Wastewater Treatment Project

Home , Akmola Region, Balkhash (city), Karaganda, Karaganda Region, Stepnogorsk

Social Safeguards Due Diligence Report (Draft)

Project Number: 51365-001 July 2020

KAZ: Urban Infrastructure Modernization Program – Wastewater Treatment Project

Prepared by the Kazakhstan Center for Modernization and Development of Housing and Utilities (KazCenter ZhKH, under the Ministry of Investments and Development, MID) for the Government of Kazakhstan and the Asian Development Bank.

This social safeguards due diligence report 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.

In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

ABBREVIATIONS

ADB Asian Development Bank GOK Government of Kazakhstan GRC grievance redress committee GRM grievance redress mechanism KazCenter ZhKH Kazakhstan Center for Modernization and Development of Housing and Utilities MID Ministry of Investments and Development NGO non-governmental organization PMU project management unit PMSC project management and supervision consultants SPS Safeguards Policy Statement (2009) SDDR social due diligence report WTPRCP Wastewater Treatment Plants Reconstruction and Construction Program

TABLE OF CONTENTSABBREVIATIONS ...... iii I. Introduction ...... 1 II. BASIS AND SCOPE FOR THE SOCIAL DUE DILIGENCE ...... 2 A. Objective ...... 2 B. Principal and Associated Works ...... 2 C. Due Diligence ...... 2 III. RECORD of visits and FINDINGS ...... 3 A. Zhezkazgan ...... 3 B. Satpayev ...... Error! Bookmark not defined. C. Blakhash ...... Error! Bookmark not defined. D. Zhanatas ...... 5 E. Stepnogorsk ...... 6 IV. SUMMING UP AND THE WAY FORWARD ...... 8 A. Conclusions ...... 8 B. Recommendations ...... 8 ANNEX 1: Stakeholder Consultations and Grievance Redress Mechanism ...... 9 Grievance Redress Mechanism ...... 12 ANNEX 2: Zhezkazgan CERTIFICATION ...... 16 ANNEX 3: SATPAYEV CERTIFICATION ...... 20 ANNEX 4: BLAKHASH CERTIFICATION ...... 24 ANNEX 5: ZHANATAS CERTIFICATION ...... 28 ANNEX 6: STEPNPOGORSK CERTIFICATION ...... 31 ANNEX 7: Land records – all sites ...... 36

I. INTRODUCTION

1. This Social Due Diligence Report (SDRR) has been compiled to support the preparation of the Urban Infrastructure Modernization Program – Wastewater Treatment Project, by the Kazakhstan Center for Modernization and Development of Housing and Utilities (KazCenter ZhKH). KazCenter ZhKH is the designated executing and implementing agency, under the Ministry of Investments and Development (MID). The proposed project initiates the first phase of the government’s “Wastewater Treatment Plants Reconstruction and Construction Program”, which focuses on rehabilitation and/or construction of 53 wastewater treatment plants (WWTPs’) and related infrastructure across the country through a phased approach.1

2. The project will provide long-tenor local currency financing to (i) rehabilitate and expand wastewater supply treatment plants in the five cities of Stepnogorsk, Zhezkazgan, Satpaev, Blakhash and Zhanatas, benefitting 289,100 people and treating 145,000 cubic meters of wastewater per day, compliant with national environmental standards; (ii)strengthen institutional framework and capacities in wastewater sector including private sector participation (PSP), to improve the sustainability of operations, including financial management, performance based contract management, and high level technology; and (iii) improve the regulatory framework for wastewater sector to enable performance and contract-based tariff regulations. The project will result in improved and expanded access to sustainable and reliable wastewater treatment and management services in the five cities. The project will finance the rehabilitation of four wastewater treatment plants, WWTPs, and the construction of one new plant. These civil works, with an investment cost of US$ 82.2 million, are the focus of this SDDR.

3. At this stage only a concept design is available for these WWTPs. With the project following a design-build contract modality, the detailed design, restricted to the existing boundaries of the WWTP, will only be available after the design-build contract is awarded. At that stage this SDDR will need to be reconfirmed.

4. Of the 5 WWTPs below that comprise the civil works of the Project, 4 are rehabilitations and expansions while 1 will be a new construction.

(i) WWTP Zhezkazgan Rehabilitation (ii) WWTP Satpayev Rehabilitation (iii) WWTP Blakhash New (iv) WWTP Zhanatas Rehabilitation (v) WWTP Stepnogorsk Rehabilitation

5. At this stage only a concept design is available for these WWTPs. With the project following a design-build contract modality, the detailed design, restricted to the existing boundaries of the WWTP, will only be available after the design-build contract is awarded. At that stage this SDDR will need to be reconfirmed.

1 Wastewater treatment plants are known as (KOS) in Kazakhstan. 2

II. BASIS AND SCOPE FOR THE SOCIAL DUE DILIGENCE

A. Objective

6. The purpose of this SDDR is primarily to: • assess if there are any permanent and/or temporary involuntary resettlement (IR) impacts due to the proposed works; • identify any ensuing livelihood and resettlement impacts including impacts on women, poor and vulnerable; • determine the status of land ownership of the proposed project sites. • investigate and seek certification that no one was physically or economically displaced when land for the WWTPs was originally taken in the past and the WWTPs built; or when the sewerage networks were originally laid out.

B. Principal and Associated Works

7. SPS 2009 and commensurate diligence applies to all associated2 elements of the principal ADB funded works, irrespective of whether the government or another IFI (International Financial Institution) is funding the associated components. Accordingly, WWTPs extend to and embrace the sewerage networks. The latter feed the former and are systemically integrated or “associated” with these principal treatment works. SPS 2009 applies to both the “principal” and “associated” works, not only in the present and the future, but also retroactively, and if there is a legacy3 of non-compliance it must be corrected before proceeding with the civil works. The construction or rehabilitation of sewerage networks is not included or being undertaken by the Project, but as associated works require due- diligence for a legacy of compliance along with the principal works.

C. Due Diligence

8. Due diligence process comprising collection of cadaster records, site visits and transect observations of WWTP compounds, consultation and information disclosure to the public, officials and municipal specialists in the 5 project cities was necessary to: • confirm that there are no informal users or occupants on these WWTP compound lands who stand to be economically and/or physically displaced; • assess whether at the time of the initial construction of the plants (principal works) anyone, titled or non-titled, occupying the land were physically and/or economically displaced; • ascertain whether during the time of the construction of the sewerage networks (associated works) any one was economically or physically displaced; • explain to the public ADB’s SPS 2009 and project specific grievance redress mechanism including the composition of the local Grievance Redress Committees (GRC).

2 As to associated facilities, see SPS para 6 of Attachment 1 indicating that impacts and risks will be analyzed in the context of project’s area of influence including … associated facilities as per SPS definition are those that are (i) not funded as part of the project (funding may be provided separately by the borrower/client or by third parties), and (ii) whose viability and existence depend exclusively on the project and (iii) whose goods or services are essential for successful operation of the project. 3 Two paras (28 and 29 of the ADB IR sourcebook) discuss legacy or past issues. 3

III. RECORD OF VISITS AND FINDINGS

A. Zhezkazgan

Zhezkazgan Location

9. Between 17 and 19 February 2020, visited Zhezkazgan and carried out consultations and discussions with specialists of ZhezkazganAkimat, “PTVS” JSC (Heat and Water Supply Company), Cooperatives of apartment owners “Arman” and “Anna”, and 3 residents of Zhezkazgan. The city of Zhezkazgan is located in central Kazakhstan in the Karaganda region, 620 km south-west of the city of Karaganda and 15 km south-east of the city of Saptaev.

10. During discussions with representatives of Zhezkazgan Akimat and “PTVS” JSC, it was noted that the WWTP is very old now and in very poor condition. The attendees were explained in detail about ADB’s social safeguards, as well as SPS 2009 and the GRM. Everyone already knows about the project (reconstruction of WWTP) and looks forward to the start of the project. Currently, funds are allocated only for minimum maintenance of WWTP; equipment and infrastructure is old.

11. The land plots of “PTVS” JSC are state-owned, and reconstruction and modernization of WWTP will be carried out on the existing land plots of “PTVS” JSC; a total of 41.9 ha.

12. There are no informal users or occupiers on these WWTP compound lands who stand to be economically and/or physically displaced. B. Satpayev

13. The city of Satpayev is located in central Kazakhstan in the Karaganda region, 620 km south-west of the city of Karaganda and 15 km north-west of the city of Zhezkazgan.

Satpayev Location

“SPTVS” JSC (Satpayev Heat and Water Supply Company)

14. In the period between 20 and 21 February 2020 carried out focus-group discussions and consultations with specialists of SatpayevAkimat, “SPTVS” JSC (Satpayev Heat and Water Supply Company), Cooperatives of apartment owners “Mayak” and “Assel”, and 5 residents of Satpayev.

15. During discussions with representatives of SatpayevAkimat and “SPTVS” JSC, it was noted that WWTP is very old now and in very poor condition. Explained to them in detail about ADB’s social safeguards, as well as SPS 2009 and GRM. Everyone seems to already know about the project (reconstruction of WWTP) and are looking forward to the start of the project. Currently, funds are allocated only for minimum maintenance of WWTP; equipment and everything is very old and primitive.

16. The land plots of “SPTVS” JSC, a total of 28.6971 ha, are state-owned, and reconstruction and modernization of WWTP will be carried out on the existing land plots of “SPVTS” JSC.

17. The two “PTVS” JSC (Zhezkazgan) and “SPTVS” JSC (Satpayev) are responsible not only for water supply and sewage, but also for supply of heat, in both the cities of Zhezkazgan and Satpayev.

18. The sewage networks are located under roads and pass along public roads; and not through anyone’s private or leased lands.

19. The above enterprises have been operating since 1960 and have changed their names several times. All buildings located on their land plots (which total 28.6971 ha) were built in 1960- 1970.

20. There are no informal users or occupants on these WWTP compound lands who stand to be economically and/or physically displaced due to the project.

21. The company has a dispatcher’s office and a subscriber service center that are directly associated with complaints from population and consumers. These services work 24 hours a day.

C. Blakhash

22. The city of Blakhash is located in central Kazakhstan in the Karaganda region, on the right side of the lake Blakhash, about 600 km north of the city of Almaty. 5

Blakhash Location

“Balkhash-Su” PSE

23. Between 24 and 25 February 2020, focus-group discussions and consultations were carried with specialists of Balkhash Akimat, “Balkhash-Su” PSE, Cooperatives of apartment owners and 3 residents of Balkhash.

24. There is currently no WWTP in Balkhash. The project provides for the construction of a WWTP. One land plot of 1.9015 ha and another of 6.0 ha (a total of 7.9015 ha) have been made available for this purpose by Balkhash Akimat. The public was explained in detail about ADB’s social safeguards, as well as SPS 2009 and GRM.

25. Between 24 and 25 February 2020, focus-group discussions and consultations were carried with specialists of Balkhash Akimat, “Balkhash-Su” PSE, Cooperatives of apartment owners and 3 residents of Balkhash.

26. The land plots of “Balkhash-Su” PSE are state-owned, and construction of WWTP will be carried out on new land plots.

27. There are no informal users or occupants on these WWTP compound lands who stand to be economically and/or physically displaced.

28. Sewage networks are located under roads and pass along roads; and do not pass through anyone’s private or leased lands.

29. The company has a dispatcher’s office and subscriber service center that are directly associated with complaints from population and consumers. These services work 24 hours a day.

D. Zhanatas

30. The city of Zhanatas is located in South Central Kazakhstan in the Jambil region, 162 km northwest of the regional center Taraz.

Location Zhanatas

“Zhanatas-Su-Zhylu” PSE

31. In the period between 26 and 27 February 2020, focus-group discussions and consultations were held with specialists of Zhanatas Akimat (Sarysu District of Zhambyl Region), “Zhanatas-Su-Zhylu” PSE, Cooperatives of apartment owners and 4 residents of Satpayev.

32. During discussions with representatives of Zhanatas Akimat and “Zhanatas-Su-Zhylu” PSE, it became evident that the WWTP is very old and in a very poor condition now. The participants were explained in detail about ADB’s social safeguards, as well as the other elements of SPS 2009 and GRM.

33. The land plots of “Zhanatas-Su-Zhylu” PSE are state-owned, and reconstruction and modernization of WWTP will be carried out on the existing land plots ( 3.65 ha) of “Zhanatas-Su- Zhylu” PSE.

34. There are no informal users or occupants on these WWTP compound lands who stand to be economically and/or physically displaced.

35. “Zhanatas-Su-Zhylu” PSE is responsible not only for water supply and sewage, but also for heat supply.

36. The above enterprise operates since 1960, but has changed its name several times. All buildings located on their land plots were also built during 1960-1970.

37. The company has a dispatcher’s office and subscriber service center that are directly associated with complaints from population and consumers. These services work 24 hours a day.

E. Stepnogorsk

38. The city of Stepnogorsk is located in the north of Kazakhstan, in the Akkola district of Akmola region on the left bank of the river Selety, at 135 km on the North of Nur Sultan and 220 km on the South-East of Kokchetav. 7

Location Stepnogorsk

“Stepnogorsk-Su-Zhylu” PSE

39. In the period between 02 and 03 March 2020, the team carried out focus-group discussions and consultations with specialists of StepnogorskAkimat, “Stepnogorsk-Su-Zhylu” PSE, Cooperatives of apartment owners and 3 residents of Satpayev.

40. During discussions with representatives of StepnogorskAkimat and “Stepnogorsk-Su- Zhylu” PSE, it was noted that WWTP is very old and in poor condition. They were explained in detail about ADB’s social safeguards, as well as SPS 2009 and GRM.

41. The land plots, a total of 17.6978 ha, of “Stepnogorsk-Su-Zhylu” PSE are state-owned, and reconstruction and modernization of WWTP will be carried out on the existing land plots of “Stepnogorsk-Su-Zhylu” PSE.

42. “Stepnogorsk-Su-Zhylu” PSE is an organization responsible not only for water supply and sewage, but for heat supply.

43. In addition, sewage networks are located under roads and pass along roads; and do not pass through anyone’s private or leased lands.

44. This enterprise operates since 1960 but has changed its name several times. All buildings located on their land plots were also built in 1960-1970.

45. The operation includes a dispatcher’s office and subscriber service center that are directly associated with complaints from population and consumers. These services work 24 hours a day.

IV. SUMMING UP AND THE WAY FORWARD

A. Conclusions

46. The project does not involve involuntary resettlement and permanent or temporary displacement of any occupants, titleholders or non-title holders. There are no persons or entities occupying or using land in project WWTP compounds.

47. The conceptual designs prepared for the WWTPs, both the 4 existing WWTPs and the new one, are within the boundaries of their required allotted state land compounds and do not need additional land. Land for the new WWTP is state land allocated for that purpose in 2015.

48. The state land plots allotted to the 5 WWTPs remain totally in their possession and use and are not encroached. WWTP compounds are mostly fenced and have operating staff and security presence. Copies of the State Acts and title deeds were obtained from local cadastral offices. These are provided in ANNEX 7.

49. There are no informal users or occupants on these lands, for any one to be physically or economically displaced because of the project. Neither was this the case when the WWTPs were originally constructed during 1960-70.

50. IR impacts are improbable during rehabilitation and construction of the WWTPs but temporary and or permanent impacts may emerge while addressing improvements and refurbishment relating to associated works such as the sewerage networks.

51. “A legacy of compliance certificate” for both the principal works (i.e. for the WWTP) and the associated works (i.e. city sewerage networks) was sought by the EA KazCenter from respective Vodokanal/Akimats to confirm that no one was physically or economically displaced when land for the WWTPs was originally taken into possession and the WWTPs built; or when the sewerage networks were originally laid out. The Annexes 2 to 6 below contain for each city the KazCenter letter of request, followed by it’s English translation, and finally the requested certification in Russian by respective Akimats.

B. Recommendations

52. When the detailed design is available, after the awards of the design build contracts, it will be essential to re-confirm the present involuntary resettlement assessment.

53. With no involuntary resettlement, the IR categorization for this project is recommended as category C. With no indigenous people (as defined by ADB) in the project areas, the IP categorization for this project is recommended as category C.

54. The introduction to stakeholder communication and a Grievance Redress Mechanism, including the nomination of focal persons for regional level GRCs, initiated by KazCenter as part of this due diligence exercise, must remain fully instituted through the life of the Project. Meaningful consultation must remain gender inclusive and responsive, tailored to the needs of disadvantaged and vulnerable groups. Refer to Annex 1 for the Stakeholder Consultations and Grievance Redress Mechanism.

ANNEX 1: STAKEHOLDER CONSULTATIONS AND GRIEVANCE REDRESS MECHANISM

1. During stakeholder consultations participants welcomed the rehabilitation of the WWTPs and endorsed the utilization of innovative institutional and financial mechanisms in the project to ensure sustainability of wastewater management. A list of participants from each city is provided below.

2. Participants expressed concern that at present WWTPs and sewage networks are very old and dysfunctional and that accidents often occur in sewage networks particularly in heavy snowfall and subsequent melts (they were built in 1960-1970). Because of this, sometimes there are failures in the water supply system. In addition, because the sewage networks are usually located, under and along roads to utilize the easement of state land, the roads were blocked after the accidents for long periods during repair. For all the project cities the land plots through which sewage networks pass, are state-owned.

3. When consulted regarding environmental odour, the participants at all five project city consultations had no issues as there is no habitation in the vicinity of any of the 4 WWTP that are to be rehabilitated or the one that will be newly built.

4. Over 30% of the participants of consultations in the 5 cities were women, mainly representing the cooperatives of apartment owners. They were concerned about the possibility of rise in municipal utility charges. According to them they spend approximately 5% of their household budget on utilities.

5. The participants were informed by the national technical assistance resettlement specialist consultant on behalf of KazCenter about the Grievance Redress Mechanism (GRM). The GRM and its constituent committees (GRCs), now stands instituted in all 5 project cities.

List of Participants Stakeholder Consultations

Zhezkazgan 1 Mr. KuanyshSansyzbayev Manager of Department for Housing and Mcunicipal Services, Passenger Transport, Roads and Housing Commission, ZhezkazganAkimat, Karaganda Region 2 Mr. Kirill Daniyarov Deputy Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, ZhezkazganAkimat, Karaganda Region 3 Mr. Gennady Kim Chief Engineer of “PTVS” JSC (Heat and Water Supply Company), Zhezkazgan 4 Mr. KairatMuhanbetzhanov Manager of Utility Black Water Treatment Facilities, “PTVS” JSC, Zhezkazgan 5 Mr. MuhanbetTassenbekov Site Manager of City Pump Stations, “PTVS” JSC, Zhezkazgan 6 Ms. GulbahytSeilova Economist of Planning and Economic Department, “PTVS” JSC, Zhezkazgan

7 Ms. AlmaBaidildinova Lawyer of Legal Department, “PTVS” JSC, Zhezkazgan 8 Ms. YelenaSidorova Cooperative of apartment owners “Anna” 9 Ms. IrinaTen Cooperative of apartment owners “Arman” Satpayev 10 Mr. NurzhanKenzhegulov Deputy Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, SatpayevAkimat, Karaganda Region 11 Mr. YerzhanTokimbayev Director of “SPTVS” JSC (Satpayev Heat and Water Supply Company) 12 Mr. KairatSakirdinov Chief Engineer of “SPTVS” JSC (Satpayev Heat and Water Supply Company) 13 Mr. AdepAbzhapparov Deputy Director of Economics, “SPTVS” JSC (Satpayev Heat and Water Supply Company) 14 Mr. Manager of Production and Technical Department, AltaiSeidazimovichUbaidildinov “SPTVS” JSC (Satpayev Heat and Water Supply Company) 15 Mr. Kanat AskarovichAubakirov Deputy Manager of Production and Technical Department, “SPTVS” JSC (Satpayev Heat and Water Supply Company) 16 Ms. GulbahytBirimbetova Lead Engineer of Labor Management, “SPTVS” JSC (Satpayev Heat and Water Supply Company) 17 Ms. LyudmilaNesterova Cooperative of apartment owners “Mayak” 18 Ms. MeruyertArtykbayeva Cooperative of apartment owners “Assel” Balkhash 19 Mr. Nikolai InokentiyevichTyan Director of “Balkhash-Su” PSE 20 Mr. ZhandosRymkulov Chief Engineerof “Balkhash-Su” PSE 21 Ms. AsselMukasheva Environmental Engineer of “Balkhash-Su” PSE 22 Mr. SayatbekMusin Manager of Construction Department, Balkhash, Karaganda Region 23 Mr. BolatAsylbekov Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, BalkhashAkimat, Karaganda Region 24 Ms. ZhanarMametova Cooperative of apartment owners “Balkhash Universal”

Zhanatas 25 Mr. MadiBolysbekov Director of “Zhanatas-Su-Zhylu” PSE 26 Mr. YerlanNurmakhanov Chief Engineerof “Zhanatas-Su-Zhylu” PSE 27 Mr. MyrzabekTolysbayev Manager of Production and Technical Department, “Zhanatas-Su-Zhylu” PSE 11

28 Ms. AigerimBalkerova Specialist of Production and Technical Department, “Zhanatas-Su-Zhylu” PSE 29 Mr. Yerkin Altishev Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, Sarysu DistrictAkimat, Zhambyl Region 30 Ms. RaikhanYeszhanova Chief Specialist of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, Sarysu DistrictAkimat, Zhambyl Region Stepnogorsk 31 Mr. Aleksey Getmanov Director of “Stepnogorsk-Vodokanal” SME 32 Mr. AlekseyLitvinov Chief Engineer of “Stepnogorsk-Vodokanal” SME 33 Mr. BerikMusin Manager of Department for Major Construction, “Stepnogorsk-Vodokanal” SME 34 Mr. Vladimir Tsitsima Engineer of Department for Major Construction, “Stepnogorsk-Vodokanal” SME 35 Ms. Oksana Kudiyarova Legal Advisor of “Stepnogorsk-Vodokanal” SME 36 Mr. DmitriNikolayev Shop Foreman of “Stepnogorsk-Vodokanal” SME 37 Mr. Andrei Popov Site Manager of Treatment Facilities, “Stepnogorsk- Vodokanal” SME 39 Mr. AhmedzhanovGalymbek Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, StepnogorskAkimat, Akmola Region

GRIEVANCE REDRESS MECHANISM

6. The Grievance Redress Committees (GRCs) are established with responsible staff of the authorities, Akimats and Vodokanal at the district, regional and central levels to take actions and decisions for solving grievances that can emerge during project implementation. Awareness about the Grievance Redress Mechanism (GRM) and how people can access it is important. Information about the GRM, contact information for the GRM focal persons and members that include representatives of relevant authorities and other stakeholders are disseminated in the project communities, project corridor of impact and neighborhoods. Project information brochures, posters, local media, public consultations, community and individual meetings, are used to raise awareness for redressing grievances that may emerge relating to the construction and rehabilitation of the WWTPs and other aspects thereof.

7. KazCenter is responsible for the proper functioning of the GRM for which it provides the required human and financial resources. KazCenter will lead the grievance resolution process and the work of the GRCs. KazCenter and Vodokonal have designated staff and focal persons for the GRM.

8. The local authorities and Akimats have also assigned staff responsible for GRM in the district and regional levels, and shared their contact information and phone numbers for public access.

9. The GRM and the GRCs given below were discussed with KazCenter and vodokonal staff as well as other stakeholders during the public consultations in all 5 project cities. Based on feedback, experience from other ADB-assisted projects in Kazakhstan, the project specifics and geographic scope, the following grievance resolution process is instituted under the project.

Three levels of grievance resolution

10. The stakeholder consultations confirmed the current practice that the residents usually approach the Akimats for complaints and issues they may have. In some cases, the complainants can be expected to directly contact the contractors or KazCenter. The project GRM is designed to receive grievances at the offices of all three, where they are registered and forwarded by email to a focal person at the KazCenter Nursultan where a consolidated database of all grievances and their status is maintained and from where the registered complaint is redirected to the concerned District GRC for initiation of investigation and resolution. All complaints and their resolution status will be recorded and reported at each level of the GRCs. The steps and the levels of GRCs are given below.

11. The summary of key steps at the District level:

• Grievance registration: The staff of the district Akimats, the Contractors and the Vodokonal appointed as focal persons, will receive and register the grievances (they open a Project Grievance Log Book) and provide acknowledgement of receipt to the complainant. They will put efforts to resolve the grievance at the entry, if not possible, it will be reviewed by the GRC at the district level.

• Grievance processing and resolution: The GRC will resolve the grievance within seven working days. The complainant should be informed about the decision and actions to be taken. 13

• Feedback and further actions: If the complainant is not agree with the decision, or if the resolution of the complaint requires further assessment and actions on a higher level, it will be forwarded to the GRC at the regional level. The complainant should be informed in writing.

12. The summary of key steps at the regional level:

• Grievance processing and resolution: KazCenter will convene the meeting of the GRC to discuss the received grievance (s) and make a decision, within ten working days. The minutes of GRC meeting and decisions shall be properly documented and forwarded to the concerned parties. • Feedback and further actions: If grievance was resolved at the regional level, the complainant will be informed of the outcome in written form. If the complainant is not in agreement with the decision, or if the resolution of the complaint requires further assessment and decision on higher level, it will be forwarded to the GRC at the central level. The complainant should be informed accordingly.

13. The summary of key steps at the central level:

• Grievance processing and resolution: KazCenter will convene the meeting of the GRC at the central level to discuss the grievance(s) and resolve it within twenty working days. The minutes of GRC meeting and decisions shall be documented and forwarded to the concerned parties in written form. • Feedback and further actions: The decision of the GRC on the grievance will be furnished to the complaining party in written form. If the grievance was not satisfied, information will be provided to the complaining party about why the case was not resolved, and how the complaining party can make an appeal to the country’s legal system, if it so wishes.

14. GRM can resolve the complaints and issues effectively if the GRCs members have adequate authority to make decisions and take actions. In consultations with KazCenter, staff of the relevant authorities placed at managerial levels are proposed for the GRCs. KazCenter will coordinate with the authorities and the regional and district Akimats to confirm the proposed members of the GRCs at the district, regional and central levels respectively. Efforts should be made to include women staff in the GRCs to ensure women’s perspectives in resolving grievances.

GRM levels and composition of the GRCs

District Review and resolving at the district within 7 working days The entry points: District Akimat, Vodokanal, Contractors

The complainant (s) can visit, call or send a letter or e-mail or fax to the assigned staff of the Akimats or the Contractor. This local level will be important to give people easy access to the GRM. In addition, minor issues can be solved immediately at this level. If not, the grievance will be forwarded for resolution by the GRC at the district level: The District GRC members: (i) Head or Deputy Head of the District Vodokonal; (ii) Deputy of the District Akimat;

(iii) KazCenter assigned focal person; (iv) Representatives of the affected persons or communities; (v) Supervision Consultant, Contractors (during the project implementation); and (vi) Other specialized agencies and experts if required by the case specifics. Regional Review and resolving at the region level within 10 working days The regional GRC members: (i) Head or Deputy Head of the Vodokanal; (ii) Deputy of the Regional Akimat; (iii) Representatives of the affected persons or communities; (iv) Supervision Consultant, Contractors (during the project implementation); and (v) Other specialized agencies and experts if required by the case. Central Review and resolving at the KazCenter Central level within 20 working days The Central GRC members: (i) Head or Deputy Head of the Central KazCenter; (ii) Representatives of the affected persons or communities; and (iii) Other specialized agencies and experts if required by the case.

CONSTITUTED GRIEVANCE REDRESSAL COMMITTEE

The following people are included in the regional grievance committees:

For Zhezkazgan:

1. Mr. Gennady Kim–Chief Engineerof “PTVS” JSC (Heat and Water Supply Company), Zhezkazgan. Address: 20 Holmetsky Str., Zhezkazgan Tel. + 7 7102 72 15 55, email: [email protected]

2. Mr. Kirill Daniyarov–Deputy Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, ZhezkazganAkimat, Karaganda Region Address: 1 AlashOrda Sq., Zhezkazgan Tel. + 7 7102 733171, email: [email protected]

For Satpayev:

3. Mr. AdepAbzhapparov– Deputy Director of Economics, “SPTVS” JSC (Satpayev Heat and Water Supply Company) Address: 93 Ulytauskaya Str., Satpayev Tel. + 7 71063 6 01 03, email: [email protected]

4. Mr. NurzhanKenzhegulov–Deputy Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, SatpayevAkimat, Karaganda Region Address: 108 K.I. Satpayev Ave., Satpayev Tel. + 7 (71063) 3-40-75 email: [email protected]

For Balkhash:

5. Mr. ZhandosRymkulov – Chief Engineerof “Balkhash-Su” PSE Address: 18 Micro-District 1, Balkhash Tel. +7 (71036) 50-533, email: [email protected]

6. Mr. SayatbekMusin–Manager of Construction Department, Balkhash, Karaganda Region Address: 3 Ualikhanov Str., Balkhash Tel. + 7 (71036)4-64-51, email: [email protected]

For Zhanatas:

7. Mr. YerlanNurmakhanov– Chief Engineerof “Zhanatas-Su-Zhylu” PSE Address: 23 Micro-District 1, Zhanatas Tel.+7 (72634) 6-32-63, email: [email protected]

8. Mr. Yerkin Altishev – Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, Sarysu District Akimat, Zhambyl Region Address: 25 Micro-District 1, Zhanatas Tel. +7 (72634) 6-32-55, email: [email protected]

For Stepnogorsk:

9. Mr. Aleksey Getmanov – Director of “Stepnogorsk-Vodokanal” SME Address: 7 Micro-District 4, Stepnogorsk Tel.+7 (71645) 6 12 22, email: [email protected]

10. Mr. AhmedzhanovGalymbek – Manager of Department for Housing and Municipal Services, Passenger Transport, Roads and Housing Commission, StepnogorskAkimat, Akmola Region Address: 1 Micro-District 4, Stepnogorsk Tel. +7 (71645) 55370, email: [email protected]

ANNEX 2: ZHEZKAZGAN CERTIFICATION

Zhezkazgan WWTP Compound Illustrations

KAZ Centre letter to Zhezkazgan Akimat

KAZAKHSTAN CENTER FOR MODERNIZATION AND DEVELOPMENT OF HOUSING AND UTILITIES JOINT STOCK COMPANY 75 Turan Ave., Nur-Sultan 010000, Republic of Kazakhstan Tel. +7 7172 999 449 [email protected] [email protected]

No. 00/301 Date: 06.03.2020

Zhezkazgan Akimat

“Kazakhstan Center for Modernization and Development of Housing and Utilities” Joint Stock Company requests to confirm the availability of land plot for the construction of waste water treatment plant, the absence of encumbrances and rights (lease, sub-lease, easements) of third parties, apart from “Satpayev Heat and Water Supply Company” LLP, the absence of requirement for physical and economic displacement of movable and immovable property belonging to individuals and legal entities at the time of construction of treatment facilities and repair of neighboring sewage networks. Please submit the information to emails: [email protected], [email protected]. Due to tight schedule, you are requested to send the information no later than 10.03.2020.

M. Maikenov First Deputy Chairman of the Board

Zhezkazgan Akimat Certification to KAZ Centre

ANNEX 3: SATPAYEV CERTIFICATION

Satpayev WWTP Compound Illustration

KAZ Centre letter to Satpayev Akimat

22 KAZAKHSTAN CENTER FOR MODERNIZATION AND DEVELOPMENT OF HOUSING AND UTILITIES JOINT STOCK COMPANY 75 Turan Ave., Nur-Sultan 010000, Republic of Kazakhstan Tel. +7 7172 999 449 [email protected] [email protected]

No. 00/301 Date: 06.03.2020

Satpayev Akimat

M. Maikenov First Deputy Chairman of the Board

Satpayev Akimat Certification to KAZ Centre

ANNEX 4: BLAKHASH CERTIFICATION

Blakhash Illustration

KAZCentre Letter To Blakhash Akimat

Blakhash City Akimat

M. Maikenov First Deputy Chairman of the Board

Blakhash Akimat Certification to KAZ Centre

ANNEX 5: ZHANATAS CERTIFICATION KAZ Centre Letter to Zhanatas Akimat

Zhambyl oblast Sarysy district akimat (Zhanatas)

M. Maikenov First Deputy Chairman of the Board

Zhanatas Akimat Certification to KAZ Centre

ANNEX 6: STEPNPOGORSK CERTIFICATION

Stepnogorsk WWTP Illustration

Stepnogorsk WWTP infrastructure

Stepnogorsk- a section of the WWTP Compound

Stepnogorsk WWTP infrastructure

KAZCentre Letter to Stepnogorsk Akimat

No. 00/301 Date: 06.03.2020

Stepnogorsk Akimat

M. Maikenov First Deputy Chairman of the Board

Stepnogorsk Akimat Certification to KAZCentre

ANNEX 7: LAND RECORDS – ALL SITES

Zhezkazgan 41.9 ha Satbaev 28.6971 ha Blakhash 7.9015 ha Zhanatas 3.65 ha Stepnogorsk 17.6978 ha

ZHEZKAZGAN 41.9 ha

SATBAEV 28.6971 ha

Satbaev

BLAKHASH 7.9015 ha

Balkash

ZHANATAS 3.65 ha

Stepnogorsk

STEPNOGORSK 17.6978 ha

Stepnogorsk