ASIAN DEVELOPMENT BANK
GOVERNMENT OF THE REPUBLIC OF UZBEKISTAN
THE REPUBLICAN ROAD FUND UNDER THE MINISTRY OF FINANCE CAREC Corridor 2 Road Investment Program II : TA No. 7789-UZB Land Acquisition and Resettlement Framework Ethnic Minority Planning Framework Poverty and Social Assessment for Tranche 1 VOLUME 3 FINAL REPORT
Submitted by: IKS Group of Companies
Tashkent July 2011
Resettlement Framework
Document Stage: Final Report Project Number: TA 7789-UZB July 2011 ver.1
UZBEKISTAN: CAREC Corridor 2 Road Investment Program II
Prepared by the Uzbekistan Republican Road Fund Under the Ministry of Finance of Uzbekistan For the Asian Development Bank (ADB).
The resettlement framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.
i TABLE OF CONTENTS I. INTRODUCTION ...... 6 A. General Project Description...... 6 B. Potential Resettlement Impacts...... 7 II Objectives, Policy Framework, and Entitlements...... 9 A. Objectives of the Resettlement Framework (RF) ...... 9 B. ADB Processing Requirements ...... 9 C. National Land, Compensation And Resettlement Policies...... 10 D. Compensation and Valuation Of Assets...... 14 III. Socio-Economic Information ...... 21 A. Activities...... 21 B. Surveys to be conducted ...... 21 C. Survey / Census Analysis ...... 22 D. Gender and Indigenous Persons...... 22 IV. Consultation, Participation, and Disclosure...... 23 V. Compensation, Income Restoration, and Relocation ...... 26 A. Special Assistance to Vulnerable Groups...... 26 B. Opportunities to derive development benefits...... 26 C. Relocation...... 27 VI. Grievance Redress Mechanisms ...... 29 A. General Principles...... 29 B. Grievance Coordination...... 29 C. Grievance Procedures ...... 29 VII. Institutional Arrangements and Implementation ...... 31 A. Institutional Arrangement ...... 31 B. Implementation Activities...... 34 VIII. Budget and Financing...... 36 IX. Monitoring and Reporting...... 37 A. Objectives ...... 37 B. Internal Monitoring...... 37 C. External Monitoring...... 38
TABLES Table 1: Entitlement Matrix...... 18 Table 2: Grievance Resolution Process ...... 30
ii CURRENCY EQUIVALENTS (as of April 8, 2011) Currency Unit – sum (SUM) SUM1.00 = $0.00059 $1.00 = SUM1,684 NOTE In this report, i. "$" refers to United States dollars (USD) ii. Sum refers to Uzbekistan Sum
iii ABBREVIATIONS
AB Affected Business AC Asphaltic Concrete ADB Asian Development Bank AIDS Acquired Immune Deficiency Syndrome APs Affected Persons CAREC Central Asia Regional Economic Cooperation CoM Council of Ministers CSS Country Safeguard System D/PLARC District/Provincial Land Acquisition and Resettlement Commission DI Design Institute DP Displaced Person EA Executing Agency EMA External Monitoring Agency EMP Ethnic Minority Plan (See IPP) FGD Focus Group Discussions GAP Gender Action Plan GFP Grievance Focal Point GRC Grievance Redress Committee Ha Hectares HH Households HIV Human Immunodeficiency Virus IA Implementing Agency IMA Internal Monitoring Agency IPP Indigenous Peoples Plan ISA Initial Social Assessment Km Kilometer LAR Land Acquisition and Resettlement LC Land Code MFF Multi-Tranche Financing Facility PMU Project Management Unit PSA Poverty & Socio-Economic Assessment RP Resettlement Plan RRF / RF Republican Road Fund under Ministry of Finance of Uzbekistan RU Republic of Uzbekistan SES Socio-Economic Survey SPS Safeguard Policy Statement SRP Short Resettlement Plan TA Technical Assistance USD United States Dollar Uzbekistan Republic of Uzbekistan
iv GLOSSARY OF TERMS
Affected Term used to describe all people that are affected by the project impacts. In the context of a Persons LARP it refers to those that are economically or physically displaced by the project. It is increasingly being replaced by the term “Displaced Person” following ADB Safeguard Policy 2009 – but is still in common use in the field. Compensation Means payment in cash or kind for an asset to be acquired or affected by a project at replacement cost at current market value. Cut-off-date Means the date after which people will NOT be considered eligible for compensation i.e. they are not included in the list of APs as defined by the census. Normally, the cut-off date is the date of the detailed measurement survey. Displaced Sometimes referred to as Affected Persons (APs). In the context of involuntary resettlement, Persons displaced persons are those who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or economically displaced (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. Economic Loss of land, assets, access to assets, income sources, or means of livelihoods as a result of Displacement (i) involuntary acquisition of land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas.
Encroachers Mean those people who move into the project area after the cut-off date and are therefore not eligible for compensation or other rehabilitation measures provided by the project. Entitlement means the range of measures comprising cash or kind compensation, relocation cost, income rehabilitation assistance, transfer assistance, income substitution, and relocation which are due to /business restoration which are due to APs, depending on the type and degree nature of their losses, to restore their social and economic base. Inventory of Means the pre-appraisal inventory of assets as a preliminary record of affected or lost assets. losses Land Means the process whereby a person is compelled by a public agency to alienate all or part of acquisition the land s/he owns or possesses, to the ownership and possession of that agency, for public purposes, in return for fair compensation. Meaningful A process that (i) begins early in the project preparation stage and is carried out on an ongoing Consultation 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. Non-leased means those who have no recognizable rights or claims to the land that they are occupying and includes people using private or state land without permission, permit or grant i.e. those people without legal lease to land and/or structures occupied or used by them. ADB’s policy explicitly states that such people cannot be denied compensation. Poor Official government statistics for share of people living under poverty line is not available. The method used to determine poverty, was based on the World Bank's under 2.15 $ per person per month measure. This figure was calculated with respect to climate conditions and other set of factors. The local equivalent was calculated based on the official exchange rate. Physical Relocation, loss of residential land, or loss of shelter as a result of (i) involuntary acquisition of Displacement land, or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. Replacement Means the method of valuing assets to replace the loss at current market value, or its nearest cost equivalent, and is the amount of cash or kind needed to replace an asset in its existing condition, without deduction of transaction costs or for any material salvaged.
Significant means 200 people or more will experience major impacts, which are defined as; (i) being impact physically displaced from housing, or (ii) losing ten per cent or more of their productive assets (income generating). Vulnerable means any people who might suffer disproportionately or face the risk of being marginalized from the effects of resettlement and includes; (i) female-headed households with dependents; (ii) disabled household heads; (iii) poor households (within the meaning given previously); (iv) landless; (v) elderly households with no means of support; (vi) households without security of tenure; (vii) ethnic minorities; and (viii) marginal farmers (with landholdings of five acres or less). MAP
v I. INTRODUCTION
1. This section provides a general description of the project and it’s proposed components. It outlines any anticipated involuntary resettlement resulting from the components to be financed under the proposed project; and explains why the resettlement framework is required.
A. General Project Description
2. This Resettlement Framework is prepared for the components of the Multi-Tranche Finance Facility for the Central Asia Regional Economic Cooperation Corridor 2 Road Investment Program 2 in Uzbekistan.
1. Background
3. Uzbekistan is a key transit point for Central Asian countries looking to trade among themselves, as well as with the rest of Asia and Europe. Central Asia Regional Economic Cooperation (CAREC) has a strategy and action plan to develop six transport corridors, which will improve connectivity and cut transport costs.1
4. The proposed investment program (the investment program II) is an extension of the ongoing investment program (investment program I), which covered part of the A380 highway. The investment program II will target the Uzbekistan section of CAREC Corridor 2- one section of A373 highway and 2 sections of A380 highway, which connect Uzbekistan to Kyrgyz Republic Afghanistan, Kazakhstan, Tajikistan, and Turkmenistan. Another highway investment program in Kazakhstan (supported by the Asian Development Bank [ADB]) will connect Beyneu (a town on the border with Uzbekistan) with Uzbekistan's A380 highway and the port of Aktau in the Caspian Sea. All these highways, when completed, will provide Uzbekistan and other Central Asian countries direct access to the Caspian Sea, and thereafter to South Asia and the Black Sea (via road corridors being built in Armenia, Azerbaijan, and Georgia). The investment program II has strong links to CAREC Corridor 6, which reaches the Ring Road in Afghanistan and thereafter the Karachi port in Pakistan.
5. A National Road Development Program for 2011-20152 has been updated. It is consistent with the sector strategy and road map and is estimated to cost $3.6 billion-of which $1.6 billion is directed at the A380 highway. The investment program II will contribute to this program. Other investments cover rural and urban roads. The investment involves mainly reconstruction of existing networks, although some green field projects are also envisaged. Other "softer" infrastructure investments are also part of the plan, including improving institutional effectiveness, planning, project management, road safety, and asset management.
6. The proposed investment program will have an impact on sustainable economic development. The outcome will be better transport connectivity and efficiency, and institutional effectiveness.
2. The Uzbekistan CAREC 2 Project
1. 7. The proposed investment program II will have an impact on sustainable economic development in Uzbekistan and regional cooperation. The outcome will be better transport connectivity and efficiency, and institutional effectiveness. The outputs will be an approximately 236 kilometers (km) reconstructed road sections of the A373, A373/4R112 and A380 highways, and improved project management, road safety, and road asset
1 ADB. 2008. CAREC Transport and Trade Facilitation Strategy and Action Plan. Manila. 2 Resolution No. 1446 of the President of the Republic of Uzbekistan dated 21 December 2010.
6 management. The investment will be split into three separate projects. The outputs under each project will be as follows:
2. Project 1
(i) Road development. In the first phase, the output will be an approximately 74 km reconstructed section of the A373 highway (between Km116 and Km190). This section does not involve land acquisition or involuntary resettlement, nor lead to significant environmental impacts. The investment will upgrade the existing four-lane road section with an international design within the existing right-of-way. The cost includes civil works and specialized consulting services, including experts to help with construction supervision and due diligence for subsequent tranches.
(ii) Road sector sustainability. The outputs will be road safety management improvement, which will include: (i) developed national road infrastructure safety strategy and road safety checklist, guidelines, and measures that will improve road safety management; and (ii) a specific phased road safety program for all the road sections completed and being reconstructed under the investment programs I and II. This component will also include provision of solar road signs to be used for A373 Kamchik Pass section and consultancy support
3. Project 2. The Project 2 outputs will be an approximately 87 km reconstructed section of the A380 highway (between Km 228 and 315), strengthening capacity of the Road Fund for road sector management, and implementation of road safety program for projects 1 and 2.
4. Project 3. The Project 3 outputs will be an approximately 75 km reconstructed section of the A373/4R112 highway (between Km 0 and 75), road asset management, and implementation of road safety program for project 3. Improvement of cross-border facilities for shortening the processing time at Osh, Kyrgyzstan border is covered under a separate bilateral funding.
B. Potential Resettlement Impacts
8. There are a number of anticipated resettlement impacts on agricultural, business and residential land. However, the first priority in the design of road sections is to minimize impacts through good design.
1. Design Criteria
9. The Design Institute (DI) will design the proposed highway within the constraints of several criteria.
10. International Standards - According to the Resolution ʋ PP-1103 of the President of the Republic (April 22, 2009), international roads of category 1, have to be adjusted to comply with international standards and norms through construction and reconstruction of four lane roads. Additionally, all curves have to comprise a minimum 3000m radius to reduce cornering forces.
11. International Gas Pipeline – The existing Uzbekistan international gas pipeline corridor is near the new alignment. It is a significant high-value asset. The new road alignment avoids the easement ensuring that it minimizes any expense or complications that may be encountered.
7 12. Train Lines – Design criteria indicate that level crossing at train lines must be between 90 and 110o. There are two crossings on the proposed alignment. The designers have incorporated curves in the design (minimum radius 3000m) to ensure this criterion is achieved.
13. Other Key Infrastructure – The proposed road design tries to avoid all significant telecom, water supply, water canal, electricity, check-point and cell-phone infrastructure where possible. Where this has been impossible to avoid, plans are in-place for all assets to be restored to before-project status during construction.
14. Existing Businesses and Households – Where possible, businesses, households and temporary structures have been avoided in the designs provided by the DI. This follows existing Uzbekistan Law that requires the minimization of all impacts. Given the significant criteria that the DI has to consider already ( pavement, corner radius, railway, gas pipeline), the design may not be able to avoid some impacts on private assets, therefore, these impacts if any will be the subject of this Land and Resettlement Plan (LARP).
8 II OBJECTIVES, POLICY FRAMEWORK, AND ENTITLEMENTS
15. This section lays out the principles and objectives governing the preparation and implementation of a resettlement plan and are consistent with the Asian Development Bank’s Safeguard Policy Statement, 2009. It compares applicable national laws and regulations and the safeguard policy statement and delineates measures to fill gaps, if any. It describes the criteria for screening and selecting projects and/or components under each tranche, including measures to avoid and minimize involuntary resettlement.
A. Objectives of the Resettlement Framework (RF)
16. This RF is a government document reflecting Uzbekistan’s relevant laws and policies and ADB’s specific requirements under ADB Safeguard Policy 2009. The RF provides a compensation/rehabilitation framework detailing agreed compensation/rehabilitation provisions which are shared by the government and the ADB. It also provides specific guidance on the particular ADB requirements for planning and implementing LAR under Multi-tranche Financing Facility (MFF) and uses ADB language and terminologies.
17. The LARF is intended to provide guidance for all aspects of land acquisition and identifies likely impacts of the investment. It describes anticipated groups of Displaced Persons (DP), clarifies land and resettlement principles and assesses the legal framework for land acquisition and resettlement in Uzbekistan. The RF describes standard procedures and methods of redress, and outlines steps that will be taken to plan, implement and monitor the impact of land acquisition and resettlement along the corridor.
18. This RF applies to all DPs with land status affected permanently or temporarily due to the corridor’s reconstruction, including purchase and temporary use during construction. It also applies to people whose use of state land, sanctioned or not, changes as the result of the investment. The RF does not apply to State land that is transferred from one authority to another, or is used for reconstruction, unless third parties are adversely affected by the transfer or use.
19. Once this document is approved by ADB and the Government, it will become an element of the respective financing agreements between the Government and ADB.
B. ADB Processing Requirements
20. ADB Safeguards Policy 2009 states: “For MFFs with potential involuntary resettlement impacts, the borrower/client will agree with ADB on a resettlement framework before ADB approves the MFF. The framework will clarify safeguard principles and requirements governing screening and categorization, social and environmental assessment, and preparation and implementation of safeguard plans of components, and projects to be prepared after MFF approval.”
21. Based on ADB policy/practice, appraisal of the MFF and each tranche and approval of the implementation of tranche projects will require the preparation of the following:
a. A LARF will be prepared which is applicable to all tranches. The LARF will be reviewed, if necessary updated, and submitted for ADB approval at the start of the preparation of each tranche. b. An Initial Poverty and Social Assessment (IPSA) indicating, for each tranche, whether LAR impacts are likely to occur, type of impacts, likely magnitude, and whether there may be Indigenous Peoples (IP), as defined by ADB's Safeguard Policy Statement (June 2009) and its Safeguard Requirement 3: Indigenous People, affected; and,
9 c. If LAR occurs, prepare a Resettlement Plan (LARP) following the requirements as stated in the approved RF of the Investment Program for each project under a tranche. The LARP(s) should be based on detailed design and commensurate to the severity of impacts. The LARP will include detailed compensation and administration budgets and implementation schedules linking LAR tasks to the initiation of civil works. d. Submit the LARP(s) for ADB review and approval prior to implementation.
22. Based on ADB policy &practice, the appraisal of the MFF and each specific tranche and approval of project implementation will be based on the following LAR-related conditions:
a. MFF/first tranche appraisal: Conditional on preparation/disclosure of a LARF for the whole MFF acceptable to ADB and of LARPs of the first tranche project activities, if it involves LAR. b. Following tranches appraisal: Conditional on review/update/disclosure of the LARF, and preparation/disclosure of LARPs consistent with the revised LARF for projects with LAR. c. Contract awards signing: Conditional to the preparation/disclosure of relevant updated LARP approved by ADB and reflecting final impacts, Displaced Person (DP) lists and compensation rates. d. Provision of notice to proceed to contractors: Conditional on full implementation of the LARP (full and final delivery of compensation/rehabilitation) for the relevant section of the project and submission of compliance report on LARP implementation. Such a condition will be clearly spelled out in the text of the civil works contract.
23. LARP implementation will be carried out with the support of the resettlement specialist from the Safeguard Team of the Program Management Unit (PMU). The supervision consultants team will also have international and local LAR capacity sufficient to cover all LAR planning and implementation needs throughout the Program implementation. The LARPs will be first approved by Road Fund and then will be endorsed by the Provincial and District LAR Commissions of the project areas.
C. National Land, Compensation And Resettlement Policies
24. This section describes National and Local Laws and the gaps with ADB Policy.
1. Relevant Provisions for Involuntary Resettlement in Uzbekistan
25. There are no laws or legislation in Uzbekistan that specifically address matters related to involuntary resettlement. Rather land acquisition is governed by the following laws and resolutions:
The Land Code - approved by the Law of the Republic of Uzbekistan from 30.04.1998, taking the changes of 2003-2004 into account;
The Civil Code of Republic of Uzbekistan from 1996, taking the changes of 2004- 2008 into account;
Law of the Republic of Uzbekistan on “State Cadastre” N171-II from 15.12.2000
Law of the Republic of Uzbekistan on “State land Cadastre” N666-I from 28.08.1998 taking the changes of 2002-2004 into account
Cabinet of Ministers Resolution on “Approval of Regulation on the order of legalization of seizure and allocation of land plots for non-agricultural needs in the Republic of Uzbekistan” No. 248, 27 May 1992
10 Cabinet of Ministers Resolution on “Approval of the Regulation on the order of adjudication of land disputes in the Republic of Uzbekistan” ʋ246 from 25.05.1992;
Cabinet of Minister Resolution on “Order of realization into private property of objects of trade and public services together with land plots, where they are located, and land plots into life inheritance tenure” ʋ126 from 11.04.1995, taking the changes of CoM Resolution ʋ 202 from 30.04.1999 into account;
Cabinet of Minister Resolution “On approval of the sizes of agricultural production losses compensation, relating to land acquisition, for needs not connected with farming or forestry management” ʋ 223 from 16.06.1995;
Cabinet of Minister Resolution “On approval of the regulation on the order of identification of the sizes of agricultural production losses compensation, relating to land acquisition, for needs not connected with farming or forestry management” ʋ 282 from 15.06.1992;
Resolution of the Cabinet of Ministers of the Republic of Uzbekistan #97 dated 29.05.2006 “On order of compensation of citizens’ and legal entities’ losses due to land plots acquisition for state and public needs”
26. Collectively, these regulations provide a sound basis for acquiring land for public purposes and for compensating land users according to the registered use of the land. They do not provide for cash compensation as land is a state owned asset. A brief account of legislation pertaining to compensation and the provision of land is given in Annex A.
2. ADB’s Policy on Involuntary Resettlement
27. The ADB policy on involuntary resettlement is detailed as “Safeguard 2” in the ADB Safeguard Policy Statement (SPS) of June 2009. It emphasizes ADB’s efforts to assist 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.
28. In this context, the goal of the safeguards is to promote the sustainability of project outcomes by protecting the environment and people from projects’ potential adverse impacts.
29. 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.
30. ADB Safeguard Requirement 2: “Involuntary Resettlement” is detailed in Appendix 2 of the SPS and included in Annex A of this LARP. The ADB is in the process of updating its “Handbook on Resettlement – A Guide to Good Practice” (2003) however the basic principles and practical implementation procedures are still valid.
31. The key principles of ADB’s Involuntary Resettlement Policy and procedures relevant to the LARP are:3
x Assess past and current involuntary resettlement risks x Undertake meaningful consultation and participation of all DP’s
3 These are paraphrased and summarised for discussion. The full text of the ADB policy is in the Annex A 11 x Pay particular attention to vulnerable groups especially those below the poverty line, the landless, the elderly, women and children, and Indigenous Peoples’ethnic minority, and those without legal lease to land x Establish a grievance redress mechanism to receive and facilitate resolution of the affected persons’ concerns. x Support the social and cultural institutions of displaced persons and their host population. x Improve, or at least restore, the livelihoods of all displaced persons through o land-based resettlement strategies when affected livelihoods are land based where possible o prompt replacement of assets with access to assets of equal or higher value, o prompt compensation at full replacement cost for assets that cannot be restored, and o Additional revenues and services through benefit sharing schemes where possible. x Provide DP’s with o secured tenure to relocation land, o better housing at resettlement sites with comparable access to employment and production opportunities o integration of resettled persons economically and socially into their host communities, and o extension of project benefits to host communities; x Provide DP’s with transitional support and development assistance, such as land development, credit facilities, training, or employment opportunities; x Provide civic infrastructure and community services, as required. x Improve the standards of living of the displaced poor and other vulnerable groups, including women, to at least national minimum standards. x Develop procedures in a transparent, consistent, and equitable manner if land acquisition is through negotiated x Ensure that displaced persons without leases to land or any recognizable legal rights to land are eligible for resettlement assistance and compensation for loss of non-land assets. x Prepare a resettlement plan elaborating displaced persons’ entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule. x 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. x Pay compensation and provide other resettlement entitlements before physical or economic displacement. x Implement the resettlement plan under close supervision throughout project implementation. x Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons.
3. Comparison of Uzbek and ADB IR Laws, Regulations and Procedures
32. The main variation between Uzbekistan laws/regulation and ADB Safeguards policy are outlined in Annex A. Any key differences have been filled in line with ADB policy, particularly in areas where practices are less subject to independent oversight.
33. Comparison of the Uzbekistan LAR Policy with the ADB Involuntary Resettlement Safeguard Policy indicates that key elements of the ADB Policy are present - particularly
12 those related to valuation of immovable property. The ADB’s principle of avoidance or minimization of resettlement is reflected in Uzbekistan Legislation.
34. The key policy difference regards DP’s without lease or registration (businesses and structures). In order to remedy this, Uzbekistan has ensured that all land, businesses and structures will be registered prior to resettlement, at no cost to the DP, and then transferred or compensated under the relevant entitlement.
35. Overall, Uzbekistan’s Country Safeguard System (CSS) on acquiring land and compensation of property is consistent with ADB’s Social Safeguard Policy. The main area of concern is the implementation of laws in practice before and during construction – where differences are sometimes noted in the field. This is mainly an issue of information dissemination to those responsible for implementation at the district and province level. This needs to be addressed consistently in the information dissemination activities during RP preparation, and will be a core area for the monitoring activities during the RP update and implementation.
4. Actions Made to Address the Gaps
36. In February 2010, the RRF agreed to adopt a Land Acquisition and Resettlement Framework (LARF) for the Project that incorporates both Uzbekistan’s laws and procedures and the Resettlement Policies of the ADB. The Framework applies to all persons whose private land status is affected permanently or temporarily due to the Project, including purchase and temporary use during construction. It also applies to people whose use of state land, sanctioned or not, changes as a result of the investment. The Framework does not apply to State land that is transferred from one authority to another, or used for reconstruction, unless third parties are adversely affected by the transfer or use.
37. The document ensures that: (a) compensation is provided at replacement cost for houses and buildings and at market value for all items,(b) non-leaseholder DPs are given livelihood rehabilitation, and (c) the provision of subsidies or allowances for DPs suffering business losses or severe impacts and DPs who are vulnerable.
38. This revised LARF has been prepared incorporating the changes and improved understanding gained during the preparation of LARP for Project 2 and 3 of the Investment Program I. It will also be adopted by the RRF and ADB for this Investment Program II.
5. Principles and Policies for ongoing Projects
39. The ADB policy has no reference for valuing entitlements except for the general principle that DPs should be at least as well off after the project as before it. In other words, valuation of their property and assets should be at the replacement value. The Bank’s practices also recognize this principle to ensure protection of interests and the well-being of the DPs.
40. The RF sets eligibility and entitlement provisions establishing compensation rates in accordance with guidelines from the Land Code of the RU.
41. The following principles for the compensation/rehabilitation of families affected by the Project should be followed, and communicated to all stakeholders:
x The cut-off date for identifying affected lands, families and people should be identified very early in the project. This should be when the original project scoping takes place and when any affected people along the proposed project routes were informed. x The route of the road minimizes the need for acquisition of houses or agricultural land.
13 x Where there will be permanent acquisition of land and buildings, identification, compensation and assistance will be provided prior to any construction commencing. x All displaced persons will receive compensation, even if they are without lease or formal recognition. This includes any temporary residential structures, informal agricultural activities or temporary business use. x All construction through agricultural land will be timed to minimize any impacts on the income and activities of adjoining land parcels. x All construction over public rights of way – footpaths, canals, driveways and roads will be undertaken rapidly and without undue delay to avoid inconvenience to business and residences. x Detailed seminars and consultations will be available for all affected households to keep them informed of the process. Representatives of affected households will be invited to participate in the Hokimiyat valuation meetings. x A defined grievance procedure has been established. When a land leaseholder or user does not agree with a decision regarding compensation or change of the land use (lease), it may not be exercised before the dispute is resolved judicially. In addition, any person who feels that they are in any way worse off can take their grievance to the highest level, at the cost of the project. x Those people who face significant impacts (>10% of their land being resumed and/or physically displaced from housing) will receive additional support, assistance and compensation. x Vulnerable groups, including female-headed households, the poor, disabled, or families with significant numbers of elderly or disabled members will receive additional support, assistance and compensation to ensure that they are not severely affected. x DP’s may use and exercise their rights to a land plot and make necessary expenditures in compliance with its purpose after notification of acquisition for public needs until compensation is agreed. However, there will be no entitlement to additional compensation based on these improvements if made after the cut-off date. x If a land plot becomes unviable due to acquisition then the whole land plot will be compensated.
D. Compensation and Valuation Of Assets
1. Entitlements to Compensation
42. The following groups of affected persons (DPs) are included in the LARF: • All DPs losing land either with legal lease, lease holding land rights or without legal status; • Owners of buildings, crops, plants, or other objects attached to the land; and, • DPs losing business, income, and salaries.
2. Formalization of Lease/Registration
43. To enable the Project to compensate unregistered land users under Uzbekistan laws, representatives from the District Cadastral Offices will advise affected land users to register or update the registration of their lands and structures. Under the LARP those who have unregistered land or structures will be registered free of charge prior to compensation. This will be facilitated by the RRF.
44. DP’s who have already paid for registration after project identification, and feel that this was unjust, can elect to document their case to the grievance committee providing proof of
14 date and amount charged. If found to contravene ADB policy, charges will be refunded by the relevant authority.
45. The assets/structures on the affected plots of land users without leases have been evaluated by exactly the same criteria as those with leases.
3. Calculation of Compensation
46. This section details the entitlements for compensation and the details of the calculations used.
a. Land
47. Compensation for land will be on a “land for land” basis, with land being provided to owners by the District Hokimiyat following assessment by the LARC. Such land will be of equal value/productivity in a nearby location and with comparable associated services/ facilities, or compensation to provide such services. Transaction cost, registration fees, if any, will be borne by the relevant authority. In the case that all or parts of lease holding becomes unviable, unaffected portions of a plot will also be compensated
48. In the case where land is used by a DP that does not have a formal lease at the cut-off date, all land used (leased or unleased) will be combined under one lease without fees, taxes or charges. The land will then be compensated as per a normal leaseholder. The relevant authorities cannot charge lease and registration fees or evict potentially affected DPs following initial identification of the project, even if it is undertaken prior to the official survey.
49. Workers on land that will be acquired will be provided a cash compensation corresponding to their salary (in cash and in kind) for the remaining part of the agricultural year/or contractual period.
50. In the case of severe impact, where more than 10% of a DP’s land (leased and unleased) is to be acquired, a severe impact allowance will be paid. This will be equal to the net income from an annual crop (crop, tree and fruit) production (inclusive of winter and summer crop in addition to standing crop compensation) and the waiving of taxes and fees. This is in addition to the agricultural compensation paid.
b. Structures
51. Buildings (registered or not) will be valued through calculating the real replacement cost based on cost of materials, type of construction, labor, transport and other construction costs. No deductions will be applied for depreciation or transaction costs. The cost of reconnection to lost water, electricity, gas and telephone connections will be included in the compensation (the new land sites are assumed to have similar services available). Salvaged materials will be allowed to be taken away by the DPs prior to demolition at no charge.
52. A detailed “per unit cost” table will be established that covers the initial valuation for all housing types in an area. At the minimum it will detail square meter costs for structures of different wall and roof types, finished and unfinished, improved and unimproved.
53. In the case of new sites, the full land preparation costs will be calculated to ensure the full cost for providing services and leases is understood by the relevant agencies.
54. For partial impacts (structure wall, fences etc), cash compensation at replacement rates will be paid to restore the remaining structure to its original state. Unaffected portions of a structure will also be compensated if they become unviable after impact occurs.
15 55. DP’s who have tenants (ie. landlords) will receive compensation of income (cash or in kind) lost as a result of the permanent or temporary loss of the houses, buildings and structures for the remaining period of lease. The lease must be justified by a legal document. Landlords without a formal notarized lease will have to show other proof or evidence in order to claim compensation.
56. Tenants of structures that will be demolished or temporarily impacted will receive a new lease by their landlord or 3 months cash equivalent of existing lease to allow for a new lease to be found and signed. Tenants without a formal notarized lease will need to show other proof or evidence of their cash and in-kind payments, in order to claim compensation.
c. Agriculture
57. Agricultural production will be calculated for all farms and subsistence households and provide values for crops, trees, orchards and gardens. For businesses and households calculations will be made for gardens and trees. Calculations will be made based on historical production combined with prevailing market rates. Where that is not available, average district values will be utilized.
58. Annual crops (whether or not on titled land) that cannot be harvested will be valued at full market rate as determined by purchase prices in the local market. Assessment will take account of more than 1 crop on a particular parcel in a year.
59. Compensation for trees will be done based on type and productivity. Fruit non- productive trees (young trees) will be compensated for seedlings and for plantation costs of the seedlings. Compensation for productive trees will be calculated based on the age of the tree and future loss of profit till the end of the tree’s productivity period. Compensation for trees used for production of merchantable wood will based on the price difference between the current status of the tree and the age when it reaches the merchantable wood period i.e. loss of future profit from this tree is compensated.
60. Calculation Process - Firstly, total crops and plantations will be identified for each farm. This defines total area of agricultural crops, perennial plants and crops repeated after harvest of a winter crops (wheat). The land that is to be alienated is calculated including the type of production it contains. Account should be made for when a second crop (for fodder) is undertaken after the wheat harvest (in June). It may be necessary to add revenue and profits derived from “re-seeding crops”.
61. Orchards - are calculated based on average yields over the past three years; the area of removal; and, market prices of the year is determined by the average annual cost of crop harvest. Estimated payment is determined by multiplying the estimated period of fruiting on the average annual price of crop harvest. The period of longevity and fruiting of different tree species is identified from the "Handbook of norms and standards for advance planning industries of agro-industrial complex" developed by the State Agriculture Committee of Uzbekistan (1986).
62. Construction timber plantations - are calculated by taking the difference between the market value cost of trees at the age of timber and the estimated cost for the current period surveyed. Average market value of wood at the age of commercial timber is defined as$30 thousand Sum.
63. Profitability - Crop profit and costs are determined from the actual acreage in the current year and the average yield over the past three years. Output value is calculated for cotton and wheat on the basis of sticker purchase price approved by the Ministry of Finance of the Republic of Uzbekistan in the current year. For other agricultural products, prices are taken from prevailing markets in the area in the current year. The profit is calculated based
16 on the cost of production and cost forecast. The economic performance of wheat is added to the cost and production and profits earned from re-sowing.
64. Total Compensation - The total land to be seized, together with the identified crops is combined with the profit data to provide a figure of average productivity for irrigated land. The total compensation is then determined for the harvest from these lands.
65. Land Preparation - The cost needed to prepare land to its current state of irrigation needs to be calculated so that that it can also be compensated. It can be determined based on the reference rates adopted by the Council of Ministers of the Republic of Karakalpakstan on 30 June 1995, depending on the yield of the land. The cost of compensation is calculated by multiplying the area of land seized by the base rate (bonitet value). To that value is added 4 years net income. Funds for the development of the land are transferred to the special accounts of the Council of Ministers of the Republic of Karakalpakstan. 10% of the funds are paid into a special account of the Ministry of Agriculture and Water Resources of the Republic of Uzbekistan.
66. Pasture land (ie non-irrigated) is calculated similarly to irrigated land and is based on rates for a specific area of pasture.
67. Subsistence households have small crop, garden and tree plantations. By questioning the owners of the household and measuring the crops, annual and perennial crops in the defined area to be seized, the gross harvest of agricultural crop production is calculated from the average yield for each crop (from district averages). The cost of production is calculated from market prices prevailing in the current year. Compensation for orchards and vineyards, and other fruit trees, and poplar is defined similarly as for farms.
d. Businesses
68. Compensation for the loss of business/income will be calculated based on estimated income - on the basis of tax declarations, imputed earnings or average income in this area – multiplied by the amount of time an independent valuer determines the business will be interrupted. The valuer will be appointed and paid for by the relevant authorities. The owner has the right to alter this amount if delay or hardship is encountered, through formal application to the grievance process.
69. Compensation for workers will be based on regular wage rates (including fixed by oral agreement with employer) multiplied by the amount of time an independent valuer determines the business will be interrupted. The valuer will be appointed and paid for by the relevant authorities.
70. Unregistered businesses will be first registered by the relevant authority at no cost to the DP. They will then be subject to compensation as per registered businesses.
71. All business owners will receive the full replacement cost of buildings destroyed.
e. Community Assets
72. The LARP has to take account of the costs involved in replacing community infrastructure. This includes re-establishing or constructing intersections with existing roads; water, gas, electricity, irrigation and telephone infrastructure; civic buildings and community facilities (wells etc).
73. Community structures will be fully replaced or rehabilitated to maintain their pre-project functions. In the case of community infrastructure for elderly or children, additional safety measures will be put in place.
17 4. The Valuation Process
74. Asset Valuation - Initial asset (buildings, crops, trees, businesses) valuation has been undertaken by the Safeguards team. It will be verified and certified first by the RF Social and Land Acquisition sub-Unit and then by the District LARC. If the DP agrees with the valuation, then this will be used as the basis of negotiation between the owners and the local authorities. If the DP disagrees with the valuation, Uzbek Law (Cabinet of Ministers Resolution N97 dated May 2006) allows for them to utilize an independent valuer at their own cost. In conformance with ADB requirements, this cost will now be paid by the RRF.
75. Land for Land - The District LARC decides on the assignment of alternative land plots. Associated infrastructure requirements - service roads, drainage, sanitation, water supply, irrigation and electricity facilities – will be provided as part of site-preparation costs. All relocation activities will be carried out with the consent and cooperation of the displaced people. The local authority will be instrumental in carrying out resettlement activities as scheduled. Where a project is considered significant, then an External Monitoring Agency will be appointed and actively participate in all discussions with DP’s
76. Unviable Land – In some cases the business, residence or farm becomes unviable due to significant land acquisition. In these cases the DP will be contacted in the first instance to assess their views. Farmers and businesses are well able to assess this impact. Those with housing plots are already vulnerable. The remaining land may be used to supplement adjacent DP’s losing less land. The District LARC is responsible for negotiating with groups of DP’s on the best way to reallocate lands. DP’s may also develop their own methods for reallocating land and present this to the LARC.
77. The process for undertaking the land-for-land re-allocation should include the following steps: x Identification of all physically and economically displaced households, their leased land and connected services. Also identification of lands that are used but remain unleased. x Draft outline of the process to combine all the land a DP uses (leased and unleased) into one “lease”, so that they are eligible for “land for land” compensation. x Preliminary identification of appropriate land parcels for “land for land” reallocation prior to discussions with DP’s. x Conduct o discussions with all DP’s (farmers, households and businesses) regarding alternatives for where they may be moved. Note that this must only be undertaken with the supervision of the EMA if included in the project. x Preparation of a draft “implementable land re-allocation plan” outlining proposed new land parcels for each DP; any voluntary land contributions from farmers; land preparation requirements (cost and locations of water, gas, roads etc); associated maps and, a draft agreement for each DP (containing lease number, total land size, new location and services/facilities to be provided) signed by the LARC, DP and EMA. Note that this plan should be fully implementable, subject only to final detailed design of the project.
5. Entitlements Matrix
78. Table 1 outlines the complete entitlements matrix for the project. Table 1: Entitlement Matrix Type of Loss Specification Affected People Compensation Entitlements
Permanent All land losses loss of Arable independent of Land Farmer or Land for land compensation with plots of equal impact severity Household value/productivity, comparable location and services ( or compensation to provide such services) to plots lost with registration and transfer charges if any to be borne by the project; 18 Unaffected portions of a plot will also be compensated Table 1: Entitlement Matrix Type of Loss Specification Affected People Compensation Entitlements if they become unviable after impact occurs.
All land used (leased or unleased) combined under Unregistered Land one lease without fees, taxes or charges. User Land for land compensation as per leaseholder. Cash indemnity corresponding to their salary (in cash Agricultural workers and in kind) for the remaining part of the agricultural losing their contract year/or contractual period.
Additional 1 severe impact allowance equal to the net income provisions for from annual crop (crop, tree and fruit) production severe impacts Farmer or (inclusive of winter and summer crop in addition to (> 10% of land household standing crop compensation) and the waiving of taxes loss) and fees
Land for land compensation through provision of a plot comparable in value/location to the plot lost including services (or compensation to provide such services) Household or to plots lost with registration and transfer charges if Business any to be borne by the project; Residential/ Commercial Unaffected portions of a plot will also be compensated Land if they become unviable after impact occurs.
All land used (leased or unleased) combined under Unregistered land one lease without fees, taxes or charges. user (household / business) Land for land compensation as per leaseholder.
Cash compensation at full replacement rate for affected structure/fixed assets free of salvageable materials, depreciation and transaction costs. Salvageable material will be allowed to be taken away by owner at no cost.
Cost of replacing existing water, electricity, gas and Owners Full or partial phone connections will be included in the (with/without Housing and loss of compensation. house or building Structures structures registration) For partial impacts (structure wall, fences etc), cash compensation at replacement rates to restore remaining structure.
Unaffected portions of the structure will also be compensated if they become unviable after impact occurs
Compensation of income (cash or in kind) lost as a result of the loss of the tenancy of houses, buildings and structures for the remaining period of lease justified by legal document. Landlords Landlords without formal notarized lease to show other burden of proof or evidence in order to claim compensation
New lease by landlord or 3 months cash equivalent of existing lease to allow for a new lease to be found and signed. Tenant Tenant without formal notarized lease to show other burden of proof or evidence in order to claim compensation
Standing All DPs (including Cash compensation equivalent to the gross income Crops affected Crops non-leased land from the crop calculated at the market value of the
19 Table 1: Entitlement Matrix Type of Loss Specification Affected People Compensation Entitlements owners total annual produce from affected land.
All DPs (including The full cost of seedling, cost of preparation of a Trees Trees affected non-leased land garden and lost profit at annual income multiplied by owners) the number of years of fruiting remaining. Independent valuer (paid by relevant authority) to determine business interruption and profit/loss to establish business
Permanent For permanent loss, cash compensation equal to 6 Business/ loss of Registered month's income or the period of interruption, Employment business or Business Owner whichever period is greater. employment Compensation is estimated on the basis of tax declarations, imputed earnings or Average income in this area.
Unregistered Business is registered at no cost (fees, charges) to Business Owner DP, then as per Registered Business Owner Indemnity for lost wages (including fixed by oral agreement with employer) paid for the amount of work Worker/employees time interruption. The time is established by the independent valuer.
Compensation for lost rent paid in advance plus cash compensation equal to the amount of work time interruption. The time is established by the independent valuer. Tenants of affected buildings Compensation is estimated on the basis of tax declarations, imputed earnings or average income in this area.
Vulnerable DP (female headed , or 1 additional allowance equal to 3 months of minimum disabled member) wage per family member. or below poverty Livelihood line (in 2010 is set Priority for employment in project-related jobs, training at 3440 Sum per opportunities, self-employment and wage employment person per day assistance based on World Bank studies)
Provision of adequate cash compensation to cover All DPs affected by transport expenses to new locations – to be justified Transport Cost relocation by the independent valuation following detailed / transitional relocation planning. Relocation livelihood costs House owners and Will receive up to 3 months’ salary (based on wage tenants who are receipts or agreements) to allow time off for work to employed relocate when impacts are severe.
Loss or Community damage to Rehabilitation/replacement of affected assets public structures/utilities (i.e. mosques, footbridges, roads, infrastructure schools, health centers, etc.) to pre-Program level and utilities
20 III. SOCIO-ECONOMIC INFORMATION
79. This section describes the methodologies to be used for socioeconomic surveys, censuses, inventories of losses, and assessments of land losses. The aim of the surveys is to conduct the social safeguards due-diligence activities for the projects including social and poverty impacts assessment.
A. Activities
1. Initial Field Visit
80. An initial scoping field visit will be undertaken with the safeguard team, road engineer and design institute to assess the complete road alignments. Standard ADB screening checklists for resettlement, environment, gender and IP’s will be completed and assessed.
2. Assumptions and Definitions
81. The following will be defined for the project, in order to develop a considered survey approach. x Project Area of Influence x Project Service Area x Cut Off Date x Affected People x Vulnerable groups x Relevant Policies x Background Data
3. Survey Approach
82. A detailed survey approach will be developed with associated costs, and submitted to ADB for approval prior to fielding. It will include all relevant information that will be collected, and the methodology and expected outputs. Questionnaires and survey methods will be fully defined.
B. Surveys to be conducted
83. The following surveys will be undertaken during the preparation of the PSA and the LARP’s.
1. Household Survey
84. A statistically significant (90% confidence) number of households will be surveyed to assess socio-economic information, health and gender issues, and their potential use of the proposed project. Survey teams will be selected in the field and trained. Payment of surveyors will be based upon correctly entered surveys (to be checked by random quality reviews). The household surveys will be administered based on random sampling across each Mahalla in each of the selected Rayons.
2. DP Census
85. The census of displaced persons will include the same questions as the household survey, with additional detailed questions regarding income, production and assets. Questions will also relate to gender (female-headed households, elderly and disability), ethnicity and health/education. A minimum of 25% (preferably 100%) of DP’s will have the household survey administered.
21 86. The survey will be undertaken primarily by the local and international social safeguards specialist with some assistance from local surveyors. Displaced households will be confirmed once receipt of the draft final alignment (including chainage marks and corridor widths) and drawings from the Road Fund.
3. Road User Survey
87. The aim of the Road User survey is to assess the impacts of the proposed project; confirm project assumptions; and provide baseline data for monitoring. The survey will include questions relating to road use, time, comfort, willingness to pay and suggestions for improvement. The survey will be undertaken by a small group of surveyors from the project area. They will be trained in the administration of the survey prior to implementation.
88. The surveys will cover the users and drivers of buses, cars/taxis, trucks and private vehicles. Bus users will be interviewed on the buses, by the surveyor travelling with them. Buses will include both local and regional buses. To accommodate different travel patterns, buses will be surveyed on a weekday and a weekend. Hire cars/taxis will be interviewed at recognized taxi collection points on the edges of key towns in the areas of influence. Similarly, trucks will be surveyed at recognized truck collection points and recognized truck stops. Private vehicle users will be interviewed during the household survey if a household indicates that it has a private car.
4. In-depth Interviews
89. In order to quickly gather additional data and information to supplement the household surveys, groups of people will be invited to attend in-depth group interviews. Participants will include representatives from local government, women’s groups, businesses, transport associations, hospitals and major educational institutions. Any potential baseline data, and issues and impacts will be noted.
5. Focus Group Discussions
90. Following the analysis of the survey data, specific issues may require further assessment. Focus Group Discussions (FGD’s) will be formed of representatives of households that are poor, female headed or include disabled members or ethnic minorities, in order to undertake more detailed discussions. A high level of sensitivity will be used whilst inviting and interviewing these representatives to avoid stigmatization, and encourage free responses. Women will also have separate FGD sessions to allow them to express their own issues.
C. Survey / Census Analysis
91. Entry of survey data will be undertaken by the survey team members or a dedicated data entry team. Data from the surveys will be entered within 48 hours of collection. Analysis will be undertaken by the Project team – particularly the national and international social safeguards specialists utilizing standard spreadsheet and statistical software. The complete database will be maintained for delivery as part of the project so that it can be utilized for ongoing M&E during and after implementation. Income information will be kept confidential by the EA and social safeguards teams.
D. Gender and Indigenous Persons
92. Based on the initial reconnaissance, a Gender Action Plan (GAP) and/or Indigenous People Plan (IPP) will be prepared using the collected data, and following ADB guidelines.
22 IV. CONSULTATION, PARTICIPATION, AND DISCLOSURE
93. This section outlines the mechanisms that will be adopted for conducting meaningful consultation with affected persons and for enabling their informed participation in preparing, implementing, and monitoring the resettlement plan. It will outline institutional responsibilities and describe disclosure arrangements, such as the information to be disseminated and the method of dissemination.
A. Consultation and Participation
94. The Project will promote meaningful public and stakeholders’ participation in consultations and focus groups. It should begin early in the project cycle and continue throughout the LARP preparation. Plans should be in place for it to continue through the LARP update and implementation. The process should provided timely disclosure of relevant information to stakeholders through a project brochure, with follow up through Focus Group Discussions (FGD’s) and face to face meetings to ensure it is fully understood. Meetings should be undertaken at all levels, so that power differentials do not create feelings of coercion and intimidation. Particular attention should be paid to the poorer DP’s in the process so that they are more comfortable with the process and feel included.
95. The key objectives of the consultations are to: (a) identify and help address DP concerns related to the preparation and implementation of the LARP; (b) determine DP preferences for the type and delivery of compensation; (c) minimize DP apprehensions and ensure transparency in LARP activities; and, (d) help avoid unnecessary and costly project development delays.
B. Project Stakeholders
96. The projects will have a number of stakeholders, all of whom will have some involvement in the LARP process and mitigation of impacts. These will be identified early in the RP process and targeted through a series of consultations. They include: x Displaced Persons, businesses and institutions. x Local officials from District and Province Hokimiyat and include cadastral, road, environment, economic and rural committee members. x Land and resettlement Committee members (LARC). x Women’s Groups at district and mahalla level. x Transport representatives – taxi, bus and truck drivers, owners and companies. x Representatives from education and medical centers who will benefit from the improved road. x Commercial representatives – businesses, chambers of commerce.
97. Women and Vulnerable Groups - will be fully included in the consultation and implementation process. They will have representation at meetings at Province, District and mahalla level; women and ethnic minorities will have separate meetings during FGD’s and the census process; and their numerous concerns and ideas will be reflected in the LARP recommendations and the updated GAP.
C. Information and Consultation Mechanisms
98. A number of mechanisms will be used to undertake information dissemination and meaningful public consultation. These include:
99. Public Consultations – These are the formal public information campaigns undertaken in the Province Hokimiyat. They include environmental, social and resettlement presentations. The meeting is widely advertised in the media. Attendance is normally Government agencies, informed and mobile DP’s and concerned citizens. Due to the
23 distance from project sites, many of the poorer DP’s may find it difficult or impossible to attend. An attendance list for all consultations will be recorded.
100. Socio-Economic Survey – The household survey conducted for the Poverty and Socio-economic Assessment (PSA) will include a brief overview of the project and elicit comments on impacts. Each respondent will be provided with contact details for any follow up questions. This will ensure that the basic project concept is made widely known throughout the project affected areas.
101. Project Census – Like the PSA survey, the project census will also use an information exchange with DP’s. A more detailed outline of the project will be provided to DP’s at the beginning of each survey in the form of the Public Information Brochure, and a verbal Q&A with the interviewer.
102. Public Information Brochure – A 10-page, Public Information Brochure will need to be developed outlining details of the project, its locations, potential impacts, agreed entitlements and compensation for DP’s, the project implementation timeline, the grievance redress mechanism and answers to frequently asked questions. It will be updated as part of LARP preparations and distributed to every affected household/business during the DP census. It will be available at the FGD’s for other interested parties. It will be updated as the project progresses, incorporating new questions and more details on the implementation process. The current Public Information brochure is contained in Annex C
103. In-Depth Interviews - are a follow-up from the official public consultations and are targeted at specific groups of stakeholders who may not have attended. They also target stakeholders who may not be aware that they are and should be involved in the project, and who would otherwise not be involved in the formal consultation or census process. They will include trucking/transport association representatives, women’s groups, education and medical institutions, and chambers of commerce. The interviews will mainly assess these groups’ views on the potential project impacts (positive and negative), mitigation measures and suggestions for improvement.
104. Focus Group Discussions – are a follow-up from the DP census, and focused directly at the DP’s – in particular the less powerful and poorer DP’s who may not have the resources to attend the official public consultations due to distance, time and cost. The FGD format will include a detailed presentation of the LARP process, separate discussions with women (using a female interviewer and female translator), confirmation of census figures and entitlements, and a detailed Q&A session. The sessions are normally conducted in the local community (to reduce distance travelled) and where possible, without outside influence (from Hokimiyat, rural committee members or nearby farmer/landlords) so as to reduce any feelings of intimidation or coercion.
D. Further Information Disclosure
105. Further information disclosure will occur once approval of the LARP has been obtained by the RRF and the ADB.
106. The updated Project Information Booklet and summary LARP (translated into Uzbek) will be distributed to each DP to provide additional information on the implementation arrangement, payment schedule, and assistance provided to specific groups and complaints resolution options.
107. The full LARP (translated to Uzbek) will be distributed to each Mahalla for display and reference by all DP’s. An index sheets outlining each DP, their GPS coordinates, maps, assets and entitlements will also be on available for review. All DP’s will be informed of this, so that they understand that they will be able to provide comments or grievances through the normal channels.
24 108. The full LARP (translated to Uzbek and English) will be disclosed on the RRF PMU and ADB website.
109. In conjunction with the detailed engineering design, and following Loan negotiations, the Safeguards Team will update and finalize the LARP. They will need to undertake a final visit to the field to ascertain correct alignments and corridor widths, and confirm the details of the LARP – including asset impacts, entitlements and grievances. Details of the updated implementation timeline, procedures and activities; entitlement matrix; and, grievance procedures will be provided at that time to each DP. The updated LARP (in English) will be disclosed on the RRF and ADB website, and prior to any resettlement activities.
110. Women and Vulnerable DP’s - During LARP implementation, the PMU will assign a staff to: x Inform in advance the DPs, including women-headed households and vulnerable groups, to begin moving at least 180 days prior to demolition of their structures; x Ensure that all resettlement payments are made prior to the announcement x That all resettlement procedures have been undertaken prior to construction commencing; x Persuade housewives to be with their husband when receiving payment for compensation and assistance from the Hokimiyat; x Involve women of affected households and vulnerable groups in the locality in addressing the unanticipated social and environmental impacts during Project implementation through the GAP. x With the consent of the DPs, ensure that the names of both spouses will be reflected in the re-registration of the transferred land leases.
25 V. COMPENSATION, INCOME RESTORATION, AND RELOCATION
111. This section describes the measures proposed for income restoration, including compensation and special measures to help vulnerable households improve their living standards. It explains measures to provide replacement land, if planned; and describes support to be provided for host populations.
A. Special Assistance to Vulnerable Groups
112. This section briefly describes programs for restoring and enhancing income of vulnerable groups, particularly women and the disabled.
113. Severe Impact Allowance – For farmers and houses with crops/gardens, a severe impact allowance will be paid if more than10% of their land is acquired. This will be equal to 1 year’s crop value (from crop, fruit or construction tree) whether or not the standing crop has been harvested and paid.
114. Livelihood Allowance - For those DP’s who are vulnerable – female-headed, poor, or face significant hardship due to elderly or disabled family members – an allowance of three times UZB official minimum wage will be paid. This equates to 135,645 Sum per household member. Poor has been defined for this project as an income of less than 3,440 per person per day based on World Bank poverty studies in Uzbekistan.
115. These DP’s will also receive priority consideration for employment in project-related jobs, training opportunities, self-employment and wage employment assistance
116. Relocation Allowance – All DP’s who will have to move from their house will receive a relocation allowance based on where the DP is moving, to allow self-relocation. Compensation payable is based on the amount assessed by an independent valuer paid for by the relevant authority, and at no cost to the DP. This will be assessed following detailed land re-allocation planning. If costs exceed valuation, then the DP can claim further assistance through the grievance procedure.
117. Salary Support during relocation – All DP’s who are house owners or tenants who are employed and facing relocation, will receive up to 3 months’ salary (based on wage receipts or agreements) to allow time off for work to relocate when impacts are severe. This will be based on documents from employer or wage receipts and based on the time assessed by the independent valuer. If lost income exceeds valuation, then the DP can claim further assistance through the grievance procedure
118. Maintenance of Social Capital - The LARC will relocate all DP’s within the immediate area so as to maintain kinship groups and other forms of social capital.
B. Opportunities to derive development benefits
119. The LARP will outline a subcomponent to minimize road externalities on gender and the local community and target them as beneficiaries of the road development. Consulting services under this subcomponent will support capacity development for the Road Fund and the local communities living along the Investment Program road. Activities may include, but not be limited to:
120. Priority Work Placement – All DP’s and project stakeholders, such as herders will receive priority entitlement to work in construction crews and for rehabilitation efforts (such as tree replanting). These standards will be incorporated in construction contracts and details included in progress reports. Construction contracts will ensure that there is at least 30%
26 representation of women in manual labor jobs, and that adequate programs are in place to train women in specialised machinery and supervisory roles.
121. Tree Planting – the support of tree planting groups by DP’s to replant lost trees along corridors, fence lines and canals. Funding would assist with seedling preparation, planting and maintenance.
122. Community Road side facilities – Small scale support funding for women’s groups to build and maintain (through charges) roadside toilet, water facilities. Areas could also include shaded areas suitable for market stalls to sell produce; a combined canteen/magazine/public toilet/shower/Paynet shop.
123. Small scale vocational training – particularly for women and the poor – activities would include sewing workshop, hair-cutting, auto-mechanic and a tree nursery.
124. Dedicated community meeting building and shaded area to be constructed.
C. Relocation
125. The District LARC is responsible for assessing options for relocation of land plots, structures and farmland. The “jigsaw” can be complex, particularly as most of the land adjoins desert areas that take a long time to return to agriculture.
126. Early assistance to the LARC must be provided by the Project to ensure that land is identified and prepared. Alternatives that can be considered include utilizing unused alienated land from some plots to supplement land of adjacent plots, so that they return to full capacity. Farmers may also be able to relinquish some adjacent land to the state so that it could be used to house nearby displaced households.
127. The over-riding principle of the process is that DP’s will remain in very near locality to their current land, so that they retain their systems of social capital.
128. Farmers and households should be actively involved in the planning and consideration of alternatives to the District LARC (DLARC). This can be facilitated through the extensive public consultation process. In particular, the focus group discussions with communities should encourage the idea of proactively developing potential alternatives for relocation.
129. The final LARP should ensure the following are in place prior to reallocation starting:
130. Final Alignment - After receiving the final project corridors the process for replacement land’s selection and identification can be started. The district’s land acquisition and resettlement committee (LARC) with technical guidance from the Engineering and Safeguard Team of PMU will select and identify the replacement lands with equal value/ productivity in a nearby location and with comparable associated facilities/ services. The selection and identification process is subject to evaluation by the independent external monitoring agency (EMA) if applicable.
131. Safeguard Team establishment - The PMU ensures the safeguard team is appointed and staffed with adequate background, skill and experience to ensure the quality of preparation and implementation of LARP documents.
132. DP registration - Formalization of DP’s identification need be given to each displaced household. This can be in form of special cards or a letter issued by the responsible agencies (District LARC and Road Fund).
27 133. External Monitoring Agency - The EA is responsible for the selection of an independent monitoring agency (EMA) if applicable. The EMA must be selected from among qualified organizations / persons in Uzbekistan.
134. Cadastral Specialist – A cadastral specialist may be required to work with and provide support to district cadastral offices. It is suggested that the proposed specialist work closely with the PMU safeguard team, the DLARC and the appointed EMA. This specialist would assist the district LARC with a more timely completion of the task.
135. The Land Reallocation should include the following process:
x Identification of all physically and economically displaced households, their leased land and connected services. Also identification of lands that are used but remain unleased. x Draft outline of the process to combine all the land a DP uses (leased and unleased) into one “lease”, so that they are eligible for “land for land” compensation. x Preliminary identification of appropriate land parcels for “land for land” reallocation prior to discussions with DP’s. x Conduct of discussions with all DP’s (farmers, households and businesses) regarding alternatives for where they may be moved. Note that this must only be undertaken with the supervision of the EMA. x Preparation of a draft “land re-allocation plan” outlining proposed new land parcels for each DP; any voluntary land contributions from farmers; land preparation requirements (cost and locations of water, gas, roads etc); associated maps and, a draft agreement for each DP (containing lease number, total land size, new location and services/facilities to be provided) signed by the LARC, DP and EMA (if required). Note that this plan should be fully implemented, subject only to final detailed design of the project.
28 VI. GRIEVANCE REDRESS MECHANISMS
136. This section describes mechanisms to receive and facilitate the resolution of affected persons’ concerns and grievances.
A. General Principles
137. ADB requires that a grievance redress mechanism is established and maintained. It should be designed to efficiently receive and facilitate the resolution of affected peoples’ concerns and grievances about project levels social and environmental issues. 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.
138. The grievance redress process should be widely disseminated to all DP’s during project consultations, FGDs and the LARP census. It will be contained in the Information Brochure handed to each affected household / business during the census.
B. Grievance Coordination
139. A Grievance Focal Point (GFP) will be established at each District to coordinate and address all complaints and concerns arising from the project. The contact details will be provided to all DP’s.
140. The GFP will be assisted and supported by members of the Provincial Land and Resettlement Committee (PLARC) who will maintain a register of complaints, keep track of their status and report to the Director of RFF PIU. They will track complaints received, actions taken and the status of resolution. Complaint forms will be distributed to the heads of local Mahalla’s and the District GFP to facilitate recording of complaints.
C. Grievance Procedures
141. Displaced persons should be informed that they should ask any questions or discuss grievances with their community head or the District GFP by phone or in person; or to project staff visiting the area.
142. If these questions/grievances are not answered within 1 week, DP should submit its grievance in writing (using the assistance of the local community leader or school if necessary). DP’s should also be told that national and international project staff will also assist them with writing a grievance if necessary.
143. Written complaints can be faxed, sent or delivered to the Grievance Focal Points where they will be registered as being received. The District GFP will have 15 days to deliver a resolution to the DP4.
144. In the event that a satisfactory answer cannot be provided, the DP may lodge the complaint with the Land Acquisition and Resettlement Committee (LARC) of the Provincial Hokimiyat and should receive a reply within 15 days.
145. Affected Persons will have the right to take the dispute to the District court of law if they do not accept the Provincial Hokimiyat’s decision. All court costs (preparation and representation) will be paid for by the project – no matter the outcome.
4 Law of the Republic of Uzbekistan on Citizen Right 13.12.2002 N 446-II 29 146. Table 2 outlines a summary of the grievance resolution process.
Table 2: Grievance Resolution Process Stages in Response Handling Required Activities Verbally responds to questions and or complaints.
If no response within 1 week, or response is unsatisfactory, DP Mahalla Head or District GFD prepares a grievance in writing (utilise standard forms where possible).
Registers the written complaint and attempts to solve it. If complaint is not resolved in 15 days, it is passed by the GFD to the Province District GFD LARC for resolution.
Registers the written complaint and attempts to resolve it with the DP Regional Land and within 15 days. Resettlement Committee (LARC) If a solution is not reached, the LARC refers it to the RRF PIU
Assists in the activities of the GFD and LARC in the resolution of complaints.
Makes a decision within 15 days.
In the event that the District and Province are not able to resolve the Regional Road Fund PIU dispute within the elapsed time, the RRF PIU will have a further 2 weeks to resolve the issue.
If the decision is still unacceptable to the DP, they may take it before the District Court, or to other institutions to follow the Uzbekistan Law on Citizen Right, and or to ADB.
The District court hears the case and makes a final decision that is District Court of Law binding on all parties.
30 VII. INSTITUTIONAL ARRANGEMENTS AND IMPLEMENTATION
147. This section provides a comprehensive assessment of institutional capacity and resource capability for preparing, implementing, and monitoring resettlement activities, and describes additional measures necessary to enhance institutional capacity. It describes the organizational procedures for delivering entitlements; and describes the implementation process, including how resettlement preparation, approval, and implementation will be linked to contract awards and the start of the project’s civil works.
The main institutions that will be involved in LAR activities are Republican Road Fund/ Road Fund as executing agency (EA), Safeguard Team, Design Institute (DI), Project Consultants (PC), Provincial (Province) and District (District ) and municipal towns authorities, Goskomzemgeocadastre (State Committee on Land Resources, Geodesy, Cartography and State Cadastre (SCLRGCSC) at district level.
A. Institutional Arrangement
1. Republican Road Fund (Road Fund) – PMU
148. The Road Fund will have overall responsibility for all aspects of the program. The Program Management Unit (PMU) within Road Fund will be responsible for the day to day management of the Program including cross-agency coordination, and via the Safeguard Team (ST) for LARP implementation and monitoring the compensation and disbursement.
149. The Safeguard Team (ST) under PMU will be directly involved in all LAR related planning, implementation, inter-agency coordination, monitoring and reporting. They will receive supports from the Project Appraisal Consultants (PAC) of the Program and benefit from inputs from the Design Institute (DI), district/municipal executive powers and SCLRGCSC as appropriate. The Safeguard Team in collaboration with the DI will review the LARPs.
150. If required, an NGO or impact assessment or valuation teams will be hired for on-site impact surveys or monitoring assistance.
2. Design Institute (DI)
151. The Design Institute will be in charge of elaborating the design and construction documents for the project. It will collaborate and work closely with the PMU/ Safeguard Team and PAC to: (i) look for measures and alternatives to avoid and minimize land acquisition and resettlement impacts; (ii) assemble all documents required for compensation; (iii) carry out topographic surveys of the expropriated land and replacement lands; (iv) elaborate layouts indicating the location of the worksites and the permanent infrastructures and the perimeter of the required surfaces differentiating the land use patterns in the areas being occupied to serve as a base for the selection of compensation land; (v) Conduct land marking and pegging of the land assigned for temporary use and permanent occupation of acquired land.
3. Regional and District State Committee on Land Resources, Geodesy, Cartography and State Cadastre
152. This is a permanent committee at Provincial and District level. However it plays an enhanced role throughout implementation. It is responsible for: i) identifying land losses incurred by land owners and land users plus agricultural output losses;
31 ii) determining the degree and area of land restitution, including removal and temporary storage of productive soil layer; iii) determining the need for protective sanitary and water protection zones around constructions; iv) preparing proposals on allocation of land plots of equal value under land for land; v) investigating alternatives to acquiring currently used land through developing unused land; vi) approving the Implementation Act and the attached plan; vii) Amending government edicts on land use and land ownership as well as other cadastre documents.
4. Province/District Governments
153. Local government agencies involved in the LARP review and implementation are Province (Province) and District (District) Executive Authorities who will form the Province Commission on Land Acquisition and District Evaluation Commissions. These will form a provincial land acquisition and resettlement committee (PLARC) which will undertake the following: (i) outline locations of constructions and structures affected by the project; (ii) select land for construction sites; (iii) prepare and approve legislation for the right (lease) to use land plots and; (iv) approves the Act for the right to use the land plot.
154. In addition to permanent members, the Commission may include representatives of Road Fund, as well as affected legal entities and individuals.
155. The PLARC will also estimate losses of land owners and land users in accordance with ADB specifications in addition to losses resulting from land acquisition based on data provided by the Design institute. The Commission will prepare Acts for the right to specific plots of land specifying the acquired land area and losses and allowances as determined under the LARF entitlement matrix.
156. It is proposed that Land Acquisition and Valuation Committee as part of the PLARC composed of the following members:
(i) Road Fund PMU (ii) Provincial/District Department of Uzavtoyul (state joint stock company) (iii) Provincial/District Department f SCLRGCSC (iv) Provincial/District Department of Agriculture and Water Resources (v) Provincial/District of Environmental Protection (vi) Organizations to which the alienated land has been transferred for use (Road Fund as EA, PMU/ST and DI). (vii) Makhalas leaders, NGO, Dehkan Association (as relevant) (viii) Representatives of the affected people
157. All affected legal parties and individual persons (or their legal representatives) will have representation on the committee. Besides state organizations and structures, NGO’s, Farmer’s and Dehkan Associations (FDEA) and Mahalla authorities will be involved in resettlement activities to ensure the legal rights and interests of land users who are subject to land acquisition and resettlement.
158. Some members of the PLARC will form a Grievance Redress Committees (GRC) and will be established at provincial and district level. It comprises members of the PMU/ ST, leaders of affected Mahallas and local government/ Hokimiyat.
32 Figure XX: Project Implementation Diagram Asian Republican Road Development Fund as Executing Bank Agency
Program Management Unit (PMU) Safeguard Team (ST) (Oversees LAR planning, implementation, and monitoring)
Reporting Supervision Information Exchange Consultants Monitoring
Design Road Construction Contractors Institute
External Monitoring Agency District SCLRGCSC (including Land Acquisition and Valuation Regional/District Committee and Land Grievance Redress Acquisition and Committeee Resettlement Committee)
33 B. Implementation Activities
159. This section includes a detailed, time bound, implementation schedule for all key resettlement and rehabilitation activities synchronized with the project schedule of civil works construction.
1. Pre-Resettlement Activities
160. The PMU will undertake a brief verification of the LARP based on the alignment finalized by the detailed design. Any modifications to the LARP will be made, and verified with the PMU and the ADB prior to any LAR activities commencing.
161. The revised LARP will have to include the full details of all land and resettlement arrangements, including verification of asset viability by the DP’s. It is expected that this can take place prior to loan approval by ADB.
162. The Design Institute in charge of elaborating the design and construction documents for the road construction subproject will assist the PMU to: (i) assemble all required documents; (ii) carry out topographic surveys of the expropriated and compensation lands; (iii) elaborate layouts indicating the location of the worksites and the permanent infrastructures and the perimeter of the required surfaces; (iv) establish layouts of the lands proposed as option for compensation; (v) Conduct the land marking and the pegging of the lands assigned for temporary use and permanent occupation and of the compensation lands.
2. Resettlement Implementation Phase
163. The DP’s will sign a document signifying their satisfaction on the compliance of LARP on the agreement. The PMU Social/Resettlement Specialist will guide the RRF in preparing a pro-forma document to be used for the settlement of obligation in the purchase of affected land and/or materials for all structures.
164. Disbursement of cash will follow the approval of budgets for cash compensation. The LARP Team will inform the DPs of the schedule of fund release. They will also advise the DPs to produce acceptable legal documents pertaining to their identification for claiming the compensation. It is the main responsibility of RRF to ensure that all the compensations and entitlements have been paid to and settled with DPs prior to their resettlement.
165. All resettlement activities will be completed prior to clearing the construction sites. The RRF will initiate the following steps in releasing the cash compensation and entitlements to DPs: x The Resettlement Team will advise the DPs of the fund release schedules. x The Resettlement Team shall then advise the DPs to produce the necessary legal documents for their identification in claiming the compensation and entitlements due to them. x The Resettlement Team will arrange for receipt of the resettlement compensation from the Ministry of Finance and disburse it directly to DPs on presentation of identification. x The Resettlement Team will arrange for district Hokimiyat to issue new lease directly to DPs on presentation of identification. x The Resettlement Team will require the DPs to sign a document indicating the receipt of their compensation and entitlements. x The DP’s will then begin their process of rebuilding and relocation. x The Resettlement Team will require the DPs to sign a document indicating completion of their LAR activities, indicating that they have no further claims. x This will be summarized by the RRF and forwarded to ADB as part of no-
34 objections for commencement of construction. 166. As a condition to approve the civil works contract award both the LARP in English and in Russian and the information booklet will be updated, re-approved by ADB and re- disclosed to the affected communities.
3. Post Resettlement Implementation Phase
167. The compliance record based on monitoring the implementation of resettlement plan should be prepared by an external monitoring party assigned by RRF or if the compliance record prepared by the Safeguard Team, it should be done in close coordination with ADB. This compliance record should be submitted to ADB, because this record will be the basis for RRF to request ADB for “no objection” for the mobilization of construction contractors. The details of Monitoring and Evaluation are discussed in Section IX. ADB will also conduct a review mission to ensure that there are no adverse involuntary resettlement effects.
35 VIII. BUDGET AND FINANCING
168. This section provides identifies funding sources and responsibilities for allocating, approving, and delivering funds, including contingency arrangements.
169. In order to ensure that sufficient funds are available for implementing LAR, the Road Fund will have to allocate 100% of the cost of compensation at replacement cost and expected allowances estimated in each LARP plus contingencies before LARP implementation. As the EA, Road Fund will be responsible for timely allocating the funds to implement the LARPs.
170. The EA will be responsible for including LAR funds for project activities in each fiscal years government budget. The budget for LARPs will be disbursed by RRF via the Province LAR committee to the District LAR Committee which will in turn distribute the compensation to DPs.
171. The EA will be responsible to allocate adequate budget for the Safeguard Team to conduct their tasks and responsibilities during the Program's activities.
36 IX. MONITORING AND REPORTING
172. This section describes the mechanisms and benchmarks appropriate to the project for monitoring and evaluating the implementation of the resettlement plan. It specifies arrangements for participation of affected persons in the monitoring process. This section will also describe reporting procedures.
A. Objectives
173. The primary objective of monitoring is to identify as early as possible the activities achieved and the cause(s) of constraints so that the arrangements in the LARP implementation can be adjusted. Monitoring is important because LARP implementation is often the critical path for any project where civil works is involved, due to issues on land acquisition, compensation and resettlement that may cause delay in civil works. The early identification of the causes of delay will enable the RRF (with support from the supervision consultants), to prepare the mitigating measures during LARP implementation.
174. LARP implementation will be monitored internally and externally. Internal monitoring (IM) will be carried out by both the Safeguards Team of the PMU and the Supervision Consultant (SC), in conjunction with the District Hokimiyat. External monitoring (EM) will be assigned to an Independent Monitoring Agency (IMA) hired by the RRF and approved by ADB from among local consultants or NGOs. The IMA will be mobilized prior to LARP implementation.
B. Internal Monitoring
175. All activities in LARP are time bounded. Internal monitoring (IM) will be carried out by the PMU Safeguards Team with the assistance of the supervision consultant safeguard team and the LARC in the District Hokimiyat. Process indicators will relate to implementation outputs and deliverables. These will be collected directly from the field, and will be reported monthly to the PMU to assess the LARP implementation progress and adjust the work plan if necessary. These reports will be quarterly consolidated in the supervision reports for ADB.
176. Specific IM benchmarks will be: (i) Information campaign and consultation with DPs; (ii) Status of land acquisition and payments on land compensation; (iii) Compensation for affected structures and other assets; (iv) Relocation of DPs; (v) Payments for loss of income; (vi) Selection and distribution of replacement land areas; (vii) Income restoration activities; and (viii) Ensure the gender mitigation measures are adhered to during the internal monitoring and reporting process.
177. The above information will be collected by the Project Supervision consultants who will monitor the day-to-day resettlement activities of the project through the following instruments:
(i) review of census information for all DPs (ii) consultation and informal interviews with DPs (iii) key informant interviews; and (iv) Public community meetings.
178. Upon the completion of civil works, the PMU will prepare a post-LARP implementation evaluation report that will assess both the permanent and temporary land
37 acquisition activities and impacts of the Project focusing on the restoration of impacted lands and conditions of DPs especially those who were identified as vulnerable.
179. In addition, the PMU will update the RF and particularly the Uzbekistan/ADB safeguards policy matrix, with a view to aligning Uzbekistan’s CSS and reducing LARP reporting requirements.
C. External Monitoring (EM)
155. To ensure that negotiated settlements in the Project comply with ADB SPS 2009 requirements, the PMU will hire an external monitor to document the negotiation and settlement processes. The EM will observe the consultations conducted with DPs and the compensation payments negotiations. The EM will verify if the consultations are conducted in a free and transparent manner and that the compensation provided is based on replacement costs of land and other assets affected. They will submit a report on the observations and the evaluation. The EM will come from an independent organization, such as an academic or research institute, a nongovernment organization or consulting firm with experience in resettlement monitoring and evaluation.
180. External monitoring (EM) will be carried out on an ongoing basis, and its results communicated to the PMU and ADB by quarterly reports. Indicators for EM tasks include:
(i) Review and verify internal monitoring reports prepared by PMU, (ii) Review of the socio-economic and census and inventory of losses baseline information of pre-displaced persons; (iii) Identification and selection of impact indicators; (iv) Impact assessment through formal and informal surveys with the affected persons; (v) Consult DPs, officials, community leaders for preparing review report; (vi) Assess the resettlement efficiency, effectiveness, impact and sustainability, drawing lessons for future resettlement policy formulation and planning; (vii) Ensure the gender mitigation measures are implemented.
181. The EMA will also assess the situation of affected vulnerable groups such as female- headed households, disabled/elderly, the landless and families below the poverty line. The following will be considered as the basic indicators in monitoring and evaluating the project:
(i) Socio-economic conditions of DPs in the post-resettlement period; (ii) Communications and reactions from DPs on entitlements, compensation, options, alternative developments and relocation timetables etc. (iii) Changes in housing and income levels; (iv) Rehabilitation of squatters, severely affected people, and different vulnerable groups; (v) Valuation of property; (vi) Ability to replace lost assets; (vii) Disbursement of compensation and other entitlements; (viii) Level of satisfaction of DPs in the post resettlement period; (ix) Quality and frequency of consultation and disclosure; and (x) Conduct of grievance procedures.
182. Internal and external monitoring and reporting will continue until all LAR activities have been completed. External monitoring reports will be disclosed on the Project/ADB website.
38 ANNEX A
Detailed Comparison of Uzbekistan and ADB Policy Pertaining to Land Acquisition and Resettlement
ADB Resettlement Policy Uzbekistan Law Remarks/Resolution
DP’s are involved in discussions with Oblast and Government This LARP provides for meaningful DP’s should be involved in officials but the Laws do not consultation and extensive information meaningful consultations exactly required a meaningful dissemination. public consultation
Since the Land is owned by state, Preference will be given to land- Land code does not recognize based compensation strategies for individual ownership of No different/conform displaced persons whose land,therefore the practice is land livelihoods are land-based. to land compensation.
Land users without lease will receive Lack of title should not be a bar to either rehabilitation assistance equal compensation or rehabilitation. People apply for registration for a to the land improvements they have secured tenure to relocation land. particular land use. undertaken after they register it accordingly at Project cost; or, Untitled land owners are eligible for Untitled land use is ineligible for compensation for improvements to compensation A lease for equivalent land similar to the land, at full replacement cost. that that was without lease.
All buildings compensated at current All houses/buildings are replacement cost (not market value). All houses/buildings/shops which compensated for damage or are registered under Land Code demolition caused by a project Unregistered buildings will be are valued at the respective irrespective of the status of formal registered by the relevant authority at regional / district level. title. no cost to the DP, prior to compensation as long as the building Unregistered buildings are not had been built prior to the cut off date liable for compensation
Prompt replacement of assets with All buildings are compensated at better housing at resettlement sites Buildings are compensated at current replacement cost (not market with comparable access to replacement value. value). employment and production opportunities. 100% of payments to be made prior to resettlement. Pay compensation and provide other resettlement entitlements Payments are not made during Resettlement to be completed prior to before physical or economic construction construction beginning on those displacement. sections.
All land without lease will be registered at no cost to allow Crop losses compensation to be Construction waits for harvest. If compensation to be paid. provided to landowners and unable to wait then crops are sharecroppers/lease tenants compensated. No compensation Leased and non-leased land used by whether registered or not. unless titled land owners at cut-off date will receive full compensation for all losses of trees and standing crops.
39 ADB Resettlement Policy Uzbekistan Law Remarks/Resolution
A commission will assess value of All losses are at replacement cost – in DPs should be compensated for all agricultural land; loss of crop/tree the case of crops, trees, it will be their losses at replacement cost. . income; and market value for based on prevailing market rates. lands appropriated
In compliance. All LAR activities, compensation, finalization of DPs should be timely Compensation will occur prior to relocation, construction of compensated. construction of works replacement assets will occur prior to construction.
The DPs should be compensated and/or assisted, so that their RU law has social policies for all ADB Policy is followed using livelihood economic or social future is citizens. No specific policy allowances and income/social generally as favorable as it would directed at DP’s restoration activities have been without the Project.
Pay particular attention to vulnerable groups especially those The LARP and GAP will include below the poverty line, the landless, All DP’s are treated equally under schemes and benefits targeted at the elderly, women and children, Uzbek Law vulnerable groups. and Indigenous Peoples, and those without legal title to land
Establish a grievance redress Resettlement has a standard mechanism to receive and facilitate mechanism to address Conforms. resolution of the affected persons’ grievances. concerns.
Support the social and cultural The LARP will ensure that kinship institutions of displaced persons Social and cultural institutions are groups, social facilities and cultural and their host population. provided for under RU planning institutions are maintained throughout Provide civic infrastructure and LARP implementation. community services, as required.
Provide DP’s with transitional support and development The proactive policy of the ADB will be assistance, such as land No specific policy. Covered under followed where possible with activities development, credit facilities, RU social policies contained in the GAP. training, or employment opportunities.
Improve the standards of living of RU policy relates to compensation . ADB policy is to ensure that all DP’s the displaced poor and other only. Living standard improvement are brought up to minimum standards vulnerable groups, including applies to all citizens. DP’s are not through the project. This relates to women, to at least national specifically targeted land, housing and livelihood. minimum standards.
40 ADB Resettlement Policy Uzbekistan Law Remarks/Resolution
conforms. Develop procedures in a transparent, consistent, and Monitoring will ensure that these equitable manner. Uzbekistan policy ensures that all policies are followed. negotiations are conducted in an Ensure coercion or power equitable and transparent manner An External Monitor is required for differentials do not adversely projects with significant impacts (>200 impact DP’s negotiations or people losing primary residence or grievances more than 10% of productive assets).
Retain qualified and experienced If project has significant impacts (>200 external experts or qualified NGOs people displaced), external monitoring to verify monitoring information for All monitoring to be undertaken by will be incorporated to verify LARP projects with significant impacts PMU safeguards team as well as progress. and risks. by safeguard team in the Construction Supervision PMU Safeguards Team will provide Implement the resettlement plan Consultants close supervision of LARP throughout under close supervision throughout implementation. project implementation.
If a project has significant adverse impacts (>200 persons permanently resettled) a detailed management Normal involuntary resettlement A full LARP with detailed management plan to restore the livelihood of processes apply. No difference plans will be developed if project affected persons to at least pre- with significant adverse impacts impacts are severe. project level or better will be prepared
If the approved project is based on FS, the borrower/client will prepare LARP will be updated upon final No updated LARP is normally a supplementary resettlement plan, design and incorporation of final field required. No additional plans are or a revised resettlement plan, review and submitted to ADB prior to required and will submit it to ADB for review resettlement occurring. before any contracts are awarded.
Project implementation in areas where there is resettlement will not Physical construction cannot take Conforms. proceed until detailed planning place prior to full LAR being documents are formulated, completed disclosed and approved, and fully implemented.
Monitor and assess resettlement outcomes, their impacts on the No monitoring of livelihoods of DP LARP includes a detailed monitoring standards of living of displaced is undertaken plan persons.
ADB Policy is followed. DP’s will not be subject to any fees Untitled/unregistered owners (registration, title) or transfer costs receive no compensation or are Any DP’s charged fees for their due to the project or LAR activities charged fees to register land prior registration of their illegal building as to IR long as the building constructed before the cut off date will be reimbursed
41 ADB Resettlement Policy Uzbekistan Law Remarks/Resolution
Law indicates that Rayon LARC Rayon LARC will determine valuation DP’s will not be subject to any fees responsible for setting unit costs based on unit costs. (valuation) for their property due to and valuations at their own cost. the project or LAR activities If DP’s disagree with valuation, the If DP does not agree, DP to pay relevant authority will pay for an for an independent valuation. independent valuation.
42 ANNEX B
OUTLINE OF A RESETTLEMENT PLAN
I. EXECUTIVE SUMMARY This section provides a concise statement of project scope, key survey findings, entitlements and recommended actions. x Project Scope x Key Survey Findings x Entitlements x Recommended Actions
II. PROJECT DESCRIPTION This section provides a general description of the project, discusses project components that result in land acquisition, involuntary resettlement, or both and identify the project area. It also describes the alternatives considered to avoid or minimize resettlement. Include a table with quantified data and provide a rationale for the final decision. x General Description x Project Components x Project Area x Alternatives Considered
III. SCOPE OF LAND ACQUISITION AND RESETTLEMENT Discusses the project’s potential impacts, and includes maps of the areas or zone of impact of project components or activities; describes the scope of land acquisition (provide maps) and explains why it is necessary for the main investment project; summarizes the key effects in terms of assets acquired and displaced persons; and provides details of any common property resources that will be acquired.
IV. SOCIOECONOMIC INFORMATION AND PROFILE This section outlines the results of the social impact assessment, the census survey, and other studies, with information and/or data disaggregated by gender, vulnerability, and other social groupings, including: define, identify, and enumerate the people and communities to be affected; describe the likely impacts of land and asset acquisition on the people and communities affected taking social, cultural, and economic parameters into account; discuss the project’s impacts on the poor, indigenous and/or ethnic minorities, and other vulnerable groups; and identify gender and resettlement impacts, and the socioeconomic situation, impacts, needs, and priorities of women.
V. INFORMATION DISCLOSURE, CONSULTATION, AND PARTICIPATION This section: identifies project stakeholders, especially primary stakeholders; describes the consultation and participation mechanisms to be used during the different stages of the project cycle; describes the activities undertaken to disseminate project and resettlement information during project design and preparation for engaging stakeholders; summarizes the results of consultations with affected persons (including host communities), and discusses how concerns raised and recommendations made were addressed in the resettlement plan; confirms disclosure of the draft resettlement plan to affected persons and includes arrangements to disclose any subsequent plans; and describes the planned information disclosure measures (including the type of information to be disseminated and the method of dissemination) and the process for consultation with affected persons during project implementation.
43 VI. GRIEVANCE REDRESS MECHANISMS This section describes mechanisms to receive and facilitate the resolution of affected persons’ concerns and grievances. It explains how the procedures are accessible to affected persons and gender sensitive.
VII. LEGAL FRAMEWORK This section: x describes national and local laws and regulations that apply to the project and identify gaps between local laws and ADB's policy requirements; and discuss how any gaps will be addressed. x describes the legal and policy commitments from the executing agency for all types of displaced persons; x outlines the principles and methodologies used for determining valuations and compensation rates at replacement cost for assets, incomes, and livelihoods; and set out the compensation and assistance eligibility criteria and how and when compensation and assistance will be provided. x describes the land acquisition process and prepare a schedule for meeting key procedural requirements.
VIII. ENTITLEMENTS, ASSISTANCE AND BENEFITS This section: x defines displaced persons’ entitlements and eligibility, and describes all resettlement assistance measures (includes an entitlement matrix); x specifies all assistance to vulnerable groups, including women, and other special groups; and. x outlines opportunities for affected persons to derive appropriate development benefits from the project.
IX. RELOCATION OF HOUSING AND SETTLEMENTS This section: x describes options for relocating housing and other structures, including replacement housing, replacement cash compensation, and/or self-selection (ensure that gender concerns and support to vulnerable groups are identified); x describes alternative relocation sites considered; community consultations conducted; and justification for selected sites, including details about location, environmental assessment of sites, and development needs; x provides timetables for site preparation and transfer; x describes the legal arrangements to regularize tenure and transfer leases to resettled persons; x outlines measures to assist displaced persons with their transfer and establishment at new sites; x describes plans to provide civic infrastructure; and x explains how integration with host populations will be carried out.
X. INCOME RESTORATION AND REHABILITATION This section: x identifies livelihood risks and prepare disaggregated tables based on demographic data and livelihood sources; x describes income restoration programs, including multiple options for restoring all types of livelihoods (examples include project benefit sharing, revenue sharing arrangements, joint stock for equity contributions such as land, discuss sustainability and safety nets); o outlines measures to provide social safety net through social insurance and/or project special funds; x describes special measures to support vulnerable groups; x explains gender considerations; and
44 x describes training programs.
XI. RESETTLEMENT BUDGET AND FINANCING PLAN This section: x provides an itemized budget for all resettlement activities, including for the resettlement unit, staff training, monitoring and evaluation, and preparation of resettlement plans during loan implementation. x describes the flow of funds (the annual resettlement budget should show the budget- scheduled expenditure for key items). x includes a justification for all assumptions made in calculating compensation rates and other cost estimates (taking into account both physical and cost contingencies), plus replacement costs. x includes information about the source of funding for the resettlement plan budget.
XII. INSTITUTIONAL ARRANGEMENTS This section: x describes institutional arrangement responsibilities and mechanisms for carrying out the measures of the resettlement plan; x includes institutional capacity building program, including technical assistance, if required; x describes role of NGOs, if involved, and organizations of affected persons in resettlement planning and management; and x describes how women’s groups will be involved in resettlement planning and management,
XIII. IMPLEMENTATION SCHEDULE This section includes a detailed, time bound, implementation schedule for all key resettlement and rehabilitation activities. The implementation schedule should cover all aspects of resettlement activities synchronized with the project schedule of civil works construction, and provide land acquisition process and timeline.
XIV. MONITORING AND REPORTING This section describes the mechanisms and benchmarks appropriate to the project for monitoring and evaluating the implementation of the resettlement plan. It specifies arrangements for participation of affected persons in the monitoring process. This section will also describe reporting procedures.
45
Ethnic Minority Planning Document
Ethnic Minority Planning Framework Document Stage: Final Report July 2011
UZB: CAREC Corridor 2 Road Investment Program II
Prepared by the Road Fund under the Ministry of Finance of the Republic of Uzbekistan for the Asian Development Bank (ADB).
The ethnic minority planning framework is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.
ABBREVIATIONS
ADB Asian Development Bank APs Affected Persons AEM Affected Ethnic Minority CoM Cabinet of Ministers DI Design Institute EA Executing Agency EMA External Monitoring Agency EMDP Ethnic Minority Development Plan EMPF Ethnic Minority Planning Framework GRC Grievance Redress Committee IMA Internal Monitoring Agency IPSA Initial Poverty and Social Analysis IP Indigenous People LARP Land Acquisition and Resettlement Plan MFF Multi Financing Facility NGO Non-government Organization PIP Project information Pamphlet PFR Periodic Financing Request PLARC Provincial Land Acquisition and Resettlement Committee PMU Project Management Unit PSC Project Supervision Consultant RRF Republican Road Fund under Ministry of Finance of Uzbekistan (Road Fund) RU Republic of Uzbekistan SIA Social Impact Assessment SPS Safeguard Policy Statement ST Safeguard Team
ABBREVIATIONS
ADB Asian Development Bank APs Affected Persons AEM Affected Ethnic Minority CoM Cabinet of Ministers DI Design Institute EA Executing Agency EMA External Monitoring Agency EMDP Ethnic Minority Development Plan EMPF Ethnic Minority Planning Framework GRC Grievance Redress Committee IMA Internal Monitoring Agency IPSA Initial Poverty and Social Analysis IP Indigenous People LARP Land Acquisition and Resettlement Plan MFF Multi Financing Facility NGO Non-government Organization PIP Project information Pamphlet PFR Periodic Financing Request PLARC Provincial Land Acquisition and Resettlement Committee PMU Project Management Unit PSC Project Supervision Consultant RRF Republican Road Fund under Ministry of Finance of Uzbekistan (Road Fund) RU Republic of Uzbekistan SIA Social Impact Assessment SPS Safeguard Policy Statement ST Safeguard Team ETHNIC MINORITY PLANNING FRAMEWORK
A. Background and Context
1. The proposed investment program II will have an impact on sustainable economic development in Uzbekistan and regional cooperation. The outcome will be better transport connectivity and efficiency, and institutional effectiveness. The outputs will be an approximately 236 kilometers (km) reconstructed road sections of the A373, A373/4R112 and A380 highways, and improved project management, road safety, and road asset management. The investment will be split into three separate projects. The outputs under each project will be as follows:
2. Project 1
(i) Road development. In the first phase, the output will be an approximately 74 km reconstructed section of the A373 highway (between Km116 and Km190). This section does not involve land acquisition or involuntary resettlement, nor lead to significant environmental impacts. The investment will upgrade the existing four-lane road section with an international design within the existing right-of-way. The cost includes civil works and specialized consulting services, including experts to help with construction supervision and due diligence for subsequent tranches.
(ii) Road sector sustainability. The outputs will be road safety management improvement, which will include: (i) developed national road infrastructure safety strategy and road safety checklist, guidelines, and measures that will improve road safety management; and (ii) a specific phased road safety program for all the road sections completed and being reconstructed under the investment programs I and II. This component will also include provision of solar road signs to be used for A373 Kamchik Pass section and consultancy support
3. Project 2. The Project 2 outputs will be an approximately 87 km reconstructed section of the A380 highway (between Km 228 and 315), strengthening capacity of the Road Fund for road sector management, and implementation of road safety program for projects 1 and 2.
4. Project 3. The Project 3 outputs will be an approximately 75 km reconstructed section of the A373/4R112 highway (between Km 0 and 75), road asset management, and implementation of road safety program for project 3. Improvement of cross-border facilities for shortening the processing time at Osh, Kyrgyzstan border is covered under a separate bilateral funding.
5. Road rehabilitation under all three Tranches is not expected to adversely affect any indigenous peoples/ethnic minority as defined in ADB Safeguard Policy Statement (SPS) on Indigenous Peoples (June 2009). The program areas in Fergana valley are fairly homogeneous in ethnic composition. All will benefit from the opportunities provided by road up-grading and improvements.
6. This Ethnic Minority Planning Framework (EMPF) has been prepared on the basis of ADB Safeguard Policy Statement (2009) and Safeguard Requirements 3: Indigenous Peoples (SPS Appendix 3). It is to guide the preparation of future projects in which may affect any ethnic minorities located on other road tranches under the Program.
2 B. Minorities-related Legislation
7. The minorities-related legislation of the Republic of Uzbekistan (RU) comprises relevant non-discrimination and human rights provisions contained in, as follows:
(i) the Constitutional Law of Uzbekistan; (ii) the international documents ratified or signed by the RU; and (iii) the national laws emanating from constitutional law and international documents.
8. The 1992 Constitution proclaims the equality of all Uzbekistani national irrespectively to their ethnic origin and language they speak (Art. 8).
9. The State undertakes the duty `to guarantee the respectful attitude towards the languages, customs, and traditions of the nationalities (natsii) and ethnicities (narodnosti), which dwell on its territory, and to provide conditions for their development'. Those laws ban the establishment and activities of the entities propagating religious and ethnic hatred, including social organizations (Art. 3 of the Law on Social Organizations), religious communities (Art. 5 of the Law on the Freedom of Conscience and Religious Organizations), and mass media (Art. 6 of the Law on Mass Media). The most important are the relevant articles of the Law on the State Language, Law on Education, Law on Religion, Labor Code, and the provisions of the Criminal, Criminal Procedural, and Administrative codes, qualifying the legal responsibility for violation of the provisions of the above laws.
C. Policy Framework
10. This Ethnic Minority Planning Framework (EMPF) is intended to guide the preparation of future projects and future tranches in the event of any positive or/and adverse impacts on ethnic minorities under the Program. The Framework presents the policy and procedures for the preparation of an Ethnic Minority Development Plan (EMDP) in accordance with the ADB's SPS Safeguard Requirement 3 on Indigenous Peoples (June 2009).
11. The need for an EMDP will depend on the nature and scale of the project impacts and sensitivity of ethnic minority issues. Based on the Initial Poverty and Social Assessment prepared in every project a requirement for preparing Ethnic Minority Development Plan will be identified. An EMDP would be required if the impact is "significant" which means (i) adverse impacts on customary rights of use and access to land and natural resources; (ii) negative effects on the socioeconomic and cultural integrity; (iii) effects on health, education, livelihood, access to the project benefits, and social security status; and (iv) other impacts that may alter or undermine indigenous knowledge and customary institutions. An Ethnic Minority categorization checklist to be used in the EM screening exercise during the project preparation stage is provided.
12. The framework is based on the overall national development strategies and ADB's policy on indigenous peoples. The principal objectives are 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. This is undertaken 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.
13. If the impacts are ‘insignificant’ and limited and specific actions in favor of ethnic minorities can ensure appropriate mitigations and benefits, it can be integrated in the land
3 acquisition and resettlement plan (LARP) of the project and/or some measures which are compatible with project implementation such as involving EM in scheme selection, provide opportunities to engage in community-based construction and management schemes.
14. The EMDP will set out the measures whereby the borrower/client will ensure (i) that affected Ethnic Minority receives culturally appropriate social and economic benefits; and (ii) that when potential adverse impacts on Ethnic Minority are identified, these will be avoided to the maximum extent possible.
15. Where this avoidance is proven to be impossible, based on meaningful consultation with indigenous communities, the EMDP will outline measures to minimize, mitigate, and compensate for the adverse impacts. The level of detail and comprehensiveness of EMPs (annex to this appendix) will vary depending on the specific project and the nature of impacts to be addressed. The borrower/client will integrate the elements of the EMP into the project’s design.
D. Procedures for Ethnic Minority Development Planning (EMDP) Preparation
16. An EMDP will be prepared as follows:
(i) Screening the potential impacts of project activities on the Ethnic Minority; (ii) the EA will conduct a field-based social impact assessment (SIA) with subjects as recommended in the Annex to Appendix 3 of ADB Safeguard Policy Statement (2009); (iii) review policy/guidelines regarding EM undertake meaningful consultation with the affected EM and provide the opportunity to the EM to participate in the selection of technically and economically feasible alternatives; (iv) prepare and disclose an EMDP, including documentation of the consultation process in accordance to the EMPF and ADB SPS SR 3 (2009); (v) prepare beneficial, mitigation and capacity building measures as relevant based from the SIA results; (vi) prepare an action plan (in addition to the LARP) for legal recognition of customary rights and territories for project activities involves involuntary land acquisition; (vii) if physical displacement from traditional or customary lands should occur, prepare an action plan for attaining broad community support of the project; (viii) establish grievance and redress mechanism for the EM; and (ix) prepare an appropriate budget and a mechanism for monitoring, reporting and evaluation of the EMDP.
17. In the case of future tranches with impact on indigenous people, a satisfactory EMDP will be prepared and posted on ADB website prior the appraisal of the respective Project Financing Requests (PFRs). The EMDP policy and measures must comply with ADB's SPS Safeguard Requirement 3 on Indigenous Peoples (June 2009) and approved EMPF.
E. Consultation, Disclosure and Institutional Framework
18. For the preparation of a project's EMDP, the EA through the Safeguard Team (ST) under the PMU will have overall coordination, planning, implementation and financing responsibilities. Since EM issues are sensitive, the social development specialist of ST-PMU will work with local community organizations such as Makhalla Committees, or local NGO for planning and implementation of the EMDP.
19. The EMDP will be prepared in full consultation with the affected ethnic minority groups. The consultations will be clearly and thoroughly documented. The mitigation
4 measures and strategies will be presented to them in community level workshops for their inputs before being finalized. The EMDP and PIB will be translated into the local/EM language(s) prior to implementation and EMDP will be disclosed on ADB's website.
20. For project activities that might increase the vulnerability of the EM, the EA will seek the consent of affected EM communities in form of board community support through meaningful consultations with affected individuals and/or their recognize representatives as specify in Appendix 3 of ADB SPS (2009).
21. The existing ethnic minority development institutions and organizations will be involved in the implementation of the EMDP and resolution of any dispute arising out of the implementation process. When there is a need of EMDP, the EA will ensure that an adequate budget will be provided. This will be included in the LAR cost and EDMP would be integrated in the LARP.
F. Grievance Redress Mechanism
22. A grievance redress mechanism will be developed for addressing the grievances/complaint from the affected ethnic minority (AEM). The procedure of grievance redress will be incorporated in the Project Information Pamphlet (PIP) to be distributed prior to implementation. In order to prevent grievances rather than to redress these through a process to avoid lengthy redress process, participatory consultation with affected households will be undertaken during project planning and implementation stages. This will involve the following steps:
(i) Resolution of complaints will be attempted at the representative project office with the involvement of the project supervision consultant (PSC), safeguard team (ST), local NGO, leaders of the affected Mahallas or the local executive body (ii) In absence of a settlement, AEMs may lodge a complaint with the District/Oblast Khokimiyat and receive a reply within 15 days. (iii) AEMs will have the right to take the dispute to an appropriate court of law if they do not accept the District/Oblast Khokimiyat’s decision.
Grievance Resolution Process 1. Complaints resolution will be attempted at town/district (Rayon) level of grievance and redress committee with the involvement of the PSC/ST, NGO, leaders of the affected Mahallas and Khokimiyat (the local executive body) 2. In absence of a settlement, AEMs may lodge a complaint to District/Oblast Khokimiyate and get a reply within 15 days 3. If the District/Oblast Khokimiyate decision is unacceptable to the AEMs, then they may approach the appropriate court of law for its resolution. G. Monitoring and Evaluation
23. The implementation of the EMDP will be monitored. The EA will establish a monitoring system involving EA staff, Councils of Rural Communities, makhalla committees, and EM groups, to ensure participatory monitoring arrangements. A set of monitoring indicators will be determined during EMDP implementation. Project supervision and monitoring consultants will carry out external monitoring. Appropriate monitoring formats will be prepared for internal and external monitoring and reporting requirements.
24. For project with significant adverse impacts on ethnic minorities, a qualified and experienced external experts or qualified NGO will be engaged by the EA to verify monitoring information of the EMDP. The external experts will advise on compliance issues and if any significant issues are found, the EA will prepare a corrective action plan or an
5 update to the approved EMDP. The EA requires implementing the corrective actions and following up these actions to ensure their effectiveness.
25. Several key indicators and topics for monitoring and evaluation of EMDP are (i) process of the consultation activities; (ii) appropriateness of affected assets valuation and compensation disbursement; (iii) implementation of relocation process, when applicable; (iv) current condition of social, cultural, political and economic status of the EM in comparison with pre project condition; (v) status of vulnerable people as identified in the SIA; (vi) any disadvantaged conditions to the EM that was not anticipated during the preparation of EMDP that required corrective actions; and (vii) grievance redress issues.
H. Financial Requirements
26. Costs related to the implementation of the EMDP will include the costs of any compensation for temporary and permanent land use as addressed in the Resettlement Framework. Other costs include the salaries and travel costs of the ST social development expert, or experts on Ethnic Minority who will monitor the implementation of the EMDP are included in the provision of services for ST.
27. Detailed surveys will be carried out at the design stage of projects by the ST or minority experts and the profile of the affected ethnic minority will be known with more accuracy.
28. In the case of future tranches with significant impact on indigenous peoples/ ethnic minorities, the respective future Project Financing Requests (PFRs) will include the cost for implementing an EMDP.
I. EM Categorization/Checklist (screening)
29. Annex 1 shows the initial screening/checklist for impact on ethnic minority.
6 ANNEX 1 Initial Screening for Impact on Ethnic Minority at Project Preparation Stage
Project Title:
Subproject Location: Name:
KEY CONCERNS NOT YES NO Remarks (Please provide elaborations KNOWN on the Remarks column) A. Indigenous Peoples Identification 1. Are there socio-cultural groups present in or use the project area who may be considered as "tribes" (hill tribes, schedules tribes, tribal peoples), "minorities" (ethnic or national minorities), or "indigenous communities" in the project area?
2. Are there national or local laws or policies as well as anthropological researches/studies that consider these groups present in or using the project area as belonging to "ethnic minorities", scheduled tribes, tribal peoples, national minorities, or cultural communities?
3. Do such groups self-identify as being part of a distinct social and cultural group?
4. Do such groups maintain collective attachments to distinct habitats or ancestral territories and/or to the natural resources in these habitats and territories?
5. Do such groups maintain cultural, economic, social, and political institutions distinct from the dominant society and culture?
6. Do such groups speak a distinct language or dialect?
7. Has such groups been historically, socially and economically marginalized, disempowered, excluded, and/or discriminated against?
1 KEY CONCERNS NOT YES NO Remarks (Please provide elaborations KNOWN on the Remarks column) 8. Are such groups represented as "Indigenous Peoples" or as "ethnic minorities" or "scheduled tribes" or "tribal populations" in any formal decision- making bodies at the national or local levels?
B. Identification of Potential Impacts
9. Will the project directly or indirectly benefit or target Indigenous Peoples?
10. Will the project directly or indirectly affect Indigenous Peoples' traditional socio-cultural and belief practices? (e.g. child-rearing, health, education, arts, and governance)
11. Will the project affect the livelihood systems of Indigenous Peoples? (e.g., food production system, natural resource management, crafts and trade, employment status)
12. Will the project be in an area (land or territory) occupied, owned, or used by Indigenous Peoples, and/or claimed as ancestral domain?
C. Identification of Special Requirements
Will the project activities include:
13. Commercial development of the cultural resources and knowledge of Indigenous Peoples?
14. Physical displacement from traditional or customary lands?
15. Commercial development of natural resources (such as minerals, hydrocarbons, forests, water, hunting or fishing grounds) within customary lands under use that would impact the livelihoods or the cultural, ceremonial, spiritual uses that define the identity and community of Indigenous Peoples?
2 KEY CONCERNS NOT YES NO Remarks (Please provide elaborations KNOWN on the Remarks column) 16. Establishing legal recognition of rights to lands and territories that are traditionally owned or customarily used, occupied or claimed by indigenous peoples?
17. Acquisition of lands that are traditionally owned or customarily used, occupied or claimed by indigenous peoples?
Decision on Screening
After reviewing the answer above, the PMU/ST Social Development Specialist agree that the project:
Should be categorized as an A project, an Ethnic Minority Development Plan (EMDP) is required.
Should be categorized as a B project, a specific action favorable to ethnic minority is required and addressed through a specific provision in RRP and in related plans such as a Resettlement Action Plan, a Gender Action Plan or a general Community Participatory Plan
Should be categorized as a C project, no EMDP or specific action required
Prepared By: Verified by:
Signature: Signature: Name: Name: Position: Position: Date: Date:
3
Poverty and Socio-economic Assessment (PSA)
Document Stage: Final Report Project Number: TA 7789-UZB Title:
Social Analysis Report for Project 1:
Uzbekistan: CAREC Corridor 2 Road Investment Program II
Prepared by
July 2011
Executing Agency: Uzbekistan Republican Road Fund Under the Ministry of Finance of Uzbekistan
Note:The PSA is a document of the borrower. The views expressed herein do not necessarilyrepresent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature.
TABLE OF CONTENT
I. INTRODUCTION...... 4
A. Project Background...... 4
B. PSA Goals...... 4
II. RESEARCH METHODOLOGY...... 6
A. Data Collection ...... 6
B. Selection of Indicators ...... 6
C. Sampling Design ...... 6
D. Procedures for Data Collection and Analysis...... 9
E. Secondary Information...... 11
F. Constraints and Assumptions ...... 11
G. Data Authenticity and Reliability...... 12
III. SOCIOECONOMIC AND GENDER ANALYSIS - PROJECT 1...... 13
A. Population...... 15
B. Education...... 16
C. Healthcare ...... 16
D. Income and Expenditure ...... 16
E. Transport and Roads...... 22
F. Ethnic Groups ...... 26
G. Gender Analysis ...... 27
H. Consultations and Participation...... 29
V. ROAD USERS SURVEY RESULTS...... 31
A. Road Users – Passengers...... 32
B. Road Users – Passengers...... 32
C. Poverty Profile, Incomes and Employment of the Passengers ...... 32
A. Road Users –Drivers ...... 39
VI. SOCIOECONOMIC IMPACT OF REHABILITATION AND CONSTRUCTION OF THE INTERNATIONAL HIGHWAY A-373 ...... 44 Glossary
Territorial community, community of neighbours; Mahalla In Uzbekistan, this word means a body of self-governance of citizens. Oficially named as Mahalla assembly of citizens (MAC).
Rural territorial community of neigbours; similar to Mahalla, Ovul assembly of Ovul citizens (OAC) represents a body of self-governance, in rural areas. Tomorka Household plot for agricultural activities. Hokimiyat Local authorities/local government.
Abbreviations
ADB Asian Development Bank AAO Association of apartment owners. These are also called “shirkats” AR Autonomic Republic CA Central Asia, Central Asian CPI Consumer price index EA Executing agency GoU Government of Uzbekistan GRP Gross regional product NGO (NNO) Nongovernmental not-for-profit organizations MAC Mahalla assembly of citizens Maximum permissible concentration C OAC Ovul assembly of citizens PEE Preschool education establishments PPTA Project Preparatory Technical Assistance PRSP Poverty Reduction Strategy Paper PSA Poverty and Socio-Economic Assessment RUZ Republic of Uzbekistan RRF Republican Road Fund SME Small and medium enterprises SUM Uzbek sums TA Technical assistance $ United States Dollar UTS Urban-type settlement WIS Welfare Improving Strategy
Currency Exchange Rate as of the Period of the Study (December 2010)
1 USD = 1630.97 sum as for date November 15, 2010
Table of Measures
1 centner = 100 kg 1 ha = 100 sotkas 1 sotka = 100 m2 1 km = 1000 meters I. INTRODUCTION
A. Project Background
1. The Government of Uzbekistan has received technical assistance (TA) from the Asian Development Bank (ADB) for the preparation of the CAREC Corridor 2 Road Investment program 2. 2. Uzbekistan is a key transit point for Central Asian countries looking to trade among themselves, as well as with the rest of Asia and Europe. Central Asia Regional Economic Cooperation (CAREC) has a strategy and action plan to develop six transport corridors, which will improve connectivity and cut transport costs.1 3. The proposed investment program (the investment program II)2 is an extension of the ongoing investment program (investment program I), which covered part of the A380 highway. The investment program II will target the Uzbekistan section of CAREC Corridor 2- one section of A373 highway and 2 sections of A380 highway, which connect Uzbekistan to Kyrgyz Republic Afghanistan, Kazakhstan, Tajikistan, and Turkmenistan. Another highway investment program in Kazakhstan (supported by the Asian Development Bank [ADB]) will connect Beyneu (a town on the border with Uzbekistan) with Uzbekistan's A380 highway and the port of Aktau in the Caspian Sea. All these highways, when completed, will provide Uzbekistan and other Central Asian countries direct access to the Caspian Sea, and thereafter to South Asia and the Black Sea (via road corridors being built in Armenia, Azerbaijan, and Georgia). The investment program II has strong links to CAREC Corridor 6, which reaches the Ring Road in Afghanistan and thereafter the Karachi port in Pakistan. 4. The Investment Program will cover about 87 km of the A380 highway in the Bukhara province, 74 km of A-373 and 75 km of A373/4R1112 highways in Tashkent and Namangan provinces. Financing will be provided via the MFF through 3 tranches for the Investment Program. The first project (Project 1) of the Investment Program will commence in 2011 and the Loan Agreement expected to be signed in June 2011. The sections of highway are as follows:
(i) A-380- Section 1: Km 116–190 (74 km) in Tashkent and Namangan provinces. (ii) A-373- Section 2: Km 228-315 (87 km) in Bukhara province. (iii) A-373/4R112 - Section 3: Ʉɦ 0-75 (75km) in Namangan province.
5. This report presents findings of a Poverty and Social Assessment Study (PSA) that was conducted in 7 rural settlements in Tashkent province and 2 rural settlements in Namangan province. Data collection and survey of the Road users (drivers and passengers) were implemented in 8 passengers drop-off/collection points in Ferfhana valley, Tashkent province and Tashkent city. B. PSA Goals
4. The goal of the PSA is to evaluate the economic, social and cultural factors affecting the sub-project 1, and to develop proposals for the mitigation/elimination of any negative impacts and risks on specific social groups, particularly vulnerable groups such as low- income families, women and children. As the sub-project involves not only reconstruction of the existing road but also the new construction, special emphasis has been placed on reviewing the current situation relating to access to the road, level of transport services, including their reliability and accessibility for all users. 5. The key objectives of this study were:
1 ADB. 2008. CAREC Transport and Trade Facilitation Strategy and Action Plan. Manila. 2 Resolution No. 1446 of the President of the Republic of Uzbekistan dated 21 December 2010. i. to obtain information about the socio-economic characteristics of households in the sub-project areas, including data on poverty and employment indicators, sources of income and composition of expenditures, family size and structure, quality of life indicators, including access to road and basic social infrastructure establishments, use of transport and the impact of access to the improved road of the resident population; ii. to identify social groups that will be impacted by the sub-project and to describe the role and interests of each of these groups; iii. to provide a baseline for the subsequent evaluation of the socio-economic impact of the sub-project on vulnerable groups and on reduction of poverty; iv. to identify the attitudes of road users and resident population towards the current road condition and transport services, and households willingness and ability to pay for improved road, with a particular focus on consumers with low living standards; v. to identify appropriate social development indicators for monitoring the sub- project, and to recommend participatory mechanisms for the greater involvement of local communities and women. II. RESEARCH METHODOLOGY
A. Data Collection
6. Data was collected to obtain a broad range of information about the characteristics of the target areas, relevant for the sub-project, including: i. specific socio-economic features of the sub-project area; ii. the presence of ethnic minorities within the sub-project area, and their access to road and transport services, and the development of a Minorities Action Plan; iii. gender specific features and issues relating to the access to road and transport services, and the development of a Gender Action Plan; iv. possible socio-economic benefits of the sub-project, primarily for vulnerable groups of the population; v. development of a participation strategy and the identification of participatory mechanisms and consultations.
B. Selection of Indicators
7. Indicators for the research instruments were selected in compliance with the Terms of Reference and the ADB Guidelines for Social Issues and Poverty Analysis. The indicators are clustered into the following groups: i. Demographic – size, composition and structure of the surveyed households; age, gender and ethnic identity of the members of the surveyed households; ii. Education and employment – level of education attained, employment sectors and status of employment, economic activity, secondary employment of members of surveyed households; iii. Living standards and quality of life – size and structure of income and of expenditures, poverty rate, access to communal services; iv. Access to Social Infrastructure - availability of healthcare services, access to education institutions, social infrastructure facilities and markets. v.Access and use of the road and transport services – frequency of use, major destinations, type of transport means, and associated costs. 8. All indicators developed were collected in such a way that they could be analyzed using several variables, including but not limited to the following: i. gender of the head of household; ii. ethnic identity of the head of household; iii. type of housing; iv. size of the household; v. poor/non-poor households; vi. income and expenditures; vii. access to social infrastructure establishments.
C. Sampling Design
9. In compliance with the goals and objectives of the PSA and Gender Analysis, and to obtain a statistically signifcant result, a total number of 130 households were surveyed in 9 rural settlements of Tashkent and Namangan provinces.The distribution of the sampling reflected in the table below. Name of the Rural settlement Number of the households Sampling
1 Chinor 172 14
2 Serkakirildi 99 9
3 Tangatopdi 132 11
4 Chetsuv 265 21
5 Kuksaroy 102 10
6 Ertosh 217 17
7 Beshkul 122 10
8 Kushminor and Rezaksoy 467 38
9 Total in Sub-project area 1576 130
10. With the aim of collection data from the road users secondary and background data, an additional 200 road users (passengers and drivers)were surveyed in seven locations of the Tashkent region and Ferghana valley. There were 2 focus group discussions (FGD) and 16 structured and 6 in-depth interviews with major stakeholders. In addition, data was collected from the Tashkent and Namangan Region Hokimiats and also Hokimiats of Pap and Akhangaran districts as well as mahallas of the surveyed settlments concerning population size, households, ethnicity, business and social infrastructure. 11. The household survey was based on a single-stage simple random sampling. This sampling ensured a 95% confidence level. The sample size was calculated on the basis of the following formula: 2N 2 n z G '2 N Z 2G 2
Where: n– Sample size; N – General totality; Z – Critical point of standard normal distribution for the target significance value (Į = 0.5); į – Dispersion of a significant characteristic. 12. The population is the total number of households in the sub-project area, and was estimated using official statistics. The critical point of the normal distribution is a constant value for the target representation, and is equal to 0.95. The limit of sampling error is determined by the target level of significance and does not exceed 9%. Normal distribution of income was selected as a characteristic of the general totality for the following reasons: i. this distribution is normal; and, ii. the cluster effect is insignificant due to substantial coincidence of inter-group and intra-group variance. 13. Household selection for the survey sample was done in 7 Rural settlements of Tashkent province, Akhangaran disrict and 2 rural settlements of Namangan province, Pap district. The number of households selected in each settlement corresponded to the share of households to the total number of households in the project area, 108-208 km of the A 373 road. Therefore, the sample that was designed is proportional and does not require data re-weighting. 14. The selection of households was based on the list of households provided by the Rural Assembly of the citizens. Each interviewer was given: i. the name of the rural settlement where she/he would have to sample households and conduct interviews; ii. the total number of households to be interviewed in each settlement; and, iii. The name and household unique code tag to be handed to the household head. The Code tag provided contact information and ensured data verification when necessary. 15. Households were selected on the basis of step-wise sampling. The sampling step (interval) was calculated using the following formula: I = N / n Where: I – interval for sampling N – Total number of households in the mahalla n – Number of households to be interviewed in the mahalla 16. To ensure probabilistic sampling, households were sampled using a ‘random start’ process. A start number for the household was determined by dividing the proposed interval by two. A fractional result was rounded up or down in accordance with mathematical rules. When the end of the household list was reached, the selection process continued from the beginning of the list; households were not repeated for selection. 17. After completing the main list of households, a back-up list was made to guarantee the survey against possible failures due to the refusals of respondents in the main list to be interviewed. The size of the back-up sample was equal to half of the basic sample. In the case of a refusal or the impossibility of interviewing the household on the main list, an interview was conducted with the next household on the back-up list. In these cases, interviewers recorded the reasons why households were replaced with back-up households. The rate of refusals of respondents was relatively low for the entire sample size at 3%. 18. If the mahalla list indicated one household, whereas in fact two or more separate households resided at the same address, the first head of household in alphabetical order was interviewed. If the mahalla list indicated two or more households carrying out household activities separately but residing at the same address, and where two or more of them had been selected as part of the main sample, the interview was conducted with only one of these households selected on the basis of the alphabetical order of the names of the household heads. The other households located at the same address were replaced with the addresses of the households in the back-up list. If such household appeared to have been included in the basic sample, and another household was in the back-up sample, an interview was conducted with the former, but the latter was then excluded from the back-up list. Within a household, the head of family or the most informed family member was selected as the respondent. 19. In order to assess the structure and performance of the transport market for the project area, the consultants designed two sets of questionnaires and undertook field surveys for road users: (a) passengers and (b) drivers. The drivers’ survey was designed to study the structure of the passenger and freight markets and the extent of direct Government involvement in provision of transport services. The passengers’ survey was developed to learn about fare structures and extent of use of various modes of transport and the degree to which passengers encounter problems with access to common destinations such as hospitals and schools. Income questions were included in all surveys to broadly capture the user profile. These surveys helped determine the degree to which road user benefits are passed on from vehicle owners to users, and the degree to which the poor and the extremely poor will benefit from the project. It also assisted in identifying institutional constraints creating additional obstacles for the poor families from receiving larger share of the benefits from the Project. D. Procedures for Data Collection and Analysis
20. Both quantitative and qualitative methods of data collection were used for the PSA. This included a review and analysis of available information about the sub-project area (using official statistics in the first instance), findings from the extensive household survey, in-depth interviews with key stakeholders and focus group discussions. 21. The field phase of the study was undertaken in December 2010. During the pre-field phase, three questionnaires were designed for the survey. The guidelines for the focus group discussions as well as three types of in-depth interview guides for use with different key stakeholders were also designed. The sampling parameters and procedures for the household survey were refined. A briefing was held to train field staff (including interviewers and supervisors) in the use of the research instruments and the sampling procedure. All documents, including the methodology for data collection, sampling procedures, questionnaires and guides, were coordinated with other experts’teams. The questionnaire for the survey is provided as a separate appendix to this PSA report (Annex IV). 22. The field study consisted of several phases. Prior to conducting the field study, a pilot study was carried out to pre-test, adjust and finalize the research tools – particularly the households’, passengers’ and drivers’ survey questionnaires, the instructions for interviewing, and the sampling procedures. The compliance of the questionnaire with the study objectives was verified at four levels: i. at the level of the questionnaire, i.e., to what extent the questionnaire makes it possible to collect the required information; whether the information contained in the different sections of the questionnaires is contradictory, and whether some indicators are duplicated, etc.; ii. at the level of the sections of the questionnaire, i.e., to what extent the indicators in each section of the questionnaire are necessary and sufficient for obtaining the required information; iii. at the level of questions, i.e., to what extent the questions are clearly worded; whether ambiguous answers can be given to a question, whether alternative interpretations of the questions and proposed answer options are probable, whether the answer options for closed questions exhaust all possible options and to what extent, etc.; iv. in parallel with these, the correctness of coding the questions and answer options and the justification for skipping respective questions was checked. 23. The PSA team, together with field supervisors, conducted the pre-testing pilot study and five household respondents in each city were interviewed. The sampling was designed to ensure that all the sections of the questionnaires were used. Adjustments to the household questionnaire and to the instructions for interviewers were made based on the results of the pilot study. 24. A two-day training session was held for field staff. 10 interviewers, 2 supervisors, 2 moderators, one programmer, data input operators and an Uzbek translator attended the training. On the first day, a detailed discussion of the Household questionnaire and Road users’ questionnaire was held, looking at every question and possible answer option. In addition, several non-standard situations were illustrated using experiences from the pre- testing study. Interviewers were asked to practice interviewing each other. On the second day, a detailed analysis of the mock interviews was presented, and training in sampling procedures was given. 25. The household survey covered a total of 130 households in settlments of sub-project area. The household survey was implemented by 10 interviewers using a face-to-face method at the home of the respondents. The refusal rate among households was very low. Only one household owner refused to be surveyed and there were no repeat visits. The road users’ survey was organised with the drivers of passenger transport and trucks. The quality of interviewers work was checked by two supervisors using the following techniques: i. checking sampling procedures together with the local self-governance bodies; ii. re-visiting 5% of households that had been interviewed iii. all questionnaires were checked with respect to completeness and correctness iv. skipped answers were recorded; v. inconsistencies and contradictory answers were then identified; and vi. unclear responses in open questions were clarified, 26. A special data input software was designed for inputting information and cleaning the database, with an option of quality control of the inputted data, including: (i) setting the limits of the range of admissible values; (ii) checking the correctness of skipping questions; (iii) checking questions for cross-consistency; and (iv) checking misprints made by data input operators. 27. The final database was processed using the standard statistical package SPRSS V.15.0 and specifically designed software based on Delphi. 28. The PSA also included 16 structured interviews with representatives of key groups of stakeholders. The following groups of stakeholders participated in each of focus group discussions: i. Representatives and residents from the Mahallas of each settlement; ii. Representatives from social infrastructure establishments, such as: Educational establishments; Medical Establishments iii. Specialists of other related government offices and representatives of local authorities iv. Specialists of “Uzavtoyul” regional offices v. Representatives of Local Hokimiyats vi. Representatives of local NGOs
29. Six in-depth interviews were also conducted for the PSA with the following groups of respondents: i. qualified experts: ii. local authority officers (Hokimiyat, associations of freight forwarders etc.), and iii. Uzavtoyul local offices’ employees responsible for the maintenance and operation of the road; 30. FGD’s and interviews were recorded, and minutes of the meeting prepared for further analysis. In-depth interviews were used to achieve a better understanding of the nature of problems in the area of access and quality of the road, transport services, and for the development of strategies for coping with the current problems related to the quality of the road. FGD’s and in-depth interviews have been analyzed and incorporated into this report as direct quotations. 31. In addition, socio-demographic, productive and social infrastructure information was collected for all mahallas. Information was provided by the chairpersons of urban and rural mahallas, local authorities, departments of statistics, departments of finance and local employment agencies. 32. The Poverty and Social Impact Assessment pays particular attention to the ADB’s over-arching objective of poverty alleviation. It identifies ways in which the Project can improve the quality of life and health conditions of the local residents in the Project areas over both the short and long term. The assessment aims to: (i) assess the overall impact of the project on the economic prospects of the provinces through which A373 runs, (ii) assess the direct and indirect impacts of the project on the livelihoods of the population (iii) recommend a participatory process; (iv) incorporate gender issues; and (v) incorporate social safeguard issues, such as involuntary resettlement, ethnic minorities, labour, and other risks/vulnerability. E. Secondary Information
33. During the preparatory phase, a brief review of relevant official statistics was carried out based on selected indicators, specifically: i. administrative data; ii. demographic statistics; iii. data on productive and social infrastructure establishments (enterprises, iv. organizations, educational establishments, and medical institutions); v. information on access to communal services.
34. The data of the State Committee of the Republic of Uzbekistan on Statistics (Goskomstat), district departments of statistics and “Uzavtoyul” local offices, were used as the base source of secondary information.
F. Constraints and Assumptions
35. When the study was conducted, the following sets of problems were identified: 1. Sampling design process
36. The main difficulties were related to selecting the households (sampling units): x Mahallas use different registration methods. Some register families, while others register households. This makes it difficult to correctly identify the unit for the survey sample; x The lists can register two separate households, when in fact they are the same household and carry out activities together; x The lists register one household, when in fact there are two or more households that carry out household activities separately;
2. Respondent Selection
37. The main difficulties during the household survey were related to: x absence of the heads of household or informed respondent during the working day,which resulted in an increase in the number of repeat visits; x refusal to be interviewed, averaging 3% of the total sample size, with the major refusals among road-users-passengers. The relatively low level of refusals among households’ heads was achieved through the careful selection of interviewers and organization of visits to the household together with representatives of local Mahalla offices.
3. Data collection
38. The main difficulties were related to: x local self-governance bodies do not having accurate data on production and social infrastructure establishments. This data can be obtained only from local statistics offices; x some local self-governance bodies do not have data on the ethnic composition of households. The only information they have is the general ethnic composition of the local resident population; x much of the data is incorrect, out-of-date, and not appropriately classified; 4. Secondary Data
39. The main difficulties were related to: x incomplete data and unavailability of some indicators at the local level which were important for the study goals; x contradictory information obtained from different sources (e.g., from the statistics offices and makhalla committees);
G. Data Authenticity and Reliability
40. The authenticity and reliability of the data obtained during the household survey was ensured by using a multi-level control system over the quality of databases. The methodology ensured a 90% confindence level for the sub-project area. It has to be stressed that the evaluation of representation and the estimation of mean errors and limits of errors of the sample were based on the distribution of average per capita household incomes (monetary) and can be correct only for those indicators, which (a) closely correlate with the indicators of incomes, and (b) show normal distribution. Consequently, errors in the data such as employment could be higher than 10%, given the significant seasonal variability in economic activity. 41. Data from local government bodies and orgainsations were cross-checked in order to test data authencity. III. SOCIOECONOMIC AND GENDER ANALYSIS - PROJECT 1
42. This section outlines the results of the analysis for each of the project area. It includes the district of Pop of Namangan Region and the district of Akhangaran of Tashkent Region. A. Brief Description 43. Namangan Province of Uzbekistan is located in the southern part of the Fergana Valley in far eastern part of the country. It is on the right bank of Syr Darya River and borders with Kyrgyzstan, Fergana Province and Andijan Province. It covers an area of 7,900 km2. The population is estimated to be around 1,970,000, with over 62% of the population living in rural areas. 44. Namangan Province is divided into 11 administrative districts. The capital is the city of Namangan. Other major cities include Kosonsoy, Pop, Uchqo‘rg‘on, To‘raqo‘rg‘on, Chortoq, Haqqulobod and Chust. 45. The climate is a typically continental climate with extreme differences between winter and summer temperatures. Natural resources include deposits of petroleum, natural gas, gold, lead, copper, quartz and antimony. Main agriculture includes cotton, horticulture and sericulture, animal husbandy, including breeding of Angoragoats for their valuable down hair. 46. Industry is primarily based on textiles, with two large silk production complexes, a non- woven fabric manufacturing plant, cotton yarn processing, and numerous smaller textile, leather and footwear plants. The area is also a center for the production of traditional Uzbek handicrafts, especially knives. 47. Pop district is located in a far west of Namanghan province and bordering with Kyrgizstan on a north and Tajikistan on a west. Pop is the biggest among districts of Namanghan province. The total area of the district is 2.9 thousand km2. From the total 180 thousands ha of usable land the arable land is 29,230 ha and 32,130 is a pasture. Considerable part of the district land is mountain area – 45,500 ha and hills 12,000 ha. The district has one man made water reservoir called Jiydalisoy with total capacity of 44 million cubic meters. The districtborders with Ferghana province on a South and Chust and Mingboloq districts of Namanghan province on the East. The distance to Namanghan city, capital of the Namanghan province, is 50 km.
Table 1.1. The distance from Pop district to major destinations on the territory of the Republic of Uzbekistan
Tashkent city 245 km Namanghan city 50 km
Ferghana city 145 km Andijan city 130 km
48. Mountains of the Pop district rich for the natural resources such as gold, travetin and granit. The climate is a typically continental climate with extreme differences between winter and summer temperatures.. Up to 25% of all arable land is salinised.The districtsagricultural products are largely wheat and cotton. Mountain areas busy with gardening and livestock (mainly sheeps and goats). There are also spinning mills, cotton refinery plants, brickburning plans,commercial services organizationsand other companies in the district. Inputs of agriculture and production sectors into district budget are nearby equal with a little advantage of agriculture however agricultural sector employs 3 times more people then production. 49. The total population of Pop district is 178.5 thousands, including 25.3 thousands - urban population and 153.2 thousands - rural. There are 16 assemblies of citizens with some of 37000 total number of households and 50000 total number of families. There are some of 2300 firms including 260 state owned and 2000 private owned entities. Among them 2 firms are export oriented. There are some of 630 farms in the district. 50. . The district has in total 72 km of main canals and 62 km of rivers. Transport infrastructure compise of and 1023 km of motor roads including 71 km of international road of A373 and 45 km of railroads. 51. According to official statistics 76.2% of the total population of the district is provided with drinking water, 99% with electricity and 88% with natural gas. Social infrastructure of Pop district includes 10 hospitals with total 850 beds, 37 clinics, 71 basic schools with 30800 students and 9 vocational schools. 52. Tashkent province of Uzbekistan is located in the northeastern part of the country, between the Syr Darya River and the Tien Shan Mountains. It borders with Kyrgyzstan, Tajikstan, Sirdaryo Province and Namangan Province. It covers an area of 15,200 km². The population is estimated to be around 2,500,000 people. 53. Tashkent Province is divided into 15 administrative districts. The capital is Tashkentcity with some of 2,200,000 inhabitants, which is also the capital of the country, and is governed separately from the province as an independent city. Other major cities of Tashket province includesAngren, Almaliq, Ahangaron, Bekobod, Chirchiq, Gazalkent, Keles, Parkent, Toytepa, Yangiobod and Yangiyol, 54. The climate is a typically continental climate with mild wet winters and hot dry summers. Natural resources include copper, brown coal, molybdenum, zinc, gold, silver, rare earths, natural gas, petroleum, sulfur, limestone, and granite. Tashkent Province is the most economically developed in the country. Industry includes energy production, mining, metallurgy, fertilizers, chemicals, electronics, textiles, cotton purification, food processing and footwear. 55. Tashkent Province also has a highly developed agricultural industry, based primarily on irrigation. The main crops are cotton and wheat. Agriculture sector also produce vegetables, fruits and livestock. The province has a well-developed transportation infrastructure, with over 360 km of railways and 3771 km of surfaced roads. Tashkent has a large international airport, which is the main air gateway to the country. 56. Akhangaran district is located under Kurama mountains of western Tien Shan on the north-eastern border of Tashkent province. It borders with Bostonliq district on the north, Parkent, Yukori Chirchik, Orta Chirchik and Pskent districts of Tashkent province on the west and Tajikistan on the south. The total area of Akhangaran is 3,188 sc.km. Biggest sities of the district, Ahangaran and Angren are centers of production industry. Mining and metal industry of Akhangaran is known from antient time. The notion “akhangaron” means the “metal worker”. Nowadays Akhangaran is mainly famous by its mining, chemistry and cement production. Minig industry produces gold, silver, coal, caolin and many other minerals. Akhangaran’s electric power plant is one of the biggest in Uzbekistan ensuring energy supply for industry and social infrastructure of Tashkent region as well as Ferghana valley. Production of cotton and wheat constitutes the major part of local agricuture however mountain areas busy with gardening, vinery and catlebreeding 57. Akhangaran district has extensive social and indusrial infrastructure. It includes 471 km of natural gas ransportation pipeline, 247 km of drinking water pipeline, some of 1900 economic entities, 600 farms, 1 hospital, 4 vocational schools, 51 basic school, 1 higher education institution. This infrastructure serves 83300 citisens registered in Akhangaran district. 58. The second sity of Akhangaran district – the city of Angren is located on the road A- 373 on a distance of 100 km from Tashkent and presents major hub on the way to Ferghana valley. State Investment Program for year 2011 envisages development of Angren’s Center for Logistics with more then 200 large vehicles. Table 1.1. The distance from Ahangaran city to major destinations on the territory of the Republic of Uzbekistan
Tashkent city 80 km Namanghan city 372 km Ferghana city 359 km Andijan city 387 km
Table 1.2. Administrative Information about the Sub-project Area
Area, Number of Number of Thousand RAC’s Mahallas km2 Pop district 2.9 13 54 Akhangaran 3.2 13 8 district
Source: Local Hokimiyats, Department of Statistics as of December 2010
A. Population
59. As of 1 December 2010, the total population of Pop and Akhangaran Districts was 261,800 including 178500 people in Pop and 83300 in Akhangaran. Virtually 90% of the population lives in rural areas and only 10% lives in urban areas. The total number of the households in two districts is about 52630 , with more than 70% households residing in Pop district and about 30% in Ahangron district (Table 1.3). Table 1.3. Population of Pop and Ahangaron districts
% of household House # of population s to total Density hold Popula househ # of % to total in project people size tion Including olds RAC in province area /sc km urban rural Pop 190871 26913 163958 37021 16 9.7 70.34 60.6 5.2 Ahangaron 83654 0 83654 15608 8 3.4 29.66 26.1 5.4 total 274525 26913 247612 52629 24 100.00 average 9.8 90.2 6.14 43.3 5.3 Source: Local Hokimiats data. 60. According to the data provided by the local agencies, as of 1 December 2010, the average population density in these two districts was 43.3 people/km2, with the highest one in Pop district (60,6 people/km2) and the lowest in Akhangaran (26.1 people/km2). 61. Population growth rate for Pop district considered high despite the fact that during last three years district experiences decrease in this indicator from 3300 people in 2008 to 2700 people in 2010. The average size of a household in Pop district is 5.2 persons, and the average size of the family is 3.8 persons. The relatively high population growth rate, generated by a high birth rate (more than 19.6 births per 1,000 population) and a comparatively low mortality rate (4.3 deaths per 1,000 population) are characteristic of Pop District. 62. The average size of a household in Akhangaran is 5.4 persons, and the average size of the family is 4.8 persons. A relatively high population growth rate, generated by a high birth rate (more than 21.7 births per 1,000 population). 63. According to 2010 statistical data, 62% of the population of Pop was of employable age (16-60 for men and 16-55 for women). In Akhangaron the figure is about 66%, 49% of which, are women. The employment rate is relatively high in Pop district, representing 96,7% of employable-age population of Pop and lower in Akhangaron district - 80%. The percentage of people officially registered as unemployed in Pop and Akhangaron representing 3,3% of the employable-age population in both disticts. Employment in Pop and Akhangaron Akhangaron % Pop % Employable-Age Population 54672 65.63 117,000 61.58 Employed 43783 80.08 113100 96.67 Unemployed 1819 3.33 3900 3.33
Officially registered People seeking for employment 252 3600
Source: Local Departments of Statistics 64. Average individual monthly wages (2010) in Pop district was 369,300 UzSum, which is lower then the average national indicator 553,800 UzSum3. Similar data for other district is not available. As Uzbekistan does not officially have a poverty line, there is no data available to describe local standards of living. B. Education
65. The educational system of Pop district is represented by 72 general schools with some 30800 enrolled students, 40 kindergartens with 3500 children and 9 vocational schools with 8200 students. 66. 13,438 students are enrolled in 51 general education schools in Akhangaran district. District also has 4 professional colleges with capacity of 3000 students. C. Healthcare
67. The healthcare facilities of Pop district include 10 public hospitals with 850 beds, 37 polyclinnics and 28 rural medical treatment facility. There are also 12 private clinics with 91 beds and 33 pharmacies in the district. Beside that district operates 5 special health care centers. In 2010 there were in average 19 doctors and 85 nurses for each 10000 people. 68. In Akhangaran district, there is one hospital with 235 beds and 20 rural medical treatment facilities. D. Income and Expenditure
1. Identification of poor households.
69. A unified methodology for estimating a national poverty line has not yet been adopted in Uzbekistan. However, from 2003 to 2007 the Government of Uzbekistan, in coordination with international organizations, carried out an in-depth study of poverty issues in order to lay the foundation for the National Welfare Improvement Strategy / Poverty Reduction Strategy Paper (WIS – Country PRSP analogue). The WIS document was approved by the Government in 2007. 70. In 20054 taking the Household Budget Survey conducted by the Goskomstat of the Republic of Uzbekistan as a basis, the World Bank defined the poverty rate for the country as 25.8%5. This PSA therefore defines the poverty line as $2.15 per capita per day – which is equivalent to 3,506.6 UZSum.
3 State statistics does not register incomes in informal sector, and excludes from reported average wages incomes in agriculture and small business sectors 4 Last poverty data available is dated 2005 5 Welfare Improving Strategy of Uzbekistan: Full PRSP document for 2008-2010 71. The average monthly income from all types of activities in November 2010 was 172,740 UZSum in project area. For the poor households this indicator was more than 2 times lower than that of non-poor households’ (87,250 and 182,000 sum respectively). Per capita income in female-headed households was 179,140 UZSum compared with that in households headed by men (172,190 sum). The same tendency is seen for average per capita monthly expenditures.
Table 1.4. Income and Expenditure Indicators of Poor and Non-poor Households in Project Area
Average Monthly Average Monthly per Capita per Capita Income, Expenditures, 000’s UZSum 000’s UZSum
Poor 87.25 75.97 Non-poor 182.00 125.46 Total 172.74 120.63 Source: Household survey, December 2010
72. Income indicators are closely correlated with expenditures and household size i.e. the larger the household, the lower its per capita income and expenditure. Average monthly per capita expenditures for poor households in Project area constitute 75,970 UZSum whilst the same indicator for non-poor household is equal to 125,460 UZSum. (Table 1.4).
2. Income.
In November 2010, in examined project area, the most significant family income source was Income from Hired Employment in the Non-agricultural Sector. The contribution of this type of income to the total average household income was about 41%. Income from Marketing own agricultural products brings in about 29% of the total income. More than 80% of households have received such income in November 2010. Other significant sources of income are income from non-agricultural entrepreneurial activities (more than 11% of total income with around 40% of the households received this type of proceeds) and old age pensions (8% of the total income). In average more than 10% of the surveyed households receive remittances sent from with no poor households receiving this type of income. Social benefits received by the surveyed household members constitute a relatively low share of household income - less than 5% in total. However, it should be mentioned that among surveyed households, social benefits were not received by poor families, and very low percentage of the non- poor households benefited from this type of proceedings (Table 1.5). Table 1.5 Average Weighted Structure of Income of Poor and Non-poor Households
Average Total Percentage of Contribution to Income, 000’s Households Total SUM Receiving Household such Income, Income, % % Income from Marketing Own Agricultural Products 276.38 84.12 28.96 Poor 203.33 100.00 30.84 Non-poor 282.00 82.90 28.86 Income from Non-agricultural Entrepreneurial 106.11 38.09 11.12 Activities Poor 113.33 55.55 17.19 Non-poor 105.55 36.75 10.80 Income from Hired Employment in the Non- 389.36 89.68 40.80 agricultural Sector Poor 243.33 88.88 36.91 Non-poor 400.59 89.74 41.00 Table 1.5 Average Weighted Structure of Income of Poor and Non-poor Households
Average Total Percentage of Contribution to Income, 000’s Households Total SUM Receiving Household such Income, Income, % % Income from Hired Employment in the Agricultural 33.05 12.69 3.46 Sector Poor 15.55 11.11 2.36 Non-poor 34.40 12.82 3.52 Old-Age Pensions 77.06 31.74 8.07 Poor 74.77 44.44 11.34 Non-poor 77.23 30.76 7.90 Disability Pensions and Benefits 3.55 3.17 0.37 Poor 0.00 0.00 0.00 Non-poor 3.82 3.41 0.39 Social Benefits for Low-income Families 0.59 1.58 0.06 Poor 0.00 0.00 0.00 Non-poor 0.64 1.70 0.06 Social Benefits for Families with Children Aged 2-18 1.23 2.38 0.13 Poor 0.00 0.00 0.00 Non-poor 1.33 2.56 0.13 Social Benefits for Families with Children Aged 1.77 2.38 0.18 under 2 Poor 0.00 0.00 0.00 Non-poor 1.91 2.56 0.19 Other Social Security Benefits 1.74 2.38 0.18 Poor 0.00 0.00 0.00 Non-poor 1.88 2.56 0.19 Remittances sent from abroad 44.44 10.31 4.66 Poor 0.00 0.00 0.00 Non-poor 47.86 11.11 4.90 Other Income 18.88 9.52 1.98 Poor 8.88 11.11 1.35 Non-poor 19.65 9.40 2.01 Source: Household survey, December 2010
73. Average total income in poor families is lower than those non-poor (87,250 and 182,000 sum respectively). In general, any income type in poor families, when compared with those in non-poor ones, is 20% to 50% less. For example from selling agricultural products, poor families earn in about 30% less than non-poor families; income from Hired Employment in the Non-agricultural Sector in average 40% less in comparison with non-poor ones. Income from entrepreneurship and old-age pensions play more significant role in income generation. (Table 1.6)` 74. One of the sources of income (both monetary and in-kind) for the families in the project area is household farming. Overwhelming majority of the households surveyed have livestock. In average every family have more than 2 cows and calf, about 8 ships or goats, half of the families have horse or donkey. All households have in average more than 30 fruit trees. 75. Despite the fact that agricultural employment is plays significant role in income generation among the households surveyed, about 50% of respondents reported no seasonal fluctuations in incomes. (Table 11). There is an observable difference between poor and non-poor households, and seasonal fluctuations of income are more frequently seen in poor families with higher income in summer-time, probably because of the increased temporary employment opportunities. It is worth mentioning that the survey was carried out during the wintertime, at the end of the year, when the income levels are expected to be lower as seen from the table. Table 1.8. Seasonal Fluctuations in Income of Poor and Non-Poor Households (% of all HH)
Income Is Income Is Income Does Not Higher in Higher in Change During Summer Winter the Year
Total 44.44 6.34 49.20 Poor 66.66 0.00 33.33 Non-poor 42.73 6.83 50.42 Source: Household survey, December 2010 3. Expenditures.
76. The average monthly expenditure of surveyed households in November 2010 in Project area was 120,630 UZSum. Poor households’ monthly expenditures are on average 40 per cent less compared to the ones made by non-poor households. On the earnings side, there is significant difference between poor and non-poor households’ monthly incomes. The difference is as high as 100%. The breakdown of household expenditure by poor and non- poor families does not show significant differences, except for Expenditures for Durable goods (about 12 % for non-poor households and 0% for poor-households) Overall poor households spend less on key items of household expenditure, such as buying clothes and footwear, healthcare, transport than non-poor households. Poor households tend to spend more on foodstuffs, house maintenance and utilities and education. The difference in share can be justified by both smaller income level and the larger family’ size of poor households (7.55 household members in poor households compare to 5.36 members in non-poor). (Table 1.9)
Table 1.9 Average Weighted Structure of Expenditures of the Poor and Non-Poor Households
Average Total Percentage of Percentage in Expenditures, 000’s Households Having Total SUM such Expenditures Expenditures Foodstuffs 281.58 100.00 42.2582 Poor 294.44 100.00 51.2969 Non-poor 280.59 100.00 41.6656 Clothes & Footwear 90.63 68.25 13.6017 Poor 86.66 77.77 15.0987 Non-poor 90.94 67.52 13.5035 House maintenance and utilities 20.93 96.03 3.1419 Poor 28.88 100.00 5.0329 Non-poor 20.32 95.72 3.0179 Payment for Education 13.85 51.58 2.0795 Poor 15.66 55.55 2.7293 Non-poor 13.71 51.28 2.0369 Payment for Healthcare 32.10 51.58 4.8177 Poor 29.44 55.55 5.1296 Non-poor 32.30 51.28 4.7973 Expenditures for Transport (including 70.48 93.65 10.5776 fuel) Poor 54.44 77.77 9.4850 Non-poor 71.71 94.87 10.6492 Expenditures for Durable goods (such as 73.57 11.90 11.0409 furniture) Poor 0.00 0.00 0.0000 Non-poor 79.23 12.82 11.7648 Savings 81.58 50.79 12.2439 Table 1.9 Average Weighted Structure of Expenditures of the Poor and Non-Poor Households
Average Total Percentage of Percentage in Expenditures, 000’s Households Having Total SUM such Expenditures Expenditures Poor 64.44 33.33 11.2272 Non-poor 82.90 52.13 12.3105 Other expenditures 1.58 0.79 0.2382 Poor 0.00 0.00 0.0000 Non-poor 1.70 0.85 0.2538 Source: Household survey, December 2010 77. The biggest share of the expenditures made by the households refers to the food stuff – 42% (51% of poor household expenditures and 41.6% non-poor household expenditures) and expenses for clothes and footwear- 13.6% (15% and 13.5% for poor and non-poor respectively). In average more than 50% of the surveyed households reported savings with the share of this item of expenses is about 12%. 78. Monthly spending of households on transport were around 70 thousand sum (poor households being – 54,440 sum, non-poor – 71,710 sum) comprising around 10 % of the total household expenditures. More than 90% of the households have incurred transport expenditures (including the money spent for fuel). (Table 1.10) 4. Access to basic communal services
79. The overwhelming majority of households in Project area (more than 99%) are supplied with electricity. However, electricity supply failures are reported by all families. Such power failures not only reduce the quality of life by causing breakdowns of household electric appliances, but also constrain the growth of self-employment and the development of household-based small-scale businesses. 80. According to official statistics, the coverage of the population with centralized natural gas supply in Akhangaran district of Tashkent Province in 2010 was 80.1% and in Pap disctrict of Namangan province 88.8%. This indicator for urban areas of the regions is considerably higher than the average indicators. According to the 2010 survey, only 19% of households have access to centralized natural gas supply, but majority of the surveyed households (about 80%) using firewood. 81. Access to the water supply system was the other issue covered by the survey questionnaire. Official data from Distrcit’s passports, published by Departments of statistics and Kholimiyats, state that 75.8% of the population in Akhangaran district have acces to centralised water supply, and More than 50% of the respondents reported that they use natural spring water for the household’ needs. 47% of the families use water from the open water canals. 5. Poverty Causes
82. The survey results show that family size and structure appear to influence total household income. Large households are more likely to become poor compared to the smaller households. The analysis of composition of poor and non-poor households demonstrates that there is difference in average family sizes. In project area the average household size of poor household is higher than that of non-poor. In poor households the share of the members under 7 years old as well as under 16 years old is considerably higher. At the same time number of the members in pension age, those receiving old age and disability pensions and thus participating in households’ income generation are higher in non-poor families. (Table 1.12) Table 1.12. Demographic Characteristics of Poverty
Average Family Family Family Family Household Members Members Members in Members Size, under under Pension Age, Receiving Old- Persons 7 Years of 16 Years of % age or Age, % Age, % Disability Pensions, %
Total 5.52 15.08 30.89 5.89 8.47 Poor 7.55 22.05 36.76 4.41 7.35 Non-poor 5.36 14.33 30.25 6.05 8.59 Source: Household survey, December 2010
83. No statistically significant link between poverty indicators and the educational levels attained both by the head of household and other household members have been noticed in the Project area. One indicator can be mentioned in the analysis. The completed higher education among the households members in non-poor families is higher in comparison to poor households. This difference (7.31 and 12.78) is naturally resulted from the fact that Higher education is expensive, and in addition to the direct costs such as contract fee, have associated costs related to transportation, accommodation etc. (Table 1.13)
Table 11. Education Indicators for Household Members and Household heads
Total Poor Non-poor Household Members, as % of Household Members Above 16 Years of Age No Education 0.23 0.00 0.25 Incomplete Secondary Education (7-9 3.24 0.00 3.58 Forms) Complete Secondary Education (10-11 49.07 43.90 49.61 Forms) Secondary Vocational Educations 33.10 46.34 31.71 Higher Education 12.26 7.31 12.78 Students 2.08 2.43 2.04 Household Heads, % No Education 0.00 0.00 0.00 Incomplete Secondary Education (7-9 1.58 0.00 1.70 Forms) Complete Secondary Education (10-11 44.44 55.55 43.58 Forms) Secondary Vocational Educations 31.74 22.22 32.47 Higher Education 21.42 22.22 21.36 Students 0.79 0.00 0.85 Source: Household survey, December 2010 84. There are some economic activity and employment level differences between poor and non-poor households. In addition, the employment composition differs from poor to non-poor households. The share of economically active members in poor families (69.23%) considerably lower compare to non-poor households (77.33%). The share of poor households with unemployed members nearly 3 times higher than that of the non-poor ones (10.25 and3.68% respectively), and the same tendency observed for the household members who neither work, nor looking for job. The share of non-poor households’ members hired in non-agricultural sectors and working in budget organizations considerably higher than of poor households. There are some 8% of poor households receiving an old-age and disability pension whereas only about 6.5% of non-poor households are given such. (Table 1.14) Table 1.14. Economic Activity and Employment Indicators of Household Members (as % of Employable-age Household Members)
Total Poor Non-poor Economically Active 76.53 69.23 77.33 Employed 72.19 58.97 73.65 Hired in Non-Agricultural Sector 9.43 5.12 9.91 Budget organizations 33.41 25.64 34.27 Entrepreneurs 11.98 10.25 12.18 Agricultural Workers 16.07 17.94 15.86 Temporary employment 1.27 0.00 1.41 Unemployed 4.33 10.25 3.68 Economically Inactive 23.46 30.76 22.66 Students 1.78 2.56 1.69 Pensioners 6.63 7.69 6.51 Neither Work, Nor Look for a 15.05 20.51 14.44 Job Source: Household survey, 2010
E. Transport and Roads
85. There are 98 km of International, and 133 km of Republican Roads within Akhangaran Distrcit of Tashkent region. Regional and local roads lengths are 139 km long in total. 100% of international roads are of second category with the concrete and asphalt pavement. Only 26 km of Republican roads are with the road-mix type of pavement. All Regional and Local roads are with asphalt pavement. There are 38 bridges operating in the Akhangaran district, with 14 of which situated within international roadst. (Table 1.15)
Table 1.15. Length and types of roads in Akhangran district, Tashkent region
Type of road Total Length Type of pavement (in km) Number of (in km) Concrete Asphalt Road-mix Bridges pavement pavement pavement International roads 98 19 79 0 14 Republican roads 133 5 102 26 15 Regional roads/ 139 0 139 0 9 Local roads Total 370 24 320 26 38 Source: Uzavtoyul, January 2011 86. The total length of roads in Pop district of Namangan region is 962 km; 69 km of which are International, 250 km of Republican. The total lenth of the Regional and local Roads is about 643 km. In total, more than 50% of roads are covered with an asphalt type of pavement. All International roads are of second category, and have asphalte pavement. At the same time, about 30% of the regional and local roads crushed rock roads. There are 14 bridges on International roads, 32 on Republican, 35 on Regional and Local Roads. (Table 1.16) Table 1.15. Length and types of roads in Pop district of Namangan province
Type of road Total Length Type of pavement (in km) Number of Bridges (in km) Asphalt Road-mix Crushed rock pavement pavement road International roads 69 69 0 0 14 Republican roads 250 191 59 0 32 Regional /Local 643 245 70 328 35 roads Total 962 505 129 328 81
The major road is under category 1. That means that this road should be six lanes road. But our road does not meet the specifications and requirements of the first category road. Current traffic, road-load is more than twice exceeds norms, instead of specified 7,000 motor vehicles a day, we have 18,000 cars. This is one of the reasons of the increasing of traffic accidents. Trucks are mostly overloaded, and in average twice overweighted, thus the road renovation that supposed to be for 7 years, will not last for more than 2 years. Representative of the road maintenance company Radius of the road curvature is insignificant, but there are no turn sighns which inform drivers on the road. Longitudinal slope is 7%, ie 7ç vertical for 100 ç. This grade should be reduced up-to 2-3%. Specialist of Road Maintenance Authorities
87. Since the project area situates in the mountains’ part there are limits on use of the types of transport means through the Kamchik pass. Buses and other types of transport means with the passenger load higher than 6 people are not allowed to pass through Kamchik. The most commonly preferred means of transport in accordance with the survey results are public transport – with minibuses being the most popular in use. These are mostly employed to reach colleges, hospitals and central markets - distant destinations that are limited in number and mostly located across the roads. Other destinations such as schools and workplaces that are located relatively close distance to residences are visited mostly on a daily basis by walking. Using a private car to access these destinations is the third most popular choice, which is justified by non-availability of cars in every household and limited fuel supply. Other alternatives such as using bicycles, motor bikes and animals/carts are seen as the least popular options. (Table 1.18)
Table 1.18. The use of transport types for different purposes by the members of household (%)
Destination Public Transport Private vehicle By walking School 7.14 0.00 91.42 College 52.38 0.00 47.61 Polyclinics 58.73 0.79 40.47 Hospital 90.40 0.80 8.80 Market 40.40 3.03 55.55 Source: Household Survey, June 2010 Lack of the pedestrian crosses makes crossing the road very dangerous. All cars are moving on the high speed, and of course it takes more time to decelerate if the animal or pedestrian will unexpectingly enter the road. Pedestrian crossing the road, stay long time the midlle waiting for passing cars. There are many accidents on the road, when cars hit the cattle and leave them on the road or on the roadside. Pensioner, Minor makhalla
Many parts of the road are unsafe. There is no separating strip or barriers. There is no pavement and all pedestrians, including kids have to walk along the road. This is very dangerous, especially when the cars are passing with the very high speed. There is no proper lightening neither traffic lights on the parts of the road going through populated areas. Ther are no public transport stops, or pedestrian crossings, no signs of speed limits. All this factors together make this road unsafe for the local population. Representative of Kamolot Fund’s district branch
92. While institutions such as schools, colleges and workplaces are attended on a daily basis, the majority of the households indicated that they visit hospitals and polyclinics less than once a month. Markets and other destinations are travelled to mostly as often as every 3-10 days).
For my kids it takes about one hour to get to their college, since we live far from the main road and from the college. We can not accurately plan the trasporattion time, as there is no time-table for mini-buses. In our case kids spend about two hours every day on road. I know that other families in our ovul have difficulties in covering transport costs for their children. Ovul resident
My son studies in the University in Tashkent, and stays in dormitory. He visits us on holidays and should use taxi or Damas to get home. It is quite expensive for us, but there are no other choices. Public buses are not allowed to go through Kamchik, only cars. Ovul resindent
Doctors from the central clinics are visiting our village in accordance with the schedule in order to provide medical services to the residents, and first of all to women and children. However, access to the hospitals and other medical establishements limited by the number of the factors related to the roads. For example just recently to get the women, who was in chaldbirth to the hospital, we needed to use helicopter. In other cases of emergency, we have no choice but use of private transport. Access roads from the highway to the rural settlements are also in very bad shape and this is also create additional problems during the medical ransportation of the people. In addition we need to get people to Angren Hospital, which is lacated way further from us compare to Akhangaran Hospital. When there is a emergency cases and we need to count for the minutes, this situation is also prevent us from provision of quality medical services in a timely manner. Doctor of Rural Medical Post and First response Post.
Table 1.19. Average spendings by destinations by the members of household ( %).
Beruniy district Destination Average time spent Average money (one way - minutes) spent (each time one way - sum) School 20.57 500.00 College 27.61 1481.14 Polyclinics 20.82 769.04 Hospital 33.80 1649.12 Market 21.66 909.75 Source: Household Survey, December 2010 88. Almost all households surveyed reported that they go to markets, hospitals and polyclinics at a distance where they either have to use public transport or a private vehicle (Table 1.13). In order to reach colleges/lyceums surveyed respondents have to travel in average 18 km, to hospitals 21 km, to go to markets household members should cover more than 22 km. Higher education institutions are also situated at locations distant to most of the households surveyed, due to the presence of these institutes in limited numbers and situated in urban areas. 89. Similarly, central hospitals are located in district centers, requiring households to use either public transport or private cars to access medical institutions in case of emergency. It takes more than 30 minutes on average to reach hospitals. However, the waiting period for the public transportation can exceed this figure up-to 2-3 times for households located at remote location. 90. Time spent on roads, alongside the use of transport tend to fluctuate with respect to seasonal changes as well. Majority of the households surveyed (89%) reported that the time spend on road increases during winter due to worsened state of roads caused by seasonal precipitation. Some households, about 27% reported that the transport use increases in summer. (Table 1.20)
If someone in our household gets sick and we need to get to the hospital on the emergency basis, there is no chance we will get ambulance. We just need to see our relatives or neighbours who have private cars and ask them for help. Now it is even more difficult because of the lack of gasoline. Makhalla Representative
The quality of the roads in our neighbourhood is terrible. In winter this situation worsens even more. It takes forever to wait until bus arrives and itvtakes longer to get to your destination. The number of breakeges due to bed shape of the road increases, and less transport means attending routes. Makhalla Resindent
Table 1.20. Seasonal fluctuations in transport use by household members (%)
Increases in Increases in Doesn’t change summer winter Transport use 26.98 1.58 71.42 Time spent on road 0.79 88.88 10.31 Money spent on transport 1.58 7.93 90.47 Source: Household Survey, December 2010
91. During the survey, households showed extremely high interest in the interest in the project and when asked, stated that the project will improve the existing situation.The overwhelming majority of the households (96.82%) are confident that, after the completion of the project existing situation with road and transport services will be improved. (Table 1.21).
Table 1.21 Trust and Willingness of Households to Participate in the Sub-project Activities (as % of sample size)
Percentage of Households who Believe that the Sub-project will Improve Sewage Situation Total 96.82 Women 100.00 Men 96.52 Poor 100.00 Non-poor 96.58 Uzbeks 98.11 Tajiks 90.00 Other Central Asian Ethnicities 0 Other Ethnicities 0 Source: Household Survey, December 2010 F. Ethnic Groups
92. According to survey results the ethnic composition of the population in the sub-project area is heterogeneous with the majority of population being Uzbeks and Tajiks. Representatives of other ethnicities such as Kazakhs and Kyrgyz make a total about 2% of the total population of two districts. Minority groups include Slavic, Korean and Tartar etnicities. Other representatives of Central Asian ethnicities (such as Karakaplaks) were not recorded in the survey. Ethinicty in the project area is shown in table 1.21
Table 1.21: Ethnicity in Project Area
Uzbek Tajik Slavic Kyrgyz Kazakh Other Total
Pop 163112 26214 481 222 0 842 190871 % 85.46 13.73 0.25 0.12 0.00 0.44 100 Akhangaran 72756 846 3215 1015 5076 1692 84600 % 86.00 1.00 3.80 1.20 6.00 2.00 100 TOTAL 235868 27060 3696 1237 5076 2534 275471 85.62 9.82 1.34 0.45 1.84 0.92 100 Source: Districts State Statistics Committies 93. 84.12% of the surveyed households’ heads are Uzbeks and 15.88% are Tajiks. The representatives of other ethnicities were not registered in the sample for this survey. According to the household survey, the poverty rate and other poverty indicators suggest some differences between ethnic groups. The share of the households with unemployed household heads among Uzbek enthinicity households is about 31% as compared with Tajik families, where this indicater is 5%. At the same time there are more households heads with completed higher eduction among Tajik families in comparison with Uzbek ones. 94. In the project area, the average size of household ranges from 4.45 (Tajiks) to 5.72 (Uzbeks). The share of children under 16 in Tajik households is as high as 36% compared to 30% for Uzbek families. (Table 1.22.).
Table 1.22. Ethnic composition of households
Uzbek Tajiks Other CA Other ethnicities Ethnicities Share of households with household heads with no education 0.00 0.00 0.00 0.00 Share of households with unemployed household heads 31.13 5.0 0.00 0.00 Share of households with household heads with higher 21.69 25.00 0.00 0.00 education Household size 5.72 4.45 0.00 0.00 Share of the children under 16 30.14 35.95 0.00 0.00 Share of poor 1.48 0.00 0.00 0.00 Source: Household Survey, December 2010 G. Gender Analysis
95. The total number of women in Pop district is 97,754 (51.2% of total population) and 42400 (50.9%) in Akhangaran. According to the survey results, women to men ratio in Pop district is1,049 and in Akhangaranis 1,036. 96. The data of the household survey reports very low level of illness. Only 19% of returns mentioned illness of family members during last 12 month. Of those who responded that they visited hospitals and polyclinics at least once within last one year, the majority responded that they have used public transport to access medical institutions. There were no gender difference observed in this issue. 85,71% of men as well as women noted usage of public transport while visiting hospital and 100% of them used public transport on the way to policlinics. Only 14,28% of men and also women reported usage of their private cars while visiting hospitals. 97. No men, women or children under 16 were visiting polyclinics or hospitals. It tells that medical service is not available on walking distance for inhabitants of these villages. Hospitals are centralized and located in district centers and cities, meaning that one should either use public transport or access it by private car. 98. The majority of respondents (72.22%) noticed that men and women equally use transport. Only one fifth of respondents (21.42%) belive that men use transport more ofthen then women. Less then 1% (0,79%) of respondents suggested that women and children use transport more ofthen then men.
Table 1.23. Gender composition of transport use by household members in project target area (In %) Users %
All use equally 72.22 Men use more often than women 21.42 Women use more often than men 0.79 Children (all under 16) use more often 1.58 Women and children use more often 0.79 Men and children use more often 3.17 Source: Household Survey, December 2010 99. Gender differences exist not only between household heads, but also between gender groups in general. These differences lay mainly within education and employment. The education level of women, particularly of higher education, is lower compared with that of men. Thus 23.47% of male household heads have higher education however this indicator is much lower in case of female household head (9.09%). Also more men then women have vocational education background. It follows to the total distribution of household members by gender and education level. 16.7% of all male population of surveyed households has higher education and only 6.97% of females have the same level. 100. Gender issue is visible in the structure of employment. Percentage of women working for the state owned entities (26.08%) is considerably lower than in case of men (41.29%). Also majority of men (77.11%) are working for the non-agriculture sectors howevere only 36.41% of women are working outside of agriculture. Unemployment rate of womenis nearby three times higher (6.52%) then of men (2.48%). One quarter of all men and 8.15% of women have temporal employment. 90.54% of all men population in the surveyed householdsare economically active however the same indicator for women has lower figure 64.13%. The number of unemployed female household heads is two times higher then the same indicator applied to men and constitutes 54.54% and 24.34% respectively.
101. Traditionally lower level of education should create considerable disadvantage in the labour market percpectives and level of income but the survey did not show correlation between level of education and income. Poverty rate for households headed by women 1,5 times higher then for households headed by men. The same time the number of entrepreneurs is twice higher among women (16.84%) then between men (8.95%). Among the surveyed respondents, entrepreneurs between female-headed households comprise 18.18% and between men only 7.82%. Considerable high level of women’s engagement into enrepreneurship suggests that women more actively using the opportunities that provides the road for trade development. Most of the women interviewed reported that although they do have official work, many of them sell their products, such as milk, yogurt, kurt, bread and samosas in the roadside markets.
Table 1.24. Differences between the female and male headed households (%). Women Men Heads of Households who have Not 0.00 0.00 Completed Basic School Education, % Heads of Households who have 90.90 76.52 Complete Basic Education % Heads of Households who have 9.09 23.47 Higher Education, % Unemployed Heads of Households of 54.54 24.34 Employable Age and Older, Employed Heads of Households of 45.45 75.65 Employable age and older Household Size, Persons 5.00 5.57 Poverty Rate, % 9.09 7.82 Average per capita Income 179.14 251.30
Source: Household Survey, December 2010 102. Most of the households surveyed, regardless of men or women, have basic education. Only one case was observed with adult women who had no education at all. Considerably high level of basic education followed by moderate level of technical-vocational and higher education. Table 1.25. Education level between adult men and women (%). Women Men
0.46 0.00 No education 4.18 1.27 Non-completed basic education 54.41 40.00 Basiɫ education 28.37 32.76 Vocational education 6.97 16.17 Higher education Source: Household Survey, December 2010 H. Consultations and Participation
103. The household and road users survey paid particular attention to the consultation and participation mechanism. The project potential outcomes, both possible positive and negative impacts being discussed during public consultations, structured and in-depth interviews. The information and data presented below reflect the ideas and outcomes of the analysis of information received during the survey and interviews. The issues which were raised by the meetings participants are summarized in Meetings minutes and presented as direct quotations in this report. 104. When asked, the majority of respondents stated that they believe that the project will improve the existing situation. The majority of the households are confident that, when the sub-project is completed, they will have well established road infrastructure and better access to social infrastructure institutions (education and healthcare) . 105. When asked whether the respondents are convinced that the sub-project will result in better business and trade opportunities, better access to public goods and services and greater access to education, healthcare and other social institutes, the majority of the respondents in all nine rural settlements surveyed responded positively (Table 1.26.).
Table 1.26. Share of households who believe that the construction of new road will create new opportunities (%).
Yes No Don’t know 96.82 0.00 3.17 Creation of new business opportunities 97.61 0.00 2.38 Better access to healthcare 84.92 1.58 13.49 Better access to education 86.50 0.79 12.69 Better access to public goods and services Source: Household Survey, December 2010
Lack of signs on the road is creating problems for the drivers, because absence of signs near populated settlement may result in unwanted accidents. These who do not know that there is populated area close road violate the speed limit regulations, which is not even marked on the road. Minibus driver
106. As a part of the survey, respondents were asked what issues related to existing roads and transport are of importance to them. (Table 1.27) It is noteworthy that two focus group discussions were organized for the representatives of rural settlements from Namangan and Tashkent region, and each group identified lists of issues that are of greater importance and specific to that particular sub-project area. 107. In the rural settlements of Tashkent region, Akhangaran district key issues identified included the Lack of public transport means, Limited number of gasoline/gas stations/absence or limited supply of gasoline, and lack of social infrastructure facilities along the road (toilets, drinking water sources, medical emergency units etc). 108. Participants of the FGD in Namangan region prioritized the following issues Lack of the social infrastructure/hygiene facilities along the road, Limited gas stations/absence or limited supply of gasoline; and Issues related to the lack of the public transport serving their settlements 109. Almost 30% of the household survey respondents identified as major issue quality of existing roads. More than 18% surveyed families selected public transport limitations. Interestingly, among the household survey participants lack of the social infrastructure/hygiene facilities along the road was not included into top three priorities. This indication can be explained by the fact that majority of respondents (households heads) participated in survey were men.
Table 1.27. Issues related to existing state of roads addressed by the household members ( %) Issues % Quality of existing roads 28.30 Public transport limitations (limited number of routes / limited number 18.78 of transport means) Limited number of road signs 11.90 15.34 Safety and security of the public transport means 4.49 Limited gas stations/absence or limited supply of gasoline Lack of the lightening system along the road 10.31 Lack of the social infrastructure/hygiene facilities along the road 7.14 Other 3.70 Source: Household Survey, December 2010 110. Households surveyed, based on their knowledge of the state of roads in the sub- project site, were also asked to identify the investment directions that they believe to be of highest priority. Top two priorities for the respondents were Reconstruction and rehabilitation of existing roads, (28.83% of all respondents selected this area), and Enhancement of the bus stops and stations’ conditions for passengers (about 24% of the surveyed households choose this priority for investments). The rest of the responses are summarized in Table 1.28 Table 1.28. Opinion of households on priorities for improvement of road infrastructure (%) Suggested Improvement 28.83 Reconstruction of existing roads 1.05 Construction of new roads 23.80 Enhancement of the bus stops and stations’ conditions for passengers 16.93 Increase the frequency of the public transport means 6.34 Expansion of public transport routes 10.84 Betterment of the road maintenance services 9.78 Improvement of road safety 2.38 Reduction of carbon emissions Source: Household Survey, December 2010
There are 130 students in our college and the main problem is attendance. Many students do regularly missing classes, and thus we cannot talk about quality education. . One of the reasons behind attendance problem is quality of the local roads. We have students who should cover 20 km every day. Even if they lucky and will catch up transport, they still have to walk to college. The roads inside village is in the bad shape, after snow or rain, kids from upper villages can not to reach college and parents decide to leave them home. . Secondly, because of the lack of road signs, public transport stop place, specially arranged pedestrian crossings, students and teachers who live in another part of the village, across the main road, forced to cross the road in any convenient place. We already had cases when kids were hit by passed cars. Classes in our college start at 8.30, and students from the distant villages should leave their houses early morning, and spend long time on road. Probably one of the options would be to have minibus for the college students. College Director We are attending college on the daily basis and spending about 45 minutes on the road. However, the biggest problem is the lack of the conventional bus/taxy stops. Minibus drivers can stop wherever they want, and passengers never know where they can be picked up. Therefore, we just stay on the roadside and wait. This creates not only inconvenience for the passengers, but it is also not safe. Structured Interview participant
I. Social Safeguard Issues
Involuntary Resettlement
111. There is no land acquisition or resettlement issues associated with Project 1, since reconstruction works remain within existing right of way where it is with no significant impact structures along the road. V. ROAD USERS SURVEY RESULTS
A. Road Users – Passengers
This section outlines the results of the poverty and social analysis of the major road users: passengers and drivers. The survey with the road users were inmplemented in December 2010 in passengers pick-up/drop-off points the following locatios in Ferghana Valley and Tashkent region: Namangan, Andijan, Ferghana, Kokand, Margilan, Chust/Pap, Angren and Tashkent city.
B. Road Users – Passengers
112. This section outlines the results of the poverty and social analysis of the major road users: passengers and drivers. The survey with the road users were inmplemented in December 2010 in passengers pick-up/drop-off points the following locatios in Ferghana Valley and Tashkent region: Namangan, Andijan, Ferghana, Kokand, Margilan, Chust/Pap, Angren and Tashkent city. 113. Access to basic communal services: The Road users (passengers) survey revealed that among passengers who uses A-373 road, an average of about 83% of the households have access to centralised water supply system, almost 100% surveyed passengers’ households are supplied with electricity and about 90% with centralized natural gaz supply system. There is a difference between households resided in the apartments and passengers who live in detached houses in access to basic communal services. Table 4.1 Coverage of Households with Municipal Services.
access to access to centralized access to electricity natural gas water supply
Poor 100 100 100 Non-poor 91.83 98.97 88.77 House 89.47 100 85.52 Apt. 100 95.83 100 Total 92 99 89 average Source: Road Users (Passengers) Survey, December, 2010
C. Poverty Profile, Incomes and Employment of the Passengers
114. Among the passengers participated in Passenger’s survey in Ferghana valley and Tashkent regiononly 2% are considered poor (less than 2.15 USD per day par capita). According to the results of the passenger’s survey, the average monthly per capita income of poor households in December was 82,770 UZSum, which is almost 3.5 times lower than that of non-poor households (319,730 sum). Analysis of the expenditures of the poor and non- poor passengers’ householdsdemonstrated that average monthlyper capita expenditures in December 2010 was 269,970 sum, with little difference between poor and non-poor households. At the same time, as Table 4.2.shows there is a considerable discrepancy in income-expenditures indicators in poor households. It should be mentioned here that this difference can be explained by two factors: (i) the period of the time, when this survey took place, was the time prior to Eid Al-Adha (Muslim festival of sacrificial offering), when many families buy cattle for sacrificing; (ii) autumn also the time of the weddings, and many families participated in the survey beard considerable expenses for furniture and other durable goods. Table 4.2 Income and Expenditure Indicators of Passengers Surveyed in December 2010
Average Monthly par-capita Average Monthly per- Expenditures, capita Income, 000’s sum 000’s sum Total 315.52 269.97 Poor 82.77 242.77 Non-poor 319.73 270.46 Source: Road Users survey, 2010
115. Only 2% of the surveyed passengers households have per–capita per-day income less then 2.15. From the perspectives of this PSA report writers this particular poor/non-poor ratio can be explained by the range of the following factors: survey for the road users was organised in the major passengers pick-up/drop-of points for the long-distance trips; since public buses are not allowed to get through the Kamchik pass these trips are served only by passenger car/taxis, and the costs are relatively high (in average 20-25 thousand Uzb sum). thus this factors naturally limits access to the passengers from low-income households. 116. The most significant income sources in terms of contribution to family income and coverage are: (i) income received from hired employment in the non-agricultural sector (34.22% of household income) with about 71% of the total number of surveyed passengers receiving this type of income and (ii) income fromnon-agricultural Enterpreneurial Activities with 65% of the surveyed households reported to receive this type of income and average contribution to the total household income from these proceeds is about 34% . Income from marketing own agricultural products contributes about 11% in total household income while 23% of surveyed passengers stated that their households receive this type of income.
Table 4.3 Average Weighted Structure of Income of Poor and Non-poor Households among the passengers surveyed in December 2010
Average Total Percentage of Contribution to Income, 000’s Households Total SUM Receiving such Household Income, % Income, % 177.70 23 11.13 Income from Marketing Own Agricultural Products 0.0 0.0 0.0 Poor 181.32 23.46 11.18 Non-poor Income from Non-agricultural 544.90 65 34.13 Entrepreneurial Activities Poor 0.0 0.0 0.0 556.02 66.32 34.29 Non-poor Income from Hired Employment in the 546.41 71.00 34.22 Non-agricultural Sector 350.0 100 93.95 Poor 550.41 70.40 33.9 Non-poor Income from Hired Employment in the 19.0 5.0 1.19 Agricultural Sector 0.0 0.0 0.0 Poor Table 4.3 Average Weighted Structure of Income of Poor and Non-poor Households among the passengers surveyed in December 2010
Average Total Percentage of Contribution to Income, 000’s Households Total SUM Receiving such Household Income, % Income, % 19.38 5.10 1.19 Non-poor
Old-Age Pensions 129.43 35 8.1 Poor 0.0 0.0 0.0 Non-poor 132.07 35.71 8.14 Disability Pensions and Benefits 1.47 2.0 0.1 Poor 0.0 0.0 0.0 Non-poor 1.5 2.04 0.1 Social Benefits for Low-income Families 1.9 3.0 0.12 Poor 0.0 0.0 0.0 Non-poor 1.91 3.06 0.12 Social Benefits for Families with Children 8.76 12 0.54 Aged 2-18 Poor 22.50 50.0 6.04 Non-poor 8.47 11.22 0.53 Social Benefits for Families with Children 2.50 4.0 0.15 Aged under 2 Poor 0.0 0.0 0.0 Non-poor 2.55 4.08 0.15 Other Social Security Benefits 9.89 9.0 0.62 Poor 0.0 0.0 0.0 Non-poor 10.1 9.18 0.62 Remittances sent from abroad 103.50 14.0 6.5 Poor 0.0 0.0 0.0 Non-poor 105.61 14.28 6.51 Other Income 51.10 18.00 3.2 Poor 0.0 0.0 0.0 Non-poor 52.14 18.36 3.21 Source: Household survey, December 2010 117. Another relatively large source of income is old-age pensions. 35% of the surveyed passengers reported to receive this tipe of income, which in average contributes 8% to the total household proceeds. The social benefits, such as Disability Pensions, Social Benefits for Low-Income families, Benefits for Families with Children Aged 2-18 and Social Benefits for Families with Children Aged under 2 are bringing in total less than 1 to total household income. 118. Average total income in poor families is lower than in non-poor. In general, most of types of income which earned by non-poor households are not to be found among the poor ones, with only one exemption for Income from Hired Empoyment in the Non-agricultural sector, which brings to poor families about 94% of the total households income. The structure of income is different in poor families compared with non-poor ones. For example social benefits for the Families with the Children Aged 2-18 brings in average 6% to the total household’income for poor families whilre only half percent for the non-poor ones. Among non-poor families, the share of income from remittances is around 7% and no such income was registered for surveyed poor households. 119. Despite the fact that agricultural employment is not the most significant income source among the households surveyed, more than 30% of respondents from non-poor households reported seasonal fluctuations in incomes. All participated respondents from poor households stated that their ncome does not change during the year. (Table 3.14). Table 4.3. Seasonal Fluctuations in Passengers Income % of all passengers surveyed
Income Is Higher Income Is Income Does Not in Summer Higher in Winter Change During the Year Total 29.0 3.0 68.0 Poor 0.0 0.0 100 Non-poor 29.59 3.06 67.34 Source: Passengers survey, 2010 120. The analysis of the households’ expenditures of the passengers surveyed in December 2010, revealed that almost 100% of the households bear transport expenditures (in average 119,200 sum per month), with the almost no difference between the poor and non-poor families. The share of the transport costs in the total amount of households’ expenditures higher among non-poor families (8.77% non-poor compared to 5.95% of the poor households’ expenditures). In average poor households spend nearly twice less for this tipe of expenses in comparence with non-poor ones (65,000 sum and 120,360 sum respectively). 121. Costs associated with education are reported to be higher among poor families and represent more than 10% of the total households’ expenditures among the surveyed poor households compare to 2.66% for non-poor families.
Table 4.4. Average Weighted Structure of Expenditures of the Poor and Non-Poor Households among the passengers surveyed in December 2010 Average Total Percentage of Percentage in Expenditures, 000’s Households Having Total SUM such Expenditures Expenditures Foodstuffs 362.40 99.0 26.53 Poor 475.0 100 43.48 Non-poor 360.1 98.97 26.25 Clothes & Footwear 151.55 82.0 11.09 Poor 140.0 100.0 12.81 Non-poor 151.78 81.63 11.06 House maintenance and utilities 54.23 99.0 3.97 Poor 90.0 100.0 8.24 Non-poor 53.5 98.97 3.9 Payment for Education 38.12 72.0 2.8 Poor 115.0 100 10.52 Non-poor 36.55 71.42 2.66 Payment for Healthcare 86.60 81.0 6.34 Poor 57.5 100.0 5.2 Non-poor 87.19 80.61 6.4 Expenditures for Transport (including 119.2 99.0 8.73 fuel) Poor 65.0 100.0 5.95 Table 4.4. Average Weighted Structure of Expenditures of the Poor and Non-Poor Households among the passengers surveyed in December 2010 Average Total Percentage of Percentage in Expenditures, 000’s Households Having Total SUM such Expenditures Expenditures Non-poor 120.36 98.97 8.77 Expenditures for Durable goods (such as 150.6 25.0 11.02 furniture) Poor 0.0 0.0 0.0 Non-poor 153.67 25.51 11.2 Savings 275.3 90.0 20.15 Poor 150.0 50.0 13.73 Non-poor 277.8 90.81 20.26 Other expenditures 128.0 22.0 9.37 Poor 0.0 0.0 0.0 Non-poor 130.61 22.44 9.52 Source: Passengers survey, 2010 122. The Passengers’ survey showed that family size and structure appear to influence total household income, as well as expenditures’ structure. Passengers’ survey confirmed the general tendency, which was identified through household survey in Sub-project area, is: poor households usually have bigger number of the family members under 16 years. As it was mentioned during the interviews with passengers, there are no facilities that support travelling with children, neither in transport means, nor along the roads and bus stops.
Table 4.5. Demographic Characteristics of Passengers’ Households.
Average Family Family Family Family Members Family Size, Members Members Members in Receiving Old-age Persons under under Pension Age, or Disability 7 Years of 16 Years of % Pensions, % Age, % Age, % Total average 5.06 10.27 27.47 8.10 8.89 Poor 4.50 11.11 55.55 0.00 0.00 Non-poor 5.07 10.26 26.96 8.24 9.05 Source: Passengers survey, December 2010
123. Most respondents of the passengers’ survey preferred use public transport, wich is mostly represented by minibuses to reach major destinations. The results of the survey demonstrated that most household members are using public transport means to reach colleges and Higher Education Institutions and markets. In total, more than 60% of the surveyed passengers use transport (both public transport and private vehicles) to reach major social infrastructure destinations. Other alternatives such as bicycles, motor-bikes, and animal-carts are least popular among the passengers.
Table 4.6. The use of transport types for different purposes by the members of Pasengers’ households
Destination Public Transport Private Bicycle Motor Animal/Ca By vehicle bike rt walking Passengers of Ferghana valley and Tashkent region School 11.94 0.00 0.00 1.49 5.97 80.59 College 72.72 3.03 0.00 0.00 0.00 24.24 Polyclinics 58.16 18.36 0.00 0.00 0.00 23.46 Hospital 63.44 25.80 0.00 0.00 1.07 9.67 Work 60.75 24.05 3.79 1.26 0.00 10.12 Market 71.87 19.79 1.04 2.08 0.00 5.20 Other 54.54 45.45 0.00 0.00 0.00 0.00
124. Colleges and Higher Education Institutions are usually situated at distant locations to the most of the passengers surveyed. The average distance which is covered by college students to reach their educational institutions is about 7 km (one way).Because of the distance many of the students attending colleges and HEI on a weekly basis, leaving their households on early morning on Monday and coming back on Saturday afternoon. Students on average spend 25 minutes on the road, and one-way trip costs in average around 770 sum. 125. It is also need to be mentioned in this report that central hospitals and clinics located in district and regional centers and thus require from the households members to use either public transport (taxis for 4 or 6 passengers) or private cars to reach this destination. It takes in average about 15 minutes to reach hospital and policlinic (without the time for waiting). However, it should be also mentioned that waiting time can vary from one destination to another, and most of thime considerably increase the time on the road).
Table 4.7. Seasonal fluctuations in transport use by passengers and members of their households (%)
Increases in summer Increases in winter Doesn’t change Transport use 18.00 3.00 79.00 Time spent on road 5.00 77.00 18.00 Money spent on transport 0.00 10.00 90.00 Source: Passengers’ Survey, December 2010 126. Passengers’ survey results revealed that there are minor seasonal flactations in the use of transport. Majrity of respondents (about 80%) commented that frequesncy of transport use doesn’t change during the year, but 77% of respondents agreed that time spent on the road increase in winter time, due to deterioration of the roads conditions and lack of the transport means. Overwelming majority of the surveyed passengers expressed their opinion that there are no seasonal changes of transportation costs during the year.Transport charges increase depends on the increase of the gasoline costs, as well as two-three times a year with the increases of the minimal salary level.
Table 4.8. Issues related to existing state of road addressed by the passengers surveyed in July 2010. (%)
Issues * Quality of existing roads 31.0 Public transport limitations (limited number of routes / limited 8.66 number of transport means) Limited number of road signs 5.33 Safety and security of the public transport means 18.66 Limited gas stations/absence or limited supply of gasoline 8.66 Lack of Road lightening points 13.66 Lack of social infrastructure facilties 13.33 Other 0.66 Source: Passengers’ Survey, December 2010 127. During the passengers’ survey, respondents were asked to identify three major problems related to the roads and transport services.The most imperious problems for the surveyed passengers were quality of the existing roads (31%), Safety and security of the public transport means (18.66%). Lack of Road lightening points and Lack of social infrastructure facilties (each) were selected by more than 13% of the passengers as major problem associated with the road use. Structured interviews supported findings of the passengers survey, and many of the participants expressed their concerns regarding the lack of the road lightening, safety and security of the public transport and lack of the social infrastructure facilities, including public transport stop points.
Our school located near the road, and there are no any signs of the existence of the school. School teachers are always have to take care of children crossing the road, and playing outside. Structured Interviews participant-Teacher of the local school.
Table 4.9. Gender composition of transport use by passengers and household members (In %)
Users Passeng ers All members of the household use equally 57.0 Men use more often than women 15.0 Women use more often than men 9.0 Children (all under 16) use more often 2.0 Women and children use more often 10.0 Men and children use more often 7.0 Source: Passengers’ Survey, December 2010 128. Analysis of the passengers’ survey results indicated that 57% of the passengers believe that All members of their households use transport equally, another 15% stated that men use transport more often.However, as it was noted during structured interviews and FGD lack of the bus-stops, necessary facilities along the road, such as toilets and water taps also affect decision of the women and children to travel. 129. The overwhelming majority of the passengers surveyed stated they are using public transport and private cars to reach medical institutions, such as hospitals and polyclinics. 130. 93% of the surveyed passengers believe that improved road will create better opportunities for local business development, 87% stated that it will also expand possibilities for marketing own agricultural products. More than 70% of the passengers using A-373 road think that reconstructed road will ensure better access for the general population to the healthcare system and educational institutions, especially secondary special and professional schools and Higher Education.83% of the survey respondents trust that improved road will provide broader opportunities for access to consumable goods.
Table 4.10. Share of passengers who believe that the proposed project will create better opportunities for population.
Opportunities In % New Business development opportunities 93.0 New opportunities to marketing own agricultural products 87.0 Better access to health-care institutions 71.0 Better access to education 77.0 Better access to consumable goods 83.0 Source: Passengers’ Survey, December 2010 131. While identifying priorities for investments in development road sector and transport, passengers expressed their opinions and identified as the first priority rehabilitation of the existing roads.Improvement of facilities of bus stations and bus stops for passengers is the second most commonly selected priority. The third investment priority selected by about 14% of the passengers is improvement of the road maintenance services. (Table 4.9) Table 4.11. Priorities for investments for the Passengers.
Investments In % Rehabilitation of existing roads 30.66 Construction of new roads 3.33 Improvement of facilities of bus stations and bus stops 18.66 for passengers Increase the number of public transport means 9.0 Improvement of public transport coverage/better routes 5.0 Improvement of road maintenance services 13.66 Improvement of road safety and security measures 12.66 Reduce Carbon emission 7.0 Source: Passengers’ Survey, December 2010
D. Road Users –Drivers
132. In Uzbekistan driving as a business is considered as mostly male job, which requires certain physical condition and extensive travels. Data collected shows that all drivers were male. Their average driving experience is about 17.5 years. Majority of surveyed respondents regard driving as their main business, which allows them to earn day-to-day cash by transportation of passengers and goods. For the most drivers - about 86% of surveyed - driving is their main occupation, and only 14% drive for additional earning.
Table 4.12. Transport means of the drivers (In %)
Public bus 0.00 Tourist bus 0.00 Minibus 1.00 Taxi 75.00 Freight 15.00 Pick-up 4.00 Other 5.00 Source: Road Users Survey, December 2010 133. The biggest share of transport means used for transportation through Kamchik pass has taxis – cars with up to 6 passenger seats. Aiming passengers’ safety reasons the Government has prohibited carry people through the mountain pass by transport means with more then 6 passengers in a car. Therefore to cross the mountain Kamchik pass one may use only small cars. People are widely uses these private taxis for travelling, because of high demand for transport services and the only existing option for passengers. Private taxis maintain the major share of transport flow through the pass and comprise of 75% of total. The other greatest share devoted to freight lorries, which makes 15% of traffic. No driver of public or tourist buses were found as a result of the survey, which is explainable by the fact that these buses are prohibited to go through the pass. The other means lile microbus, pickup car and other car have respectively only 1%, 4% and 5% share.
Table 4.13. Ownership of transport means (in %)
Private 63.00 State company ownership 0 Private company ownership 1.00 Rented from private company 1.00 Rented from physical entity 35.00 Other 0.00 Source: Road Users Survey, December 2010 134. It seams that there are no many options for transport ownersip. Among the surveyed drivers, 63% use their own transport, while 35% rent vehicles from other person. Share of transport means owned by both state companies (0%) and private companies (1%) is not substantial however observation suggests that Kamchik pass and the road 373 heavily used for transportation of oil from Ferghana to Angren oil storage unit. This transportation managed by state owned company and carried by heavy (50 tones) oil carrier tracks. Table 4.14. Frequency of using the road (In %)
Every day 20.00 3-5 times per week 38.00 Every week 27.00 2-3 times per month 11.00 Every month 4.00 Rare than that 0.00 Source: Road Users Survey, December 2010
Table 4.15. Frequency of using the road by transport means ownership. (In %)
Every day 3-5 times per Every week 2-3 times per Every month week month Private 23.80 30.15 31.74 9.52 4.76 State company 0 0 0 0 0.00 ownership Private company 0.00 0.00 0.00 100.00 0.00 ownership Rented from private 0.00 100.00 0.00 100.00 0.00 company Rented from physical 14.28 54.28 20.00 8.57 2.85 entity Other 0.00 0.00 0.00 0.00 0.00 Source: Road Users Survey, December 2010 135. Outcomes on question about frequesncy of use of roadsuggests that between 55% (own car) and 70% (rented car) of drivers use the road every or nearby every day. That correspond to the data that for 86% of drivers it is their main occupation and source of income. Table 4.16. Seasonal Fluctuations in transport use. (In %) Summer Winter Doesn’t change
Increase of usage 35.00 2.00 63.00 Increase time 1.00 97.00 2.00 Increase costs 2.00 22.00 76.00 Source: Road Users Survey, July 2010 136. There is slight seasonal fluctuation in transport usage. According to the data collected majority of the drivers surveyed (63%) indicated that their use of transport means does not change due to season, however one third of them note increase in summer period. That situation probably suggests that the quality of the road allows intensive use of the road in any season. Also this particular road is the only transportation option between Ferghana valley and the main part of Uzbekistan. Clearly winter season worthening road condition. Snow and ice make driving slow and so increase time of transportation. The same time price for transportationa seams dos not linked very much to season. Only 22% of drivers thinking that winter bring higher cost whereas 76% belive that price does not change due to season. It suggests that price mostly depend on other factors. . Table 4.17. Issues related to driving on your route (In %)
Issues Good Fair Poor Quality of the road 27.00 52.00 21.00 Lack of public transport 44.00 22.00 34.00 Lack of Safety Road Signs and barriers 45.00 46.00 9.00 Safety of transport means 47.00 43.00 10.00 Gas stations/limited availability of gasoline 11.00 65.00 24.00 High prices of gasoline 9.00 62.00 29.00 Transport fares / tariffs 17.00 67.00 16.00 Source: Road Users Survey, December 2010 137. The condition of the road bed still has room to be improved, as21% per of interviewed road user consider that it is in bad condition, however and half of them found it fair. The 44% of road user think availablility of public transport is fine but 34% think that it should be increased. Only 9-10% of interviewed drivers concerned with the lack of safety on roads. Instead about 90% of drivers assessed the safety of transport means as good orfair. In this safety issue substantial difference between drivers and passengers views is visible. 138. The issue of availability of gasoline and gas stations seams to be in moderate condition. Availability of gasoline at gas station is deemed as fair by 65% of drivers and as good by 11%. Only one quarter of drivers assessed fuel availability as an issue on the road. Nearby the same situation with perception of price for fuel. Survey results suggests that drivers more or less happy with the current structure of transportation costs and traffic fares. 17% of drivers considered current fare rates as good and 67% as fair. Only 16% of drivers are not happy with the traffic fares gave them poor evaluation mark. Table 4.18. Priorities of the Investments’ directions related to the improvement of the road infrastructure. (%) % Rehabilitation of existing road 31.33 Construction of new roads 3.33 Improvement of facilities of bus stations and bus stops for 6.66 passengers Increased frequency of public transport means 1,33 Improvement of public transport coverage/betther routes 6.00 Improvement of road maintenance services 26.33 Improvement of road safety and security measures 15.33
Reduced Carbon emission 9.66
Source: Road Users Survey, December 2010 139. Accorging to the opinion of drivers, the priority for investments should be directed to the rehabilitation and maintenance of roads. In percentage the total weight for this direction of investment preference is about 58% including 31,33% given to road rehabilitation and 26,33 to road maintenance. Construction of new roads mentioned only 3,33% of drivers which suggests that the existing road in prinsiple meet the existing demand. The conducted survey proves the rationality of bigger part of investment in rehabilitation and maintenance of existing roads. Other directions such as improvement of facilities and services for road users including bus stops for passengers, improvement of road maintenance service and improvement of road safety and security measures are not seen as highest priority directions for interviewed drivers. Issues related to better service for passengers take in average 5%, including 1.33% for increasing frequency of public trasportation means, 6.00% for improvement of public transport coverage,developing better routes and 6,66% for improvement of bus stop conditions for passengers.Drivers expressed moderate level of concern by carbon emission. 9.66% of drivers mentioned carbon emission reduction as priority issue for investment. Table 4.19 Average structure of expenditure of drivers in %
Type of expenditure %
Fuel 54.09 Regular maintenance of the vehicle 0.11 Irregular maintenance / car fix caused by the poor condition of roads 28.36 Rent (if any) 16.23 Insurance 0.17 Other (Specify) 1.01 Source: Road Users Survey, December 2010 140. Naturally drivers are directly affected by availability of gasoline and its price. Being the main factor of driving, the fuel is the biggest type of expenditures. Drivers spend about 54% of total expenditures on fuel. Another type of expenditure 28% of total is irregular maintenance and fix of vehicles caused by poor road bed. Regular maintenance makes only 0,11% of total expenditures. Car rentalso provide large contrbution into total expenditure structure and comprise about 16%. Car insurance makes very little share and less than 1% of total expenditures. Table 4.20 Average structure of monthly expenditure by mean of transport in thousands UZSum Expenditure Minibus Taxi Freight Pick-up
1. Fuel 160.00 368.20 1210.00 387.50 2. Regular maintenance of the 00.00 1.16 1.20 0.00 vehicle 3. Irregular maintenance / car 100.00 194.93 698.00 282.50 fix caused by the poor condition of roads 4. Rent (if any) 00.00 167.73 123.33 0.00 5. Insurance 00.00 1.72 2.06 0.00 6. Other (Specify) 00.00 10.26 2.00 37.50 Source: Road users Survey, December 2010 141. Due to the road safety policies small vehicles have greatest passenger turnover. Fuel is the main type of monthly expenditure for all types of vehicles. It’s share for taxi is 49,5%, whereas for big lorries it grow up to 60%. Regular maintenance share is extremely low for all types of transport means taking in average only 1% of cost. There is considerable difference in the average monthly irregular maintenance expenditures depending on kind of car. Thus for for pick-ups and minibuses it comprise about 39% of total expenditure andhigher then for freight (34%) and much higher then for small cars (26%). Table 4.21. Average structure of revenue of drivers in %
Types of revenue %
1. Wage / salary 1.40 2. Additional earning (remainder from daily planned sum) 85.95 3. Bonuses 0.00 4. Renting the vehicle to others (if any) 6.38 5. Other (Specify) 6.25 Source: Road users Survey, December 2010 142. As long as absolute majority of drivers are using either their own transport (63%) or renting it from other person (35%) the main source of income cannot be salary butis a direct revenue earned from transportation. In the survey it was coded as an additional revenew after extracting all expences including rent. This makes up to 86% of total revenues. Only 1% of driversare working for transport companies and receive salary, but even they also have additional earningsdaily. None of drivers mentioned bonuses. Renting vehicles to othersincases of minibuses and pick-ups presentconsiderably large income but for taxi and big lorries there were observed only few cases and theis share in total revenew is not big. Renting several cars to others is considered as source of significant income.
Table 4.22. Average monthly revenues earned by drivers (In 000’ s UZSum).
Expenditure Minibus Taxi Freight Pick-up
1. Wage / salary 0.00 14.66 0.00 0.00 2. Additional earning (remainder 500.00 628.26 946.66 725.00 from daily planned sum) 3. Bonuses 0.00 0.00 0.00 0.00 4. Renting the vehicle to others (if 400.00 51.33 23.33 100.00 any) 5. Other (Specify) 0.00 49.33 80.00 0.00 Source: Road users Survey, December 2010
Open question analysis. Drivers
# of Issues of concern entries % Road technical infrastructure. Including traffic and road lights, signs, side walks and pedestrian passes. 6 9.23 Workshops and fuel stations 33 50.77 Road social infrastructure including camping, parking, café, toilets, ambulance 21 32.31 Road management including control of big lorries, check points, criminals and police 5 7.69
Total entries 65 100
Analysis of open questions suggests that main point of concern for drivers is an availabity of maintenance workshops and gas stations. That corresponds to the fact that the fuel and occasional maintenance are the main expenditure items. Over then 30% of drivers were concerned with the existing social infrastructure availability of services such as camping, parking, catering and medical. VI. SOCIOECONOMIC IMPACT OF REHABILITATION AND CONSTRUCTION OF THE INTERNATIONAL HIGHWAY A-373
143. While the sub-project will not have a direct impact on income growth and poverty reduction in the sub-project area, the indirect impacts on the living standards and well- being of the local population will be significant. The expected economic and social impacts of the sub-project will benefit the several groups. The most significant impacts of the Project are grouped as follows: x If the sub-project is implemented, the population of the districts will have better access to education establishments. Namely, higher education institutes which are more concentrated in capital, regional centers and big cities such as Ferghana, Andijan, Namangan and Tashkent, will be accessed more easily, in terms of the frequency and of travel and time spent on road. x The project will have positive effect on healthcare by improving the access to healthcare facilities, centralized hospitals and specialized medical establishments located in big cities. This is expected to have particular positive impact on women and children who, according to the survey results, are less likely to visit healthcare institutions. Reducing the difficulties existing in visiting hospitals and other medical institutions will not only reduce household expenditure on medical treatments, but will also increase the economic activity of household members of employable age, including women. This is particularly important for those households who currently cannot afford the dedication of significant resources for costs of medical services and medical expenses. x Because of the sub-project, additional business opportunities will be created for entrepreneurs to start up new food serving facilities, vehicle maintenance shops, gas stations, campings and other facilities alongside the new road. Improved road will contribute to the development of infrastructure alongside the road, provided better conditions for transportation and supplies. x It is also expected that the sub-project will, to some extent, contribute to reduction of unemployment and generation of jobs during and after the construction of new road. A few jobs for skilled professionals could be created in those organizations responsible for the maintenance and repair of the roads. Jobs for unskilled workers could also be created during construction activities in the form of public works that may involve some currently unemployed persons registered in the local employment offices. Improved road infrastructure will attract new investments and businesses, creating additional workplaces. The indirect impact of the sub-project on employment will be in the form of expanded opportunities for employment and self-employment in such sectors as public catering and service provision. x Implementation of the sub-project will significantly increase the quality of travel of road users, particularly the passengers of socially vulnerable population groups: elderly, people with disabilities, and children will benefit improved road infrastructure most. The sub-project will have exact impact on improving women’s quality of life, establishing and improving sanitation facilities for women. x Implementation of the sub-project will also lead to a reduction in households’ expenditures and time spent on transportation purposes and maintenance of transport means. x New roads will be of particular use in marketing and distribution of agricultural products such as rise and crops, which are cultivated in the region and supplied to other provinces. These will be of assistance to farmers who deliver their products to distant locations and major markets. Increased incoming flow of public products and fast moving consumption goods will also have positive impact on household structure of expenditures and particularly benefit families with lower income. In addition, this is expected to increase the competition leading to better quality of the products offered and maintaining market prices stable. x The largest positive impact of the sub-project will benefit road users, particularly, the drivers (operators) of long-distance passenger routes and freight forwarders whose nature of work is directly reliant on the state of roads. Not only the income received from transportation but also additional services provided to road users will be improved significantly. x It should be kept in mind that positive socioeconomic impact of the Project goes beyond the Project area. A373 will also benefit the population of other districts who travel across the sub-project area. These predominantly will be the tourists, both local and international, who travel with the purpose of visiting historical, cultural and ecological sights of the Ferghana valley regions. A373 road is heavily used by the road users who travels to Osh/Kyrgizstan. x Rehabilitation of the Road and Transport systems will enable the increased effectiveness of other related projects being implemented in the area funded by the Government’s (fiscal) budget and local Hokimiyats, including projects on development of small-scale businesses. ANNEXES
Focus Group Discussions Reports
Focus Group Discussion Report
Date: 06.01.2011 Place: Namangan Region, Koshminor village. College of Chetsuv. Participants: 36 (list is attached)
Aim of FGD :
1. To adress problems of population living around the road Ⱥ-373 108-208 km. 2. To define key areas of future investment.
The FGD was organised in facilities of Chetsuv College. Participants represented local Hokimiat, local NGOs, local businesses, mahallas, community elders, road workers, heath care workers, road police. Session-1. The results of household survey was presented to the audience by Mrs. Asrakulova, team leader of the survey group. Session 2: Participants made a brainstorming and selection of three priority areas
- Lack of social infrastructure
- Lack of gas stations and fuel
- Issue of public transportation
Participants of FGD developed the following Suggestions
Social infrastructure
In the area of 144-208 km between ɤɦ villages Koshminor and Rezak there is a need to:
- build gas-stations in villages Koshminor and Rezak
- build parking places villages Koshminor and Rezak
- install water tubes and taps for drinking water.
- install road lighting
- build bridge for schoolchildren in the village Rezak. - build busstation in the village Koshminor for pasengers going to Chodak, Namangan, Pop,
Chust, Kokand, Tashkent.
- build emergency healthcare facility in Rezak.
- build shops serving 800 inhabitants of Reazak
- build undeground pass on 196 km and install trafic light
- build emergency health care facility in Koshminor village
- Koshminor village also need motel, school, firestation, drugstore and cafe
- change existing road signs with signs 1200ɯ1200 size and lightreflection
- renovate Chodak village road
The representative of local hokimiat made some remarks: The new school will be built on the right side of the road. There is a need for pedestrian pass and trafic light.
Gas stations and fuel
- there is a petrol on 195 km but no fuel, there is a need for liquid gaz station.
Public transport
- there is no buses and no permission for them
- the quality of the road does not meet standard for bus
- students cannot attend the school
- there is a need to allow buses to serve local passengers
Investment priorities:
- establish and improve bus stops and parking places - improve public transportation - rehabilitate existing roads At the end of FGD the Deputy Hokim of Pop district assured the audience that the district management will take care on social infrastructure development.
Focus Group Discussion Report
Date: 05.01.2011 Place: Tashkent Region, Akhangaron Distri, Chetsuv village. Chetsuv college. Participants: 47 (list is attached)
Aim of FGD :
1. To adress problems of population living around the road Ⱥ-373 108-208 km. 2. To define key areas of future investment.
The FGD was organised in facilities of Chetsuv College. Participants represented local Hokimiat, local NGOs, local businesses, mahallas, community elders, road workers, heath care workers, road police. Session-1. The results of household survey was presented to the audience by Mrs. Asrakulova, team leader of the survey group. Session 2: Participants made a brainstorming and selection of three priority areas - lack of public transportation - lack of fuel and gaz stations - lack of social infrastructure.
Particiants were divided into groups and discussed priority areas. Lack of public transportation - 7 villages with population some of 8 thousands people served by two buses travelling with interval of 2-2,5 hours. - No bus stops established - The main bus users are students and workers of coal mining who travels to Angren city every day. - There is no road lighting on the way from Angren to Chetsuv, where villages Bogi-Surkh, Chinor, Serkakirildi, Tanga topdi are locating. - There is no trafic signs or they are not reflecting lights in the night. - No phone service coverage in the villages. - The police inspection post «Chinor» located whithin Tashkent Region. If one lives and works in different regions one have to pass inspection post twice a day.
Problems origins: - There were no research of needs and problems of local population when the road was constructed. - Population did not adress these poblems yet.
These problem lead to the following: - Population losing time for transportation. Students are late for classes. Workers are late home and under stress. - Transportation cost is high - Too many cold related deseases in winter - The road is not safe for pedestrians and vehicles.
Suggestions: - Increase number of public transport by mean of public and private service. - To study needs of population before start of construction - to build and improve social infrastructure facilities including toilets, cafe, bus stops, drugstores, emegrency units, phone lines, gas stations. - build side walks, - install trafic lights - Establish pedestrian and livestock passes - Install road lighting - Build markets - Replace police inspection post Chinor.
Petrol and gas stations Due to lack of gasstations - Population losing time for transportation. Students are late for classes. Workers are late home and under stress. Elders and ill cannot reach medical facilities. - Transportation cost is high - Private cars rarely used
Suggestions: - Build petrol and gas station in the village Chetsuv on 26 km and Kuksaroy on 126 km - In order to secure safety on the road establish road brake points. - Establish car repair points - Rehabilitate village roads.
Lack of social infrastructure. - There were no research of needs and problems of local population when the road was constructed. - There is no bus stops, catering points, drugstores, drinking water, toilets, markets, emergency units etc. - No traffic lights and road lighting. - Not enough road signs - Chemcals used in winter are not removed and that damage local environment and poisoning water sources.
These problems lead to: - Increase of deseases. - High costs - Increase of poverty - Poisoning of environment
Suggestions:
- Build markets. - Attract local busineses to establish drugstores, bus stops, drinking water facilities - Establish public transportation for students of villages Ertosh and Beshkul from villages to the college - Establish phone and radio service. - Build sidewalks, pedestrian and livestock passes. - Rehabilitate village roads.
Investment priorities: -- Improvement of busstations and busstops - Improvement of public transport - Imrpove social infrastrucure.