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UZB-8004

Appendix 10 Procurement Analysis Uzbekistan Solid Waste Management Investment Project

2 Solid Waste Management Investment Project – TA 8004

Procurement Assessment

Introduction The procurement assessment component (i) reviews the procurement environment to provide an understanding of the implications and risks for the design and implementation of the investment project,(ii) conducts a procurement capacity assessment of the selected implementation agency(ies) [IAs], and identifies requirements for enhancing the procurement capacity of the IAs to apply ADB procurement procedures, (iii) prepares an initial project procurement plan, and if timely, (iv) initiates preparation of bidding documents. This assessment based on desk research, and a mission to Tashkent during June 2012, summarizes the overall procurement environment. This involved meetings with key government departments, ADB staff at the Uzbekistan Resident Mission (URM), and selected ADB Executing Agency (EA) project staff. Public Procurement in Uzbekistan Context in 2003 In 2003, the World Bank and ADB conducted a joint assessment of public procurement in Uzbekistan1. The underlying weaknesses were identified as follows;

No procurement law; Legislation based on complex Cabinet of Ministers’ (COM) Resolutions;

No single institution regulatory authority for public procurement; No grievance redress procedure; Few specialist procurement staff; No independent audit institution; No anti-corruption strategy, and Low level of confidence by private sector suppliers, contractors and consultants in

Government procedures Given the above deficiencies, the CPAR recommended;

1. Legislative reform, in particular, the immediate consolidation of resolutions into a single coherent document, and in the medium term, the drafting of a law on public procurement, underpinned by a set of implementing regulations,

2. Organizational reform, in particular, the immediate appointment of a lead agency for public procurement reform leading to an independent public procurement regulatory authority,

3. Development and implementation of procurement training courses for public officials by the State and Social Development Academy, under the President’s Office, and

4. Audit reform, in particular, establishment of internal audit units to conduct ex-post audits of procurement transactions, and a grievance redress process.

1 February 2003: Republic of Uzbekistan, Country Procurement Assessment Report (CPAR), The World Bank


Context in 2012 The Ministry of Finance (MOF) completed an ADB Country Public Procurement Profile questionnaire in October 2011. The response was published on the ADB Procurement Forum website (www.adbprocurementforum.net). Whereas this response indicates considerable procurement reform since 2003 this needs to be followed up with MOF as this assessment would suggest otherwise. Since 2003, few of the CPAR’s recommendations appear to have been implemented with minimal procurement reform. Uzbekistan still does not have a procurement law although the concept of a draft law on procurement is now under discussion. Whereas some consolidation has been implemented, in practice, a suite of complex resolutions still governs public procurement. There have been some positive developments, specifically through the adoption of the Presidential Decree No. 1475 of the Republic of Uzbekistan in February 2011 ‘On Optimization of the Public Procurement System and Wider Involvement of Small Business Entities’. This provides (i) the basis to establish the Commission on Public Purchases,2 and (ii) stipulates that only small business entities can bid for construction and reconstruction contracts with a value of up to 500 million soums. There is no independent public procurement regulatory authority. Responsibility is shared between the line ministry or executive agency (EA) concerned and the Ministry of Foreign Economic Relations, Investment and Trade (MFERIT), the MOF, the Ministry of Economy (MOE), and the State Committee for Architecture and Construction (SCAC)3. It is not clear to what extent, if at all, the Account Chamber provides any structured independent audit of procurement transactions. Procurement capacity remains weak and few government staffs have received formal procurement training.

2 The Commission is responsible for the efficient utilization of public funds for procurement, monitoring of

procurement and ensuring that small businesses have the opportunity to participate in public procurement. 3 November 2011: Uzbekistan: Consolidated Governance Risk Assessment and Risk Mitigation Plan covering

National Level and the Energy, Urban and Transportation Sectors, Asian Development Bank.


The Procurement Process General The succeeding figure summarizes a typical process for the ‘procurement’ component of an International Competitive Bidding (ICB) engineering, procurement and construction [EPC (turnkey)] contract in Uzbekistan.

Typical EPC Procurement (ICB) Process in Uzbekistan

Activity Responsible Prior Review

Preparation of bidding documents EA/Consultants Approval of bidding documents SCAC ADB Invitation for Bid EA/ADB ADB Bid Opening Tender Committee Preparation of Technical Bid Evaluation Report (TBER)

EA/Consultants

Approval of TBER Tender Committee ADB Financial bid opening Tender Committee Preparation of Financial Bid Evaluation Report (FBER)

EA/Consultants

Approval of FBER Tender Committee ADB Contract Award Tender Committee Contract Signing EA Price Verification

MFERIT Coordinated MFERIT/MOF/SCAC/Customs Issuing Letter of credit EADelivery EPC Contractor

One of the major impediments is the structure of the Tender Committee. The committee normally comprises 9-11 staff of which the EA members cannot exceed 30 per cent. Other members include MFERIT, MOF, Ministry of Economy (MOE) and SCAC. A further impediment to efficient and effective procurement is the Price Verification procedure of winning tenders coordinated by MFERIT. Ironically, as a member of the Tender Committee, further checks are conducted by the Investment Project Executive Division of MFERIT to confirm: (i) the contract award price represents efficient utilization of state budget funds, (ii) government resolutions were applied, and (iii) procurement monitoring was conducted. ADB’s Governance Risk Assessment (see footnote above) notes ‘the dispersed procurement responsibilities act as a constraint leading to time consuming, lengthy and sometimes resource intense internal approvals on government decisions’. The Price Verification process is also known to reject winning bids and result on occasions in re-bidding.


Monitoring the Efficiency of the Procurement Process Procurement monitoring where activity targets in terms of calendar days, and accountability by government department for each activity is currently not practiced. By way of example, the figure below illustrates procurement data retrieved and presented in a procurement-monitoring sheet by the PPTA team for an EPC procurement on an ADB agriculture sector project.

Procurement Contract Monitoring System

No ‘norms’ (targets) and no responsibilities were assigned. The underlying graph illustrates the time required, about 9 months, for the procurement component.


Further, the underlying histogram apportions the time by each procurement activity and illustrates where the delays are occurring. It is noteworthy that Price Verification accounts for about two months.

Anecdotal evidence would suggest that this is an example of a relatively efficient procurement and that procurement durations of over one year are common.

Procurement in the SWM Sector ADB’s Governance Risk Assessment (see footnote 3 above) provides a useful summary of procurement by key sectors. The underlying paragraphs have been extracted from this report:

“UCSA has some experience in implementing ADB funded projects in WSS sector. However, its capacity to manage international procurement, particularly procurement of consultancy services is low due to underdeveloped national legislation and lack of well-established internal rules and procedures. UCSA still does not incorporate experience and best practices of previous loans and TAs supported by ADB and other IFIs. Moreover, there are differences between national procedures and the international procurement standards which may affect project implementation schedule and create additional burden on staff-members of an implementing agency in terms of getting clearance from various government agencies, and maintaining the documentation and reporting in both standards. Higher decentralization and weak control and oversight mechanisms in the SWM sector leads to ineffective enforcements of existing norms and standards, including those related with conducting procurement. The sector is represented by a large number of small enterprises which are under control of local Khokimiats and have no experience and capacity to implement complex and large scale investment projects. The only exception is Mahsustrans company covering Tashkent city (under control of Tashkent city, Khokimiat), however, this company also has marginal experience in conducting procurements under IFI funded projects. Such situation in the sector may result in weak coordination and misreporting, lagging schedules due to delays of bidding, revision/cancelations of bidding results and even contract revoking at times”.


Implications of the Initial Procurement Assessment for the PPTA General The initial assessment confirms that procurement capacity in Uzbekistan remains weak and the SWM sector, as outlined in ADB’s Government Risk assessment, is no exception, and given its limited procurement experience vis a vis other sectors, presents a higher risk. There are fundamental structural issues which require major change before procurement in Uzbekistan will meet international standards. Given that between 2003 and 2012, few of the CPAR recommendations have been implemented, it can be inferred that fundamental change is unlikely within the time frame of the proposed investment project. It is likely therefore that any procurement to be undertaken under the investment project will be prescribed as ICB with intense ADB oversight. This will have important ramifications for future loan processing and negotiations.

Recommendations It is recommended that two further procurement missions are programmed into the PPTA.

Mission 2: The mission should follow once the investment project IA or IAs are defined. The key objective would be to undertake a procurement capacity assessment of the entities that would have responsibility for procurement under the investment project. By way of example, this might be the Mayor of Tashkent’s Office directly or a company, designated by the Mayor’s Office. The output would be a risk assessment and recommendations to mitigate procurement risk, e.g. recruitment of new staff, establish a procurement unit, identify training needs. The mission would also serve to fill in gaps on a more complete understanding of the procurement environment through meetings/dialogue with UCSA, MFERIT, MOF, SCAC, and Commission on Public Purchases. Mission 3: The mission would follow once the investments are more clearly defined and focus on preparation of the Procurement Plan and if appropriate, initiate preparation of requests for proposals (RFPs) and bidding documents (BDs).

UZB‐TA 8004

Appendix 11 Anticipated Environmental Impacts / Rapid Environmental Assessment (REA)

Uzbekistan Solid Waste Management Investment Project

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Solid Waste Management Investment Project – TA 8004

Initial Site Assessment (Akhangaran Landfill) The Akhangaran landfill is located approximately 33 km south of the center of

Tashkent City in the Akhangaran district of Tashkent Province. Based on the

interviews conducted at the site, the total area of the landfill is 59.0 hectares. Visibly

adjacent areas are agricultural areas and there are no residential areas or industrial

facilities in the immediate vicinity. The facility has been in use since 1967 and

received the entire collected waste from Tashkent and Churhik. The picture below

presents the relative distance and location of the landfill site from the city.

Location Map of Akhangaran Landfill

Area of LFG Capture Area

Area being currently utilized for dumping

Administration Building / Weighbridge

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During the initial site assessment, it was observed that the site has adequate access

wherein access is “controlled’ by a security gatehouse. Although it was noted that

there is no fence around facility, an operational weighbridge, an office /

administration building and social facilities for workers were established. It was

observed that the wheel wash facility is not utilized by outgoing trucks.

Akhangaran landfill Security gate

Weighbridge with Wheel Wash

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In 2010, a landfill gas (LFG) collection systems was installed to recover biogas (i.e.

methane). The system is composed of 40 extraction wells interconnected onto a

single flare.

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Based on available information, the total volume of waste being disposed at the site

is pegged at about 1,600 tons per day. However, there are no records on the actual

volume of waste disposed at the site. According to the operator, they assume that the

site has a total remaining available utilizable area for disposal less than 15 hectares.

It was also ascertained that the site has no base sealing system, no leachate

collection or no installed monitoring system. According IB Maxsustrans, typical waste

pile thickness is reported to be between 15m to 25m to comply with the height

restrictions imposed by Goskompriroda.

Waste dumped by truck at Akhangaran Landfill

In spite the security forbidding scavenging, it observed that waste scavengers are

present and are actively sifting through for recyclable items such as plastic and metal

from the freshly dumped wastes. It is deemed that scavenging opportunities arise

due to operational limitations.

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Waste Scavengers at the Site

It was also observed that since wastes are not properly covered, spontaneous

combustion of wastes is a common occurrence resulting to the pungent smoke

arising from the site. This is often exacerbated by scavengers deliberately “burning”

wastes to recover the metal portion of the waste.

Burning Wastes due to Spontaneous Combustion

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Notwithstanding the installed systems for the Akhangaran landfill, the facility

resembles more like a controlled dumpsite rather than a landfill as commonly referred

to. The existing disposal practice at the Akhangaran Landfill may be generally

characterized as:

Generally organized but employs sporadic dumping of wastes;

Absence of data / information actual volume of waste stored at the site

No controls over potential pollutants and residues generated and released

from waste decomposition;

Occasional vectors are attracted to the site due to exposed wastes;

Potential generation of odors and pungent smoke from spontaneous

combustion

In order to implement a proper waste management system, existing practices should

be changed and an effective system should be implemented. The matrix below

distinguishes the existing waste management from the proposed project.

Existing Dumping Practices Sanitary Landfill (SLF)

Limited capacity

No Site Preparation and no cell planning-waste deposited across large part of the site

Thin layers of waste-relatively rapid aerobic decomposition

No leachate gas management

Limited compaction of waste

Litter blown within and beyond site boundary- no fence

Uncontrolled presence of Vermin, pests and scavenging animals

Waste picking and trading at the site

Site design based on environmental impact and risk assessment

Planned capacity with phased cell development

Waste Sorting and Treatment prior to disposal of Residues

Full controlled emission and effluent management with abstraction and treatment

Extensive site preparation and containment Engineering

Disposal of residues only and application of daily, intermediate and final cover

Compaction of waste to maximum specified target densities

Full record of waste Volume, types and sources

Specified operational procedure to protect local amenity including vector controls

Fence, gate and other site infrastructure to ensure no trespassing and waste picking

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Project Rationale

The establishment of an engineered sanitary landfill (SLF) is crucial considering the

diminishing utilizable area of the existing facility vis-à-vis the continuous stream of

incoming waste. This would also include but not limited to negating the need for

allocating additional disposal area only to be subjected again with the existing

dumping practice. The proposed project shall have the following operational

elements:

Improved recording of wastes volumes, types and sources

Proper segregation of inorganic materials strengthening recycling

Proper disposal of residual waste into an engineered Sanitary

Landfill

Planned capacity with phased cell development for landfill

Specified operational procedures to protect the receiving

environment

Effective Site restoration and closure procedures for existing

dumpsite

Sanitary Landfill (SLF)

To maximize the area as well as implement an efficient final disposal operation, the

landfill will be operated in the phases. The SLF is divided in several cells, which will

be built and utilized depending on the actual collected waste volumes. The figure in

the succeeding shows the proposed sanitary landfill.

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The basic technology behind every modern sanitary Landfill is typically the “Multi

Barrier” approach to ensure a long term, environmental sound disposal solution. The

principle of a liner system is presented in the figure below.

The liner system

This “Multi-Barrier-System” which will be applied at the landfill area shall consist of the

following typical components:

First Barrier: Geological barrier. This is the subsoil of the site

itself (i.e. silty clay substrate readily available at the site)

Second Barrier: Base sealing. The landfill base shall be

covered by a redundant liner system from specially

manufactured HDPE-plastic sheets and a mineral layer (clay)

with a very low permeability.

Geotextile, 10 mm, 2000g/m2

Waste

Gravel, 30 cm

HDPE Liner, 2,5 mm

Clay, 50 cm

Underground, Soil and Rocks

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Third Barrier: Waste landfill. It is a series of layers of highly

compacted waste. The technically designed highly compacted

layer of waste will be made possible with the use of specially

designed compacting vehicle/equipment. This method of waste

landfilling provides optimal protection against blown litter /

garbage as well as prevention against rodents and at least a

preventive measure for fire hazards (e.g. spontaneous

combustion). This barrier will form the main body of the landfill.

Fourth Barrier: Surface sealing. It is normally established

after the backfilling to the maximum design volume of the

landfill disposal cell. This surface sealing or enclosure has to

be made of water and gas tight HDPE plastic sheets and is

covered with a layer of topsoil. This seal prevents the intrusion

of surface water into the main body of the landfill. Likewise, the

surface sealing allows the collection of gases from the

deposited waste if necessary / applicable. During normal

operation a ‘temporary surface sealing’ with ordinary soil will be

implemented for the daily coverage of the waste.

surface sealingwaste

base sealing system

mineral sealing layer

substrate:geological barrier

Typical Schematic diagram of multi-barrier system

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Leachate and Gas Collection system

To properly collect and treat any leachate or methane gas generated in the

landfill area, a collection system shall be installed.

Typical Leachate Collection Pipe

Leachate Treatment / Handling system

Due to the limited amount of rainfall (hence limited leachate generation) a

leachate “recirculation” system is being considered. The leachate can be

sprayed over the waste disposal area for evaporation. The system is a flexible

system of pipes, hoses and sprayer connected to the hydrants at the pump

station.

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Auxiliary Facilities

The following auxiliary facilities and other infrastructures shall be established in

support to the functional requirements of the facility;

Perimeter Fence

Entrance Gates / Guard House / Wash Bays

Weigh Bridge

Power Station

Administration Building

Motor Shop / Work shop

Parking Areas

Leachate treatment reservoir

Social and Changing Room for Workers

Monitoring wells

Drainage System

Anticipated Environmental Impacts

Among the important pre-construction activities is the conduct of an Environmental

Impact Assessment (EIA). The purpose of the EIA is to:

Identify and assess potential impacts of a project and its consequent

effects on the receiving environment before commencement of any

construction activities.

Introduce changes / corrective measures / improvements into the project’s

design whenever the impacts are found to be significant and unavoidable

Ensures that all interest groups understand the likely effects of the

establishing the engineered landfill compared to simply just leaving it to its

current state. The process shall ensure that the final decision on the

project is taken with full knowledge of the environmental consequences of

the current situation vis-à-vis the proposed project.

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The engineering designs and technical specifications of the SLF have been mostly

finalized. It is therefore timely to determine the anticipated environmental impact

brought about by the proposed project. This is to ensure that the environmental

components and relevant safeguards are taken into consideration prior to the actual

conduct of an EIA. The succeeding matrix shall consider the planned and designed

project component, the project site and the anticipated impacts “without mitigation”.

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Topical Issues YES NO Project Phase

Potential Impact

Intensity Anticipated Source / Initial Assessment

Air Quality Air pollutant Emissions (Dust)

C,O (‐) M,ST,R Impact of fugitive dust may be confined within a 500 meter radius from the site

Objectionable Odors O (‐) I,ST,R Will mostly emanate from existing dumpsite until properly closed. “Temporary surface sealing” (i.e. the daily covering of dumped waste with soil) shall be applied.

Land form Impact to land classified as prime or unique farmland

C,O (‐) S, LT,IR It should be noted that such impact is inevitable as (1) the proposed area has been allocated for expansion even without the SLF and (2) the establishment of a SLF is more advantageous compared to the current dumping practice.

Land Contamination O (+) M,LT,R Multi‐barrier liner system and leachate collection system included in the project design. Soil substrate at the site has a low permeability potential.

Water Alterations in Water Quality

O (+) M,LT,R There are no natural surface water bodies in the sites immediate periphery. An irrigation canal traverses the site. Groundwater is reportedly below 50‐100 meters.

Alterations in Water Flow Patterns

C,O (+) I,ST,R Natural surface bodies are often intermittent largely dependent on the amount of precipitation. Presence and location of irrigational canals should be considered during the project design.

Solid Waste Solid Waste Generation C,O (+) I,ST,R This may only pertain to the top‐soil removal during land preparation and site grading. Such materials will be used

later for final covering. SLF operational related activities (e.g. application of daily cover, fencing) reduces the potential of wind‐blown litter

Noise Noise Impacts C,O (‐) I,ST,R Sensitive areas are situated beyond a 3‐kilometer radius.

Flora and Fauna Loss or displacement of Flora and Fauna

C,O (+) I,ST,IR The site is bounded by agricultural plots. It is noted that avian vectors may be attracted to the existing dumpsite and/or can be considered to be migratory.

Habitat Alteration C,O (+) I,ST,IR There are no sensitive habitats within a 2 kilometer radius. This can be further verified by increasing the study area to cover a 5 kilometer radius.

Land Use Conflicts in Land Use C,O (‐) M,LT,IR Establishment of the SLF will involve the reclassification of land use

Legend: Project Phase C – Construction Phase O – Operation Phase.

Potential Impact (+) Positive (‐) Negative

Intensity heading,I – Insignificant, M –Moderate, S – Significant, LT – Long Term, ST – Short Term R – Reversible, IR – Irreversible.

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Potential Impact

Intensity Anticipated Impact / Initial Assessment

Natural Resources Located in an area designated as National Parks, Bird Sanctuaries, Protected Areas, etc. as prescribed by law

C,O (+)

I,ST,IR

There are no observable fauna habitats within and around the project site.

Transportation and Traffic Movement of additional vehicles

O (‐) I,ST,R It should be noted that the adjacent site is an existing controlled dumpsite which serves as final repository for wastes collected from Tashkent. Once established, these wastes will be disposed in the proposed SLF. It is envisaged that the number of trucks will not significantly increase during the project lifespan.

Socio – Economic Public Health, Community safety and security issues

C,O (‐) I,ST,R There are no residential or community areas within a 3‐4 kilometer radius from the site. Further, the SLF aims to eliminate the presence of scavengers at the site thus actually preventing health and safety issues from current practices.

Relocation / Resettlement Issues

C,O (‐) I,ST,R Same as above. Although, it is noted that the project may affect farmer/s and farm‐hand/s due to the establishment of the SLF. However, a precedent Hokimiyat decision (Resolution #41 dated 22 June 2012) was promulgated. Based on this decision, reallocating the area from the south end to the east of the landfill is achievable.

Occupational Health and Safety

C,O (+) M,LT, R This would largely impact workers (including drivers and laborers) potential health hazards

Aesthetics Affects views or access of natural landscape features

C,O (+) M,LT, R An expected improvement in the public’s vista is envisaged compared to the current state. This impact is largely dependent on the closure plans of the existing site. The proposed site is located east of the existing dumpsite, away public view from the main road. Further, closure should complement the natural surroundings.

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Potential Impact

Intensity Anticipated Impact / Initial Assessment

Environmental Hazards Inadequate Buffer Zone O (‐) I,ST,R The project site is bounded west by the existing landfill and by agricultural plots. Based on the project

concept design, the landfill area occupies 56% of the total allocated wherein the rest are allocated or ancillary facilities and buffer zones.

Possible generation of Leachate

O (‐) I,ST,R Leachate generation is expected to be low due to low precipitation. However, due to the presence of irrigation canals and the possibility of breakage / intrusion of irrigation water into the landfill should be closely considered.

Archaeological, Cultural, and Historical Presence of Environmentally Sensitive Areas

C,O (‐) I,ST,R Based on an initial site inspection, there are no observable environmentally sensitive areas like endangered habitats, flora or fauna, sensitive archaeological, cultural and historical areas. It was noted that a public cemetery is located in Urtasaray about 5 kilometers NW from the site.

Potential damage of historical/ cultural sites

C,O (‐) I,ST,R Same of the above.

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Rapid Environmental Assessment (REA) Checklist SOLID WASTE MANAGEMENT

Instructions:

This checklist is to be prepared to support the environmental classification of a project. It is to be attached to the environmental categorization form that is to be prepared and submitted to the Chief Compliance Officer of the Regional and Sustainable Development Department.

This checklist is to be completed with the assistance of an Environment Specialist in a Regional

Department.

This checklist focuses on environmental issues and concerns. To ensure that social dimensions are adequately considered, refer also to ADB checklists and handbooks on (i) involuntary resettlement, (ii) indigenous peoples planning, (iii) poverty reduction, (iv) participation, and (v) gender and development.

Answer the questions assuming the “without mitigation” case. The purpose is to identify potential

impacts. Use the “remarks” section to discuss any anticipated mitigation measures.

Note: This is a preliminary screening

Country / Project Title Uzbekistan / Solid Waste Management Investment Project UZB – TA 8004

Sector Division

SCREENING QUESTION YES NO REMARKS A. Project Siting

Is the project area …

Densely Populated No residential areas within a 3

kilometer radius

Heavy with Development Activities Adjacent to an Operating “controlled” dumpsite and agricultural areas

Adjacent to or within any environmental sensitive areas

Cultural Heritage Site

Protected Area

Wetland

Mangrove

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SCREENING QUESTION YES NO REMARKS Estuarine

Buffer Zone of Protected Area

Special Area for protecting

Biodiversity

Bay

B. Potential Environmental Impacts

Will the Project cause …

impacts associated with transport of wastes to the disposal site or treatment facility

Adjacent to an Operating “controlled dumpsite”

impairment of historical / cultural monuments/ areas and loss/ damage to these sites?

degradation of aesthetic and property value loss?

nuisance to neighboring areas due to foul odor and influx of insects, rodents, etc.?

Possible sensitive areas beyond 3‐kilometer radius.

dislocation or involuntary resettlement of people

Will directly impact farmers and contracted farm‐hands

public health hazards from odor, smoke from fire, and diseases transmitted by flies, insects, birds and rats?

Will mostly emanate from existing dumpsite until closed

deterioration of water quality as a result of contamination of receiving waters by leachate from land disposal system?

Natural Drainage at the south end actual water flow needs to be confirmed

contamination of ground and/or surface water by leachate from land disposal system?

Low precipitation, silty clay soil substrate

land use conflicts? Land conversion issues

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SCREENING QUESTION YES NO REMARKS B. Potential Environmental Impacts

Will the Project cause …

pollution of surface and ground water from leachate coming from sanitary landfill sites or methane gas produced from decomposition of solid wastes in the absence of air, which could enter the aquifer or escape through soil fissures at places far from the landfill site?

Multi‐barrier liner system, leachate and gas collection system included in the design

Inadequate buffer zone around landfill site to alleviate nuisances?

social conflicts between construction workers from other areas and community workers?

road blocking and/or increased traffic during construction of facilities?

noise and dust from construction activities? Ample distance from sensitive areas.

temporary silt runoff due to construction?

hazards to public health due to inadequate management of landfill site caused by inadequate institutional and financial capabilities for the management of the landfill operation?

emission of potentially toxic volatile organics from land disposal site?

Project will only receive household wastes

surface and ground water pollution from leachate and methane gas migration?

Leachate and gas collection part of the design of the SLF

loss of deep‐rooted vegetation (e.g. tress) from landfill gas?

explosion of toxic response from accumulated landfill gas in buildings?

Gas collection part of the design

contamination of air quality from incineration?

N/A

public health hazards from odor, smoke from fire, and diseases transmitted by flies, rodents, insects and birds, etc.?

Potentially from the existing facility until proper closure Is completed.

health and safety hazards to workers from toxic gases and hazardous materials in the site?

UZB-8004

Appendix 12

Social and Gender Assessment

Uzbekistan Solid Waste Management Investment Project

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Social and Gender Assessment

Introduction This report (i) reviews the project social and gender context, (ii) describes key SWM stakeholders and their roles in the sector through a gender lens, (iii) summarizes findings/observations and identifies additional information to be collected during the PPTA, and (iv) presents the draft data collection framework/Instruments and required survey team terms of reference for the household/small business baseline survey, focus groups and in-depth interviews to be conducted during the interim phase. This data will shape the design of the social and gender aspects for the Project. This report has been prepared based field missions, which included meetings, formal and informal discussions with key stakeholders, site and field visits as well as document acquisition and review. Uzbekistan Social and Gender Context Uzbekistan’s population exceeded 28.5 million in April 2011, of which 51% is classified as urban and 49% rural. The average population density is 59.4 persons per square kilometer. In terms of population size, Uzbekistan is the third largest country in the Commonwealth of Independent States (after the Russian Federation and Ukraine). There are 120 cities and towns and 115 urban centers in the country. The figure below shows the population of Uzbekistan disaggregated by gender as of 2010.

Total Population Urban Population Rural Population

Both F/M

Female Male BothF/M

Female Male BothF/M

Female Male

Republic of Uzbekistan

28001.4 13986.4 14015.0 14425.9 7245.4 7180.5 13575.5 6741.0 6834.5

Republic of Karakalpakstan

1632.0 811.9 820.1 820.3 413.4 406.9 811.7 398.5 413.2

Provinces

Andujan 2549.1 1272.5 1276.6 1358.4 680.7 677.7 1190.7 591.8 598.9

Bukhara 1612.5 809.6 802.9 622.4 306.4 316.0 990.1 503.2 486.9

Djizzak 1116.8 558.0 558.8 526.8 267.7 259.1 590.0 290.3 299.7

Kashkadarya 2616.1 1304.8 1311.3 1135.7 565.9 569.8 1480.4 738.9 741.5

Navoi 851.6 421.8 429.8 420.9 205.0 215.9 430.7 216.8 213.9

Namangan 2258.5 1122.9 1135.6 1458.8 725.2 733.6 799.7 397.7 402.0

Samarkand 3119.0 1558.1 1560.9 1160.4 584.7 575.7 1958.6 973.4 985.2

Surkhandarya 2075.0 1029.6 1045.4 767.9 388.1 379.8 1307.1 641.5 665.6

Sirdarya 714.4 355.3 359.1 294.7 145.9 148.8 419.7 209.4 210.3

Tashkent 2585.9 1293.5 1292.4 1293.2 652.3 640.9 1292.7 641.2 651.5

Ferghana 3074.6 1534.2 1540.4 1802.5 912.5 890.0 1272.1 621.7 650.4

Khorezm 1561.6 783.4 778.2 529.6 266.8 262.8 1032.0 516.6 515.4

Tashkent city 2234.3 1130.8 1103.5 2234.3 1130.8 1103.5 - - -

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Social Indicators and Poverty Assessment The last few years, and in particular the 2005-11 period, have been successful for Uzbekistan from the point of view of achieving macroeconomic stability and sustained economic growth of 7-9% per year, despite the global financial crisis of 2008-2009. High growth has led to greater inclusion and improved welfare of the people of Uzbekistan as measured by declining poverty, rising wages, improved access to basic services, larger investments into human capacity, and higher public expenditures for social development and social protection. The performance of the social sectors in Uzbekistan has continued to improve as a result. The average life expectancy in Uzbekistan increased to 73.1 years in 2010 to approximate that in the developed countries. Child and maternal mortality rates have correspondingly decreased. Uzbekistan’s present adult literacy level of 99.3% is already higher than the corresponding average for developed countries. The figure below shows the population age structure by gender.

Population Age Structure by Gender (000s) 2009 2010 2011*

Female Male Female Male Female Male

All population

Total 13760.8 13772.6 13986.4 14015.0 14555.0 14568.4

0-2 yrs 866.2 918.4 911.6 968.8 930.9 991.6

3-5 yrs 748.7 794.1 772.3 818.4 814.7 862.4

6-7 yrs 492.4 520.4 489.9 520.2 502.1 531.0

8-15 yrs 2271.5 2381.7 2196.1 2305.6 2179.8 2286.8

16-17 yrs 654.3 676.8 636.0 662.8 625.6 651.2

18-19 yrs 611.8 635.9 641.9 663.5 661.7 682.5

20-24 yrs 1490.4 1519.0 1508.5 1544.2 1551.0 1594.7

25-29 yrs 1195.5 1208.2 1241.7 1256.7 1335.5 1345.7

30-34 yrs 1016.0 1019.5 1045.1 1050.7 1104.0 1108.7

35-39 yrs 914.0 908.8 938.4 933.7 988.5 988.9

40-49 yrs 1620.8 1534.6 1631.6 1547.7 1715.3 1624.2

50-59 yrs 1002.3 945.2 1076.8 1014.4 1189.2 1119.3

60-69 yrs 417.5 384.3 422.4 388.3 468.1 427.7

70 and older yrs 459.4 325.7 474.1 340.0 488.6 353.7

* According to a survey by the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan № 71 "On measures on preparation and carrying out sample surveys of the population" on March 14, 2011

In line with the country’s economic growth, absolute poverty in Uzbekistan has declined. The latest available officially estimated figures suggest that the incidence of poverty fell from 25.8% in 2005 to 17.7% in 2010, based on a consumption-based poverty line threshold. The poverty level has declined for both rural and urban populations although consumption poverty is higher in rural areas

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Poverty Level by Consumption Expenditure (percentage of total population)

Years Total Population Urban Rural

2005 25.8 18.3 30.0 2006 24.9 17.9 28.8 2007 23.6 17.6 27.1 2008 21.8 16.3 24.9 2009 19.5 15.2 22.0 2010 17.7 13.4 20.1

Source: State Statistics Committee

Social Protection Low-income households are defined in Uzbekistan as those lacking resources to meet minimum national standards of consumption. During the years since independence (1991) the social protection system has undergone gradual changes, from supporting categories within the population to targeting those most in need. Identification of need for social support is a responsibility of the mahallas in each district, with eligibility for state social support based on an assessment of income as well as an assessment of current employment and assets. Presently a key subsidy for low-income families and specific groups of employees (e.g. teachers) is state payment of utility bills. The tradition of community-based assistance acquired new forms and content once the government shifted its aims from universal social protection to support for the most vulnerable population groups. In a decision unprecedented elsewhere in the world, mahallas were charged with the distribution of certain government funds. This was designed to target social assistance more accurately, since mahallas are best placed to discern those in need of assistance, as well as to reduce administrative expenses.1 To support this targeting, in 2000, the government in partnership with international donor organizations launched the first Household Budget Survey (HBS) to collect data on the factors influencing low-income levels. A minimum daily per capita consumption of 2,100 kilocalories was set. A survey completed in June 2011 identifies the following socio-demographic features of low-income families.

Low income households are larger in size and have more children under 16 compared to higher income households;

The average age of low-income household members is slightly lower than that of higher income households;

Low-income households have a dependency ratio which is 1.4 times higher than the same indicator for average income households and 1.6 times higher compared to high-income households;

About 19% of low-income households are headed by women; and The average number of people with disabilities in low-income households is more than 10

times higher as compared with higher-income households. Currently 2.7% of the total population lives with a disability.

1 “Local Government in Uzbekistan.” Kuatbay Bektemirov & Eduard Rahimov. Developing New Rules in the

Old Environments Local Governments in the Caucasus, in Eastern Europe and Central Asia edited by Igor Munteanu and Victor Popa (2003)

5


Based on data analysis and public policy transitions, between 2000 and 2010 the absolute number of social support recipients decreased while targeted allowances increased i.e. support to low-income households increased 5.3 times, allowance for households with children increased 4.7 times, child care allowances for nonworking mothers with children under two year of age rose 5.1 times.2 There is a recognized need for further improvements in social protection policy related to criteria and mechanisms for social protection to strengthen targeted support and more efficient disbursement of funds. Sufficient funding to enable low-income households to increase their economic wellbeing is also lacking. Country Gender Context Uzbekistan’s gender profile is influenced by many factors, but three dominate: (i) the legacy of the Soviet policy on gender equality; (ii) social and economic difficulties of the transition period; and (iii) traditional Uzbek values and culture. The Soviet approach to gender equality provided men and women with formal equality in terms of access to education, health care, and employment and, to a great extent, political office. However, during the Soviet period, women were never fully emancipated from their traditional responsibilities for unpaid work, mainly childcare and other household duties, and because they had to combine these responsibilities with formal employment, gender segregation was the norm. Women were, and largely still are, concentrated in lower-pay and lower-status sectors and jobs. Uzbek culture has continued to support this division of labor. Uzbekistan has undertaken commitments to reach UN Millennium Development Goals (MDGs) and in particular “Promote Gender Equality and Empower Women” and confirmed the adherence to addressing gender related issues. This is reflected in the national legislation and active participation of the Uzbek government in international initiatives such as the Universal Human Rights Declaration, Beijing Political Platform and Action Plan, final documents Beijing +5 and Beijing +10, ratification of the Convention on Elimination of All Forms of Discrimination Against Women (CEDAW – 1996) as well as adoption of the National Implementation Plan of Final CEDAW Committee Remarks following the fourth periodical National Report of the Republic of Uzbekistan (2010). The laws of Uzbekistan guarantee women the right to work on equal terms with men, equal rights to employment, a free choice of profession and rights to education, healthcare and labour safety, social security rights in case of disability, illness, retirement or unemployment. An emphasis is placed on enhancement of economic, political and social status of women. Uzbekistan exhibits near gender parity in some spheres (education and literacy rates) but also shows distinctive inequalities in terms of “women empowerment” overall. Employment is the most important area in which to address gender issues. Women comprise 48% of all the employed but there are gender differences in remuneration: in 2005 the average wage of women amounted to 67.3% of men’s while in 2010 the figure was 68.6%. These differences are due to women’s employment primarily in economic sectors where remuneration is relatively low (health care, education and others) versus employment in sectors predominated by men (e.g. industry, construction, transportation and others). Another demographic feature impacting women is the relatively high mortality rate of men during their working years, resulting in the likelihood of widowhood, drawdown of marital assets for

2 Ministry of Finance of the Republic of Uzbekistan

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remarriage and emergence of single-female headed households. Young people account for 71.8% of all unemployed (64.9% young men and 83.8% young women) with a higher rate of unemployment in rural areas compared to urban areas.

Leading Causes of Death for Women and Men in Uzbekistan Aged 16 – 54 Yrs.

Number of Deceased Per 100 000 population

Women 16-54 age Men 16-59 age Women 16-54 age Men 16-59 age 2010

Total 12063 26540 140.2 294.5

Diseases of the circulatory system 3880 10789 45.1 119.7

Accidents, poisonings and injuries 1262 4902 14.7 54.4

Cancers 2361 2399 27.4 26.6

Diseases of the respiratory system 601 1088 7.0 12.1

Diseases of the digestive system 1426 2834 16.6 31.4

Infectious and parasitic diseases 657 1539 7.6 17.1

Other 1876 2989 21.8 33.2

In 2009, the United Nations' Human Development Report ranked Uzbekistan 99th out of 155 countries on the Gender-related Development Index (GDI). Uzbekistan was ranked 57th on the Gender Equity Index. These figures point to the fact that gender equality in Uzbekistan requires more progress, even though the country has shown improvements. According to government plans, a number of areas relevant to women’s and family welfare have been targeted for welfare improvement;

Pursuing a policy of increased incomes aimed at gradual increase of wages both in the entire economy and in the government, pensions and welfare payments;

Developing targeted taxation policies and strengthen focused social protection for most vulnerable populations;

Ensuring a balance between demand and supply in the labour market and undertaking job creation through the development of the service industry, small business and private entrepreneurship, various forms of home-based labour, family business and industries.

Improving working conditions for women, especially in rural areas and increasing their level of social protection at production enterprises, offices and organizations; and

Further encouraging entrepreneurial activity among women through enhancement of financial services such as credit and micro-financing.

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5.5 CSOs/NGOs3 Civil society in Uzbekistan has been primarily associated with mahallas, which are self-governing bodies. The mahalla system in Uzbekistan is an important institution of local self-governance, which plays a significant socioeconomic development role. The mahalla is a community-driven organization responsible for helping members of the community and dealing with other community needs (conflict resolution, overall community upkeep, etc.). At the present time, the mahalla structure and functions are based on the law on Institutions of Self-Government of Citizens (the Mahalla Law of 1999). Civil society in Uzbekistan today is broader than the traditional mahalla system. It covers businesses, grassroots initiatives, government initiatives, and political parties, among others. The government is continuing to support the creation of new local NGOs to strengthen the role of the civil society and address social issues. Recent examples include the Institute of Civil Society and the National Association of Non-Government Non-Commercial Organizations of Uzbekistan (NANGOUZ), which was established to encourage the adoption of democratic principles in the country, representing the rights and interests of nongovernment noncommercial organizations, and their protection and comprehensive support, and uniting the democratic forces. The number of active NGOs in Uzbekistan varies from 330 to 5,100, depending on the way they are defined.4

The National Women’s Committee of Uzbekistan The National Women’s Committee of Uzbekistan, established on February 23, 1991, is an NGO chaired by a Deputy Prime Minister (1 of 6 DPMs) responsible for Women. The Women`s Committee is the largest female organization in Uzbekistan and functions as an integral part of the institutional structure. Deputy governors (13 regions) and deputy mayors are females and represent the Women’s Committee, with approximately 9000 mahalla/village women’s committee advisors at the local level. The Women’s Committee’s mandate is to defend women’s constitutional and social rights. Attention is given to five priority areas: (i) women’s employment and economic welfare; (ii) issues of reproductive rights and reproductive health of women; (iii) women and their community involvement with particular emphasis on women participation in leadership and decision-making; (iv) women’s rights with particular emphasis on eliminating discrimination against women; and (iv) women and education with particular emphasis on the development of professionalism and competency of women in Uzbekistan. The committee undertakes projects, cooperates with donors, sponsors prizes and events, carries out an open monthly teleconference with all the regions, etc.

3 ADB Civil Society Brief: Uzbekistan 2011. 4 The Business Women Association of Uzbekistan conducted a comparative analysis of lists of

nongovernment organizations (NGOs) prepared by two organizations: NANGOUZ and the Social Initiatives Support Foundation.

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Solid Waste Management in Tashkent5

Background Uzbekistan’s economy has been growing consistently at 8% to 9% every year for the past several years. This growth, along with rising population and increasing urbanization trends poses a range of development challenges. Uzbekistan generates about 16,000 tons of municipal solid waste daily or 6 million tons per year. This rate is expected to accelerate to 9 million tons per year by 2025, resulting in a cumulative waste generation well in excess of 100 million tons over 2011-25. The country does not have adequate solid waste management systems in place to effectively deal with waste of such magnitude. Among others, waste reduction and recycling are two key ingredients of effective SWM. Both are at their initial stages in Uzbekistan. There is no national recycling strategy or any coherent approach for progressive and sustainable segregation and recycling of municipal solid waste, which may equate to over 30 million tons of recyclable materials in 2030 and beyond. The first investment focus will be on Tashkent for rehabilitation of transfer stations, upgrading of collection equipment/facilities and installation of a city-wide waste reduction and recycling system. The outcome of the investment program will be efficient SWM systems that operate on best international standards and practices.

Stakeholders The Solid Waste Management SWM sector stakeholders are comprised of municipal authorities, solid waste management agencies, politicians, user groups (residential, commercial, institutional, industrial, medical facilities), waste workers, etc. The key stakeholders6 identified by social and gender assessment in the Tashkent SWM sector are:

Maxsustrans (MT), solid waste management agency;

Mahallas, community self-governing units; Households in single family dwellings, apartments, etc.; and Recylers both quasi-formal and informal (MT Collection Point and other staff, waste pickers,

etc.) These stakeholders in the Tashkent SWM sector: (i) earn their livelihoods from managing or recycling waste; (ii) represent community/household interests in waste management; and (iii) determine what ends up as waste and how this waste is disposed of. The sections below are based on initial findings on the relevant stakeholders.

5 Project Concept Note 6 Data collection findings (see Section 5: Data Collection) may indicate a need to conduct further social surveys

with small business owners, depending on their interface with the community and the informal/quasi-formal recyclers. This will be determined when the survey, focus group and in-depth interview results have been compiled and analyzed.

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Maxsustrans Workforce – Social and Gender View Maxsustrans as the solid waste manager and collector has a significant impact on all stakeholders within the sector. Its policies and practices have repercussions for livelihoods and lifestyles throughout the city. Decisions made by managers, truck drivers and other associated workers affect the livelihoods of some of Tashkent’s ultra-poor. -Maxsustrans Workforce Maxsustrans has a workforce of 1969 staff, 685 (35%) of whom are women. Men predominate as drivers and workers on the various vehicles utilized within the system (674) and repairpersons (75). At the administrative level, men also outnumber women (50 men, 19 women). Maxsustrans technical workforce includes an almost equal number of women and men (70 women, 75 men) whereas women predominate in the specialist category (100 women, 56 men). At the community level, Collection Point operator figures show slightly more men than women (219 men and 174 women), but women far outweigh men as payment collectors (283 women and 57 men). Of the 13 medical officers, 9 are women and 4 are men.

Number and Gender of Maxsustrans Employees (25.06.2012)

Item Number of employees

Total Women Men

1 Administrators 69 19 50

2 Specialists 156 100 56

3 Technical personnel 145 70 75

4 Repair person 76 1 75

5 Drivers and loaders of various vehicles 674 0 674

6 Mechanization expert 1 0 1

7 Strapper 1 0 1

8 Collection point operators 393 174 219

9 (To be clarified) 90 28 62

10 Payment collector 340 283 57

11 Medical officer 13 9 4

12 Landfill workers 3 0 3

13 Dosimetrician 1 1 0

14 Refueling operator 7 0 7

Total 1969 685 1284

Additional information on salary levels will be collected during the PPTA Interim Phase to gain further understanding of Maxsustrans gender approach and policies. Two focus groups will be conducted with Maxsustrans female employees primarily to identify barriers that may exist for promotion or capacity building. - Maxsustrans Client Base and Tariff System Maxsustrans serves all areas of the city - 520 mahallas in Tashkent with a client base of 604,476 households in which live approximately 1.7 million people. A tariff of 1100 soms/month is levied on each individual in every household, including infants, for provision of waste management services. The tariff is collected by MT collection agents who are paid 12% of the amount they collect. From

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informal interviews, householders can also pay an annual fee and use an autopay service directly through their bank, bypassing the collection agent. Maxsustrans reports a 92% collection rate. Maxsustrans maintains a complaints system for client feedback, advising customers of the number to call through newspaper ads, signage including posting the number on vehicles. Complaints received are logged and assessed to determine required action. Figure 5.6 provides district data for households served by Maxsustrans.

Figure 5.6: Mahalla Districts, Households and Population served by Maxsustrans

Mahallas7 Role in SWM sector and Poverty Alleviation Today, the term “mahalla” is used uniformly in Uzbekistan to refer to a neighborhood community. In the East, the neighborhood community as a unit of social life dates back to ancient times. Mahalla, in both its historic and modern meanings, represents a clearly defined socio-demographic, cultural and spiritual entity, as well as an administrative-territorial one, in which people are united by traditions, customs and human, business and legal relationships. For centuries, these territorial entities have shaped the creation of rules of human coexistence, public opinion, ideological systems and outlooks within their boundaries. Mahallas have received powerful support from the central government since the early stages of Uzbek independence. The state considers their welfare to be essential for the stability of the republic. The administrative structure of the mahalla has been clearly defined. A general assembly of household representatives elects a committee, or kengash, to head the mahalla. Committee members may also include elders elected for their experience in organizational work. This committee elects a chairman, officially titled chairman of the mahalla assembly, but more commonly known as the aqsaqal, a deputy chairman (muovin) and a secretary (kotib). Specific mahalla commissions are founded for improving living conditions, organizing ceremonial events, maintaining public order, housing stock and finances and overseeing issues concerning women, youths, war and veterans. In rural areas, several mahalla committees may combine to form one citizen assembly. More recently, mahalla committees are charged with identification of those eligible for targeted allowances for low-income resident families.

7 “Local Government in Uzbekistan.” Kuatbay Bektemirov & Eduard Rahimov. Developing New Rules in the

Old Environments Local Governments in the Caucasus, in Eastern Europe and Central Asia edited by Igor Munteanu and Victor Popa (2003)

Number of Number of Population Districts Mahallas Households Served

1 Mirobod 39 37294 90458 2 Mirzo Ulugbek 52 79022 167729 3 Hamza 55 67121 168339 4 Shayhontaur 49 51912 170125 5 Yakkasaroy 18 28695 73327 6 Chilonzar 49 68938 164527 7 Bektemir 12 10126 29740 8 Sergeli 33 50046 1500999 Olmazor 58 54516 180324

10 Uchtepa 53 51703 183480 Total 418 499373 1378148

11 Chirchik 44 25355 89415 12 Unus-Abad 58 79748 206867

Total 520 604476 1674430

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Community Cleanliness Mahallas are responsible for community cleanliness and order. Informal interviews indicate that dissatisfied MT customers might first call their mahalla representative with their complaint rather than calling the MT feedback line directly. From discussions with MT management, the mahallas act as SWM system updaters, advising MT on new neighbourhood waste collection requirements, useful as Tashkent’s population grows. The role of the mahalla in the SWM sector will be furthered explored during the PPTA Interim Phase with a view to potential expansion of “reduce, reuse, recycle” initiatives at the household level.

Households: Gender Roles and Opportunities Households, and particularly the female householders, play important roles in the SWM sector, since it is the goods purchased and used by the household that eventually end up in the city landfill. From informal interviews, women in Tashkent are responsible to purchase food and other items for household consumption as well as to manage the household waste. Men, women and children transport waste to collection points and to curbside pick-up, depending on the weight of the containers. Men have primary responsibility to give money to women in the household to pay the tariff collectors. “Reduce, Reuse, Recycle” Public Information/Promotion Programs Currently there is little data concerning recycling at the household level (source). Informal interview information indicates that reuse/recycling does occur at the household level, but how much or of what type is not clear. Some report sorting paper and plastic for curbside waste collection service, others report putting aside plastic and bottles for apartment neighbours to collect, others report providing recycled materials to household staff, including organics for livestock feed. Individuals also report a lack of public information programs concerning environmental issues, or promotion of the “Reduce, Reuse, Recycle” message. There are however public messages about keeping the place where you live and work clean, reinforcing the Uzbek cultural tradition of group and individual responsibility for community surroundings. These perspectives will be assessed during the Interim Phase through the baseline household and small business survey and through the planned focus groups and in-depth interviews. Data on current recycling at the household level, gender roles and responsibilities in the SWM sector, householder and mahalla knowledge of and attitude towards recycling, current sources of environmental messages, etc., will be collected and analyzed for inclusion in the PPTA Final Report. Recyclers and Livelihoods Prior to May there were approximately 100 recycling plants operating in Tashkent, but due to a decrease in Chinese purchasers, the number is now approximately 40. Demand is high for plastics (especially polyethylene terephthalate, commonly referred to as PET) and paper, with some plants recycling glass.

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Metal is also recycled. To collect product, plants operate collection systems such as scout cars to advise where product is available, collector trucks to pick up product and formalized collection points for specific products (See photos of glass collection point and paper collection centre). Every step along the supply chain increases the price of the product with those at the bottom of the chain paid the least. The number of people employed by the recycling plants or the total value of the product is not known at this time. A field visit to a plastic recycling plant indicated about 20 staff in total with a number of women (5 – 7) employed on the plastic cleaning line. Staff accommodation for men and women as well as cooking facilities are provided at the site.

Glass recycling kiosk near MT Collection Point

Quasi-formal Recycling Maxsustrans Maxsustrans has evaluated the economic potential to recycle waste and found that the cost of salaries to employ workers to sort waste and remove the recyclables is higher than the return. Hence there is no formal approach to recycling through Maxsustrans. The recycling undertaken by Collection Point staff and waste truck drivers and loaders is known within Maxsustrans, but not formalized, hence the terms “quasi-formal”. Collection Point Staff In Tashkent, each Collection Point employs three staff to work 24-hour shifts each. The shelter provided at each Collection Point is temporary lodging for the worker on duty at the time, with each worker maintaining independent housing offsite. Collection Point staff utilize opportunities to increase their income through removing recyclable materials (plastic, paper and bottles) from the waste brought to the Collection Point during their shift. Private sector recycling plants then pick up and pay the Collection Point staff for this material. Collection Point staff report that the cash return from recyclables in some cases doubles their income and is a significant incentive for their work. Waste truck drivers and loaders The MT drivers/loaders also collect recyclables along their routes, lodging them on the outside of the garbage truck. This has important implications for recycling-at-source, since collection is done by MT staff who subsequently receives payment for recycled product. Informal interviews have indicated that in areas with door-to-door service, it is not always possible for Maxsustrans loaders to keep recyclables that have been separated at the household level out of the general loading due to the amount of waste and the speed at which the truck moves. Should increased recycling at source take place, alternate collection systems would be required. Informal Recycling From observation, there is a good deal of informal recycling that takes place in Tashkent. Those involved at this level are said to be homeless or very poor. For this group, opportunities to obtain

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recyclables come primarily through (i) picking waste at the open collection points; (ii) picking through waste at the city landfill for those recyclables contained in door-to-door or open collection point waste; or (iii) being allowed to pick through waste at business locations. The waste collected by these informal recyclers (often called waste pickers) makes its way to the recycling plants through private sector collectors. At this point in the PPTA research, little is known about these waste pickers e.g. who they are, gender roles, health and safety issues associated with their work, income derived from waste, etc. This information will be supplied through further research to be undertaken during the Interim Phase. Information/lessons learned from NGOs that work with this population will also be collected to more fully understand implications for SWM system changes. Additional Information Requirements

Stakeholder Data Gap PPTA Data Collection InstrumentMaxsustrans 1) Client satisfaction levels with service

2) Client perspectives on MT tariff 3) Gender in the workplace

Baseline HH/SB survey associated with the Waste Stream Characterization Study

Focus Groups with MT Collection Agents

In-depth interviews with Collection Point staff

Mahallas 1) Current role in SWM 2) Understandings of and interest in

“Reduce reuse recycle” activities

Social/Gender Ntl Specialist KI Interviews

FG with HHs including Mahalla reps

Households 1) Satisfaction with MT service 2) Ability to pay and Willingness to pay

increased tariff 3) Current level of recycling at source 4) Gender responsibilities for SWM at HH

level 5) Attitudes towards and knowledge of

“reduce, reuse, recycle” 6) Level of environmental impact

knowledge

Baseline HH/SB survey associated with the Waste Stream Characterization Study

Focus Groups with HHs including Mahalla reps

Informal Recyclers

1) Demographics 2) Contribution of recyclables to livelihood 3) Social issues (health, education for

children, safety, security) 4) Opportunities for income improvement

(small loans, assistance, etc.) 5) Existing social support programs

In-depth interviews with waste pickers and family members at city landfill

In-depth interviews with waste pickers in city

Social/gender Ntl specialist interviews with Mahallas

Data Collection Framework and Instruments To fill in existing data gaps as well as to provide data for project impact and outcome measures, the proposed data collection framework is comprised of the following structured data collection instruments:

1. Household (HH) and Small Business (SB) Baseline Survey; 2. Focus Groups; and 3. In-depth Interviews

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This work will be undertaken by a contracted Research Team (a draft TOR has already been prepared). During the PPTA Interim Phase, the national social and gender specialist, based on discussions with the international specialist, will continue with informal and key informant interviews to gather perspectives and data required for the final PPTA report.

Summary Table - Data Collection Framework

Instrument Target Group Timing Responsibility Household (HH)/Small Business (SB) Survey

560 Low/medium/high income HHs and 40 small businesses near WACS sites.

To be contracted and completed by Oct 15 2012

Survey manager and survey team

Focus Groups 8 HH/Mahalla rep FGs (4 women, 4 men) with broad representation

To be completed by Sept 28 2012


2 Collection Agent FGs (at least 50% men)



In-depth Interviews 12 with waste pickers/ family members, at least 50% women 4 Collection Point staff – 2 women, 2 men



Other data collection by National Social/Gender Specialist

At least 15 In-depth interviews with Mahalla representatives – role in SWM and social protection

MT salary scales and 2 FG with MT female employees

“Ecological Party” – what is their mission and interests


National social/gender specialist

Comments on Choice of Instruments HH/SB Baseline Survey for Tashkent The proposed HH/SB baseline survey is associated with the Waste Assessment and Characterization Study being conducted during the PPTA and responds to Project Concept Note impact performance targets and indicators:

o Percent of satisfied consumers with sustainable SWM collection in targeted areas should pass 85% threshold;

o 25% of total MSW stream in targeted areas recycled on a sustainable basis; The baseline survey is intended to capture data on: (i) current recycling practices and if recycling is occurring, who within the HH is responsible; (ii) satisfaction levels with present waste collection; (iii) present ability to pay and future willingness to pay to support SWM system. This baseline will be compared to data collected through surveys conducted at Project Completion (2017) and annually thereafter (from Concept Note). This data will indicate whether performance targets are being/have been met. Gender disaggregated information will be enhanced through focus group discussions. Follow-on surveys should ask gender specific questions when determining changes in HH/SB recycling and responsibilities for same.

15


Socio-economic surveys Instruments for a full socio-economic survey will be designed and surveys undertaken in target areas on an annual basis to determine actual collection and disposal data as well as public satisfaction with SWM services, reflecting improvements due to investments. Focus Groups Focus groups are a tool to add information depth and “colour” to social and gender analysis. Focus groups provide an avenue for stakeholder participation and input into project design features and improvements to important city infrastructure systems. They also are a means to identify potential partners for proposed project initiatives undertaken during the project implementation phase. In-depth Interviews In-depth interviews will add to the information available upon which to base project design considerations. In-depth interviews for the PPTA focus on: (i) a population that is difficult to access i.e. informal waste pickers and (ii) MT Collection Point staff who have provided informal information during the PPTA research phase. In this case, the in-depth interviews will enhance understanding of Collection Point work. Internet Research findings on Waste Pickers in other countries During the course of the PPTA, research on other country experience vis-à-vis waste pickers contributed to a broader understanding of the nature and value of the recycling performed by this maligned group.

Data Collection Instruments and Survey Implementation The HH/SB survey questions, focus group/in-depth interview guides, and TORs for the survey team have already been drafted for implementation in order to allow sufficient time for data collection. In addition, a Letter of Request authorizing the PPTA team has been prepared to conduct the surveys, focus groups, in-depth interviews as well as other data collection that may be required to fulfil the social/gender requirements of the PPTA.

UZB‐ TA 8004

Appendix 13 Resettlement Policy Framework Uzbekistan Solid Waste Management Investment Project

November 2012

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1 INTRODUCTION

The purpose of this PPTA is to prepare an Investment Program suitable for the

establishment of a modern Solid Waste Management (SWM) regime for the City and

District of Tashkent. This will necessitate abandoning the 'truck and dump' practices

presently characteristic of processes in a majority of Uzbekistan cities and regions.

Such an ambition is not, however, without challenges.

Reflecting the rapid economic development of Tashkent City and Tashkent Oblast, it

is estimated that within the coming 35 years a disposal capacity of about 55 million

tons of waste residuals is needed. Therefore, a state of the art waste management

facility requires identification and development of 250 hectares landfill.

At present a majority of municipal solid waste in Uzbekistan is not segregated; it is

collected in an inefficient, hence expensive way; frequently dumped in unauthorized

sites. Project focus then will be on testing least cost technical solutions based on

international standards, and reflecting principles of waste minimization and

maximum material recycling. The chosen solution will be designed o achieve

efficient collection, transfer and disposal of residual waste that meet acceptable

standards of environmental protection.

This PPTA will promote procedures to enhance existing private initiatives such as

'reduce, reuse, recycle'. These initiatives provide an essential element in

Uzbekistan’s progress in meeting international best operational practices, namely a

dedicated waste separation / waste recycling program.

Supplementary objectives of the proposed Project are to:

Enhancing solid waste management will reduce health risks;

Localizing and increasing the existing levels of waste recycling will lead to an

increase in income levels of local population;

Reduce loss to national economy caused by improvement in waste transport

efficiency.

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A technical assistance package is required to conduct a full feasibility assessment of

the envisaged SWM intervention and project related due diligence. A fully developed

Investment Program will be prepared. These activities will include technical,

economic, financial and governance due diligence. It will also cover initial

environmental examinations and formulate any potentially required resettlement

plans. To date, no formalized environmental protocols for managing waste flows

exist in Uzbekistan and there is an initial need to develop an environmental

assessment and review framework.

Finally, the PPTA will ensure completion of both social and environmental

safeguards assessments and project readiness.

This Resettlement Policy Framework (RPF) has been prepared by the Consultants

on behalf of the Government of Uzbekistan (GoU)’s Ministry of Finance who will be

the Project Executing Agency (EA). The purpose of this framework is to clarify

resettlement principles, organizational arrangements, and design criteria to be

applied to subprojects to be prepared during Project implementation. An RPF is

prepared in order to present ADB policy (principally Safeguard Policy Statement) in

local, i.e. project-sensitive, context. In so doing, it will enable project agencies to

address the eventuality of adverse social impacts that may result following detail

designs prepared under the Project.

An initial appraisal indentified 21 possible landfill sites, of which 20 would be new

sites and one, an extension of the existing Akhangaran landfill. These sites were

evaluated with reference to a set of criteria and four individual sites were selected to

take forward to feasibility study.

A principal factor for the selection of a new landfill site for the Tashkent and

Tashkent Oblast SWM system is a technical consideration, namely a realistic travel

distance and proper access through common transport systems, based on existing

logistics, not requiring a complete new transport approach.

A special consideration is that the government values agricultural utilized property

(locally called ‘irrigated property’) very highly and conversion of agricultural property

should ideally be avoided or at least strictly limited if not avoidable.

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Beginning with 21 candidate sites for the expansion of Tashkent SWM capacity it

was decided to promote just four sites. Not only did these four sites meet expected

requirements for international approval, together they constituted the recommended

200ha necessary to facilitate sanitary SWM of the estimated 55 tons of material

expected to be produced over the next 35 years.

Following further field analysis and project team discussion the four candidate sites

were reduced to just one targeted site namely Akhanganan. This site will constitute

extension of the present land fill site. The decision was taken largely on the basis of

there being no initial capital outlay to cover the costs of providing social and physical

infrastructure, a cost essential for each of the other three candidate sites.

Table 1: Program Regions

Phase 1: Feasibility, technical, environmental and social study results Ha

1 One site (A) at the foothills of the Altai Mountains, about 30 km north of Tashkent. The site is a hilly plateau, beginning about 3 km west of Chirchik and reaching to the Kazakhstan border. The slightly hilly to hilly area is partial idle or under agricultural utilization. What appears to be a small irrigation canal is presently being excavated in the vicinity though local topography would seen to exclude any of it’s benefits being available to the proposed target landfill site. The most suitable south-east area of the site is closest to the city of Chirchik. The site could be accessed by regional and local roads, which would pass mostly the urban communities in the outskirt of Tashkent city.

Certainly there would be need for access road rehabilitation/up-grading, possibly road widening??

2 Comprising five single sites (B,C,D,E and F) within an are about 15 km from north to south and 7 km from west to east. The area can be described as flat to slightly hilly and can be found about 24 km south-east of Tashkent. The area is divided by the Chirchik River. The more north-western part with the areas B and C are flat, surrounded by rural communities, whereas the more hilly areas D and E are also direct adjacent to rural communities, the also slightly hilly area F shows the farthest distance to any community. Site E is also the host of the existing Akhangaran landfill for Tashkent. Access to the sites would be given through national highway P2 for the sites B, C, F and E. Site D is connected through a regional road to the P2.

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3 Just one site (G) east of Yangiyo’l, about 26 km south of Tashkent. The area is a flat area of cultivated agricultural land, surrounded by Tashkent urban outskirts in the direction of the main development area of Tashkent direct on the east of the National Highway M34 between Urtaaul and Yangiyo’l. The area lies immediately West of the Chirchik River bed.

4 A single area H was identified. It is a slightly hilly area divided by an irrigation canal. The area lies directly on the Kazakhstan border, around 44 km from Tashkent city center. It is accessible via mostly local roads and National Highway M39.

Possible need to widen local roads

5 A group of three sites (I,J and N) situated on either side of the National Highway M34 between Yangiyo’l and Almazar. The area of site I is slightly hilly to flat whereas the sites J and N a flat areas. The sites are separated from the access to the National Highway M354 through rural settlements which reaching in general from Tashkent all along the Highway. Site J is enclosed through the eastern border the floodplains of the Pskem River and on its western side through the Chirchik River.

Access to the sites would be given through National Highway M34 and local connection roads. Sites I and N could also be accessed through National Highway M39.

Possible need to widen local roads

6 A group of five sites (K, K1, L, L1 and O) situated within a flat area between the flood plains of the Chirchik and Angren rivers. This area might be regarded as one possible land fill site with some small rural settlements. The sites are about 45 to 60 km away from Tashkent city and accessible via the National Highway M34 and further via local roads for about 15 km. Possible need to up-grade local access roads

7 A group of five sites (M, P, P1, P2 and Q) located on the slightly hilly eastern side of the floodplains of the Angren River, stretching about xx km from the north to the south. Whereas 4 sites are direct beside the plains of the river is the site Q further down (about 9 km) in the south-east of the other sites. Access to the sites would be via National Highway A273 and further local roads.

Total land area initially identified in study

Areas selected and proposed sites for further consideration

A Area rejected in favor of Area E

B Area rejected in favor of Area E

D Area rejected in favor of Area E

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E Selection of this site would be conditional upon the acquisition of an additional 30ha of land. Agreement has, in principal been granted for such an acquisition though it appears that selection of a particular area has not yet been made. Two possible sites have been identified: one immediately to the South of the existing land fill; the other immediately to the East. Both areas are presently cataloged as ’agricultural land’; both are presently intensively cultivated. It will, therefore, be required that a protocol be followed to re-catalog the area as non-agricultural. An estimated 30 households will be adversely affected and hence entitled to compensation and/or livelihood rehabilitation.

A third option would involve the acquisition of an additional 150ha of agricultural land as well as calculation and provision of entitlements to around 200 adversely impacted households

Total area of land for landfill sites for Phase 2 study (Detailed design) 200.8

On both technical and infrastructural grounds the Akhanganan site appeared best suited for the much needed increase in land fill capacity in Tashkent. Land acquisition was not thought likely to constitute a significant issue, though all land surrounding the existing site is presently classified as ‘agricultural’ See Figure 1. This RPF, therefore, will primarily consider the acquisition of 30ha land area immediately to the East of the present landfill. The framework also takes into consideration the following possible scenarios;

· Review the acquisition process and status of the 30ha land area immediately to the south of the present land fill;

· The possible acquisition of 200ha land area to within the immediate vicinity of the

present land fill. However, these scenarios are likely to have very similar social and environmental impacts and hence are represented in the following documentation as indistinguishable.

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Figure 1: Vicinity Map of Sites B, D and E

1.1

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2 DESCRIPTION OF THE PROJECT

2.1 Project background

The present PPTA heralds the third donor assisted project in recent years with a common purpose of enhancing Solid Waste Management, primarily in Tashkent but with national implications.

In May 1998 the World Bank approved a US$24 million loan to Uzbekistan for the Tashkent Solid Waste Management Project1. The project objective was return the existing municipal solid waste management system to a satisfactory level of service, and improve the technical, financial, and institutional basis for its future operation and development.

The project comprised both an investment component and an institutional support component. The former provided capital for: Collection infrastructure; Landfill modernization; Vehicle park development; Collection vehicles and support equipment; Landfill closure; Transfer stations/transfer vehicles and for Biomedical waste facilities. will finance a variety of collection bin types, sufficient to re-equip the current system for service in all sectors, including those to be owned and maintained by the housing auth

The Institutional Support component consisted of: Project management support to finance the establishment and operation of two Project Implementation Units to supervise the project’s implementation and the project’s management consultant support, and a Institutional strengthening to cover a range of planning and technical assistance activities, including the development of a strategic plan for the medium- and long-term life of the management system.

This latter objective itself received further support from United Nations Development Programme (UNDP) in the form of the National Waste Management Development Programme (2004-2006). Here the objectives appear less technical, more to develop a National Waste Management Strategy, and a five-year Action Plan, on waste management. The strategy itself, was to cover several priority areas2, including the reduction, reuse and recycling of solid

1 The total project cost, however, was US$51million, the discrepancy made up by the Government of Uzbekistan providing US$11 million, and the European Bank for Reconstruction and Development providing a grant of US$21 million. 2 The complete list was: reduction, reuse and recycling of solid waste; protection of water quality from contamination by unmanaged wastes; containment, collection, treatment and management of hazardous wastes including radioactive wastes; awareness-raising among decision-makers and the general public; provision, of economic incentives for proper waste management; promotion and sharing of “best practices”;

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waste; awareness-raising among decision-makers and the general public and the promotion and sharing of “best practices”3.

Resettlement Policy Framework (RPF) presents a review of ADB resettlement policy within the context of local project circumstances. It is an instrument that is used in projects when the nature and extent of land acquisition/resettlement is unknown at the time of appraisal. The key purpose of the RPF is to establish resettlement objectives, principles, organizational arrangements and mechanisms for any resettlement activities that may or may be necessary as a result of project activities. When the exact extent of land acquisition becomes known during the implementation phase, site specific Resettlement Action Plan(s) are prepared, depending on the scale and severity of impacts (see Annex 2).

This Project Resettlement Policy Framework (RPF) is based on the Asian Development Bank’s (ADB) policy on involuntary resettlement4. The principles and objectives of this RPF can be summarized as:

· Where population displacement is unavoidable, it should be minimized by exploring all viable project options.

· People unavoidably displaced should be compensated and assisted, so that their economic and social future would be generally as favorable as it would have been in the absence of the project.

· People affected should be informed fully and consulted on resettlement and compensation options.

· Existing social and cultural institutions of resettlers and their hosts should be supported and used to the greatest extent possible, and resettlers should be integrated economically and socially into host communities.

· The absence of a formal legal title to land by some affected groups should not be a bar to compensation; particular attention should be paid to households headed by women and other vulnerable groups, such as indigenous peoples and ethnic minorities, and appropriate assistance provided to help them improve their status.

3 An informative, though now somewhat dated, account of the situation in 2004 can be found in a UN country profile at: http://www.un.org/esa/agenda21/natlinfo/countr/uzbek/sanitatuzb04f.pdf 44 When a resettlement policy framework is the only document that needs to be submitted as a condition of the loan, the resettlement plan to be submitted as a condition of subproject financing need not include the policy principles, entitlements, and eligibility criteria, organizational arrangements, arrangements for monitoring and evaluation, the framework for participation, and mechanisms for grievance redress set forth in the resettlement policy framework.

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· As far as possible, involuntary resettlement should be conceived and executed as a part of the project.

· The full costs of resettlement and compensation should be included in the presentation of project costs and benefits.

· Costs of resettlement and compensation may be considered for inclusion in Bank loan financing for the project.

3 PROCESS FOR PREPARING AND APPROVING A RESETTLEMENT ACTION PLAN (RAP)

3.1 RAP Preparation If resettlement impacts are unavoidable and preparation of an RAP is therefore required, a RAP will be prepared and attached to each subproject’s investment report. The preparation of a subproject RAP will be done by SRA assisted by consultants and use the following procedure:

(i) Undertake a census of all APs.

(ii) Undertake an inventory and detailed measurement survey (DMS)5 of all losses of all APs. At the same time, inform potential APs (without discrimination) of the subproject, it’s likely impacts, and principles and entitlements as per the RPF.

(iii) Undertake a socioeconomic survey (SES)6 of all APs. A plan may be required for addressing ethnic minority needs if they are among the APs.

(iv) Undertake a replacement cost survey for various types of affected assets as a basis for determining compensation rates at replacement cost. Determine the losses in accordance with the entitlement matrix.7

(v) Provide project and resettlement information to all persons affected in a form and language that are understandable to them, and closely consult them on compensation and resettlement options, including relocation sites and economic rehabilitation.

(vi) Prepare a special rehabilitation program for affected ethnic minority population when their number exceeds 20% of all the affected persons in consultation with those affected.

(vii) Prepare the draft RAPs with time-bound implementation schedule, procedures for grievance mechanism and monitoring and evaluation, and a budget (see Annex 4).

(viii) Finalize each subproject RAP in both Uzbekistan and English versions. Submit to respective local authorities (Hokimiyat) for preliminary review, and who will forward to SRA and respective ADB for approval.

5 Data will be gender and ethnic minority disaggregated. 6 It will include gender analysis and data will be gender and ethnic minority disaggregated. 7 If there are new categories of APs and/or losses identified during the DMS (other than those described in the entitlement matrix), the entitlements will be in accordance with GoU//ADB policies.

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(ix) Disclose the draft and final RAP in accordance with RPF policy on public communications to the affected communities and on respective ADB websites, as appropriate. The draft RAP will be disclosed prior to submission to MoF for approval. The final RAP will be disclosed after approval.

3.2 Process for preparing and approving RAPs

The Executing Agency for the Project will be the Ministry of Finance (MoF); the Implementing Agencies will be respective local authority (Hokimiyat) offices.

The MoF will have overall responsibility for overseeing project implementation. If thought necessary, separate Project Management Units (PMU) will be established for each Sub- Project.

Each PMU will recruit a local agency or consultant to undertake sufficient and appropriate research and field investigations enabling formulation of reports and plans required to fulfill GoU and ADB safeguard requirements. Among these reports and plans will be a RAP.

The contracted agencies will submit completed draft RAPs to their respective PMU who will consult with the International Safeguards consultant so as to ensure respective RAPs will be approved when submitted to MoF and respective ADB. This RPF has been designed in accordance with the laws of the Government of Uzbekistan and the principles contained in the ADB SPS. The MoF requires that any issues arising and/or claims for compensation will be addressed in accordance with this project policy.

3.3 Scope of adverse resettlement impacts

The scope of potential adverse resettlement impacts is discussed in Sections 4 and 5 of this RPF.

3.4 Appointment of resettlement consultants

Respective PMUs will be established as deemed appropriate and awarded responsibility for managing resettlement activities in their respective sites. This will include external monitoring and for all matters needing reporting to ADB. The core responsibility for the implementation of resettlement in project schemes will rest with the Hokimiyat.

Field responsibility for resettlement issues in the projects will be allocated to national consultants, working under the guidance of an international resettlement supervision consultant.. The other unit with responsibility for preparation and implementation of resettlement will be a locally-recruited NGO, employed primarily to take responsibility of regular monitoring of project implementation outcomes.

As the coordination unit of all project tasks the PMU will coordinate internal monitoring activities carried out by the NGO and will make sure that they are sent

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to MoF for review in the periodic project implementation reports. The PMU will also be responsible for coordination and financing periodic external evaluations functions to be carried out by an independent agency, such as a local academic institution. Finally, PMU will coordinate any necessary training to appointed provincial National Resettlement Officers and NGOs appointed to the project.

3.5 Training of National resettlement consultants

Personnel chosen for this position should ideally have prior experience in the implementation of resettlement and compensation programs. Any necessary training will be the responsibility of the international social/poverty/resettlement consultant. The head of the PMUs will have overall responsibility for ensuring that resettlement and compensation complies with the above project policy.

3.6 Implementation arrangements

As detailed design is being prepared for the Project the international resettlement consultant will visit each proposed site with both the National resettlement consultant and the head of the design team. Their purpose is to identify situations where resettlement issues may need to be addressed and to enable the subsequent design to obviate, or at least to minimize these issues.

Following completion of detailed design the same three people will once more visit the project to confirm the absence of resettlement issues associated with implementation of the detailed design work. If no such issues are identified the PMU will attach a statement to that fact to the detailed design it submits to MoF and ADB.

In the event that resettlement issues are identified the National resettlement consultant will prepare a statement listing: the number of households affected, the extent of the impact on these households, their loss of assets, the likely need for cash allowance, as well as a budget showing the costs of respective entitlements and a total cost. In addition this statement will include a time-bound implementation schedule for the detailed assessment and listing of assets, the negotiation of entitlements and the payment of the same. This statement will similarly be attached to the respective detailed design document submitted for approval to MOF and ADB. If approval is given to proceed with sub-project implementation the national consultant will follow the agreed implementation schedule, under supervision of the international consultant. Affected households will be involved in all identification, measurement, assessment and evaluation activities and processes associated with these issues.

3.7 Compensation and other entitlement of PAPs

Actual entitlements will be negotiated between the PMU and respective eligible households, either on individual or community basis. These agreed entitlements will require endorsement by MOF and ADB before payments can be authorized. Households will be issued with written documentation of their respective agreed entitlements.

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The option to appeal against any aspect of this process can be channeled through the established grievance procedures

3.8 Clearance of the project area

The head of the provincial project office together with the international consultant from the PMU will delegate responsibility for any resettlement activities arising to the respective National consultant. This National consultant will be responsible for the following activities, to be completed before the start of construction activities:

· Identification of any affected households; · Assessment of lost assets (trees/crops) for respective households;. · Signing agreement between the Project and the households regarding

compensation and rights and obligations of both parties. · Payment of all compensation entitlements.

Clearance of project areas will be completed at least one month before Project construction begins, and only after ADB have certified that the resettlement operation has been completed to their satisfaction.

3.9 RAP Implementation

Land acquisition, compensation and relocation of project affected persons (APs) cannot commence until the RAP has been reviewed and approved by MOF and ADB. All resettlement activities will be coordinated with the civil works schedule. Civil works (construction) for any given section of respective sites may not begin until all relevant affected parties in the section have received full compensation for the land, asset or resource that will be taken for construction or other project use. Hakimiyat will ensure that civil works contractors are not issued a notice of possession of site for construction work for any specific section of infrastructure before PMUs have, in accordance with the approved RAP, completed both the payment of AP compensation entitlements and any necessary relocation of AP households to new sites. Each RAP must be completed, both in format and in substance, satisfactory to these agencies prior to the issuance of tender documents for construction. It is, however, possible that a phased procedure be agreed allowing construction to begin on a stretch of access road to be widened or otherwise upgraded where the RAP has been fully implemented while completing resettlement and clearance activities on another area of the same site.

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4 ESTIMATED POPULATION DISPLACEMENT

No detailed design has yet been completed for the project. It is not therefore possible to provide definitive lists of either APs or of their respective lost assets or entitlements. Following completion of the detail design for the respective landfills a socio-economic survey will be carried out targeting 100% of those households identified as potentially losing assets or suffering other types of Project related loss.

4.1 Procedure for Preliminary Estimate of Resettlement The following procedure was used to provide a rough estimate of resettlement impacts for each sub-project. 1. Identify on the plan sheets and other suitable mapping the following:

Locations (proposed new landfill areas). Any buildings associated with landfill areas. New access roads or realignment/up-grading of existing roads.

2. Perform a reconnaissance survey of the locations identified in Item 1 to gather the following information for each location. Provide a count of:

Fruit and nut trees Other trees Large commercial/institutional buildings within the survey distance. (A

building is considered to be within the survey distance if more than 10 % of the building is impacted). (For example, large institutional, religious, and commercial buildings).

Small non-residential buildings (e.g., farm outbuildings, garages, etc.). Small residential buildings within the survey distance (e.g., small homes,

etc.) Fence lengths Community Wells

4. For each location at which vacant or cultivated land is present, provide an estimate of the area of such land, classifying by:

Vacant land Intense cultivation (vineyards, fruit trees, etc.), Irrigated land Other crop land

5. Develop a list of unit prices based on current market conditions for the following:

a) Average value of fruit/nut tree harvest per year, per tree (this is needed to estimate the value of usufruct harvests)

b) Current average real estate values (per sq. m.), classified as either urban or rural (or by region), for

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Vacant land Irrigated crop land Orchards Urban/suburban land

c) Current average real estate values (per sq. m.), classified by urban or rural (or by region), for

Small non-residential buildings Small residential buildings

d) Wells (cost for drilling and completing an average well that provides safe water)

e) Fences (per linear m.) This process provides information summarized in Table , which shows the estimated impacts of Project implementation activities on respective targeted landfill sites, as well as the totals for all four proposed new landfill sites. It is emphasized that the table has been prepared using conservative assumptions and a proposed visual screening of respective sites, not design data or surveys, and as such should only be used as an estimate of potential resettlement impacts. Detailed information on the locations and basic costing assumptions are presented in Annex 5. During final design, every effort will be made to reduce or eliminate all the impacts characterized in the table. At that time, the preparation of the RAP and final entitlement matrix will provide a basis for calculation. It appears there may be three (Cooperative) peasant farms (+/- 15ha) in Site E and an unknown number of household farms (<1ha). The consequences of the project acquiring land from these respective sites will be different. In the former case the principal household will be affected and probably hired workers. In these cases the farm likely provides the households with their sole source of income. In the case of household farms the income from their farm will be supplemented by members working on other farms or industrial developments or sending remittances from overseas. In addition these smaller farms have an income from milk and/or meat production. Paradoxically, it is quite possible that these smaller farming households, because of the variety of income streams, might well be economically more resilient to project intervention, whilst at the same time suffer more psychologically from losing hereditary, family-held land.

It is acknowledged that implementation of baseline socio-economic survey will likely identify additional impacts and/or affected assets not listed in this RPF. The table below is an essentially indicative list. The complete identification and recording of APs and their entitlements will be defined in the socio-economic and base-line studies (through walks, consultations, focus group discussions (FGDs))

.

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Table 3. Preliminary Scope of Potential Resettlement Impacts

Sub-projects Site E (1/2)

Site E

(3)

Potentially affected residents to be relocated

Nil Nil

Potentially affected land cultivators

30 200

Number of buildings impacted (includes all structures such as residential and non-residential buildings, farm outbuildings, wells, etc)

Nil Nil

Irrigated land potentially impacted (ha)

30 200

Number of trees potentially impacted

Total potential compensation costs ('000 USD)

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5 ENTITLEMENT AND ELIGIBILITY CRITERIA

5.1 Project Resettlement Principles

The basic resettlement principles and guidelines include the following: The affected persons (APs) are defined as those who stand to lose land,

houses, structures, trees, crops, businesses, income and other assets as a consequence of site developments.

All APs are equally entitled to cash compensation and rehabilitation assistance, irrespective of their land ownership status, to ensure that those affected by the Project shall be at least as well off, if not better off, than they would have been without the Project. Absence of a title will not be a bar to receiving compensation and livelihood assistance, (except for land where a title is required).

All losses will be compensated at replacement cost, at market prices without deducting for depreciation and salvage value.

Encroachers in this context are defined as people occupying legal or customarily recognized properties on public space.

Squatters are defined as those that occupy space that is legally or customarily someone else’s.

The compensation packages shall reflect replacement costs for all losses (such as lands, crops, trees, structures, businesses, incomes, etc.).

Compensation and resettlement will be satisfactorily completed before a No-Objection Certificate can be provided by Gov. of Uzbekistan for award of civil works contracts.

APs will be systematically informed and consulted about the project, and RPs will be made available in English, Rumanian and Russian languages to the affected persons and communities.

The consultative process shall include not only those affected, but also the adjacent communities, representatives of the local governments of the areas where the project is located, community leaders, local government (district/reyan), and community-based organizations (CBOs). Vulnerable groups (households below the recognized poverty line; disabled, elderly persons or female headed households) should be identified and given appropriate assistance to substantially improve their living standards.

Physical construction will be initiated only following completion of all compensation payments.

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5.2 Eligibility and Project Entitlements

The Bank’s resettlement policy prescribes compensation for lost assets at replacement costs to both titled and non-titled landholders and resettlement assistance for lost income and livelihoods. Absence of formal title does not constitute a bar to resettlement assistance and rehabilitation. Further, the principles adopted herein contain special measures and assistance for vulnerable APs, such as female-headed households, disabled persons, and households with incomes below the recognized poverty line. Only claimants holding land title will be eligible for compensation payments for land acquired by the project. Persons affected by land acquisition, and relocation and/or rehabilitation of structures/assets (small business enterprises (SBEs), houses, etc.) are entitled to a combination of compensation measures and resettlement assistance, depending on the nature of ownership rights of lost assets and scope of the impact, including social and economic vulnerability of the affected persons. Adversely affected persons in the Project will be entitled to various types of compensation and resettlement assistance that will help in the restoration of their livelihoods, at least, to the pre-Project standards.

Compensation and rehabilitation tasks for the Project will be carried out in accordance with the following set of ADB resettlement principles.

5.2.1 Compensation Framework The RPF, which reflects ADB policy on settlement, requires that compensation rates and entitlements reflect replacement cost. Entitlements will be calculated and ‘eligible persons’ compensated/reimbursed, following the procedures outlined below:

· Land. Households losing land will be eligible for replacement land of at least the same quality as that lost. Where replacement land is not available compensation will be paid in cash. Land values will reflect ‘local market price’. This valuation can be adjusted, taking into account land location, current land use, land improvements, and other factors that may influence land prices;

· Annual Crops. These will be valued at current market prices of harvested crops.

· Productive trees. Valued at three times estimated annual income from sale of harvested crop.

· Houses. These will be valued at replacement cost on a m2 basis inclusive of cost of materials plus labor. No reduction on account of age or present condition of property.

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· Businesses. For example: retail outlets, will be compensated on the basis of an allowance corresponding either to a fixed lump-sum equivalent to one month of the income derived from that business.

For further details of entitlements see, below.

5.2.2 Eligibility Cut-off date Compensation eligibility for impacts caused by the project rehabilitation scheme will be limited by a cut-off date to be specifically established for the project. The cut-off-date will be set on the day corresponding to the beginning of the impacts assessment survey for a scheme. Affected parties who settle in the affected areas after the cut-off date will not be eligible to compensation.

5.2.3 Special provisions for severely affected APs ADB policy specifies that vulnerable groups merit special attention in planning and implementing resettlement and that resettlement represents an opportunity to help them improve their status. Vulnerable groups are those likely to be particularly disadvantaged as a consequence of resettlement. The policy defines as vulnerable groups the poorest those without legal title to assets, households headed by women, indigenous peoples, ethnic minorities, and pastoralists. There may be other groups, such as isolated communities, the disabled or those unable to work, or those left behind when the majority of their community becomes eligible for relocation. Bank policy specifies that, where adversely affected people are particularly vulnerable, resettlement and compensation decisions should be preceded by a social preparation phase to build up the capacity of the vulnerable people to deal with the issues.

5.3 People affected temporarily are counted as APs People suffering only temporary adverse impacts must nevertheless be regarded as PAPs and must be compensated and assisted accordingly. However, they would not be counted in determining the number affected for level of significance. Temporary losses might include land or assets borrowed during construction (for borrow pits, quarries, work sites, temporary access, or storage), loss of crops and income foregone on agricultural land, loss of housing or community services, loss of business income due to construction work, or loss of wages to employees. If the losses are to be prolonged, it might be better to count them as permanent losses. In order to ensure the rehabilitation of severely affected APs defined as APs that lose more than 10% of their land or other productive assets, the Project will establish a special rehabilitation allowance in cash corresponding to one year produce of the land acquired. The same will be provided to tenants and farmers with usufruct rights in public land losing more than 10% of their land or other productive assets. This allowance will allow the affected parties to maintain the

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same incomes they had before the project for one year, a period which should be sufficient to purchase new land use rights or establish new rent or land usufruct contracts.

5.3.1 Compensation Entitlements

Entitlements for AP losing land, houses and income and rehabilitation subsidies will include provisions for: Permanent Land losses, Temporary Land Losses, Crops losses and Community infrastructure. The Project will also provide to PAPs losing a house a Relocation subsidy. A special rehabilitation allowances will be provided to severely affected PAPs incurring Business losses. The policy requires that compensation entitlements are available to all categories of affected households and will be paid for loss of productive assets, such as access to cultivable land as well as business activities. Eligibility for compensation will be calculated paying no respect to the legal respective status of household’s land use.

5.4 Entitlement Matrix A preliminary Entitlement Matrix is shown in Table 4. Table 4: Entitlement Matrix

Type of Loss Application Entitled Person

RAP entitlements (per RPF/ADB)

1. Loss of arable, forest, residential, or commercial Land

1.1 Permanent loss of land.

Eligible land owner/ landholder

1.1 Cash compensation at market rate, Or: Compensation through “land for land” mechanisms at PAP’s preference. Note that loss of infrastructure will require land replacement (unless PAP specifically requests otherwise)

Tenant 1.2 Cash compensation equivalent to the value of three years harvest from the land lost to the project

1.2 Temporary acquisition or easement during construction/ camp/ storage

Eligible land owner/ landholder

1.3 Monthly cash compensation to cover income opportunity lost and restoration of land (leveling, drainage, fertilizer etc)

Tennant 1.3 Monthly cash compensation to cover

income opportunity lost and restoration of land (leveling, drainage, fertilizer etc)

2. Temporary structures: housing, mobile stores, fence, latrine, etc.

During construction

Affected person (AP) who is the recognized owner, user or otherwise beneficiary

(i) Compensation in cash or materials at full replacement cost at current market value, with no deduction in compensation for depreciation or salvageable materials. (ii) If relocation is required, for movable structures, assessment of ability to move

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Type of Loss Application Entitled Person

RAP entitlements (per RPF/ADB)

whether or not, with land title and whether the structure was built with permit or not

the un-dismantled structure. If APs agree the structure can be moved, assistance will be provided to cover the replacement costs of site preparation, dismantling, moving, and rebuilding the structure.

3. Annual crops Owner of crops APs will be given 2 months notice to harvest

crops prior to clearance. For crops that cannot be harvested, APs will be awarded the full market value of three years lost production.

4. Perennial crops and trees

(i) Timber and fruit trees (ii) Private shade trees (iii) Public shade and fruit trees

(i) Owner of crops or trees (ii) Owner of trees (iii) Communities and landfill authorities

(i) Cash compensation at market price for loss of crops/fruits calculated as three annual harvests. Compensation for lost trees at 110% of market (timber) value. (ii) Replacement, on request, by planting of saplings up to a factor of 15 new to one old tree. (iii) Cash compensation to local communities paid at market price for loss of crops/fruits calculated as three annual harvests. Replacement, on request, by planting of saplings up to a factor of 15 new to one old tree.

5. Loss of workdays and income

Employees losing income during the construction

A lump sum for loss of wage and income restoration (to be monitored for adequacy).

6. Relocation allowance

House owner Cash allowance

7. Business losses allowance

Business owner Cash allowance equivalent to 1 month income in subproject areas. The allowance will be provided monthly for the transitional period up to 6 months

8. Public/private infrastructure (such as community wells and shrines)

Local communities

Full replacement or rehabilitation of the affected item at no cost for the community.

6 Legal Framework (Resettlement)

6.1 Introduction This section presents a review of existing legislation, by-laws and government policies and programs of the Republic of Uzbekistan relevant to the resettlement and other related issues (environmental and social assessment, gender, etc.). The review includes an analysis of gaps between the Uzbekistan legislation and the environmental and safeguard policies applied for the proposed projects, principally

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reflecting ADB guidelines for environmental and social assessment. With respect to resettlement, the proposed projects are guided by the ADB’s Safeguard Policy Statement (SPS) and Handbook on Resettlement for matters of land acquisition and resettlement (see Annex 1).

The review of legal and policy frameworks pertaining to resettlement aims to identify the legal and institutional context within which resettlement as well as compensation and resettlement assistance measures resulting from that resettlement have to be implemented. The first step in designing the compensation and rehabilitation measures is to determine the entitlements of affected persons under applicable laws and regulations, to identify any services or social benefits to which they might have access, and to ensure that sufficient resources are available.

The next step is to assess what additional measures are needed, if any, to restore the livelihoods of the affected population to the pre-resettlement level, and to design mechanisms capable of delivering the goods or services that are needed, including effective and expeditious procedures for the resolution of disputes. This allows the compensation and rehabilitation package to work within the constraints of local laws and institutions, complementing them only as required, with project specific measures. Therefore, this review of legal and policy frameworks includes identification of gaps in the local institutional and regulatory frameworks, which can eventually be addressed through institutional strengthening or other components for the client and a project financier(s) to agree.

ADB’s SPS is triggered in situations involving involuntary taking of land and involuntary restrictions of access to legally designated parks and protected areas. The policy aims to avoid involuntary resettlement to the extent feasible, or to minimize and mitigate its adverse social and economic impacts. Specifically, SPS states that project planning must avoid and minimize involuntary resettlement, and that if people lose their homes or livelihoods as a result of projects, they should have their standard of living improved, or at least restored. It promotes participation of displaced people in resettlement planning and implementation. The SPS’s key economic objective is to assist displaced persons in their efforts to improve or at least restore their incomes and standards of living after displacement. The policy prescribes compensation and other resettlement measures to achieve its objectives and requires that implementers prepare adequate resettlement planning instruments prior to appraisal of proposed projects.

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6.2 Gap Analysis between Uzbekistan Legislation and SPS

Comparison of Land Code of Republic of Uzbekistan with the ADB Policy on Involuntary Resettlement (IR) indicates that key elements of the ADB Policy are found in Uzbekistan legislation but are given only cursory attention, for example: in the context of valuation of property other than land, and valuation of usage rights over land and compensation for citizens having land use rights registered under the Land Code of Republic of Uzbekistan.

The ADB’s principle of avoidance or minimization of resettlement is partially addressed in the Uzbek legislation particularly the Land Code (1998), which states that land for common use of settlements can be acquired only for locating state, municipal or public utility services.

In IFI-funded projects, all land acquisition and/or resettlement issues will be resolved according to the higher standard where Uzbekistan law and ADB policy diverge because the lesser standard is met ipso facto. In other words, SPS complements the existing body of Uzbekistan regulations and does not supplant them.

However, a number of Uzbekistan regulatory instruments exist that provide grounds for both (i) regulation, implementation, and management of acquisition of land, property and productive assets, as well as (ii) compensation for the loss of these assets. Laws and regulations most pertinent to resettlement and related issues (land management, environmental assessment, compensation, etc.) include the following:

· The Land Code (1998); · The Civil Code of Republic of Uzbekistan (2006); · Law of the Republic of Uzbekistan №405-II dated 30.09.2002 · Resolution Cabinet of Ministers (RCM) (No. 172 – 11 dated December 15, 2000) · RCM No. 248, of 27 May 19928 · RCM no. 282 (15 June 1992) with revision in RCM No. 126 (11 April 1995 and

No. 223 (16 June 1995) · RCM No. 246 (25 May 1992) · RCM No. 97 (29 May 2006) · RCM no. 146 on land acquisition. May 2011

Collectively, these regulations provide a sound basis for acquiring land for public purpose and for compensating land users registered for particular purpose, such as

8 Legislation titles in red were rendered invalid by the introduction of RCM No. 146. 2011

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for cultivation, business, residence etc. However, no one is compensated for land as land is a state owned asset. A brief account of the provisions is given below.This section presents the major differences, or gaps, between Uzbekistan legislation and ADB SPS.

GAP 1: Uzbekistan legislation does not specifically consider a wide range of matters of resettlement, especially e.g. considerations for avoidance or minimizing involuntary resettlement.

Land Code of Republic of Uzbekistan (1998) Under the Land Code of Republic of Uzbekistan, 1998, Article 1, Article 5 and Article 6, land is considered as national wealth and under state control in order to be rationally used and protected to preserve natural environment, protection of persons’ right to use of land, improving fertility and strengthening lawfulness in the sphere of land relation for the benefit of present and future generations. No individual / family own land but are granted lands to possess, use and lease rights over land use. The right of juridical and real persons to land parcels are subject to state registration (Article 35) by the local body of power within a period of 10 days of receiving land related documents.

Civil Code (1996/1997) Has been put into effect from March 1, 1997 by the Resolution of the Oliy Majlis of the RUz No. 257-I dated 29.08.96. Primarily covering leased property. Of interest to resettlement practice is Article 556 which states that in the event of a lease needing to be terminated (for example to make way for a development initiative) the owner (or lessee) of the property shall be liable for the whole buyout price provided by the contact. If a condition on buyout of the leased property is not provided in the contract, it may be established by a supplementary agreement of the parties

Law of the Republic of Uzbekistan №405-II dated 30.09.2002

Principal responsibility for solid waste management in Uzbekistan lies with the State Committee of the Government of Uzbekistan for Nature Conservation (SCGUNC). According to the Law of the Republic of Uzbekistan №405-II dated 30.09.2002, Goskompriroda conducts the state control over: “locating and operation of waste storage facilities, waste banks, and dumps”; amongst the main tasks of Goskompriroda being “stimulation of universal application of resource saving, little pollution and clean technologies, reuse of manufacturing

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and consumer wastes, application of achievements scientifically - technical progress in the field of environment protection and use of natural resources”.

Cabinet of Ministers Resolution (No. 172 – 11 dated December 15, 2000)

The relevant decrees of Oliy Majlis (the parliament) are: 1. To put in force the Law of the Republic of Uzbekistan “About the state

cadastres” from the day of publication. 2. The Cabinet of Ministers must bring the decision of the government in

conformity with the Law of the Republic of Uzbekistan “About the state cadastres”, secure the revision and cancellation by the ministers, state committees and departments their normative acts, which conflicts with the mentioned Law.

6.3 Compensation Valuation Methods in Uzbekistan

The Law of the Republic of Uzbekistan (no. 171 – 11 dated December 15, 2000), Article 15 provides valuation method of the cadastral objects including qualitative and cost estimation. The qualitative valuation is made based on their natural and physical characteristics and cost estimation is made considering their specific character based on established legislation.

Land

All land belongs to Republic of Uzbekistan. Citizens are allowed to apply for use of land parcels for specific purpose for which tenders are floated by the Government and the successful bidders are given possession of parcels of land. These land parcels are subsequently registered9. In case of land being acquired for public purpose the citizens having valid registered documents are given option of alternate land parcels similar in quality and area suitable for the purpose these were originally given possession of. No compensation is made for loss of ownership of land parcel, but loss of land use is compensated.

Annual Crops / Perennial Crops like trees, shrubs and vines / Immovable Assets and land attachments, etc. The compensation for crops grown is subject to negotiation with the farmers. In the circumstances, where state wants to acquire land given on possession to the individuals for specific purpose for which the land parcels are registered, the occupiers / possessors of those land parcels are allotted similar type of land parcels after negotiation. The valuation of crops / other immovable assets / trees are done by the state cadastres. The Land Code states that where possible acquisition of land will be delayed until crops are

9 In Uzbekistan all land belongs to the State and administratively is the responsibility of the State Committee of Land Resources (SCLR) within the National Land Administration. The SCLR is responsible for cadestre and registration of rural lands.

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harvested but that if this is not possible losses caused to the owners of land parcels under specific use will get full compensation including loss of profit.

“Estimating the cost of houses, buildings and structures, including facilities, whose construction has not been completed, as well as facilities located outside the allotted area is performed in accordance with Resolution of the Cabinet of Ministers on 29 May 2006 N 97 ‘On approval of the provision on the procedure of compensation to citizens and legal entities in connection with the withdrawal of land for state and public needs’ “10.

GAP 2: Uzbekistan regulations do not consider resettlement as a sustainable development program nor do they provide grounds for alternative options. Also, they do not specify benefits and opportunities that may be provided by resettlement to improve the livelihoods of the affected populations.

SPS covers direct economic and social impacts including the involuntary taking of land resulting in:

• Relocation or loss of shelter; • Lost of assets or access to assets; or • Loss of income sources or means of livelihood, whether or not the

affected persons must move to another location. At RAP preparation stage actions will be taken to identify persons suffering loss of income and possibilities for them to restore lost livelihoods and this will be taken into account when negotiating compensations and assistance

GAP 3: Uzbekistan legislation does not specify the potential impacts of resettlement.

The SPS requires two key measures for involuntary resettlement, namely a RPF and a RAP.

Resettlement Policy Framework (RPF) presents a review of ADB resettlement policy within the context of local project circumstances. It is an instrument that is used in projects when the nature and extent of land acquisition/resettlement is unknown at the time of appraisal. The key purpose of the RPF is to establish resettlement objectives, principles, organizational arrangements and mechanisms for any resettlement activities that may or may be necessary as a result of project activities. When the exact extent of land acquisition becomes known during the implementation phase, site specific Resettlement Action Plan(s) are prepared, depending on the scale and severity of impacts (see Annex 2).

10 See: RCM no. 146 on land acquisition. May 2011; Section 11, para. 9

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Resettlement Action Plan (RAP) refers to a time-bound plan with budget in which the project proponent(s) or other responsible entity specifies the procedures that it will follow and the actions (resettlement strategy, objectives, options, entitlements, actions approvals, responsibilities, monitoring and evaluation) that will take to mitigate adverse effects, compensate losses, and provide development benefits to persons and communities affected by a development project.

GAP 4: These considerations are not present in the Uzbekistan regulations.

More specifically, under SPS in cases where there is no physical relocation that a RAP or an RPF are developed to include measures that the affected persons and populations are:

• Informed about their options and rights pertaining to resettlement; • Consulted on, offered choices among, and provided with technically and

economically feasible resettlement alternatives; and • Provided prompt and effective compensation at full replacement cost for

losses of assets attributable directly to the Project.

Where the involuntary resettlement is unavoidable, including physical relocation, SPS requires that a RAP and RPF are developed to include measures that the PAP are:

• Provided assistance (such as moving allowances) during relocation; • Provided with residential housing, or housing sites, or, as required,

agricultural sites for which a combination of productive potential, locational advantages, and other factors is at least equivalent to the advantages of the original location;

• Offered support after displacement, for a transition period, based on a reasonable estimate of the time likely to be needed to restore their livelihood and standards of living; and

• Provided with development assistance in addition to compensation measures, such as land preparation, credit facilities, training, or job opportunities.

GAP 5: Considerations for differentiated measures (RAP or RPF) are not present in the Uzbekistan regulations.

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Key issues of resettlement within the framework of SPS and their relevance to the Uzbekistan legislative and regulatory framework are described in the following sections.

6.3.1 Land Acquisition

Land acquisition means acquiring of land for public purpose by government/government agency, as authorized by the law, from the individual landowner(s) after paying a fixed compensation in lieu of losses incurred by land owner(s) due to providing of his/their land to the concerned government agency. Land acquisition takes places via acquisition of land of an individual or community (in the case of commonly used land) voluntarily (upon an agreement between the parties – the buyer and the seller) or via power of eminent domain which refers to the inherent power of the state (within the existing laws) to expropriate property that is individually or commonly owned or seize the right(s) of an individual or community in property with due monetary compensation with or without an agreement with the owner(s).

6.3.2 Displacement

In the context of resettlement, displacement refers to physical and economic displacement. Physical displacement is concerned when the affected persons are required to relocate while economic displacement includes the impact of loss of incomes that forces the affected persons to move or to initiate alternative strategies of income restoration.

GAP 6-7: Uzbekistan legislations do not differentiate categories of resettlement such as economic or physical. However, displacement and land acquisition take place under the Land Code (1998) and the Resolution of the Council of Ministers no.146, 2011, both of which apply only to physical resettlement.

6.3.3 Project-Affected Persons Persons affected by land acquisition, relocation, or loss of incomes associated with change in land use due to the project are defined as PAPs. Though PAPs may form the unit of impact for the purpose of baseline surveys, some of the resettlement entitlements could actually be provided to the households as alternative units of entitlement.

GAP 8: The Uzbekistan laws do not provide for categorization of Project Affected Persons (PAP) as defined by SPS.

6.3.4 Squatters and Encroachers

Squatters and encroachers are persons without legal titles to the land and structures occupied or used by them. The term 'squatters' is typically used for those occupying structures for residential or commercial purposes, while

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'encroachers' are those occupying land for agriculture. SPS explicitly states that the affected persons cannot be denied compensation and/or resettlement assistance based on the lack of legal title.

GAP 9: The Uzbekistan laws do not provide for categorization of squatters and encroachers as the part of the PAPs as defined by ADB SPS. The Land Code covers only the rights of registered users of land (legal tenants), and the businesses that have legal rights to the land and other property. It therefore denies compensation for populations without some form of legal title.

Losses as provided in paragraph 6 of current Regulation11 relating to the acquisition of illegally occupied land are not compensated.

6.3.5 Protection of the Poor and Vulnerable Groups and Indigenous Peoples, and Addressing Gender Equity

SPS requires that particular attention is paid to the needs of vulnerable groups among those affected, especially those below the poverty line, the landless, the elderly, women and children, indigenous peoples, ethnic minorities, or other persons who may not be protected through national land compensation legislation. Where resettlement of indigenous peoples (who often include cultural, religious and ethnic minorities) is required, resettlement measures need to be prepared and implemented with extreme sensitivity to the socio-cultural requirements of these people. Similarly, resettlement requires recognition of gender equity, the rights and needs of vulnerable populations such as women, elderly, children, the poor in the provision of entitlements and compensation measures.

Baseline studies will be sensitive to finding people who may not be owners but have established an effective use of the land over reasonable period of time (encroachers) for whom some compensation may also need to be negotiated. The study will also make effort to identify poor and vulnerable groups among the affected persons (e.g. people with many children, single parents, people with disability).

A record will also be of affected persons who are currently absent from the country, and discuss a best procedure for reaching out in such cases.

GAP 10: The Uzbekistan laws do not provide for such considerations.

11 See: RCM no. 146 on land acquisition. May 2011; Section 11, para. 7

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6.3.6 Protection and Support of Social and Cultural Institutions

SPS requires that in new resettlement sites or host communities, infrastructure, public services and community resources (wells, fishing, grazing sites, and fuel and fodder collection areas), as well as to extend possible community organization measures are provided as needed to improve, restore, or maintain accessibility and levels of service for displaced persons and host communities.

Baseline studies will be sensitive to finding people who may not be owners but have established an effective use of the land over reasonable period of time (encroachers) for whom some compensation may also need to be negotiated. The study will also make effort to identify poor and vulnerable groups among the affected persons (e.g. people with many children, single parents, people with disability).

A record will also be of affected persons who are currently absent from the country, and discuss a best procedure for reaching out in such cases.

GAP 11: The Uzbekistan laws do not provide specific considerations for improvement, restoration and maintenance of socio-cultural and community structures of the displaced and host communities which is relevant in the case of physical displacement of people.

6.3.7 Income Restoration

Restoration of the incomes of all affected persons is one of the key objectives of the SPS. It requires that after resettlement, all of the affected persons should have incomes which are at least equivalent to their pre-project income levels. Restoration of incomes, the standards of living and the productivity levels of the affected persons constitutes the core of the SPS. Resettlement programs must be designed to at least achieve restoration of income levels and standard of living.

However they should aim to help improve the standards of living and income levels of the affected population. Resettlement planning is one of the main mechanisms for ensuring that the incomes of all categories of affected persons are restored after resettlement.

GAP12: Specific considerations for the loss of jobs and incomes are not present in the Uzbekistan regulations.

6.3.8 Replacement Cost

SPS requires that all affected assets (land and structures) are compensated at their replacement cost. Replacement cost of an affected asset is equivalent to the amount required to replace the asset in its existing condition. Since in most countries there may not be markets in old housing that function well, the replacement cost of structures should be equal to the cost of constructing/purchasing a new structure, without making any deductions for

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depreciation. Also, most national legal frameworks do not provide compensation at replacement cost. Therefore, SPS suggests a combination of compensation permissible under the local legal regimes with other allowances (with variable terminology) so that the total is equal to the replacement cost of affected assets.

GAP 13: Specific considerations for replacement costs that are disaggregated by types of affected assets (e.g. old, new houses) are not present in the Uzbekistan regulations.

6.3.9 Information Dissemination and Public Consultations

SPS also requires that adequate consultation and disclosure takes place among the affected population whereby:

• Affected persons and their communities, and any host communities receiving them in the case of physical relocation, are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement; appropriate and accessible grievance mechanisms are established for these groups.

GAP 14: Currently there are no explicit requirements in Uzbekistan legislation on information dissemination and consultation processes relating to resettlement.

However, a number of existing regulations and international conventions, to which Uzbekistan is a party, dealing with environmental issues provide a basis for developing specific regulations on public participation and consultation processes for resettlement. They include:

Convention on Access to Information, Public Participation in the Decision-Making Process and Access to Justice in Environment (Aarhus, 1998) or the Aarhus Convention

The Aarhus Convention guarantees the rights of people of access to information, public participation in decision-making, and access to justice in environmental matters. It requires parties to introduce the necessary legislative and regulatory measures to ensure this, and promote environmental awareness and education among the public and provide for appropriate recognition of and support to associations, organizations or groups promoting environmental protection. The Convention also makes provision for public participation procedures which include reasonable time-frames for the different phases, for informing the public and for the public to prepare and participate effectively during the environmental decision-making.

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Information made available to the public during public participation should include, but is not limited to:

• A description of the site and the physical and technical characteristics of the proposed

• activity, including an estimate of the expected residues and emissions; • A description of the significant impacts on the environment; • A description of preventive and/or mitigation measures; • A non-technical summary of the above; and • A summary of the main alternatives under consideration.

The following major laws and legal acts are already in force in Uzbekistan which may have implications for resettlement:

On Nature Protection (1992), On State Sanitary Supervision (1993), On Subsoil (1994), On Waste (2002), On Crops Protection from Pests, Diseases and Weeds (2002),

6.4 Key Resettlement Procedures within the Framework of ADB SPS and their Relevance to the Uzbekistan Legislative and Regulatory Framework

6.4.1 Identification of PAP and Their Eligibility for Compensation SPS also requires procedures for eligibility for benefits as a result of involuntary resettlement. Upon identification of the need for involuntary resettlement, the Project implementers are obliged to carry out a census of PAPs to identify the persons who will be affected by the Project to determine who will be eligible for assistance, and to discourage inflow of people ineligible for assistance. This includes provisions for meaningful consultations with affected persons and communities, local authorities, and, as appropriate, non-governmental organizations (NGOs). It also specifies the need for grievance mechanisms.

GAP 15a: Currently, Uzbekistan legislation neither provides for identification of various categories of PAP via a census of PAP and their eligibility for compensation or resettlement assistance, nor does it encourage consultations with the affected communities.

At least three types of populations are entitled to compensation including:

• Those who have formal legal rights to land (including customary and traditional rights recognized under the laws of the country);

• Those who do not have formal legal rights to land at the time the census begins but have a claim to such land or assets--provided that such claims

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are recognized under the laws of the country or become recognized through a process identified in the Resettlement Action Plan; and

• Those who have no recognizable legal right or claim to the land they are occupying.

GAP 15b: The categories of people who must be compensated under Uzbekistan legislation are narrower than those defined under OP 4.12. Under the legislation, the only people and entities entitled to compensation are those with registered property rights, e.g. registered landowners, leaseholders, users. Uzbekistan laws do not recognize the rights of those who do not have recognizable legal rights to the land and other assets while using them informally, or based upon an informal agreement with the owner. This potentially precludes many categories of affected people that would be entitled to compensation under OP 4.12

6.4.2 Resettlement Assistance/Compensation Packages SPS requires compensation or resettlement package that also include measures to ensure that PAPs are able to find alternative sites or income sources to restore their economic and social livelihoods. Preferably, resettlement must consider relocation of PAP in similar socio-economic and cultural settings and provide for upgrading of their livelihood and full integration in a new location. If suitable resettlement assistance is not available, such as provision of income-generating opportunities for the displaced person other strategies such as retraining, skill development, wage employment or self-employment, or access to credit should be considered.

GAP 16: There are no provisions in the current Uzbekistan legislation for ensuring that PAPs find alternative sites or sources of income to restore their livelihoods as a part of resettlement assistance or compensation packages

6.4.3 Compensation for Land and Other Assets According to SPS, appropriate land, housing, infrastructure, and other compensation, comparable to the without Project situation, should be provided to the adversely affected population, including indigenous groups or ethnic minorities, who may have usufruct or customary rights to the land or other resources taken for the Project. SPS states that preference should be given to land-based resettlement strategies for displaced persons whose livelihoods are land-based. These strategies may include resettlement on public land or on private land acquired or purchased for resettlement.

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SPS also states that payment of cash compensation for lost assets at the levels sufficient to replace the lost land and other assets at full replacement cost in local markets and may be appropriate where:

• Livelihoods are land-based but the land taken for the project is a small fraction of the affected asset and the residual is economically viable;

• Active markets for land, housing, and labor exist, displaced persons use such markets, and there is sufficient supply of land and housing; or

• Livelihoods are not land-based.

GAP 17: Uzbekistan legislation only provides for compensation to the legal tenants of land via a land-for-land option and replacement of a house with a house of similar value.

Uzbekistan legislation defines rules of expropriation and of appropriation and sets out the conditions and procedures for compensation for the loss of assets including the following:

• Replacement of land by offering an alternative land plot of equal value –e.g. land-for-land option;

• Replacement of a dwelling (house) by offering an alternative dwelling of equal value;

• Once the declaration is published, an expropriation proposal which includes compensation measures must be submitted by the expropriator within 10 days;

• Provision is made for appeal against the expropriation conditions within 45 days of notification. Such appeals are settled within 30 days of the appeal by a Committee, including three specialists and three land owners. Parties must be notified within five days of the adoption of the Committee’s decision which would serve as the basis for compensation;

• If the parties cannot agree on the terms, expropriation for reasons of public use can only occur on the basis of a judicial decision and preliminary reimbursement.

• In this case the court appoints relevant experts to determine the level of compensation. Payment must be made within 30 days of the court’s decision; and

• Ownership of land plots with crops is only transferred after the harvest, unless compensation included the value of the non-harvested crops.

6.4.4 Compensation for Non-Land Assets Under SPS all categories of PAP need to be compensated at replacement cost through cash or replacement for non-land assets. All PAPs are to be provided with assistance to find alternative rental premises comparable to those occupied before the Project.

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GAP 18: As the Uzbekistan legislation does not provide compensation for non-land assets to all categories of PAP under the definition of the OP 4.12, it only covers compensation for the legal tenants.

6.4.5 Compensation for Loss of Jobs, Incomes and Livelihoods SPS requires that all PAPs are entitled to receive one-time financial assistance, as well as social and economic rehabilitation. These may include: (a) relocation and transfer expenses; (b) assistance for transitional income and livelihood support; (c) compensation for crop or business losses; (d) reestablishment of agricultural business production; (e) assistance in income restoration; and (f) assistance for restoring social services, social capital, community property, and resources.

GAP 19: Uzbekistan legislation provides only for compensation for the legal tenants that does not include reestablishment of agricultural business production; assistance in income restoration; or assistance for restoring social services, social capital, community property, and resources.

6.4.6 Compensation for the Loss of Community and Public Resources Under SPS, all PAP as members of communities are eligible for compensation for the loss of: (a) use, access to, restriction or change in use of community property resources, including water resources, forest, woodland, pasture, community recreation and cultural sites; (b) public structures such as markets, health and educational facilities, water and washing points, and meeting houses; and (c) roads, bridges, and other transport lines; power facilities, telecommunication lines; water, sanitation, and drainage facilities.

GAP 20: Uzbekistan legislation provides only for compensation for the legal tenants that does not include reestablishment or restoration of community resources and property.

6.4.7 Measures to Improve the Status of the Poor and Vulnerable Groups Under SPS, measures to avoid further impoverishment of the poor and vulnerable groups should be developed. New income generating opportunities must be provided to these groups. These measures may include: (a) reducing barriers to employment opportunities, such as involvement in project work; (b) improving access to and delivery of essential services, including those provided by the project; (c) empowering people through good governance, sound participatory processes, and effective organization, and (d) reducing vulnerability to poverty through asset-building strategies such as development grants, land-for-land, replacement housing of minimum standard, and increased security of tenure.

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GAP 21: Such considerations are not contained in Uzbekistan regulations

6.4.8 Costs of Resettlement Activities SPS states that the full costs of resettlement activities necessary to achieve the objectives of the Project must be included in the total costs of the Project. The costs of resettlement, like the costs of other project activities, are treated as a charge against the economic benefits of the Project.

GAP 22: Such considerations are not required by Uzbekistan regulations

6.4.9 Assistance to the Project in Resettlement Planning ADB requires that adequate and timely support to the Project developers and implementers or other project sponsors includes:

• Assistance to assess and strengthen resettlement policies, strategies, legal frameworks, and specific plans at a country, regional, or sectoral level;

• Financing of technical assistance to strengthen the capacities of agencies responsible for resettlement, or of affected people to participate more effectively in resettlement operations;

• Financing of technical assistance for developing resettlement policies, strategies, and specific plans, and for implementation, monitoring, and evaluation of resettlement activities; and

• Financing of the investment costs of resettlement.

GAP 23: There are no such provisions in Uzbekistan regulations

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6.5 Remedial Measures to Bridge the Gap

The project RPF is intended to clarify these issues and to reconcile the gaps between the Land Code of Republic of Uzbekistan and the ADB Policy. The RPF ensures compensation at replacement cost for all acquired assets, rehabilitation benefits to informal/ unregistered settlers/ dwellers/land users and provision of subsidies or allowances for APs who suffer income losses or are required to be relocated. In summary then, a selection from the main gaps between Uzbek laws/regulation and ADB policy are outlined in Table 1 below.

Table 1: Comparison of resettlement-related Laws under Land Code of Republic of Uzbekistan and Regulations and Involuntary Resettlement Policy of ADB

Uzbekistan Land Laws and Regulations ADB Involuntary Resettlement Policy Land code of Rep of Uzbekistan does not recognize individual ownership on land, but only permits use of land. People apply for registration for particular of use land and are granted possession against fixed rate of taxes along with provision of all documents related to land details, quality, area, which give evidence for occupancy right in the court of law.

Lack of title should not be a bar to compensation and/or rehabilitation. Non-titled landowners receive rehabilitation assistance.

All houses / buildings / shops which are registered under Land Code are valued at the respective province / district level. Unregistered buildings are not liable for compensation

All houses/buildings are compensated for damage or demolition caused by a project irrespective of the status of formal title.

Crop loss / loss of trees / forest farming not compensated Crop losses compensation provided to landowners and sharecroppers / lease tenants whether registered or not

Land parcel valuation for specific land use determined by respective province / district officials of State Cadastres

Land valuation based on current market rate/replacement value.

Owners of buildings / Occupancy right / holding land use right can apply to court of law for proper compensation and dispute is resolved within a period of 1 month. Till that period, no execution for displacement will be effected

Disputes, complaints and grievances are resolved informally through community participation in the Grievance Redress Committees (GRC), Local governments, and NGO and/or local-level community based organizations (CBOs).

It is not mandatory to reveal method of cost of affected assets, compensation rates etc to the APs unless the citizens appeal to court of law.

Information related to quantification/costing of affected assets, entitlements, compensation rates and financial assistance are to be disclosed to the APs prior to appraisal.

No provision for compensation of income /livelihood loss or expenses incurred during relocation within Land Code

The ADB policy requires compensation for income/livelihood losses and for expenses incurred by the APs during the relocation process.

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7 THE PROGRAM COMPENSATION ELIGIBILITY AND ENTITLEMENTS

The land acquisition and resettlement tasks under the program will be carried out according to the compensation eligibility and entitlement provisions developed in line with the Uzbek laws and the ADB policy as detailed in the next chapter.

7.1 Eligibility and Entitlements

19. Under the project RPF the following categories of affected persons will be entitled to compensation and/or rehabilitation benefits:

(i) APs losing land irrespective of whether land is held under valid legal rights or customary rights with or without legal status;

(ii) Tenants and sharecroppers whether registered or not; (iii) Owners of buildings, crops, trees or other objects attached to the land;

and (iv) APs losing business or income/employment opportunities.

APs and affected assets will be identified through a Detailed Measurement Survey (DMS). The DMS end date will be the census cut-off date for compensation eligibility. APs settling in affected areas after this date will not be eligible for compensation. They, however, will be given sufficient advance notice to vacate and dismantle the affected land/structures. Their dismantled structures will not be confiscated nor they will be fined or sanctioned.

The compensation and rehabilitation entitlements for each type of loss due to involuntary resettlement for the Program are detailed below on table 1.

8 METHODS OF VALUING AFFECTED ASSETS

All compensation for housing and other affected assets will be paid at replacement cost; land at current market prices. Depending on the portion of land that is taken from the proprietor and the possibility for him/her to acquire a replacement plot for the same activities market value will suffice. If, however, there is no possibility to restore one’s land and related activity further assistance will be considered. Compensation rates will be established for replacement cost and market prices during the cost survey. All costs for subproject resettlement programs including land acquisition, compensation and allowances, operation and administration costs, surveys, monitoring and reporting will be financed from GoU funds. Respective PMUs will be responsible for payment of compensation directly to those affected. If Compact funds are utilized, the RAPs will identify key activities for which funds will be used, any disbursal milestones, and auditing requirements that will facilitate appropriate and timely delivery.

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A cost table will be included in each Resettlement Action Plan. Cost tables will be prepared according to the template shown in Table .

Table 5. Template for Resettlement Cost Table

Description no. of PAPs

Unit Rate

Sums/unit Number of

units Amount (Sums)

Compensation for the loss of assets and incomes Land Agricultural land Residential land

m² m²

SUMS/m2 SUMS/m2

Structures Permanent Semi-permanent Temporary

m² m² m

SUMS/m² SUMS/m² SUMS/m²

Trees/perennial crops specify tree types

Stem Stem Stem

SUMS/stem SUMS/stem SUMS/stem

Annual crops Ha SUMS/Ha

Subtotal

Institutional Development Training session/workshop[b]

Session SUMS// Training session

Subtotal

Independent M and E Evaluation Input

SUMS/Input

Subtotal GRAND TOTAL

[a] Figures to be contained in the above Table are for budgeting purposes only. Actual payments will be based on negotiations with APs, and according to respective ADB policy and Government regulations.

[b] To function effectively, members of the newly formed Resettlement Committees at respective Project Implementation Units will require re-orientation and training in what will be for them a range of new of skills and responsibilities.

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9 LAND ACQUISITION PROCESS

9.1 General The Project ADB will seek to reach an agreement with the Government of Uzbekistan (GoU) represented by the Ministry of Finance (MoF) and the City of Tashkent as necessary, on defining specific institutional roles and responsibilities for the design, implementation and monitoring of the resettlement activities, including preparation of any individual RAPs.

9.2 Specific Roles and Responsibilities of Key Agencies

The implementing entity for the proposed project will be the city of Tashkent Hokimiyat. These agencies are charged with land management in the country. This agency will have overall responsibility for the preparation, implementation and monitoring of all land acquisition and resettlement tasks. Respective regional mayors will exercise their responsibilities through the Project Implementation Unit (PIU) and Land Acquisition Team (LAT). They will be responsible for general execution, and tasked with day-to-day activities at various levels (district and raion). Within the PIU, land acquisition and resettlement tasks will be managed by a specific unit, the LAT, which will organize and internally monitor subsequent RAP development and implementation. The tasks of the LAT will include management of any additional surveys, asset valuations, community consultations, land acquisition and resettlement cross-agency coordination, and RAP approval. In the implementation of these tasks the PIU and LAT will receive specific technical assistance from:

(i). A Resettlement Specialist of the Project (an international consultant) will assist in land acquisition and resettlement planning, implementation, internal monitoring and evaluation and training of agencies and local governments in the requirements of SPS; (ii). A local consulting team hired to provide on-site RAP preparation assistance for surveys, base-line information gathering or community consultations; (iii). An independent agency, hired to conduct periodic monitoring and evaluation/ 3rd party validation of implementation of the RPF and RAP activities.

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The tasks of the other ministries and agencies are the following:

· ADB and GoU will provide oversight of all RAP activities, including preparation, implementation and monitoring in collaboration with the Consultant and City of Tashkent;

· SCRUS will assist the City of Tashkent and the consultant in supervision of the design and implementation of the baseline information including the census of land parcels and assets of the PAP, poverty and social impact assessment among the PAPs, community consultations;

· The State Committee …. on Land Resources, Geodesy, Cartography and State Cadastre (LRGCS) will provide technical assistance to the project resettlement consultant in the identification of all affected land parcels and other assets via a census of the PAPs, as well as ownership status and he lease information;

· Ministry of Construction and Architecture (MCA) will provide technical advisory assistance to the city Hokimiat and project as necessary in connection with relocation of Project Affected Households (PAH) and the need to establish viable land management strategies;

· Ministry of Agriculture and Water Resources (MAWR) will provide technical advisory assistance to the city Hokimiat and project as necessary in connection with relocation of Project Affected Households (PAH) and the need to establish viable land management strategies;

· Ministry of Labor and Social Security (MLSS) will provide technical and advisory assistance to the city Hokimiat and project personnel as necessary, and for the benefit of the RAPs;

· MoF will provide a review and approval of the RAP budgets and their submission to Cabinet, as well for the disbursement of the RAP funds.

9.3 Coordination and Supervision

The various agencies need to be carefully coordinated so as to obtain effective, smooth and timely land acquisition and compensation of the PAPs, as well as overall project implementation. To this purpose two coordination committees will be established at the top and the bottom of the land acquisition and resettlement process.

(i). A Land Acquisition and Resettlement Steering Committee at national level including representatives of the PIU, LAT and concerned agencies. This committee will meet periodically to ensure the proper and timely formation of the advisory committees at municipal level. (ii) A Land Acquisition and Resettlement Coordination Committee (CC) to be formed in each relevant Raion. The CC will be a coordinating node for the preparation and implementation of land acquisition and resettlement surveys (surveys execution, assets valuation, PAP

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consultation, and local approval of land acquisition and resettlement provisions) and complaints and grievances. Formation of the CC will be initiated by the PIU and it will include representatives of PIU, LAT, and concerned local agencies. The main functions of the CC will be to facilitate communication between the PIU, local governments, and communities and provide a forum where representatives of the PAPs can present their views on various land acquisition and resettlement related matters. One of the most important roles of the CC will be to offer the affected communities with a channel and support group for addressing complaints and grievances. In this function the CC will hear complaints, and if it finds them to be justified will support their lodging at the PIU.

9.4 Land Acquisition and Compensation Procedures

Land acquisition and compensation will be governed by regulations agreed to by both GOU and ADB that will be drawn up and approved at Cabinet level and will include the following steps:

1. Maxsustrans with assistance from the Hokimiat office submits a request for land acquisition to local administration of the project areas.

2. The cadastre office in the local administration reviews the request and responds within 10 days. If they approve, they will send their response with the agreement of landowners and users, cadastral maps of all PAP (1:10,000 or 1:25,000) and comments from the cadastre office. Refusal must be justified in writing.

3. If no agreement is reached, MAFI can pursue land acquisition through the courts on the basis of the Expropriation Law.

10 IMPLEMENTATION PROCESS

A local independent will be hired by the city Hokimiat to assist in RAP implementation process under the guidance and supervision of the proposed landfill projects’ Resettlement Consultant Team, which will include an international and a local specialist. In consultation with PMU the Hokimiyat, will establish and announce the cut-off-date based on the date of census for each landfill area based on the eligibility criteria defined in this RPF.

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11 GRIEVANCE REDRESS MECHANISMS

11.1 Objective and Procedures Another objective of PMU is providing for a redress mechanism to avoid potential delays on the commencement of construction works for the Project. The primary objective will always be to prevent grievances rather than going through a redress process. This can be obtained through careful RAP design and implementation, by ensuring full participation and consultation with the PAPs, and by establishing extensive communication and coordination between the community, the PMU and local governments in general.

The APs should be aware of the procedures on the resolution of grievances, which the Resettlement Team will inform to Project stakeholders during Project disclosures and public consultations. This framework provides three-stage procedures for redress of grievances and complaints. An important issue here is to establish and maintain a high level of continuity between the public consultation and project disclosure programme which will include briefing on grievance redressal, the recording and management of specific cases and the more general project wide monitoring and evaluation provision. Continuity is important as it ensures that communities feel themselves a permanent issue in project management. Grievances lodged by an affected person can relate to any aspect of the resettlement programme including eligibility, rates and access to compensation being offered either for their losses or their other entitlements. Grievance redressal mechanism for conflict resolution will be part of the institutional and implementation process. The focal point will be the local sub-project office in each section. An officer from each office will receive training in the management of the grievance procedure. At field level a community complaints-management register (CCMR) will be maintained of all grievances related to social issues. This will be a register of all complaints brought forward by the local community and will help ensure that complaints are appropriately redressed under the project’s M and E system. Affected communities and their representatives will be identified during the project preparation stage. Respective sub-project officers will visit each community once a month, while each office will maintain a record of these visits (date visited, persons met, issues discussed and complaints bought forward) using the CCMR. The sub-project office will work towards resolving the grievances recorded in the CCMR in conjunction with the project supervision consultant within seven days. After this deadline, any unresolved issues will be forwarded to the Head of respective sub-project offices who in turn, seek to resolve outstanding issues referred to him within seven calendar days. In all cases, the latter’s response will be formally communicated to the complainant in writing.

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The CCMR and feedback from the Consultants engaged for social monitoring will be periodically (at least monthly) reviewed at a high-level meeting at the respective sub-station office, and the necessary actions taken to redress outstanding issues as soon as possible, with a formal response communicated to the complainant in writing. Any observations made by Local NGOs and CBOs will also taken into consideration in redressal process.

11.2 Legal Process The AP always has final recourse to Uzbekistan’s legal channels. Uzbekistan legislation allows landowners an option for seeking redress through the courts, under the Land Code. With exception of the generality of the Land Code (1998) there are no laws providing a framework under which a grievance mechanism can be developed for the purposes of the resettlement and land acquisition including. For purpose of this project:

Provision is made for appeal against the expropriation conditions within 45 days of notification. Such appeals are settled within 30 days of the appeal by a Committee, including three specialists and three land owners. Parties must be notified within five days of the adoption of the Committee’s decision which would serve as the basis for compensation.

If the parties cannot agree on the terms, expropriation for reasons of public use can only occur on the basis of a judicial decision and preliminary reimbursement. In this case the court appoints relevant experts to determine the level of compensation. Payment must be made within 30 days of the court’s decision.

Petitioners who do not agree with the decisions of the official person or entity that reviewed the petition, have the right to appeal to the administrative court within 30 days.

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11.3 System of Grievance Redress Figure 4 shows a process flow chart of the proposed project Grievance Redress System. The national resettlement team will design a pro-forma letter to be used by APs for filing

their complaints or grievances. Local leaders and representatives will be identified in every project area and made known to APs. These local leaders can assist the APs in filling out the form in every stage of filing the complaint. The letter form will be prepared in three copies; the original kept by the AP, the duplicate to the local sub-project office, and the third copy to the Resettlement Team. The Resettlement Team will inform the public of this requirement and the procedures for filing complaints and grievances during public

consultations.

11.4 Contents of Grievances . The detailed procedures for redress of grievances and the appeals process will be developed in the RAP and presented to those households eligible for compensation entitlements. All records of conflicts, grievances and complaints will be filed with the respective district project office(s) and copied to the central project office in Chisinau. Copies will be forwarded to respective ADB.

Figure 4. System of Grievance Redress

12 ARRANGEMENTS FOR FUNDING RESETTLEMENT

All land acquisition and resettlement preparation and implementation costs, including cost of its compensation and administration, will be considered an integral part of the proposed landfill projects’ costs. The RAP will include a budget section indicating (i) unit compensation rates for all affected items and allowances, (ii) methodology followed for the computation of

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unit compensation rates, and (iii) a cost table for all compensation expenses including administrative costs and contingencies. Finances for compensation, allowances, and administration of RAP preparation and implementation will be provided by the proposed landfill projects via a specially allocated RAP Fund and partially by the Government, if such agreement can be reached. Costs for external monitoring tasks can be allocated under IFI funding. In order to ensure that sufficient funds are available for land acquisition and resettlement tasks, the proposed landfill projects (RAP Fund) will have to allocate 100% of the cost of compensation at replacement cost and expected allowances estimated in each RAP plus 15% of contingencies before RAP implementation. Being a key agency for resettlement activities, Khokimian will be responsible for the oversight of the timely allocation of the funds needed to implement the RAP. Allocations will be reviewed twice a year based on the budget requirements indicated by the RAPs. Respective sources of funding for these and other related studies, responsible institutions and contingency arrangements are not yet known.

13 MECHANISMS FOR CONSULTATIONS WITH DISPLACED PERSONS

13.1 Participation and consultation Infrastructure development projects are designed and implemented for the public good. Depending on the size of a particular project it is frequently unavoidable that implementation will have immediate adverse impacts on some members of the community. Such adverse impacts put respective households or individuals at risk. Adverse impacts include loss or accommodation and/or other assets and/or livelihood. Other impacts might include loss of access to natural resources or damage to cultural artifacts or areas. Whenever such negative impacts are foreseen a resettlement is prepared to address and mitigate against such negative impacts. The Resettlement Action Plan is a tool for risk management. Policy implementation will be carried out with continued participation of affected households. Procedures to assess last moment impacts and establish mechanisms to ensure that the land will be taken only after the impacts are compensated. Consultation with and between all project stakeholders should proceed throughout project planning, implementation and pre- and post-project evaluation. Participation and consultation activities will be implemented according to a Public Consultation and Project Disclosure Plan (PCPD). An indicative PCPD plan is attached as Annex 3.

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14 MONITORING AND EVALUATION

14.1 Internal monitoring In the event that resettlement issues need to be addressed a qualified local NGO will be contracted to monitor the process of policy implementation.

14.2 Monitoring indicators

Monitoring indicators should include but not necessarily be restricted to the following:

Payment of compensation to households according to entitlements described in the above project policy;

checks on inventory forms and assessment of compensation;

sub-project stages between compensation arrangements and commencement of civil works;

PAP satisfaction with negotiation process, with compensation, with relocation (if any), with economic rehabilitation (if any)

Results from this monitoring will be collected and compiled on a regular basis and a database maintained and regularly updated.

14.3 External evaluation

An agency specialized in social sciences will be responsible for conducting an independent external evaluation of the project policy implementation and subsequent consequences.

In addition to verifying the information furnished in the internal supervision and monitoring reports this agency will visit households on a monthly basis for three successive months following completion of sub-project engineering activities to:

· gather qualitative indications of the social and economic impact of project implementation on the respective households. (For example, what has been their experience of project policy implementation? In retrospect, do they feel the process was fair and equitable? Did they have and/or do they still have grievances? If so, what is their experience of the grievance redress procedure? How might improvements be made?);

· suggest modification in the implementation procedures of the RAP, as required, so as to up-grade performance in achieving project policy objectives.

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14.3.1 Evaluation indicators

The following indicators will be used in this evaluation:

· The payment of compensation: payments made to all affected households before project implementation;

· The adequacy of the method for determining valuation and compensation for assets (crops and trees) and/or incomes;

· The sub-project age of resettlement and construction: respective resettlement activities should be completed at least one month before the start of associated physical works.

· Restoration of economic activities: affected persons should be monitored for restoration of income earning capacity and production levels.

· Households informed and consulted about project policy and procedures.

· Level of satisfaction: (i) the level of satisfaction of affected households evaluated and recorded; (ii) the operation of the mechanisms of grievance redress and the speed of redress of grievances.

14.4 Evaluation methodology The first responsibility of the evaluation agency will be to determine the adequacy of compensation payments, according to the above project policy framework. In their evaluation exercise the agency will have access to the information contained in the internal monitoring reports submitted by the appointed NGO.

14.5 Reporting

The evaluation agency will prepare and submit a report of its evaluation to MoF and ADB within fifteen days of its final monthly field visit. This report will be included as an annex to the completion report submitted the central project office in Chisinau following completion of works on respective sub-projects.

The report should contain (i) a report on progress of project policy implementation; (ii) deviations, if any, from the provisions and principles of this policy; (iii) identification of problem issues and recommended solutions.

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ANNEX 1 – ADB Social Safeguard Statement

V. SAFEGUARD POLICY STATEMENT A. Overarching Statement on ADB’s Commitment and Policy Principles ADB affirms that environmental and social sustainability is a cornerstone of economic growth and poverty reduction in Asia and the Pacific. ADB’s Strategy 2020 therefore emphasizes assisting DMCs to pursue environmentally sustainable and inclusive economic growth. In addition, ADB is committed to ensuring the social and environmental sustainability of the projects it supports. In this context, the goal of the SPS is to promote the sustainability of project outcomes by protecting the environment and people from projects’ potential adverse impacts. The objectives of ADB’s safeguards are to: (i) avoid adverse impacts of projects on the environment and affected people, where possible; (ii) minimize, mitigate, and/or compensate for adverse project impacts on the environment and affected people when avoidance is not possible; and (iii) help borrowers/clients to strengthen their safeguard systems and develop the capacity to manage environmental and social risks. ADB adheres to the objectives of the safeguards and their delivery. ADB assumes the responsibility for conducting due diligence and for reviewing, monitoring, and supervising projects throughout the ADB’s project cycle in conformity with the principles and requirements embodied in the SPS. By adhering to its social and environmental safeguards, ADB enhances the predictability, transparency, and accountability of its actions and decision making; helps borrowers/clients manage social and environmental impacts and risks; and promotes the long-term sustainability of investments. Transforming this commitment into results on the ground depends on shared, but differentiated, efforts by ADB and its borrowers/clients. ADB’s SPS sets out the policy objectives, scope and triggers, and principles for three key safeguard areas:

(i) environmental safeguards, (ii) involuntary resettlement safeguards, and (iii) Indigenous Peoples safeguards.

To achieve the policy objectives and deliver the policy principles, ADB carries out the actions described in the following subsection (“B. Policy Delivery Process”). To help borrowers/clients and their projects achieve the desired outcomes, ADB adopts a set of specific safeguard requirements that borrowers/clients are required to meet in addressing environmental and social impacts and risks. ADB staff, through their due diligence, review, and supervision, will ensure that borrowers/clients comply with these requirements during project preparation and implementation. These safeguard requirements are as follows:

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(i) Safeguard Requirements 1: Environment (Appendix 1), (ii) Safeguard Requirements 2: Involuntary Resettlement (Appendix 2), (iii) Safeguard Requirements 3: Indigenous Peoples (Appendix 3), and (iv) Safeguard Requirements 4: Special Requirements for Different Finance Modalities (Appendix 4).

ADB will not finance projects that do not comply with its safeguard policy statement, nor will it finance projects that do not comply with the host country’s social and environmental laws and regulations, including those laws implementing host country obligations under international law. In addition, ADB will not finance activities on the prohibited investment activities list (Appendix 5). This safeguard policy statement applies to all ADB-financed and/or ADB-administered sovereign and non-sovereign projects, and their components regardless of the source of financing, including investment projects funded by a loan; and/or a grant; and/or other means, such as equity and/or guarantees (hereafter broadly referred to as projects). 1. Environmental Safeguards Objectives: To ensure the environmental soundness and sustainability of projects and to support the integration of environmental considerations into the project decision-making process. Scope and Triggers: Environmental safeguards are triggered if a project is likely to have potential environmental risks and impacts. Policy Principles: 1. Use a screening process for each proposed project, as early as possible, to determine the appropriate extent and type of environmental assessment so that appropriate studies are undertaken commensurate with the significance of potential impacts and risks. 2. Conduct an environmental assessment for each proposed project to identify potential direct, indirect, cumulative, and induced impacts and risks to physical, biological, socioeconomic (including impacts on livelihood through environmental media, health and safety, vulnerable groups, and gender issues), and physical cultural resources in the context of the project’s area of influence. Assess potential transboundary and global impacts, including climate change. Use strategic environmental assessment where appropriate. 3. Examine alternatives to the project’s location, design, technology, and components and their potential environmental and social impacts and document the rationale for selecting the particular alternative proposed. Also consider the no project alternative. 4. Avoid, and where avoidance is not possible, minimize, mitigate, and/or offset adverse impacts and enhance positive impacts by means of environmental planning and management. Prepare an environmental management plan (EMP) that includes the proposed mitigation measures, environmental monitoring and reporting requirements, related institutional or organizational arrangements, capacity development and training measures, implementation schedule, cost estimates, and performance indicators. Key considerations for EMP preparation include mitigation of potential adverse impacts to the level of no significant harm to third parties, and the polluter pays principle. 5. Carry out meaningful consultation with affected people and facilitate their informed participation. Ensure women’s participation in consultation. Involve stakeholders,

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including affected people and concerned non-government organizations, early in the project preparation process and ensure that their views and concerns are made known to and understood by decision makers and taken into account. Continue consultations with stakeholders throughout project implementation as necessary to address issues related to environmental assessment. Establish a grievance redress mechanism to receive and facilitate resolution of the affected people’s concerns and grievances regarding the project’s environmental performance. 6. Disclose a draft environmental assessment (including the EMP) in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected people and other stakeholders. Disclose the final environmental assessment, and its updates if any, to affected people and other stakeholders. 7. Implement the EMP and monitor its effectiveness. Document monitoring results, including the development and implementation of corrective actions, and disclose monitoring reports. 8. Do not implement project activities in areas of critical habitats, unless (i) there are no measurable adverse impacts on the critical habitat that could impair its ability to function, (ii) there is no reduction in the population of any recognized endangered or critically endangered species, and (iii) any lesser impacts are mitigated. If a project is located within a legally protected area, implement additional programs to promote and enhance the conservation aims of the protected area. In an area of natural habitats, there must be no significant conversion or degradation, unless (i) alternatives are not available, (ii) the overall benefits from the project substantially outweigh the environmental costs, and (iii) any conversion or degradation is appropriately mitigated. Use a precautionary approach to the use, development, and management of renewable natural resources. 9. Apply pollution prevention and control technologies and practices consistent with international good practices as reflected in internationally recognized standards such as the World Bank Group’s Environmental, Health and Safety Guidelines. Adopt cleaner production processes and good energy efficiency practices. Avoid pollution, or, when avoidance is not possible, minimize or control the intensity or load of pollutant emissions and discharges, including direct and indirect greenhouse gases emissions, waste generation, and release of hazardous materials from their production, transportation, handling, and storage. Avoid the use of hazardous materials subject to international bans or phase outs. Purchase, use, and manage pesticides based on integrated pest management approaches and reduce reliance on synthetic chemical pesticides. 10. Provide workers with safe and healthy working conditions and prevent accidents, injuries, and disease. Establish preventive and emergency preparedness and response measures to avoid, and where avoidance is not possible, to minimize, adverse impacts and risks to the health and safety of local communities. 11. Conserve physical cultural resources and avoid destroying or damaging them by using field-based surveys that employ qualified and experienced experts during environmental assessment. Provide for the use of “chance find” procedures that include a pre-approved management and conservation approach for materials that may be discovered during project implementation.

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2. Involuntary Resettlement Safeguards Objectives: To avoid involuntary resettlement wherever possible; to minimize involuntary resettlement by exploring project and design alternatives; to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and to improve the standards of living of the displaced poor and other vulnerable groups. Scope and Triggers: The involuntary resettlement safeguards covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. It covers them whether such losses and involuntary restrictions are full or partial, permanent or temporary. Policy Principles: 1. Screen the project early on to identify past, present, and future involuntary resettlement impacts and risks. Determine the scope of resettlement planning through a survey and/or census of displaced persons, including a gender analysis, specifically related to resettlement impacts and risks. 2. Carry out meaningful consultations with affected persons, host communities, and concerned nongovernment organizations. Inform all displaced persons of their entitlements and resettlement options. Ensure their participation in planning, implementation, and monitoring and evaluation of resettlement programs. Pay particular attention to the needs of vulnerable groups, especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples, and those without legal title to land, and ensure their participation in consultations. Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. Support the social and cultural institutions of displaced persons and their host population. Where involuntary resettlement impacts and risks are highly complex and sensitive, compensation and resettlement decisions should be preceded by a social preparation phase. 3. Improve, or at least restore, the livelihoods of all displaced persons through (i) land-based resettlement strategies when affected livelihoods are land based where possible or cash compensation at replacement value for land when the loss of land does not undermine livelihoods, (ii) prompt replacement of assets with access to assets of equal or higher value, (iii) prompt compensation at full replacement cost for assets that cannot be restored, and (iv) additional revenues and services through benefit sharing schemes where possible. 4. Provide physically and economically displaced persons with needed assistance, including the following: (i) if there is relocation, secured tenure to relocation land, better housing at resettlement sites with comparable access to employment and production opportunities, integration of resettled persons economically and socially into their host communities, and extension of project benefits to host communities; (ii) transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; and (iii) civic infrastructure and community services, as required. 5. Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. In rural areas provide them

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with legal and affordable access to land and resources, and in urban areas provide them with appropriate income sources and legal and affordable access to adequate housing. 6. Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated settlement to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status. 7. Ensure that displaced persons without titles to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of nonland assets. 8. Prepare a resettlement plan elaborating on displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. 9. Disclose a draft resettlement plan, including documentation of the consultation process in a timely manner, before project appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final resettlement plan and its updates to affected persons and other stakeholders. 10. Conceive and execute involuntary resettlement as part of a development project or program. Include the full costs of resettlement in the presentation of project’s costs and benefits. For a project with significant involuntary resettlement impacts, consider implementing the involuntary resettlement component of the project as a stand-alone operation. 11. Pay compensation and provide other resettlement entitlements before physical or economic displacement. Implement the resettlement plan under close supervision throughout project implementation. 12. Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the resettlement plan have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports. 3. Indigenous Peoples Safeguards Objectives: To design and implement projects in a way that fosters full respect for Indigenous Peoples’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them. Scope and Triggers: The Indigenous Peoples safeguards are triggered if a project directly or indirectly affects the dignity, human rights, livelihood systems, or culture of Indigenous Peoples or affects the territories or natural or cultural resources that Indigenous Peoples own, use, occupy, or claim as an ancestral domain or asset. The term Indigenous Peoples is used in a generic sense to refer to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees: (i) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; (ii) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; (iii) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (iv) a distinct language, often different from the official language of the country or region. In considering these characteristics, national legislation, customary law, and any international conventions to which the country is a party will be taken into account. A group that has lost collective attachment to geographically distinct habitats or ancestral territories in the project area because of forced severance remains eligible for coverage under this policy.

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Policy Principles: 1. Screen early on to determine (i) whether Indigenous Peoples are present in, or have collective attachment to, the project area; and (ii) whether project impacts on Indigenous Peoples are likely. 2. Undertake a culturally appropriate and gender-sensitive social impact assessment or use similar methods to assess potential project impacts, both positive and adverse, on Indigenous Peoples. Give full consideration to options the affected Indigenous Peoples prefer in relation to the provision of project benefits and the design of mitigation measures. Identify social and economic benefits for affected Indigenous Peoples that are culturally appropriate and gender and inter-generationally inclusive and develop measures to avoid, minimize, and/or mitigate adverse impacts on Indigenous Peoples. 3. Undertake meaningful consultations with affected Indigenous Peoples communities and concerned Indigenous Peoples organizations to solicit their participation (i) in designing, implementing, and monitoring measures to avoid adverse impacts or, when avoidance is not possible, to minimize, mitigate, or compensate for such effects; and (ii) in tailoring project benefits for affected Indigenous Peoples communities in a culturally appropriate manner. To enhance Indigenous Peoples’ active participation, projects affecting them will provide for culturally appropriate and gender inclusive capacity development. Establish a culturally appropriate and gender inclusive grievance mechanism to receive and facilitate resolution of the Indigenous Peoples’ concerns. 4. Ascertain the consent of affected Indigenous Peoples communities to the following project activities: (i) commercial development of the cultural resources and knowledge of Indigenous Peoples; (ii) physical displacement from traditional or customary lands; and (iii) commercial development of natural resources within customary lands under use that would impact the livelihoods or the cultural, ceremonial, or spiritual uses that define the identity and community of Indigenous Peoples. For the purposes of policy application, the consent of affected Indigenous Peoples communities refers to a collective expression by the affected Indigenous Peoples communities, through individuals and/or their recognized representatives, of broad community support for such project activities. Broad community support may exist even if some individuals or groups object to the project activities. 5. Avoid, to the maximum extent possible, any restricted access to and physical displacement from protected areas and natural resources. Where avoidance is not possible, ensure that the affected Indigenous Peoples communities participate in the design, implementation, and monitoring and evaluation of management arrangements for such areas and natural resources and that their benefits are equitably shared. 6. Prepare an Indigenous Peoples plan (IPP) that is based on the social impact assessment with the assistance of qualified and experienced experts and that draw on indigenous knowledge and participation by the affected Indigenous Peoples communities. The IPP includes a framework for continued consultation with the affected Indigenous Peoples communities during project implementation; specifies measures to ensure that Indigenous Peoples receive culturally appropriate benefits; identifies measures to avoid, minimize, mitigate, or compensate for any adverse project impacts; and includes culturally appropriate grievance procedures, monitoring and evaluation arrangements, and a budget and time-bound actions for implementing the planned measures. 7. Disclose a draft IPP, including documentation of the consultation process and the results of the social impact assessment in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected Indigenous Peoples communities and other stakeholders. The final IPP and its updates

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will also be disclosed to the affected Indigenous Peoples communities and other stakeholders. 8. Prepare an action plan for legal recognition of customary rights to lands and territories or ancestral domains when the project involves (i) activities that are contingent on establishing legally recognized rights to lands and territories that Indigenous Peoples have traditionally owned or customarily used or occupied, or (ii) involuntary acquisition of such lands. 9. Monitor implementation of the IPP using qualified and experienced experts; adopt a participatory monitoring approach, wherever possible; and assess whether the IPP’s objective and desired outcome have been achieved, taking into account the baseline conditions and the results of IPP monitoring. Disclose monitoring reports. B. Policy Delivery Process 1. General Requirements Screening and Categorization. ADB will carry out project screening and categorization at the earliest stage of project preparation when sufficient information is available for this purpose. Screening and categorization is undertaken to (i) reflect the significance of potential impacts or risks that a project might present; (ii) identify the level of assessment and institutional resources required for the safeguard measures; and (iii) determine disclosure requirements. Environment Categorization. ADB uses a classification system to reflect the significance of a project’s potential environmental impacts. A project’s category is determined by the category of its most environmentally sensitive component, including direct, indirect, cumulative, and induced impacts in the project’s area of influence. Each proposed project is scrutinized as to its type, location, scale, and sensitivity and the magnitude of its potential environmental impacts. Projects are assigned to one of the following four categories:

(i) Category A. A proposed project is classified as category A if it is likely to have significant adverse environmental impacts that are irreversible, diverse, or unprecedented. These impacts may affect an area larger than the sites or facilities subject to physical works. An environmental impact assessment is required. (ii) Category B. A proposed project is classified as category B if its potential adverse environmental impacts are less adverse than those of category A projects. These impacts are site-specific, few if any of them are irreversible, and in most cases mitigation measures can be designed more readily than for category A projects. An initial environmental examination is required. (iii) Category C. A proposed project is classified as category C if it is likely to have minimal or no adverse environmental impacts. No environmental assessment is required although environmental implications need to be reviewed. (iv) Category FI. A proposed project is classified as category FI if it involves investment of ADB funds to or through a FI (paras. 65-67).

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Involuntary Resettlement. ADB will screen all projects to determine whether or not they involve involuntary resettlement. For a project involving involuntary resettlement, a resettlement plan will be prepared that is commensurate with the extent and degree of the impacts. The degree of impacts shall be determined by (i) the scope of physical and economic displacement, and (ii) the vulnerability of the affected persons. For FI projects, see paras. 65-67. Indigenous Peoples. ADB will screen all projects to determine whether or not they have potential impacts on Indigenous Peoples. For projects with impacts on Indigenous Peoples, an Indigenous Peoples plan will be prepared. The plan’s level of detail and comprehensiveness will be commensurate with the degree of impacts. The degree of impacts is determined by evaluating (i) the magnitude of the impact on Indigenous Peoples’ customary rights of use and access to land and natural resources; socioeconomic status; cultural and communal integrity; health, education, livelihood systems, and social security status; or indigenous knowledge; and (ii) the vulnerability of the affected Indigenous Peoples. For FI projects, see paras. 65-67. Information Disclosure. In line with ADB’s Public Communications Policy, ADB is committed to working with the borrower/client to ensure that relevant information (whether positive or negative) about social and environmental safeguard issues is made available in a timely manner, in an accessible place, and in a form and language(s) understandable to affected people and to other stakeholders, including the general public, so they can provide meaningful inputs into project design and implementation. ADB will post the following safeguard documents on its website:

(i) for environment category A projects, draft environmental impact assessment reports at least 120 days before Board consideration; (ii) draft environmental assessment and review framework, draft resettlement frameworks and/or plans, and draft Indigenous Peoples planning frameworks and/or plans before project appraisal; (iii) final or updated environmental impact assessments and/or initial environmental examinations, resettlement plans, and Indigenous Peoples plans upon receipt; (iv) environmental, involuntary resettlement, and Indigenous Peoples monitoring reports submitted by borrowers/clients during project implementation upon receipt.

Consultation and Participation. ADB is committed to working with borrowers/clients to put meaningful consultation processes into practice. For policy application, meaningful consultation is a process that (i) begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle; (ii) provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; (iii) is undertaken in an atmosphere free of intimidation or coercion; (iv) is gender inclusive and responsive, and tailored to the needs of disadvantaged and vulnerable groups; and (v) enables the incorporation of all relevant views of affected people and other stakeholders into decision making, such as project design, mitigation measures, the sharing of development benefits and opportunities, and implementation issues. ADB will require borrowers/clients to engage with communities, groups, or people affected by proposed projects, and with civil society through information disclosure, consultation, and informed participation in a manner commensurate with the risks to and impacts on affected communities. For projects with

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significant adverse environmental, involuntary resettlement, or Indigenous Peoples impacts, ADB project teams will participate in consultation activities to understand the concerns of affected people and ensure that such concerns are addressed in project design and safeguard plans. In addition, ADB recognizes that Indigenous Peoples may be particularly vulnerable in certain project circumstances. Therefore, consent of affected Indigenous Peoples communities, through meaningful consultation, will be ascertained for the following project activities: (i) commercial development of the cultural resources and knowledge of Indigenous Peoples; (ii) physical relocation from traditional or customary lands; and (iii) commercial development of natural resources within customary lands under use that would impact the livelihoods or cultural, ceremonial, or spiritual uses that define the identity and community of Indigenous Peoples. For the purposes of policy application, consent of affected Indigenous Peoples communities refers to a collective expression by the affected Indigenous Peoples communities, through individuals and/or their recognized representatives, of broad community support for such project activities. Broad community support may exist even if some individuals or groups object to the project activities. The borrower/client will ascertain whether the affected Indigenous Peoples communities provide their broad support to the project activities, and where such broad community support exists, the IPP will clearly document the consultation process. ADB will review the borrower’s/client’s documentation of the engagement process, and in addition, through its own investigation, will assure itself that broad community support for the project activities has been demonstrated by the affected Indigenous Peoples communities. ADB will not finance the project if such broad community support does not exist. Due Diligence and Review. For projects proposed for financing, ADB will conduct safeguard reviews, including reviews of the borrower’s/client's safeguard documents, as part of its overall due diligence. ADB's safeguard due diligence and review emphasizes environmental and social impact assessments and the planning process, in addition to safeguard documentation. Due diligence and review involves field visits as well as desk reviews. Through such due diligence and review, ADB will confirm (i) that all key potential social and environmental impacts and risks of a project are identified; (ii) that effective measures to avoid, minimize, mitigate, or compensate for the adverse impacts are incorporated into the safeguard plans and project design; (iii) that the borrower/client understands ADB’s safeguard policy principles and requirements as laid out in Safeguard Requirements 1–4 and has the necessary commitment and capacity to manage social and environmental impacts and/or risks adequately; (iv) that the role of third parties is appropriately defined in the safeguard plans; and (v) that consultations with affected people are conducted in accordance with ADB's requirements. In cases where the assessment and planning process, or the safeguard documents, do not meet ADB's safeguard requirements, the borrower/client will be required to undertake additional assessment and/or improve the safeguard plans. When the borrower/client has inadequate capacity to carry out safeguard plans for a proposed project, the project will include component(s) to strengthen that capacity. For projects that are deemed by ADB to be highly complex and sensitive, 27 ADB will require the borrower/client to engage an independent advisory panel during project preparation and implementation. Monitoring and Reporting. Both the borrower/client and ADB have their own separate monitoring responsibilities. The extent of monitoring activities, including their scope and periodicity, will be commensurate with the project’s risks and impacts. Borrowers/clients are required to implement safeguard measures and relevant safeguard plans, as

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provided in the legal agreements, and to submit periodic monitoring reports on their implementation performance. ADB will require borrowers/clients to:

(i) establish and maintain procedures to monitor the progress of implementation of safeguard plans, (ii) verify the compliance with safeguard measures and their progress toward intended outcomes, (iii) document and disclose monitoring results and identify necessary corrective and preventive actions in the periodic monitoring reports, (iv) follow up on these actions to ensure progress toward the desired outcomes, (v) retain qualified and experienced external experts28 or qualified NGOs to verify monitoring information for projects with significant impacts and risks, (vi) use independent advisory panels to monitor project implementation for highly complex and sensitive projects, and (vii) submit periodic monitoring reports on safeguard measures as agreed with ADB.

ADB reviews project performance against borrowers’/clients’ commitments as agreed in the legal documents. The extent of ADB's monitoring and supervision activities will be commensurate with the project’s risks and impacts. Monitoring and supervising of social and environmental safeguards is integrated into the project performance management system. ADB will monitor projects on an ongoing basis until a project completion report is issued. ADB will carry out the following monitoring actions to supervise project implementation. Highly complex and sensitive projects are projects that ADB deems to be highly risky or contentious or involve serious and multidimensional and generally interrelated potential social and/or environmental impacts. External experts mean experts not involved in day-to-day project implementation or supervision.

(i) conduct periodic site visits for projects with adverse environmental or social impacts; (ii) conduct supervision missions with detailed review by ADB’s safeguard specialists/officers or consultants for projects with significant adverse social or environmental impacts; (iii) review the periodic monitoring reports submitted by borrowers/clients to ensure that adverse impacts and risks are mitigated as planned and as agreed with ADB; (iv) work with borrowers/clients to rectify to the extent possible any failures to comply with their safeguard commitments, as covenanted in the legal agreements, and exercise remedies to reestablish compliance as appropriate; and (v) prepare a project completion report that assesses whether the objective and desired outcomes of the safeguard plans have been achieved, taking into account the baseline conditions and the results of monitoring.

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Local Grievance Redress Mechanism. ADB requires that the borrower/client establish and maintain a grievance redress mechanism to receive and facilitate resolution of affected peoples’ concerns and grievances about the borrower's/client's social and environmental performance at project level. The grievance redress mechanism should be scaled to the risks and impacts of the project. It should address affected people's concerns and complaints promptly, using an understandable and transparent process that is gender responsive, culturally appropriate, and readily accessible to all segments of the affected people. Accountability Mechanism. Project-affected people can also submit complaints to ADB’s Accountability Mechanism. The Accountability Mechanism provides an independent forum and process whereby people adversely affected by ADB-financed projects can voice, and seek a resolution of their problems, as well as report alleged violations of ADB’s operational policies and procedures. The Accountability Mechanism comprises two separate, but related, phases, namely: (i) a consultation phase, led by ADB’s special project facilitator who reports directly to the ADB President, to assist project-affected people in finding solutions to their problems; and (ii) a compliance review phase, led by a three-member panel that reports to the Board of Directors. The Compliance Review Panel investigates alleged violations of ADB’s operational policies and procedures, as defined by the Board of Directors, including safeguard policies, that have resulted or are likely to result in direct adverse and material harm to project affected people and recommends how to ensure project compliance with those policies and procedures. 2. Special Requirements In addition to standard project loans that follow the general requirements stipulated in paras. 49–60, a number of specific cases require tailored approaches to address social and environmental impacts and risks. Appendix 4 specifies additional requirements for program lending, sector lending, multitranche financing facilities, emergency assistance loans, existing facilities, financial intermediaries, and general corporate finance. If and when new lending modalities are developed, Appendix 4 will be updated to address these. a. Safeguard Frameworks Safeguard frameworks apply to projects delivered through sector loans, MFFs, emergency assistance loans or other lending modalities including projects where subprojects or project components are prepared after Board approval. The purpose of a safeguard framework is to ensure that the subprojects or project components implemented under the framework comply with ADB safeguard objectives, principles and requirements. Safeguard frameworks (including environmental assessment and review frameworks, resettlement frameworks, and Indigenous Peoples planning frameworks) need to be in place prior to project approval to provide guidance on screening and categorization, assessment, planning, institutional arrangements, and processes to be followed for subprojects and/or components that are prepared after Board approval. Impact assessments and safeguard plans are prepared during subproject or component preparation in conformity with the safeguard frameworks agreed to by ADB and the borrower/client. Safeguard frameworks will not be used for highly complex and sensitive subprojects of sector loans or of sector loan tranches of MFFs. Safeguard frameworks will be prepared for each safeguard area and will: (i) reflect fully the policy objectives and relevant policy principles and safeguard

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requirements governing preparation and implementation of subprojects and/or components; (ii) explain the general anticipated impacts of the subprojects and/or components to be financed under the proposed project; (iii) specify the requirements that will be followed for subproject screening and categorization, assessment, and planning, including arrangements for information disclosure, meaningful consultation with measures to involve vulnerable groups including women, grievance redress mechanism, and where applicable, safeguard criteria that are to be used in selecting subprojects and/or components; (iv) describe implementation procedures, including budgets, institutional arrangements, and capacity development requirements; (v) specify monitoring and reporting requirements; and (vi) specify the responsibilities and authorities of the borrower/client, ADB, and relevant government agencies in relation to the preparation, submission, review, and clearance of subproject safeguard documents, and monitoring and supervision of safeguard plan implementation. To determine whether the application of safeguard frameworks is appropriate, ADB will assess the borrower’s/client’s capacity to manage environmental and social impacts and risks and to implement national laws and ADB’s requirements. If gaps exist between ADB’s requirements and countries’ laws, or where gaps in borrowers’ capacity are apparent, the safeguard frameworks should include the details of the specific gap-filling requirements to ensure that policy principles and safeguard requirements are achieved. b. Financial Intermediaries For projects involving investment of ADB funds to or through financial intermediaries (FI), ADB conducts safeguard due diligence to assess the potential environmental and social impacts and risks associated with the FI's existing and likely future portfolio, and its commitment and capacity in social and environmental management. All FIs will ensure that their investments are in compliance with applicable national laws and regulations and will apply the prohibited investment activities list (Appendix 5) to subprojects financed by ADB. Where the FI’s investments have minimal or no adverse environmental or social risks, the FI project will be treated as category C project and need not apply any other specific requirements. All other FIs will be required to have in place or establish an appropriate environmental and social management system (ESMS) commensurate with the nature and risks of the FI's likely future portfolio to be maintained as part of the FI's overall management system. The ESMS will incorporate the following elements: (i) environmental and social policies; (ii) screening, categorization, and review procedure; (iii) organizational structure and staffing including skills and competencies in environmental and social areas; (iv) training requirements; and (v) monitoring and reporting. The system will be documented and agreed upon by ADB and the FI. Where the FI’s subprojects to be funded by ADB, either through credit-line, other loans, equity, guarantee, or other financing instruments, have potential for significant environmental or social impacts, the FI will be required to ensure that such subprojects meet ADB’s safeguard policy requirements, including those specified in Safeguard Requirements 1-3. ADB may also set additional requirements for the FI’s activities more generally depending on the FI’s portfolio and the host country’s safeguard systems. ADB will monitor the FI’s performance on the basis of its environment and social management system.

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ADB will assess the adequacy of the FI’s capacity to manage environment and social impacts and risks. Where there are gaps in the FI’s capacity, the ADB and FI will establish a time-bound plan to address identified gaps. ADB will work with clients to improve their overall capacity to address environmental and social risks more generally. c. Strengthening and Use of Country Safeguard Systems ADB recognizes that DMCs have developed their own systems for delivering safeguards in varying degrees, and that supporting DMCs’ efforts to strengthen and effectively use their own systems would enhance country ownership, reduce transaction costs, and extend development impacts over the long term. ADB is committed to supporting the strengthening and effective application of the DMCs' country safeguard systems (CSS) with a focus on the capacity development of borrowers. At the same time, ADB needs to ensure that application of country safeguard systems (CSS) in ADB projects does not undermine the achievement of ADB’s policy objectives and principles. ADB’s overall strategy for strengthening and using CSS has the following attributes and emphasizes a phased approach:

(i) Definition. CSS refers to a country’s legal and institutional framework, consisting of its national, subnational, or sectoral implementing institutions and relevant laws, regulations, rules, and procedures that pertain to the safeguard policy areas. (ii) Prerequisites for the use of country safeguard systems—equivalence and acceptability assessments. Application of CSS in ADB-financed projects is not automatic or mandatory. ADB may consider application of a borrower’s CSS to identify and manage the social and environmental risks associated with ADB financed projects at the national, subnational, sector, or agency level provided that (a) the CSS is equivalent to ADB’s (equivalence assessment), that is, the CSS is designed to achieve the objectives and adhere to the policy scope, triggers, and applicable principles set out in this SPS (page 16-18); and (b) the borrower has the acceptable implementation practice, track record, and capacity (acceptability assessment), and commitment to implement the applicable laws, regulations, rules, and procedures in the country, specific sector, or agency concerned. (iii) Addressing the needs to strengthen CSS and develop capacity. If the borrower has to strengthen its CSS to meet the objectives and adhere to the policy scope, triggers, and applicable principles set out in this SPS (page 16-18), and commits to doing so by implementing an action plan with specific measures, ADB may, when determining equivalence, take account of these measures. Similarly, if the borrower needs to strengthen its implementation practice and capacity, and commits to doing so by implementing an action plan with specific measures, ADB may, when determining acceptability, take account of these measures. Such measures are to be carried out before the borrower undertakes implementation of the relevant project activities, and may include ADB-supported efforts.

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(iv) Scope of country safeguard systems application. Because the extent of equivalence and acceptability is safeguard specific, a country, sector, or agency may qualify for a CSS approach for one, two, or all three safeguard areas depending on the result of the CSS assessments. (v) Exclusion of country safeguard systems. CSS will not be applied to highly complex and sensitive projects financed by ADB. (vi) Disclosure and consultation. Upon completion, draft equivalence and acceptability assessments (including gap-filling measures, if any) at the national, subnational, sector, or agency level will be documented and disclosed on ADB’s website for public comment. ADB will organize in-country consultation workshops to solicit comments and feedback from stakeholders, including governments and NGOs. Upon completion, final equivalence and acceptability assessment reports will be disclosed on ADB’s website. Disclosure and consultation related to acceptability assessments at the project level will follow the normal safeguard document disclosure and consultation process undertaken for project preparation as specified in paras. 53–55. (vii) Role and responsibilities of ADB. ADB is responsible for assessing and determining the equivalence of the CSS and the adequacy of the borrower's implementation practice and capacity. ADB coordinates closely with other possible development partners when preparing the equivalence and acceptability assessments.29 For projects that use CSS, ADB’s responsibilities for safeguard review and due diligence will remain the same as for any other ADB-financed project. The due diligence and review will be based on the requirements under the CSS and the agreed action plan (rather than ADB’s requirements). After the Board approves a project that uses CSS, ADB supervision will follow the same procedures as for any other ADB-financed project. (viii) Role and obligations of borrower. The borrower is responsible for achieving and maintaining equivalence as well as developing acceptable implementation practices, track record, and capacity, in accordance with ADB's assessments. For a specific project, the borrower identifies those provisions of the CSS that are necessary to ensure that the policy objectives and principles set out in this SPS are met. These provisions may vary from project to project, depending on such factors as the structure of the CSS and the type of operation. In all cases, these provisions and any additional measures that the borrower needs to undertake to achieve and maintain equivalence and acceptable implementation capacity become part of the borrower's contractual obligations to ADB's normal contractual remedies. (ix) ADB accountability mechanism. The use of CSS will not alter the role of ADB accountability mechanism. (x) A phased approach. Use of CSS will include a limited number of DMCs with a focus on subnational, sector, or agency levels during the first 3 years after this policy becomes effective. An operational review of the effectiveness of the application and use of CSS will be undertaken 3 years after the policy becomes effective. Recent analytical work and diagnostic assessments by other development partners, updated as required, can be used. Joint assessments with

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other development partners will be encouraged. Appendix 6 provides details of the approach for strengthening and use of CSS.

d. Projects with Co-financing ADB will make efforts to collaborate with the borrower/client and cofinancers to adopt a single social and environmental assessment and planning process and unified safeguard documentation, consultation, and disclosure requirements to satisfy the safeguard principles and requirements of ADB and the cofinanciers. C. Roles and Responsibilities 1. ADB’s Roles and Responsibilities ADB is responsible for screening projects to specify ADB’s safeguard requirements; undertaking due diligence; and reviewing the borrower’s/client’s social and environmental assessments and plans to ensure that safeguard measures are in place to avoid, wherever possible, and minimize, mitigate, and compensate for adverse social and environmental impacts in compliance with ADB’s safeguard policy principles and Safeguard Requirements 1–4; determining the feasibility of ADB financing; helping the borrower/client in building capacity to deliver the safeguards; and monitoring and supervising the borrower’s/client’s social and environmental performance throughout the project cycle. ADB discloses safeguard plans and frameworks, including social and environmental assessments and monitoring reports, on its website. If a borrower/client fails to comply with legal agreements on safeguard requirements, including those described in the safeguard plans and frameworks, ADB will seek corrective measures and work with the borrower/client to bring it back into compliance. If the borrower/client fails to reestablish compliance, then ADB may exercise legal remedies, including suspension, cancellation, or acceleration of maturity, that are available under ADB legal agreements. Before resorting to such measures, ADB uses other available means to rectify the situation satisfactory to all parties to the legal agreements, including initiating dialogue with the parties concerned to achieve compliance with legal agreements. 2. Roles and Obligations of Borrowers/Clients The borrower/client is responsible for assessing projects and their environmental and social impacts, preparing safeguard plans, and engaging with affected communities through information disclosure, consultation, and informed participation following all policy principles and safeguard requirements. The borrower/client will submit all required information, including assessment reports, safeguard plans/frameworks, and monitoring reports, to ADB for review. The borrower/client must comply with host country laws, regulations, and standards, including host country obligations under international law. Furthermore, the borrower/client must implement safeguard measures agreed with ADB to deliver the policy principles and meet the requirements specified in Safeguard Requirements 1–4. To ensure that contractors appropriately implement the agreed measures, the borrower/client will include the safeguard requirements in bidding documents and civil works contracts. Where national safeguard policies and regulations differ from ADB’s safeguard policy statement including Safeguard Requirements 1–4, ADB and the borrower/client will formulate and agree on specific measures to ensure that ADB’s safeguard policy principles and requirements are fully complied with.

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ANNEX 2 -- RESETTLEMENT POLICY FRAMEWORK (RPF) CONTENTS

Resettlement Policy Framework 23. The purpose of the policy framework is to clarify resettlement principles, organizational arrangements, and design criteria to be applied to subprojects to be prepared during project implementation. Subproject resettlement plans consistent with the policy framework subsequently are submitted to the Bank for approval after specific planning information becomes available. 24. The resettlement policy framework covers the following elements, consistent with the provisions described in ADB Safeguard Policy:

(a) a brief description of the project and components for which land acquisition and resettlement are required, and an explanation of why a resettlement plan cannot be prepared by project appraisal; (b) principles and objectives governing resettlement preparation and implementation; (c) a description of the process for preparing and approving resettlement plans; (d) estimated population displacement and likely categories of displaced persons, to the extent feasible; (e) eligibility criteria for defining various categories of displaced persons; (f) a legal framework reviewing the fit between borrower laws and regulations and Bank policy requirements and measures proposed to bridge any gaps between them; (g) methods of valuing affected assets; (h) organizational procedures for delivery of entitlements, including, for projects involving private sector intermediaries, the responsibilities of the financial intermediary, the government, and the private developer; (i) a description of the implementation process, linking resettlement implementation to civil works; (j) a description of grievance redress mechanisms; (k) a description of the arrangements for funding resettlement, including the preparation and review of cost estimates, the flow of funds, and contingency arrangements; (l) a description of mechanisms for consultations with, and participation of, displaced persons in planning, implementation, and monitoring; and (m) arrangements for monitoring by the implementing agency and, if required, by independent monitors.

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When a resettlement policy framework is the only document that needs to be submitted as a condition of the loan, the resettlement plan to be submitted as a condition of subproject financing need not include the policy principles, entitlements, and eligibility criteria, organizational arrangements, arrangements for monitoring and evaluation, the framework for participation, and mechanisms for grievance redress set forth in the resettlement policy framework. The subproject-specific resettlement plan needs to include baseline census and socioeconomic survey information; specific compensation rates and standards; policy entitlements related to any additional impacts identified through the census or survey; description of resettlement sites and programs for improvement or restoration of livelihoods and standards of living; implementation schedule for resettlement activities; and detailed cost estimate.

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ANNEX 3 -- PUBLIC CONSULTATION AND PROJECT DISCLOSURE PLAN (PCDP)

Infrastructure development projects are designed and implemented for the public good. It is, however, sometimes unavoidable that project implementation will have immediate adverse impacts on some members of the community. Such adverse impacts put respective households or individuals at risk. Adverse impacts include loss or accommodation and/or other assets and/or livelihood. Other impacts might include loss of access to natural resources or damage to cultural artifacts or areas. Whenever such negative impacts are foreseen a resettlement plan is prepared to address and mitigate against such negative impacts. The resettlement plan is a tool for risk management. Consultation with and between all project stakeholders should proceed throughout project planning, implementation and pre- and post-project evaluation. Notification of this planned consultation process is provided in each resettlement plan (RAP). Preparation of a resettlement plan involves a series of steps:

1. The PCPD process will begin with a well-publicised and advertised public meeting. The objectives of the meeting will be:

to disclose and provide information about the proposed project, and its importance as a feature of local/national development strategy;

to indicate provisional estimates of envisaged scope of negative impacts and to provide opportunity for local communities to express initial concerns and aspirations;

to introduce people to the requirement to produce a resettlement plan and AP’s entitlements based on negotiated compensation rates and/or ‘replacement value’.

A record will be kept of all people attending the meeting with matching signatures. Photographs will be taken to illustrate proceedings.

2. Respective project sites will be walked by informed project professional staff in association with members of local communities, including respective potentially affected persons The objectives of this activity will be:

to ensure that local communities are made fully aware of the scope of proposed works;

to provide opportunity for local people to comment on the proposed works and to make suggestions as to how they feel adverse social or environmental project impacts might be minimized and/or project benefits enhanced;

to compile an initial list of APs.

Records will be kept of the names of those people accompanying these walks and of suggestions made.

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3. Use secondary data (e.g., district statistical records) to prepare a draft socio-

economic profile of respective project area populations. Reasons for undertaking such a profile include:

to identify social sectors of the sub-project areas (for example ethnic minority peoples or other vulnerable groups) which may need special arrangements to be made;

to provide a background for an associated sub-project Monitoring and Evaluation (M and E) exercise, among APs and among project beneficiaries in general

to provide information to assist the design of alternative income making strategies for severely impacted households;

4. Hold focus group discussions (FGD) both formal and informal. The purpose of these meetings will be:

to check and to supplement secondary data so that it is representative of project areas;

to provide participants with further opportunity to express their concerns and aspirations as well as propose alternative civil works activities.

to refine/confirm list of APs.

5. Undertake registration of APs assets complete with detailed measurement survey (DMS).

6. Convene public meeting to discuss and finalize rates of compensation to be paid for full range of assets.

7. Complete a draft entitlement matrix showing categories of loss, numbers of APs, entitlements, official responsible and arrangements for payment.

8. Prepare Resettlement Plan (RAP) to include final version of entitlement matrix, cost table and schedule of future activities.

9. Both matrix and RAP published along with schedule of dates for payment of entitlements, land clearance and commencement of civil works. Community members are notified that after receiving payment for lost assets there will be a one month delay before land clearance to enable APs to settle outstanding disputes or grievances and to remove assets off site.

Records will be kept of all public meetings and be attached as an annex to respective RAPs.

53


ANNEX 4 -- RESETTLEMENT ACTION PLAN OUTLINE

TABLE OF CONTENTS List of Abbreviations Executive Summary

A. Objective of the Resettlement Plan

B. Public Consultation and Project Disclosure

C. Brief Description of the Project

D. Scope of Land Acquisition and Resettlement

E. Affected Persons (APs) Entitlements

F. Compensation and Livelihood Restoration

G. Gender Impacts and Mitigation Measures

H. Ethnic Minorities Impacts and Mitigation Measures

I. Budget

J. Institutional arrangements

K. Implementation Schedule

L. Monitoring and Evaluation

Appendix 1 List of people attending public meetings with signatures and photographs Appendix 2 List of APs and their respective entitlements


ANNEX 5 -- PRELIMINARY ESTIMATE OF POTENTIAL RESETTLEMENT IMPACTS

Land Buildings

No.

Location

Pot

enti

ally

im

pac

ted

R

esid

ents

Pot

enti

ally

im

pac

ted

lan

d

tena

nts

Tot

al

Pot

enti

al C

ost

Tre

es

Vac

ant

lan

d

Irri

gate

d c

rop

la

nd

Orc

har

ds

Urb

an/

sub

urb

an la

nd

Sm

all n

on-

resi

den

tial

Sm

all

resi

den

tial

Sh

rin

es

No. No. No. M2 M2 M2 M2 ea. ea. ea. ea. ea.

1 Site E (1) Occurrence: 30 30,000

Cost: ('000 USD):


Cost: ('000 USD):


Cost: ('000 USD):

Total Affected Assets from Survey 210 210,000


Average market Unit costs For buildings:

Type units

Value (USD), per unit

Default size, sq.m.

Residents per 100 sq.

m.

Land Owners per 1000 sq.m.

1 Usufruct Harvest per tree per season each

2 Vacant land sq. m.

3 Irrigated crop land sq. m.

4 Orchards sq. m.

5 Urban/suburban land sq. m.

6 Large commercial/institutional buildings. sq. m.

7 Large residential buildings (apartments) sq. m.

8 Medium commercial/institutional buildings sq. m.

9 Medium residential buildings sq. m.

10 Small non‐residential buildings sq. m.

11 Small residential buildings sq. m.

12 Shrines (move or replace) each

13 Wells (replace) each

14 Fences (replace) m.

UZB‐ TA 8004

Appendix 14 ADB Safeguard Matrix Uzbekistan Solid Waste Management Investment Project

2


Asian Development Bank (ADB) Safeguards Policy With reference to the project and initial assessment, the succeeding matrix presents

the ABD safeguards, the status and the proposed action plan.

SAFEGUARD Scope and Triggers Status (S)

Output (O) Action Plan (AP)

Environment Safeguard Requirement (SR1)

Environmental safeguards are triggered if a project is likely to have potential environmental risks and impacts. The ADB requires the submission of an IEE or EIA Report in line with their defined scope; to include explanation of meaningful consultation and grievance redress and include an EMP.

(S): Conduct of an initial environmental site assessment, Rapid Environmental Assessment (REA) / Environmental Categorization / (O) Category B*, Consolidation of inspection reports with Project details initially identifying potential problem areas. Initial Project and Site Assessment (AP) Secondary data gathering and preparation of the IEE; schedule for an initial public consultation

Involuntary Resettlement Safeguard Requirement (SR2)

The involuntary resettlement safeguards covers physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) as a result of (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. It covers them whether such losses and involuntary restrictions are full or partial, permanent or temporary.

(S) Hokimiyat Decision #417 dated 22 June 2012 allocating an area adjacent to the Akhangaran Landfill as expansion area for waste disposal in favor of Maxsustrans. Compensation package for affected farmers included. (O) Category B*, Social / Resettlement Framework and TOR for the social survey and LARP, respectively (AP) TOR for Land Acquisition and Resettlement Plan (LARP), reconnaissance for the actual status of the land. TOR for a Socio-economic Survey for city’s perception on the current SWM. Identify “project – site specific” stakeholders

*Preliminary Categorization

3


SAFEGUARD Scope and Triggers Status (S) Output (O) Action Plan (AP)

Indigenous Peoples Safeguard Requirement (SR3)

The Indigenous Peoples safeguards are triggered if a project directly or indirectly affects the dignity, human rights, livelihood systems, or culture of Indigenous Peoples or affects the territories or natural or cultural resources that Indigenous Peoples own, use, occupy, or claim as an ancestral domain or asset. The term Indigenous Peoples is used in a generic sense to refer to a distinct, vulnerable, social and cultural group

(S) Presence of Indigenous people yet to be confirmed. Farmers and farm-hands were found to be local residents of Yangi Hayot living about 4 kilometers SW from the site. (O) Initially Classified as Category C* (AP) Social survey should attempt and determine the presence of one of the less well-known minorities in Uzbekistan (e.g. “lulis”) within the project site.

app. 10 procurement analysis - asian development bank · appendix 10 procurement analysis ... no...

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