored under section B.6.1. Final conclusion: Format has been revised and all relevant parameters to be monitored are mentioned under section B.6.1. (both in VPA specific case and generic case). The completeness of the parameters to be monitored has been cross-checked by the DOE through the VPoA-DD and applied methodology AMS-I.A. CAR is closed. D.2. of the VPA-DD mentions now how stakeholders were invited (except for district administrators and village chairpersons) to the stakeholder meeting as well as their com- Table 1 is applicable to AMS I.A. version 14 Page A-36

64 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 of only one region have been invited. The CME thought the region to be most representative of all regions where systems were to be installed. However, the CME acknowledges that for future VPAs stakeholders would be invited in a more representative way considering comments from as many regions as possible participating in the VPA. 2. Now only information is mentioned that is relevant for the VPA or VPoA. 3. The requested information has been included. ments. Further DOE request: 1) It has to be justified (according to GS requirements) in the VPA-DD why stakeholders of only one region (Bokaso) have been invited even though the 1 st VPA covers regions of almost all Ethiopia. How is it ensured that comments of stakeholders of other regions have been considered? See also CR in D ) The VPA-DD presents information about the stakeholder meeting at PoA-DD level and vice versa. What is the relevance of the same? 3) PPs are requested to clarify by which means district administrators and village chairpersons were invited for giving their stakeholder comments. Final conclusion: 1) A plausible justification has been given in D.2. of the VPA- DD explaining why stakeholders of only one region (Bokaso) have been invited even though the 1 st VPA covers regions of almost all Ethiopia. The justification is accepted by Table 1 is applicable to AMS I.A. version 14 Page A-37

65 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 the DOE together with FAR 1 which requests for future VPAs to invite stakeholders in a more representative way considering comments from as many regions as possible participating in the VPA. 2) Only VPA or VPoA relevant information has been presented in the VPA-DD and VPoA-DD respectively. 3) It is clear now that district administrators and village chairpersons were invited by letters. CAR is closed. Clarification Request No.1 1) PPs are requested to clarify how the over 120,000 solar lighting systems have been determined, once the ER excel file in worksheet Sales fcts results in a total of 136,000 in column P. 2) A.2. mentions that all systems sold during the trial period are not included in this VPA. PPs are requested to clarify how they ensure the same. A ) The sales forecast figures in the ER excel file work sheet changed. Sales figures decreased as fewer systems are anticipated to be shipped due to a decline in donations. The total estimated number of solar lighting systems now is 102,015. Consequently, Therefore the sentence has been revised to over 100,000 solar lighting systems. 2) The sentence has been revised to all systems sold during the trial period are not included in this VPA as they will not be included in the PoA database. Further PP Response: The total estimated number of lighting systems was corrected to around 100,000 solar lighting systems accounting only for the 10 year crediting period. Further DOE Request/Conclusion: 1) The total estimated number of solar lighting systems is not correct, as for ST1 the systems until 2022 are considered (instead only until the end of the crediting period). PPs are requested to correct. 2) It has been clarified that all systems sold during the trial period will not make part of the VPA and this is ensured by not including them into the database. Final conclusion: Table 1 is applicable to AMS I.A. version 14 Page A-38

66 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 The total estimated number of solar lighting systems in the revised final ER calculation spreadsheet (IRL 112) as well as final VPA has been corrected considering systems until the end of the crediting period and not beyond the crediting period. The correction and final documents were verified by the DOE. CR is closed. Clarification Request No.2 PPs are requested to provide documentary evidence to substantiate that SEF is responsible for VPA implementation. Clarification Request No.3 Information box about PPs and involved parties has to be taken out from A.3. (VPA-DDs) since PPs and involved parties are determined at VPoA level. Besides, information about entities provided in Annex 1 of the generic VPA has to be taken out since project implementer may be different in different VPAs. A.3.2. Please see document 2 for confirmation. The VPA PIP Eligibility Form (mentioned in Annex 2 of the VPoA-DD) indicates in item Miscellaneous that VPAs are coordinated by SEF Ethiopia. CR is closed. A.3.3. Information regarding PPs/involved parties has been taken out from section A.3. (both specific and generic VPA-DD). Information about entities has been taken out from Annex 1 in the generic VPA. Information regarding PPs/involved parties has been removed from section A.3. (both in specific and generic VPA-DD) as well as information about entities has been taken out from Annex 1 in the generic VPA. CR is closed. Clarification Request No.4 PPs are requested to submit the documen- A SEF provides a guarantee for two years. After the end of that period SEF will provide replacements if re- Further DOE Request: The operational lifetime of 10 Table 1 is applicable to AMS I.A. version 14 Page A-39

67 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 tary evidence to validate the operational lifetime of 10 years of the solar home systems (modules/batteries/lamps). quested by the households. Depending on the usage rate systems/ components, some parts could reach an operational lifetime of 10 years. Nevertheless, the lifetime of 10 years cannot be guaranteed as this is not common practice. But please refer to document 4 (System Guarantee), for more specific information. years can be considered as reasonable, once the lamps have an operational lifetime of 30,000 hours (ST1,ST2,ST5) and 50,000 hours (ST10) as it was validated by the DOE according to the specifications sheets (IRL 33), which results clearly above 10 years if considering the default value of 3.5 hours/day service. Besides, the specification sheets of the solar modules (IRL 108) mention that maximum power (Pm) is not less than 90% in 10 years and 80% in 20 years. Old batteries are exchanged by new ones whenever necessary. Concluding, the operational lifetime of 10 years is deemed to be appropriate in the opinion of the DOE. CR is closed. Clarification Request No.5 The ODA declaration has to refer not only to the PoA (programme) level but as well to the VPA (project) level. PPs are requested to submit a revised ODA declaration or a 2 nd one which refers to the activity level. A Please see document 3 which is a revised ODA declaration. The revised ODA declaration (IRL 99) signed by the CME refers both to the PoA (programme) and 1 st VPA (project level). CR is closed. Clarification Request No.6 Local Stakeholder Consultation at VPA level D.2.1. Even though the VPA takes place in various regions in Ethiopia, Bokaso was chosen for the LSC meeting due During the on-site field visits, the DOE had the chance to talk Table 1 is applicable to AMS I.A. version 14 Page A-40

68 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 has been taken place in Bokaso (village close to the solar center of Yirgalem). How was it ensured that stakeholders of the other regions participating in the VPA (in total there are 11 solar centers from different regions in Ethiopia included in the VPA) were invited for comments and those comments were taken due account? PPs are requested to clarify. to the following reasons: It is the first place where SEF began its operation during the pilot. Hence, stakeholders in Bokaso, both users and non-users of SHS, were believed to have a better knowledge of the system s benefits and side effects and therefore could give more informed feedback. Since the period was a heavy rainy season in Ethiopia (June- August),Bokaso was best accessible by vehicle, also for stakeholders from other regions. Even though Bokaso represents only the Southern part of the VPA, the life style & believe systems is similar to the other regions and therefore Bokaso was seen as appropriate for the LSC meeting. Nevertheless, the CME recognizes for future VPAs that stakeholders will be invited in a more representative way considering comments from as many regions as possible participating in the VPA. with some of the stakeholders who were participating in the stakeholder meeting at VPA level as well as with household owners who could not participate. The DOE confirms that those stakeholders not participating in the stakeholder meeting had no different comments to the ones in the stakeholder meeting, thus it is accepted by the DOE for this VPA to have invited stakeholders only from Bokaso region (area close to the solar center of Yirgalem), however the following FAR was raised. Forward Action Request No.1: CME/PIP are requested to take care for future VPAs that stakeholders are invited in a more representative way considering comments from as many regions as possible participating in the VPA, unless a justification is given that stakeholder invitations of one region are enough for representing the whole VPA. Clarification Request No.7 PPs are requested to confirm if stakeholder D.2.3. According to the Ethiopian Environmental Protection Agency, a stakeholder consultation shall be conducted to have a joint partnership with all concerned stake- It has been clarified that stakeholder consultation is required by the Ethiopian DNA for car- Table 1 is applicable to AMS I.A. version 14 Page A-41

69 Validation Protocol CDM-SSC-VPA-DD VPA Title: Solar Lighting in rural Ethiopia VPA 1 Date of Completion: 05/07/2012 Number of Pages: 42 consultation is required in host country for this kind of project. holders to ease the implementation of the programme at a sustainable manner bon projects. The same was confirmed by the Ethiopian DNA during an on-site interview. CR is closed. Table 3 Unresolved Corrective Action and Clarification Requests (in case of denials) Clarifications and / or corrective action requests by validation team Id. of CAR/CR Explanation of Conclusion for Denial Table 1 is applicable to AMS I.A. version 14 Page A-42

70 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Annex 2: Information Reference List

71 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 1 of 12 Ref. No. Title/Type of Document. Publication place 1. Gold Standard Requirements Gold Standard v2.1 and Toolkit Approved Small Scale Methodology AMS.I.A. ver.14, Electricity generation by the user EB54 Issuance and/or submission date(dd/mm/yyyy) 4. Guidelines for demonstrating additionality of microscale project activities, version 02 EB60, Annex GSP VPoA Solar Lighting in Rural Ethiopia (version 01), VPA (specific case) Solar Lighting in rural Ethiopia Phase 1 (version 01), VPA (generic case) GS Passport (VPoA) and GS Passport (VPA), version 1 Final VPoA-DD Solar Lighting in Rural Ethiopia VPoA, version 04 Final VPA-DD, Solar Lighting in Rural Ethiopia VPA 1, version Final Gold Standard Passport VPoA and VPA, both version (both VPoA and VPA (specific case)) No date mentioned in passports (version 01) however PPs communicated that passports were elaborated on (both VPoA-DD and VPA- DD) (both VPoA and VPA passports) 9. Gold Standard PoA Rules and Guidance - Annex F TÜV SÜD INDUSTRIE SERVICE GMBH

72 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 2 of Ref. No. Title/Type of Document. Publication place On-site visit (Interview) between to Participants: Johann Thaler TÜV SÜD Eswar Murty TÜV SÜD Worku Abebe Financal Administrator, SEF Samson Tsegaye Country Director, SEF Birham Ayalew Special Advisor, Environmental Protection Authority (EPA) Azamach Aseefa Secretary, Woreda office, Bokaso Gima Koreso Officer, Water & Energy, Bokaso Arega Hewiso Farmer (Stakeholder), Bokaso Endalkachew Kayuso Politician, Bokaso Abraham Lencho Technician, SEF Anteneh Samson IT & Revolving Fund officer, SEF Dereje Agonafir Director, EPA Yonas Workie Technical Director, SEF Nebiyou Wolderufael Technician, SEF 11. Field visits and Interviews in villages with project stakeholders Issuance and/or submission date(dd/mm/yyyy) SSC WG Report on Consideration of Potential Fossil Fuel Lighting Replacement Methodology EB25, Annex Approved Small Scale Methodology AMS.II.J. ver.04, Demand-side activities for efficient lighting technologies EB54 14 IFC/ Worldbank, Lighting Africa survey: Lighting Africa Market Assessment Results Quantitative Assessment Ethiopia, TÜV SÜD INDUSTRIE SERVICE GMBH

73 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 3 of Ref. No. Title/Type of Document. Publication place The socio environmental impacts of solar home lighting project implementation, A case analysis of REMA solar home lighting project, A project report under the guidance of Mr. Andrew Marevesa submitted by Worku Abebe Tessema, MBA, Roll Number: , Sri Sai Learning Center, LC Code No: 2540, Addis Ababa, Ethiopia Evan Mills (Lawrence Berkeley National Laboratory): Technical and economic performance analysis of kerosene lamps and alternative approaches to illumination in developing countries World Health Organization: Indoor air pollution in developing countries: a major environmental and public health challenge Electrifying the poor: Highly economic off-grid PV systems in Ethiopia A basis for sustainable rural development, Ch. Breyer, A. Gerlach, M. Hlusiak, C. Peters, P.Adelmann, J. Winiecki, H. Schützeichel, S. Tsegaye, W. Gashie Delft University of Technology: Renewable Energy Support Policy Options for sustainable development: Using the analytic hierarchy process: The case of rural Ethiopia Cree XLamp LEDs Data Sheet Issuance and/or submission date(dd/mm/yyyy) VPA Solar Lighting in rural Ethiopia Phase 1, ER calculation excel file, version Project implementation schedule 23 Stiftung Solarenergie (Solar energy foundation): Business Plan for sustainable solar energy business in Ethiopia describing the operational and management plan, stating that the PoA is a voluntary action and evidence for donor financing of pilot/trial project without date - submitted in June 2011 for document review Business plan of SEF to understand the donor fundings September Samples for sales agreement with Customers for ST 10 for the discounted price TÜV SÜD INDUSTRIE SERVICE GMBH

74 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 4 of 12 Ref. No. Title/Type of Document. Publication place Issuance and/or submission date(dd/mm/yyyy) 26 Energy Policy of the Transitional Government of Ethiopia March Light for Education II Rema Ethiopia- Final report Oct 2006-March Light for learning- Report on the installation phase of Pilot Project by SEF March/April Report on the Inspection visit of Solar Pilot Project by SEF September Samples of Certificates of Training for Technicians who completed the Rural Solar Energy Manager program Without date 31 Rural Lighting Services: A comparison of lamps for domestic lighting in developing countries: F.D.J Nieuwenhout, P.J.N.M. van de Rijt, E.J. Wiggelinkhuizen 32 Technical specifications of GEL Tech battery Without date 33 Specifications (sales) sheets of Suntransfer types ST1, ST2, ST5 and ST10 34 Self-Declaration of Non-use of official development assistance by project owner (Stiftung Solarenergie Solar Energy Foundation) without date submitted in June 2011 for document review Notification to Ethiopian DNA regarding Stakeholder consultation Registration request to Ministry of Education for 2 nd International Solar Energy Institute Growth and Transformation Plan Document published from the DNA, Ethiopia Accreditation certificate for International Solar Energy Institute by ANRS TVET Promotion Agency ---- TÜV SÜD INDUSTRIE SERVICE GMBH

75 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 5 of 12 Ref. No. Title/Type of Document. Publication place Issuance and/or submission date(dd/mm/yyyy) 39 SEF- Certificate of Registration and License SEF- General Description of Reporting & Related Formats Without date 41 SEF-Flowchart for Revolving Fund Reporting procedures Without date 42 Template of Sales and maintenance reporting Without date 43 Template of Sales report Without date 44 Template for New system installation and Inventory activity Without date 45 Template for Maintenance and Replacement activities Without date 46 Project Idea Note (My climate) Light for education in Ethiopia Term sheet between Stiftung Solarenergie together with Solar Energy Foundation (SEF) ( seller ) and myclimate The Climate Protection Partnership ( Buyer ) Memorandum of Understanding between Stiftung Solarenergie Solar Energy Foundation and Foundation myclimate 49 Template for Carbon Right Transfer Agreement 50 ERPA between Stiftung Solarenergie together with Solar Energy Foundation (SEF) ( seller ) and myclimate The Climate Protection Partnership , signed on and respectively (signed on the same date) Without date, submitted in June 2011 for document review (signed on the same date) TÜV SÜD INDUSTRIE SERVICE GMBH

76 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 6 of 12 Ref. No. Title/Type of Document. Publication place Issuance and/or submission date(dd/mm/yyyy) 51 List of LDC countries Access in July Stakeholder Consultation Report at VPoA and VPA level June Stakeholder Feedback Round Consultation Report at VPA level Invitation letters sent to different stakeholders for the First Round Local Stakeholder Consultation PoA level June Invitation letters sent to different stakeholders for the First Round Local Stakeholder Consultation VPA level June Invitation letters sent to different stakeholders for the Second Round Local Stakeholder Consultation (Feedback Round) PoA level August Invitation letters sent to different stakeholders for the Second Round Local Stakeholder Consultation (Feedback Round) VPA level June Invitation letters sent to stakeholders in Amharic at VPA level June List of Participants attended for First Round Local Stakeholder Consultation -PoA level List of Participants attended for First Round Local Stakeholder Consultation VPA level TÜV SÜD INDUSTRIE SERVICE GMBH

77 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 7 of 12 Ref. No. Title/Type of Document. Publication place Issuance and/or submission date(dd/mm/yyyy) 61 List of Participants attended for Second Round Local Stakeholder Consultation -PoA level List of Participants attended for Second Round Local Stakeholder Consultation -VPA level Power Point Presentation (non-technical and technical summary) in local language hold at VPA level Letter from Environmental Protection Authority, Addis Ababa to SEF for requirement of management plan and no requirement of EIA Code of Ethics, version 02, Stiftung Solarenergie (Solar Energy Foundation) for supporting the Do not harm assessment Non Technical Summary of the project in Amharic language Power point presentation during stakeholder consultation in local language including Non technical and technical summary Sustainable Development Matrix during First Round Stakeholder Consultation at PoA level Sustainable Development Matrix during First Round Stakeholder Consultation at VPA level ---- TÜV SÜD INDUSTRIE SERVICE GMBH

78 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 8 of 12 Ref. No. Title/Type of Document. Publication place Issuance and/or submission date(dd/mm/yyyy) 70 Sustainable Development Matrix during Second Round Stakeholder Consultation at PoA level Sustainable Development Matrix during Second Round Stakeholder Consultation at VPA level List of Employees of SEF SEF payroll of employee on sample basis April Certificate of training in Photovoltaic technology provided by SEF to University professors as a part of Capacity Building program November Report on the Workshop on Solar technology and microfinance conducted by SEF November Participation lists of Students Attained in ISEI (International Solar Energy Institute for Rural Development) UN Convention against corruption : OECD Convention on Combating Bribery of Foreign Public Officials in International Business Transactions Accessed on December 2011 Accessed on December 2011 TÜV SÜD INDUSTRIE SERVICE GMBH

79 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 9 of 12 Ref. No. Title/Type of Document. Publication place UN Human Rights convention: Issuance and/or submission date(dd/mm/yyyy) 79 ILO conventions: Accessed on December Transparency International: Global corruption Barometer WHO, Addressing the Links between Indoor Air Pollution, Household Energy and Human Health, Schare S. and K.R. Smith, Particulate emission rates of simple kerosene lamps, Energy for Sustainable Development, Volume 2 (2) Bruce N, Perez-Padilla R, Albalak R Indoor Air Pollution in Developing Countries: A Major Environmental and Public Health Challenge. Bulletin of the World Health Organization. Vol. 78 (9): IPCC values for NCV and emissions factor of kerosene GPS data of Ethiopia and the Solar Centers access on 20 th August 2011 TÜV SÜD INDUSTRIE SERVICE GMBH

80 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 10 of 12 Ref. No. Title/Type of Document. Publication place Issuance and/or submission date(dd/mm/yyyy) 86 Ethiopian legislation (proclamation N 299/2002) about environmental impact assessment Ethiopia s Climate Resilient Green Economy (Green Economy Strategy) issued by Federal Democratic Republic of Ethiopia 88 Density of kerosene: & Stifftung Solar Energie: -- November Conversation between GS Foundation and myclimate about the uploading of LSC Reports 08/ SEF Personnel Administrative Policy (Personnel Manual) 08/ SEF Job descriptions (country director, program manager, rural solar energy technical director, director of International Solar Energy School, IT officer, Finance desk officer, revolving fund officer, head office accountant, logistics officer, liaison officer, warehouse keeper, solar energy inspector, solar energy technician and others) Without date 93 Stakeholder Feedback Round Consultation Report at VPoA level Information about sales forecasts (1st VPA and VPoA) Submitted in November Database check during the on-site visit On-site visit 96 Self-Declaration signed by CME (SEF) that SEF does not employ and is not complicit in any form of child labour or compulsory or forced labour List of participants being invited both for the LSC and LSC feedback round (at VPA level and VPoA level) Without date 98 Self-Declaration signed by CME (SEF) that VPA Solar Lighting in Rural Ethiopia VPA 1 is neither registered as an individual VER/CDM project activity nor is part of another registered PoA/VPoA Self-Declaration signed by CME (SEF) confirming that the project will not receive or benefit from ODA under the TÜV SÜD INDUSTRIE SERVICE GMBH

81 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 11 of 12 Ref. No. Title/Type of Document. Publication place condition that some or all credits coming out of the project are transferred to the ODA donor country. Issuance and/or submission date(dd/mm/yyyy) 100 Self-Declaration signed by CME (SEF) confirming that the PoA is a voluntary action and is not required by law Cover Letter (including Modalities of Communication) to be submitted to GS Foundation, issued by myclimate Manufacturer (SunSumSolar) declaration confirming the use of Cree LED chip Cool White Q4 with a luminous flux of 100 lumen (XPCWHT-L C01) in the PoA for all systems (ST1, ST2, ST5 and ST10) and confirming that the climatic conditions do not influence the LFR of the SHS (ST1, ST2, ST5 and ST10) Without date Project management plan, prepared by SEF conversation between GS and myclimate about title change of VPoA and 1 st VPA October Project Report for the foundation Antonia Ruut, Build up of revolving fund: Light for education and development (from the German Aufbau des Revolving Funds: Licht für Bildung und Entwicklung ) Without date 106 REPIC final report Ethiopia project Light for education and development Without date 107 Host Country Approval Letter issued by the Ethiopian DNA (Environmental Protection Authority (EPA)) 13/12/ Specification sheets of solar modules, SUNTRANSFER Without date 109 Excel spreadsheet prepared by SEF demonstrating the dissemination of around 200,000 solar home systems by 2020 Without date 110 Screenshot GS website (VPoA and VPA) 02/ Supporting documentation that Ethiopia is a oil importer: Accessed on 15/12/2011. TÜV SÜD INDUSTRIE SERVICE GMBH

82 Validation of GS VPoA 911 Solar Lighting in Rural Ethiopia VPoA Information Reference List Page 12 of 12 Ref. No. Title/Type of Document. Publication place Issuance and/or submission date(dd/mm/yyyy) 112 VPA Solar Lighting in Rural Ethiopia VPA 1, ER calculation excel file, version Applied Statistics in Business and Economics, chapter: Sampling distributions and estimation, issued by Doane and Seward 114 UNDP Human Development Index (HDI), Submitted 13/03/ Accessed in December Guidelines on assessment of debundling for SSC project activities EB54, Annex Guidelines on the consideration of suppressed demand in CDM methodologies EB62, Annex Suntransfer confirming the use of the same LED chip Cool White Q4 for all system types (ST-1,ST-2,ST-5 and ST-6) Self-Declaration signed by the CME (SEF) confirming that -there was no public announcement of the project going ahead without the revenue from carbon credits; -the 1 st VPA will not exceed 5 MW; -none of the systems sold during the trial period was applying or will apply for carbon credits; 119 Extract of sales records 120 Sales agreement template 13/02/ /04/2012 Submitted on 07/05/2012 Submitted on 15/06/2012 TÜV SÜD INDUSTRIE SERVICE GMBH

83 Validation of the VPA: Solar Lighting in Rural Ethiopia - VPA 1 Annex 3: Appointment Certificates

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