Wastewater Treatment Project

Home , Balkhash (city), Karaganda, Karaganda Region, Karatal, Karkaraly, Kostanay

Initial Environmental Examination (Draft)

Project Number: 51365-001 June 2020

Kazakhstan: Urban Infrastructure Modernization

Program – Wastewater Treatment Project

Construction of Wastewater Treatment Plant in Balkhash City

Prepared by The Kazakhstan Center for Communal Services Modernization and Reform (KazCenter ZhKH) for the Asian Development Bank.

This initial environmental examination 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. Your attention is directed to the “terms of use” section on ADB’s website.

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.

Project Number: TA-9462-KAZ

WASTEWATER MODERNISATION PROGRAM OF GOVERNMENT OF KAZAKHSTAN

KAZ: “CONSTRUCTION OF WASTEWATER TREATMENT PLANT IN BALKHASH CITY”

INITIAL ENVIRONMENTAL EXAMINATION (IEE) (DRAFT)

June 2020

TABLE OF CONTENTS

EXECUTIVE SUMMARY ...... 1 A. INTRODUCTION ...... 8 A.1 General ...... 8 A.2 Background ...... 8 A.3 Purpose of the Report ...... 8 A.5. Project Proponent ...... 10 A.7. IEE Boundaries ...... 11 A.8. Methodology applied ...... 11 A.9. Structure of the report ...... 12 B. POLICY, LEGAL, AND ADMINISTRATIVE FRAMEWORK ...... 13 B.1. General ...... 13 B.2. Country policies and administrative framework ...... 13 B.2.1. Overall legal framework ...... 13 B.2.2. Environmental Impact Assessment ...... 14 B.2.3. Administrative Framework ...... 14 B.3. Air, Water, Land and Noise Legislation ...... 15 B.3.1. Air Quality Legislation ...... 15 B.3.2. Water Quality Legislation ...... 16 B.3.3. Health and Safety ...... 18 B.3.4 Physical Cultural Heritage ...... 19 B.3.5. Waste Management ...... 20 B.3.6. International Conventions and Treaties ...... 22 B.4. Environmental Quality Standards ...... 24 B.4.1. Air Quality Standards ...... 26 B.4.2. Water Quality Standards ...... 27 B.4.3. Soil Quality Legislation and Standards ...... 34 B.4.3. Noise Standards ...... 35 B.5. Sanitary Protection Zones ...... 36 B.5.1. Setting the borders of a sanitary protection zone ...... 37 B.6. ADB Safeguard Policy Statement 2009 ...... 38 B.7 Comparison of ADB requirements and legislation of Republic of Kazakhstan ...... 41 C. DESCRIPTION OF THE PROJECT ...... 47 C.1. Background ...... 47 C.2. Need for the Project ...... 47

C.4. Existing Situation ...... 49 C.4.1. Existing Master Plan ...... 49 C.4.2. Sector Governance and Performance ...... 50 C.4.3. Water Supply Network ...... 50 C 4.4. Wastewater Network ...... 51 C.4.5. Water Demand and Wastewater Production ...... 52 C.4.6. Pollution loads and design flow ...... 54 C.4.7. Design Standard ...... 55 C.4.8. Design horizon ...... 56 C.5. Conceptual Design Sizing of the New WWTP ...... 56 C.5.1. Plant Hydraulics ...... 61 C.5.2. Design Components ...... 61 C.5.2.1. Inlet and metering channel ...... 61 C.5.3. Layout of the new WWTP...... 64 C.6. Construction Activities ...... 65 C.6.1. Land Acquisition ...... 65 C.6.2. Access Roads ...... 65 C.6.3. Methods to accomplish main works ...... 66 C.6.4. Earthworks ...... 66 C.6.5. Concrete works (Monolithic foundations, frames of buildings) ...... 66 C.6.6. Construction Equipment...... 67 D. ANALYSIS OF ALTERNATIVES ...... 69 D.1. ‘No Project’ Alternative ...... 69 D.2.Technical Options for New WWTP ...... 69 D.2.1. Wastewater treatment technologies ...... 70 D.2.2. Wastewater treatment processes ...... 70 D.2.3 Conventional Activated Sludge Process ...... 71 D.2.4. SBR - Sequencing Batch Reactor ...... 72 D.2.5. MBR - Membrane bioreactor...... 73 D.2.6. MBBR - Moving Bed Biofilm Reactor ...... 74 D.2.7. Other technologies ...... 74 D.2.8. Summary of main features ...... 75 D.2.9. Selection of Technologies and Multi-Criteria Analysis ...... 76 D.2.10. Conclusions on preferred technology ...... 80 D.3 Alternative Location ...... 80 D.4. Alternative Construction Camp(s) ...... 81 E. DESCRIPTION OF THE ENVIRNMENT (BASELINE DATA) ...... 82 E.1 Introduction ...... 82 E.2 Physical Resources ...... 82 E.2.1 Climate and Air Quality ...... 82 E.2.2 Climate Change ...... 89 E.2.2.1 Introduction ...... 89 E.2.3. Geomorphology ...... 95 E.2.4 Geology...... 96 E.2.5. Soils ...... 97 E. 2.6. Hydrological resources and surface water quality ...... 99 E.2.7. Groundwater ...... 100 E.2.8. Natural Hazards ...... 101

E. 2.9. Noise and Vibration ...... 102 E.2.10. Radiation gamma background in Karaganda region ...... 102 E.3. Ecological Resources ...... 103 E.3.1 Flora and Fauna ...... 103 E.4.Socio-Economic and Cultural Resources ...... 104 E.4.1. Population and Gender ...... 104 E.4.2. Labor and Social Protection ...... 107 E.4.3. Agriculture ...... 107 E.4.4 Industry ...... 108 E.4.5 Development and support of small and medium businesses...... 110 E.4.6 Vulnerable Groups (Social Assistance) ...... 110 E.4.7 Education ...... 110 E.4.8 Healthcare Facilities ...... 111 E.4.9 Cultural Resources ...... 111 E.4.10 Tourism ...... 111 E.4.11 Infrastructure, Utilities, and Services ...... 112 E.4.12 Water and Sewage ...... 112 E.4.13 Waste ...... 113 E.4.14 Land Resources ...... 113 E.4.15 Administrative Subdivision ...... 114 F. ANTICIPATED ENVIRONMENTAL IMPACTS AND MITIGATION MEASURES ... 115 F.1. Impacts ...... 115 F.1.1. Types of Project Impacts ...... 116 F.1.2 Mitigation Hierarchy ...... 116 F 1.3. Positive Project’s Impacts ...... 116 F.2. Anticipated Environmental Impacts and Mitigation Measures ...... 117 F.2.1. Design / Pre-construction Phase ...... 117 F.2.2 Construction and Operation Phases ...... 118 Transboundary Impacts ...... 149 F.2.3. Summary of the Project’s Environmental Impact ...... 150 I. ENVIRONMENTAL MANAGEMENT PLAN ...... 110 I.1 Environmental Management Plan ...... 110 I.2 Environmental Monitoring Plan (EMoP) ...... 111 I.3 Specific EMP (SEMP) ...... 111 I.4 Institutional Arrangements ...... 112 I. 4.1 Proposed project implementation arrangements ...... 112 I.4.2. Construction and financing of KOS ...... 114 I.5 Reporting and Review of the EMP ...... 115 I.6 Inspection ...... 117 I .7 Implementation Costs...... 117 K. CONCLUSIONS AND RECOMMENDATIONS ...... 119 K.1 Recommendation ...... 119 K.2 Conclusion ...... 119 ANNEXES ...... 121

Annex 1: Environmental Management Plan ...... 109 Annex 2: Environmental Monitoring Plan for general construction activities in Balkhash ...... 121 ANNEX 3: THEMATIC MANAGEMENT PLANS ...... 125 Annex 4. Specific Environmental Management (SEMP) Pla ...... 134 Annex 5. Rapid Environmental Assessment (REA) Checklist ...... 136 Annex 6. Sample Chance Find Procedures ...... 137 Annex 7. Guidance on Public Consultations within the COVID19 limitations context ...... 140 Annex 8: Rapid Assessment Questionnaire ...... 145

As of 06.06.2020 Currency unit – Kazakhstani Tenge (KZT)

US$ 1.00 = KZT 399.67

KZT 1.00 = US$ 0.002944

ABBREVIATIONS

ADB - Asian Development Bank Akimat - Local executive body in Kazakhstan BD - Bid Documents BOD - Biological Oxygen Demand CA - Cross section area CERC - Committee for Environmental Regulation and Control CC - Civil Contractor COD - Chemical Oxygen Demand CSC - Construction Supervision Consultant CWR Committee for Water Resources DBO - Design Build Operation Tender DB - Design Build tender DC - Design Consultant DD - Detailed Design DMF - Design and Monitoring Framework EA - Executing Agency EIA - Environmental Impact Assessment EIP - Environmental Impact Permit EMP - Environmental Management Plan GC - General Conditions IA - Implementing Agency ICB International Competitive Bid IEE - Initial Environmental Examination KAZCenter - Joint Stock Company “Kazakhstan Center for Modernization and Development housing and communal services" KUIMPFF - Kazakhstan Urban Infrastructure Modernization Program and Finance Facility LARF - Land Acquisition and Resettlement Framework LARP Land Acquisition and Resettlement Plan MEGNR Ministry of Ecology, Geology and Natural Resources of the Republic of Kazakhstan MFF - IP Multi-Tranche Financing Facility Investment Program MoM Minutes of Meeting MPC - Maximum Permissible Concentrations O&M - Operation and Maintenance PE - Equivalent Person PIU - Project Implementation Unit PMC - Project Management Consultant PS - Pumping Station WBG - World Bank Group

WS - Water Supply WSS - Water Supply and Sanitation WSSIP - Water Supply and Sanitary Investment Program WTP - Water Treatment Plant WWTP - Waste Water Treatment Plant / also KOS

WEIGHTS AND MEASURES

As - Arsenic Cl - Chlorine cm - Centimeter CO - Carbon Monoxide CO2 - Carbon Dioxide COD - Chemical Oxygen Demand dB - Decibel(s) dBA - A-Weighted Decibel(s) kg - Kilogram km - Kilometre l - Liter lpcd - Litres per Capita per Day M - Metre MAC - Maximum Allowable Concentrations m3/day - Cubic Meter Per Day mg - Milligram mg/l - milligram per litre mg/m3 - Milligram Per Cubic Meter mm - Millimetre mSv/hr - Microsievert per hour NO3 - Nitrate NOx - Nitrogen Oxides P - Phosphorus PH - power of hydrogen PM - Particulate Matter PM10 and - Particulate Matter of 2.5 micron or 10 micron size PM2.5 Zn - Zinc

EXECUTIVE SUMMARY

I. Introduction:

1. This Initial Environmental Examination (IEE) is part of the process of compliance with the Asian Development Bank (ADB) Safeguard Policy Statement (SPS) (2009) in relation to the construction of wastewater treatment plant in Balkhash city, herein referred to as the “Project”.

2. The IEE provides a road map to the environmental measures needed to prevent and/or mitigate negative environmental effects associated with the project. More specifically, the IEE:

• Describes the existing socio-environmental conditions within the project area; • Describes the project design, construction activities, and operational parameters; • Examines alternatives to the proposed project site, technology, design, and operation; • Describes the extent, duration, and severity of potential impacts on the environment; and • Formulates the mitigation actions and presents it all in the form of an Environmental Management Plan (EMP).

3. Based on the existing ADB Environmental Safeguards Policy (2009), this Project falls under ADB’s project Category B as the proposed project’s potential adverse environmental impacts are site-specific, few if any of them are irreversible, and in most cases mitigation measures can be designed more readily than for category A projects.

II. Description of the Project

4. The implementation of the present project is necessary with the aim to improve wastewater treatment system for the population and ecological indices of the region. 5. Today, 27 of 86 cities of Kazakhstan either do not have WWTPs, or have the existing WWTPs totally out of order (in 10 cities). It is also necessary to rehabilitate, modernize and/or increase the capacities of the WWTPs in 26 cities. Following the above-mentioned, within the scope of 53 cities, the construction/rehabilitation of WWTPs in 53 cities is planned. At the first stage, it was decided to implement the projects in 5 cities of the Republic of Kazakhstan. 6. KazCenter ZhKh (KAZC) is the national agency identified for implementing this program by the GoK. It would be the single borrower from ADB and EBRD, which would be guaranteed by GoK. 7. The city of Balkhash is a part of the first tranche identified by KAZC.

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

9. The service for potable water and sewerage is provided by Balkhash Su State Enterprise 2

owned 100% by the Akimat (Municipality). There is no Wastewater Treatment Plant in the city of Balkhash. The existing sewage network discharges the untreated wastewater into a storage pond used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city and 18 km from the lake Balkhash. The capacity of the storage pond is 49 M m3.

III. Analysis of Alternatives

10. The alternatives considered for the proposed Project include: i) ‘No Project’ Alternative, ii) Technical alternatives for construction of new wastewater treatment plant facilities of Balkhash city, and iii) Alternative locations with a short summary of alternative camp sites, etc.

11. The ‘No Action’ Alternative addresses the likely consequences of not undertaking the proposed action. While it has no environmental and social impacts resulting from reconstruction works, the failure to construct new wastewater treatment plant in Balkhash city proposed would result in the continued deterioration of the sewage system, thereby impeding the socio-economic development of the Project area and the region. Therefore, it can be determined that the ‘No Action’ alternative is not a reasonable option if the environmental and overall socioeconomic situation in the region is to be improved.

12. Construction of new wastewater treatment plant in Balkhash city was the second alternative also considered. The existing sewage treatment facilities of the City of Balkhash are in unsatisfactory technical condition. Therefore, it was decided that adequate performance of the WWTP to meet the effluent standard can be achieved with the construction of a new Plant with Conventional Activated Sludge treatment facilities.

13. Alternative location -Two alternative locations were examined to select a land plot for construction of WWTP facilities: the first site (site No. 1) distanced from the city by 7.5 km and another site (site No. 2) distanced from the city by 3.5 km. The accomplished exploration work revealed a continuous rocky ground almost all over the surface of site No. 1. Semi-rocky soils (sandstones and aleurites) are found at the depth of 0.5-1.7-3.7 from the daylight surface. The WWTP site (site No. 2) selected for the given project is located in the area of the emergency containment pond. The accomplished design and survey works revealed the following types of ground: loam and sandy loam. The selected site for the treatment plant is found 3.5 km east of Balkhash, in the area of the emergency containment pond.

14. From a technical point of view, several alternatives have been considered: (i) CSA- Conventional Activated Sludge; (ii) SBR - Sequence Batch Reactor; (iii) MBR - Membrane Bio-Reactor technology; and (iv) MBBR - Moving Bed Bio-filter Reactor. The basic screening criteria for the selection of different processes are: (i) Compliance with wastewater effluent Standards; (ii) Proven wastewater treatment technology; (iiii) Reliable performance of the processes; (iv) Possibilities for reuse of effluent and energy recovery options; (v) Must have the scope of modular expansions in time; (vi) Must include sludge management and reuse options of dewatered sludge;

15. Acoording with Multi-Criteria Analysis (MCA) the Conventional Activated Sludge (CAS) technology has the highest score, this is due to reasonable costs, to the fact that it is already used in the region and its operation is likely to generate a lower impact on the 3

environment while complying with the effluent standard of Kazakhstan. Also, the system is already used in cold climates and shows good resilience to loads variation. The effluent may be reused, and the sludges may be intended for agricultural purposes.

16. Therefore, referring to the result of the Multi-Criteria Analysis (MCA), the recommended technology is the “Conventional Activated Sludge” system.

IV. Description of the Environment:

17. The IEE report presents information about the physical, biological, and socio-economic characteristics of the environment in the Project area. The environmental baseline conditions in the Project area include:

18. Climate and meteorology. The climate of the region is steppe continental and temperature with average of +40.0 C in the summer and -10.0 C in the winter, essentially there are only two seasons. Projections for future climate were accessed using general climate models (GCMs). This assessment shows that the annual precipitation is expected to reduce between -5% (in East Kazakhstan province) to -15% (in Kyzlorda province). Reduction will be more pronounced during summer. Following the observed trends over recent decades, more precipitation is expected to fall as heavier precipitation events. Higher temperatures are to be expected with on average 0.3oC for each 10 years. This increase is somewhat more pronounced during spring and autumn. Kyzlorda show a slightly higher increase and East Kazakhstan slightly lower. In general, these seasonal and spatial differences between seasons and province are relatively small. Precipitation is expected to reduce between - 5% (in East Kazakhstan province) to -15% (in Kyzlorda province). Reduction will be more pronounced during summer. At the same time are higher daily rainfall intensities projected.

19. Geology and geomorphology. In geomorphological terms, the site is located in the West Balkhash geomorphological zone of the Northern Trans-Balkhash region, the country of pediment and denudation plains and lowlands of Central Kazakhstan. Hard-rocks (granites and granodiorites) deposited at different depths from the surface and are not common at every location. The granodirites outcrop only in the area of the western region of the planned alignments of the water-supply pipeline and power transmission lines. The Quaternary formations are presented by different-grain-size sands and vary in color from yellowish-gray to grayish-reddish and red. Their exposed thickness is 0.8-8.0m. Eluvial gravel ground (weathering crust) outcrops in the mantle of rocky soils (not universally), with the inclusion of slacks at some locations. The strength of the gravelly ground varies between 0.4-5.5m. The grounds on the study construction site are not subsidental. In the study area, there are no ground waters outcropping in the boreholes drilled during the survey. In the course of developing the building design, it is necessary to envisage the protection against the corrosive action of grounds.

20. Hydrology and hydrogeology. Balkhash-Alakol and Irtysh river basins in the east and in the north-east are almost 75% of surface water sources in the country. Balkhash-Alakol basin occupies a vast area in the south-eastern Kazakhstan, part of China and a small part of Kyrgyzstan. Its area - 413 000 km2, including 353,000 km2 in Kazakhstan (Almaty and Zhambyl and Karaganda oblasts and oblasts of East Kazakhstan). Permanent rivers flowing into lake Balkhash - Ili, Karatal, Aksu, Lepsy, Ayaguz - occur in the mountain areas of Tyan-Shan, and Tarbagatay Dzhengis Tau. Ili River flows into the western Balkhash,

while other rivers flow into the East Balkhash. The territory of the basin of the lake Balkhash is characterized by its great diversity and complexity of the geological structure. The hydrographic network of the district is represented by Bidaiyk river with many tributaries. The absolute level of the surface within the boundaries of the projected area is up to 673.72-768.70 m.

21. The oblast is drained by rivers: Sarysu, Nura, Turgay, Uly-Zhilanshik, Tokrau, Kalmakkyrgan (Beleuty) and others closed basin of lakes of Central Kazakhstan, the southern part of the region belongs to the basin of lake Balkhash (Northern Balkhash). The use of water from surface water and groundwater within the construction area is permitted only with the permission of the Committee for Water Resources under the Ministry of Agriculture of the RK.

22. Air quality. The state of air pollution was assessed based on the results of the analysis and by treating air samples taken at the fixed observation stations. As the fixed network observation data suggest, the level of atmospheric air pollution of the city of Balkhash in 2019 was described as high. Maximum one-time concentrations were as follows: sulfur dioxide - 4.4 MPC one-time concentration, hydrogen sulfide - 8.4 MPC one-time concentration, suspended solids (dust) - 4.0 MPC one-time concentration, suspended particles PM2.5 - 6.5 MPC one-time concentration, suspended particles РМ-10 - 3.7 MPC one-time concentration, carbon monoxide - 5.4 MPC one-time concentration, ozone (surface) - 1.8 MPC one-time concentration; the concentrations of other pollutants did not exceed MPC values. Following the reconstruction of the WWTP, no changes in the emissions are supposed and as a result, the issue of emissions is not considered in the operation phase.

23. In line with sanitary standards No. 237 “Sanitary and epidemiological requirements for the establishment of a sanitary protection zone of production facilities”, dated by 20.03.2015, approved by order of the Minister of National Economy of the Republic of Kazakhstan, the existing WWTP is the III -category facility meaning that the nearest settled area must be distanced from it by at least 400 m1. This requirement with Balkhash WWTP is met. The nearest residential buildings are located on the south-west side on 2.5 km from the border of the designed WWTP. The selected site of treatment facilities is located 3.5 km east of Balkhash city.

24. with the aim to avoid air pollution in the operation phase, the following mitigation measures are to be accomplished: (i) design and install different cover options to fit tanks, basins and lagoons; (ii) Cover options should include floating, structurally supported, modular, inflated and dual membrane; (iii)solutions should make with strong, long-lasting materials to resist tears, punctures, chemicals and UV rays.

25. Water discharge: As mentioned in Project description the body receiving the untreated domestic wastewater is the the Ak-Shoky storage pond. By analyzing the background data in line with the discharge flow rate of the concentration of pollutants at the outlet of the treatment plant, we can conclude that the background concentration of pollutants in the storage ponds is higher than the concentration of the discharged treated wastewater.

26. In line with Resolution 778 of the Government of the Republic of Kazakhstan of May 29,

1 OVOZ – Chapter 3.5 Information about the sanitary protection zone 5

2009 “The Rules to Receive Effluent Waters by the Water Diversion Systems in the Populated Areas”, rain, melt, natural and irrigation water, also industrial liquid waste are not subject to the drainage into the sewerage system.

27. Noise and vibration. A noise and vibration study to identify baseline data have not been developed for the Project. In this case Construction Contractor is requested to carry out baseline measurements of noise and vibration before commencement of construction activities in line with national legislation and in accordance with the limits provided in the IFC's EHS Guidelines for noise. Findings and analysis from the noise and vibration study have been incorporated into updated IEE and Site Specific Environmental Management Plan (SEMP).

28. Radiation. Mean values of radiation gamma background of the ground-level layer of the atmosphere in the settled areas of the Karaganda region were within the limits of 0,03- 0,49 mSv/hr. On average, the radiation gamma background in the Region was 0,16 mSv/hr and was within the admissible range.

29. Ecological Resources. The WWTP construction area is located in 18 km distance from lake Balkhash. According to the survey results, habitats and species of flora and fauna of high conservation value are not presented in the project area. Though, if we consider the specifics of the planned activity, a significant impact is not expected.

30. Flora: The shores of the lake Balkhash contain individual willow trees and riparian forest, mostly composed of various species of Populus. Plants include common reed (Phragmites australis), lesser Indian reed mace (Typha angustata) and several species of cane – Schoenoplects littoralis, S. lacustris and andemic S. kasachstanicus. Under water grow two types of Myriophyllum - spiked (M. specatum) and whorled (M. verticillatum); several kinds of Potamageton – shining (P. lucens), perfoliate (P. perfoliatus), kinky (P. crispus), fennel (P. pectinatus) and P.; as well as common bladderwort (Utricularia vulgaris), rigid hornwort (Ceratophyllum demersum) and two species of Najas Phytoplankton, the concentration of which was 1.127 g/L in 1985, is represented by numerous species of algae.

31. Fauna: The Balkhash lake used to have a rich fauna, but since 1970, biodiversity began to decline due to deterioration of water quality. Before then, there were, abundant shelifish, crustaceans, chironomidae and oligochaeta as well as zooplankton (concentration 1.87 g/L in 1985), especially in the western part. The lake hosted about 20 species of fish, 6 of which were native: Ili marinka (Schizothorax pseudoaksaiensis), Balkhash marinka (S. argentatus), Balkhash perch (Perca schrenkii), Triplophusa strauchii, T. labiate and Balkhash minnow (Rhynchocypris poljakowi). Other fish species were alien: common carp (Cyprinus carpio), spine, Oriental bream (Abramis brama orientalis), Aral barbel (Luciobarbus brachycephalus), Siberian dace (Leuciscus baicalensis), tench (Tinca tinca), European perch (Perca fluviatilis), catfish, Diptychus, Prussian carp (Carassius gibelio) and others. The fishery was focused on carp, perch, asp (Aspius aspius) and bream. According to the survey results, the project territory is located on an urbanized and technologically developed territory, habitats and species of flora and fauna of high conservation value are not presented in the project area and therefore if we consider the specifics of the planned activity, significantimpact on flora and fauna is not expected.

32. Social, Economic, and Cultural Profile. Balkhash is a city in Kazakhstan, located on the northern shore of the Lake Balkhash, on the Bay Bertys, and in south of Kazakh Uplands. Population of the city: 68,833 (2009 Census results); 65,431 (1999 Census results). Balkhash was founded in 1937 as an industrial city centered on the mining and smelting of copper, and presently copper is still exploited there. The city lies approximately 500 km west of the Chinese border on the north side of the lake at an altitude of 440 m. The history of the city is closely connected with mining of deposits of copper and development of a smelting plant. The combined population of the city and its urban area is 75,453 people (2010). Karaganda Oblast is a unique, rich with mineral resources region of Kazakhstan. 100% of the reserves of manganese, 36% of copper, 80% of wolframite, 64% of molybdenum, 54% of lead, over 40% of coal including 100% of reserves of surveyed coal resources are concentrated in the region. The Karaganda coal basin Konyrat is one of the most gas-bearing among the CIS basins. The deposits of methane are assessed to be potentially significant. Three oil and gas deposits were opened in the south-west of the region – Kumkol, South Kumkol and Maibulak. Kumkol deposit is developed. Maibulak field was prepared for development. South Kumkol is under preparation. Deposits of rhodusite-asbestos Kumola and Ushbulak are the only one in the CIS. They are located in the western part of the region. The biggest deposits of wollastonite Bosaga and Alaigyr are located in the central and southern parts.

33. Anticipated Environmental Impacts and Mitigation Measures: Most of the predicted impacts are associated with the construction process. Impacts mainly arise from the generation of dust from soil excavation and refilling; disturbance of residents, traffic and activities in the town. These are common impacts of construction, and following methods are suggested for their mitigation: (i) Utilizing surplus soil for beneficial purposes; (ii) Measures to reduce/control dust generation (cover/damp down by water spray; consolidation of top soil, cover during transport etc.); (iv) restoring the top soil after construction, (vi) avoiding tree cutting, and (vii) to avoid safety hazards construction site will be secured at critical segments.

34. Environmental Effects occurred during the construction phase will have short term effects and they cannot deteriorate the existing landscape and visual conditions. No possible environmental effects will arise during the operational phase as well.

Information Disclosure, Consultation, and Participation Information Disclosure, Consultation, and Participation: No on-site public consultations or focus group discussions have been possible due to the outbreak of COVID-19. Instead, conducting of public consultations with interested stakeholders, such as representatives of local government, households (about 70 households as a representative sample of population under the project), using distant communication channels such as mobile phones and internet. . Special questionaries’ were prepared for phone and internet interviews (see annex 8). The IEE findings, project expected impacts and proposed mitigation measures have been incorporated into the disclosed information. Respondents asked for feedback and comment if any. APs were informed that in case of substantial comments/ questions, draft IEE would be accessible in Russian on a website to download, and any further questions can be sent through email or discuss by phone contacts provided during discussions. Until now, no question or request for clarification was received. In case of state of emergency due to COVID-19 pandemic will be abolished before the starting of the construction activates the consultations with key stakeholders will be conducted through organizing personal meetings. However, if the state emergency du to COVID-19 will be continued the Guidance on public consultation within the COVID 19 7

limitation context provided in Annex 7. Following SPS General Requirements pp. 53‒54, public consultation meetings will be conducted and the information will be disclosed in due manner. In compliance with ADB's SPS (2009) the draft IEE will be provided for disclosure on the ADB website and KazCenter’s website in the local language.

35. An Environmental Management Plan (EMP) has been prepared and will be implemented during the project implementation. The EMP identifies the potential environmental impacts arising from the project along with a set of the mitigation measures to reduce the impacts to acceptable levels. It also includes the institutional arrangements for implementing the EMP to ensure its effectiveness.

36. KazCenter will appoint consultants/ contracted staff for construction supervision and for the support to the PMU (Project Management Unit).

37. KazC will also procure the DBO operator at the request of the SPV. KazCenter will sign the DBO contract and undertake construction supervision (CSC firms will be recruited under the loan and Project Management Unit will be established to manage the Program).

38. The EMP includes measures to raise project implementation effectiveness, such as the PMU and the DBO (Design Build Operation) will be required to engage the necessary staff for environmental safeguards and compliance. To build the capacity of KazCenterZhKH in environmental management, the DBO will conduct environmental training workshops for the KazCenterZhKh, SPV, Akimat and the Vodakanal at the preconstruction stage.

39. Conclusions and recommendations: The overall conclusion of this IEE is that provided the mitigation and enhancement measures are implemented in full, there should be no significant negative environmental impacts as a result of location, design, construction or operation of the Balkhash WWTP subproject. There should in fact be positive benefits through major improvements in quality of life and individual and public health once the scheme is in operation.

40. The environmental impacts of infrastructure elements proposed in the wastewater system improvement subproject in Balkhash will be assessed and described in the following sections of this document. Potential negative impacts were identified in relation to design, location, construction and operation of the sub project components. Mitigation measures have been developed to reduce all negative impacts to acceptable levels.

41. The main beneficiaries of the improved system will be the citizens of Balkhash who will be provided with a new wastewater system. This will improve the quality of life of people as well as raising the standards of both individual and public health as the improvements in hygiene should reduce the incidence of disease. This should lead to economic gains as people will be away from work less and will spend less on healthcare, so their incomes should increase.

42. The recommendation of this Environmental Assessment process is that all mitigation, enhancement and monitoring activities proposed here shall be implemented in full. This is essential to ensure that the environmental impacts are successfully mitigated; this is the responsibility of Balkhash Vodokanal.

43. IEE should be attached to the tender and contract documents as part of the specifications to be heeded by the contractor, and is addressed by the contractor at the time of bidding.

This allows the EMP and monitoring plan to be incorporated into the tender and contract process and ensure that: (i) the EMP is addressed as a condition of the contract; (ii) the EMP is property costed; and (iii) management systems are established for the complying with the EMP.

A. INTRODUCTION

A.1 General

44. This section of the report; a) provides the background to the Kazakhstan’s Urban Infrastructure Modernization Program, b) summarizes the Project need and objectives, c) outlines the purpose of the IEE, d) describes the Project Category and c) describes the scope of the IEE and the structure of the report.

A.2 Background

45. The Government of Kazakhstan (GOK) is promoting the ‘Wastewater Treatment Plants Reconstruction and Construction Program’ (the Program) to improve the wastewater treatment facilities in the 53 cities across the Country. The implementation of the present program in the Republic of Kazakhstan is necessary with the aim to improve wastewater treatment system for the population and ecological indices of the region. 46. Presently, water resource management is one of the most important social issues for the development of the country and is immediately affected by the lack of the wastewater treatment plants or incomplete operation of the existing plants in the cities of the Republic of Kazakhstan. 47. Today, 27 of 86 cities of Kazakhstan either do not have waste water treatment plants (WWTPs), or have the existing WWTPs totally out of order (in 10 cities). It is also necessary to rehabilitate, modernize and/or increase the capacities of the WWTPs in 26 cities. Following the above-mentioned, within the scope of 53 cities, the construction/rehabilitation of WWTPs in 53 cities is planned. At the first stage, it was decided to implement the projects in 5 cities of the Republic of Kazakhstan. 48. The Program will be implemented through a phased approach and will be financed by the Asian Development Bank (ADB) and European Bank for Reconstruction and Development (EBRD). The Phase 1 covers 11 Wastewater Treatment Plants (WWTP-KOS), of which 5 WWTPs (Stepnogorsk, Zhezkazgan, Satpaev, Balkhash and Zhanatas) are to be financed by ADB.

49. KazCenter ZhKh (KAZC) is the national agency identified for implementing this program by the Government of Kazakhstan (GoK).

50. The city of Balkhash is a part of the first phase investment identified by KAZC.

A.3 Purpose of the Report

51. The Initial Environmental Examination (IEE) of the Project in Balkhash city (Karaganda region) is conducted as part of preparation of the proposed Kazakhstan Urban Infrastructure Modernization Program and Finance Facility to meet requirements of ADB’s 9

Guidelines and Safeguard Policy Statement (SPS 2009), as well as to comply with environmental legislation of the Republic of Kazakhstan. The IEE covers all proposed physical activities under the project.

52. The present IEE report covers construction of wastewater treatment plant in Balkhash city (Karaganda region) with the aim to:

• describe the existing socio-environmental conditions within the Project area; • identify potential direct, indirect, cumulative, and induced environmental impacts and risks that may emerge due to Project implementation; • analyze Project’s alternatives of location, design and technological solutions, including “no project” option; • develop Environmental Management Plan (EMP) that will include proposed mitigation measures, monitoring program and reporting requirements, institutional and organizational arrangements, capacity development and training provisions; • describe grievance redress procedures under the Project.

A.4.Category of Project

53. Rapid Environmental Assessment checklists (see in Annex 5), review of National Feasibility Study report, together with several site visits, as well as review of their location vicinities through Google Earth and other GIS services were used to assign the category of the Project. Based on the existing ADB Environmental Safeguards Policy (2009), this Project falls under ADB’s project Category B. According to ADB SPS 2009 proposed project can be classified as Category B due to the following reasons:

• adverse environmental impacts are less adverse than those of category A projects; • these impacts are site-specific, few if any of them are irreversible, and • in most cases mitigation measures can be designed more readily than for category A projects.

54. An initial environmental examination is required for category B projects. A category is assigned to a project by its most sensitive component, therefore, all of the outputs and activities to be undertaken under the Project fall under Category B as well.

55. According to the requirements of national legislation OVOS was prepared by TOO “Antares Platinum” in 2015. Public consultations conducted on 18 October 2015. OVOS was approved by the Regional Department of Natural Resources and Environmental Control of Karaganda Province in 2016. No on-site public consultations or focus group discussions have been possible due to the outbreak of COVID-19. Instead, conducting of public consultations with interested stakeholders, such as representatives of local government, households (about 340 households as a representative sample of population under the project), using distant communication channels such as mobile phones and internet, are in progress. The IEE findings, project expected impacts and proposed mitigation measures have been incorporated into the disclosed information. Respondents will be asked for feedback and comment if any. If they have substantial comments/ questions, draft IEEs will be accessible in Russian on a website to download, and any further questions can be sent through email. All findings of consultations and minutes of meetings will be incorporated into final IEE. In case of state of emergency due to COVID- 19 pandemic will be abolished before the starting of the construction activates the

consultations with key stakeholders will be conducted through organizing personal meetings. However, if the state emergency du to COVID-19 will be continued the Guidance on public consultation within the COVID 19 limitation context provided in Annex 7. Following SPS General Requirements pp. 53‒54, public consultation meetings will be conducted and the information will be disclosed in due manner. In compliance with ADB's SPS (2009) the draft IEE will be provided for disclosure on the ADB website and KazCenter’s website in the local language.

A.5. Project Proponent

56. The Project proponent is the Government of Kazakhstan (GoK) acting through its newly created (June 17, 2019) Ministry of Ecology, Geology and Natural Resources (MEGNR). The Kazakhstan Center for Communal Services Modernization and Reform, (KazCenter ZhKH) is the borrower under the project and will receive a Sovereign Guarantee from the Republic of Kazakhstan. KazCenter ZhKH is the Executing Agency (EA) and Implementing Agency (IA) for the project. KazCenter ZhKH will establish a Project Management Unit which will be supported by the Project management consultants and Project Implementation Units (PIU) in the regions for implementation activities. KazCenter ZhKH will procure the WWTPs under a Design-Build contract arrangement, undertake contract supervision and make payments to the contractors. In line with Decree #617 of the Committee of State Property and Privatization of the Ministry of Finance of the Republic of Kazakhstan dated by November 2, 2009, JSC KazCenter Zhkh with 100% state participation in its authorized capital was established.

A.6. Nature, size, and location of the Project

57. The site for the construction of the WWTP is located in the southeastern part of the city of Balkhash, along the existing sewage route of the emergency discharge and the emergency discharge pond. The city of Balkhash is located in the central part of the Republic of Kazakhstan in the Karaganda region on the north coast of the lake Balkhash, about 600 km north of the city of Almaty.

58. The service for potable water and sewerage is provided by Balkhash Su State Enterprise owned 100% by the Akimat (Municipality). There is no Wastewater Treatment Plant in the city of Balkhash. The existing sewage network discharges the untreated wastewater into a storage pond used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city and 18 km from the lake Balkhash. The capacity of the storage pond is 49 M m3.

59. The total area of the planned WWTP facilities, in line with the acts of the permanent land use rights, is 7,9 ha; the building area is 10131.6 m2; the area of hard pavement is 14299.03 m2, including 6163.6 m2 asphalt cover; the area of green plantations is 49091.9 m2 and the area of soil cover is 5477.47 m2. Besides, an emergency silt ground with a total area of 2 ha will be provided.

60. The nearest residential houses are located in the south-west, 2,5 km from the border of the design WWTP. The selected ground of the WWTP is located 3,5 km east of the city of Balkhash, in the area of the existing emergency impounding basin. The distance from the main pumping station (ГКНС-1) is 5 km. The distance from the existing road is 2 km. 11

A.7. IEE Boundaries

61. For the purpose of the IEE, physical area considered as potentially being affected by the project in Balkhash city of Karaganda region, covering WWTP facilities located at 11,6 ha, which include:

• Areas of direct impacts due to construction activities and their vicinity, including:

o construction sites for WWTP facilities construction; o access roads along WWTP construction site; o dumpsite for construction and household wastes; o borrow pits and quarries used as material sources; o any other sites to be used by contractor, such as sites for labor camp, concrete batching plant, temporary material stockpiling and storage areas, etc.

• Areas of indirect impacts, including:

o water sources and receivers, such as lake Balkhash, natural basin of Ak- Shoky, and their aquatic habitats; o vicinity of affected water bodies, such as riparian habitats in lake, water reservoir shorelines; o all adjacent lands potentially subject to pollution with dust generated by construction activities.

62. During detail project design and further project implementation, other actively used remote sites can be included into consideration of project’s environmental impact assessment and scope of mitigation measures in contractor’s EMP, such as material borrow pits and quarries, waste dumps, concrete production facilities, labor camps, etc.

A.8. Methodology applied

63. The methodology is based on the ADB SPS (2009) and the joint experience of the International and National environmental consultants involved in the IEE. It included following tasks: • to collect baseline data • to conduct public consultation • to assess impacts and propose mitigation measures • to analyze alternatives • to conduct baseline analysis

64. Environmental assessment was made through desk studies and field visits; quantitative data were preferred where possible. Background data and information was obtained from published and unpublished sources, (e.g., on climate, topography, hydrology, geology and soils, natural resources, flora and fauna, agriculture, and socio-economic data).

65. The site visit was carried out on the 27th of November 2019 by ADB Technical Assistance Consultants. The area of WWTP construction and areas of potential environmental significance assessed carefully.

66. The main information was acquired from the Projects’ Feasibility Study and its annexes,

including minutes of meetings and letters related to projects’ decision-making process. Different data was gathered throughout internet resources, including websites of environmental authorities, legislative databases, websites of legally protected areas, monitoring data from national hydro-meteorological service of Kazakhstan - “Kazhydromet”, as well as other published scientific literature, news, and reports from similar projects. WWTP facilities locations were put as overlay into Google Earth to account for surroundings of environmental, social and resettlement significance.

A.9. Structure of the report

67. The report is organized to comply with ADB Safeguard Policies (2009) as follows:

• Section A: Introduction – The section in hand provides the introductory information for the Project. • Section B: Legal, Policy and Administrative Framework - This section presents an overview of the policy/legislative framework as well as the environmental assessment guidelines of Kazakhstan that apply to the proposed project. The section also identifies relevant Asian Development Bank Safeguard Policies that will apply. • Section C: Description of the Project – Section C describes the Project and the need for the Project. A detailed scope of works is also provided indicating the type of engineering works required. • Section D: Analyses of Alternatives - This section discusses various Project alternatives including the ‘no project’ option. • Section E: Description of the Environment – This section of the report discusses the regional and local environmental baseline conditions. • Section F: Anticipated Environmental Impacts and Mitigation Measures – Section F outlines the potential environmental impacts and proposes mitigation measures to manage the impacts. • Section G: Information Disclosure, Consultations and Participation - Section G provides a summary of all of the stakeholder consultation activities undertaken. • Section H: Grievance Redress Mechanism – A grievance redress mechanism for project affected persons is also provided along with information regarding the disclosure process. • Section I: Environmental Management Plan & Institutional Requirements – This section provides the Environmental Management Plan and an Environmental Monitoring Plan for the design, construction and operational phases of the Project. • Section K: Conclusions and Recommendations – The final section of the report provides the report conclusions and any necessary recommendations.

B. POLICY, LEGAL, AND ADMINISTRATIVE FRAMEWORK

B.1. General

68. This section presents an overview of legal, policy and administrative framework of the subproject, including national requirements for environmental assessment and water resources management, as well as ADB’s requirements that will be applicable to the subproject. The subproject will be required to comply with all applicable international agreements, national legislation, and ADB’s requirements.

B.2. Country policies and administrative framework

B.2.1. Overall legal framework

69. The overarching legislative framework that establishes the legal framework for environmental protection in Kazakhstan is the Environmental Code, adopted on January 9, 2007 with latest amendments and additions on October 10, 2018. Three main laws (the Law on Environmental Protection, the Law on Ecological Expertise and the Law on Air Protection) were abrogated subsequent to their integration into the Environmental Code. Moreover, some 80 normative legal acts were abrogated after the adoption of the Environmental Code.

70. Detail standards, such as requirements to air, water, soil quality, calculation of emissions from different sources, classification of environmental and sanitary hazards of different production facilities, environmental monitoring, sanitary-epidemiological standards, hygienic norms for indoors and outdoors, health and safety at workplace, etc. are established by different regulations, instructions, rules, procedures, norms, methodologies and other types of documents enacted through orders, laws, and decrees of Presidential, Governmental, Ministerial or regional levels.

71. The Water Code establishes requirements to sustainable management of all water resources in the Republic of Kazakhstan for public, industrial and environmental needs; requirements to protection of water resources from pollution, contamination, and depletion; provisions for prevention and recovery from adverse impacts of water bodies (such as floods); and ensures enforcement and compliance to water legislation in water relations.

72. The Forest Code regulates public relations in ownership, use, and management of all forests in the Republic of Kazakhstan, as well as establishes legal grounds for protection, preservation, regeneration, and sustainable management of forest reserves. Its ultimate goal is to preserve available forested areas and constantly increase them at national level2. Any cutting of trees under the Project shall be performed only based on a pre- issued “tree felling permit”.

73. The Land Code regulates legal grounds for ownership of lands and land relations in the Republic of Kazakhstan; establishes types of land use; provides protection of soil fertility; provides equal development of all types of industries; ensures land rights, and

2Latest version in Russian: http://adilet.zan.kz/rus/docs/K030000477

enforcement of compliance to land legislation.

B.2.2. Environmental Impact Assessment

74. According to Article 36 of the Environmental Code, development of EIA (OVOS) is mandatory for all types of activities and projects that can have direct or indirect impact on environment or human health. All projects should pass through a process of State Expertise in order to get clearance for implementation. Project design package that is submitted for clearance should include section on “Environment Protection”.

75. The Decree No.204-p of the Ministry of Environmental Protection of GoK (June 28, 2007 with latest amendments and additions on 17 June 2016) on “Approval of the instruction on conducting environmental impact assessment” establishes requirements for EIA process.

76. The EIA process consists of three stages:

(i) Preliminary environmental assessment (PEIA or predOVOS): essentially a scoping-level desk study prepared in parallel with an engineering feasibility study; (ii) Environment Impact Assessment (EIA or OVOS): a comprehensive assessment of positive and negative environmental impacts with detailed mitigation & monitoring plan prepared during design stage; and (iii) Section “Environment Protection” is developed if there are changes in final detail design or project is prepared in one single stage, and included in the final set of a project design documentation, which is then submitted for approval by the mandatory State Expertise.

77. A “Notification of environmental consequences” is prepared by the project proponent as an annex to each stage of EIA documentation and is submitted for the State Expertise along with other project documentation.

B.2.3. Administrative Framework

78. The central executive body for environmental protection in the Kazakhstan is the Ministry of Ecology, Geology and Natural Resources (MEGNR) and its Committee for Environmental Regulation and Control (CERC). MEGNR's responsibilities include enforcement of compliance with the Environmental Code, development and implementation of national environmental programs, state supervision and licensing of environmental activities, and state environmental expertise of Category I projects. MEGNR oversees the country’s compliance with ratified international environmental conventions and interstate environmental agreements. It also controls emissions and discharges of pollutants, climate change related programs and regulations, distributes and manages trade of carbon credits under National Plan on GHG emissions for 2016- 2020, issues emission permits for Category I projects, and determines maximum limits of pollutants to be emitted into environment.

79. At the local level, CERC has 17 (14 Oblast, and 3 major cities) territorial Departments of Ecology, whose responsibility includes inspection of local sites, consultations and recommendations to businesses and other authorities on environmental matters, and state 15

environmental expertise of Category I projects of local importance (based on approved list of projects of local importance or decision of CERC).

80. Akimats (the executive branch of local government) and Maslikhats (representative local authorities) are entitled to perform state supervision and can approve certain provisions and tariffs for use of natural resources. They also determine, within certain limits, the pollution charges paid by enterprises; allocate natural resources, including mountain and woodland pastures and grasslands; establish and administer local legally protected natural areas, as well as enact regulations for use of natural resources within their competencies.

81. Other state bodies within administrative framework with relevant environmental responsibilities are:

• The Committee for Water Resources (CWR) under the Ministry of Agriculture (MoA) administers implementation of the Water Code and maintenance of national system for protection and efficient use of all water resources. CWR’s responsibility includes managing water intake from natural watercourses and groundwater; freshwater consumption; water use for production; water use for agriculture; conservation and reuse of fresh water; sewage discharges into natural water bodies and into ground water. Water resources are managed through eight river basin inspections created and named according to hydrographic or river basin principles: Ertis (East-Kazakhstan Oblast), Nura- Sarysu (Karaganda), Aral-Syrdarya (Kyzylorda), Shu-Talas (Taraz), Balkhash-Alakol (Almaty), Esil (Astana), Zhayik-Kaspi (Atyrau), and Tobol-Torgay (Kostanay). • The Committee for Forestry and Wildlife (CFW) within MoA ensures implementation of the Forest Code and manages all woodlands and legally protected natural areas. There are total of 10 national natural reserves and 13 national natural parks in the Republic of Kazakhstan. At the local level, territorial offices of CFW manage forestry and biodiversity, and their Forest Conservation Branches (accountable to CFW) are responsible for specifically allotted areas of forest protection and conservation. • The Emergency Management Committee of the Ministry of Internal Affairs is responsible for environmental disaster management and prevention (such as fires, floods, mudslides, industrial accidents).

B.3. Air, Water, Land and Noise Legislation

B.3.1. Air Quality Legislation

82. The Environmental Code defines the basic terms and principles for State control of air and soil conditions. In addition, Sanitary Regulations and Standards (referred to as "SanPiN") establish requirements to protection of human health.

83. Quality of ambient air for urban and rural localities is established by the Order No. 11036 of the Minister of National Economy dated May 13, 2015 called “On approval of hygienic standards for atmospheric air in urban and rural settlements".

84. The emission of hazardous substances (pollutants) in the atmospheric air by the stationary source is allowed only on the basis of a special permit issued by the authorized state body in charge of atmospheric air protection or its territorial subdivisions. The fee is based on the total annual emissions of the polluter without disaggregating data by emission sources. The issuing of air pollution permits for stationary sources of emissions (ground and air transport) is stipulated in the Environmental and Tax Codes of the Republic of Kazakhstan.

85. All motor vehicles of any type (including buses and trucks) are required to pass an annual test, which includes emission testing that must be in accordance with the regulations referred to below.

Table 1: Air quality legislation

On approval of hygienic standards for The Order No. 11036 of the Minister of atmospheric air in urban and rural National Economy dated May 13, 2015. settlements. On approval of certain methodological The Order No. 221-o of the Minister of documents in the field of environmental Environmental Protection and Water protection. Resources of the Republic of Kazakhstan dated June 12, 2014. On approval of the Rules for conducting The Order of the Minister of Energy of the automated monitoring of emissions under Republic of Kazakhstan dated September 7, industrial environmental monitoring and 2018 No. 356. reporting requirements for the results of industrial environmental monitoring. On approval of the Rules for monitoring and The Order No. 221 of the Minister of Energy control of greenhouse gases. of the Republic of Kazakhstan dated March 19, 2015. On approval of the Methodology for The Order No.110-ө of the Minister of Calculation of Emission Limits. Environmental Protection of the Republic of Kazakhstan dated April 16, 2012.

B.3.2. Water Quality Legislation

86. The Government of the Republic of Kazakhstan has adopted “State Program on Development of Agro-Industrial Complex for 2017-2021” via Decree No.423 on July 12, 2018, which among other objectives is aimed at protection and efficiency of use of water resources.

87. The main document in the field of water resources protection and its use is the Water Code of the Republic of Kazakhstan No. 481 dated July 09, 2003. According to the definition provided in the Water Code, “Water Bodies Protection” is an activity aimed at conservation, rehabilitation and reproduction of water bodies, as well as prevention of adverse impacts of water.

88. According to Article 112, water bodies shall be protected from:

• natural and industrial pollution by hazardous chemical and toxic substances and its compounds, as well as thermal, bacterial, radiation and other types of pollution; • pollution by solid, non-soluble objects, industrial, household and other wastes; 17

• exhaustion.

89. Water bodies shall be protected to prevent:

• disturbance of the environmental stability of natural systems; • causing harm to the lives and health of population; • reduction of fishery resources and other water fauna; • deterioration of the water supply conditions; • weakening of the natural self-reproduction and cleansing functions of the water bodies; • worsening of hydrological and hydrogeological regimes of water bodies; • other unfavorable conditions that negatively affect physical, chemical and biological qualities of water bodies.

90. Protection of water bodies is carried out through: • establishing of general requirements to protection of water bodies to all water users, who carry out any type of water use; • establishing of special requirements for certain types of economic activity; • improving and applying water protective measures with the help of new equipment and environmentally and epidemiologically safe technologies; • establishment of water conservation zones, water bodies protection zones, sanitary protection zones for drinking water supply sources; 5) execution of public and other forms of control over the use and protection of the water bodies; 6) applying sanctions for non- observance of the water protection requirements.

91. Central and local execution authorities of Oblasts (cities of republican significance, capital), in accordance with the legislation of the Republic of Kazakhstan, take measures that are in compliance with the principles of sustainable development towards water resources conversation, prevention of their pollution, littering, and exhaustion, as well as liquidation of such events.

92. Individuals and legal entities, activities of which affect conditions of water bodies, are obliged to comply with environmental requirements set out by the environmental legislation of the Republic of Kazakhstan, and conduct organizational, technological, forestry and land reclamation, agro technical, hydro-technical, sanitary-epidemiological and other activities, which ensure protection of water bodies from pollution, littering, and exhaustion.

93. Article 116 of the Water Code regulates issues related to the water protection zones: to maintain water bodies and water facilities in the condition required by the hygiene-sanitary and environmental norms; to prevent pollution, littering and exhaustion of the surface water; as well as water protection zones and belts are required to preserve flora and fauna.

94. While developing any project, which may have any impact on the water system/resources, the project design should be agreed with the local executive bodies responsible for water resources protection.

95. In developing the Water Code, the Government of the Republic of Kazakhstan has adopted normative acts for procedures on permits of water reservoirs use for special needs, procedures for permits issuance for special water use, procedures for water use for firefighting needs, classifying water ways as navigable routes, and for using water

reservoirs for air traffic needs. The Government has developed a list of water bodies (underground waters) that have health-improving significance in the country, as well as water bodies that have special state significance or special value, which restricts or completely prohibits its use.

96. The maximum permissible concentrations (MPC) of pollutants have been developed for the water standards, just as for the atmosphere air standards. As a rule, the MPC for fishing water reservoirs are stricter than MPC for drinking water reservoirs. It is necessary to emphasize that this refers primarily to the fish industry, and the human needs protection was taken here into account, probably, through water ecosystems protection principles.

97. Same as in case of atmosphere air, various indices, which enable the consideration of the presence of several pollutants, are used for comparative assessment of the water pollution. The most widely used index is Water Pollution Index (WPI). The basic document regulating the condition of the surface waters and content of the pollutants is the “Sanitary and epidemiological requirements for water sources, water intake sites for household and drinking purposes, household water supply and places of cultural and community water use and safety of water bodies” approved upon the Order of the Minister of National Economy of the RK No.209 dated 16.03.2015.

98. The legislative and regulatory and procedural documents in the field of the water environment protection are listed below:

Table 2: Water quality legislation

The Calculation Procedure for Standards of Approved upon the Order of the Minister of Discharged Waters with Pollutants (MPD) Environmental Protection No. 100-pdated into the Water Bodies, Disposal Fields and April 18, 2008 (Appendix 19). Relief of Land. On approval of the Methodology for the The Joint Order of the Deputy Prime Minister development of target indicators of water of the Republic of Kazakhstan, Minister of quality in surface water bodies and Agriculture of the Republic of Kazakhstan measures to achieve them. dated October 6, 2016 No. 422 and Minister of Energy of the Republic of Kazakhstan dated November 27, 2016 No. 505. Procedural Definitions of Norms and Approved upon the Order of the Minister of Standards of Water Resources Use in Ecology and Bio Resources of the RK dated Various Natural Climatic Zones of the 1997. Republic of Kazakhstan during Ecological Zoning. On Approval of the Methodology for The Order No.110-ө of the Minister of Calculation of Emission Limits. Environmental Protection of the Republic of Kazakhstan dated April 16, 2012.

B.3.3. Health and Safety

99. During the construction phase it is necessary to meet the requirements of CSaR 3.06.04- 91 “Construction Safety”.

100. Personal protective equipment shall comply with the applicable GOST (special 19

aprons under the GOST 12.4.029, rubber gloves under the GOST 20010, respirator "The Petal” under the GOST 12.4.028, gloves under the GOST 12.4.010, goggles under the GOST 12.4.013 and breathing mask of В type or В with filter, helmets). The site should be kept in safe, clean and good sanitary conditions. The Contractor shall bear the responsibility for clean-up of the site from garbage, construction waste and household rubbish and their removal to the municipal solid waste landfill (MSW). In this regard the Contractor shall be guided by the CSaR No3.01.016.97

101. In addition, the “IFC’s EH&S Guidelines”3 will be used as a reference for health and safety during construction and operation throughout the whole project. In case, there is a conflict between the national legislation and the IFC Guidelines the more stringent standard shall be implemented.

B.3.4 Physical Cultural Heritage

102. The main legislative documents on cultural heritage are as follows:

• The Law of the Republic of Kazakhstan "About Culture”, dated 15.12.2006 No.207- III • The Law of the Republic of Kazakhstan “On Protection and Use of the Historical Cultural Heritage", dated 2.07.1992 No.1488-XII • The Land Code of the RK, dated 20.06.2003 No.442-II.

103. For the purpose of recording and protection the historical and cultural monuments they are divided into the following categories:

• Historical and cultural monuments of international status representing the historical, scientific, architectural, artistic and memorial objects included in the UNESCO World Heritage List; • Historical and cultural monuments of national status representing the historical, scientific, architectural, artistic and memorial objects, having the special significance for the history and culture of the whole country; • Historical and cultural monuments of local significance representing the historical, scientific, architectural, artistic and memorial objects, having the special significance for the history and culture of the region (city of republican status, capital), districts (centers of regions).

104. According to Art. 127 of the Land code of the Republic of Kazakhstan dated June 20, 2003 No.442-II construction works without carrying out of archaeological examination are connected with risks for the project.

105. According to Art.39 of the Law of the Republic of Kazakhstan "About protection and use of objects of historical and cultural heritage". That is, after full archaeological studying of the monuments, located in a zone of road construction and their removal from the State account:

• The survey on identification of objects of historical and cultural heritage have to be carried out prior to land acquisition.

3 https://www.ifc.org/wps/wcm/connect/29f5137d-6e17-4660-b1f9-02bf561935e5/Final%2B- %2BGeneral%2BEHS%2BGuidelines.pdf?MOD=AJPERES&CVID=jOWim3p

• In case of detection of the objects having historical, scientific, art and other value, private and juridical persons are obliged to suspend further works conducting and to report about it to authorized body. • Work conducting, which can create threat to existence of objects of historical and cultural heritage is forbidden.

106. Any works, which can expose to danger the existing monuments, are forbidden. The enterprises, organizations, institutes, public associations and citizens in case of identification of archaeological or other sites of historical, scientific and cultural value, are obliged to inform authorized bodies on preservation and use of historical and cultural heritage, and to stop the current works.

B.3.5. Waste Management

107. The following summarizes the Environmental Code requirements for waste management including the requirements for hazardous waste management.

108. Article 286. Industrial and Consumption Waste. Types of Industrial and Consumption Waste - In terms of hazard they may pose, industrial and consumption waste may be hazardous, non-hazardous, and inert. Hazardous waste is the waste that contains one or several of the following substances:

1. explosives; 2. highly inflammable liquids; 3. highly inflammable solid substances; 4. self-inflammable substances and waste; 5. acidifying substances; 6. organic peroxides; 7. poisonous substances; 8. toxic substances causing long-lasting and chronic disease; 9. infectious substances; 10. corrosive substances; 11. eco-toxic substances; 12. substances or waste giving off flammable gases when put in contact with water; 13. substances or waste which may give off toxic gases when put in contact with the air or water; and 14. substances and materials that may form other materials with one of the abovementioned properties.

109. Article 288. General Environmental Requirements Applicable upon Treatment of Industrial and Consumption Waste: • Individuals and legal entities, whose undertakings generate waste, must implement measures of safe treatment of the waste, comply with environmental and sanitary and epidemiological requirements, and carry out recycling, neutralization and safe disposal of the same. • The places of placement of waste are designated for safe storage of waste for up to three years if the waste is to be recovered or processed, or for up to one year if the waste is to be buried. 21

• Waste owners must ensure a gradual reduction of the volumes of waste throughout the entire production cycle, including through the improvement of production processes, waste recycling, and giving the waste out to individuals and legal entities who are interested in using it. • When choosing methods and places for neutralization and placement of waste and selecting individuals and legal entities to carry out the processing, disposal or placement of waste, the owners of the waste must ensure that the movement of the waste from their source of origin is kept to a minimum.

110. Article 290. Environmental Requirements Applicable upon Planning of Activities Related to Waste Treatment:

• In the design of facilities, the operation of which generates waste, there shall be mandatory to: prepare a waste management program as an integral part of the project documentation; • In the design of residential buildings, industrial enterprises, buildings, premises, facilities and other objects the operation of which generates waste there shall be necessary to provide spaces (sites) for the accumulation of waste in compliance with the rules, regulations and requirements established by the environment protection authority and the government agency for sanitary and epidemiological well-being of the population.

111. Article 296. Waste Accounting:

• The owners of waste must keep waste accounting (type, quantities and origin of the waste) and collect and keep information on waste’s properties that endanger the environment and/or human health. • The owners of waste must keep waste accounting records for a period of five years. • The owners of waste must on an annual basis submit to the environment protection authority reports on their activities in respect of waste management, in order for this information to be entered into the State Registry of Wastes.

112. Article 289. Hazardous Waste Profile Sheet:

1. A hazardous waste profile sheet must be prepared and approved by individuals and legal entities if their undertakings generate hazardous waste. 2. The hazardous waste profile sheet must be registered with the environment protection authority within three months after the waste has been generated. 3. Copies of the registered hazardous waste profile sheets must be issued to the individual or legal entity carrying out transportation of a lot of hazardous waste or part thereof, as well as to each consignee of such lot (or part thereof). 4. A hazardous waste profile sheet must contain the information on precautionary measures to be taken in order to prevent and mitigate the consequences of emergencies that may be caused by the hazardous waste, including those arising in the course of transportation and loading/unloading operations.

113. Article 293. Environmental Requirements Applicable upon Handling Hazardous Waste:

1. Individuals and legal entities whose undertakings and activities generate waste must carry measures aimed at the prevention or reduction of the formation of waste and/or reduction of the level of hazard posed by waste. 2. The owner of hazardous waste must ensure labeling of packages containing hazardous waste wherein their hazardous properties would be denoted. When transferring such hazardous waste to other persons for a certain period of time, the owner of the waste must inform them in writing of the waste’s hazardous properties and of handling precautions that need be taken. 3. There shall be prohibited to mix hazardous waste with non-hazardous or/and inert waste, as well as intermix different types of hazardous waste during production, transportation and placement. 4. The placement of hazardous waste must be performed at specifically equipped places pursuant to the requirements set out in environmental permits. Carrying out any other activities at the waste placement site that are not directly related to waste treatment shall be prohibited. 5. Enterprises whose business is to collect, recycle, transport and dispose hazardous waste must develop emergency and accident action plans.

114. Article 294. Environmental Requirements Applicable upon Transportation of Hazardous Waste: • Formation of hazardous waste and their transportation must be kept to a minimum. • Transportation of hazardous waste shall be permitted subject to the following conditions:

- hazardous waste is packaged and labeled as appropriate for purposes of transportation; - hazardous waste is transported in properly equipped transportation means having special signs; - a hazardous waste profile sheet is present along with documentation for transportation and transfer of hazardous waste, with information on the volumes of hazardous waste being transported, purpose of transportation, and place of destination; and - safety requirements for transportation of hazardous waste and loading/unloading operations are met.

B.3.6. International Conventions and Treaties

115. Kazakhstan is a signatory of the following international conventions and treaties relevant to environmental issues.

Table 3: International Conventions and Treaties

No: Convention Name Description/Convention Objectives 1 The Convention on Aims to prevent a danger of extinction of migratory Conservation of Migratory species; implementation of scientific research related Species and Wild Animals to migratory species and their protection. 2 Convention on International Its aim is to ensure that international trade of wild Trade of Endangered Species animals and plants does not threaten the survival of of Wild Flora and Fauna the species; the agreement provides for varying (CITES) degrees of protection to more than 35,000 species of animals and plants. 23

3 Convention on Access to The convention promotes protection of the right of Information, Public Participation each person of present and future generations to live in Decision-making and Access in the environment favorable for his health and welfare. to Justice in Environmental Each Party that signed the present Convention grants Matters, Aarhus, 1998, June the rights regarding access to ecological information, 25th participation of the public in decision-making process for access to justice on the environmental issues according to the provisions of the present Convention. 4 Convention on the International The Convention sets the rules for the international Trade in Endangered Species trade in endangered species of wild flora and fauna. of Wild Flora and Fauna The trade of these species must be supervised to (Washington, March, 3, 1973): ensure that international trade of wild animals and plants does not threaten the survival of the species in the wild and can be permitted only under exceptional circumstances. 5 UN Convention to Combat The Convention aims to combat desertification and Desertification mitigate the effects of drought through the integrated approach aimed at achievement of sustainable development in affected areas including the increase of lands efficiency, rehabilitation, preservation, stable and rational use of land and water resources to improve living standards, especially communities. 6 Convention on Biological The goals of the Convention are the conservation of Diversity (Rio de Janeiro, June biological diversity, sustainable use of its components 5, 1992) and fair and equitable sharing of benefits arising from genetic resources including access to genetic resources and transfer of relevant technology with the account of all rights for such resources and technology as well as through proper financing. 7 Convention on Protection of the The Convention: -adopts a general policy which aims World Cultural and Natural to give special functions to the cultural and natural Heritage (Paris, November 16 heritage in public life and to integrate protection of that 1972): heritage into the comprehensive planning programmes. -sets up within its territories, where such services do not still exist, one or more services for protection, conservation and promotion of the cultural and natural heritage… -develops scientific and technical studies and research, methods of work, allowing the state to counter dangers that threaten its cultural or natural heritage 8 Kyoto Protocol to the UN At present the Amendment to Kyoto-2 is not ratified in Framework Convention on the Republic of Kazakhstan. Kazakhstan does not Climate Change (Kyoto, enter the list of the countries of the Appendix B of the December 11, 1997). Kyoto Protocol. The National plan of distribution of quotas for the amount of green house gas emissions for 2014-2015 has been adopted in Kazakhstan. (The resolution of the Government of the Republic of

Kazakhstan dated December 31, 2013 No. 1536). The Kyoto Protocol regulates: - Obligations for restriction and reduction of greenhouse gas emissions. - Implementation of policy and measures for increase of the efficiency of use of energy, stable forms of agriculture, protection and improvement of quality of absorbers and stores of greenhouse gases. 9 UN Framework Convention on The objective of the Convention is to "stabilize Climate Change, May 9, 1992 greenhouse gas concentrations in the atmosphere at a level that would prevent dangerous anthropogenic interference in the climate system", in the terms sufficient for natural adaptation of ecosystems to climate change allowing not to pose risks to food production and providing further economic development on a stable basis.

B.4. Environmental Quality Standards

116. The project will be implemented following both national and international standards. ADB’s Safeguard Policy requires applying pollution prevention and control technologies and practices consistent with international good practice, as reflected in internationally recognized standards such as the World Bank Group's Environment, Health and Safety Guidelines for Water and Sanitation (IFC Standard)4. These standards contain performance levels and measures that are normally acceptable and applicable to projects. When Kazakhstan standards differ from those levels and measures, KazCenter will achieve whichever is more stringent. In case if no national standard for a certain environmental aspect exists, an international standard will be applied.

117. The EHS Guidelines for Water and Sanitation include information relevant to the operation and maintenance of (i) potable water treatment and distribution systems, and (ii) collection of sewage in centralized systems (such as piped sewer collection networks) or decentralized systems (such as septic tanks subsequently serviced by pump trucks) and treatment of collected sewage at centralized facilities.

118. According to the IFC’s EHS guidelines, under Wastewater and Sludge Treatment and Discharge, sewage will normally require treatment before it can be safely discharged to the environment. The degree and nature of wastewater and sludge treatment depends on applicable standards and the planned disposal or use of the liquid effluent and sludge and the application method. The various treatment processes may reduce suspended solids (which can clog rivers, channels, and drip irrigation pipes); biodegradable organics (which are consumed by microorganisms and can result in reduced oxygen levels in the receiving water); pathogenic bacteria and other disease-causing organisms; and nutrients (which stimulate the growth of undesirable algae that, as they die, can result in increased loads of biodegradable organics). Wastewater discharge and use options include discharge to natural or artificial watercourses or water bodies; discharge to treatment ponds or

4https://www.ifc.org/wps/wcm/connect/0d8cb86a-9120-4e37-98f7- cfb1a941f235/Final%2B%2BWater%2Band%2BSanitation.pdf?MOD=AJPERES&CVID=jkD216C 25

wetlands (including aquiculture); and direct use in agriculture (e.g., crop irrigation). In all cases, the receiving water body use (e.g. navigation, recreation, irrigation, or drinking) needs to be considered together with its assimilative capacity to establish a site-specific discharge quality that is consistent with the most sensitive use. The most significant environmental impacts related to wastewater and sludge treatment, discharge, and use include:

• Liquid effluents • Solid waste • Air emissions and odors • Hazardous chemicals • Ecological impacts

119. Liquid Effluents: Treated wastewater (liquid effluents) may be reused for irrigation or other purposes or disposed subject to regulatory oversight. If not re-used, treated wastewater can be discharged to the sea; rivers; large surface water bodies; smaller, closed surface water bodies; and wetlands and lagoons. Recommended measures to prevent, minimize, and control liquid effluents include: Minimize bypass of the treatment system by using separate storm water and wastewater systems, if possible, and providing capacity sufficient to treat peak flows; Implement an industrial source control program which includes monitoring and effective regulatory enforcement; Collaborate with public officials to select appropriate treatment technologies, considering factors such as the quality and quantity of raw wastewater and its variability; available land area for the treatment facility; and resources for capital expenditures, operation, maintenance, and repair; availability of skilled operators, operator training, maintenance personnel, treatment chemicals, and replacement parts; Design, construct, operate, and maintain wastewater treatment facilities and achieve effluent water quality consistent with applicable national requirements or internationally accepted standards and consistent with effluent water quality goals based on the assimilative capacity and the most sensitive end use of the receiving water; Consider discharge of treated wastewater to natural or constructed wetlands, which can buffer the impact from discharge on the aquatic environment, unless the wetland itself would be degraded by the discharge; Treat greywater, if collected separately from sewage, to remove organic pollutants and reduce the levels of suspended solids, pathogenic organisms and other problematic substances to acceptable levels based on applicable national and local regulations. Greywater lines and point of use stations should be clearly marked to prevent accidental use for potable water quality applications; Based on an assessment of risks to human health and the environment, consider re-use of treated effluent, especially in areas with limited raw water supplies. Treated wastewater quality for land application or other uses should be consistent with the relevant public health-based guidance from the World Health Organization (WHO)5 and applicable national requirements.

120. Air Emissions and Odors. Air emissions from wastewater treatment operations may include hydrogen sulfide, methane, ozone (in the case of ozone disinfection), volatile organic compounds (such as from industrial discharges), gaseous or volatile chemicals used for disinfection processes (e.g., chlorine and ammonia), and bioaerosols (discussed in Section 1.2 below). Odors from treatment facilities can also be a nuisance to workers and the surrounding community. Measures related to management of air emissions from

5 WHO Guidelines for the Safe Use of Wastewater, Excreta and Greywater (2006).

drinking water treatment systems, discussed above, are also generally applicable to wastewater treatment facilities. In addition, the following measures are recommended to prevent, minimize, and control air emissions and odors: i) Cover emission points (e.g., aeration basins, clarifiers, sludge thickeners, tanks, and channels), and vent emissions to control systems (e.g., compost beds, biofilters, chemical scrubbers, etc.) as needed to reduce odors and otherwise meet applicable national requirements and internationally accepted guidelines; ii) Where necessary, consider alternate aeration technologies or process configurations to reduce volatilization.

121. Hazardous Chemicals. Wastewater treatment often includes the use of hazardous chemicals, such as strong acids and bases for pH control, chlorine or other compounds used for disinfection, etc. Environmental impacts and mitigation measures discussed above for disinfection in drinking water treatment are also generally applicable to disinfection in wastewater treatment facilities. Additional guidance on chemicals management is provided in the General EHS Guidelines.

122. Occupational and Community Health and Safety: Occupational health and safety impacts during the construction and decommissioning of Water and Sanitation facilities are common to other large industrial projects and are addressed in the General EHS Guidelines. Occupational health and safety impacts associated with the operational phase of water and sanitation projects primarily include the following: i) Accidents and injuries; ii) Chemical exposure, iii) Hazardous Atmosphere; iv) Exposure to pathogens and vectors; v) Noise.

B.4.1. Air Quality Standards

123. The air quality standards in Kazakhstan establish permissible concentrations of harmful substances both at workplace and in residential areas (Table 4). The main terms and definitions related to air pollution, monitoring programs, behavior of pollutants in the ambient air are determined by the GOST 17.2.1.03-84: Environmental Protection, Atmospheric Air Terms and Definitions for Contamination Control.

Table 4: Air quality standards in Kazakhstan

Substance Maximum Allowable Concentration, Hazard Class mg/m3 One Time Daily Average Maximum Inorganic dust 0.3 0.1 2 Nitrogen Dioxide 0.2 0.04 2 Sulphur dioxide 0.5 0.05 3 Carbon Monoxide 5.0 3 4

124. IFC Standards – The IFC, part of the World Bank Group (WBG), have established ambient air quality standards based on World Health Organization (WHO) guidelines. WBG guideline limits will be followed during the construction and operational phase of the Project. The following Table 5 illustrates the guidelines.

Table 5: WBG Ambient Air Quality Guidelines 6

Parameter Averaging Period Guideline Value (mg/m3) Sulphur Dioxide (SO2) 10 minute 20 24 Hour 500 Nitrogen Dioxide (NO2) 1 Hour 40 1 Year 200 Particulate Matter PM10 24 Hour 20 1 Year 50 Particulate Matter PM2.5 24 Hour 10 1 Year 25

125. Any air quality monitoring during the construction phase will be undertaken against national standards. This is based on the criteria adopted by the WBG which state that:

126. A stricter requirement will be used for each pollutant within the scope of the project. As Tables 4 and 5 show, the requirements of the national Kazakhstan standards are more stringent that those of IFC. Consequently, during the emission monitoring within the scope of the project, the requirements of the national legislation will be used

B.4.2. Water Quality Standards

127. Water quality standards in Kazakhstan are set for fishery waters and for water bodies used for household drinking and utility water as shown in Table 6. The table also shows the 2017 WHO standards for drinking water.

Table 6: List of Pollutants and Maximum Permissible Concentrations (MPC) Polluting the Surface Waters of the Republic of Kazakhstan7 Pollutant MPC for MPC for the WHO Standard Fishery water Standard for for water bodies bodies used Drinking Drinking (mg/dm3 ) for Water Water household and (2017)8 for the drinking and project recreational water (mg/dm3 ) Chrome (3+) - - - - Chrome (6+) 0.02 0.05 - 0.05 Iron (total) 0.1 0.3 - 0.3 Iron (2+) 0.005 - - - Iron (3+) - - - Zinc (2+) 0.01 5.0 - 5.0

6Not including interim targets. 7Water Quality Standards and Norms in the Republic of Kazakhstan. The Regional Environmental Center for Central Asia. 2009 8 Source: Information Bulletin of Status of Environment of Republic of Kazakhstan. 2018. and WHO’s Guidelines for Drinking Water Quality. 4-th edition 2017.

Mercury (2+) 0.00001 0.0005 0.006 0.0005 Cadmium 0.005 0.001 0.003 0.001 Arsenic 0.05 0.001 0.003 0.001 Copper (2+) 0.001 1.0 2.0 1.0 BOD5 - - - - Phenols 0.001 0.25 - 0.25 Oil Products 0.05 0.1 - 0.1 Fluorides 0.05 1.5 1.5 1.5 Nitrites 0.08 - 3 3 Nitrates 40.0 45.0 50 45.0 Salt Ammonia 0.5 - - - Sulfates 100 500 200 200 Magnesium 40.0 - - Manganese 0.01 0.1(0.5) 0.05 0.05 Nickel 0.01 0.1 0.07 0.07 Dissolved oxygen - 4 - 4 pH - 6-9 6.5-8.5 6.5-8.5

128. Table 6 gives the drinking water quality requirements used within the scope of the project.

B.4.2.1 Rules to Receive Effluent Waters by the Sewerage

129. In line with Resolution 778 of the Government of the Republic of Kazakhstan of May 29, 2009 “The Rules to Receive Effluent Waters by the Water Diversion Systems in the Populated Areas”, only the following types of effluent waters can be discharged into the sewerage:

• Waters that will not lead to the disruption of the sewer networks and structures; • Waters that do not pose a danger to the staff and can be cleaned by a sewage treatment plant of the city together with domestic waste water and in accordance with the requirements of the Rules for the protection of surface and underground water, as well as with other regulatory acts of the Republic of Kazakhstan; • Waters that have a temperature lower than 40°С.

130. The following types of waters are not subject to the discharge into the sewerage:

• Water containing soil, sand, construction and household debris, grease or substances that may clog pipes and wells; • Waters containing sediment from local treatment facilities or solid production waste; • Waters to be used in the systems of reverse and repeated water supply (water from the pools of fountains, condensate, drainage and, conventionally clean effluent water); • Surface effluents from the industrial sites; • Rain, melt, natural and washhouse waters; • Ice and snow chips; 29

• Water containing radionuclides with different decay periods

131. Industrial wastewater, subject to the combined discharge and cleaning with municipal wastewater of the settled area, must not interrupt the operation of networks and facilities of the wastewater system, have a destructive effect on the materials of the components of the networks and facilities of the wastewater system, and must have a temperature of more than 40°C:

• Flammable impurities, acids, toxic and dissolved gaseous substances, that may be originated in all buildings and constructions of a drainage system, explosive and toxic gases and mixtures; • Substances and objects clogging the elements of the drainage system or deposited on them; • Harmful substances exceeding the values of maximum permissible concentration of harmful substances and obstructing biological treatment of sewage; • Substances, for which the values of maximum permissible concentrations in water of water reservoirs of respective type of use have not been established; • Mineral pollution; • Hazardous bacterial pollution; • Undissolved oils, as well as tar and oil; • Substances in which COD (chemical oxygen demand) exceeds the biochemical consumption of oxygen (hereinafter - BOD) (total) more than 1.5 times.

132. Water discharge networks or systems of consumers working in public catering, are equipped with grease traps before their connection to the water disposal networks.

B.4.2.2 Discharge Water Standards

133. Currently, the regulation of the quality of discharges into water facilities for the design and construction of wastewater treatment plants (KOS) is administered by several departments (until recently the Ministry of Agriculture Kazakhstan, the Ministry of Health, the Ministry of Energy and the Ministry of Industry and Infrastructure Development). Due to the lack of inter-agency coordination, the country has developed an imperfect and inefficient system of rationing the quality of treatment of municipal wastewater discharged into water facilities.

134. The national legislative base of Kazakhstan does not specify the maximum permissible discharges of harmful substances during the water discharge. The maximum permissible discharge during the water discharge is specified for each individual case. The norms are regulated with the following normative acts: (i) the calculation of maximum permissible discharges was done on the basis of the “Methodology for determining the standards for emissions into the environment”, approved on April 16, 2012 by order No. 110-f of the Minister of Environmental Protection of the Republic of Kazakhstan and (ii) the methodology to calculate the standards for discharges (MPD) of harmful substances from wastewater into the water bodies, filtering fields and terrain (approved by order No100-o of the Minister of MEP dated by 04/18/2008).

135. In order to specify the maximum admissible levels of hazardous substances in every individual case, the following data are used: (i) maximum hourly discharge of effluent waters, m3/h, (ii) pollutant concentration permissible for discharge, gr/m, (iii) maximum allowable pollutant concentration in a water facility, gr/m, (iv) background concentration of a pollutant in a watercourse 0.5 km above the sewage outlet, gr/m, (v) design water flow rate in the watercourse of 0.24 m3/s, and (vi) mixture ratio showing how much of the river discharge is mixed with wastewater in the most polluted stream in the area. For large watercourses, y = 0.6, for medium watercourses y = 0.8 and y = 1.0 for small watercourses.

136. By analyzing the background values for the reservoirs of the 2nd category above the discharge of wastewater and the values of the concentration of pollutants at the outlet of the treatment plants, it can be concluded that the background values of the concentrations of pollutants along the reservoirs of the 2nd category are less favorable than the concentration values of the treated discharged wastewater according to the following indicators: total BOD, COD, suspended solids, dry residue, chlorides, sulfates, nitrites, nitrates and total iron. Such an excess is due to the existing background of the reservoirs of the 2nd category no excess of MPCк-б of other components was fixed.

137. The given methodology was used to calculate maximum permissible concentrations of hazardous pollutants at the discharge stage. The standards of pollutants discharge into reservoirs of the 2nd category (reservoirs of cultural and household water use)

138. In accordance with the protocol order of the Prime Minister of Kazakhstan on August 8, 2019. KazCenter of Housing and Housing has started to develop a single feasibility study for the construction and reconstruction of 53 urban WWTPs (KOSs). Technological solutions to clean up the drains will be made within the feasibility study. The issues of rationing runoff will be decisive in the choice of technologies and equipment.

139. In August of 2019 on behalf of Deputy Prime Minister Kasymbek J.M., an inter-agency working group was set up to rework the regulatory framework on the quality of wastewater treatment. The working group included representatives of all interested government bodies. Taking into account the fact that, in accordance with the Roadmap for the implementation of projects for the construction and reconstruction of treatment plants, the project-estimated documentation for the KOS will be developed in early 2020, it is necessary in the next 2-3 months to develop a single regulatory document regulating the quality of wastewater treatment. Taking into account the current situation, at the meeting of the inter-agency working group on October 17, 2019, it was decided to develop a national standard for the quality of treatment of municipal wastewater. The development of the standard is entrusted to KazCenter housing and utilities with the issue of financing the works and attracting performers. According to preliminary data, the development of the standard can cost 3-5 million. tenge, the amount will be clarified after the development of the technical task. The cost of work on scientific justification of new indicators of existing MAC and categorization of water objects can reach 8-10 million. Tenge. After the adoption of the new standard, it is necessary to revise the regulatory document on the design of water drainage systems of the REPUBLIC 4.01-03-2011 "Water drainage, outdoor networks and facilities." In the wastewater treatment in recent years, more than a dozen innovative solutions for biological wastewater treatment are actively used abroad, which are not described in the existing regulatory framework and therefore cannot be used in 31

our country without costly pilot tests. In addition, the regulation requires, given the current economic realities, to identify new approaches to the construction of low-productivity wastewater treatment facilities for rural communities.

140. Currently, the country's construction industry is actively developing in the process of harmonizing the state regulations of Kazakhstan with international, both the countries of the Eurasian Economic Union and the countries of the European Community. They also need to be studied and the most effective rules with established application practices to be included in the Regulation. In the framework of harmonization of the norm, following international practice, excessive regulation of certain provisions, as well as outdated norms, should be excluded from the current version.

141. The municipal water supply and sewerage system is controlled by IFC by virtue of Instructions of 2007 „Environmental, Health, and Safety Guidelines for Water and Sanitation“. As per the given Instructions, „When host country regulations differ from the levels and measures presented in the EHS Guidelines, projects are expected to achieve whichever is more stringent“.

142. The above-mentioned Instructions do not specify the maximum admissible values of hazardous substances into sewerage waters. The World Health Organization has not developed the given standards either.

143. In the given document, due to the absence of other data, „Indicative Values for Treated Sanitary Sewage Discharges“ given in „Wastewater and Ambient Water Quality“ are used as the international maximum permissible levels of the treated sanitary sewage discharges – see Table 79.

Table 7: The treated sanitary sewage discharges specified by IFC Instructions Pollutant Unit Guideline Value pH pH 6-9 Biological Oxygen Mg/l 30 Demand (BOD) Chemical Oxygen Demand Mg/l 125 (COD) Total Nitrogen Mg/l 10 Total Phosphorus Mg/l 2 Oil and Grease Mg/l 10 Total Suspended Solids Mg/l 50 Total Coliform Bacteria MPNA / 100 ml 400

9Not applicable to centralized, municipal, wastewater treatment systems which are included in EHS Guidelines for Water and Sanitation.

144. The comparison of the requirements of the treated sanitary sewage discharges specified for the reservoirs of the 2nd category and the IFC requirements is given in Table 8.

Table 8: comparison of the requirements of the treated sanitary sewage discharges specified for the reservoirs of the 2nd category and the IFC Instructions Pollutant Unit Guideline Guideline Guideline Value Value Value IFC Kazakhstan (For project) PH pH 6-9 6.5-8.5 6.5-8.5 Biological Oxygen Mg/l 30 6,00 6.00 Demand (BOD) Chemical Oxygen Mg/l 125 30,00 30.00 Demand (COD) Suspended substances Mg/l 50 15.00 15.00 Dry residue Mg/l - 1 000 1000 Chlorides Mg/l - 350 350 Sulfates Mg/l - 500 5000 Nitrites Mg/l - 45.0 45.0 Nitrates Mg/l 10 3.0 3.0 Oil and Grease Mg/l 10 0.1 10 Synthetic-surface Mg/l - 0.5 0.5 substances Total Phosphorus Mg/l 2 1.5 1.5 Total iron Mg/l - 0.1 0.1 Ammonia salts Mg/l - 2 2 Suspended substances MPNA / 100 400 400 ml

Water Quality Project Standards

145. Baseline water quality monitoring will be assessed against national MPCs.

Water Discharge Project Standards

56. As Table 8 shows, a more stringent requirement is used as a maximum permissible level of hazardous substances at the discharge stage within the scope of the project.

B.4.2.2. Water Quality for Agriculture

146. Kazakhstan's water quality standard is determined by the Order No. 151 of the Chairman of the Committee of water resources of the Ministry of Agriculture RoK dated 09.11.2016 "On approval of unified classification system of water quality in water bodies". According to the Order quality of surface water is identified based on the hydro-morphological and 33

physic-chemical parameters (42 indicators) and classified into 5 classes. Waters of classes 1 up to 4 can be used for irrigation purposes.

147. There are also recommendations of FAO on trace elements in irrigation water as shown in Table 9: Recommended Maximum Concentrations of Trace Elements in Irrigation Water.

Table 9: Recommended Maximum Concentrations of Trace Elements in Irrigation Water10

Element Recommended Remarks Maximum Concentration (mg/l) Al (aluminum) 5.0 Can cause non-productivity in acid soils (pH < 5.5), but more alkaline soils at pH > 7.0 will precipitate the ion and eliminate any toxicity. As (arsenic) 0.10 Toxicity to plants varies widely, ranging from 12 mg/l for Sudan grass to less than 0.05 mg/l for rice. Be (beryllium) 0.10 Toxicity to plants varies widely, ranging from 5 mg/l for kale to 0.5 mg/l for bush beans. Cd (cadmium) 0.01 Toxic to beans, beets and turnips at concentrations as low as 0.1 mg/l in nutrient solutions. Conservative limits recommended due to its potential for accumulation in plants and soils to concentrations that may be harmful to humans. Co (cobalt) 0.05 Toxic to tomato plants at 0.1 mg/l in nutrient solution. Tends to be inactivated by neutral and alkaline soils. Cr (chromium) 0.10 Not generally recognized as an essential growth element. Conservative limits recommended due to lack of knowledge on its toxicity to plants. Cu (copper) 0.20 Toxic to a number of plants at 0.1 to 1.0 mg/l in nutrient solutions. F (fluoride) 1.0 Inactivated by neutral and alkaline soils. Fe (iron) 5.0 Not toxic to plants in aerated soils, but can contribute to soil acidification and loss of availability of essential phosphorus and molybdenum. Overhead sprinkling may result in unsightly deposits on plants, equipment and buildings Li (lithium) 2.5 Tolerated by most crops up to 5 mg/l; mobile in soil. Toxic to citrus at low concentrations (<0.075 mg/l). Acts similarly to boron. Mn 0.20 Toxic to a number of crops at a few-tenths to a few (manganese) mg/l, but usually only in acid soils. Mo 0.01 Not toxic to plants at normal concentrations in soil and (molybdenum) water. Can be toxic to livestock if forage is grown in soils with high concentrations of available molybdenum

10Source: R.S. Ayers and D.W. Westcot. Water Quality for Agriculture. Food and Agriculture Organization. 1985

Element Recommended Remarks Maximum Concentration (mg/l) Ni (nickel) 0.20 Toxic to a number of plants at 0.5 mg/l to 1.0 mg/l; reduced toxicity at neutral or alkaline pH. Pd (lead) 5.0 Can inhibit plant cell growth at very high concentrations. Se (selenium) 0.02 Toxic to plants at concentrations as low as 0.025 mg/l and toxic to livestock if forage is grown in soils with relatively high levels of added selenium. An essential element to animals but in very low concentrations. Ti (titanium) Effectively excluded by plants; specific tolerance unknown. V (vanadium) 0.10 Toxic to many plants at relatively low concentrations. Zn (zinc) 2.0 Toxic to many plants at widely varying concentrations; reduced toxicity at pH > 6.0 and in fine textured or organic soils.

B.4.3. Soil Quality Legislation and Standards

148. New sanitary rules were introduced in Kazakhstan following long-term scientific studies. As such, SanPiN (Sanitary Rules and Norms) 2.1.7.1287-03 Sanitary and Epidemiological Requirements for Quality of Soil and Subsoil establishes standards for soils quality in inhabited localities and agricultural lands, and control the observance of the sanitary hygienic standards during engineering, construction, renewal (technical upgrading and operation of facilities for different purposes that may cause the adverse impact on soil).

149. The main terms related to the chemical contamination of soils are defined by the GOST 27593-88. The basic regulatory documents for control of the soil pollution content is “Standards of the Maximum Allowable Concentrations of the Hazardous Substances, Harmful Microorganisms and Other Biological Materials Being the Soil Pollutants” approved by the Order of the Ministry of Health of the GoK #99, 30.01.2004 and the Order of the Ministry of Environmental Protection of the GoK №21П, 27.01.2004.

150. The maximum allowable concentration (MAC) or allowable permissible concentration (APC) of chemical substances in soil refer to principal criteria for the sanitary assessment of soil contamination by chemical agents.

151. This requirement applies to all land uses and does not differentiate between various land uses. The verification of the MAC of the chemical substances in the soil is based on 4 main nuisance values identified. The Maximum Allowable Concentration for the soil valid in Kazakhstan is shown in the Table 10 below.

Table 10: Soil quality standards in Kazakhstan11

Substance Maximum Allowable Limiting Rate Concentration, mg/kg Manganese (gross form)* 1500 According to the General Sanitary Norms Cupric (flexible form)* 3.0 According to the General Sanitary Norms Lead (gross form) 32.0 Translocational Zink (gross form)* 23.0 Translocational Arsenic (gross form) 2.0 According to the General Sanitary Norms ❖ Due to the absence of these substances in new SanPiN data was taken from the previous document «Standards of the Maximum Allowable Concentrations of the Hazardous Substances, Harmful Microorganisms and Other Biological Materials Being the Soil Pollutants» approved by the Order of the Ministry of Health of the GoK №99, 30.01.2004 and Order of the Ministry for Environmental Protection of the GoK №21П , 27.01.2004.

B.4.3. Noise Standards

152. The sanitary rule regulating noise level in the workplace and within settling areas is Hygienic standards for physical factors affecting a person approved with the Order of MNE № 169 from 28.02.2015, and noise standards are set depending on the frequency and type of the occupation. In residential area noise levels are generally regulated with respect to sound levels at specific places referred to as "sensitive receptors" such as schools, hospitals or, in the absence of such facilities, at residential buildings or a given distance from the source of the noise.

153. Equivalent level of noise for workplaces of drivers and service personnel of self-propelled chassis tractors, trailed and mounted agricultural machines, road construction and other similar machines - 80 dBA

154. The equivalent level of noise is assumed for areas neighboring on the residential houses, rest areas of the micro-districts and residential groupings, school areas, playgrounds of the preschool after adjustment as follows:

• For living rooms depending on the time of the day from 7 hours till 23 hour - 40 dBA, from 23 hours till 7 am – 30 dBA. • For hospitals and sanatoriums daylight time from 7 am till 23 hours - 35 dBA, from 23 hours till 7 am – 25 dBA. • For schools – 40 dBA.

155. The IFC also publish noise limits for residential areas which are similar to the Kazakh standards with the exception of the timings, with daytime noise being classified as 07;00 to 22:00, see Table 11 below.

11Source: “Sanitary and Epidemiological Requirements for Atmospheric Air in Urban and Rural Areas, Soils and Their Protection, Maintenance of the Territories of Urban and Rural Settlements, Working Conditions with Sources of Physical Impacts Affecting People", dated January 25, 2012.

Table 11: IFC Noise Level Guidelines

Receptor One hour Laeq (dBA) Daytime: 07.00-22.00 Night-time: 22.00 – 07.00 Residential; institutional; 55 45 educational Industrial; commercial 70 70

156. IFC provides noise limits for various working environments, which are also illustrated in Table 12

Table 12: IFC Work Environment Noise limits

Type of Work, workplace IFC General EHS Guidelines Heavy Industry (no demand for oral 85 dBA Equivalent level Laeq,8h communication) Light industry (decreasing demand for oral 50-65dBA Equivalent level Laeq,8h communication)

157. Measures of protection is determined according to the construction norms SN RK 2.04- 02-2011 «Noise Protection».

158. For construction phase monitoring, IFC guideline limits will be followed as the nighttime period is slightly longer than national standards. For workplace noise, national guidelines shall be followed.

B.5. Sanitary Protection Zones

159. Generally, a sanitary protection zone is established with the goal to ensure the safety of the population, and its size ensures the reduction of pollution impact (chemical, biological, physical) on the atmospheric air to the values established by the health standards. With its functional purpose, a sanitary protection zone is a protective barrier ensuring the necessary level of public safety during a normal operation of the facility.

160. For the facilities with the technological processes causing adverse impact on the environment and human health within the scope of the construction or reconstruction project of the facility, the size of the sanitary protection zone is substantiated for the total design capacity of the facility operation.

161. The sources of impact on the environment and human health are the facilities, for which the levels of pollution beyond the limits of an industrial site exceed 0.1 maximum permissible concentration (hereinafter referred as to as “MPC”) and/or maximum permissible level (hereinafter referred to as “MPL”). In case of such facilities, the border of the sanitary protection zone may coincide with the border of the industrial site. In line with Order No. 237 of 03/20/2015 of the Minister of the National Economy of the Republic of Kazakhstan validating “Sanitary and epidemiological requirements for establishing a sanitary protection zone of industrial facilities”, the borders of the sanitary protection zone 37

are set from the outermost sources of chemical, biological and/or physical exposure, belonging to the industrial facility realizing its business activities and established in the prescribed manner.

162. In case of facilities, which are the sources of impact on the environment and human health, the following sizes of a sanitary protection zone are set depending on the hazard category of the given enterprise:

1) Facilities of the I hazard category with a sanitary protection zone of 1000 m or more; 2) Facilities of the II hazard category with a sanitary protection zone from 500 m to 999 m; 3) Facilities of the III hazard category with a sanitary protection zone from 300 m to 499 m; 4) Facilities of the IV hazard category with a sanitary protection zone from 100 m to 299 m; 5) Facilities of the V hazard category with a sanitary protection zone from 0 m to 99 m.

163. The adequacy of the width of a sanitary protection zone must be confirmed by calculations of the levels of pollution in line with the current instructions to calculate the dispersion in the atmosphere of harmful substances contained in the emissions of enterprises. The sanitary protection zone of facilities is developed in a due sequence:

• A design (preliminary) sanitary protection zone established on the basis of the project by calculating the dispersion of air pollution; • An established (final) sanitary protection zone on the basis of the results of an annual (following the launch of the facility with full capacity) cycle of field observations and measurements to confirm the design parameters.

164. The dimensions of a sanitary protection zone are fixed for the facilities which are the sources of impact on the environment and human health, by considering the planned measures to reduce the adverse impact of various factors on the environment and human health in line with the sanitary classification of industrial objects and enterprises according to the hazard category of a given facility in line with Appendix 1 of the present Sanitary Rules.

B.5.1. Setting the borders of a sanitary protection zone

165. Setting of a sanitary protection zone between the enterprise and the residential settlement is one of the principal, measures to protect the air ensuring the required air quality in the settled areas. In line with Order No. 237 of 03/20/2015 of the Minister of the National Economy of the Republic of Kazakhstan validating “Sanitary and epidemiological

requirements for establishing a sanitary protection zone of industrial facilities” and Appendix 1 to the present Rules, the object is not classified and no sanitary protection zone is established.

166. In line with Order No. 237 of 03/20/2015 of the Minister of the National Economy of the Republic of Kazakhstan validating “Sanitary and epidemiological requirements for establishing a sanitary protection zone of industrial facilities” and Appendix 3 to the Sanitary Rules, the minimal sanitary protection zone from the treatment of domestic wastewater with the capacity of 35,000 m3/day is as follows:

• Structures for mechanical and biological treatment with sludge grounds for stored precipitations as well as drying grounds - less than 400 m.

167. The facility belongs to the III category, with the sanitary protection zone of 300 to 499 m from the atmospheric air pollution sources.

B.6. ADB Safeguard Policy Statement 2009

168. ADB’s SPS adopted in 2009 describes common objectives of ADB’s safeguards, lays out policy principles, objectives, scope and triggers, and principles for three key safeguard areas: (i) environmental safeguards, (ii) involuntary resettlement safeguards, and (iii) indigenous peoples safeguards. It applies to all ADB-financed, ADB administered projects, and their components including investment projects funded by a loan, grant, or other means. Objectives of ADB’s safeguards are to:

• avoid adverse impacts of projects on the environment and affected people, where possible; • minimize, mitigate, and/or compensate for adverse project impacts on the environment and affected people when avoidance is not possible; and • help borrowers/clients to strengthen their safeguard systems and develop the capacity to manage environmental and social risks.

169. Safeguard Requirements 1: Environment –The objectives are to ensure the environmental soundness and sustainability of projects, and to support the integration of environmental considerations into the project decision-making process. Environmental safeguards are triggered if a project is likely to have potential environmental risks and impacts. Eleven ‘Policy Principles’ have been adopted as part of the SPS, including:

1. Use a screening process for each proposed project, as early as possible, to determine the appropriate extent and type of environmental assessment so that appropriate studies are undertaken commensurate with the significance of potential impacts and risks (The Project was screened in accordance with criteria of the ADB’s SPS and classified as a Category B project).

2. Conduct an environmental assessment for each proposed project to identify potential direct, indirect, cumulative, and induced impacts and risks to physical, biological, socioeconomic (including impacts on livelihood through environmental media, health and safety, vulnerable groups, and gender issues), and physical cultural resources in the 39

context of the project’s area of influence. Assess potential transboundary and global impacts, including climate change. Use strategic environmental assessment where appropriate. (The IEE herewith provides the environmental assessment for the Project, including an assessment of climate change. Transboundary impacts are not applicable).

3. Examine alternatives to the project’s location, design, technology, and components and their potential environmental and social impacts and document the rationale for selecting the particular alternative proposed. Also consider the no project alternative. (Alternatives have been considered, including the ‘no project’ alternative in Section D - Error! R eference source not found.).

4. Avoid, and where avoidance is not possible, minimize, mitigate, and/or offset adverse impacts and enhance positive impacts by means of environmental planning and management. Prepare an environmental management plan (EMP) that includes the proposed mitigation measures, environmental monitoring and reporting requirements, related institutional or organizational arrangements, capacity development and training measures, implementation schedule, cost estimates, and performance indicators. Key considerations for EMP preparation include mitigation of potential adverse impacts to the level of no significant harm to third parties, and the polluter pays principle. (An EMP has been prepared for the Project and is outlined in detail in Section I).

5. Carry out meaningful consultation with affected people and facilitate their informed participation. Ensure women’s participation in consultation. Involve stakeholders, including affected people and concerned nongovernment organizations, early in the project preparation process and ensure that their views and concerns are made known to and understood by decision makers and taken into account. Continue consultations with stakeholders throughout project implementation as necessary to address issues related to environmental assessment. Establish a grievance redress mechanism to receive and facilitate resolution of the affected people’s concerns and grievances regarding the project’s environmental performance. (At this stage, no public consultations or focus group discussions have been possible due to the outbreak of COVID-19. Instead, conducting of public consultations with interested stakeholders, using distant communication channels such as mobile phones and internet, are in progress. All findings of consultations and minutes of meetings will be incorporated into final IEE. A description of the Project grievance redress mechanism is presented in Section H).

6. Disclose a draft environmental assessment (including the EMP) in a timely manner, before project appraisal, in an accessible place and in a form and language(s) understandable to affected people and other stakeholders. Disclose the final environmental assessment, and its updates if any, to affected people and other stakeholders. (This IEE and its EMP will be disclosed on the ADB web-site and KazCenter’s website in local language).

7. Implement the EMP and monitor its effectiveness. Document monitoring results, including the development and implementation of corrective actions, and disclose monitoring reports. (The IEE and its EMP outline a plan to monitor the implementation of the EMP and the institutional responsibilities for monitoring and reporting throughout the Project lifecycle: Section I).

8. Do not implement project activities in areas of critical habitats, unless (i) there are no measurable adverse impacts on the critical habitat that could impair its ability to function, (ii) there is no reduction in the population of any recognized endangered or critically endangered species, and (iii) any lesser impacts are mitigated. If a project is located within a legally protected area, implement additional programs to promote and enhance the conservation aims of the protected area. In an area of natural habitats, there must be no significant conversion or degradation, unless (i) alternatives are not available, (ii) the overall benefits from the project substantially outweigh the environmental costs, and (iii) any conversion or degradation is appropriately mitigated. Use a precautionary approach to the use, development, and management of renewable natural resources. (Critical habitats have not been identified that maybe significantly impacted by the Project).

9. Apply pollution prevention and control technologies and practices consistent with international good practices as reflected in internationally recognized standards such as the World Bank Group’s Environmental, Health and Safety Guidelines. Adopt cleaner production processes and good energy efficiency practices. Avoid pollution, or, when avoidance is not possible, minimize or control the intensity or load of pollutant emissions and discharges, including direct and indirect greenhouse gases emissions, waste generation, and release of hazardous materials from their production, transportation, handling, and storage. Avoid the use of hazardous materials subject to international bans or phase-outs. Purchase, use, and manage pesticides based on integrated pest management approaches and reduce reliance on synthetic chemical pesticides. When host country regulations differ from these levels and measures, the borrower/client will achieve whichever is more stringent. (The IEE and its EMP outline specific mitigation and management measures to prevent and control pollution. Section I - Environmental Management Plan and Institutional Requirements).

10. Provide workers with safe and healthy working conditions and prevent accidents, injuries, and disease. Establish preventive and emergency preparedness and response measures to avoid, and where avoidance is not possible, to minimize, adverse impacts and risks to the health and safety of local communities. (The IEE and its EMP outline the requirement for specific community health and safety plans: Section I).

11. Conserve physical cultural resources and avoid destroying or damaging them by using field-based surveys that employ qualified and experienced experts during environmental assessment. Provide for the use of “chance find” procedures that include a pre-approved management and conservation approach for materials that may be discovered during project implementation. (No physical and cultural resources have been identified that would be significantly impacted by the Project.

170. Safeguard Requirements 2: Involuntary Resettlement – The objectives are to avoid involuntary resettlement wherever possible; to minimize involuntary resettlement by exploring project and design alternatives; to enhance, or at least restore, the livelihoods of all displaced persons in real terms relative to pre-project levels; and to improve the standards of living of the displaced poor and other vulnerable groups. The safeguard requirements underscore the requirements for undertaking the social impact assessment and resettlement planning process, preparing social impact assessment reports and resettlement planning documents, exploring negotiated land acquisition, disclosing information, and engaging in consultations, establishing a grievance mechanism, and resettlement monitoring and reporting.

171. The involuntary resettlement requirements apply to full or partial, permanent or temporary physical displacement (relocation, loss of residential land, or loss of shelter) and economic displacement (loss of land, assets, access to assets, income sources, or means of livelihoods) resulting from (i) involuntary acquisition of land; or (ii) involuntary restrictions on land use or on access to legally designated parks and protected areas. Resettlement is considered involuntary when displaced individuals or communities do not have the right to refuse land acquisition that results in displacement. (Since the new WWTP is proposed to be constructed within the boundaries of the existing plot containing the existing WWTP, therefore no additional land will be needed. The closest neighboring residential area is far consequently, there will be no involuntary resettlement. In the eventuality, the detailed final design requires additional land outside the existing boundaries of the WWTP, a resettlement plan (LARP), based on the project’s Land Acquisition and Resettlement Framework (LARF) and reviewed by ADB, will be required. Civil works will proceed only after the full implementation of the LARP, as certified by a third party).

172. Safeguard Requirements 3: Indigenous Peoples – The objective is to design and implement projects in a way that fosters full respect for Indigenous Peoples’ identity, dignity, human rights, livelihood systems, and cultural uniqueness as defined by the Indigenous Peoples themselves so that they (i) receive culturally appropriate social and economic benefits, (ii) do not suffer adverse impacts as a result of projects, and (iii) can participate actively in projects that affect them. (According to the Draft LARP the Project does not involve impacts to Indigenous Peoples and therefore no further actions relating to this safeguard are required).

B.7 Comparison of ADB requirements and legislation of Republic of Kazakhstan

173. An evaluation of the national environmental protection legislation of the Republic of Kazakhstan and ADB procedures and its meaning for the Project is presented in this chapter. The environmental legislation of Kazakhstan mainly has been developed to provide control of activities and to control adverse impacts on the environment and human health. The submission of EIA for Ecological Expertise is not all the time complies with best international practice, which includes a significant component of ongoing evaluation in an iterative process. The preparation of EIA in Kazakhstan is more statistical process, which more focusing in the calculation of emissions, which charges for emissions are paid and less focusing on the analysis and conclusions with the understanding of adverse impact and measurements on their avoidance and mitigation. Data collection process for report is not always related with the goal of EIA and with the project framework.

174. Public procedures in Kazakhstan are not always adapted for monitoring during the project construction. For example, the Regional Department of Environment must submit an application to the prosecutor's office to conduct an audit, and can only do this once a year, with notification of the Contractor within 2 weeks prior to the audit. The content of environmental plans includes only the description of the overall mitigation and monitoring of impacts, without information on the place and the responsible entities, focusing on references on regulations and standards, and has little value for the contractors.

175. The environmental assessment of the Project will need to satisfy the requirement of both the Government of Kazakhstan and ADB. A harmonized safeguard framework is developed for conducting IEE and EIA studies of the Projects. It should be noted that in

harmonizing the National and ADB standards the most stringent will be applied in accordance with the SPS 2009.

176. The table comparing ADB and Kazakhstan legislation requirements and providing harmonized framework is given in Table 13.

Table 13: Comparing ADB and Kazakhstan legislation requirements

EIA Stage ADB Kazakhstan Harmonized Framework Environmental ADB’s SPS (2009) sets out the policy The overarching legislative The Project shall comply with both Policy and objectives, scope and triggers, and framework that establishes the legal requirements. Regulations principles for three key safeguard areas: framework for environmental • Environmental safeguards, protection in Kazakhstan is the • Involuntary resettlement safeguards, Environmental Code, adopted on and January 9, 2007 with latest • Indigenous peoples safeguards amendments and additions on October 10, 2018. Three main laws (the Law on Environmental Protection, the Law on Ecological Expertise and the Law on Air Protection) were abrogated subsequent to their integration into the Environmental Code. Classification ADB uses a classification system to Classification of activities according The Project is Categorized as reflect the significance of a project’s to risk level from I (high) to V (low) Category B. potential environmental impacts. A in Kazakhstan. Depending on the project’s category is determined by the risk the Level of Environmental category of its most environmentally Category from 1 to 4 is assigned. sensitive component, including direct, Sanitary Epidemiological indirect, cumulative, and induced impacts Regulations specify Environmental in the project’s area of influence. Projects Category through the lists of are assigned to one of the following four activities by sector (e.g. chemical categories: industry, metallurgy, agriculture, etc.) and by risk category (i.e. I – V).

Environmental Category 1 covers (i) Category A. A proposed project is activities of the I and II risk levels. classified as category A if it is likely to The main aim of the Sanitary Rules have significant adverse environmental are concluded in the established impacts that are irreversible, diverse, or Sanitary Protection Zones (SPZ) unprecedented. These impacts may affect which are for the objects of the an area larger than the sites or facilities Category 1, not less than 1000 m, subject to physical works. An for the risk category 1, and not less than 500 m for the risk category 2.

environmental impact assessment is required. (ii) Category B. A proposed project is classified as category B if its potential adverse environmental impacts are less adverse than those of category A projects. These impacts are site-specific, few if any of them are irreversible, and in most cases mitigation measures can be designed more readily than for category A projects. An initial environmental examination is required. (iii) Category C. A proposed project is classified as category C if it is likely to have minimal or no adverse environmental impacts. No environmental assessment is required although environmental implications need to be reviewed. (iv) Category FI. A proposed project is classified as category FI if it involves investment of ADB funds to or through a FI. Screening ADB carries out project screening and The EIA process consists of three All the requirement of ADB will categorization at the earliest stage of stages: (i) Preliminary cover the requirement of project preparation when sufficient environmental assessment (PEIA or Kazakhstan requirement. Then the information is available for this purpose pred OVOS): essentially a scoping- project will follow the Category B of using REA checklist Categorization into level desk study prepared in parallel ADB. Category A, B, C, FI. with an engineering feasibility study; (ii) Environment Impact Assessment (EIA or OVOS): a comprehensive assessment of positive and negative environmental impacts with detailed mitigation & monitoring plan prepared during design stage; and (iii) Section “Environment Protection” is developed if there are changes in 45

final detail design or project is prepared in one single stage, and included in the final set of a project design documentation, which is then submitted for approval by the mandatory State Expertise.

Alternatives Examination of financially and technically Alternative assessments are to be Assessment of alternatives will feasible alternatives to the project carried out for the project location include the location and design, and location, design, technology and and design. also no project alternative. components, their potential environmental and social impacts. Consider no project alternative. EIA Report/IEE For Category A projects an According to Article 36 of the The EIA/IEE and EMP reports will Report environmental impact assessment (EIA) Environmental Code, development follow the table of contents is required. of EIA (OVOS) is mandatory for all proposed by ADB SPS (2009). For Category B projects an initial types of activities and projects that environmental examination (IEE) is can have direct or indirect impact on required. environment or human health. All For Category C projects no projects should pass through a environmental assessment is required process of State Expertise in order although environmental implications need to get clearance for implementation. to be reviewed. Project design package that is submitted for clearance should Guidelines and Table of Contents are include section on “Environment provided for EIA report in SPS (2009). Protection”. EMP will include proposed mitigation measures, monitoring and reporting requirements, institutional arrangements, schedules, and cost estimates. Public Consultations Carry out meaningful consultation with Kazakhstan has a procedure of Consultations will be carried out affected people and facilitate their public consultation, but mainly in with the stakeholders, affected informed participation. this process state sector is people, NGOs throughout the Involving stakeholders, project- affected participating and rarely involves project cycle and consider their people and concerned NGOs early in the common citizens. views in project design and project preparation and ensure that their safeguard plan. Questions and views and concerns are made known and concerns raised during public consultations held will be

understood by decision makers and taken considered and addressed in the into account. EIA. Continue consultations with stakeholders throughout project implementation as necessary to address environmental assessment- related issues. Public Disclosure Draft EIA will be published in ADB website Submission of a full environmental Draft EIA/IEE report (English and for 120 days before Project approval by assessment to the local /oblast- Russian) will be published in ADB the Board. level environmental authority and its and IA Websites. The copies of the review by the central government draft EIA/IEE report will be made takes 60 days. During the first 30 available with the Akimat days there is a theoretically a time (municipal) offices. for the public to comment. But since there is no real announcement this does not happen. Further, there is a ‘public debate/hearings are held as part of the final EIA approval. There is no other disclosure. This document when agreed by the Bank as suitable for public disclosure under the 120 rule will be put on the KAZCenter’s website in Russian. 30 days after its submission the next round of public consultation will take place.

C. DESCRIPTION OF THE PROJECT

C.1. Background

177. The Government of Kazakhstan (GOK) is promoting the ‘Wastewater Treatment Plants Reconstruction and Construction Program’ (the Program) to improve the wastewater treatment facilities in the 53 cities across the Country. The Program will be implemented through a phased approach and will be financed by the Asian Development Bank (ADB) and the European Bank for Reconstruction and Development (EBRD). Phase 1 includes 11 wastewater treatment plants (WWTP - KOS), of which five WWTPs located in the towns of Stepnogorsk, Zhezkazgan, Satpaev, Balkhash, and Zhanatas will be financed by ADB. The 5 WWTPs (subprojects) will be procured under a Design and Build (DB) arrangement and this report contain a conceptual design for the plant located in Balkhash. KazCenter ZhKh (KAZCenter) is the national agency that will act as Implementing Agency (IA) for this program on behalf of the Government.

C.2. Need for the Project

178. As of 2019, There are no wastewater treatment facilities in the City of Balkhash. The existing sewage network discharges the untreated wastewater into a storage pond used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city and 18 km from the lake Balkhash.

179. The adequate performance of the sewage treatment process to meet the effluent standard can be achieved with the construction of a new Wastewater Treatment Plant (WWTP) with mechanical and biological treatment facilities, as well as sludge treatment facilities in accordance with modern technologies.

180. The construction of new sewerage treatment plant will contribute to the better environment and sanitary-epidemiological state in the city, will have a positive impact on the health of the population. Economic efficiency – putting the treatment plant to operation and obtaining real analyses of the treated effluents of the quality corresponding to the water in the cultural-domestic water reservoirs, allow the operating company (“Balkhash Su”) to use the given water to water green plantations and to offer the given water to the enterprises of the city for secondary use to meet their technological demands, thereby reducing water production for industrial needs from unique Lake Balkhash.

181. The new WWTP with mechanical and biological treatment facilities, as well as sludge treatment facilities, will be designed in compliance with national standards. According to the conceptual design, no rehabilitation works are planned at this stage for current discharge point.

C.3. Project location

182. The city of Balkhash is located in the central part of the Republic of Kazakhstan in the Karaganda region on the north coast of the lake Balkhash, about 350 km north of the city of Almaty. The city lies approximately 500 km west of the Chinese border at an altitude of 440 m.

183. The site for the construction of WWTP is located in the southeastern part of the city of Balkhash, along the existing sewage route of the emergency discharge and the emergency discharge pond. Current discharge point is located in the South-East direction, 0.5 km far from the WWTP (See Figure 1).

Figure 1: Location of WWTP along the existing sewage route of the emergency discharge pond

184. The nearest residential buildings are located on the south-west side on 2.5 km from the border of the designed WWTP. The selected site of treatment facilities is located 3.5 km east of Balkhash city in the area of the existing emergency storage pond. The distance from the main pumping station (GKNS-1) is 5 km. The distance from the existing road is 2 km.

185. The service for potable water and sewerage is provided by Balkhash Su State Enterprise owned 100% by the Akimat (Municipality). There is no Wastewater Treatment Plant in the city of Balkhash. The existing sewage network discharges the untreated wastewater into a storage pond used as evaporator, located in the natural basin of Ak-Shoky, within 25 km from the city and 18 km from the lake Balkhash. The capacity of the storage pond is 49 M m3.

186. The location of the city of Balkhash is shown in Figure 2. 49

Figure 2: Location of Balkhash city

187. The service for potable water and sewerage is provided by Balkhash Su State Enterprise owned 100% by the Akimat (Municipality).

188. There is no Wastewater Treatment Plant in the city of Balkhash.

189. The existing sewage network discharges the untreated wastewater into a storage pond used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city. The wastewater which will not be reused will be pumped to the Ak-Shoky storage pond, where untreated wastewater has been discharged until now. In the frame of the Project the storage pond will not be rehabilitated.

C.4. Existing Situation

C.4.1. Existing Master Plan

190. The new Master Plan for the city of Balkhash, with design horizon 2045, was studied by the Experts of the Almaty Design Institute “Kazgiprograd 1”. The designers consider the future of the city together with the development of the Konyrat micro-district and the Sayak village.

191. The plan includes the construction of residential buildings, social facilities, and communication networks. Some options for the development of water and electricity facilities are proposed. One of the main scopes for the next years is the development of tourism.

192. Currently, there is no Wastewater Treatment Plant in the city of Balkhash.

193. The Master Plan takes into consideration the construction of a Wastewater Treatment Plant, which is planned in a lot with a total area of 11.6 ha and, located 3.5 km east of the city. The surface is flat and, there are no plants and greenery and, according to the urban classification of the area (land allocation certificate) is adequate for the WWTP construction.

C.4.2. Sector Governance and Performance

194. The service for potable water and sewerage is provided by Balkhash Su State Enterprise owned 100% by the Akimat (Municipality). The production and the distribution of hot water are provided by a private industrial company.

C.4.3. Water Supply Network

195. In the city of Balkhash the water supply for cold water is provided by a system of wells while the hot water is spilled by the lake. The production and the distribution of hot water is provided by a private industrial company.

196. The Water is pumped from the wells to the main reservoir which is connected with 3 other urban reservoirs (3 x 10,000 m3) through a main DN 1000 mm and length 22.50 km. The reservoirs are used to provide the necessary head in the city networks, to regulate consumption’s unevenness and to store firefighting water volumes. The water is delivered to customers through two separate networks, one dedicated to domestic users and the other for industrial users.

197. The Water is chlorinated in the reservoirs, then is delivered to the city networks through mains with a diameter of 800 mm and a length of 2.5 km. The network has a total length of 110 km and pipes with size in the range of DN 150 – 600 mm. The leakage through the network is reported to be significant.

198. According to the Feasibility Study prepared by the Municipality of Balkhash and submitted to KAZCenter, the volumes of Water Supply production are summarized in the Table 13 below for the period 2012-2015.

Table 13: Volume of Water Supply in Balkhash in the period 2012-2015

Services 2011г. 2012г. 2013г. 2014г. 2015г.

Balkhash population. 76,620 77,080 77,440 78,000 78,690 Water consumption (from 19,053 7,485 6,833 6,180 5,978 Balkhash Su) x 1000 m3/year Growth rate, % -8,72% -9,55% -3,27% Including: Civil Population, (m3/year) 3,583,000 3,207,000 2,786,000 2,621,000 Growth rate, % -10,51% -13,11% -5,90% Budget enterprises m3/year 296,000 285,000 274,000 267,000 Growth rate, % -3,71% -3,86% -2,46% Industrial enterprises m3/year 2,355,000 2,156,000 1,971,000 1,917,000 Growth rate, % -8,46% -8,59% -2,73% Other enterprises m3/year. 684,000 634,000 585,000 364,000 Growth rate, % -7,18% -7,74% -37,74% Own consumption x 1000 с.m. 0,43 0,36 0,43 0,43 Specific consumption l/d/pers 681 266 241 217 208 Population specific - 127,37 113,47 97,87 91,29 consumption l/d/pers

C 4.4. Wastewater Network

199. In the city of Balkhash, the wastewater disposal system is de facto a combined one, storm water and wastewater are conveyed jointly because of the poor condition of the drainage network. Wastewater from the residential area (domestic and household effluents), as well as effluent from industries, are delivered in the evaporation pond and then to the final basin. The rate of connection to the network is estimated at around 80%.

200. Industries, according to the information of KAZCenter, do not discharge their wastewater to the network but provide for the treatment by themselves.

201. According to the Feasibility Study submitted by the Municipality to KAZCenter, the total wastewater production is 17,301 m3/d (2015) and the civil wastewater production is 11,057 m3/d (2015): the details are summarized in the Table 14 below for the period 2012-2015.

Table 14: Wastewater production in Balkhash for the period 2012-2015

Volume of provided services 2012 2013 2014 2015 Population size x 1000 res. 77,08 77,44 78,00 78,47 Volume of wastewater disposal x1000 m3/y 8 377 7 571 6 765 6 315 Growth rate, % -9,62% -10,64% -6,64% Including: Volume of wastewater disposal from population x1000 m3/y 5 351 4 808 4 265 4 036 Growth rate, % -10,15% -11,29% -5,36% Volume of wastewater disposal from commercial organizations x1000 m3/y. 294 272 249 383 Growth rate, % -7,71% -8,35% 53,91% Volume of wastewater disposal from industrial enterprises x1000 m3/y. 2 099 1 932 1 775 1 517 Growth rate, % -7,97% -8,08% -14,53% Volume of wastewater disposal from 630 551 459 540 other organizations x1000 m3/y Growth rate, % -12,66% -16,52% 17,47% Own needs consumption x1000 m3/y 0,49 7,41 14,33 0,49 Specific disposal volume l/d*c 297 267 237 220 Growth rate, % -10,03% -11,29% -7,20% Population specific disposal volume 190 170 149 140 l/d*cs Growth rate, % -10,56% -11,93% -40,68%

202. As already stated, there is no WWTP, the final recipient body for wastewater is the natural basin of Ak-Shoky located 25 km northwest of Balkhash urban area and 18 km north of Lake Balkhash. The basin capacity is 49.0 million m3/year and it is classified as Category II.

203. The wastewater final delivery point is shown in the Figure 3 below.

Figure 3: Balkhash final recipient body

C.4.5. Water Demand and Wastewater Production

204. To forecast the production of wastewater in the design period of the WWTP different scenarios were analyzed, considering different sources of information.

C.4.5.1 Estimation of water demand and wastewater

205. Considering the expansion of the city and the increased living standard of the population on one hand and on the other hand an increase of tariffs, it is assumed, a specific water demand of 220 liters per capita per day, based on national and international water consumption data and trend.

• Water Demand: 220 l/(c*d) • Volume of water supply = 220 x (75,000) = 16,500 m3/d 3 • Qavg 688 m /h 3 • Qpeak 1,238 m /h considering a Peak factor 1.80

206. As already noted above, there is no wastewater discharged from industries to the network because they are located outside of the city and provide to treat their wastewater locally. However, to our time horizon of 2040, adopting a conservative approach, it is considered a volume of additional wastewater coming from various sources (commercial activity, underground water, undefined sources, etc.) up to 2,500 m3/d (around 15% of total domestic water demand).

207. It is estimated that 95% of the residents will be connected by 2040 and, that the rate of inflow to the wastewater network (wastewater generation factor) is 100%, additionally an infiltration rate of 10% of the domestic water supply volume. Therefore, the wastewater entering the WWTP is: • Volume domestic wastewater = 0.95 x 1.00 x 16,500 m3/d = 15,675 m3/d • Volume from various sources = 2,500 m3/d • Volume of infiltration - 1,650 m3/d 3 • Average Inflow Qavg = 19,825 m /d • Daily peak factor - 1.2 • Hourly peak factor - 1.5 53

• Global Peak factor = 1.2 x 1.5 = 1.80 3 • Average Inflow Qavg = 826 m /h 12 3 • Peak Inflow Qpeak = 1,349 m /h

208. The volume of stormwater discharged in the network is not estimated by Municipality and Vodokanal.

209. The WWTP is intended to treat only wastewater and not stormwater, which, even if discharged to the wastewater network, must be overflowed. Therefore, during the preparation of the Detailed Design, the Contractor and the Consultant, developing the Hydrological Study, will take care to carry out a proper estimation of the volume of stormwater to overflow and to size a proper spillway.

210. Anyway, for a careful approach, a reasonable volume of stormwater is considered in the calculation through the infiltration coefficient and the wastewater generation factor13 because the network is not perfectly sealed, and some infiltration and\or discharge may occur.

211. All the main data are reported in the following Table 15.

Table 15: Population - Water Demand - Wastewater production

Parameter Units 2019 2040

Water Demand Total Population in service area person 68,000 75,000 Water supply connection rate % 100% 100% Per capita water demand l/c*d N/A 220 Domestic water demand m³/d N/A 16,500 Wastewater production Population 72,885 75,000 Domestic water demand m³/d N/A 16,500 Wastewater Connection rate 80% 95% Population served 58,308 71,250 Wastewater generation rate 100% 100% Infiltration rate 10% 10% Average wastewater production Q avg m³/d N/A 15,675 (Domestic) Other sources water\wastewater m³/d 2,500 Infiltration water (% of domestic water demand) m³/h N/A 1,650

12 The peak factor is applied only to civil-domestic wastewater while volume of infiltration and water from other sources are considered independent from hourly peak. 13Percentage of the water supply that is delivered to the wastewater network.

Parameter Units 2019 2040 Average wastewater production m³/d 19,825 Qavg = (domestic + other sources + infiltration) Average wastewater production m³/h 826 Qavg = (domestic + other sources + infiltration) Daily peak factor 1.2 1.2 Hourly peak factor 1.5 1.5 Hourly peak factor for the peak day (1.2x1.5) 1.8 1.8 Daily Peak wastewater production Dry Weather: Qpeak, dry = Qavg (domestic) x daily peak m³/d 22,960 factor + infiltration water + other sources Hourly Peak wastewater production Dry Weather: Q =Q (domestic) x daily peak peak, dry avg m³/h 1,349 factor x hourly peak factor + infiltration water + other sources WWTP CAPACITY m³/d 25,000 20,000 Design Flow (max flow) - dry weather m³/h N/A 1,349 Design Flow (average flow) - dry weather m³/h N/A 826

C.4.6. Pollution loads and design flow

212. The population and the flows, estimated in the paragraph above, are related to the estimation of the pollution loads.

213. In the existing Feasibility Study, the concentrations of the polluting parameters are based on the results of the analysis carried out by the Balkhash Su laboratory in the years 2013-2015 and confirmed with a written communication from the Balkhash Su state enterprise. They are presented in the table below (Table 16):

Table 16: Pollution Parameters estimated in the Feasibility Study

Average Concentration # Parameters Lab test 2013-2015 (mg/l) 1 Suspended solids (SS) 122.0 2 BOD5 76.3 3 BODultim 103.3 4 COD 183.5 5 Total Nitrogen 27.9 6 Ammoniacal nitrogen 23.0 7 Phosphates 5.5 8 Chlorides up to 300 9 Surfactants 0.097 10 Iron 1.08 11 Copper 0,036 12 Zinc 0.033

214. These values refer to wastewater with low pollutants concentration. 55

215. The following Table 17 summarizes the results of laboratory tests (carried out by an independent Laboratory within this Conceptual Design in January 2020). The results show that the concentrations are similar to the average values presented by Balkhash Su laboratory for the years 2013, 2014, 2015. It is noted that the concentration of Suspended Solid and Nitrogen are higher, but probably this is due to a single event (punctual condition).

Table 17: Pollution Parameters – Summary -Comparison between Pollution loads provided by Balkhash’ s Lab against Pollution loads evaluated in the test in 2020

INFLOW OUTFLOW

(Concentration – mg/l) (Concentration mg/l) FS CD Laboratory KAZ EU Parameters Laboratory Test test Standard Standard (2020) 2013-2015 Suspended Baseline+ 1 122.0 166 35 solids (SS) 0.75 2 BOD5 76.3 67.2 6.0 25 3 COD 183.5 140.0 30.0 125 Ammoniac 4 23.0 36.0 2.0 15 nitrogen 5 Phosphates 5.5 14.0 3.5 2 INFLOW 26,663 (m3/d)

216. The results show a wastewater with low pollutants concentration, which is probably due to the infiltration and discharge of waters from undefined sources (stormwater and\or underground waters) into the wastewater network.

217. The estimation of the inflow carried out by a “specialized company” in 2020, is higher than the forecast for future wastewater production (+30%). However, it is noted that during the measurements the turbidity of wastewater was too high to use ultrasonic flow meters and therefore the wastewater volume has been estimated based on power consumption of pumps which is affected by several factors. In conclusion it is considered that the estimated value is over estimated.

218. The water coming from undefined sources impact also the final volume that is delivered through pumping station (generating additional costs) and not only the concentration of pollutants. This issue should be addressed by the Municipality to reduce the impact on the new WWTP efficiency.

C.4.7. Design Standard

219. The following design standards will be applied:

• Environmental Code of the Republic of Kazakhstan • Water Code of the Republic of Kazakhstan • SP RK 1.02-21-2007 Rules for the development, coordination, approval and composition of feasibility studies for construction • SN RK 1.02-03-2011 The procedure for the development, coordination, approval and composition of the project construction documentation • SP RK 2.01-101-2013 Corrosion protection of building structures • SP RK 2.04-01-2017 Construction climatology

• Construction norm (CNR) 3.04.03-85 “Protection of building structures and facilities from corrosion” • CNR II-7.01-96 “Construction Climatology

C.4.8. Design horizon

220. Considering the lifetime of the relevant major structures of the wastewater system, an overall period of at least 20 years shall be considered for the design horizon of the new WWTP. Considering also the degree of uncertainty of all relevant design criteria (population, and urban development, per capita consumption and water demand, wastewater production, etc.), it is not recommended to apply a longer projection period which may lead to an unnecessary oversizing of the WWTP.

221. Generally, the possibility of a later extension of the WWTP shall be considered.

222. Technical components having a lifetime shorter than 20 years will be designed for a shorter projection period to save initial investment and operation costs. The design period for the different components of the future wastewater system are summarized in the Table 18 below:

Table 18: Design horizons for components of the wastewater system

Criteria Value Unit Design horizon Civil structures of wastewater treatment 20 years 2040 Sewerage collector 20 years 2040 Mechanical equipment of wastewater treatment 10 years 2030

C.5. Conceptual Design Sizing of the New WWTP

223. The sizing at the conceptual level of the new WWTP with Conventional Activated Sludge process has been carried out, based on the technology selected by the Multi-Criteria Analysis. It is the same technology proposed in the Feasibility Study by KAZCenter but including some additional treatment components as part of the process.

224. The target is to identify the necessary units and their preliminary design.

225. The General Process scheme adopted for the WWTP is shown in the Figure 4 below.

Figure 4: Process scheme adopted for the WWTP

226. Pollution loads have considering the results of the laboratory in the years 2013-2015 and confirmed with a written communication from the Balkhash Su state enterprise and the test carried out within the preparation of this Conceptual Design. Following these considerations, the basic sizing parameters, i.e.: population, inflow and pollution loads are shown in the table below (with the usual meaning of abbreviations):

Table 19: WWTP Basic Sizing parameters

Basic Parameter Pollution Loads (Inflow) Population 75,000 COD (mg/) 160 Water demand (l/c*d) 220 BOD5 (mg/) 75 WWTP Capacity 20,000 N (mg/) 28 (m3/d) 3 Qaverage (m /d) 19,825 P (mg/) 12 3 Qmax (m /d) 22,960 TSS (mg/) 130

3 Wastewater production Qaverage (m /h) 826 19,825 (m3/d) 3 Qmax (m /h) 1,349 Daily peak coefficient 1,20

227. The following table summarizes the treatment units and the corresponding design parameters in terms of flow.

228. For safety reason, the pretreatment has been sized for twice the maximum inflow and the disinfection for twice the average daily inflow. Some values are rounded (See Table 20).

Table 20: Treatment units and design parameters

Treatment Unit Design basis

Metering Process sized for peak flow up to 3,500 m3/h > 2 x Qmax Process sized for peak flow up to 2,700 m3/h (duty/standby Screen channel), 2 x Qmax Grit and Grease Process sized for peak flow up to 2,700 m3/h - 2 x Qmax removal Equalization Process sized for peak flow up to 22,240 m3/d Denitrification (anoxic) Process sized for average flow up to 20,000 m3/d Nitrification-oxidation Process sized for average flow up to 20,000 m3/d (aerobic) Sedimentation Process sized for average flow up to 20,000 m3/d Tertiary filtration Process sized for average flow up to 20,000 m3/d UV Disinfection or Sodium Hypochlorite Disinfection sized Disinfection to treat flows up to 40,000 m3/d, duty/standby channels ( 1.0 x Q) each Sludge Thickening Sized for 1,300 kgSST/day Sludge Dewatering Belt press to treat a volume of 50 m3/d (3% dry content)

229. The key design parameters used for process sizing at the conceptual design level are reported in the Table 21 below. Process design must be reviewed and refined at the detailed design stage as required.

Table 21: Key design parameters used for process sizing at the conceptual design (CAS)

Treatment Unit Design basis Open channel meter (weir and ultrasound) sized for peak Metering flow of 3.500 m3/h Process sized for peak flow up to 2,700 m3/h (duty/standby Screen channel) Grit and Oil removal Process sized for peak flow up to 2,700 m3/h Process sized to balance the variation in the daily average inflow of 20,000 m3 using a peak factor of 1,10. Equalization Sized for Q = 22,240 m3/d - 1 tank 16 x 28 x 5 m, total size 2,240 m3. Speed of denitrification Vd =1.9g NO3-N/kg SSV h MLTSS = 4,000 mg/l Denitrification (anoxic) Total Volume = 1960 m3 – 2 tanks @ 980 m3 (14 x 14 x 5) each HRT (Hydraulic Retention Time) = 4.42 hours @ average flow Nitrification-Oxidation SLUDGE LOAD = (F/M) = 0.10 kg BOD5/kg MLTSS d (aerobic) MLTSS = 4,000 mg/l Total Volume = 3,640 m3 – 2 tanks @ 1,820 m3 (14x 26 x 5.0) each Process sized for surface flow rate = 8 kg SS/ (m2x h) Sedimentation/Clarification Total Surface = 1,661 m2 – 4 circular tanks @ 415 m2 ( 23 m diameter) each - average depth 3 m, 1,246 m3 each. 59

Treatment Unit Design basis

3 Tertiary filtration Process sized for peak flow up to 20,000 m /d – Filter features based on manufacture’s requirements Two channels (duty/standby) each sized to treat up to 20,000 m3 /d (with an assumed UV Transmittance (UVT) = Disinfection 60% for secondary plant effluent or Sodium Hypochlorite System) Sludge Thickening Sized for 1,500 kg TSS/day Belt press to treat a volume of 50 m3/d (3% dry content) \ Sludge Dewatering Size and based on manufacture’s requirements

230. The sizing at the conceptual design level was carried out using the above design parameters, the calculation was developed by proprietary software created for modeling the WWTP with Activated Sludge technology. The efficiency of the removal process in the biological phase is in the range 70%-85%, the filtration of clarified wastewater in the tertiary phase will increase the treatment efficiency to comply with existing norms.

231. The following Table 22 summarizes the result of the calculation and identifies the treatment units, with basic dimensions, volume, and areas (note: figures are rounded). Final sizing for new processes and equipment will be considered during detailed design.

Table 22: Summary of Process Tankage and Equipment Sizing

TreatmentUnit Number ofUnits andBasic Sizing

RECEPTION CHAMBER Reception chamber for inflow– plan dimensions 2 x 2 m

OPEN CHANNEL Open channel for measuring the inflow – length >10 m equipped with weir and ultrasound flowmeter

SCREENING 2channels interconnected – length > 7 m – each equipped with coarse screen and fine screen – automatic and self-cleaning GRIT AND GREASE REMOVAL 2 Grit tanks working in parallel V= 90 m3 each – Total Volume 180 m3 Length 6.0 m

Width 5.0 m Height 3.0 m EQUALIZATION TANK 1 tank total size 2,240 m3 16 x 28 x 5 m. + Mixer

Length 16.00 m

Width 28.0 m

Height 5.0 m

DENITRIFICATION TANK 2 tanks working in parallel \ Total Volume = 1,960 m3

TreatmentUnit Number ofUnits andBasic Sizing

Volume of each tank 980 m3

Length 14.0 m

Width 14.0 m

Height 5.0 m

OXIDATION-NITRIFICATION TANK 2 tanks working in parallel \ Total Volume = 3,640m3

Volume of each tank 1,820 m3

Length 26.0 m

Width 14.0 m

Height 5.0 m

CLARIFICATIONTANKS 4 circular tanks working in parallel \ Total Surface = 1,661 m2 \ Total Volume 4,983 m3

Surface of each clarifier 415 m2, Volume 1246 m3

Diameter 23 m

Depth average 3 m

FILTRATION 3 filters working in parallel \ 2 duty +1 standby (according to manufacturer’s specification)

DISINFECTION 2 UV units in parallel or Sodium Hypochlorite System

SLUDGE THICKENING 1 circular tank

Total Surface = 50 m2 \ Total Volume 175 m3

Diameter 8.0 m

Depth average 3.5 m

SLUDGE DEWATERING 2 screw-press (1 duty\ 1 standby)

Capacity 1-12 m3/h TSS

WWTP FOOTPRINT WWTP Minimum Area required 190 m x 80 m

C.5.1. Plant Hydraulics

232. The plant hydraulics will be studied in the detailed design phase.

C.5.2. Design Components

233. In the following paragraphs, there is a short description of the units and some additional information on the design approach and procedure.

C.5.2.1. Inlet and metering channel

234. The wastewater arrives in a reception chamber and from it is conveyed to an open channel where the volume is metered. The channel will have a minimum length of 10 meters to allow undisturbed gauging of inflow through an ultrasonic flowmeter for open channel turbid flow. The peak flow will be 3,000 m3/h.

C.5.2.2. Pretreatment

235. This stage is composed of mechanical screening and units to remove grit and grease. The screening phase is installed in two open channels interconnected, one in operation and the other in standby. It is forecasted the installation of a coarse screen and a fine screen, both automatic and self-cleaning. The inflow for sizing each is 2,700 m3/h. The solid waste will be collected and disposed in an appropriate dump.

236. The grit and grease removal will be carried out in two aerated tanks working in parallel and with a total volume of 180 m3 (90 m3 each).

237. Following the mechanical treatment, an equalization basin to compensate for the daily variation of inflow due to seasonal habits or to unexpected volume of stormwater is planned. The compensation tank has been sized for a volume equal to 10% of the average inflow. i.e.: 2,240 m3.

C.5.2.3. Biological Stage

238. The wastewater treatment is carried out by a biological process where the bacteria remove the contaminants turning them in oxidized sludge flakes.

239. The biological process, where the organic matter is oxidized and turned into settleable sludge by dedicated bacteria, takes place in reactors with the anoxic and aerobic conditions. Further, the wastewater is conveyed for clarification to two settlers where there is a gravity separation of sludge from water, the clarified water coming from secondary sedimentation is conveyed to filtration (in order to meet the stringent Kazakh standard) and then may be disinfected before it is delivered to the final receiving body (the need of continuous disinfection should be evaluated during the detailed design phase). The sludge coming from the final clarification is recirculated and partially sent for final treatment and disposal.

240. In the Conventional Activated Sludge (CAS) process, adopting a low “Sludge Load”, the oxidation of organic matter and nutrients is essentially performed in the wastewater line. It is noted that a low “Sludge Load” process implies long aeration of the mixed liquor in the biological tanks and provides a good stabilization of sludge. Therefore, the process with a low sludge load is also described or named as “Extended Aeration” but in reality, it is simply a particular case of the CAS process.

241. The main treatment units are the denitrification tanks (for the striping of nitrates) working in anoxic condition, the nitrification-oxidation tanks where the degradation of ammonia and the BOD removal take place, and the final clarification\sedimentation tanks.

242. From the final clarification tanks, there is a recirculation of sludge (Return Activated Sludge), according to Error! Reference source not found., to maintain the active biomass in the reactors, a nd separation of clarified water. It is also necessary to provide recirculation of mixed liquor to feed the Nitrification-Denitrification reaction.

243. The supply of oxygen will be provided through a system of fine bubble diffusers. Based on preliminary calculation the amount of air required for the whole process is 13,000 m3/hour, it will be provided by three blowers, two in operation, and one in standby. The best operational choice is to provide air by centrifugal blowers with a variable frequency device (VFD) to adapt to real system needs of oxygen (that can be measured by sensors in the reactors).

C.5.2.4. Tertiary treatment

244. The treated water discharged from the final clarification may not comply with the stringent specifications for effluent, even though the efficiency of the biological process is in the range of 65%-85% and the concentration of pollutants are low. Therefore, the clarified water will be conveyed to a filtration system able to reduce further the pollution loads to comply with the existing effluent standard (see paragraph Error! Reference source not found.). The removal of Phosphorus b y the addition of salt of iron or aluminum after the final clarifier can be considered versus the removal with the filtration system

C.5.2.5. Disinfection

245. Disinfection of treated wastewater can be achieved using UV disinfection or “Chlorite Compounds” like sodium hypochlorite, the first is a physical process and the second is a chemical process.

246. The UV system will consist of two channels that would be capable of providing full duty/standby UV treatment. Each channel would be hydraulically designed to convey the average plant flow of 20,000 m3/d but with the option, in case of exceptional flow, to work together increasing the disinfection capacity up to 40,000 m3/d. The proposed design includes one bank of UV lamps in each channel, the system will have automated mechanical/chemical cleaning, reducing the frequency at which the lamps would require removal for cleaning.

247. The disinfection with “Sodium Hypochlorite”, considering the actual diffusion of COVID-19, may be considered rather than UV disinfection, adopting the same design parameters.

248. The contractor will finalize with KAZCenter the most appropriate option and will study it in the detailed design stage.

C.5.2.6. Sludge line

249. The excess sludge coming from the final clarification may be considered enough stable even though still in a liquid state. Therefore, it is necessary to thick and dewater it in order to provide for disposal.

250. It is planned the construction of one sludge thickener with a volume of 175 m3.

251. Polyelectrolyte will be added to the thickened sludge and then sludge will be compacted by a screw press and then disinfected if considered necessary for final disposal. It is forecasted the installation of two dewatering facilities (one in standby). 63

252. The final treated sludge, in solid-state, in the shape of a brick and with a dry content of 22% will be delivered to the authorized dump. Balkhash municipal landfill is located 5 km from the city. The landfill is not fenced and all types of waste are disposed on it. The city of Balkhash has no hazardous waste polygon. In 2019, the landfill was subjected to local company “DD-Jol” management for 10 years. The company undertook the obligation to improve the existing landfill. It is planned to fence the landfill and install the scales and separation line in it. If by the stage of the WWTP operation, Balkhash landfill meets the environmental requirements, the sewerage sludge could be disposed on the said landfill. Otherwise, it will be necessary to find an alternative landfill.

253. In case of emergency, the sludge can be temporarily disposed in the beds of the existing WWTP.

С.5.2.7. Dehydrated sludge storage ground

254. A ground with a canopy and hard surface sized 60x15 m is considered to store mechanically dehydrated sludge. The height of the sludge storage is 1.5m. The sediment is planned to store with a 3 months’ production capacity.

255. The estimated volume of the dehydrated and disinfected sludge with the moisture content of 75% is 6.3 m3/day. The area of the ground needed to store the sludge is 900 m2. The final product, i.e. the dried and bagged sludge, can be used as a fertilizer in agriculture.

256. The given sludge treatment system allows providing mechanical dewatering of the sludge with the subsequent processes of its disinfection and stabilization. Besides, it allows using the sludge as an organic mineral substrate as a fertilizer, after reaching the relevant agreement with the sanitary and epidemiological authorities.

C.5.2.8. Emergency sludge grounds

257. Emergency sludge grounds are needed to discharge sludge in case of emergency at a mechanical sludge dewatering shop. Within the scope of the present project, the emergency sludge grounds are envisaged for emergency discharges of sludge in case of emergency at a mechanical dewatering shop, in accordance with the requirements of 4.01-03-2013 Building Standards of the Republic of Kazakhstan. The needed area of emergency sludge grounds (20%) will be 0.0460 ha. The total area of the existing sludge grounds (2 sludge yards), is 1.1 ha. An emergency discharge of the sludge on the sludge grounds will be done by switching the force main of the pumping station for supplying the compressed sludge.

C 5.2.9. Final disposal of treated effluent

258. The wastewater not reused will be pumped to the collectors designed by Karaganda Techno Service LLP, which deliver the water to the Ak-Shoky storage pond, where untreated wastewater has been discharged until now.

259. Since untreated wastewater is currently discharged into the Ak-Shoky reservoir, the delivery of treated wastewater there will lead to the dilution of polluted pond water and ultimately to an improvement in the environmental situation in the area of the evaporation pond.

260. In 2014 the possibility of actual discharge of 34 Million m3 out of 49 Million m3 of design capacity of the natural basin was verified.

C 5.2.10. Reuse of treated water

261. As described in project description section, treated water will be discharged into a storage pond used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city. A part of the treated water may be reused by the industrial facilities as technical water or for irrigation of green spaces. This option should be studied by the Bidder and agreed with local Authorities.

262. Presently, the Balkhash SU state enterprise confirmed the need for treated water for irrigation of the city’s green spaces in the amount of 6380 m3/d.

263. The possibility of using treated water for technological needs by industrial enterprises of the city of Balkhash was confirmed only by Kounrad Copper Company LLP. The need for treated water for this enterprise is 6,000 m3/d.

C 5.2.11. Potential of biogas generation

264. Biogas generation is not in the plan of the GOK.

C.5.2.12. Auxiliary services

265. The blowers and the main recirculation pumps (for wastewater and sludge) will be located below the ground in appropriate chambers.

266. For emergency reasons, it is planned to install an Electric Generator.

267. The office building will include also a control room, a Laboratory, a storage area and a workshop for urgent maintenance.

C.5.2.8. Automation

268. The process will be monitored and controlled by a SCADA system which will transfer the data and the operation to a control center located in the office.

C.5.3. Layout of the new WWTP

269. Schematic layout of the new WWTP with dimensions 190 x 80 m is shown in the Figure 5 below.

Figure 5: Balkhash – Schematic Layout of the proposed WWTP 65

C.6. Construction Activities

270. The following is a sequential description of the potential activities associated with the construction of the Project.

C.6.1. Land Acquisition

271. The new WWTP is proposed to be constructed within the boundaries of the plot identified in the City’s Master Plan and no additional land will be needed.

272. The layout drawing (Figure 4) of the WWTP site shows the new proposed facilities. There is enough space to accommodate the new buildings and structures. Therefore, no additional land is needed for implementing the new WWTP construction. Since the site of the WWTP is located on the outskirt of the city, there is no potential impact on the planned expansion areas for the City. The closest neighboring residential area is far (in 25 km distance from WWTP), consequently, there will be no involuntary resettlement.

273. Despite the fact that the project area is the property of the project owner who does not need purchasing the territory to implement the project, at the stage of the detailed design, as the locations of the access roads, construction camp and other auxiliary infrastructural units are established, with a great probability, a resettlement action plan will be necessary to develop.

C.6.2. Access Roads

274. Transport communication with the city of Balkhash is realized along the design access road, adjoining the existing highway of a regional significance: Balkhash - Sayak.

275. The road is suggested to construct as the one of the IV category, with a design speed of 80 km/hr. The road crosses a non-developed area. The length of the access road is 1.6 km; the width of the designed road is 6 m and its shoulders are 2 meter wide. The width of the subgrade is 10 m. The turning radii will be provided in line with the requirements of SNiP 3.03-09-2006 and accepted traffic speed.

276. During the construction, the dust control measures will be implemented on all roads within 250 m of residential/sensitive receptors.

C.6.3. Methods to accomplish main works

277. Before the construction of the main facilities, there comes a mobilization phase with the aim to provide the conditions for the successful implementation of the construction works. The following works will be accomplished at the mobilization phase:

- The works related to the development of the construction site; - The works to equip the park of construction machinery and vehicles; - Preparation for the construction site, and - Construction of temporary buildings and structures and temporary and permanent roads.

C.6.4. Earthworks

278. In the mobilization phase, before the excavation of the pits, the following works must be performed:

- Break-down of the pits by fixing their axes and sizes to the batter boards; - Layout of the territory and equipment to drain surface and ground waters from the construction ground. - Moving underground and above-ground utilities.

279. After planning the bottom of the pit, it is necessary to compact the upper loosened soil layer with D220 rollers, to tamp gravel d=40=100 mm, with the thickness of 100 mm, with bitumen impregnation to complete saturation. Soil compaction near the foundations and placing it under the floors using manual pneumatic ramming.

C.6.5. Concrete works (Monolithic foundations, frames of buildings)

280. The following preparatory works are necessary to perform before the main works to provide the monolithic foundations:

1. Delivery and storage of false work; 2. Procurement of reinforcing nets and frames. 3. Break-down of the foundations.

281. All concrete and reinforced concrete structures located in the ground must be made of concrete on sulfate-resistant cements, waterproof grade W-6.

282. The surface of concrete and reinforced concrete structures in contact with the ground must be painted with 3 layers of hot bituminous cement. When concreting the foundations, the concrete mixture will be laid in layers of 20-30 cm and they must not exceed 1.25 of the length of the working section of the vibrator.

283. The complex process to produce monolithic reinforced concrete structures consists of the following processes:

• Installation of formwork and scaffolding; • Installation of reinforcement; • Placement of concrete mixture in the structure; • Concrete curing; 67

• Form stripping.

284. For concreting wall structures, columns and coatings, an inventory movable panel formwork, with its parts connected with bolts will be used. The formwork will be delivered to the installation site with a crane. After the concreting of structures is over and the concrete is duly cured to the required strength, the formwork is disassembled and moved with a crane to the new sites. The formwork must be lubricated or watered before the placement of concrete.

285. The concrete must be delivered to the site of its placement with a concrete pump with the capacity of (3=51 m'/hour ensuring not overloaded and continuous supply of the concrete mix.

286. The concrete mix must be placed in the columns with their height exceeding 5 m directly from the top, for the entire height of the columns. If there are overlapping clamps in the reinforcing cage, the concrete mixture must be placed through the windows provided in the formwork in every 1.5- 2 m for the height.

287. Every next layer of the concrete mixture must be placed before the setting of concrete of the previous layer. The duration of the interval between placing adjoining layers of the concrete mixture without the formation of a construction joint is determined by the construction laboratory. Reinforcing frames must be made on the reinforcement square of the construction site and the preformed frames must be delivered to the operation zone of the tower crane with a truck crane.

288. Welding of valves on their assembly site will be performed with mobile welding machines ПС-300 and transformers, type CTП-450.

C.6.6. Construction Equipment

289. Table 23 provides indicative lists of the key equipment required in the construction phase.

Table 23: Key Equipment

Machines and mechanisms Total demand, No. pcs. 1 Motor grader of a medium type, 99 kW 1

2 Truck-mounted cranes, 10 t 2 3 Crawler cranes for the construction of trunk pipelines, 25 t 1 4 Bulldozers, 79 kW 1 Crawler tractors, 79 kW 1

6 Single-bucket diesel excavators with pneumatic wheels 0,25 m3 1 7 Binder distributor, up to 7000 l 1 Trailed road rollers on pneumatic wheels, 25 t 1

9 Plain self-propelled road-rollers, 8 t 1 10 Plain self-propelled road-rollers, 13 t 1 11 Plain self-propelled road-rollers, 18 t 1 12 self-propelled road-rollers with pneumatic wheels, 16 t 1 13 Watering machines, 6000 l 1 14 Asphalt pavers 1

D. ANALYSIS OF ALTERNATIVES

290. During Project preparation, three alternatives for Project components were proposed, screened, and studied against technical, economic, social, and environmental criteria. The primary objective with respect to the environmental criteria was to identify and adopt options with the least adverse environmental impacts and maximum environmental benefits. The following key environmental factors were used in comparing alternatives: (i) impact on air quality; (ii) noise; (iii) impact on soil; (iv) impact on surface water; (v) impact on biodiversity and ecological integrity; (vi) landscape and visual impact; and (vii) socio-economic impact.

291. The alternatives considered for the proposed Project include: i) ‘No Project’ Alternative, ii) Technical alternatives for construction of new wastewater treatment plant facilities of Balkhash city, and iii) Alternative locations with a short summary of alternative camp sites, etc.

D.1. ‘No Project’ Alternative

292. The ‘No Action’ Alternative addresses the likely consequences of not undertaking the proposed action. While it has no environmental and social impacts resulting from reconstruction works, the failure to develop sewage treatment plant of Balkhash city would result in the continued deterioration of the sewage system, thereby impeding the socio-economic development of the Project area and the region.

293. As it was mentioned in Section C, there is no Wastewater Treatment Plant in the city of Balkhash. The existing sewage network discharges the untreated wastewater into a storage pond used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city and 18 km from the lake Balkhash. The capacity of the storage pond is 49 M m3. The adequate performance of the WWTP to meet the effluent standard can be achieved with the construction of a new WWTP with mechanical and biological treatment facilities, as well as sludge treatment facilities in accordance with modern technologies.

294. The implementation of the project and normal operation of treatment facility will significantly eliminate the poor sanitary condition and improve the quality of life of residents of the City of Balkhash as well as raise the standards of both individual and public health. Therefore, it can be determined that the ‘No Action’ alternative is not a reasonable option if the environmental and overall socioeconomic situation in the region is to be improved. In view of the above, the ‘no project’ option is not a preferred alternative.

D.2.Technical Options for New WWTP

295. The evaluation of the most appropriate technological process for a new treatment plant is done in two sequential steps. In the first stage, the technological processes that are suitable and efficient for the climatic conditions and for the type of wastewater are screened, and the retained processes are described.

296. In the second stage, the different options are evaluated based on cost and other relevant key parameters through a Multi-Criteria Analysis (MCA).

297. Conceptual design of the final identified process is described in Section C.

D.2.1. Wastewater treatment technologies

298. Based on international practice and experience in wastewater treatment there is a preference for simple and effective technologies that are easy to manage, with proved efficiency and flexible enough to withstand changes in loads and in temperature due to severe climate conditions as in Balkhash (long and cold winter).

299. The basic screening criteria for the selection of different processes are: • Compliance with wastewater effluent Standards • Proven wastewater treatment technology • Reliable performance of the processes. • Possibilities for reuse of effluent and energy recovery options (“green technology”) • Must have the scope of modular expansions in time. • Must include sludge management and reuse options of dewatered sludge.

300. The considered processes are reported in the Table 24 below.

Table 24: Overview of Wastewater treatment process considered

# Process Process Technique name 1 CAS Conventional Activated Sludge 2 SBR Sequence Batch Reactor 4 MBR Membrane Bio-Reactor technology 3 MBBR Moving Bed Bio-filter Reactor 5 Other technologies

301. These technological processes are described in Paragraphs Error! Reference source not f ound. below and then evaluated against a set of criteria to identify the most appropriate solution in terms of cost, efficiency, and manageability.

D.2.2. Wastewater treatment processes

302. Wastewater treatment can be categorized into three stages, namely primary, secondary, and tertiary 14. (also considered ‘advanced’ wastewater treatment).

303. As wastewater enters the treatment plant, it is screened to remove large objects and a grit removal system isolates inert particles especially sand, additionally, oil and fats are separated. This is called Preliminary Treatment, which is used to remove settleable organic solids.

304. In Secondary treatment, organics are removed whether colloidal or soluble.

305. Tertiary treatment refers often to nitrogen or phosphorus removal, or both, whilst advanced wastewater treatment usually further refers to required disinfection and additional removal of solids often to be used for water reuse.

306. It is important to understand the specific elements of all these technologies to compare the options related to the local circumstances and to recognize that some processes can be

14 Metcalf & Eddy – Wastewater Engineering – McGraw Hill 71

combined to get to more efficient results.

307. The following paragraphs describe the most common technologies used for wastewater treatment as selected in Error! Reference source not found. and already in operation worldwide.

D.2.3 Conventional Activated Sludge Process

308. The activated sludge is a family of processes for treating domestic or industrial wastewaters using aeration and a biological mixture composed of bacteria and protozoa. The activated sludge (AS) group of processes also include the plug flow and the complete mix, which differ essentially for the type of flux in the aeration tank (i.e.: plug-flow or stirred). Within this report, we consider the complete mixed flow in the aeration tank, that for easier classification, is named Conventional Activated Sludge Process (CAS).

309. The CAS processes are regulated by several parameters, the most common being the “Food to microorganism ratio” (F/M) or sludge load and the “Mean Cell Residence Time” or sludge age. Assuming different parameters in design lead to different types of activated sludge process. In particular, the CAS can be sized with low sludge load, medium sludge load, and high sludge load. Usually, the process with low sludge load is defined “extended aeration” process because requires a long aeration time and on the other hand provide a good stabilization of the excess sludge.

310. The biological process can be used for one or several of the following purposes: • oxidizing carbonaceous biological matter, • oxidizing nitrogenous matter: mainly ammonium and nitrogen in biological matter, • removing nutrients (nitrogen and phosphorus).

311. The process takes advantage of aerobic micro-organisms that can digest organic matter in sewage, and clump together (by flocculation) as they do so. It thereby produces a liquid that is relatively free from suspended solids and organic material and flocculated particles that will readily settle out and can be removed.

312. The general plan of an activated sludge process for removing carbonaceous pollution includes the following items:

• Aeration tank where the air is injected in the mixed liquor and where oxidation takes place. • Settling tank (secondary settling tank) to allow the biological flocs to settle, thus separating the biological sludge from the clear treated water.

Figure 6: The basic flow scheme of the CAS

313. The excess sludge coming from secondary sedimentation is removed from the treatment process to keep the ratio of biomass to food supplied in the wastewater (F/M) in balance. This sewage sludge is usually mixed with primary sludge from the primary clarifiers and undergoes further sludge treatment if not yet stable, for example by aerobic or anaerobic digestion, followed by thickening, dewatering, composting and land application.

314. Treatment of nitrogenous matter and\or phosphate involves additional steps where the mixed liquor is left in the anoxic condition in an additional tank

315. The amount of sewage sludge produced from the activated sludge process is directly proportional to the amount of wastewater treated. The total sludge production consists of the sum of primary sludge from the primary sedimentation tanks as well as waste activated sludge from the bioreactors.

D.2.4. SBR - Sequencing Batch Reactor

316. All processes in the activated sludge system take place in a single reactor. Whilst processes for the SBR and CAS are identical in principle, the fill and draw configuration of the SBR enables the mixed liquor to remain in the reactor during all cycles. This eliminates the need for separate secondary sedimentation tanks and therefore less land is required.

317. The 5-phase operation sequence in a SBR consists of:1) fill, (2) react (aeration), (3) settle (sedimentation/clarification), (4) draw (decant of supernatant), and (5) idle.

318. During the treatment process, sludge wasting typically occurs during the settlement or idle phases, thus eliminating the need for return sludge. Multiple reactors are used to ensure an overall continuous process.

319. During the reaction type, oxygen is added by an aeration system. During this phase, bacteria oxidize the organic matter just as in activated sludge systems. Thereafter, aeration is stopped to allow the sludge to settle. In the next step, the water and the sludge are separated by decantation and the clear layer (supernatant) is discharged from the reaction chamber. Depending on the rate of sludge production, some sludge may also be purged. After a phase of idle, the tank is filled with a new batch of wastewater. At least two tanks are needed for the batch mode of operation as continuous influent needs to be stored during the operation phase.

320. SBRs are suited to lower flows because the size of each tank is determined by the volume of wastewater produced during the treatment period in the other tank.

321. An SBR requires less space than a CAS and is less expensive to build as there is no need for a clarifier. The system is essentially a batch process and effluent quality can be less consistent than a continuous process like CAS. However, the SBR system is not appropriate to treat large volumes of wastewater.

D.2.5. MBR - Membrane bioreactor

322. Membrane bioreactor (MBR) is the combination of a membrane process like microfiltration or ultrafiltration with a biological wastewater treatment process, the activated sludge process. It is used for municipal and industrial wastewater treatment.

323. When used with domestic wastewater, MBR processes can produce effluent of high quality enough to be discharged to a coastal, surface or brackish waterway or to be reclaimed for urban irrigation. Other advantages of MBRs over conventional processes include small footprint, easy retrofit, and upgrade of old wastewater treatment plants.

324. It is possible to operate MBR processes at higher mixed liquor suspended solids (MLSS) concentrations compared to conventional settlement separation systems, thus reducing the reactor volume to achieve the same loading rate.

325. Two MBR configurations exist: internal/submerged, where the membranes are immersed into the biological reactor; and external/side stream, where membranes are a separate unit process requiring an intermediate pumping step.

326. Recent technical innovation and significant membrane cost reduction have enabled MBRs to become an established process option to treat wastewaters. As a result, the MBR process has now become an attractive option for the treatment and reuse of industrial and municipal wastewaters, as evidenced by their constantly rising numbers and capacity.

Figure 7: Schematic of conventional activated sludge process (top) and external (side stream) membrane bioreactor (bottom) – from Wikipedia

D.2.6. MBBR - Moving Bed Biofilm Reactor

327. Moving bed biofilm reactor (MBBR) is a biological technology based on activated sludge, suitable for municipal and industrial applications.

328. It uses a combination of activated sludge process i.e. suspended growth and biofilter i.e. attached growth. It uses the entire tank volume for biomass growth by implementing the carriers for attached growth of biofilm. Movement of carriers is enabled by air bubbles through agitation. The reactor can be in any shape and support different loads depending on carrier filling.

329. The technology is used to treat organic substances, nitrification, and denitrification. The sludge is collected on the plastic carriers which have a large internal surface area. The surface area in the carriers optimizes the contact of water, air, and the bacteria. The process is carried out in different stages in individual tanks separated by screens to ensure that bacteria remain in their specific tank.

330. Aeration tank: The tank is similar to an activated sludge tank. The aeration is used to keep in motion the activated sludge and carriers. The MBBR system separates the excess bacteria and

sludge which are directed to the final separator.

331. Special plastic carriers: They provide a surface for biofilm growth. Carrier materials are made of materials with a density close to that of water, for example, high-density polyethylene (HDPE). These carriers are moved into the tank through the aeration system. This ensures good contact between the wastewater and the biomass on the carriers.

332. The Figure 8 below shows the flow scheme of MBBR.

Figure 8: MBBR flow scheme

D.2.7. Other technologies 333. There are many other technologies developed by different constructors in order to fulfill the requirements for outflows. They are mainly based on biological or chemical treatments and there is no reason to describe all of them in this report. 75

D.2.8. Summary of main features 334. The main features (advantages and disadvantages) of the processes considered and described above are summarized in the Table 25 below.

Table 25: Overview comparison of sewage treatment process configurations

# WWTP Process Process Advantages Potential Operating Challenges

o Reasonable capital cost o Sensitive to industrial pollution o Known and effective o Requires diff. air or surface process aerators o Adequate for low o Medium skill level for temperatures management o BOD, SS & N+P removal o High sludge production Conventional o High efficiency o Medium OPEX Activated Sludge 1b o Acceptable efficiency also (CAS) Complete Mixed for low temperatures o Adequate to treat large volumes o Doesn’t need primary treatment o Little odor o Easy to manage &control

o Simple process o Adequate for small plants o BOD & nitrification o Sensitive to industrial o Natural denitrification o Can be poor settling o Doesn’t need primary o Medium skill level Sequencing o Everything in one tank o Requires diff. air or surface 2 Batch Reactor o Flow balancing needs aerators (SBR) minimal o Control required for aeration o Can support primary and sequencing sludge digestion o Minimum two reactors

o Flow balancing before Cl2 o High sludge production

o Small footprint o Membrane are expensive – o BOD & nitrification High CAPEX o Doesn’t need primary and o High operational cost - OPEX Membrane Bio 3 secondary sedimentation o Process patented Reactor (MBR) – no RAS o Very high aeration o Coarse aeration requirements and low o Good process efficiency energetic efficiency (use of more power)

# WWTP Process Process Advantages Potential Operating Challenges o Dual aeration system for mixing and to prevent fouling o Time-consuming membrane cleaning procedure o Extra power requirements for vacuum on the microfilter o Waste activated sludge is not thickened – o Large volume of sludge to process o Broken membranes result in low effluent quality o Separate reactors for nitrification and denitrification o High skill level for good management o Sensitive to low temperature

o Medium OPEX o Packing expensive – High o Simple process Capex o Small footprint o Process patented o Suitable for high pollution o High skill level load o Foaming can be a problem o Separate reactors for o BOD & nitrification nitrification and denitrification o Doesn’t need primary o Solids can be difficult to settle sedimentation Moving Bed Bio o Change of media after some 4. Reactor (MBBR) o Extension and expansion time are easy. o Odor problems may occur. o Slightly affected by toxic o High skill operators required shock o Biofilm carriers need special o High effectiveness of attention esp. when other sludge retention time (industrial/chemical) (SRT) which enhances wastewater enters the plant the nitrification process

o Production of sludge is low

D.2.9. Selection of Technologies and Multi-Criteria Analysis

335. The selection of the most appropriate technology and process, among the ones identified in the first stage, is carried out with a Multi-Criteria Analysis (MCA), based on key parameters. For every considered process (CAS, SBR, MBR, MBBR) a score to the parameters is assigned in the range 1-10 as explained below. The key parameters considered are the following (Table 26).

Table 26: Multi-Criteria Analysis

Capital cost -CAPEX: Lowest investment gets 10 points, all other technologies are related to the lowest investment Operational cost -OPEX: Lowest operational costs get 10 points, all other technologies are related to this lowest operational cost. Experience: Experience of operation of similar wastewater treatment technologies elsewhere in Kazakhstan, and in consideration of a potential adoption by other urban communities in the country. The positive experience gets 10 points, other experiences are scored consequently. Environmental: Minimal expected problems related to technology gets 10 points Discharge quality: Technology with best results to comply with discharge standards gets 10 points, techniques less adaptable to load changes receive lower points Land requirement: Approximate land requirement and a possibility to be accommodated within the footprint of the existing plant (hence avoiding land acquisition and resettlement issues); Smallest land occupied gets 10 points, all other technologies are related to this lowest land occupation System complexity: Simple process technique gets 10 points, more complex fewer points Easiness of operation: Easiest operation procedure gets 10 points, more complex fewer points

Suitability to cold climate: The more adaptable process to cold climate gets 10 points, the “stiffer” fewer points Flows and loads resilience: The easier to adapt to flow changes and /or load changes result in a higher score starting from 10. Recycle and reuse: The more residuals can be recycled or reused (e.g. water effluent reuse, treated sludge), the higher the score starting from 10.

336. Considering that each parameter has different importance on the selection of the process a weighting factor is proposed and applied, the sum of all weight factors is 100.

337. The score related to each parameter and its corresponding weighting factor is proposed by the Experts, based on their experience and international practice.

338. In the MCA the parameter’s score and the weighting factors are combined to calculate a total score for each considered technology. The best option is identified by the highest final score.

339. CAPEX and OPEX are important parameters for the selection criteria and each has a weighting factor of 15.

340. Experience for similar technology in the region is a key parameter too, the weight factor is 15.

341. Possible environmental problems related to technology are weighted 10.

342. The system configuration and the easiness of operation have a significant influence of the selection, and thus have both a weighting factor of 8.

343. The ability to comply with the discharge standards 5, the flow and load resilience capabilities of the treatment process 10.

344. The ability to work satisfactorily in a cold climate is estimated with a weight factor 7.

345. Land availability is not an issue, anyway, it would be more convenient if the new WWTP (minimum estimated area = 1.30 ha) may be located in the existing lot, the weight factor is 2.

346. The parameter recycling and reuse was given a weighting factor of 5.

347. To identify a score for the CAPEX and OPEX it is necessary to understand the cost of the different processes. Therefore, based on international best practice and experience in wastewater treatment technologies in cold and temperate climates, a parametric table for the capital cost (CAPEX) and operational cost (OPEX) for different wastewater treatment technologies presented in the table below.

348. The CAPEX for the CAS was estimated by the Consultant at US$ 15.7 million while the estimation of the cost for the other technologies is based on coefficients, deriving from international best practices in similar countries. The estimation of the operational cost (OPEX) is calculated by coefficients.

349. It should be noted that this only concerns the process technologies and not include additional works (like roads, workshops, pump stations, etc.). It is noted that these costs and parameters are only used for comparison and ranking purposes.

Table 27: Treatment Technologies related estimated costs: for comparisons reasons only

# Treatment Process Land Area Land Area CAPEX OPEX/yr Configuration (ha/1000m3 (m US$) Range (ha.) ) (CAS = 1)

1. Conventional Activated ~ 0.13 ~ 2.6 ~ 15.68 ~ 1.00 Sludge (CAS)

2. Sequencing Batch ~ 0.18 ~ 3.6 ~ 14.37 ~ 1.05 Reactor (SBR) 3. Membrane Bio Reactor ~ 0.07 ~ 1.4 ~ 19.60 ~ 1.40 (MBR)

4. Moving Bed Bio Reactor ~ 0.11 ~ 2.2 ~ 15.68 ~ 1.10 (MBBR)

350. The result of MCA is presented in Table 28.

Table 28: Multi-Criteria Analysis – Selection of WWTP Technology

Scoring for Different Process Technologies Wastewater Treatment Plant CAS SBR MBR MBBR BALKHASH Conventional Sequential Membrane Moving Bed Activated Batch Reactor Bio-Reactor Bio Reactor sludge Selected Multi-Criteria Analysis weighting factor 1 CAPEX 15 9.4 10.0 7.5 9.4 2 OPEX 15 10.0 9.6 6.9 9.2 3 Experience in the region 15 10.0 7.0 8.0 7.0 4 Environment 10 10 10 10 10 5 Discharge quality 5 9.8 9.8 10 10 6 Land requirement 2 8 9 10 8 7 System complexity 8 9 9 8 8 8 Easiness of operation 8 9 9 8 8 9 Use in cold climate 7 10 9 8.5 8.5 10 Flows & Loads resilience 10 9 8 9.5 8 11 Recycle 5 8 8 9 7

Individual Score 950 893 834 853

HIGHEST SCORE 950 CAS – Conventional Activated sludge

D.2.10. Conclusions on preferred technology

351. The Conventional Activated Sludge (CAS) technology has the highest score, this is due to reasonable costs, to the fact that it is already used in the region and its operation is likely to generate a lower impact on the environment while complying with the effluent standard of Kazakhstan. Also, the system is already used in cold climates and shows good resilience to loads variation. The effluent may be reused, and the sludge may be intended for agricultural purposes.

352. Therefore, referring to the result of the Multi-Criteria Analysis (MCA), the recommended technology is the “Conventional Activated Sludge” system.

353. It is noted that also KazCenter proposed the same technology.

D.3 Alternative Location

354. Two alternative locations were examined to select a land plot for construction of WWTP facilities: the first site (site No. 1) distanced from the city by 7.5 km and another site (site No. 2) distanced from the city by 3.5 km. The accomplished exploration work revealed a continuous rocky ground almost all over the surface of site No. 1. Semi-rocky soils (sandstones and aleurites) are found at the depth of 0.5-1.7-3.7 from the daylight surface.

355. The WWTP site (site No. 2) selected for the given project is located in the area of the emergency containment pond. The accomplished design and survey works revealed the following types of ground: loam and sandy loam. The selected site for the treatment plant is found 3.5 km east of Balkhash, in the area of the emergency containment pond. The distance from the main pumping station (MPS-1) is 5 km. The distance from the existing road is 2 km. The distance to the insert to the sewer collectors supplying the wastewater to the treatment plants and discharging the treated water to the Ak-Shoky containment evaporator pond is 2 km. The distance from the treatment plant site to the solid domestic waste landfill is 8 km. The WWTP site is located 2 km from the existing regional road, the city of Balkhash – village Sayak, what is convenient for both, the construction and the operation of treatment plants - for transported goods, consumables (reagents), waste disposal to the solid domestic waste landfill and access for the operating personnel to the worksite.

356. As a result of the study of the selected site (No. 2), the following was established:

• The relief of the plot is smooth; • The soil and ground is presented by clay loam and sandy loam; • Dominant are northeast winds; • The site was not used in the past; • There are no buildings, structures or green plantations on the site; • The site territory and the surrounding area are suitable for the construction of treatment plants in sanitary-epidemiological and fireproof respects.

357. The given decision is consolidated in such other documents, as: i) The Act of selection and inspection of a land plot dated by 07.29.2014, and ii) The Act of permanent land use dated by 08.08.2015.

D.4. Alternative Construction Camp(s)

358. The locations of construction camp(s) are not currently known. The EPC Contractor will choose the sites which will need to follow the guidelines for siting and permitting as outlined in this IEE, including consultations with local residents. Employment of local labor force will reduce the need for a large construction camp size.

E. DESCRIPTION OF THE ENVIRNMENT (BASELINE DATA)

E.1 Introduction

359. This section of the report discusses the existing environmental and social conditions within the Project area under the following headings:

• Physical Resources (climate and air quality, topography, geology and soils, hydrology, etc.); • Ecological Resources (flora, fauna, protected areas); • Economic Resources (infrastructure, land use, etc.); • Social and Cultural Resources (health, education, noise, cultural resources, etc.)

360. The potential impacts of the Project on its surrounding physical and biological environments include air and water quality impacts, noise generation, land transformation and changes to soil. These are expected to reduce with the increased distance from the Project facilities, affecting more the areas located closer, up to one kilometer, to the Project facilities. For this, a study area of one kilometer around the site was delineated, to assess the baseline conditions in the areas likely to be affected by the Project due to its proximity to the Project site. This is referred to as the Project Area in this report. The Project area selected for the IEE includes sensitive receptors15 that are most likely to be impacted by the Project’s development activities.

E.2 Physical Resources

E.2.1 Climate and Air Quality

E.2.1.1. Climate

361. Temperature: The hot season lasts for 3.9 months, from May 15 to September 12, with an average daily high temperature above 23 СO. The hottest day of the year is July 5, with an average high of 31 Co and low of 20 Co.

362. The cold season lasts for 3.4 months, from November 23 to March 4, with an average daily high temperature below -1 Co. The coldest day of the year is January 31, with an average low of – 18 Co and high of -8 Co. Table 2.1 gives minimum, average and maximum temperatures in different months of 2019.

363. The lowest temperature of 2019 was fixed in February - 30 Co and the highest temperature was fixed at the end of July (35Co).

15 Sensitive receptors include, but are not limited to flora and fauna (within and near the project area, along the access roads and camp site), population living along the access roads, migratory birds, surface water, soil. These are areas which are more susceptible to the adverse effects of an anthropogenic activity such as noise, air emissions, traffic influx, and privacy issue.

Figure 9: Minimum/Average/Maximum Weather and humidity (%) in Balkhash

Source: Weather archive Balkhash Airport

364. Clouds: In Balkhash, the average percentage of the sky covered by clouds experiences significant seasonal variation over the course of the year. 365. The clearer part of the year in Balkhash begins around April 25 and lasts for 5.7 months, ending around October 15. On August 18, the clearest day of the year, the sky is clear, mostly clear, or partly cloudy 86% of the time, and overcast or mostly cloudy 14% of the time. 366. The cloudier part of the year begins around October 15 and lasts for 6.3 months, ending around April 25. On January 13, the cloudiest day of the year, the sky is overcast or mostly cloudy 64% of the time, and clear, mostly clear, or partly cloudy 36% of the time (Figure 10). Figure 10: Cloud Cover Categories

Source: Weather archive Balkhash Airport

367. Precipitation: Balkhash does not experience significant seasonal variation in the frequency of wet days (i.e., those with greater than 0.1 cm of liquid or liquid-equivalent precipitation). The frequency ranges from 2% to 8%, with an average value of 6%.

368. Among wet days, we distinguish between those that experience rain alone, snow alone, or a

mixture of the two. Based on this categorization, the most common form of precipitation in Balkhash changes throughout the year (Figure 11).

369. Rain alone is the most common for 8.7 months, from February 29 to November 20. The highest chance of a day with rain alone is 8% on May 7. Snow alone is the most common for 3.3 months, from November 20 to February 28. The highest chance of a day with snow alone is 7% on January 20. Figure 11: Daily Chance of Precipitation

Source: Weather archive Balkhash Airport

370. Rainfall: To show variation within the months and not just the monthly totals, we show the rainfall accumulated over a sliding 31-day period centered around each day of the year. Balkhash experiences some seasonal variation in monthly rainfall.

371. Rain falls throughout the year in Balkhash. The most rain falls during the 31 days centered around July 12, with an average total accumulation of 0.1 cm. The least rain falls around January 15, with an average total accumulation of 0.0 inches (Figure 12).

Figure 12: Average Monthly Rainfall

Source: Weather archive Balkhash Airport 85

372. Snowfall: We report snowfall in liquid-equivalent terms. The actual depth of new snowfall is typically between 5 and 10 times the liquid-equivalent amount, assuming the ground is frozen. Colder, drier snow tends to be on the higher end of that range and warmer, wetter snow on the lower end.

373. As with rainfall, we consider the snowfall accumulated over a sliding 31-day period centered around each day of the year. Balkhash experiences some seasonal variation in monthly liquid- equivalent snowfall.

374. The snowy period of the year lasts for 3.5 months, from November 13 to February 27, with a sliding 31-day liquid equivalent snowfall of at least 0.1 inches. The most snow falls during the 31 days centered around January 1, with an average total liquid-equivalent accumulation of 0.3 inches.

375. The snowless period of the year lasts for 8.5 months, from February 27 to November 13. The least snow falls around July 19, with an average total liquid-equivalent accumulation of 0.0 inches is given in Figure 13.

Figure 13: Average Liquid-Equivalent Monthly Snowfall

Source: Weather archive Balkhash Airport

Wind

376. This section discusses the wide-area hourly average wind vector (speed and direction) at 10 meters above the ground. The wind experienced at any given location is highly dependent on local topography and other factors, and instantaneous wind speed and direction vary more widely than hourly averages.

377. The average hourly wind speed in Balkhash experiences significant seasonal variation over the course of the year (See Figure 14).

Figure 14: Average Wind Speed

Source: Weather archive Balkhash Airport

378. The windier part of the year lasts for 3.7 months, from February 22 to June 14, with average wind speeds of more than 16.1 km per hour. The windiest day of the year is April 19, with an average hourly wind speed of 18.6 km per hour.

379. The calmer time of year lasts for 8.3 months, from June 14 to February 22. The calmest day of the year is December 17, with an average hourly wind speed of 13.7 km per hour (See Figure 15).

Figure 15: Wind Direction

Source: Weather archive Balkhash Airport

E.2.1.2. Air Quality

380. To obtain the baseline information on air quality in the city of Balkhash and project area, secondary data from permanent air quality measurement stations were used provided by the Department of Environmental Monitoring of the Ministry of Ecology, Geology and Natural 87

Resources of the Republic of Kazakhstan16. The observations over the atmospheric air quality on the territory of the Republic of Kazakhstan were accomplished at 140 posts of observation in 45 settled areas of the Republic, including 58 fixed stations, including the ones in the city of Balkhash.

381. The baseline monitoring for air quality will be conducted in the project area during detailed design and will be reflected accordingly it in the EMP.

382. According to secondary data from permanent air quality measurement stations the observations over the atmospheric air quality were carried out by 4 fixed posts (Table 29).

Table 29: Locations of the posts and measured admixtures

Po Sampling Type of Post address Measured admixtures st terms observations # Suspended particles (dust), sulfur Sabitova Str. 1 dioxide, carbon monoxide, nitrogen (next to Manual dioxide. cadmium, copper, arsenic, lead secondary school sampling and chromium at ПНЗ No. 1.3. 3 times a #6) day (discrete Lenin str., 3 method) Corner of Alimzhanov str. Kirov str. Suspended particles (dust), sulfur 4 (hospital camp) dioxide, sulfates, carbon monoxide, nitrogen dioxide. Suspended particles РМ-2,5, Every 20 Continuously Lenin str. (south Suspended particles РМ-10, sulfur 2 minutes of house #10) dioxide, sulfates, carbon monoxide, dioxide and nitric oxide, ozone, hydrogen sulfide, ammonia, the sum of hydrocarbons, methane.

16Environmental newsletter of 2019.

Figure 16: Plan of location of the fixed network of weather stations over the pollution of atmospheric air in the city of Balkhash

383. General evaluation of the atmospheric pollution. For 2019, as the data of the fixed network of weather stations suggest, the degree of pollution of the atmospheric air was assessed as high. It was assessed with value TIAP (Total Index of Atmospheric Pollution) = 7; PSI (Pollutant Standards Index) = 8,4 (high level) in terms of hydrogen sulphide in the area of post #2 (Lenin str., south of house #10) and MF (Maximum Frequency) = 2% (elevated level) in terms of РМ2,5 suspended particles (dust) in the area of post #2 (Lenin str., south of house #10).

384. Maximum one-time concentrations were as follows: sulfur dioxide - 4.4 MPC one-time concentration, hydrogen sulfide - 8.4 MPC one-time concentration, suspended solids (dust) - 4.0 MPC one-time concentration, suspended particles PM2.5 - 6.5 MPC one-time concentration, suspended particles РМ-10 - 3.7 MPC one-time concentration, carbon monoxide - 5.4 MPC one- time concentration, ozone (surface) - 1.8 MPC one-time concentration; the concentrations of other pollutants did not exceed MPC values.

385. High levels of air pollution in Balkhash and other cities with such pollutants as nitrogen dioxide, carbon monoxide, sulfur dioxide, formaldehyde, hydrogen sulfide, suspended solids, phenol and ammonia is caused by:

• congestion of roads with motor transport; • dispersion of emissions from industrial enterprises; • low ventilation of the atmosphere in the settled areas.

386. Quality of atmospheric air as per the episodic observations in the city of Balkhash: The observations over the atmospheric air pollution were carried out by 3 points (point #1 – 17 quarter, District of shop “Foodmart”; #2 – village Rabochyi, Dzhezkazgan Str., District of Airplane statue; point #3 – Station “Balkash-1”).

387. The concentrations of the following substances were measured: ammonia, benzene, suspended particles (dust), sulfur dioxide, nitrogen dioxide, nitric oxide, carbon monoxide, carbon dioxide, hydrogen sulfide, total hydrocarbons, ozone (ground-level) and hydrogen chloride.

388. In line with the observations of excess values of maximum permissible norms, the maximum one- time concentrations of the measured substances were within the permissible ranges (Table 31). 89

Table 31: Maximum concentration of pollutants as per the observation data of the city of Balkhash Sampling Measured points admixtures №1 №2 №3 qmmg/g qm/MPC qmmg/g qm/MPC qmmg/g qm/MPC r3 r3 r3 0,020 0,100 Ammonia 0,020 0,100 0,020 0,100 Benzene 0,04 0,13 0,04 0,13 0,04 0,13 Suspended particles 0,050 0,100 0,050 0,100 0,050 0,100 Sulfur dioxide 0,0070 0,0140 0,0070 0,0140 0,0086 0,0172 Nitrogen dioxide 0,003 0,015 0,004 0,020 0,003 0,015 Nitric oxide 0,004 0,010 0,003 0,008 0,003 0,008 Carbon monoxide 2,81 0,56 2,90 0,58 2,81 0,56 Carbon dioxide 832,0 714,0 719,0 Hydrogen sulfide 0,0010 0,1250 0,0002 0,0250 0,0005 0,0625 17,2 Total 17,6 17,2 hydrocarbons Ozone (ground-level) 0,005 0,031 0,005 0,031 0,005 0,031 0,030 0,15 0,040 0,20 0,040 0,20 Hydrogen chloride Source: Department of Environmental Monitoring of the Ministry of Ecology, Geology and Natural Resources of the Republic of Kazakhstan

E.2.2 Climate Change

E.2.2.1 Introduction

389. Kazakhstan, an upper-middle-income country, holds vast natural resources and is Central Asia’s largest economy. As the region’s leading wheat producer and exporter, Kazakhstan’s wheat production plays a central role in Central Asian food security. Sustaining agricultural productivity is increasingly challenged by climate change trends of altered precipitation patterns and growing seasons and increased risk from pests and diseases. Wheat production is primarily rainfed and vulnerable to increasing weather variability, as demonstrated by losses due to both drought and unseasonable rainfall in recent years. Agriculture accounts for 5 percent of GDP and employs 25 percent of the population. The country is subject to natural disasters, including droughts, heat waves, floods, mudflows and landslides that are already responsible for land degradation, infrastructure damage and loss of life. Climate trends are expected to exacerbate these impacts; for example, a 2–3°С temperature increase will diminish vegetation cover, which combined with increasing heavy precipitation events and glacial melt is estimated to increase mudflow occurrence tenfold. Mudflows already threaten 156 towns and cities, including Almaty (Kazakhstan’s largest city). Central Asia’s water resources are expected to decline after mid- century, amplifying the challenge of accommodating competing water demands among the region’s countries and water-intensive sectors (agriculture, hydropower, etc.)

390. Projected changes include the following projections by 2050 indicate17:

• Increased average annual temperature by 2.1– 2.6°C. • Expansion of drought zone to north and center. • Decrease in number of frost and “cold” days. • Increase in annual average precipitation by 0.8– 15.0 percent; greatest increases December– March and a decrease July–September. • Increase in precipitation intensity and storm severity. • Increase in extreme events (heat waves, droughts, floods, landslides, mudflows). • Reduced glacier mass; potential loss of half of the total current glacier volume of the Tien Shan.

E.2.2.2. Water Sector

391. Water resources are critical for agriculture and power generation in Kazakhstan; irrigation accounts for 90 percent of national water consumption while hydropower produces 13 percent of the country’s electricity. Glacial melt is an important contributor to river flow during summer months, particularly in the south. Higher temperatures will increase glacial melt in the medium term, changing river flows and increasing flood risk. Glacial loss will diminish the flow of mountain rivers by mid-century, threatening a water supply important for irrigation and food security. Heavy precipitation leading to increased flooding threatens to wash industrial, agricultural and mining pollutants into water sources, diminishing water quality. Domestic water resources, mainly surface water, are susceptible to warming and drying, trends particularly significant for the rivers flowing into the Lake Balkhash basin, one of the largest and most densely populated areas of

392. Predicted climate change may result: (i) Increased temperatures; (ii) Decreased summer precipitation and increased incidence of drought; and (iii) Increased frequency of intense precipitation. Which in turn affects the environment and as a result: (i) Reduced wheat yields due to shifting agriculture zones and crop land degradation related to reduced soil moisture, heat stress and drought; (ii) Increased variability of wheat production due to drought; (iii) Increased incidence of pests and diseases, such as Hessian fly and wheat rust; and (iv) Reduced pasture productivity related to heat stress and increased flood and mudflow.

E.2.2.3. GHG Emissions from Wastewater

393. Worldwide CH4 from wastewater accounted for more than 523 MtCO2 equivalent in 2000. Wastewater is the fifth largest source of anthropogenic CH4 emissions, contributing approximately 9% of total global CH4 emissions in 2000. Global CH4 emissions from wastewater grow by approximately 20 % between 2005 and 2020. Wastewater is also a significant source of nitrous oxide (N2O). Worldwide, N2O emissions from wastewater accounted for approximately 91 MtCO2 equivalent in 2000. Wastewater as a source is the sixth largest contributor to N2O emissions, accounting for approximately 3% of N2O emissions from all sources.

394. Methane emitted during wastewater transport, treatment, and disposal, including from wastewater sludge, amounts to 3 to 19% of global anthropogenic methane emissions18. Globally, the major sources of greenhouse gas, nitrous oxide (N2O), are human sewage wastewater treatment19. Methane emissions from wastewater are expected to increase by about 50 % in the next few decades and N2O emissions by 25%. Thus, one of the most direct ways to mitigate greenhouse gas emissions is through improvements in the collection and management of urban

17Climate Change Profile Kazakhstan - Fact Sheet. 2018 USAID. 18Intergovernmental Panel on Climate Change (IPCC) (1996) IPCC guidelines for national greenhouse gas inventories: reference manual. National Physical Laboratory, New Delhi, pp 6–15 19Intergovernmental Panel on Climate Change (IPCC) (2007) Climate change 2007: impacts, adaptation and vulnerability. Contribution of Working Group II to the fourth assessment report of the IPCC. Cambridge University Press, Cambridge 91

wastewaters, using technologies most appropriate to the economies and settings involved (IPCC 2007). Technologies already exist for reducing, and perhaps reversing, these emissions growth rates. To estimate the GHG emissions of the WWTPs in a comparable way, the considered emissions have to be listed20:

1. CO2 and N2O emissions at biotreatment, endogenous respiration, and BOD oxidation; 2. Nitrification CO2 credit and nitrogen removal; 3. Energy use of the plant, for aeration, mixing and pumping, which leads to CO2 emissions; 4. Sludge digestion, biogas CH4, and CO2; 5. Sludge disposal, truck emissions trip to reuse/disposal site, CO2 emissions mineralization; 6. Power credit by use of biogas; 7. GHG emissions from chemical use.

395. Methane (CH4) production is a direct result of anaerobic decomposition of the organic matter currently in sewers. The methanogenesis or CH4 production rate depends primarily on the concentration of the degradable organic material in wastewater measured by biochemical oxygen 21 demand (BOD5) and chemical oxygen demand (COD) .

396. Nitrous oxide (N2O) and nitric oxide (NO) production are associated with the breakdown of nitrogen components common in wastewater, e.g. protein and urea. Biological nutrient removal (BNR) processes have the ability to transform the ammonia and organic nitrogen compounds into nitrogen gas, which can be released into the Earth’s atmosphere22.

397. Carbon dioxide (CO2) production is attributed to two main factors: the treatment process and the electricity consumption. During the anaerobic process, the BOD5 of wastewater is either 23 incorporated into biomass or converted into CO2 and CH4 .

398. Hydrogen sulphide (H2S) gas evolves from the anaerobic decomposition of organic matter or from the reduction of mineral sulphites and sulphates. H2S gas mixed with the sewage gases (CH4+CO2) is highly corrosive to sewer pipelines, manholes, concrete junction chambers, and mechanical and electrical equipment24.

E.2.2.4. Mitigation Measures

399. The methane emission in relation to the anaerobic digestion of primary and secondary sludge counts for about three quarters of WWTP overall methane emission and causes a slightly larger greenhouse gas footprint than the carbon dioxide emission avoided by using the resulting biogas for energy generation.

400. Methane emissions can be significantly reduced by better handling of the ventilation air of sludge treatment facilities; one way to valorize the residual methane produced in the buffer tank is to use the ventilation air from the tank as combustion air in the gas engines of the cogeneration plant. The methane concentration in the ventilation air could of course be increased by using less fresh air for ventilation. This would result in less diluted methane streams, but then the ventilation system should be adapted to handle methane concentrations that exceed the lower explosive

20Snip L (2010) Quantifying the greenhouse gas emissions of wastewater treatment plants. Thesis Systems and Control. Wageningen University, Agrotechnology and Food Sciences, Wageningen, The Netherlands

21 Guisasola A, de Haas D, Keller J, Yuan Z (2008) Methane formation in sewer systems. Water Res 42:1421–1430 22 Park KY, Inamori Y, Mizuochi M, Ahn KH (2000) Emission and control of nitrous oxide from a biological wastewater treatment system with intermittent aeration. J Biosci Bioeng 90(3):247–252 23 Snip L (2010) Quantifying the greenhouse gas emissions of wastewater treatment plants. Thesis Systems and Control. Wageningen University, Agrotechnology and Food Sciences, Wageningen, The Netherlands 24 Listowski A, Ngo HH, Guo WS, Vigneswaran S, Shin HS, Moon H (2011) Greenhouse gas (GHG) emissions from urban wastewater system: future assessment framework and methodology. J Water Sustain 1:113–125

limit of methane in air, which is 4.4 %25.

401. Recovering the energy to provide heat and electricity for the WWTP process can offset significant fossil fuel-related GHG emissions. In general, intuitively sustainable practices for biosolids (energy recovery, recycling nutrients, and organic matter) reduce GHG emissions. Besides, the methane emitted into the atmosphere not only contributes to the greenhouse gas footprint of a WWTP, but also implies a waste of energy since the methane emitted from the unit processes related to the anaerobic digestion (7 to 2 % of the produced methane) could potentially be used as a fuel for the cogeneration plant. Although biogas production from waste sludge may be a sustainable technology from the energy aspect, it has no benefits in this case over fossil fuel- derived energy regarding greenhouse gas emissions.

E.2.2.5 WWT Affected by Climate Change

402. The treatment, distribution, and disposal of wastewater as well as reuse of wastewater are subject to the effects of climate change through increased energy costs and through increases in the volumes of wastewater and storm water entering treatment facilities in when precipitation increases, and through increased needs for reuse when droughts become more prevalent.

403. In consideration of the wastewater infrastructure and baseline climate data, the following climate factors were identified as being particularly significant26:

• Rainfall (intensity–frequency relationships, annual, and seasonal totals) • Wastewater infrastructure is affected by rainfall storm events and, to a lesser degree, by the total annual rainfall. • Snowfall (predicted increasing temperatures in future years for all month’s estimate that snowfall is expected to decrease). • Storm surge. • Rain on snow events (another flood generation mechanism). • Extreme temperatures (low and high). • Drought conditions. • Wind speed (extremes and gusts). • Frost (freeze-thaw cycles).

E.2.2.6. Climatic Events

404. Biological wastewater treatment is very much influenced by climate. Temperature plays a decisive role in some treatment processes, especially the natural-based and non-mechanized ones. Warm temperatures decrease land requirements, enhance conversion processes, increase removal efficiencies, and make utilization of some treatment processes feasible. Some treatment processes, such as anaerobic reactors, may be utilized in diluted wastewater, such as domestic sewage, only in warm climate areas. Other processes, such as stabilization ponds, may be applied in lower temperature regions, but occupying much larger areas and being subjected to a decrease in performance during winter. Other processes, such as activated sludge and aerobic biofilm reactors, are less dependent on temperature, as a result of higher technological input and mechanization levels27.

405. Warmer temperatures can also indirectly cause more severe weather; exacerbated by urban heat islands, which could in turn result in additional convective thunderstorms, hail, cyclonic events

25 Daelman MRJ, van Voorthuizen EM, van Dongen UGJM, Volcke EIP, van Loosdrecht MCM (2012) Methane emission during municipal wastewater treatment. Water Res 46:3657–3670 26Athanasia K. Tolkou, Anastasios Zouboulis - Effect of Climate Change in Wastewater Treatment Plants: Reviewing the Problems and Solutions. 2015 27 Von Sperling M, de Lemos Chernicharo CA (2005) Biological wastewater treatment in warm climate regions. IWA Publishing, Padstow. 93

(i.e. tornadoes, cyclones, and hurricanes), and higher winds that may exceed the design capacity of the infrastructure28.

406. Rainfall: Increased frequency and intensity of rainfall is one of the most immediate effects of global warming and is already apparent in stream flow records from several previous decades. The expectation is that more severe storms will produce more severe flooding. This will inevitably result in additional water pollution from a large variety of sources. Chief among these are wastewater treatment, storage, and conveyance systems29.

407. Storms: Increased storm intensities will have negative effects on water resources. More intense storms can damage some infrastructures, because of increased flooding, which can overwhelm water infrastructure and cause pollutants to directly enter waterways and contaminate water supplies30.

408. Since they affect local tides, the frequency and intensity of storm events must be considered in the analysis of sea-level rise and its impact on WWTPs. Generally, intense storm events occur less frequently than smaller storms31.

409. Impacts on water pollution: According to EPA, for the most part, WWTPs and combined sewer overflow control programs have been designed on the basis of the historic hydrologic record, taking no account of prospective changes in flow conditions due to climate change. As a result, it is conceivable that water suppliers will face a continually increased influent challenge from sewage overflows producing high concentrations of Giardia, Cryptosporidium, and coliforms.

410. In addition, more frequent heavy rainfall events will overload the capacity of sewer systems and water and WWTPs. An increased occurrence of low flows will lead to decreased contaminant dilution capacity meaning higher pollutant concentrations, including pathogens. In areas with overall decreased runoff (e.g. in many semi-arid areas), water quality will be even worse32.

E.2.2.7. Wastewater Infrastructure and Design Issues

411. In all five cities waste water infrastructures consist of transmission facilities, treatment facilities, and discharge bodies. The impacts on the wastewater infrastructure can be categorized as follows:

• Impacts indirectly associated with climate change such as the decrease in water usage associated with water conservation. • Impacts on infrastructure directly associated with climate change

412. Indirect impacts: Climate change is primarily to blame for the water infrastructure. Reduced water usage decreases water that flows into the wastewater transmission and treatment systems of the community. This means that it decreases the overall water volume but not the waste load. The increased wastewater strength results in increased sewer cleaning and increased system corrosion. Wastewater viscosity will increase and system flushing will not occur easily.

28 Major DC, OmojobaA, Dettinger M, Hanson RT, Sanchez-Rodriguez R (2011) Climate change, water, and wastewater in cities. In: Rosenzweig C, Solecki WD, Hammer SA, Mehrotra S (eds) Climate change and cities: first assessment report of the urban climate change research network. Cambridge University Press, Cambridge, pp 113–143 29 Cromwell JE, Smith JB, Raucher RS (2007) Implications of climate change for urban water utilities. Association of Metropolitan Water Agencies (AMWA), Washington, DC. 30EPA (2012) Watershed Academy Web. The effect of climate change on water resources and programs (PDF file adapted). http://www.epa.gov/watertrain. Accessed 5 Jan 2014. 31 Zervas CE (2005) Response of extreme storm tide levels to long-term sea level change. Oceans. In: Proceedings of MTS/IEEE, vol 3, pp 2501–250 32Bates BC, Kundzewicz ZW, Wu S, Palutikof JP (eds) (2008) Climate change and water. IPCC technical paper VI, Geneva

413. Direct impacts: Climate change is mainly responsible for the increase in frequency of intense rainfall. Rainfall infiltrates into sewer systems through cracks, poorly constructed or corroded manholes, and direct connections. Sewers are not hydraulically designed to convey large quantities of inflow. This causes the sewer to become hydraulically overloaded during intense rainfall and allows raw sewage to flow into receiving waters and homes as it escapes the sewer system.

414. Another direct impact relates to the decrease in base flow of the waters, which receive the WWTP effluent. Climate change in drought-prone areas is likely to reduce the stream and river base flows. Base flow is used to determine the effluent parameters required by the WWTP, and therefore, as the base flow decreases, effluent requirements will become more stringent and may require the treatment plants to install additional treatment facilities to meet those requirements33.

E.2.2.8. Mitigation measures

415. Generally, the effects of climate change will require that water and wastewater service providers perform more frequent technical maintenance, undertake unscheduled rehabilitation, and in some cases, scale down operations at their facilities. Therefore, this will reduce the service to their clients. All of these imply additional utility costs. The utility may reduce additional expenditure through the implementation of improved planning, monitoring and maintenance, pass on the cost to consumers, let parts of the system deteriorate, provide lower service levels, or a combination of the above34.

416. Adaptive capacity: According to the Intergovernmental Panel on Climate Change, adaptation is defined as “the ability of a system to adjust to climate change (including climate variability and extremes) to moderate potential damages, to take advantage of opportunities, or to cope with the consequences”35.

417. Using a multistep adaptation assessment process, wide ranging adaptation studies are under way, and a study of reservoir operations using future climate scenarios in reservoir modelling. Potential adaptations include operating system changes, flood walls for Water Pollution Control Plant (WPCP), relocation of facilities, improved drainage, and enhanced water quality treatment36.

418. Assessment tool: To consider the effects of a facility flooding into the surrounding community, an impact assessment tool was created. Suitable tools were developed in wastewater facilities. The crucial factor considered for wastewater facilities is the ratio between the average flow rate and the design flow rate of the plant. This ratio measures how close to maximum capacity a wastewater treatment facility operates. A facility that operates close to maximum capacity will be less able to handle an increase in inflow, possibly caused by a storm or flood, than a facility which does not. Facilities that have an average flow rate of up to 50% of their design capacities were rated as low impact. Facilities with an average flow rate above 50% and up to 70% of their design capacities were rated as medium impact. Facilities with an average flow rate above 70% of their design capacities were rated as high impact37.

33O’Neill II JA (2010) Climate change’s impact on the design of water, wastewater, and storm water infrastructure. In: Proceedings of AGU hydrology days 2010, Colorado States University, Colorado, 22–24 March 2010

34Danilenko A, Dickson E, Jacobsen M (2010) Climate change and urban water utilities: challenges& opportunities. Water Working Notes, Water Sector Board of the Sustainable Development Network of the World Bank Group, Washington, DC 35Intergovernmental Panel on Climate Change (IPCC) (2007) Climate change 2007: impacts, adaptation and vulnerability. Contribution of Working Group II to the fourth assessment report of the IPCC. Cambridge University Press, Cambridge 36Major DC, OmojobaA, Dettinger M, Hanson RT, Sanchez-Rodriguez R (2011) Climate change, water, and wastewater in cities. In: Rosenzweig C, Solecki WD, Hammer SA, Mehrotra S (eds) Climate change and cities: first assessment report of the urban climate change research network. Cambridge University Press, Cambridge, pp 113–143 37 Blumenau A, Brooks C, Finn E, Turner A (2011) Effects of sea level rise on water treatment & wastewater treatment facilities. 41-JPH B113. Date: 14 Oct 2011 95

419. Monitoring of wastewater treatment plants: Wastewater operation monitoring provides changes in volumes and composition of wastewater, brakes, and clogs in wastewater collection network, adequacy of existing technology to composition of wastewater, and wastewater treatment effluent and sludge38.

420. The development of innovative monitoring of combined sewer overflows and an early warning system for fecal contamination in recreational waters will allow wastewater utilities to be better prepared and to respond faster to any contamination due to combined sewer overflows and uncontrolled runoff caused by more frequent and heavier rainfall39.

421. Membrane treatment processes: Many water suppliers in over-constrained settings have also turned to energy-intensive membrane treatment processes to enable desalination of water sources and reuse of highly treated wastewater effluent. These processes attempt to overcome any deterioration in the reliability of normal sources of supply by making it possible to meet part of the demand from sources abundant under most climate change scenarios (i.e. yields from water reuse and desalt supply options are drought-resistant). If these technologies fill a gap or hide vulnerability produced by climate change processes, in such a way so as to enable a broader scope for optimization across the entire portfolio, they can play a critical role in improving the overall optimization40.

E.2.3. Geomorphology

422. In a geomorphological respect, the working area is located in the West Balkhash geomorphological zone of the Northern Trans-Balkhash region, the country of pediment and denudation plains and lowlands of Central Kazakhstan.

423. Region of the northern Trans-Balkhash region is stretches as a narrow strip north of Lake Balkhash, with a dominant sloping erosion-denudation relief. There are high steeply sloping hills protruding at the interfluves. Depending on the lithological composition, there are two types of relief formed: a ridge-fine mud volcanic relief on quartzite’s and a random fine mud volcanic relief on less stable rocks.

424. The relative interfluves elevation above the beds of the valleys is 70-150 m and their absolute heights are 400-700 m. there are no large depressions or protruding massifs of significant areas over the given territory. The tops of the hills are often dome-shaped, which are sometimes pointed or conical. The ridges are elongated in concordance with the strike of the rocks and are built with quartzites. The slopes in the elevated areas are rocky, bare and are sloping from 12 to 30°.

425. The West Balkhash region is a denudation peneplain developed on a rocky substrate. The predominant type of relief is the pediment plain with salt valleys. There are prevailing altitudes with absolute elevations of 400-700 m and with relative heights of 70 m.

426. The site of engineering-geological survey selected for the WWTP, the water mains and power transmission line are a slightly inclined site with absolute elevations varying from 353.50 to 371.05 m, increasing eastwards.

38 Danilenko A, Dickson E, Jacobsen M (2010) Climate change and urban water utilities: challenges& opportunities. Water Working Notes, Water Sector Board of the Sustainable Development Network of the World Bank Group, Washington, DC 39PREPARED Enabling Change (2010). www.prepared-fp7.eu. Accessed 4 March 2014. 40 Cromwell JE, Smith JB, Raucher RS (2007) Implications of climate change for urban water utilities. Association of Metropolitan Water Agencies (AMWA), Washington, DC.

E.2.4 Geology

427. The geology of the site is presented by Paleozoic (PZ) magmatic rocks, presented by medium- grained granite, which is covered by the mantle of Quaternary alluvial-proluvial and eluvial deposits.

428. The Quaternary deposits are presented by alternating layers of sands of various grain-sizes and colors, from yellowish-gray to grayish-red and red, with the inclusions of slack and gravel at some places and thin layers of loam at other places.

429. Hard-rocks are presented by medium-grained granites, which are light and outcrop at different depths. They outcrop almost at every location.

430. Besides, the granodiorites with the strength of 1.8-4.8 m outcrop along the section of the water- supply and power transmission lines, in its western part.

431. In the cover of the Paleozoic rocks, the granites, there outcrop grit and gravel soils, with their thickness sometimes reaching 5.5 - 8.0 m.

432. In a hydrogeological respect, no groundwater was detected in the boreholes drilled in the survey area, in the area with common hard-rocks and gravel soils, as well as different-grain-size sands.

433. Based on the field description of the soils building the study area, there were seven engineering- geological elements (EGEs) identified:

• EGE - 1 – Sandy silt; of a yellowish-gray color, medium density and low moisture. Exposed thickness: 0.3m to 0.9 (along the highway). • EGE - 2 - Medium-grain sand; of a grayish-reddish color and of medium density, with thin layers of loam at some locations and of low moisture. Exposed thickness: 0, 8 to 8.0 m (0.2- 1.2 m along the water main). • EGE - 3 – Coarse sand; ranging from yellowish-gray to gray-reddish color; of medium density and low moisture; Exposed thickness: 0.9 to 8.0 m. • EGE - 4 - Gravelly sand; ranging from a yellowish-gray to gray-reddish color; sometimes with inclusion of slacks; of a medium density and low moisture; exposed thickness: 0,2 to 8,0m (1,6-3,8 m along the water mains. • EGE – 5 – Gravelly soil, eluvial (crust of weathering); exposed thickness: 0,4 to 5,5 m (0,2-4,5 along some sections of the water mains). • EGE – 6 – Granite (hard-rock); of medium grain-size, weathered and of medium strength. Exposed thickness: 0,2 to 6,7 m (0,5-4,8 along some sections of the water mains). • EGE – 7 – Granodiorite (hard-rock). These grounds are common only in the western region of the water main. Exposed thickness within the limits of 1,8-4,8.

434. The main physical-mechanical properties of the grounds in question are given in the Table 32 below:

Table 32: Physical-mechanical properties of the grounds

Specific Angle of internal Modulus of Nominal rated EGE Ground Ground density, adherence, KPa, friction, degree deformatio pressure, KPa, no. description gr.force/cm3 kg.force/cm2 n, MPa, kg.force/cm2 kg.force/c m3 н ' " н С' С" н ' " Е Ro С 1 Sandy silt 1.73 1.64 1.47 4 2.53 3.1 30 26 23 18 250 2 Medium-grain sand 1.67 1.59 1,42 1 0.63 0.85 35 30 29 30 400 3 Coarse sand 1.70 1.62 1.45 1 0.63 0.85 38 33 32 30 500 4 Gravelly sand 1.70 1.62 1.45 1 0.63 0.85 38 33 32 30 500 5 Gravelly soil 2.17 2.06 1.84 27 26 23 36 34 31 68 500 5,0 6 Granite (hard-rock) 2.60 600 6,0 7 Granodiorite (hard- 2.60 600 rock) 6,0 Note: н Сн н– normative; ' С' ' – rated according to bearing capacity; " С" " – rated according to deformation.

435. Subsidence: The grounds are not subsidental.

436. Corrosion action of the grounds according to GOST 9.015-74: • To carbon steel – medium; • To lead cases – medium; • To aluminum cases – high.

437. Aggressiveness of grounds: According to SNiP RK 2.01-19-2004, the degree of aggressive impact of grounds to concrete and reinforced concrete structures in the dry zone with the content of SO4 sulfates (350-452.0 mg / kg) for concrete of all grades is non-aggressive and the grounds are aggressive to chloride Cl (14.0-222.0 mg/kg).

438. Salinization of grounds: According to GOST 25100-95, the grounds on the construction ground are not salinized; dry residue: 0.582-1.028 %.

439. Seismicity of the working site: According to SNiP 2.03-30-2006, the construction region is not seismic.

440. The rated seasonal ground freezing depth according to SNiP is: • For sandy silt and medium-grain sand – 1,75 m. • For coarse and gravelly sands – 1,88 m. • For – 2,13 m.

E.2.5. Soils

441. Karaganda region (Balkhash) has complex soil conditions. Soil characteristics and formation are affected by climate, hydrological conditions, geological structure, vegetation and other factors.

442. The most common types of soil in this area are dark brown and light brown soils, which occupy about 40% of the territory. In the northern and northeastern part dark brown soil is common while the central part is mostly covered by light brown soil. In southern upland and adjacent plains

brown and gray-brown soils are developed, and in the mountain valleys - mountain black earth and mountain-chestnut soils.

443. The classification of soils on the study construction area into the groups depending on the difficulty of one-bucket excavator/manual treatment according to SN RK 8.02-05-2002 is as follows (Table 33):

Table 33: Classification of soils EGE Treatment with Manual no. Description of ground one-bucket treatment excavator 1 Sand I II 2 Gravelly sand IV IVp 3 Granite (hard-rock) - VI 4 Granodiorite (hard-rock) - VI

E.2.5.1. Conclusions and recommendations: I. In geomorphological terms, the site is in the West Balkhash geomorphological zone of the Northern Trans-Balkhash region, the country of pediment and denudation plains and lowlands of Central Kazakhstan. II. Hard rocks (granites and granodiorites) deposited at different depths from the surface and are not common at every location. The granodiorites outcrop only in the area of the western region of the planned alignments of the water-supply pipeline and power transmission lines. III. The Quaternary formations are presented by different-grain-size sands and vary in color from yellowish-gray to grayish-reddish and red. Their exposed thickness is 0.8-8.0m. IV. Alluvial gravel ground (weathering crust) outcrops in the mantle of rocky soils (not universally), with the inclusion of slacks at some locations. The strength of the gravelly ground varies between 0.4-5.5m. V. The soils on the study construction site are not subsidental. VI. In the study area, there are no ground waters outcropping in the boreholes drilled during the survey. VII. According to SNiP RK 2.01-19-2004, the degree of aggressive impact of soils to concrete and

reinforced concrete structures in the dry zone with the content of SO4 sulfates (350-452.0 mg / kg) for concrete of all grades is non-aggressive and the grounds are aggressive to chloride Cl (14.0-222.0 mg/kg). VIII. Corrosion capacity of the grounds according to GOST 9.015-74: • To carbon steel – medium, • To lead cases – medium, • To aluminum cases – high. IX. According to SNiP 2.03-30-2006, the construction region is not seismic. X. The rated seasonal ground freezing depth: • For sandy silt and medium-grain sand – 1.75 m. • For coarse and gravelly sands – 1.88 m. • For coarse rocks – 2,13 m. • For coarse-grain rocks – 2.13 m. 99

XI. While developing the building design, it is necessary to envisage the protection against the corrosive action of grounds.

E. 2.6. Hydrological resources and surface water quality

E.2.6.1. Surface Water Hydrology

444. Kazakhstan is divided into eight river basins (see Figure 16). Water resources of Karaganda Province belong to the Balkhash-Alakol water basin.

445. The Balkash-Alakol basin occupies a vast area of the southeast of Kazakhstan and a part of the adjacent territory of China. Its area is 413,000 km2, including 353,000 km2 of the territory of Kazakhstan. The Kazakhstani part of the Balkash-Alakol basin includes the territory of Almaty Oblast; the Moyinkum, Kordai and Shu Districts of Zhambyl Oblast; the Aktogai. Shet and Karkaraly Districts of Karaganda oblast; the Urdzhar and Ayagoz Districts of East Kazakhstan Oblast; the Chinese territory includes northwestern part of the Jingxian-Uighur Autonomous Region. The major megalopolis of Kazakhstan, Almaty, is also situated in this basin.

446. The water reserve of this basin is significant, amounting to 149.4 km3. However, the main volume of water concentrated in the mountains, mainly in the Balkhash Lake, and cannot be used for irrigation of the lands of Almaty Oblast.

Figure 16: Main River Basins of Kazakhstan

447. Lake Balkhash is one of the largest lakes in Asia and 15th largest in the world. It is located near the project area and belongs to an endorheic (closed) basin shared by Kazakhstan and China with a small portion in Kyrgyzstan. The basin drains into the lake via seven rivers, the primary of which is the Ili river, bringing the majority of the riparian inflow; others, such as the Karatal, provide both surface and subsurface flow. The Ili river is fed by precipitation, largely vernal snowmelt, from the mountains of China's Xinjian region. 448. The lake currently covers an area of about 16,400 km2 (6,300 sq. m.). The lake is divided by a strait into two distinct parts. The western part is fresh water, while the eastern half is saline. The

100

eastern part is on average 1.7 times deeper than the western section. Balkhash is the largest city near the lake. Major economic activities in the area include mining, ore processing and fishing. 449. While the size of the lake is temporarily growing, there is concern about the lake's shallowing due to desertification and industrial activity. 450. Balkhash is a semi-saline lake, and the chemical composition of its water strongly depends on the hydrographic features of the reservoir. Water in the western part is nearly fresh, with the content of about 0.74 g/L, and cloudy (visibility 1 m); it is used for drinking and industry. Water in the eastern part is more transparent (visibility 5.5 m) and saline, with the average salt concentration of 3.5–6 g/L. The average salinity of the lake is 2.94 g/L. Long-term (1931–1970) average precipitation of salts in Lake Balkhash is 7.53 million tones and the reserves of dissolved salts in the lake are about 312 million tones. The water in the western part has a yellow-gray tint, and in the eastern part the color varies from bluish to emerald-blue. 451. Balkhash-Alakol and Irtysh river basins in the east and in the north-east are almost 75% of surface water sources in the country. Balkhash-Alakol basin occupies a vast area in the south-eastern Kazakhstan, part of China and a small part of Kyrgyzstan. Its area - 413 000 km2, including 353,000 km2 in Kazakhstan (Almaty and Zhambyl and Karaganda oblasts and oblasts of East Kazakhstan). Permanent rivers flowing into lake Balkhash - Ili, Karatal, Aksu, Lepsy, Ayaguz - occur in the mountain areas of Tyan-Shan, and Tarbagatay Dzhengis Tau. Ili River flows into the western Balkhash, while other rivers flow into the East Balkhash. The territory of the basin of the lake Balkhash is characterized by its great diversity and complexity of the geological structure. The hydrographic network of the district is represented by Bidaiyk river with many tributaries. The absolute level of the surface within the boundaries of the projected area is up to 673.72-768.70 m. 452. The use of water from surface water and groundwater within the construction area is permitted only with the permission of the Committee for Water Resources under the Ministry of Agriculture of the RK.

E.2.6.2 Water quality monitoring

453. Kazhydromet implements comprehensive surface water quality monitoring program covering major water bodies and regularly publishes the results of observations in information bulletins on Kazhydromet website41. According to the Information Bulletin on the Status of Environment in Republic of Kazakhstan for 2019 observations of surface water quality in the Karaganda Province were carried out in 15 water bodies including the following rivers: Nura, Sheribainura, Sokir, Kara Kengir, Kokpekti, Sarisu; Samarkan reservoir, Kengir, Lake Balkhash, channel named after K. Satpayev, lakes of the Korgalzhinsky reserve: Sholak, Yesei, Sultankeldy, Kokai, Teniz.

454. The state of bed sediments of surface waters of Balkhash Lake basin and Alakol-Sasykol system of lakes: Sampling of bed sediments in the basin of the south-eastern part of Lake Balkhash and Alakol-Sasykol system of lakes was done at 21 control points and samples in the lower reaches of Ile River were taken at 8 control points (Table 34). The samples of the bed sediments were analyzed for the content of acid-soluble (gross) forms of heavy metal ions (arsenic, lead, cadmium and manganese), as well as active forms (copper, zinc and chromium). The content tent of heavy metals in the bed sediments of the lower reaches of the Ile River and the Balkhash-Alakol basin varies within a great range: cadmium: 0.03 to 0.13 mg/kg, lead: 4.3 to 17.1 mg/kg, copper: 0.7 up to 3.5 mg/kg, chromium: 0.09 to 1.01 mg/kg, zinc: 3.0 to 10.5 mg/kg, arsenic: 1.0 to 4.6 mg/kg and manganese: 391 5 to 689.5 mg/kg.

E.2.7. Groundwater

41https://kazhydromet.kz 101

455. According to the assignment issued by the client, an engineering and geological survey of the sewage treatment plant was carried out, for which 46 wells of 8.0 m were drilled. 456. In a hydrogeological respect, the drilled boreholes in the area of exploration, in the area of distribution of hard rocks and gravel soils, as well as different-grain sands, no groundwater was found. Consequently, we can say that that no underground waters were identified as a result of drilling at the depth of 8 m in the project area. 457. As a result, the project will not have an impact on the underground waters in either the construction, or operation phase. 458. The rate of wear of water network is 86%. The water is supplied from the Nizhne -Tokrauskoye underground water deposit located 25-30 km east of the city of Balkhash. The total area of the deposit is 783 sq.km. There are 4 water intakes with 46 boreholes in the deposit area, with 17 of them operating, 20 of them conserved and 9 of them being out of order.

E.2.8. Natural Hazards

459. The seismic survey with the necessary details has not been undertaken to date and will be provided during the detailed design phase.

460. The model of seismic sources (seismogenic zones) for Kazakhstan territory was developed42based on the map of active faults of Kazakhstan and adjacent territories together with a complex set of geophysical, geological-tectonic and seismological data. The general outlines of zones were determined on the base of crustal segmentation, in view of the large-scale kinematic processes controlling the distribution of seismicity. Geometry of zones reflected geological features and the distribution pattern of earthquake foci. The map of seismogenerative zones of Kazakhstan and adjacent territories is shown in Figure 18.

461. As it can be seen from the Figure 17, Balkhash WWTP is located on the Kazakh Shield (consolidated basement) of the young platform. As the map shows, the probability of strong earthquakes is not expected in the given Region. At the stage of the detailed design, a seismic survey of the Region will be accomplished.

Figure 18: The map of seismogenerative zones of the Kazakhstan's Earth crust

epiplatform orogens

inter- and intra-montane depressions epigeosynclinal orogens

orogen and platform conjunction zones ancient platform with Paleozoic–Cenozoic slab complex (the Caspian basin) the young Turan epihercine platform with Mesozoic– Cenozoic slab complex the Kazakh Shield (consolidated basement) of the young platform

42A.V. Timush, T.V. Taradayeva, N.A. Stepanenko, A.B. Sadykova, A. SydykovSeismogenic zones of Kazakhstan, Almaty (2012), p. 80

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Tarim Massif

E. 2.9. Noise and Vibration

462. Due to the outbreak of COVID-19 it was not possible to conduct a noise and vibration study to identify baseline data for the Project. In this case Construction Contractor is requested to carry out baseline measurements of noise and vibration before commencement of construction activities in line with national legislation and in accordance with the limits provided in the IFC's EHS Guidelines for noise. Findings and analysis from the noise and vibration study have been incorporated into updated IEE and Site Specific Environmental Management Plan (SEMP).

E.2.10. Radiation gamma background in Karaganda region

463. The observations over the levels of gamma radiation in the area were carried out daily at 3 weather stations (Balkhash, Karaganda, Zhezkazgan) of Karaganda region (Figure 19).

Figure 19: Location plan of weather stations to monitor the radiation gamma-background level and density of radioactive debris on the territory of Karaganda Region

464. Mean values of radiation gamma background of the ground-level layer of the atmosphere in the 103

settled areas of the Karaganda region were within the limits of 0,03-0,49 mSv/hr.

465. On average, the radiation gamma background in the Region was 0,16 mSv/hr and was within the admissible range.

E.3. Ecological Resources

E.3.1 Flora and Fauna

Regional context

466. Flora: The WWTP construction area, as mentioned in project description chapter, is in 18 km distance from lake Balkhash. The shores of the lake Balkhash contain individual willow trees and riparian forest, mostly composed of various species of Populus. Plants include common reed (Phragmites australis), lesser Indian reed mace (Typha angustata) and several species of cane – Schoenoplects littoralis, S. lacustris and andemic S. kasachstanicus. Under water grow two types of Myriophyllum - spiked (M. specatum) and whorled (M. verticillatum); several kinds of Potamageton – shining (P. lucens), perfoliate (P. perfoliatus), kinky (P. crispus), fennel (P. pectinatus) and P.; as well as common bladderwort (Utricularia vulgaris), rigid hornwort (Ceratophyllum demersum) and two species of Najas Phytoplankton, the concentration of which was 1.127 g/L in 1985, is represented by numerous species of algae.

467. Fauna: Avifauna: Balkhash is the habitat of 120 types of bird, including cormorants, marbled teal, golden eagle and great egret. Out of 120 species of birds, 12 were listed in the Red Book, including pink and curly pelicans, spoonbill, whooper swan and white-tailed eagle.

468. Aquafauna: The Balkhash lake used to have a rich fauna, but since 1970, biodiversity began to decline due to deterioration of water quality. Before then, there were, abundant shellfish, crustaceans, chironomidae and oligochaeta as well as zooplankton (concentration 1.87 g/L in 1985), especially in the western part. The lake hosted about 20 species of fish, 6 of which were native: Ili marinka (Schizothorax pseudoaksaiensis), Balkhash marinka (S. argentatus), Balkhash perch (Perca schrenkii), Triplophusa strauchii, T. labiate and Balkhash minnow (Rhynchocypris poljakowi). Other fish species were alien: common carp (Cyprinus carpio), spine, Oriental bream (Abramis brama orientalis), Aral barbel (Luciobarbus brachycephalus), Siberian dace (Leuciscus baicalensis), tench (Tinca tinca), European perch (Perca fluviatilis), catfish, Diptychus, Prussian carp (Carassius gibelio) and others. The fishery was focused on carp, perch, asp (Aspius aspius) and bream.

469. Abundant and dense reeds in the southern part of the lake, especially in the delta of Ili River, served as a haven for birds and animals. Changes in the water level led to the degradation of the delta – since 1970, its area decreased from 3,046 to 1,876 km2, reducing wetlands and riparian forests which were inhabited by birds and animals.

470. Terrestrial fauna: Land development, application of pesticides, overgrazing and deforestation also contributed to the decrease in biodiversity. Of the 342 species of vertebrate, 22 are endangered and are listed in the Red Book of Kazakhstan. Forests of the Ili delta were inhabited by the rare (now probably extinct) Caspian tiger and its prey, wild. Around the 1940s, Canadian muskrat was brought to the Ili delta; it quickly acclimatized, feeding on Typha, and was trapped for fur, up to 1 million animals per year. However, recent changes in the water level destroyed its habitat, bringing the fur industry to a halt.

Local Context 471. According to the survey results, the project territory is located on an urbanized and technologically

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developed territory, habitats and species of flora and fauna of high conservation value are not presented in the project area and therefore if we consider the specifics of the planned activity, a significant impact on flora and fauna is not expected. 472. Flora and fauna in proximity of the construction site will be surveyed during the detailed design stage and added to the updated IEE/EMP accordingly

E.3.2. Protected Areas 473. According to the data provided by the World Database on Protected Areas, in Kazakhstan there are one National Park, three National Nature Parks, 32 State Nature Reserves, and 64 "Zakaznik".

474. Some protected areas found in the southern part of Balkhash Lake is located the closets the project area, with Iliiskaja Delta Zakaznik being the most important of them. The Ramsar Site Ile River Delta and South Lake Balkhash Ramsar Site comprises wetlands and meadow vegetation (the modern delta), ancient river terraces that now harbor Saxaul and Tamarx shrub vegetation, and the southern coast line of the western part of Lake Balkhash (Figure 20).

Figure 20: Protected areas and ecological velues in Kazakhstan

475. This Ramsar Site covers an area of 976,630 ha and is situated within the borders of the three Zakazniks: Balkhash, Karroy, and Kukan, which together cover an area of 1,061,100 ha. The Ramsar Site contains three Important Bird Areas (IBA): Ile Delta (574,300 ha), Topar Lake System (32,530 ha), and Lower Reaches of the Karatal River (102,195 ha) (Ramsar Convention, 2012). All three Zakazniks within this Ramsar Site are under the management of the Altyn-Emel National Park. The category Zakaznik is equivalent to the IUCN category VI, i.e. Protected Area with Sustainable Use of Natural Resources.

476. The protected areas are distanced by 25-50 km from the project area. Consequently, the project will not have an impact on them either the construction, or operation phase.

E.4.Socio-Economic and Cultural Resources

E.4.1. Population and Gender

477. Balkhash is a city in Kazakhstan, located on the northern shore of the Lake Balkhash, on the Bay Bertys, and in south of Kazakh Uplands. Balkhash was founded in 1937 as an industrial city 105

centered on the mining and smelting of copper, and presently copper is still exploited there. The city lies approximately 500 km west of the Chinese border on the north side of the lake at an altitude of 440 m. 478. Population of the city: 68,833 (2009 Census results); 65,431 (1999 Census results). The combined population of the city and its urban area is 75,453 people (2010). The ethnic composition on 1 January 2010 is presented below:

• Kazakhs — 50,307 people (64,94 %) • Russians — 19,823 people (26,20 %) • Ukrainians — 1,169 people (1,94 %) • Germans — 1,032 people (1,83 %) • Koreans — 1,172 people (1,55 %) • Tatars — 1,080 people (1,43 %) • Belarusians — 229 people (0,37 %) • Chechen people — 183 (0,24 %) • Azerbaijani people — 119 (0,16 %) • Uzbeks — 112 people (0,15 %) • Others — 1,134 people (1,50 %) • In total — 77,662 people (100,00 %)

479. In recent years, the number of Russian speakers is dramatically declining, but this is more than compensated by an influx of Kazakhs, who come mostly from rural areas, resulting in growth of the city's population after the substantial decline in the 1990s. 480. For the population estimation generalized summary data are used, which are officially submitted by the regional statistics department founded on basic data and indicators (forecasted) for the medium-term period. 481. According to the estimation provided in conceptual design it is expected that the population in Balkash will grow up to 87,550 inhabitants in 2032, while the existing population is 80,000 people (2018) (See Table 35).

Table 35: Balkash population forecast

Year 2015 2016 2017 2018 2025 2030 2032 Population of Balkhash, x 78.47 78.98 79.49 80.00 83.69 86.43 87.55 1000 person

482. According to the forecast of National Center for Development of Human Resources dated (2018) for Balkash (Karaganda region) the trend of population growth is reported in the Figure 21 below.

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Figure 21: Trend of population growth in Karaganda region according to National Center for Development of Human Resources of Republic of Kazakhstan

483. From the graph it is possible to identify a negative growth of population and for the year 2050 is forecasted a global decrease of “-15.5%”, while for the year 2040 a decrease of “-9.40%” versus the actual population (2018).

484. There is also another official source of information which is the estimation of population made by the Department of Economics and Social Affair of the United Nation. In this case the estimation is made for the whole Country and the main features are reported in the table below (Table 36). Globally the population is growing but with a trend that is lower than what estimated by the National Statistical Office before 2007.

Table 36: Population data according to United Nations estimation Kazakhstan Population Forecast

Year Population Yearly Yearly Migrants Median Fertility Density Urban Urban % change (net) age Rate (P/km) Pop population change % 2020 18.778.707 1.34 240 938 -18 000 30.7 2.78 7 57.7 10 828 881 2025 19.787.756 1.05 202,208 0 31.8 2.78 7 58.1 11.494.249 2030 20.639.021 0.85 170.225 0 32.0 2.76. 8 59.0 12.185.757 2035 21.483.450 0.81 168.886 0 31.4 2.76 8 60.3 12.963.352 2040 22.370.495 0.81 177,391 0 31.8 2.76 8 62.0 13.864.117 2045 23.242.947 0.77 174,508 0 32.9 2.76 9 64.0 14.867.034 2050 24.024.045 0.66 156,220 0 34.2 2.76 9 66.0 15.866.113

485. In detail the rate of growth of population for Kazakhstan in the next years is decreasing from 1.34% to 0.66%.

486. During the date of site visit (11.2019) the Municipality and Vodakanal informed that the actual population is 75,055 people and 80% of them are connected to the wastewater network. They consider that the population will grow up to 80,000 to the time horizon of 2030.

487. The data and information provided by the Municipality do not match with the official forecast described above which consider a negative growth. Additionally, they do not match with the information in the Feasibility Study that consider an increase in population up to 87,550 people.

488. Therefore, adopting a conservative approach, it is considered that the population should be stable, rather than grow or decrease.

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489. In conclusion for the accepted design horizon (2040) we can assume the following data: • Population: 80,000 • Rate of connection to the wastewater network 100%

E.4.2. Labor and Social Protection

490. The employment problems are solved by realizing an active policy to support employment on the labor market, job generating, employing the unemployed, organizing social works and realizing additional measures to provide social protection of citizens in the field of employment: creating social jobs and worksites for youth to take practice.

491. In 2016-2018 and for 9 months of 2019, total 9158 people applied to the labor office, including 4375 youngsters aged 16 to 29 (2301 people in 2016, 2197 people in 2017, 2492 people in 2018 and 2168 people for 9 months of 2019). The labor office employed 9,573 people, including 4,829 youngsters (2,164 people in 2016, 2,531 people in 2017, 2721 people in 2018 and 2157 people for 9 months of 2019).

492. In 2016-2018 and 9 months of 2019, 976 people were assigned for vocational training and retraining, including 516 young people aged 16 to 29 (189 people in 2016, 339 people in 2017, 238 people in 2018 and 210 people for 9 months of 2019).

493. From 2016 to 2018 and for 9 months of 2019, 2,233 unemployed took part in social works, including 1369 youngsters (610 people in 2016, 610 people in 2017, 525 people in 2018 and 488 people for 9 months of 2019). In 2016, with the purpose of developing entrepreneurial skills, 2 unemployed were given financial assistance to start their own businesses and self-employment.

494. From 2016 to 2018 and for 9 months of 2019, 2659 new jobs were created, including: 313 jobs in 2016, 314 jobs in 2017, 327 jobs in 2018 and 1705 jobs for 9 months of 2019.

E.4.3. Agriculture

495. The main objectives of the agricultural branch of the city are the realization of the measures to ensure the food security of the city.

496. As per the results of 2018, the Index of Physical Volume of Production of the agricultural economy of the city of Balkhash was 100,7% by 2017, at the expense of the increased production of meat of all types of cattle and poultry, cow's milk, chicken eggs in peasant or farm households and households’ farms. At the same time, there has been a decrease in vegetable production of the households.

497. Agriculture in the structure of Gross Regional Product of the city of Balkhash amounts to 1475.8 million tenge. In 2016, the Index of Physical Volume of Production of agriculture amounted to 106.8%; it was 100.3% in 2017 and 100.7% in 2018, including 99.3% in 2016, 99, 6% in 2017 and 100.1% in 2018 in the crop production sector, and 126.7% in 2016, 101.5% in 2017 and 101.8% in 2018 in livestock.

Table 37: Basic economic indicators of agriculture of the city of Balkhash

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Description Unit of 2016 2017 2018 9 measurement months of 2019 Gross agricultural output, 1312,9 1517,2 1475,8 1488,5 including: Mln. Tenge Plant growing 817,6 967,8 873,0 942,4 Cattle breeding 495,2 549,3 602,7 546,0 Index of actual volume of 106,8 100,3 100,7 100,7 agriculture, in terms of percentage ratio of preceding year, including: % Plant growing 99,3 99,6 100,1 100,7 Cattle breeding 126,7 101,5 101,8 100,7

498. In 2018, the sales of slaughter of all types of livestock of live weight were as high as 133.3 thousand tons (131.1 thousand tons in 2017 and 118.7 thousand tons in 2016); the milk sales volume was 2961.9 tons. (2890.6 tons in 2017 and 2888.0 tons in 2016), egg production was 678.2 thousand in 2018, 671.4 thousand in 2017 and 666, 8 thousand in 2016, respectively.

499. Subsidiary and peasant private farms were characterized by an increased horse, sheep and camel breeding. Increased livestock production was promoted by the balanced operation of the agro-industrial complex to increase the livestock and productivity of livestock and poultry.

E.4.4 Industry

500. The main branches of industry are mining, manufacturing, electricity, gas, steam and air conditioning, water-supply, sewerage and supervision over the waste collection and disposal.

501. The main share of industrial production of 80% is accounted for by the departments of the Balkhash site of the backbone enterprise “Kazakhmys Corporation”.

502. The industry accounts for 91% of the economy of the city. The greatest number of the city’s economically active population is employed in industry (28.9% (11.2 thousand people)) of the total economically active working-age population (38.9 thousand people). The dynamics of the principal industrial characteristics are given in Table 38.

Table 38: The dynamics of the principal industrial properties of the city Balkhash No Characteristic Unit of 2016 2017 2018 9 months of measure 2019 ment 1 Industrial output mln. 374860 408229 546115 270 495,4 tenge ,5 ,6 ,6 109

No Characteristic Unit of 2016 2017 2018 9 months of measure 2019 ment 2 Index of actual volume 105,5 107,7 111,3 88,5 industry, in terms of % percentage ratio of preceding year 3 Number of employed Thousan 17601 18200 18068 17580 population d people Source: Committee on Statistics of the Republic of Kazakhstan, Department of Statistics of Karaganda Regions

503. The basis of the manufacturing industry is presented by the following sub-branches: non-ferrous metallurgy, food industry and mechanical engineering.

504. Manufacturing industry employs 14.8% (5,762 thousand people in 2018) of the total economically active population of the city of a working age (38,971 people).

505. In 2016-2018, there were some minor structural changes in the industry:

- The share of the metallurgical industry increased from 88.3% to 92.4%; and - The industrial machine-building industry increased from 1.6% to 1.7%.

506. Metallurgy is represented by enterprises of “ZOTSM” JSC, enterprises of “Kazakhmys Corporation” LLC, “Kazakhmys Smelting” LLC. and Sary Kazna LLP. Overall, the production volumes of the industry increased from 2016 to 2018.

507. The chemical industry is represented by “Kazakhmys Smelting” LLC. in the form of sulfuric acid as monohydrate. In 2016, the production volume was 64.3%; one can observe a decrease in the production volume compared to the same period of 2015. The reason for the given decrease is the low sulfur content in raw materials and the shutdown of the sulfuric acid workshop for repairs in August and September of 2016. As the results of 9 months of 2019 show, the production volume decreased by 19.2% compared to the same period of 2018. The reason for the given decrease is the reduced planned production indices of the principal product range in 2019: refined copper and fine silver and gold. Following the launch of 2 ore-thermal furnaces at Zhukovsky Engineering Works, the local need for the production processes decreased.

508. Food industry is presented by enterprises “Balkhashsut” LLC and “Balkhash-Nan” LLP. The major reason for the decline in production in 2016 is the decreased sales due to the market competition. The number of employees in the industry is stable, with the same level.

509. Four mines operate in the region: Konyratsky, Sayak-1, Sayak-2, Sayak-3 for the extraction of copper ore. Mines are part of the Balkhashtsvetmet Production Association, Kazakhmys Corporation LLP. The dynamics of the mining industry for the period from 2016 to 2018 shows a steady growth.

510. The basic plants of power supply, steam supply and air conditioning are energy and heat

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enterprises of MSE “SuZhyluTrans”, MSE “Balkhashenergo”, with 200 and 134 employees, respectively. The production and distribution of electrical power, and heat and water are realized by ТОО «Kazakhmys Energy», Kazenergocenter LLP and Kgp "Balkhashenergo". The given industry showed high growth rates in the volume of production and distribution of electrical power, and steam supply and air conditioning from 2016 through the first 9 months of 2019.

E.4.5 Development and support of small and medium businesses

511. The priority of the economic development of the industry is the development of small and medium businesses. The number of registered small and medium-sized business entities (further referred to as “SMBE”) was 4891 in 2018 what is 3,2% less the same indicator of 2017 (5055) and 2,6% less the indicator of 2016 (5194). By October 1, 2019, the number of registered SMBEs increased by 2%.

512. The number of SMBEs’ employees was 13147 in 2018 what as compared to 2017 (13,133 thousand people) is 0,1% and 0,9%, i.e. 13 people more the same indicator of 2016 (13,120 thousand people). By October 1, 2019, the number of SMBEs’ employees increased by 0,3% (13,186 people) as compared to the similar period of 2018.

E.4.6 Vulnerable Groups (Social Assistance)

513. Since 2018, the number of low-income citizens has increased as a result of the introduction of a new format for targeted social assistance and an increase of the poverty line from 40% to 50% of minimum of subsistence and from 50% to 70% of the minimum of subsistence on April 1, 2019.

514. From 2016 to 2018, the registered poverty level increased by 0.2% (from 0.0% to 0.2%).

515. There are 3 departments of social assistance in a home-serving format for the lonely elderly and disabled, children with disabilities and people over eighteen with neuropsychiatric diseases.

516. The number of disabled in the city of Balkhash was 3454 in 2016 (I group – 349 people; II group- 1558 people, III group-1315 people and disabled children - 232), на 2017 -3543 человек (1 group- 342 people, 2 group1618 people, 3 group- 1348 people and disabled children - 235); it was 3775 people in 2018 (I group- 349 people, II group1738 people, 3 group -1456 people and disabled children - 232).

517. By October 1, 2019, there were 4280 people with disabilities living in the city of Balkhash (4008 adults and 272 disabled children).

E.4.7 Education

497 Presently, there are 24 preschool establishments working in the city, including: 16 kindergartens (including 2 private kindergartens) and 8 mini-centers ensuring the access to preschool training for the children aged 5-6.

498 The city has 17 state daytime comprehensive schools with a total number of 11,603 pupils. The schools of the city are by 100% provided with interactive and innovative equipment "ANA", which allows realizing the process of education by using information and communication technologies. In order to ensure the quality of the informatization program, the machinery at city schools is 111

updated on a regular basis. The Broad Band WL connection rate is 100%, embracing all 17 educational establishments.

E.4.8 Healthcare Facilities

499. There are 2 independent outpatient establishments, 2 independent hospitals and 5 other healthcare establishments operating on the territory of the city.

500. For the last 3 years, total, mortality has increased by 4,8% (9,81 versus 10,29 per 1000 people in 2017). As the results of 9 months period of 2019 suggest, total mortality increased by 8,2% (9,99 per 100 people) and it exceeds the regional level (9,87 per 1000 people).

501. The leading cause of total mortality is circulatory system diseases, with the mortality decreased by 14.2% (from 311.3 to 266.8 per 100 thousand of the people in 2018) for the past three years. As the results for 9 months of 2019 suggest, the mortality rate caused by circulatory system diseases increased by 21.1%; the indicator was 323.5 per 100 thousand of people and does not exceed the regional level (326.7 per 100 thousand people).

E.4.9 Cultural Resources

502. At the beginning of 2019, the network of cultural organizations of the city was presented by 14 objects: 9 libraries, 1 museum, the M. Khamzina Palace of Culture, the Club of the Deaf, the Club of the Village of Gulshat and the Center of Culture “Gornyak” in the village of Sayak. The network of cultural organizations in 2016 had 13 objects; 13 objects in 2017 and 13 objects in 2018.

Table 39: The dynamics of changes of the network of the cultural, organizations

Item 2016 2017 2018 9 months of 2019 Libraries, pcs. 9 9 9 9 Clubs, pcs. 4 4 4 1

503. The number of annual visits to the library has also been stable since 2016 (136,2 thousand). The number of visits to the libraries for 9 months of 2019 was 101,0 thousand.

504. There are 12 historical and cultural monuments registered on the territory of the city of Balkhash.

E.4.10 Tourism

505. The Balkhash region has a number of incontrovertible natural, economic and social advantages. The northern coast of the lake has natural beaches with clean sand and clean transparent water, and with the deposits with great reserves of therapeutic mud and salt. On the territory of the Northern Trans-Balkhash region, the resources of both natural and cultural heritage can be found. There are a number of unique natural and memorable sites, including picturesque natural landmark of Bektauata, Turan grove and Uzun Agach narrow waters.

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506. One of the major factors of investment attractiveness of tourism and business development is the advantageous geographical location of the city of Balkhash in the center of the Republic, between two capitals. The transport infrastructure is well developed, in particular, Republican motor road “Almaty-Ekaterinburg” and railway branch “Almaty-Ekaterinburg-Moscow” are located near the city and there is also an airport.

507. The main trends of tourism development in the city are: coastal, fishing and aqua-tourism. At present, the tourism infrastructure is presented by 36 accommodation objects: 14 hotels, 3 motels, 3 boarding houses, 16 one-story bungalows, cottages, small houses and apartments, 1 travel agency "SatSapar".

508. The number of inbound visitors (non-residents) served in 2017 was 1,130 people being 25.7% lower than that in 2016 (1,521 people) and 8.9% lower than that in 2015 (1,670 people).

509. However, the insufficient level of tourism development is seen in its seasonal, limited nature. To date, the Region has not yet acquired the necessary level of attractiveness for foreign visitors. The competitiveness of the Region’s tourist product is inferior to its foreign analogues in terms of accessibility, level of service and price of tourist services. Nevertheless, the work to improve the tourist infrastructure, increase the level of services provided by leisure facilities and to promote the tourist potential of the city is in progress.

E.4.11 Infrastructure, Utilities, and Services

510 The road fund of the city of Balkhash is 67 km, and the length of the road network has not changed for the last 3 years. The length of roads of the city is 67 km, including 37.8 km of motor roads with asphalt-concrete pavement. 24.2 km of the roads is in a good condition, 12.5 km is satisfactory and 1,.1 km is in a poor condition. 8 km (12%) of roads are covered with gravel and grout and 21.2 km (31.6%) are ground roads . 511 The process to improve the state of the public motor roads in the city shows a stable positive dynamic for 3 years and by 2019, the ratio of the roads in good and satisfactory condition has increased by 49.4% (it amounted to 16.2 km in 2016). Overall, in 2015-2018 and for 9 months of 2019, 41 km of motor roads of the city were given average-scale repairs with the total cost of 1905 million tenge.

512 The development of the information and communications industry in Balkhash is evidenced by a steady increase in the volume of postal and courier services and communication services, as well as an increase in the number of fixed Internet subscribers.

E.4.12 Water and Sewage

513 Water supply of the city of Balkhash and adjoining villages is provided by Kgp "Balkhashsu". The total length of water networks of the communal property is 563 km. From 2015 to 2019, the length of water pipes did not change.

514 14 of 17 working boreholes are operated to supply the city and 3 boreholes are operated to supply village Sayak. The average daily consumption of drinking water of the city and surrounding villages is 12.4 thous. m3. In the city of Balkhash, the release in favor of enterprises is 163.4 thous. m3 per month, that in favor of the population is 209.2 thous. m3 per month. The total losses of the water 113

supply system in the city are 10%.

515 12560 subscribers have cold water meters. For 9 months of 2019, the local people’s access to the centralized water-supply system was 91%, or 71582.Within the scope of preparation for the heating season for 2018-2019, Kgp "Balkhashsu" dedicated its funds of 131 million tenge to accomplish current repairs of 11.5 km of water supply networks in the city.

516 The total length of the sewerage networks of communal property is 219.3 km. From 2015 to 2018, the length of the sewer pipes did not change. The rate of wear of sewage networks is 86%.

517 In 2016, within the scope of the investment program of Kgp "Balkhashsu", the work was accomplished to replace 2.5 km of sewer networks, and the works to close 439 manholes were accomplished. Within the scope of preparation for the heating season for 2018-2019, the current repairs of 35 km of sewer networks and works to close 457 manholes were completed. In 2019, the works to close 236 manholes were accomplished.

E.4.13 Waste

518 There are two enterprises engaged in the operations with municipal solid waste working in the city: ТОО “Balkhash Universal” engaged in the disposal of municipal solid waste and slag waste from the population and enterprises, and “Gorkomkhoz” LLP working on the burial of municipal solid waste and slag waste. The municipal solid waste is buried is buried on the landfill.

519 In 2015-2018, the enterprise “Gorkomkhoz” LLP collected and disposed more than 166.5 thousand tons of waste and 33.6 thousand tons for 9 months of 2019, most of which was household waste. At present, the waste is buried in bulk, without compaction as this is not envisaged by the working draft, and consequently, the given landfill has its capacity reserve exhausted making it useless for further operation.

520 Following the increase in the population of Balkhash, the liquidation of spontaneous landfills and the reception of annually increasing volumes of waste from the city’s enterprises, it is necessary to build a new landfill using a “trench” method of waste storage, which allows for multilayer waste storage and compaction into special cards with a capacity of 750 thousand tons’ waste. The estimated life of the landfill is 15 years.

E.4.14 Land Resources

521 Balkhash is an industrial city. The industrial development is followed by a growth of areas of anthropogenically disturbed territories, a decrease in their restoration ability and their resistance to the impact of anthropogenic factors. The number of peasant farms is 37. From the beginning of 2015 to date, as a result of tenders to provide land for lease for agricultural production, 21 land plots with a total area of 31,804 ha were used in agricultural turnover.

522 The area of unused farmlands, the dynamics of their development from 2016 through the first 9 months of 2019: in 2016, the area of farmland amounted to 29487 ha (a growth by 2015 was 24%); in 2017, it was 29487 ha (0%); in 2018 it was 29869 ha (a growth by 2016 was 1.2%); for the first 9 months of 2019, the area of farmland amounted to 29869 ha, with the growth rate of 0% as compared to the rate in 2018.

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E.4.15 Administrative Subdivision

523 There are 9 districts, 11 towns, 9 of which are of state importance and regional submission, 11 settlements of town and 422 villages. There are 11 towns in the region-Abai, Balkhash, Zhezkazgan, Karaganda, Karachal, Karkaralinsk, Priozersk Saran, Satpayev, Temirtau, and Shakhtinsk. The new WWTP will be constructed in the city of Balkhash located in central Kazakhstan in the Karaganda region on the right side of the lake Balkhash, about 600 km north of the city of Almaty.

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F. ANTICIPATED ENVIRONMENTAL IMPACTS AND MITIGATION MEASURES

F.1. Impacts

525. This section of the IEE details the Projects potential impacts and proposes mitigation measures to limit any negative impacts identified during the initial stage of the IEE process. The baseline surveys were conducted keeping in consideration the potential impacts. The impact assessment and mitigating measures cover the entire cycle of the project activities, from pre-construction to construction and operation and maintenance. The coverage of each of sub-project phases is defined as follows:

• Feasibility / Design Phase, or the Pre-Construction Phase • Construction Phase • Operation Phase

526. This section is discussed by construction package rather than by specific environmental or social characteristics, e.g. soils, hydrology, etc. as this is considered easier to understand the specific issues.

527. The environmental components, which may be adversely affected by projects at their construction, operation and decommissioning stages, generally are grouped as physical, biological and socio-economic ones. Examples of the environmental components which might be of a different levels and attributes are presented in the Table 40 below.

Table 40: Environmental Aspects Physical Components Biological Components Socioeconomic Components • Physical component of • Flora and Fauna • Human health ecosystems (habitats) • Vegetation communities/ • Settlements • Air forests • Cultural heritages • Soil (quality, structure, • Animals’ and plants’ • Employment fertility, erodibility) populations (number, • Demography • Land abundance, distribution, etc.) • Income • Water resources • Biological component of • Poverty (surface water: quality, forest, aquatic, meadow, • Gender availability, hydrological steppe and other ecosystems • Education regime); (as a whole), etc. • Migration • Landscape/Aesthetics, • Micro-organisms, etc. etc.

528. Project potential impacts: Within the proposed project the impacts associated with the activities on construction of WWTP might be positive and negative. This Project will have positive impact on Balkhash city, bringing sanitary sewage services to many small business enterprises and local community, reducing greenhouse gas emissions, improving river water quality, creating jobs, etc. Negative impacts attribute to water, air and soil pollution, additional water and energy consumption, noise and health risks, during both construction and operation phases. Measures to be taken to minimize potential negative environmental impacts depend on their type, magnitude, combination and distribution.

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F.1.1. Types of Project Impacts

529. The following types of impacts considered under the proposed Project are summarized briefly below: (i) Cumulative impact (ii) Indirect Impact (iii) Residual Impact.

530. Cumulative impact. The Project will not have a cumulative impact, as the project zone is located far both, from the central highway (2 km) and the industrial objects located on the territory of Balkhash city (mining and smelting of copper) (17 km). There will be minor cumulative impact in the construction phase when the central highway is used to transport construction materials.

531. Indirect Impacts. Indirect (or secondary) impacts are those arising from activities associated with direct activities implementing within the project implementation. These might be positive and negative social, economic, or environmental impacts. Of positive impacts, the opportunity to use the water treated with WWTP in agriculture is worthwhile, as well as planned use of the treated sewage sludge in agriculture as a fertilizer. A negative social impact is a possible growth of service fees both, for legal and physical entities.

532. Residual Impacts. Residual impacts are those that remain after all mitigation has been carried out. Assuming that all mitigation as indicated in the guideline tables are implemented appropriately, the residual effects, even cumulatively on the project, should not be significant. Summary of probable residual impacts generated by the proposed activities is presented in the Table 41 below.

Table 41: Summary of probable residual impacts Activity Probable Residual Impact Significance Construction of Wastewater treatment cannot be carried out in Low WWTP accordance with the required standards and their secondary use in agriculture is similarly impossible, as WWTP cleaning technologies are not designed for industrial liquid waste.

It should be noted that if the industrial plants discharge the industrial waters into the central sewerage illegally, the design WWTP technological process will not be able to treat the wastewater completely.

F.1.2 Mitigation Hierarchy

533. The following mitigation hierarchy will be utilized in selecting practical mitigation measures for unacceptable impacts as follows (in order of preference):

• Avoid the impact wherever possible by removing the cause(s). • Reduce the impact as far as possible by limiting the cause(s). • Ameliorate the impact by protecting the receptor from the cause(s) of the impact.

534. Providing compensatory measures to offset the impact, particularly where an impact is of high significance and none of the above are appropriate.

F 1.3. Positive Project’s Impacts

535. Most of the proposed works might generate adverse environmental impacts. These could include water and air pollution; noise pollution, soil erosion; dumping of excavated sediments and other materials WWTP construction and operation. At the same time, the project will bring 117

several positive environmental and social impacts.

536. The main benefits are summarized below:

(i) As already mentioned, presently, the city of Balkhash does not have a wastewater treatment plant and the sewerage waters are immediately discharged into the surface waters, causing with a great probability, the pollution of surface waters. As a result, the use of surface waters to irrigate agricultural plots or for drinking is risky. On the one hand, as a result of the WWTP operation, no polluted water will be discharged into the surface waters and on the other hand, there will be the possibility for the secondary use of sewage waters, what on its turn, will economize the use of water resources; (ii) Sewerage sludge, which was also discharged into the surface waters, will be used as a fertilizer in agriculture following its treatment. This will also have a positive impact on both, the local population and in economic and social respects; (iii) Untreated sewerage sludge is one of the main sources for greenhouse gases (methane) in the world (as a source of greenhouse gases, as per different classification systems, the wastewater ranks the fifth in the world). The preferred methodology to treat sewage waters reduces the amount of warehouse gases drastically and has a positive impact on the climate change problems.

F.2. Anticipated Environmental Impacts and Mitigation Measures

F.2.1. Design / Pre-construction Phase

Impacts:

537. Soil pollution – in the mobilization phase, the topsoil must be stripped what may cause topsoil loss. The loss of topsoil may occur both, in the soil stripping and storage phases. Besides, topsoil stripping increases the risk of dust formation even in case of weak winds. Soil pollution may also be caused by wrong management of fuel, lubricants and waste.

538. Noise, dust, vibration - in the mobilization phase, the probability of noise, dust and vibration occurrence increases. Despite the fact that the settled area is located far from the project facility, this fact may have a negative impact on the workers.

539. Land Acquisition and Compensation – The layout drawing (Figure 4) of the WWTP site shows the new proposed facilities. There is enough space to accommodate the new buildings and structures. Therefore, no additional land is needed for implementing the new WWTP construction. Since the site of the WWTP is located on the outskirt of the city, there is no potential impact on the planned expansion areas for the City. The closest neighboring residential area is far consequently, there will be no involuntary resettlement.

540. In the eventuality, the detailed final design requires additional land outside the existing boundaries of the WWTP (access roads), a resettlement plan (LARP), based on the project’s Land Acquisition and Resettlement Framework (LARF) and reviewed by ADB, will be required. Civil works will proceed only after the full implementation of the LARP, as certified by a third party.

Mitigation:

541. In the first instance, planning and design of all irrigation schemes components shall be based on international standards such as European standards and ISO or DIN norms under due consideration of local guidelines where available such as SniP and GOST.

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542. Mitigation is recommended through strategic avoidance combined with construction and monitoring. Bid and contract documents are recommended to specify that a Site Specific EMP (SSEMP) shall be required. The Contractors shall ensure that the SSEMP is submitted to the Engineer for review at least 10 days before taking possession of any work site. No access to the sites will be allowed until the SSEMP is reviewed and approved by the Engineer. The SEMP will include the following Topic Specific Plans:

• Waste Management Plan. • OHS Plan. • Traffic Management Plan. • Air Quality Management Plan. • Noise Management Plan. • Spill Response Plan. • Hazardous Materials Management Plan.

543. All the above-mentioned documents must be developed by the Contractor and submitted to the KazCenter Project Management Unit (PMU) for approval. The Construction Contractor will be entitled to start the construction works only after the above-said documents are approved by PMU.

F.2.2 Construction and Operation Phases

544. The construction and rehabilitation works have the potential to cause a number of site- specific temporary environmental impacts arising from the location and management of work camps and haul roads and from disturbance issues relating to dust, noise and vibration, procurement of construction materials, liquid discharges, waste collection and storage. During construction stage the following direct impacts are expected:

• Air emissions including dust • Climate change • Noise and vibration • Soil erosion and contamination • Surface waters contamination • Construction and household waste generation • Flora and fauna • Potential impacts on public cultural resources • Health and safety of workers and community • Odor • Greenhouse gases

545. Adverse environmental impacts during pre-construction and construction stages. Potential negative impacts of the project would include:

• Soil pollution during the construction activities, including in the phases of topsoil stripping and storage; management of fuels and lubricants; waste management; earthworks and other construction activities. • Impact on traffic during the transportation of construction materials; • air pollution: (i) emissions and dust originated as a result of heavy technique traffic; (ii) dust formed as a result of topsoil stripping; (iii) emissions, noise and vibration originated during the operation of the construction techniques; • Damage to trees or other vegetation, both, in the project zone and access roads and beyond the project zone; • Occupational hazards and community health and safety during the pre-construction and construction activities. 119

546. Adverse environmental impacts during operational stage. Potential negative impacts of the project would include:

• Pollution of soil, air or surface water during planned and unplanned rehabilitation and repair works; • Increasing noise and vibration in case of disposal of small portions of sewerage sludge and treated water by farmers and entrepreneurs. • Occupational hazards and community health and safety during the operation activities.

F.2.2.1. Air quality

547. This section discusses emissions of atmospheric pollutants and greenhouse gases during construction and operation of the Project and associated mitigation measures to be adopted. Aspects of the Project that have the potential to Emit Atmospheric Pollutants and Greenhouse Gases are the following:

• Stationery sources at the construction camp and on the construction grounds (generator, diesel supply reservoir, parking for techniques and vehicles, welding posts, etc.); • Mobile sources, such as construction techniques and vehicles (excavators, bulldozers, dump trucks, etc.); • Emission of inorganic dust will also occur during the intense earthworks and management of inert materials. • Air quality impacts from WWTP during operation phase

Sensitive Receptors:

548. No sensitive receptors have been identified in the vicinity of WWTP construction site that could be affected by dust or vehicle emissions. The nearest residential buildings are located on the south-west side on 2.5 km from the border of the designed WWTP. The selected site of treatment facilities is located 3.5 km east of Balkhash city in the area of the existing emergency storage pond. The distance from the main pumping station (GKNS-1) is 5 km. The distance from the existing road is 2 km.

549. Nevertheless, all machinery and equipment must comply with the national vehicle regulations and international emission standards.

Potential impacts:

Construction Phase

550. Release of Exhaust Gases - During construction, the release of combustion gases will mostly be from vehicles and potentially from mobile sources such as mobile generators. These may locally increase concentrations of atmospheric pollutants (NOX and SO2) to a limited extent and over a short time period. No sensitive receptors and residential buildings have been located in 2,5km radius of design WWTP site, as such exhaust emissions are unlikely to have any significant impact. 551. Dust- Dust impacts on sensitive receptors will generally be of low significance due to the distances involved between the worksites and the receptors. Some minor, short term dust impacts may occur to agricultural areas and in areas adjacent to access roads.

Operational Phase

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552. The impact on air quality in the operation phase will be much less:

• In line with sanitary standards No. 237 “Sanitary and epidemiological requirements for the establishment of a sanitary protection zone of production facilities”, dated by 20.03.2015, approved by order of the Minister of National Economy of the Republic of Kazakhstan, the existing WWTP is the first-category facility meaning that the nearest settled area must be distanced from it by at least 1 km. This requirement with Balkhash WWTP is met.

• Frequent summer winds of west and south-west winter winds of a north and northwest direction are typical to the given region. Wind velocity is 2,4 m/sec. The highest wind velocity is observed at the end of winter and at the beginning of summer. The nearest settled area from WWTP is located 3,5 km east of the city of Balkhash.

553. The nearest settled area from the city of Balkhash is located west of the WWTP, immediately in the direction of summer dominant winds. Despite the fact that the nearest settled area is distanced from the WWTP by 3.5 km, with a little probability, objectionable odor may still reach the settled area in summer.

554. If the treated water is disposed from the WWTP area by commercial organizations and/or small portions of sewerage sludge is disposed by farmers, the number of heavy techniques is expected to increase on the WWTP access roads and central road.

555. In the operation phase, air pollution may also cause the following nuisances:

• Air pollution will occur in the phase of realizing the planned and non-planned rehabilitation works with the construction techniques; • In the phase of transporting treated sewage sludge; • Minor amounts of greenhouse gases will be emitted in the WWTP operation phase.

Mitigation measures:

Construction Phase

556. The following air pollution control mitigation measures will be undertaken during construction phase of the project:

• Management Planning – The EPC Contractor will, as part of his Specific Environmental Management Plan (SEMP), prepare and implement a Pollution Prevention Plan. The Plan will include measures to limit air pollution during the construction phase of the Project. • Construction materials (sand, gravel, and rocks) and spoil materials will be transported by trucks covered with tarpaulin; • All vehicles (e.g., trucks, equipment, and other vehicles that support construction works) will comply with the national vehicle regulations and international emission standards. Regular exhaust emissions tests need to be conducted.; • No equipment using any fuel that may produce air pollutants, including mobile generators, will be installed without consent of the engineer. Construction equipment will be maintained to a good standard and fitted with pollution control devices which will be regularly monitored by the engineer. • No burning of debris or other materials will occur on the construction sites • For dust generated from unpaved roads, material stock piles, etc: • The contractor will ensure that material stockpiles will be located in sheltered areas and be covered with tarpaulins or other such suitable covering to prevent material becoming airborne. 121

• All trucks used for transporting materials to and from the sites will be covered with canvas tarpaulins, or other acceptable type cover (which will be properly secured) to prevent debris and/or materials from falling from or being blown off the vehicle(s). • Effective use of water sprays will be implemented: carrying out watering for dust control at least 3 times a day: in the morning, at noon, and in the afternoon during dry weather with temperatures of over 25°C, or in windy weather. All water used for controlling dust will be free of odor and pollution. • Regular monitoring of atmosphere air pollution must be carried out throughout the construction period to ensure control and apply mitigation measures for settlements and workers who are involved in the construction, if necessary. • Clean wheels and undercarriage of haul trucks prior to leaving construction site. • Bring the material (aggregate and sand) as and when required. • Ensure speedy completion of work and proper site clearance after completion. • A strict Project speed limit of 30km/hr will be enforced for Project vehicles using unmade tracks and within Project construction zones. • Vehicles carrying fine aggregate materials will be sheeted to help prevent dust blow and spillages.

Operation Phase

557. A wind-breaking belt is to be provided around the project WWTP. A several-step wind-breaking belt is desirable. This measure is also viewed as the mitigation measure for the production of greenhouse gases. If the given measure proves to be inefficient, additional mitigation measures will be necessary. The most efficient method against the odor propagation is gathering and storing biogas or using the gathered biogas to generate the power. The major disadvantage of the given measure is high starting capital.

558. with the aim to avoid air pollution in the operation phase, the following mitigation measures are to be accomplished:

• Design and install different cover options to fit tanks, basins and lagoons; • Cover options should include floating, structurally supported, modular, inflated and dual membrane; • Solutions should make with strong, long-lasting materials to resist tears, punctures, chemicals and UV rays. 559. As alternative to reduse the smell from WWTP it is possible to seal wastewater treatment tanks/lagoons with a gastight cover solution. Covering these tanks will reliably prevent diffusion of odor vapors. Escaping odor vapors can be contained and evacuated for further treatment.

560. In addition to the above-listed activities, with the aim to avoid air pollution in the operation phase, the following mitigation measures are to be accomplished:

• Operating non-faulty vehicles; • Operating non-faulty equipment and mechanisms, which the part of the plant; • Providing monitoring and planning mitigation measures as necessary; • Providing training to the personnel once a year.

F.2.2.3. Soils and Geology

561. This section discusses potential impacts on soils and geology during construction and operation of the Project and associated mitigation measures to be adopted. The following planned Project activities could affect soils and geology and in the Project area:

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• Use of vehicles, heavy plant and equipment in worksite areas. • Topsoil clearance in worksite areas and camps. • Topsoil and subsoil storage (for re-use in backfilling and reinstatement). • Construction of access roads. • Accidental release of potential contaminants (e.g. fuel, hazardous waste, chemicals) at all work sites.

Sensitive receptors: 562. Generally, the soils in the Project area are unproductive and much of the land is utilized as pastureland. These areas will not be affected permanently by construction works.

Potential Impacts: Construction Phase 563. Soil Properties and Compaction – Soil compaction may occur around access roads and tower pad sites. This will not impact upon agricultural land but could have some impacts relating to increased runoff and erosion.

564. Soil Erosion and Soil Loss - Erosion is a natural process by which wind and rain wear away soils that have poor cohesion or are steeply sloping. Where the land surface is disturbed and when vegetation and topsoil are removed, erosion rates increase. After reinstatement of topsoil temporarily removed from the worksites during construction or at the temporary areas, the soil is less cohesive and is much more easily erodible in wet weather.

565. Soil Contamination During Construction - The principal potential contaminants associated with the construction activities are the same as those listed above for hydrology. The soil can also be contaminated if substances from hazardous waste storage leach into the ground or if large quantities of raw sewage are discharged onto the ground.

566. Aggregate Requirements – Any aggregate required for construction of tower foundations (e.g. fill material beneath tower pads) will be obtained from state licensed quarries and/or borrow pits. Extraction and use of aggregates constitute depletion of non-renewable natural resources. If borrow pits or quarries are poorly sited, extraction can have adverse impacts on ecology, water resources, cultural heritage and communities. Mitigation Measures:

Construction Phase

567. Management Planning – The EPC Contractor will, as part of his Specific Environmental Management Plan (SEMP), prepare and implement a Pollution Prevention Plan and a Reinstatement Implementation Plan. The Plans will include measures to limit soil pollution during the construction phase of the Project and measures to reinstate land affected by construction works.

568. Soil Compaction and Erosion- To avoid compaction impacts outside the cleared areas, i.e. pad sites, vehicle movements will be restricted to defined access routes and demarcated working areas (unless in the event of an emergency).

569. Temporary erosion control measures will be developed and implemented after initial land disturbance and if construction activity on the working areas is suspended over the winter before reinstatement has been completed.

570. If topsoil is stored for more than six months, the stacks will be monitored for anaerobic conditions and manual aeration will be undertaken if they develop. This aims to provide sufficient fertility for reinstatement at the end of the construction period. Stored subsoil and topsoil will be segregated in a manner that avoids mixing. Topsoil stacks along the within the Project area will 123

be free draining. Topsoil will be stored outside the running track used by construction plant, equipment and vehicles. Soil storage areas will be protected from vehicle movements to avoid soil compaction. Keeping the topsoil mounds free from disturbance in this manner will reduce risk of physical damage and compaction.

571. Soil Contamination - The following mitigation measures will be implemented with the aim of reducing the risk of soil contamination:

• The storage of hazardous materials will be restricted to designated impermeable hazardous materials storage areas located at least 50 m from any surface water course or seasonal water channel. • A refueling procedure will be developed by the EPC Contractor, which will include a restriction on refueling within 50m of any watercourse. • The EPC Contractor's will ensure all material safety data sheets (MSDS) are kept on site with the relevant materials. • Materials that can potentially react with each other will be segregated during storage. • Procedures will be established to determine acceptability of material storage and to promote the minimization of storage volumes. • Hazardous chemicals will be securely stored on site in a designated storage area. • Relevant personnel will be trained in safe use and handling of hazardous materials. • Diesel storage tanks at construction camps will be located in suitably sized and constructed bunded areas that are designed to be impervious to water and fuel. The bund volume will be designed to no less than 110% of the tank volume. Loading and off- loading connections will be located over secondary containment. • Regular inspections and maintenance will be carried out of secondary containment areas at camps to confirm that they are functioning effectively. • Information will be incorporated into the Site induction process and will outline the role of personnel in the management of waste and emissions from site and spill response procedures. • Site induction training will be supplemented by regular ‘toolbox’ talks with relevant personnel if inspections or audits highlight failings in waste management. If a spill does occur, the following measures will reduce the associated potential impacts: o Spill response equipment (absorbents etc.) will be available in hazardous materials storage areas. o Relevant construction personnel will be trained in use of spill kits and disposal practices. o Vehicles delivering fuel or hazardous liquids will carry appropriate spill kits to allow an initial response to any spill to be deployed. o All mobile plant (excluding vehicles) will be integrally bunded or will be equipped with a bund or drip tray which will be regularly inspected and emptied to prevent rainwater accumulating.

572. Restoration- To facilitate natural re-vegetation of the pad sites, the separately stockpiled topsoil and vegetation debris will be spread over the surface of the work sites following completion of works. Once the topsoil has been replaced it will be stone picked to remove any large stones which are not in keeping with the surrounding soil texture.

573. Upon completion of subsoil and topsoil reinstatement, the EPC Contractor and PIC will inspect disturbed areas jointly for signs of erosion, slope stability, relief, topographic diversity, acceptable surface water drainage capacity and function, and compaction and implement remedial measures, if necessary.

574. Borrow Pits – Only state licensed borrow pits will be allowed for use. The EPC Contractor will provide copies of the borrow pit operator’s license and permit prior to the PIC before any

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materials from the borrow pit are delivered to site The following practices will be adopted to minimize the risk of soil contamination and topsoil loss:

• The contractors will be required to instruct and train their workforce in the storage and handling of materials and chemicals that can potentially cause soil contamination; • Solid waste generated during construction and at campsites will be properly treated and safely disposed of only in demarcated waste disposal sites; • Construction chemicals will be managed properly; • Clearly labelling all dangerous products; • Fuel tanks (diesel or oil) should be placed in a concrete bunded facility with a storage capacity of 110% of the volume of the fuel stored; • A proper floor drain should be installed on the slab of the concrete pool for safety discharging the leakages

Operational Phase

575. To avoid any kind of leakage due to loss of power supply, WWTP should have a small electrical generator. Soil contamination may also occur during performance of the planned or emergency repair works:

F.2.2.4. Sludge management

Potential Impacts:

Operation Phase

576. The amount of sewage sludge produced is proportional to the amount and concentration of wastewater treated, and it also depends on the type of wastewater treatment process used. It can be expressed as kg dry solids per cubic metre of wastewater treated. The total sludge production from a wastewater treatment process is the sum of sludge from primary settling tanks (if they are part of the process configuration) plus excess sludge from the biological treatment step. For example, primary sedimentation produces about 110–170 kg/ML of so- called primary sludge, with a value of 150 kg/ML regarded as being typical for municipal wastewater in the U.S. or Europe43. The sludge production is expressed as kg of dry solids produced per ML of wastewater treated; one mega litre (ML) is 103 m3. Of the biological treatment processes, the activated sludge process produces about 70–100 kg/ML of waste activated sludge, and a trickling filter process produces slightly less sludge from the biological part of the process: 60–100 kg/ML44. This means that the total sludge production of an activated sludge process that uses primary sedimentation tanks is in the range of 180– 270 kg/ML, being the sum of primary sludge and waste activated sludge.

43 Tchobanoglous, George; Burton, Franklin L.; Stensel, H. David (2003). Wastewater engineering : treatment and reuse (4 ed.). Metcalf & Eddy. p. 1449. ISBN 978-0071122504.

44 Biosolids Generation, Use, and Disposal in The United States (PDF) (Report). EPA. September 1999. p. 2. EPA530- R-99-009. Retrieved 30 May 2017.

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577. By considering the present-day situation in Balshakh, 16 500 000 liters of wastewater is originated annually. Based on the available statistics, 2970-4455 kg (average 3700 kg) sewerage sludge is originated annually as a result of the WWTP operation.

534. As mentioned above, the excess sludge would be treated in two steps: Aerobically stabilized and gravitationally thickened in the excess sludge tank, and then, dewatered with mechanical dewatering equipment.

535. At this stage, it is possible to consider two options of sludge management and final disposal: (i) using sludge as a fertilizer, and (ii) disposing sludge to the landfill. As soon as it is possible to use sludge as a fertilizer, owing to its chemical composition, surely, this option will be preferred. Otherwise, the sludge will be disposed to the landfill.

536. At the stage of the conceptual design, the landfills where the sludge will be disposed are not specified. At the stage of developing the detailed design, the concrete landfill where the sewage sludge is to be disposed will be specified. The landfill will be selected based on the following criteria: (i) the waste sludge must be disposed to as near location from its origination site as possible to avoid the transportation of the sewage sludge to long distances, (ii) the landfill must be bordered to prevent domestic animals from penetrating it, and (iii) the landfill must have sufficient area to have a separate cell for sludge disposal.

537. Starting from sludge treatment at WWTP through its final disposal, biogas production is another desirable option to consider. In an environmental respect, this option is the most acceptable one. The main disadvantage of this option is high initial cost and the need for additional area. At the same time, it should be noted that the biogas method will produce the following financial benefits for the project: (i) with biogas production, ¾ of the greenhouse gases produced by the WWTP will be neutralized; (ii) the produced gas will be possible to use for different purposes, including for power generation, (iii) biogas production will reduce the propagation of harmful substances in the air by 75% and virtually, the risk of propagation of objectionable odor will be zero, and (iv) after harmful substances are isolated from the sludge (methane in particular), the quality of the sludge as that of the fertilizer will be improved.

538. At the given stage, the preliminary conceptual design developed within the scope of the project does not consider biogas method. Both, the economic and environmental benefits of the given approach are desirable to consider at the stage of development of the detailed design.

539. In view of the lack of national legislation with regard to the use of sludge in agriculture, European regulations shall be considered in case the sludge will be used as fertilizer. Sludge Management Plan Preparation guidelines are presented in Annex 3 of this report.

540. According to European legislation the use of sludge is prohibited:

• on grassland or forage crops if the grassland is to be grazed or the forage crops to be harvested before a certain period has elapsed (this period may not be less than three weeks); • on fruit and vegetable crops during the growing season, with the exception of fruit trees; • on ground intended for the cultivation of fruit and vegetable crops which are normally in direct contact with the soil and normally eaten raw, for a period of ten months preceding the harvest and during the harvest itself.

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541. USA regulations related with the federal biosolids (treated sewage sludge) rule described in the EPA publication is contained in 40 CFR Part 503. Biosolids that are to be land applied must meet these strict regulations and quality standards. The Part 503 rule governing the use and disposal of biosolids contain numerical limits, for metals in biosolids, pathogen reduction standards, site restriction, crop harvesting restrictions and monitoring, record keeping and reporting requirements for land applied biosolids as well as similar requirements for biosolids that are surface disposed or incinerated. Most recently, standards have been proposed to include requirements in the Part 503 Rule that limit the concentration of dioxin and dioxin like compounds in biosolids to ensure safe land application.

542. Sludge and soil on which it is used must be sampled and analyzed. Sludge shall be analyzed for heavy metals every 12 months. The limit values are given in the Table 42 below.

Table 42: Limit Values Heavy Metals Limit values for Limit values for Limit values for concentrations of heavy metal amounts of heavy heavy metals in soils concentrations in metals which may be sludge added annually to agricultural land mg/kg of dry matter mg/kg of dry matter mg/kg of dry matter Cadmium 1-3 20 – 40 0.15 Copper 50 - 140 1000 - 1750 12 Nickel 30 -75, 300 – 400 (3) 30 -75, 300 – 400 (3) 30 -75, 300 – 400 (3) Lead 50 - 300 750 – 1,200 15 Zinc 150 - 300 2500 – 4000 30 Mercury 1 - 1,5 16 - 25 0,1

543. If the sewerage sludge is impossible to use as a fertilizer, it will be necessary to dispose to the landfill. Balkhash municipal landfill is located 5 km from the city. The landfill is not fenced and all types of waste are disposed on it. The city of Balkhash has no hazardous waste polygon. In 2019, the landfill was subjected to local company “DD-Jol” management for 10 years. The company undertook the obligation to improve the existing landfill. It is planned to fence the landfill and install the scales and separation line in it. If by the stage of the WWTP operation, Balkhash landfill meets the environmental requirements, the sewerage sludge will be disposed on the said landfill. Otherwise, it will be necessary to find an alternative landfill.

544. Following the above-mentioned, for Balshak, it will be necessary to identify a new territory for safe final disposal of the sewerage sludge. As already mentioned, maximum 4455 kg of sewerage sludge is originated in the WWTP operation stage annually, what, following its specific weight, is equivalent to approximately 18 m3 (approximately 300 kg in volume equals 1 m3). The volume of the sewerage sludge originated for 50 years in terms of a 3% increase, will make 1200 m3. In order to dispose 1200 m3 solid sewerage sludge at the height of 1 m, 0.2 ha area (with relevant infrastructure) is sufficient.

545. As a conclusion we may say that if the sewerage sludge is impossible to use as a fertilizer following its inferior quality, for Balkhash, within the scope of the project, a 0.2 ha area will be identified and improved for final sludge disposal. The design-build contract will update the final IEEs with the option/s finalized for sludge disposal and/or utilization (e.g. through biogas generation, fertilizers, etc.). The project can be implemented once the IEEs are finalized with the above requirements.

Mitigation Measures:

Operation Phase 127

• Water pressure in the pipelines must be continuously monitored during entire operation phase. In addition, the relevant mitigation measures shall be implemented during maintenance works. • Depending on the class of WWTP, it is required to develop a plan for disposal of sludge to the dump site. The plan has to be agreed with the MoEGNR of Kazakhstan. • Need to have a modern laboratory facility. It is required that WWTP has modern facility of laboratory to enable test on toxicity and heavy metal content. • During the first operating year the sludge management and disposal plans should be developed, focusing on testing to see how much of the material can be used in agriculture. These tests will be for toxic and hazardous material content such as chromium and cadmium. This plan will be agreed with the MoEGNR of Kazakhstan.

F.2.2.5. Hydrological Resources

546. This section discusses potential impacts on hydrology (both surface and groundwater) during construction and operation of the Project and associated mitigation measures to be adopted. The following Project activities in the construction phase of the Project could affect surface water resources in the Project area:

• Discharge of domestic wastewater from camps into watercourses. • Accidental release of potential contaminants (e.g. fuel, hazardous waste, chemicals). • Disruption of flow during crossing of irrigation ditches and sais from the construction of access roads. • Increased sediment run-off from the tower pad sites, construction camp and storage areas after vegetation and soil stripping, until the area has re-vegetated after reinstatement.

Sensitive Receptors:

547. The most sensitive receptor of surface water is Balkhash Lake, which is found 18 km from the project zone. Relatively closer is located Ak-Shoky storage pond. The wastewater which will not be reused will be pumped to the Ak-Shoky storage pond, where untreated wastewater has been discharged until now. The mentioned Ak-Shoky storage pond used as evaporator. As a result of drilling in the project area, no groundwater was fixed at the depth of 8 m. consequently, within the scope of the project, the underground waters are sensitive receptors with a less probability.

Potential Impacts:

Construction Phase

548. The Project will involve the use or generation of some or all of the following materials that have the potential to contaminate surface waters:

• Fuels and lubricating oils. • Paints and solvents. • Leachate from hazardous waste storage areas at camp sites. • Raw sewage from camp sites.

549. The surface water may be contaminated due to improper placement of the excavated soil, poor management of construction camps, and improper storage of construction materials and leakage of fuel and lubricates from construction machinery.

550. Discharge of wastewater to watercourses is only allowed with the permission from sanitary and

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epidemiological service and fisheries; at the same time, composition of wastewater must comply with requirements of SanPiN No.3.02.002.04 for protection of surface water from pollution.

551. In order to prevent negative impacts on water bodies, water protection zone is established for a river. Dimensions of the water protection zone on each side from the middle summer-period bank line for small rivers (up to 200 km length) is 300 m; for the rest of the rivers:

• with simple conditions for household use and favorable environmental conditions in the catchment area - 500 m; • with complex conditions of household use and intense environmental conditions in the catchment area - 1000 m.

552. In water protection zones of rivers, pollution of the earth’s surface, especially landfills, waste production, as well as parking, fueling, washing and repair of motor vehicles and road equipment is prohibited. The perpetrators are liable in accordance with legislation for pollution and contamination of waters, structures commissioning works without devices to prevent pollution and contamination of waters, wasteful water use, violation of water protection regime in catchment areas and other violations.

553. According to the Instructions for Approval and Issuance of Permits for Special Water Use in the Republic of Kazakhstan, the Contractor should get a permit for water use during the road reconstruction.

554. Works within the water-protection zone can be allowed with special permit issued by the territorial departments of the Committee for Water Resources of the Ministry of Agriculture of the RK.

Operation phase

534. In general, operation of the WWTP will have large positive impact on the quality of the groundwater and the natural basin of Ak-Shoky located 25 km northwest of Balkhash urban area and 18 km north of Lake Balkhash. There are large positive impacts on the social environment elements: improved water supply of populated areas due to good quality of the groundwater, and improved health of the population as a result of the improved quality of drinking water.

535. The risk of surface water pollution in the operation phase is low. Pollution of surface waters may be the case during the planned or non-scheduled rehabilitation works or repairs (maintenance), as well as in case of emergency water discharge. The surface water may also be contaminated due to improper storage of construction materials and leakage of fuel and lubricates from construction machinery.

536. As far as operation failure/emergency of WWTP is concerned, there should be provisions for zero tolerance on failures during operation. During normal operation once the processes are stabilized, one can't foresee a longer failure of operations, and the failures are largely due to failure of mechanical or electrical parts, which can be rectified very easily. In most of the instances, such failures not necessarily bring down full operation (e.g. failure of one aerator, or a pump), as there is always sufficient standby built in WWTP design. For this purpose, there has to be 100% power back-up, and sufficient spare parts to rectify any such failures within shortest possible time.

537. Emergency sludge grounds are needed to discharge sludge in case of emergency at a mechanical sludge dewatering shop. Within the scope of the present project, the emergency sludge grounds are envisaged for emergency discharges of sludge in case of emergency at a mechanical dewatering shop, in accordance with the requirements of 4.01-03-2013 Building Standards of the Republic of Kazakhstan. The needed area of emergency sludge grounds (20%) 129

will be 0.0460 ha. The total area of the existing emergency discharge pond, is 2.1 ha and located next to the WWTP.

538. The operation of WWTP will generate treated wastewater. Treated wastewater will be discharged into the Ak-Shoky storage pond. The treated water is classified as a water for cultural and domestic purposes (Category II). According to the Sanitary rules45 of the Republic of Kazakhstan the Maximum Allowable Concentration for recreational water bodies are presented in the table below. After commencement of WWTP operation the quality of the surface water will be significantly improved. The quality of the effluent will be in accordance with National regulations and can be discharged into the surface water. The main parameters are summarized in the Table 43 below.

539. The treated water corresponds to the quality of water for reservoirs of cultural and domestic water use. The water of the given quality can be used to water green plants or to meet the technical needs of the plants with their demands for technical water corresponding to the parameters of the water of cultural reservoirs. As before putting the sewage treatment facilities at large industrial enterprises to operation, they did not confirm the use of treated water for their technical needs, the present feasibility study envisages the water discharge into the Ak-Shoky storage pond.

Table 43: Effluent Standard parameters for treated water. They correspond to the parameters of water for water bodies of category II (water bodies of cultural and domestic water use)

MAC of pollution in The expected Parameters reservoirs for cultural concentration of purposes, mg / l treated water, mg / l pH 6,5÷8,5 6,5÷8,5 Suspended matter (SS) 15,0 15,0 BOD5 6,0 6,0 COD 30,0 30,0 Ammonium Nitrogen 2,0 1,0 Nitrates 45,0 45,0 Nitrite 3,3 3,0 Phosphates 3,5 1,5 Chlorides 350 350 Surfactant 0,5 0,5 Iron is common 0,1 0,1 Copper 0,036 0,036 Zinc 0,033 0,033 Molybdenum 0,02 0,02 Temperature 10÷20 10÷20

Mitigation Measures:

45 “Sanitary and epidemiological requirements for water sources, places for water intake for household and drinking purposes, domestic and drinking water supply, places for cultural and domestic water use and the safety of water bodies" - approved by the order of the Minister of National Economy of the Republic of Kazakhstan dated March 16, 2015 No. 209.

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Construction Phase

555. Regional departments of the Committee for Water Resources and Akimats in consultation with the Contractors must ensure that water withdrawal is carried out from the existing wells (for construction activities) and from water supply systems (for household needs of the camps, etc.). The contractor shall be responsible for obtaining all permits from Akimats and competent authorities required for use of surface and ground water. No water shall be used without special water use permit.

556. The following mitigation measures shall be implemented:

• Management Planning – The EPC Contractor will, as part of his Specific Environmental Management Plan (SEMP), prepare and implement a Pollution Prevention Plan. The Plan will include measures to limit surface and groundwater pollution during the construction phase of the Project. • Water Quality – The EPC Contractor will be responsible for implementing his Pollution Prevention Plan which will include the following measures to reduce the risk of surface water contamination: • Concrete batching (if required) will be sited at least 50m away from sensitive receptors such as watercourses; wash pits to be lined with an impermeable liner. • Domestic sewage from camps will be stored and transported to water treatment works or treated through a dedicated site sewage water treatment plant before discharge to ground or surface water. • All wastewater discharges will be in compliance with the national standards (MPDs) • Where works are in progress, erosion control and sedimentation facilities including sediment traps and straw bale barriers or combinations thereof will remain in place. • Lubricants, fuels and other hydrocarbons will be stored at least 100m away from water bodies. • Topsoil stripped material shall not be stored where natural drainage will be disrupted. • Solid wastes will be disposed of properly (not dumped instreams). • Guidelines will be established to minimize the wastage of water during construction and at camp sites. • During construction, machinery and transport will be used by the contractor; both have potential of causing contamination to underground and above ground water assets. There is need to compile temporary drainage management plan before commencement of works. • Proper installation of temporary drainage and erosion control before works within 50m of water bodies should be done. • lubricants/fuels should be placed in drip tray or bunded area to 100% of volume stored. • Should any accidental spills occur immediate clean-up will be undertaken and all clean- up materials stored in a secure area for disposal. Disposal of such was will be undertaken by a waste management company contracted by the contractor. The waste management company must have the required licenses to transport and dispose of hazardous waste before any such waste is removed from the site. The Contractor will keep copies of the company’s licenses and provide waste transfer manifests at his camp site for routine inspection by the engineer.

Operational Phase

557. In general, operation of the WWTP will have large positive impact on the quality of the 131

groundwater, the bottom sediment and the most of all on the water quality of the Ak-Shoky storage pond. There are large positive impacts on the social environment elements: improved water supply of populated areas due to good quality of the groundwater, and improved health of the population as a result of the improved quality of drinking water.

558. The operation of the wastewater treatment plant involves various processes: Screening, Sedimentation, Aeration, Final sedimentation, Sludge thickening.

559. The wastewater treatment will generate waste, which will comprise of the following:

• Screenings from coarse and fine screen; • Grit from aeration; • Sludge from biological treatment.

560. As far as operation failure/emergency of WWTP is concerned, there should be provisions for zero tolerance on failures during operation. During normal operation once the processes are stabilized, one can't foresee a longer failure of operations, and the failures are largely due to failure of mechanical or electrical parts, which can be rectified very easily. In most of the instances, such failures not necessarily bring down full operation (e.g. failure of one aerator, or a pump), as there is always sufficient standby built in WWTP design. For this purpose, there has to be 100% power back-up, and sufficient spare parts to rectify any such failures within shortest possible time.

561. Emergency sludge grounds are needed to discharge sludge in case of emergency at a mechanical sludge dewatering shop. Within the scope of the present project, the emergency sludge grounds are envisaged for emergency discharges of sludge in case of emergency at a mechanical dewatering shop, in accordance with the requirements of 4.01-03-2013 Building Standards of the Republic of Kazakhstan. The needed area of emergency sludge grounds (20%) will be 0.0460 ha. The total area of the existing sludge grounds (2 sludge yards), is 1.1 ha. An emergency discharge of the sludge on the sludge grounds will be done by switching the force main of the pumping station for supplying the compressed sludge.

562. The operation of WWTP will generate treated wastewater. As commented, treated wastewater will be discharged into natural basin of Ak-Shoky used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city and 18 km from the lake Balkhash. After commencement of WWTP operation the quality of the surface water will be significantly improved. The quality of the effluent will be in accordance with European and National regulations and can be discharged into the surface water - a storage pond used as evaporator, located in the natural basin of Ak-Shoky, without harm.

Measures to achieve maximum permissible discharge standards

563. To achieve the calculated concentrations, water protection measures are required aimed at increasing the degree of wastewater treatment, primarily due to low-cost measures:

• Continuous laboratory monitoring; • Analysis of the operation of each structure/facility in order to determine the effectiveness of wastewater treatment; • Timely response measures for emergency response; • Strict adherence to the technological regulations for the operation of structures; • Timely implementation of maintenance work; • Monitor the sanitary condition of the drainage ditch before discharge into the storage pond used as evaporator, located in the natural basin of Ak-Shoky, within a distance of 25 km from the city and 18 km from the lake Balkhash.

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F.2.2.6. Noise and Vibration

564. This section discusses the impacts of noise and vibration during construction and operation of the Project and associated mitigation measures to be adopted. The following planned Project activities could generate noise and vibrations in the Project area during construction:

• Logistics and use of access roads by construction vehicles. • Construction camp operations (including generators). • General activities in construction camps. • WWTP construction.

Sensitive Receptors:

565. In general, the WWTP does not interfere with residential areas and the design area is distanced from the residential properties by 2,5km. Consequently, the settled areas cannot be viewed as receptors of the noise and vibration originated in the construction and operation phases. Noise and vibration will have an impact on the representatives of the scarce local fauna. Vibration will have a particular impact on the rodents living underground. The personnel employed in the construction phase are also considered as sensitive receptors.

Potential Impacts: Construction Phase

566. Noise and vibration are likely be generated by large construction equipment, including bulldozers, excavators, trucks, concrete mixers, and power generators, diverted traffic, etc. As it is known, construction site is far away (2.5km) from the residential buildings and therefore noise and vibration impact will be low on sensitive receptors.

567. The combination of machinery being used at any one time during the construction process at the tower sites will vary and noise levels will fluctuate accordingly. In a worse-case scenario construction noise will be less than 65 dB(A) and will not cause nuisance at a distance of about 500m. Moreover, construction work will be temporary and discontinuous.

568. It is possible that some construction traffic moving through the city of Balkhash to the WWTP construction sites may induce some very low levels of vibration. No vibration impacts from WWTP construction site are anticipated due to the distance of properties from the WWTP construction site.

569. Vibration from the construction activities is a cause concern to the community. The effects of vibration vary and depends on the magnitude of the vibration source, the particular ground conditions between the source and receiver, presence of rocks or other large structures in the area. The intensity, duration, frequency and number of occurrences of a vibration all play an important role in both the annoyance levels caused and the strains induced in structures.

570. Sources of vibration includes construction equipment movement, pile driving, compaction, hammering (hydraulic or pneumatic) and operation of generators. The propagation of vibration from construction activities are different in nature from the vibration from blasting. The construction activities are undertaken essentially on ground surface and spreads basically as two-dimensional waves.

571. Table 44 provides an indication of the approximate vibration levels that may be expected for various vibration sources.

Table 44: Approximate Vibration Levels for Various Sources 133

Activity Typical levels of ground vibration Vibratory rollers Up to 1.5 mm/s at distances of 25 m Higher levels could occur at closer distances; however, no damage would be expected for any building at distances greater than approximately 12 m (for a medium to heavy roller) Hydraulic rock breakers (levels typical of a 4.50 mm/s at 5 m large rock breaker operating in hard 1.30 mm/s at 10 m sandstone) 0.4 mm/s at 20 m 0.10 mm/s at 50 m Compactor 20 mm/s at distances of approximately 5 m, 2 mm/s at distances of 15m. at distances greater than 30 m, vibration is usually below 0.3 mm/s Pile driving/removal 1 to 3 mm/s at distances of 25 m to 50 m depending on soil conditions and the energy of the pile driving hammer Bulldozers 1 to 2 mm/s at distances of approximately 5 m. at distances greater than 20 m. vibration is usually below 0.32 mm/s Air track drill 4 to 5 mm/s at a distance of approximately 5 m, and 1.5 mm/s at 10 m. at distances greater than 25 m, vibration is usually below 0.6 mm/s and at 50 m or more, vibration is usually below 0.1 mms Truck traffic (over normal (smooth) road 0.01 to 0.2 mm/s at the footing of buildings surfaces) located 10 to 20 m from a roadway Truck traffic (over irregular surfaces) 0.1 to 2.0 mm/s at the footings of buildings located 10 m to 20 m from a roadway

Operational Phase

572. The level of noise and vibration in the operation phase is low, as all installations are located in the closed space what drastically reduces the possibility of noise and vibration propagation. Consequently, no additional mitigation measures will be necessary to reduce the noise and vibration levels in the operation phase.

Mitigation Measures:

Construction Phase

573. During the construction phase the following mitigation measures will be taken:

• Time and activity constraints. In case if construction sites will be in proximity to residential buildings operations will be scheduled to coincide with periods when people would least likely be affected; work hours and workdays will be limited to less noise-sensitive times.

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Hours of-work will be approved by the engineer having due regard for possible noise disturbance to the residents or other activities. Construction activities will be strictly prohibited between 10 PM and 7 AM in the residential areas. When operating close to sensitive areas such as medical facilities and schools, the contractor’s hours of working shall be limited to 8 AM to 6 PM; • Use temporary noise barriers while working in sensitive locations in case accidence of allowable limits is expected. Placing the barrier close to the source proves to be effective. • Give notice as early as possible to sensitive receptors for periods of noisier works such as excavation. Describe the activities and how long they are expected to take. Keep affected neighbors informed of progress. • Within normal working hours, where it is reasonable to do so:

- schedule noisy activities for less sensitive times. - provide periods of respite from noisier works (for example, periodic breaks from jackhammer noise).

• The weekend/evening periods are important for community rest and recreation and provide respite when noisy work has been conducted throughout the week. Accordingly, work should not usually be scheduled during these times. • All mechanical plant is to be silenced by the best practical means using current technology. Mechanical plant, including noise-suppression devices, should be maintained to the manufacturer’s specifications. Internal combustion engines are to be fitted with a suitable muffler in good repair. • Fit all pneumatic tools with an effective silencer on their air exhaust port. • Install less noisy movement/reversing warning systems for equipment and vehicles that will operate for extended periods, during sensitive times or proximity to sensitive sites. Occupational health and safety requirements for use of warning systems must be followed. • Turn off equipment when not being used. • All vehicular movements to and from the site to only occur during the scheduled normal working hours, unless approval has been granted by the engineer. • Where possible, no truck associated with the work should be left standing with its engine operating in a street adjacent to a residential area. • Provision of noise protection kits such as ear plug, earmuff, for workers who are working in the area with noise level is higher than 85 dB(A). • The site-specific EMPs will be developed prior to the start of the construction works. They will contain procedures and plans to ensure that the mitigation measures and monitoring requirements are implemented during the construction period. All civil works will be designed and implemented in accordance with environmentally sound engineering practices and governed by the relevant environmental standards. • Prior to the commencement of any activity, the Contractor shall identify whether any machinery or planned action will cause significant vibration. If is the answer is yes, the Contractor is to undertake a condition survey of all structures within the zone of influence; • The Contractor shall monitor vibration at the nearest vibration-sensitive receptors at the start of and during use of non-blasting equipment causing vibration. If vibration levels are monitored and found to exceed the vibration threshold according to relevant criteria, the Contractor shall modify the construction activities until compliance with the criteria has been achieved.

F.2.2.7. Biodiversity

574. This section discusses the impacts of the Project on flora and fauna during construction and operation of the Project and associated mitigation measures to be adopted. The primary impacts associated with construction come from vegetation clearance and topsoil removal activities within the working area. Additional impacts can arise from a range of associated activities including (but not limited to) the following: 135

• Pollution from construction; • Vehicle mobilization, including transport of people and equipment within the works area; and • Construction and use of compounds, field working camps construction and operation, including the effects of the production of wastes and indirect pressure of workers’ presence.

Sensitive Receptors: 575. The representatives of scarce flora and fauna can be considered as sensitive receptors in the project area, as well as fish fauna of Ak-Shoky storage pond. The Ramsar Site Ile River Delta known for its diversity of migratory birds is located 50 km far from the project zone.

Potential Impacts: Construction Phase

576. The project territory is located on an urbanized and technologically developed territory, habitats and species of flora and fauna of high conservation value are not presented in the project areaand therefore, construction activities will not have a significant adverse impact on the local ecological resources since they are in areas that have already been affected by human activities for a long period. Construction activities are expected to impact only a small land allocated for WWTP construction including bushes, and potential cutting of trees on the WWTP area and along the access road.

577. Dust, depending on the chemical composition, has a specific effect on plants caused by the penetration of harmful compounds into the leaves tissues. At the same time, accumulation of compounds in plant tissues causes disturbance of metabolic functions of the organism, reducing the amount of photosynthetically active energy absorbed by leaves and results in acceleration of the aging processes.

578. Slight adverse impact on flora and fauna directly from the construction activities is possible only during the construction period due to the random construction equipment movement outside the construction site. In conclusion, the natural flora and fauna species may be potentially adversely impacted by the construction activities; however, these impacts are unlikely to be significant.

Operation phase

579. Operation of the wastewater supply components of the subproject will not have any significant negative impact on the biological environment.

Mitigation Measures:

Construction phase

580. Based on the above-specified, field studies and discussions, the following measures need to be implemented to avoid any impacts on flora and fauna:

• The worksite shall be fenced. Vehicle movements will be restricted to defined access routes and demarcated working areas (unless in the event of an emergency) to reduce unnecessary impacts to habitat. Sensitive habitats that need to be avoided during construction will be marked for protection. • Avoid tree cutting, in unavoidable cases compensation planting will be undertaken to offset the essential removal of any trees. An inventory will be made of all trees felled during the Project construction phase, in accordance with the requirements of national legislation.

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• The trench shall not be kept open in the night/after working hours. This will avoid any safety risk to animals. • Reducing use of salts and chemical materials to disperse snow and ice in winter period, so that soils, plants, animals and birds are not adversely affected. An alternative for salt and other chemicals replacement can be friction materials such as sand or gravel; • Reducing dust pollution may occur in good maintenance of the construction site, regular cleaning and watering for reduction of negative effect on vegetation. • In addition, all vehicles and cargo transportation means, including construction machinery, should be covered with tarpaulins or other suitable covers.

581. Considering the nature of the project and the types of works envisaged, there will be no significant loss of flora or habitat.

F.2.2.8. Economy, Employment and Livelihoods

582. This section discusses the impacts of the Project on the economy, employment and livelihoods during construction and operation of the Project and associated mitigation measures to be adopted. A discussion of land acquisition and compensation is provided below under the section on Land Use.

583. Project activities will provide opportunities for companies at the international, national, and possibly regional, level to supply goods and services. The Project is expected to affect the local economies, employment, skills and livelihoods primarily by:

• Employing local people temporarily to carry out construction work on the Project. • Local purchases of goods and services directly by the Project and workers, particularly in communities located in the vicinity of construction workforce camps. • Potential in-migration of individuals/households to take advantage of economic opportunities created by the Project.

584. Other Project activities that have the potential to affect livelihoods are:

• Atmospheric emissions (especially dust) that cause a decline in crop productivity. This is discussed above in the section relating to Air Quality. • Impacts to productive land. This is discussed below under the heading of Land Use.

Key Sensitivities:

• High expectations among local people that they will be employed. • Concern that jobs should be given to local people and only to non-locals where no suitably qualified locals are available. • Concern that jobs will not be allocated fairly between communities. • Job availability for women. • Food and healthcare costs.

Potential Impacts: Construction Phase

585. In the construction phase the following beneficial impacts may occur:

• Direct employment generation will be provided through the construction phase. Construction works are anticipated to be carried out by an internationally recognized Contractor, selected through a transparent, competitive bidding process, with a stipulation on the portion of jobs available to local workers. Work assignments for some of the construction personnel are 137

expected to be short-term and may not require deployment for the full construction period, because different qualifications and abilities will be required at different stages of the construction process. • The workforce engaged in construction of the Project, including local workers and expatriate personnel of the contractor, will be accommodated in residential facilities to be determined by the contractor. Selection of the camp sites(s) will be undertaken in consultation with local communities, the KazCenter and the Engineer. • The Contractor has the role of determining the number of workers to be engaged during construction. However, it is estimated that a construction workforce of approximately 150-200 people will be required for 21 months, comprising 58% skilled labor, 20% semi-skilled labor and 22% unskilled labor, however the exact figure will be dependent on the Contractors resourcing design. • The construction workforce, at the completion of the works, will be demobilized. The construction workforce will be engaged by the Contractor or subcontractors, and as such, may be re-deployed to other projects and work locations at the end of construction works, however this will be at the discretion of the Contractor or subcontractors. • Indirect workforce and business opportunities during construction phase will include for suppliers and service providers to meet the needs of construction team. This will include providing food supplies, security, vehicles, transportation services and fuel, as well as catering, laundry, cleaning and sanitation in workers’ accommodation. • Demand for various materials and services will support growth and diversification of the local business environment, noting that the availability, quality, quantity, and reliability of supply of the goods and services from within the Project area may be limited by a lack of depth in local business capability. As such, some goods and services for the Project may still need to be sourced from elsewhere in Kazakhstan or internationally as necessary.

540. The following adverse impacts may occur:

• Un-met employment expectations. • Resentment between local people who are employed by the Project and those whose applications were unsuccessful. • Frustration and resentment if local workers perceive that foreign workers are receiving better pay or conditions for exactly the same job. • Resentment from business owners whose offer of goods and services is refused. • Tensions resulting from cultural differences, anti-social behavior of construction workforce, potential prostitution and attraction of ‘economic migrants’ at camp sites. This is discussed further below under Community Health and Safety. • Increased inflation, particularly of food and housing costs. • Accidents to livestock resulting in loss of income/adverse livelihood impact. This is discussed further below under Community Health and Safety. • Local small- and medium-sized enterprises and public-sector organizations ’losing’ key workers to the Project.

541. Subsistence farmers taking up jobs and land being neglected making it difficult to re-start farming when jobs cease following retrenchment.

Mitigation Measures:

586. Employment - Targets for local recruitment from the local communities will be agreed with the EPC Contractor and PMU. The Project will seek to manage employment expectations by explaining the number and type of opportunities in advance to local communities via the PMU Safeguards Specialist. Unskilled labor will be preferentially recruited from the Project affected communities. Applications for employment will only be considered if submitted via the official application procedure.

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587. Recruitment procedures will be transparent, public and non-discriminatory and open with respect to ethnicity, religion, sexuality, disability or gender. Clear job descriptions will be provided in advance of recruitment and will explain the skills required for each post. Job vacancies will be advertised in the local communities through appropriate and accessible media (consistent with employment targets).

588. Procurement of goods and services- Environmental considerations will be included in the Project procurement process. A plan will be developed and implemented that will aim to discourage and prevent the workforce from purchasing goods from informal vendors, to discourage vendors from establishing themselves at construction camp fence-lines in the hope of securing additional business. Taking into account relevant commercial considerations as appropriate, the Project will seek to purchase goods and services from within Kazakhstan and will monitor such purchases.

589. Community relations - A Company policy limiting alcohol consumption in construction camps will be applied by the EPC Contractor. An employee Code of Conduct will be prepared and issued to all recruits and camp residents during the employee induction process. The Project will review measures to mitigate community health and safety impacts regularly, and consult community leaders every six months, informing them on the status of implementation and results, and discussing any changes needed to the ‘Pollution Prevention Plan’ or the ‘Community Health, Safety and Security Plan’ in advance of proposed changes.

590. The Employee Code of Conduct will prohibit the workforce from participating in illegal activities, including use of illegal drugs, bribery and corruption or requesting or receiving gifts from communities. The EPC Contractor company policy limiting alcohol consumption in construction camps will be applied.

591. Workforce training will include a briefing on camp rules and awareness of local social issues and sensitivities. No unauthorized access to, or use of, camp facilities will be allowed.

592. No hunting, fishing and unauthorized gathering of products (including plants and cultural heritage artefacts) by the workforce will be allowed.

F.2.2.9. Land Acquisition and Compensation

593. This section discusses the issue of land acquisition and compensation and associated mitigation measures to be adopted. Aspects of the Project that have the potential to cause Land Acquisition and Compensation are:

• Permanent land acquisition required for the construction of WWTP facilities. Land acquisition may also be necessary to build the access road. At the stage of detailed design development, it will be clear if it is necessary to rent the land temporarily to provide a construction camp or warehouse facility on it. Besides, all entities using land plots either legally, or illegally to gain income, will receive compensation, if as a result of the project construction or operation, they lose the given source of income either permanently, or temporarily.

Sensitive Receptors and Potential Impacts 594. The layout drawing (Figure 4) of the WWTP site shows the new proposed facilities. There is enough space to accommodate the new buildings and structures. Therefore, no additional land is needed for implementing the new WWTP construction. Since the site of the WWTP is located on the outskirt of the city, there is no potential impact on the planned expansion areas for the City. The closest neighboring residential area is far from WWTP territory and consequently, there will be no involuntary resettlement. 139

595. In the eventuality, the detailed final design requires additional land outside the existing boundaries of the WWTP, a resettlement plan (LARP), based on the project’s Land Acquisition and Resettlement Framework (LARF) and reviewed by ADB, will be required.

Mitigation Measures:

596. Land Use (permanent and temporary) - The key mitigation for land use is implementation of the LARP.

597. LARP Implementation will start after the endorsement of the final LARP by the government and approval by ADB. The EA shall plan all activities related to the land acquisition and resettlement to ensure that compensation is paid before taking possession of land and commencement of civil works. Public consultation, monitoring, and grievance redress will be undertaken intermittently throughout the project duration. Construction will be initiated when all compensations and entitlements are fully paid. The completion of LARP implementation will be documented through the LARP implementation compliance report submitted by the EA/PMU and approved by ADB.

F.2.2.10. Waste Management

598. This section discusses the impacts of waste management during construction and operation of the Project and associated mitigation measures to be adopted. The following aspects of the Project are likely to generate waste:

• Construction camp waste, including domestic and liquid wastes. • Hazardous waste (Paint sludge and waste, Solvents and chemical waste, Paint and solvent cans, Oil filters, Oil and Lubricants, Batteries, Tires, Oily rags, Oily soils, Light bulbs) and non-hazardous waste from construction sites. Sensitive receptors:

599. The sensitive receptors are the local environment within and around the WWTP facilities. Local communities will not be affected by the waste since residential buildings are located in 18km distance from the construction site. Improper management and disposal of liquid and solid wastes could result in localized pollution of soils and groundwater. Pollution of surface water is considered unlikely.

Potential impacts:

Construction Phase

600. Construction activities will likely generate construction wastes, including spoil materials, and other debris. Spoil material and other construction waste will also be produced during the concrete laying works. Household wastes will be generated by contractor’s workforce throughout construction period. Small quantities of hazardous wastes will be generated as a result of vehicle operations and the maintenance activities. Medical waste is generated in the Medical Care and Control Point within the camp site and belongs to hazardous waste category. This waste is collected in special plastic boxes and is transferred to a contractor for farther incineration. It is recommended that the medical waste is directly transferred to a contractor from the place of its consolidation.

601. If construction waste, from camp sites, ancillary facilities and work sites is not managed correctly, it can lead to numerous impacts on the environment and the local community. As

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examples; Illegal dumping of inert waste, e.g. waste concrete, can be unsightly, washing out of concrete mixers close to rivers can have impacts to water quality, poor storage and disposal of hazardous liquids can lead to contamination of soils and groundwater. Uncontrolled discharges of sewage and ‘grey water’ (e.g. from washrooms and canteens) from construction sites and worker’s camps may cause odors and pollute local water resources. As well as being a cause of complaints by the local population, this may lead to contravention of local regulations and fines being imposed on the Contractor.

602. Disposal of waste materials from worksite can be difficult to manage due to the de-centralized nature of the works. Without suitable waste containers and without adequate training, workers could dump waste materials haphazardly around the work sites which could create pollution events.

Operation Phase

603. Minor amounts of waste will be originated in the operation phase, at the stage of planned and non-planned rehabilitation works and repairs. The said waste may be either hazardous, or non- hazardous. Large amounts of sewage sludge will be originated in the WWTP operation phase, which, as per the project, will be used as fertilizer in agriculture. The sludge will be used as a fertilizer only in case it meets the requirements of relevant standards. If the treated sludge is polluted with harmful substances and it is impossible to use in agriculture, further sludge management will be provided as that of waste. Under the project, the sludge will be disposed to the landfill.

Mitigation Measures:

Construction Phase

604. Management Planning – The EPC Contractor will, as part of his Specific Environmental Management Plan (SEMP), prepare and implement a Waste Management Plan. The Plan will include measures to limit impacts of waste during the construction phase of the Project. The plan shall include the following items listed below.

General Measures • To ensure waste management is adequately controlled during both the construction phase of the Project, the EPC Contractor will be responsible for ensuring that the waste hierarchy is followed including prevention, minimization, reuse and recycling. • The impact of waste generation on environment during construction will be mitigated by proper storage, maximum reuse and recycling of waste and timely removal of unusable waste to agreed location according to national waste management regulations. • The EPC Contractor has an obligation to provide regular training of staff in waste management issues. Recycling • All recyclable waste (plastic, metal, paper, etc.) will be sorted on source and sent for recycling where facilities for recycling of these materials exist.

Liquid Waste • Provide septic tanks for the camp site servicing less than 150 employees. State authorized company to remove the liquid waste regularly. For larger sites, provide multiple septic tank facilities, or package wastewater treatment plants. Domestic and Inert Waste 141

• Collect domestic waste in containers fitted with lids to avoid attraction of scavengers, scattering around. The lid will also protect waste from rain and snow. • Remove domestic waste to the nearest landfill under agreement with state authorized waste management companies. • Provide garbage bins and facilities within the project site for temporary storage of domestic solid waste and construction waste. • Waste storage containers will be covered, tip-proof, weatherproof and scavenger proof. • Ensure that wastes are not haphazardly dumped within the project site and adjacent areas. Hazardous Waste • At worksites and camps where, hazardous waste is generated the EPC Contractor will ensure compliance with the following safety measures: o Use containers suitable for each type of waste; o Prohibit use of damaged containers. Check integrity of containers – regularly; o Mark containers adequately specifying the waste types; o Provide secondary containment for hazardous waste liquids; o Do not mix various waste streams. • Hire state authorized contractor for hazardous waste removal and keep agreements with hazardous waste management company’s active. • Keep copies of waste manifests on site. Keep a record of waste on-site and waste removed

605. Waste Disposal – Waste, both hazardous and non-hazardous, shall be collected and disposed of by a licensed waste management contractor. The contractor will keep copies of the waste management company’s licenses on file at his site office. The contractor shall also keep a record of the waste volumes and types removed from the site and the waste transfer notes provided by the waste management contractor.

606. Construction of worker camps shall be located close to settlement areas but not near sensitive water resources. In such cases, the constructor needs to provide a detailed design of each work camp including infrastructure planning (water supply, electricity supply, waste management, waste water treatment and disposal). Workers need to be trained how to behave and to handle waste and waste water according environmental management requirements.

Operation Phase

607. The Waste Management Plan developed by the Contractor must show the waste sludge management plan for the waste sludge originated as a result of the WWTP operation. The originated waste must be transported by a licensed sub-contractor. The residual sludge must be transported with a closed vehicle to avoid odor propagation. The transportation must be done to the shortest possible distances. All entities engaged in the waste sludge management activities must be duly trained. The company must have the Emergency Management Plan in place. 541. At the stage of the conceptual design, the landfills where the sludge will be disposed are not specified. At the stage of developing the detailed design, the concrete landfill where the sewage sludge is to be disposed will be specified. The landfill will be selected based on the following criteria: (i) the waste sludge must be disposed to as near location from its origination site as possible to avoid the transportation of the sewage sludge to long distances, (ii) the landfill must be bordered to prevent domestic animals from penetrating it, and (iii) the landfill must have sufficient area to have a separate cell for sludge disposal.

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542. The company must have the Emergency Management Plan in place. Emergency sludge grounds are needed to discharge sludge in case of emergency at a mechanical sludge dewatering shop. Within the scope of the present project, the emergency sludge grounds are envisaged for emergency discharges of sludge in case of emergency at a mechanical dewatering shop, in accordance with the requirements of 4.01-03-2013 Building Standards of the Republic of Kazakhstan. The needed area of emergency sludge grounds (20%) will be 0.0460 ha. The total area of the existing sludge grounds (2 sludge yards), is 1.1 ha. An emergency discharge of the sludge on the sludge grounds will be done by switching the force main of the pumping station for supplying the compressed sludge.

F.2.2.11. Workers’ Rights and Occupational Health and Safety

608. This section discusses the impacts of the Project on workers’ rights and occupational health and safety during construction and operation of the Project and associated mitigation measures to be adopted. The main Project-related activities that may result in OHS issues are:

• Accidents involving the use of heavy equipment. • Accidents involving working at height. • Accidents involving live power lines. • Accidents involving construction vehicles. • Accidents due to lack of, or poor application of, personal protective equipment (PPE). • Poor sanitary conditions at camps and work sites. • Lack of first aid and medical facilities.

609. Workers’ rights including occupational health and safety need to be considered to avoid accidents and injuries, loss of man-hours, labor abuses and to ensure fair treatment, remuneration and working and living conditions. These issues need to be considered not only for workers who are directly employed by the Project but also sub-contractors.

Potential Impacts:

610. The Project is expected create at least 200 direct employment opportunities during the peak of the construction period, the duration of which is currently unknown. Most workers will be engaged by the EPC Contractor and will consist of an unskilled, semi-skilled to skilled workforce.

611. The expected impacts on worker rights and H&S as a result of construction, activities and Project operation are as follows:

• Risk to workers H&S due to hazardous construction activities; and • Violation of workers’ rights.

612. Construction activities will involve the operation of heavy equipment and trucks, working at height, construction traffic, use of electric devices, handling of hazardous materials and other hazardous activities. Due to the nature of the activities being undertaken during construction, worker H&S is a key risk with the potential for accidents that may result in injuries and fatalities as well as lost man-hours.

Mitigation Measures:

Construction Phase

613. Occupational Health and Safety - An Occupational Health and Safety (OHS) Plan will be prepared by the EPC Contractor to manage worker safety. The OHS Plan will include a specific 143

section relating to Emergency Response Procedures. The EPC Contractor shall ensure that the OHS plan is strictly implemented through his Health and Safety Officer.

614. In addition, the EPC Contractor will provide a series of safety training courses and meetings as follows:

• Initial Safety Induction Course: All workmen will be required to attend a safety induction course before they are allowed access to the work site. • Periodic Safety Training Courses: Periodic safety course will be conducted not less than once every two months. All EPC Contractor (and any sub-contractor) employees will be required to participate in relevant training courses appropriate to the nature, scale and duration of the works. Training courses for all workmen on the Site and at all levels of supervision and management. A list of training participants’ names and time-stamped photographic evidence of the training will be provided by the EPC Contractor to the PIC for his records. • Safety Meetings: Regular safety meetings will be conducted on a monthly basis. The PIC will be notified of all safety meetings in advance. The PIC may attend in person or by representative at his discretion. The minutes of all safety meetings will be taken and sent to the PIC within seven (7) days of the meeting and will include a list of participants names and time-stamped photographic evidence of the training.

615. The EPC Contractor will regularly inspect, test and maintain all safety equipment (including firefighting equipment), scaffolds, guardrails, working platforms, hoists, ladders and other means of access, lifting, lighting, signing and guarding equipment. Lights and signs will be kept clear of obstructions and legible to read. Equipment, which is damaged, dirty, incorrectly positioned or not in working order, will be repaired or replaced immediately by the EPC Contractor.

616. Workers will be provided (before they commence works) with of appropriate PPE suitable for electrical work such as safety boots, harnesses, helmets, gloves, protective clothes, goggles, and ear protection at no cost to the workers.

617. In addition to the above, the following general OHS measures shall be implemented by the EPC Contractor:

• All construction plant and equipment used on or around the site will be fitted with appropriate safety devices. These will include but not be limited to: o Effective safety catches for crane hooks and other lifting devices, and o Functioning automatic warning devices and, where applicable, an up-to-date test certificate, for cranes and hoists. • Zones with noise level above 80 dBA must be marked with safety signs and appropriate PPE must be worn by workers. • Portable toilet facilities for workers at road work sites will be provided. • Fencing on all areas of excavation greater than 2 m deep will be installed along with warning signs. • Ensure sufficient fresh air supply to confined workspaces. • Keep air inlet filters clean and free of dust and microorganisms. • Ensure reversing signals are installed on all construction vehicles. • A suitably staffed and equipped health clinic for all workers is to be provided on site. • First aid kits (compliant with OSHA standard 1910.266 App. A) will be provided at all work sites.

618. The Contractor shall keep a log of both training records and safety incidents including near misses.

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619. Regarding workers’ rights, the development of the Project the EPC Contractor shall:

• Set targets for local employment based on initial assessment of the labor market for unskilled and semi-skilled work force. • For unskilled the EPC Contractor shall use a ‘ballot’ system to ensure that employment is fair and not weighted to connected people for unskilled roles. Repatriation of locals through recruitment measures will use online resources. • Provisions in the EPC Contractors contract are to include as far as practicable items to address the collective bargaining, retrenchment, worker accommodation and non- employee worker gaps, to ensure that ILO and Lender requirements are met. At a minimum, the EPC Contractor shall ensure the following measures are followed: o The development and implementation by the EPC Contractor of Human resources policies to hire, train, assess, and reward the project workforce. These policies should prevent any form of discrimination in the workplace and ensure that all employees are treated fairly and equally. o Policies should exclude the use of child or forced labor in the project, and that national and international requirements for non-employee workers and supply chain workers are also reflected in these policies. o A grievance mechanism for workers will need to be provided for the workforce to be able to raise reasonable workplace concerns. The EPC Contractor will inform the workers of the grievance mechanism at the time of hiring and make it easily accessible to them. o The workers will additionally not be restricted from joining or forming workers’ organizations or from bargaining collectively, and the EPC Contractor will not discriminate or retaliate against workers who form or join collectives or bargain collectively. o Prepare a retrenchment plan, with the aim of reducing the impacts of cessation of employment contracts including for example and as appropriate, the implementation of a transparent retrenchment process and mechanisms of consultation with the workforce. The Contractor will explain the temporary nature of jobs during the recruitment process and explain to workers the need to prepare for losing jobs and to manage their income wisely while employed.

620. All employees will receive at least the minimum wage as defined by Republic of Kazakhstan legislation. All workers will have contracts describing their job description and conditions of work and will have the contents explained to them.

621. The EPC Contractor will hire a team of Health and Safety Specialists to implement and manage the tasks listed above.

622. Sub-Contractors - All Project sub-contractors will be supplied with copies of the SEMP. Provisions will be incorporated into all sub-contracts to ensure the compliance with the SEMP at all tiers of the sub-contracting. All subcontractors will be required to appoint a safety representative who will be available on the Site throughout the operational period of the respective sub-contract unless the PICs approval to the contrary is given in writing. In the event of the PICs approval being given, the PIC, without prejudice to their other duties and responsibilities, will ensure, as far as is practically possible, that employees of sub-contractors of all tiers are conversant with appropriate parts of the SEMP. To implement the above items the EPC Contractor will designate a qualified environmental, health and safety personnel.

Operational Phase 623. Occupational health and safety will be managed according to national regulations during the operational phase of the Project. However, it is recommended that a long-term program of OHS 145

training by International OHS specialists is provided to KazCenter to help strengthen their OHS knowledge and procedures.

F.2.2.12. Community Health and Safety

624. This section discusses the impacts of the Project on community health and safety during construction and operation of the Project and associated mitigation measures to be adopted. The main Project-related activities that may result in impacts to community health and safety are:

• Introduction of non-local workers, almost entirely males, to certain localities. • Provision of early works accommodation and construction camps for these workers with operating rules that allow for interaction between workers and local people. • Storage and handling of food and drinks in accommodation/camps. • Movement of construction vehicles. • Dangerous work sites, such as excavated areas. • Uncontrolled facilities, such as temporary storage areas. • Solid and liquid waste disposal.

Key Sensitivities:

625. Local villages and their residents within the Project area could be impacted as well as regional traffic using the existing access roads.

Potential Impacts:

Construction Phase

626. During the construction phase, the Project will be adding a mix of light, and heavy and slow- moving vehicles onto the existing roads. This will include vehicles transporting workers, trucks carrying heavy equipment between work areas and haul trucks moving borrow material.

627. The potential impacts of Project construction include the increased risk of collisions and road transport accidents (potentially resulting in injury, death, or fuel or cargo spillage) and subsequent harm to animals, and communities (including contamination of soils and groundwater). The potential also exists for accidents to occur where there is uncontrolled access to work sites and camps. Migrant workers may also increase community health and safety risks, for example, through the spread of sexually transmitted diseases.

Operational Phase

628. Most of the accidents (including fatalities and collisions with pedestrians) are occurring in the area which will be avoided through the construction of the Project. Access roads have been included in the design which will provide safe crossing points for vehicles and pedestrians as well as livestock.

Mitigation Measures:

Construction Phase

629. Management Planning – The Contractor will, as part of his Specific Environmental Management Plan (SEMP), prepare and implement a Community Health and Safety Plan.

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630. The Contractor will be required to implement the Grievance Procedure provided in Section 9.4 Error! Reference source not found., to provide opportunity for local residents to raise c oncerns.

631. The Project will review measures to mitigate community health and safety impacts regularly and will consult with local communities every six months, informing them on the status of implementation and results, and discussing any changes needed to the Pollution Prevention Plan or the Community Health and Safety Plan in advance of proposed changes.

632. Risk of accident to local people particularly from traffic:

• A strict Project speed limit of 30km/hr will be enforced for Project vehicles. • Temporary traffic control measures will be employed at road crossings and junctions (flagmen, temporary traffic lights) where a safety risk assessment has identified traffic control measures will reduce the risk of traffic accidents. • Random drug and alcohol testing of the workforce will be conducted, recorded and audited regularly. • At sensitive locations where traffic will be using local roads, and particularly where schools and markets are close to the road, awareness of safety issues will be raised through village meetings and classroom lessons in the schools identified above. • Temporary traffic control (e.g. flagmen) and signs will be provided where necessary to improve safety and provide directions. Where traffic is diverted around crossings, traffic control or careful selection of the exit from the working areas will be provided with the aim of ensuring vehicles join the road in a safe manner. • Night-time driving will be by exception only, as approved by the Engineer, to minimize driving risk and disturbance to communities. • Vehicle movements will be restricted to defined access routes and demarcated working areas (unless in the event of an emergency). • Where practical construction traffic shall avoid rods that pass the schools or other buildings. If this is not possible the Contractor will employ flagmen outside of the schools during the start and finish of the school day to ensure that pupils can cross the road safely. • Construction traffic warning signs will be positioned at road crossings and other appropriate locations as determined by the Project, for example road signs will be positioned along access routes before they are used by construction traffic.

633. Risk of conflict between community members and security personnel leading to injury:

• The Project will implement the ‘Voluntary Principles on Security and Human Rights’. • During construction, due diligence will be applied to selection of security providers, rules of engagement will be devised, and training provided to all personnel. Performance will be monitored and audited periodically.

634. Accidental releases during construction:

635. Vehicles delivering fuel or hazardous liquids will carry appropriate spill kits to allow an initial response to any spill to be deployed.

636. Sexually transmitted Disease (STD)

637. Mitigation measures to reduce the potential impacts of STDs:

• A worker education and awareness program regarding the risks and prevention measures associated with STDs including HIV/AIDS and other communicable diseases (e.g. TB and COVID19) will be implemented. 147

• The Project will make information on communicable diseases and STDs available to communities’ close to the camps.

F.2.2.12. Physical Cultural Heritage

638. This section discusses the impacts upon physical cultural heritage (PCR) during construction and operation of the Project and associated mitigation measures to be adopted. The following planned Project activities could affect cultural heritage in the Project area:

• The removal of topsoil and subsoil during preparation of the foundations, access roads, construction camp(s) and equipment lay-down areas. • Movement of heavy vehicles and equipment.

Sensitive Receptors:

639. To date no PCR has been identified in the Project site and access roads.

Potential Impacts:

640. At this stage of the Project no impacts to PCR are anticipated. However, it is possible that chance finds could occur during excavation works.

Mitigation Measures:

641. In the event of any chance finds during the construction works procedures shall apply that are governed by GoK legislation and guidelines. A chance finds procedure shall also be developed by the EPC Contractor. A sample of chance find procedures is presented in Annex 6. Other mitigation measures involve the following:

• Contractor should put in place a protocol for conducting any excavation work, to ensure that any chance finds are recognized, and measures are taken to ensure they are protected and conserved. • To comply with the previous condition, having excavation observed by a person with archaeological field training. Supervisory procedures and any other necessary measures shall be agreed with the Ministry of Culture and Sports; • Stopping work immediately to allow further investigation if any finds are suspected; • Calling in the state archaeological authority if a find is suspected and taking any action they require ensuring its removal or protection in situ.

642. At the construction stage archaeological monitoring should be ensured by the contractor under the supervision of the Ministry of Culture and Sports of Kazakhstan. The budget necessary for the archaeological supervision and other agreed works should be fixed under the construction works appraisal.

F.2.2.13. Utilities and Infrastructure

643. This section discusses the impacts of the Project on utilities and infrastructure during construction and operation of the Project and associated mitigation measures to be adopted. Aspects of the Project that have the potential to cause impacts to utilities and infrastructure are the following:

• Undertake earth-moving/excavation works that may inadvertently damage existing infrastructure

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• Use existing infrastructure and utilities for construction camps and other temporary or permanent above ground facilities. • Vehicle movements on access roads. • Transport of materials and equipment.

Sensitive Receptors:

• Existing infrastructure that serves the city within the Project area. • Issues relating to water supply from the groundwater protection zones. • Utility consumers • Road users

Potential Impacts:

Construction Phase

644. The main potential impacts during construction are as follows:

• In the construction phase, the public infrastructure is possible to get damaged either unintentionally or as per the project and/or dislocated. As already mentioned, the project area is located far from the settled areas and the WWTP infrastructure is found in the area. The underground infrastructure, whether public or private, is less expected to be present in the WWTP project area. At the given stage, no detailed design is developed within the scope of the project. Consequently, at this stage, it is impossible to state with confidence, if it is expected to face the need of relocation or dismantling any type of public infrastructure. In the construction phase, during the extension works of the existing access roads or construction of new roads or camp, the following may occur: - Removal/disassembly of the existing road pavement; - Disassembly and relocation of the power transmission lines, gas or water drainage pipelines; - Unintentional damage to the underground infrastructure; - Damage to private (fences, orchards) and/or public infrastructure (bus stops, small trading benches); - Constraining or temporal stoppage of traffic along the existing road; - Soil pollution in case of using outdated or faulty techniques.

Mitigation Measures:

Construction Phase

645. The EPC Contractor will be responsible for preparing and implementing his Topic Specific Traffic Management Plan (TMP) which will be approved by both the Engineer and Local subdivisions of the Ministry of Internal Affairs of the Republic of Kazakhstan for the control of traffic.

646. In addition, the EPC Contractor will:

• Obtain information on the locations of underground infrastructure adjacent to the project area prior to construction; 149

• Provide information to the public about the scope and schedule of construction activities and expected disruptions and access restrictions at least 72 hours before the disruptions occur; • Allow for adequate traffic flow around construction areas via diversions or temporary access roads; • If temporary access roads are to be constructed with a gravel surface, they will be routinely watered by the EPC Contractor during dry weather to reduce dust impacts; • Provide adequate traffic signs, appropriate lighting, well-designed traffic safety signs, barriers and flag persons for traffic control; and • The authorities will be notified when oversize heavy loads need to be transported and the loads will be escorted by the Project. • In case of damage to public or private infrastructure, the construction contractor is obliged to restore it as soon as possible or to pay compensation for the damage.

647. Regarding utilities, during construction all electricity and gas supply networks in the Project area will be kept operational, particularly during the winter months. Some lines may require temporary relocation during the construction phase and as such the EPC Contractor will be responsible for liaising with the relevant utilities operators to ensure they remain operational. Should utilities need relocating in a different location the EPC Contractor will consult with the relevant utilities and local community to ensure that there is no change in supply as a result of these changes.

F.2.2.14. Cumulative, Transboundary and Induced Impacts

Cumulative Impacts

645. Balkhash was founded in 1937 as an industrial city centered on the mining and smelting of copper, which is still exploited. The history of the city is strictly connected with the mining of deposits of copper and the development of a smelting plant. At present, the owner of the plant is “Balkhashtsvetmet”.

646. Enterprise “Balkhashtsvetmet” is located on the bank of Balkhash Lake and was the major pollutant of Lake Balkhash for years with non-ferrous metals. For years, the given enterprise was the only source of pollution on the territory of the city of Balkhash. At present, the situation is a bit more favorable – the enterprise realized rehabilitation measures and as a result, the content of harmful substances has drastically decreased in water and air. 647. Enterprise “Balkhashtsvetmet” is located on the territory of the city of Balkhash, near the bank of Lake Balkhash. The enterprise has its own treatment system of industrial waters. Consequently, the polluted waters produced by the enterprise do not enter the project WWTP treatment system. 648. As already mentioned, the project WWTP will not have an impact on Lake Balkhash either in construction or operation phase. At the same time, these two objects are distanced by 4 km from one another. Consequently, no cumulative impact is expected as a result of the project implementation.

Transboundary Impacts

549. Lake Balkhash located adjacent to the project zone belongs to an endorheic (closed) basin shared by Kazakhstan and China, with a small portion in Kyrgyzstan. Several rivers flow into Lake Balkhash, which also head in other countries. It should be noted that all the above- mentioned rivers flow into Lake Balkhash from the south, while the project WWTP is located 18 km north of Lake Balkhash.

534. The project WWTP is not connected to Lake Balkhash with its infrastructure and the WWTP will

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not have impact on the Lake either in the construction, or operation phase. Accordingly, no transboundary impacts are anticipated.

Induced Impacts

543. Following the project implementation, the ecology of the territory adjacent to the WWTP is expected to improve significantly.

• The water quality of the natural basin of Ak-Shoky will improve. If the existing WWTP discharged almost untreated water into the basin, following the project implementation, the sewage will be treated with the quality of waters to be used for domestic needs. Consequently, the local population will be able to safely use treated water in agriculture what will improve the agricultural product quality thus having a positive impact on public health. • As already mentioned, so far, none of the average or large plants has expressed a wish to use the WWTP treated water in industry. However, as the practice shows, following the economic benefit, hopefully, quite soon, we will see the industrial enterprises wishing to use the said water in industry. Consequently, they will not use other sources of technical water what will further improve the local environment; • The sludge, which will be treated with high quality on the technological line, will allow the local farmers and private entities to use the sludge as fertilizer. This process will help avoid, or stop soil pollution caused by the use of artificial fertilizers.

544. In addition to the induced beneficial impacts on the environment, small-scale induced adverse impacts are expected, in particular: (i) as the treated sludge will be disposed from the territory by farmers or private entities as small batches, the number of vehicles used will increase, and (ii) the number of vehicles will also increase because of transporting sludge from the territory by small and medium business representatives.

F.2.3. Summary of the Project’s Environmental Impact

535. The summary of the impacts, their magnitude and the mitigation measures is presented in the Table 45 below.

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Table 45: Environmental Impacts and proposed mitigation measures for Balkhash WWTP

No. Types of activities Impacts / Mitigation Measures Sensitive Magnitude / Receptors Likelihood PRE-CONSTRUCTION STAGE 1. Updating IEE document Incomplete or Updating of IEE document after detailed design development; All receptors according with detailed design incorrectly The submitted updated IEE must be agreed with PMU and ADB; defined project impacts and mitigation measures

2. Preparation of SSEMPs incorrectly The construction contractor must develop SSEMPs prior to construction and agree All receptors defined project these plans with the PMU or Supervision Consultant (Engineer); impacts and The construction contractor must develop SSEMPs within 10 days of signing the mitigation contract; measures The Construction Contractor will have the right to start work only after the SSEMP is approved by the PMU.

3 Capacity Building Training on ADB PMU and the DBO (Design Build Operation) will be required to engage the necessary Environmental staff for environmental safeguards and compliance. To build the capacity of Safeguards KazCenterZhKH in environmental management; DBO will conduct environmental training workshops for the KazCenterZhKh, SPV, Akimat and the Vodakanal at the preconstruction stage. Training workshop on ADB Environmental Safeguards for , PMU and PIU

4. Preparatory works: mobilization Emissions of Flora and fauna of the temporal infrastructure, harmful Equipping the concrete unit with relevant air-cleaning systems. transport and construction substances into Making noise-protection barriers if necessary between the noise sources and the appliances and equipment and the atmospheric receptors (population). mechanisms needed for air, propagation construction. and noise propagation

Risks of pollution Use of non-faulty construction techniques and vehicles. Lands and surface of surface waters The machines/equipment and potentially polluting materials will be placed far from the water bodies and soils surface water objects, in the areas protected against the atmospheric precipitations. adjacent to camp Equipping the territory with sewage, storm-water and treatment systems at the initial area and access construction stages. roads Limiting the perimeter of the oil products supply reservoirs to prevent the propagation of the pollutants in case of emergency spills. Discharge of any kind of untreated wastewater into the rivers is to be prohibited. Making the water-proof layers over the surfaces of the storing areas.

Risks of safety of Use of non-faulty construction techniques and vehicles; Workers and local local people and Fencing the camp territories right at the initial stage of the construction; population personnel Installing the safety signs along the perimeter of the territory. Protecting the perimeter of territory and controlling the movement of foreign people in the area. Equipping the personnel with PPE. Equipping the camps with first aid kits; Ensuring electrical safety. Keeping an incident registration log. Personnel training at the initial stages. Negative visual- Temporal structures, materials and waste will be placed at locations far and not visible landscape from the visual receptors. change The color and design of the temporal structures will be chosen to suit the environment. Demobilization of the temporal infrastructure and re-cultivation works following the completion of the works.

CONSTRUCTION PHASE

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Construction activities on: Dust generation / Transportation of materials and vehicle movement: Lands adjacent to Moderate All dust generating roads should be watered to suppress dust formation during project sites and Construction site - WWTP magnitude / movement of vehicles, as frequent as necessary depending on circumstances; access roads facilities Certain During hot dry summer days and active construction works, it is a usual practice to Access roads water access roads every two hours; Labor camp(s) Trucks carrying earth, sand or stone should be covered with tarpaulins or other suitable cover. Stockpiles of materials and spoil: All stockpiles should be managed to reduce dust emissions; Stockpiles should be located downwind of sensitive receptors; Stockpiles emitting dust should be sprayed with water prior to moving; If a stockpile is within 300 m of sensitive receptors, precautions should be taken to avoid dust generation, including using of a reusable stockpile cover and fencing to form a high barrier to prevent wind lifting and dispersing. Construction sites: Water should be sprayed on construction sites and material handling routes, where fugitive dust is generated

Air emissions / • No burning is allowed on any construction sites throughout the project Air around the Small implementation period; project area magnitude / • Construction vehicles and machinery should be maintained to a high standard Certain to minimize emissions and should avoid unnecessary idling to save fuel and reduce emissions; • Manufacturing plants locations should be agreed with Supervision Consultant and should be downwind and at least 500 m from nearest residential area.

Noise / Small • Noise monitoring should be organized near sensitive receptors; Residential areas magnitude / • All exhaust systems should be maintained in good order; Certain • Noise generating equipment should be located at least 300 m from any sensitive areas; • Noise generating equipment at construction sites should be isolated and, where possible, should be faced away from most sensitive directions; • All construction workers should be provided with Personal Protective Equipment (PPE) and use them against high noise and/ or lengthy exposure; • Noisy works and vehicle movement near sensitive receptors should be limited to daylight working hours; • Construction noise will be limited to restricted times agreed to in the permit; • During operations the engine covers of generators, air compressors and other powered mechanical equipment should be closed, and equipment placed as far away from sensitive areas as possible; • Measures should be taken to reduce any noise disturbance to community, including advance warning on timing of noisy activities, seeking suggestions from community members to reduce noise annoyance, and dissemination of procedure on handling complaints through GRM

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Vibration / • Project area and vehicle movement routes should be inspected for sensitive Fragile structures Small structures; pictures and precautions should be taken to avoid vibration impacts and buildings in magnitude / on sensitive structures near project sites and roads, prone to cracking and proximity of Unlikely breaking caused by vibration from construction activities. transportation routes

Soil erosion / • Minimize unnecessary encroachment onto adjacent lands to reduce area of Fertile soils on

Moderate disturbance to vegetation and soil; project sites and magnitude / • Fertile topsoil layer should be cut and stockpiled separately from spoil material to in proximity Likely be readily available for later use in slope stabilization and land reinstatement works; • Where possible, surplus soil should be used for earth filling works at approved locations; • Excavation width and depth should be kept to a feasible minimum to reduce extra spoil generation; • Settling ponds, silt fences and screens should be used to prevent sediment transport into surface water near construction sites and excess road; • Intercepting ditches and drains should be organized to prevent runoff entering construction sites and to divert runoff from sites to existing drainage • Works and material handling should be limited during heavy rains and high winds to minimize soil erosion • All disturbed sites prior to project completion and commissioning should be reinstated at least to pre-project conditions by (i) cleaning area from wastes and debris, (ii) mechanical remediation and (iii) biological revegetation with native plants

Soil • Petroleum products, hazardous materials and wastes should be stored covered Soils on project contamination / from precipitation, on an impermeable surface, and secured from acts of sites and in Small vandalism proximity magnitude / • Fuel tanks shall be installed on an impermeable ground in a bunded area with Likely capacity of 110% of fuel tank

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• Avoid soil contamination with petroleum products, lubricants, or hazardous materials during equipment maintenance and repair, field refueling, and hazardous material handling • Organize spill response kit at construction site for collection and storage of contaminated soil and provide training for workers on use of spill response kit

Surface water • No equipment washing is allowed in any surface water bodies Surface water contamination / throughout the project implementation period bodies Small • No wastewater shall be dumped into any ditches or streams magnitude / • Sediment pools arrangement Likely • Wastewater from labor camp and construction site should be canalized into septic tanks without contacting ground • Septic tanks should be timely emptied by a hired septic truck and transported to legally approved treatment facility or dumpsite • Fuel storage, equipment maintenance and repair workshops, and vehicle washing areas shall be stationed at least 300 m away from any water body

Solid wastes • No wastes shall be burned throughout the project implementation period Soils and water generation • Develop Waste and Spoil Management Plan for handling, storage and bodies disposal of construction, household wastes on actual situation at project sites Improper and selected dumpsites disposal of • Waste and Spoil Management Plan should indicate approved spoil disposal solid and liquid sites, which should not to be on slopes or near pasture lands, and should have waste, Spills further plans for rehabilitation and inadequate All construction wastes and demolition debris should be disposed at clean-up / • authorized locations Moderate magnitude / • Stockpiling of construction material should be avoided if possible. If not, Certain construction material should be stored on the construction site, and protected from weathering. Hazardous materials like paints, oils, enamels and others should be kept on impermeable surface, and adsorbents like sand or sawdust should be kept for handling small spillage. • Trees and bushes cut under the project works can be provided for use to local households • All household wastes shall be collected into confined waste containers equipped with covers installed away from sensitive areas • Any toxic/ hazardous wastes shall be kept in safe leak-proof containers labeled with description of contents, properties, and handling information, and disposed

at authorized facilities • Use waste management hierarchy: (i) avoid waste generation at source; (ii) minimize waste generation, where it is inevitable; (iii) reuse or recycle if possible; (iv) dispose at authorized locations.

Impacts on • Acquire tree cutting permit from local forestry and wildlife department for any Flora and fauna flora and trees to be cut under the project fauna, loss of • For any tree cut or valuable grassland area disturbed for project needs, replant biodiversity trees or re-vegetate areas at other approved locations; best practice ratio is 3 and habitats/ trees planted for 1 cut. For large trees in the vicinity of the activity, mark and Moderate cordon off with a fence large tress and protect root system and avoid any damage magnitude / to the trees Likely • Use only native plants for re-vegetation of disturbed areas • Identify, demarcate and protect sites where small animals, reptiles, and birds of common species live, such as vegetated roadside areas, tree belts, inner areas of bridges, river riparian zones, etc. • All recognized natural habitats and protected areas in the immediate vicinity of the activity will not be damaged or exploited, all staff will be strictly prohibited from hunting, foraging, logging or other damaging activities. • Adjacent wetlands and streams will be protected, from construction site run-off, with appropriate erosion and sediment control features to include but not limited to hay bales, silt fences No unlicensed borrow pits, quarries or waste dumps in adjacent areas are allowed, especially in protected areas. • If any paleontological fossils, archaeological finds or other important cultural Impacts on Public cultural objects are encountered during construction, all activities at that location shall public cultural resources stop and local authorities shall be notified; works may restart only after resources / fulfillment of prescribed measures and permission received to resume works Small magnitude / Rare

health services, safety practices, equipment and training, HIV/ AIDS / IEC and alleviation programs and keep record and report on any H & Sincidents • HSM Plan shall follow national legislation requirements and include among others requirements to: (i) norms on provision of fresh water at all sites; (ii) adequate hygienic and sanitation facilities; (iii) labelling, warning, storage, and handling procedures for hazardous liquid materials; (iv) emergency response procedures; (v) records of occupational accidents, diseases, and incidents; (vi) OH&S publications, such as brochures, leaflets, posters in Kazakh and Russian languages at relevant construction sites; (vii) monthly records on labor profile, including information on workers’ place of origin, gender, ethnicity, type of contract (full-time/ part-time, unskilled/ semi-skilled/ skilled, management, administration) (viii) ensure all workers have officially signed contracts, correct and timely pay, no excessive use of overtime • Carry out the routine inspection of the machinery and equipment for purpose of the trouble shooting and observance of the time of repair,

Occupational • Contractor shall allocate budget for Occupational Health and Safety Workers Health and measures Safety / Small • All legally required permits should be acquired magnitude / • Health and Safety Specialist shall be hired to develop, implement, and Likely supervise Health and Safety Management Plan (HSMP), subject to approval by Supervision Consultant • H&S Specialist will conduct initial and regular refresher training for all workers on labor rights, occupational health and safety matters, ensure provision and distribution of Personal Protective Equipment (PPE), first aid, medical and health services, safety practices, equipment and training, HIV/ AIDS / IEC and alleviation programs and keep record and report on any H&S incidents • HSM Plan shall follow national legislation requirements and include among others requirements to: (i) norms on provision of fresh water at all sites; (ii) adequate hygienic and sanitation facilities; (iii) labelling, warning, storage, and handling procedures for hazardous liquid materials; (iv) emergency response procedures; (v) records of occupational accidents, diseases, and incidents; (vi) OH&S publications, such as brochures, leaflets, posters in Kazakh and Russian languages at relevant construction sites; (vii) monthly records on labor profile, including information on workers’ place of origin, gender, ethnicity, type of contract (full-time/ part-time, unskilled/ semi-skilled/ skilled, management, administration) (viii) ensure all workers have officially signed contracts, correct and timely pay, no excessive use of overtime • Carry out the routine inspection of the machinery and equipment for purpose of the trouble shooting and observance of the time of repair, training and instruction of the workers engaged in maintenance of the machinery, tools and equipment on safe methods and techniques of work. • Special attention should be paid to welding operations. It is prohibited to distribute the faulty or unchecked tools for work performance as well as to leave off hand the mechanical tools connected to the electrical supply network or compressed air pipelines; to pull up and bend the cables and air hose pipes; to lay cables and hose pipes with their intersection by wire ropes, electric cables, to handle the rotating elements of power driven hand tools. • Child labor at this subproject is prohibited by national laws and ADB requirements with minimum full 16 years of age.

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Community • Temporary traffic management and road safety awareness measures should be Community near health and taken to ensure safety of nearby residents, community and visitors, when project areas Safety necessary. Traffic management system and staff training should be ensured, especially for site access and near-site heavy traffic. Provision of safe passages Unsafe and crossings for pedestrians where construction traffic interferes. Active traffic access routes management by trained and visible staff at the site, if required for safe and and convenient passage for the public. construction • Adjustment of working hours to local traffic patterns, e.g. avoiding major traffic hazards transport activities during rush hours or times of livestock movement. / Small • Clear signs shall be installed in view of public, warning people of potential magnitude / dangers, such as moving vehicles, hazardous materials, etc.; all dangerous sites Unlikely should be secured from unauthorized access • GRM should be established as designed by PMU team and focal point should be appointed to implement GRM procedures OPERATION STAGE • Before operation Phase commencement the “Emergency Management Plan” should 2 Operation of Risk of accidental release of Surface be prepared. WWTP untreated wastewater from the water body WWTP • provision of dual power supply; • spare parts for key components; /Moderate magnitude • regular inspection and proper maintenance of the WWTP; /unlikely • automated on-line, real-time monitoring of influent and effluent quality; Foul Odor Off-site Migration • close monitoring of the aerobic units to ensure the conditions are not anoxic (without Workers from WWTP enough oxygen), /Moderate magnitude • landscaping with trees and shrubs around the facility shall be done to position them as wind breaks, and /unlikely • conduct of WWTP‟s annual odor audit to identify operational measures that can prevent odor problems

Disturbance/ nuisance/ noise • Consulting company has to define the noise level and its spreading area generated Workers due to operation activity at the stage of WWTP operation; / Small magnitude • Additional changes will have to be included in the design if required and also noise /unlikely reducing barriers will have to be arranged.

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G. INFORMATION DISCLOSURE, CONSULTATIONS AND PARTICIPATION

G.1 Public Consultations

536. One of the main goals of the IEE is to facilitate the participation of all stakeholders and local communities at all stages of the project cycle: from the pre-construction phase and construction activities to its operation.

537. According to the ADB Safeguard Policy Statement (2009): “The borrower/client will carry out meaningful consultation with affected people and other concerned stakeholders, including civil society, and facilitate their informed participation. Meaningful consultation is a process that:

(i) Begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle; (ii) Provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; (iii) Is undertaken in an atmosphere free of intimidation or coercion; (iv) Is gender inclusive and responsive, and tailored to the needs of disadvantaged and vulnerable groups; and (v) Enables the incorporation of all relevant views of affected people and other stakeholders into decision making, such as project design, mitigation measures, the sharing of development benefits and opportunities, and implementation issues.

538. Consultation will be carried out in a manner commensurate with the impacts on affected communities. The consultation process and its results are to be documented and reflected in the environmental assessment report.”

539 No on-site public consultations or focus group discussions have been possible due to the outbreak of COVID-19. Instead, conducting of public consultations with interested stakeholders, such as representatives of local government, households (about 70 households as a representative sample of population under the project), using distant communication channels such as mobile phones and internet. . Special questionaries’ were prepared for phone and internet interviews (see annex 8). The IEE findings, project expected impacts and proposed mitigation measures have been incorporated into the disclosed information. Respondents asked for feedback and comment if any. APs were informed that in case of substantial comments/ questions, draft IEE would be accessible in Russian on a website to download, and any further questions can be sent through email or discuss by phone contacts provided during discussions. Until now, no question or request for clarification was received. In case of state of emergency due to COVID-19 pandemic will be abolished before the starting of the construction activates the consultations with key stakeholders will be conducted through organizing personal meetings. However, if the state emergency du to COVID-19 will be continued the Guidance on public consultation within the COVID 19 limitation context provided in Annex 7. Following SPS General Requirements pp. 53‒54, public consultation meetings will be conducted and the information will be disclosed in due manner. In compliance with ADB's SPS (2009) the draft IEE will be provided for disclosure on the ADB website and KazCenter’s website in the local language.

G.2 Information disclosure

539. It is anticipated that in compliance with ADB's SPS (2009) the document will be provided for disclosure on the ADB and the KazCenter PMU Website (in local language).

540. The PMU will be responsible to notify and inform the public of construction operations prior to

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construction works, publish an emergency response plan disclosing his intentions to deal with accidents and emergencies, including environmental/public health emergencies associated with hazardous material spills and similar events, etc.

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H. GRIEVANCE REDRESS MECHANIZM

541. The Project-specific Grievance Redress Mechanism (GRM) is developed following the principles of ADB SPS (2009) and the Law of the Republic of Kazakhstan “On the procedure for considering appeals of individuals and legal entities” (2007 No. 221). GRM is formed to resolve the grievances of the DPs or public related to the project’s involuntary resettlement and environmental safeguards performance, and information disclosure. It will not replace the country’s judicial system, but aims resolve the grievances in effective and fair manner, and will be maintained for the duration of the Project. All grievances and their resolution status will be monitored and reflected in the project’s progress reports.

542. The Grievance Redress Committees (CRCs) 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 be lodged during the project implementation. Awareness about the GRM and people’s access to it is important. Information about the GRM, contact information of the GRM focal persons assigned by KazCenter, and members of the in the project provinces that includes representatives of relevant authorities and stakeholders should be disseminated to the affected communities and DPs. Different communication means, such as distribution of the project information brochures, posters, local media, public consultations, community and individual meetings, can be used in awareness raising.

543. KazCenter is responsible for well-functioning of the GRM and should provide the required human and financial resources. KazCenter will lead the grievances resolution and the work of the GRC for resolving grievances. KazCenter and Vodokonal have assigned 3 of its staff for environmental safeguards tasks and serve as focal persons for GRM:

• 1 staff at the central KazCenter • 2 staff in Vodokonal.

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

545. The GRM and the GRCs given below were discussed with KazCenter and Vodokonal staff as during the public consultations in all provinces. Based on feedback, experience from other ADB- assisted projects in Kazakhstan, the project specifics and geographic scope, the following grievance resolution process is envisaged under the project.

H.1 Three levels of grievance resolution

546. The stakeholder’s consultation confirmed the current practice that the residents usually approach to the Akimats for complaints and issues they may have. In some cases, the complainants directly contact the Contractors or KazCenter. Therefore, the project GRM provides the grievances can be accepted at the offices of all these three actors, registered and forward it by email to the assigned focal person at the KazCenter who will have a consolidated database of all grievances and their status. All complaints and resolution status will be recorded and reported at each level of the GRCs. The steps and the GRCs are given in the Table 47 below.

547. The summary of key steps at the District level: (i) The grievance registration: The staff of the district Akimats, the Contractors and the Vodokanal 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. (ii) The grievance

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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. (iii) The feedback and further actions: If the complainant is not agreeing 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 written form.

548. 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 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 agreeing 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.

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

(i) 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. (ii) Feedback and further actions: The decision of the GRC on the grievance will be informed 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 appeal to the country’s legal system, if wished so.

550. 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 on the managerial levels are proposed for CRCs. 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 CRCs to ensure women perspectives in resolving grievances.

Table 46: 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 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 CRC members: 109

(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 CRC 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.

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I. ENVIRONMENTAL MANAGEMENT PLAN

I.1 Environmental Management Plan

551. The Environmental Management Plan (EMP) documents the impacts identified in the IEE report, the actions required to mitigate those impacts to acceptable levels in accordance with the laws of the country and the ADB safeguard policy, and the monitoring activities that are to be undertaken as part of the project to confirm that the mitigation actions have been effective in achieving their objectives or to initiate changes in the actions required.

552. The EMP also details the institutional arrangements and capacities that currently exist, or that will be put in place as part of the project implementation, to ensure that the environmental due diligence (including the EMP) has comprehensively considered both the national and ADB requirements for environmental protection, has identified all likely environmental impacts and proposed appropriate mitigation measures, and has the systems in place to ensure that effective procedures for environmental monitoring and control of the project impacts and mitigation measures are implemented throughout the life of the project.

553. The Environmental Management Plan (EMP) provides details on the implementation of mitigation measures, monitoring program, cost estimates, and institutional arrangement to ensure that no significant adverse impacts results from the investment.

554. The basic objectives of the EMP are to:

• establish the roles and responsibilities of all parties involved in the Project’s environmental management; • ensure implementation of recommended actions aimed at environmental management and its enhancement; and • ensure that the environment and its surrounding areas are protected and developed to meet the needs of the local communities including other stakeholders and safeguard the interests of the local people.

555. The environmental mitigation measures have been differentiated into the following three stages: (i) Pre-Construction Stage; (ii) Site Preparation, Construction and Worksite Closure (i.e., project closure) Phases; and (iii) Operation Stage.

556. Pre-Construction Stage. The mitigation measures adopted during design or pre-construction stage are preventive in nature and include the following scope of management actions:

• baseline monitoring pre-development (e.g., noise monitoring, walkover surveys); • environmental engineering design requirements for operations phase (e.g., to ensure that the necessary mitigation measures for key environmental variables such as climate change are investigated and incorporated into the design); • Update the IEE for the detailed design • approvals, permits, and licensing requirements for construction (e.g., licenses for quarry operation and relocation of utilities); and • environmental management planning to be undertaken during the construction phase (i.e., thematic management plans. Guidance and direction will be provided in Error! Reference s ource not found.).

557. Site Preparation, Construction and Worksite Closure (i.e., project closure) Phases. To address the adverse impacts during construction, the EMP includes measures to avoid, minimize, or mitigate potentially adverse impacts and risks and, as a last resort, propose compensatory 111

measures. Various physical, biological, and socio-economic impacts have been summarized in the EMP.

558. Operation Phase. The operation phase mitigation measures cover good operating practices to ensure the sustainable management (i.e., to avoid and / or minimize environmental damage) of the environment through the operational life of the road section.

559. The EMP is provided in Error! Reference source not found. and will be included into the b idding documents so that bidders can consider and incorporate their environmental responsibilities into their bid proposals. Later the EMP becomes an integral part of a contract for the provision of works and is binding for implementation.

I.2 Environmental Monitoring Plan (EMoP)

560. A companion document of the EMP, the Environmental Monitoring Plan (EMoP) provides the procedures and actions that recognize and analyze environmental and social changes consequent to the pre-construction, construction, and operational phases of the project. The monitoring ensures that:

• legal standards for environmental parameters are not exceeded; • mitigation measures are implemented in the manner described in the EMP; • changes to baseline environmental and social conditions during the project activities are continually monitored; • early warning of environmental and social damage is recognized so that action may be taken, if possible, to prevent or reduce the seriousness of the unwanted impact; and • corrective actions or new adaptive management programs are implemented, as required, if proposed mitigation measures are unable to reduce and/or eliminate potential project related impacts or meet the predetermined level of performance.

561. Regular monitoring of air quality, water quality and noise levels against Kazakhstan and IFC standards shall be carried out throughout the construction and commissioning periods. The party responsible for monitoring will be the Engineer who will report the results to the KazCenter. The reports shall clearly indicate the monitoring dates, times, locations, weather conditions, types of equipment used and calibration information.

562. A monitoring plan defining all parameters to be monitored, with tentative location, project stages for measurements, implementation and institutional responsibility for different environmental components is prepared for all stages of project and presented in Annex 2.

I.3 Specific EMP (SEMP)

563. The SEMP is the document that the Contractor shall prepare outlining how he intends to implement the EMP and ensure that all of the mitigation and monitoring is completed according to the implementation arrangements specified in this EMP and the IEE as a whole.

564. The SEMP will describe the precise location of the required mitigation / monitoring, the persons responsible for the mitigation / monitoring, the schedule and reporting methodology. The SEMP and all of its thematic management plans (i.e., topic and location specific plans) will be submitted to the Engineer and KazCenter for approval at least 10 days before taking possession of any work site. No access to the site will be allowed until the SEMPs are approved by the Engineer and KazCenter, and where indicated in the tables below, the ADB. The SEMP will include the following thematic management plans:

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Table 47: Approvals for Thematic Management Plans

Approvals Plan KazCenter Engineer ADB Waste Management Plan Yes Yes No Wastewater Management Plan Yes Yes No Spoil Disposal Management Yes Yes Yes Plan Soil Erosion Management Plan Yes Yes No Traffic Management Plan Yes Yes No Method Statement for Temporary Roads Yes Yes No Aggregate and Borrow Pits Management Yes Yes No Plan Employment and Procurement Procedure Yes Yes No Occupational and Community Health and Yes Yes No Safety Management Plan Emergency Response Plan Yes Yes No Waterway Safety Plan Yes Yes No Method Statement for River Crossings Yes Yes No Air Quality Plan Yes Yes No Spill Management Plan Yes Yes No Clearance, Revegetation, and Restoration Yes Yes No Management Plan Noise Management Plan Yes Yes No Biodiversity Management Plan Yes Yes Yes Laydown Area and Construction Camp Yes (for Management Plan Construction Yes Yes Camp Management plan if needed) Asphalt, Rock Crushing, and Concrete Yes Yes No Batching Plant Management Plans Bridge Construction Method Statement Yes Yes Yes Chance Finds Procedure NA NA NA

565. Direction and guidance on what the above-mentioned thematic management plans should cover is provided in Error! Reference source not found.. A template for the SEMP is provided in REF _Ref3023485 \h \* MERGEFORMAT Error! Reference source not found..

I.4 Institutional Arrangements I. 4.1 Proposed project implementation arrangements

566. The wastewater treatment projects are a part of the GoK’s overall support to investments in wastewater management. A separate program provides funding to cities to expand the sewage network46.

567. The KOS will be procured under a DBO or DB arrangement depending on the actual presence and performance of existing O&M arrangements (either from the public or private sector).

46 KC to confirm the details of the program and funding available to cities since a standalone expansion of KOS will be an incomplete approach. 113

568. The KOS assets would be ring fenced. This is since the intent is to make the KOS expansion financially sustainable. This is possible only if the KOS is a ring fenced asset outside the Vodakanals (which are WSS providers). The reasons/ assumptions for this are as follows:

• The Vodokanals will not be able to set aside their revenues for KOS as a priority since existing arrangements with lenders would not allow them do prioritize cash flows to new assets47. • The KOS are one of the WSS assets that GoK intends to privatize in the future. Therefore, if they are ring fenced from the start, the future privatization program would be easier to implement. • Further, some Vodokanals are not fully State owned entities and therefore, if the KOS assets are ring fenced, it would be possible to provide them with State guaranteed funding for the proposed KOS expansion48. • Vodokanals49 do not have sufficient systems and capacity to manage the KOS which would have modern technology. 569. Proposed Project Implementation Structure is presented on Figure 21.

Figure 21: Proposed Project Implementation Structure

ADB Proposed Implementation Arrangement and Funds Flow: the “DB” component

Loan Sovereign Guarantee KazCenter ZhKH Republican funds for debt service GOK KUIFF

KUIFF KUIFF PMU Phase 1 Construction Project Management, Advance Payments Capacity Building Safeguards, Monitoring, Account DB contractor Akimat (Phase 2 & 3: + Project (Phase 2 & 3: DB contract Appraisal) + Facility Account) Approvals for land/KOS KOS construction transfer to KazCenter ZhKH

PIU Land/KOS Vodokanal Construction KOS Supervision

KOS tariff item Bill Customers

ADB = Asian Development Bank, GOK = Government of Kazakhstan, KUIFF = Kazakhstan Urban Infrastructure Finance Facility, KOS = Wastewater Treatment Plant, PMU = Project Management Unit, PIU = Project Implementation Unit

570. In the Program cities, the Vodokanal would operate the wastewater collection system and would be responsible for conveying the wastewater to KOS and would be in charge of the monitoring of the operation under the DBO contract supported by PIU units at city level.

47 ADB legal experts to validate/ invalidate this assumption 48 ADB legal experts to validate/ invalidate this assumption 49 GoK/ KazCenter ZhKh stand

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571. Where there is an existing KOS (which may need to be rehabilitated or operated as such), it would be transferred to the SPV owned by Akimat.50 (B in in Error! Reference source not f ound.21).

572. Both the existing and new KOS would be housed within the SPV51.

573. The KOS would be constructed using DBO model as a standard approach (Item D Error! R eference source not found.21) using ADB procurement procedures and model documents52. Where projected tariff is unlikely to meet anticipated O&M costs, a DB approach would be followed since “Operation” phase under DBO arrangement will not be sustainable53. The selection54 (under either DB or DBO contract) would be on competitive basis considering life cycle costs (construction, operation, efficiency parameters like energy consumption, land?, energy extraction etc).

574. Both the existing KOS and the new KOS would be operated by the DBO operator55

I.4.2. Construction56 and financing of KOS

575. The KOS would be financed through a sovereign loan from ADB to KazCenter which is guaranteed by GoK (Item C in in Figure 21).

576. KazC would on lend these funds to the SPV57 to meet the cost of KOS construction.

577. KazC will also procure the DBO operator at the request of the SPV. KazC will sign the DBO contract and undertake construction supervision (CSC firms will be recruited under the loan and Project Management Unit will be established to manage the Program). This option has been chosen since the SPV has to follow national procurement procedures58. Only entities that use IFI funds are likely to get an exemption from national procurement procedures. A Framework agreement to this effect has been signed between ADB and GoK and is awaiting ratification59. However, the SPV will not be considered as recipient of IFI funds since it is receiving the funds from KazC as a sub-loan. Therefore, they will not be eligible for this exemption.

578. Based on the feasibility study that it is carrying out, KazC will develop a proposal for establishing a KOS in the eligible cities. The proposal will outline technical scope and cost estimates. It would also outline loan terms60 and security. It will detail individual responsibilities of the stakeholders – KazCenter ZhKh, SPV, Akimat and the Vodokanal.

50 Legal feasibility to be confirmed 51 KazCenter ZhKh to confirm if a) staff operating existing KOS would remain in Vodakanal or would be transferred to the SPV; If DBO operator scope will also include existing KOS. 52 Will KazCenter ZhKh follow two different procurement procedures, one for EBRD and one for ADB cities 53 KazCenter ZhKh to confirm operating modalities in case DB arrangement is chosen 54 DBO/ DB approach to be developed further by procurement expert 55 Procurement to address take over of existing KOS and timelines for the same by DBO operator. Also environmental and technical liabilities of exiting plant/ asset replacement and repairs etc to be addressed. 56 To be developed by procurement expert 57 ADB legal experts to confirm that KC is allowed to lend to SPVs owned by Akimat. 58 ADB legal expert to confirm 59 As per ADB 60 Loan pricing policy to be developed by KazCenter ZhKhKazCenter ZhKh 115

579. An Investment Agreement (Item E in Error! Reference source not found.21) covering project a pproval, loan, procurement and construction supervision will be signed between KazC and SPV; and will also be co-signed by the Akimat and the Vodokanal to confirm their respective responsibilities.

580. KazC will appoint consultants/ contracted staff for construction supervision and for the support to the PMU (Project Management Unit).

581. KazC will directly make payments to the DB/ DBO contractor for construction (managed by PMU).

582. The KOS assets and the loan will be reflected in the books of the SPV as construction progresses or after construction is complete.61

583. KazC will also develop common KOS management systems (accounting, financial management, wastewater flows, effluent quality monitoring, energy metering, MIS, etc.) with a central M&E unit (this will be managed and performed by the PMU). This would be a common expenditure proportionately allocated to each KOS based on the share of project cost62. The KOS management systems would be designed and procured by KazC and would be offered/mandated for use to all DBO contractors.63

584. The EMP includes measures to raise project implementation effectiveness, such as the PMU and the DBO (Design Build Operation) will be required to engage the necessary staff for environmental safeguards and compliance. To build the capacity of KazCenter ZhKH in environmental management, the DBO will conduct environmental training workshops for the KazCenter ZhKh, SPV, Akimat and the Vodakanal at the preconstruction stage.

I.5 Reporting and Review of the EMP

585. The following reporting requirements will be followed during the implementation of the EMP and Contractor’s SEMP (See Table 48):

Table 48: Reporting Requirements

Responsibility Requirement Submitted to Contractor Quarterly Environmental and Social Reports Engineer / KazCenter PMU

61 ADB legal expert to confirm if asset and loan can be reflected within SPV during construction progress; and as each construction payment and loan disbursal is made. 62 Concept outline discussed with KazCenter ZhKh. To be further developed by technical team. 63 What if each KOS operator also has integrated systems along with their equipment/ plant.

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Engineer Monthly Environmental, Social and Health and Safety KazCenter Reports, to include at least the following items: PMU • Summary of Works to Date. • Status of EMP. • Status of Licenses and Permits. • Summary of camp site and work site inspections, i.e. observational monitoring by the Engineer. • Results of instrumental monitoring undertaken by the Contractor, including: o Air Quality o Noise o Soil o Surface Water • Non-compliances identified during the reporting period. • Update on previously identified non-compliances. • Correspondence with the Contractor regarding environmental and social issues. • Findings from stakeholder meetings (per the SEMP). • Table of grievances and actions to manage on-going grievances. • Summary of accidents during the reporting period. • Summary of meetings between the Engineer and Contractor regarding environmental, social and health and safety issues. • Overview of training provided by the Contractor during the reporting period.

The report will be published monthly on the RD website. RD / Engineer Bi-annual Environmental and Social Reports ADB summarizing the findings of the monthly and quarterly reports prepared by the Contractor and the Engineer External Annual Report ADB Monitoring Consultant

586. Review of EMP. The EMP shall be reviewed periodically to evaluate environmental controls and procedures to make sure they are still applicable to the activities being carried out. Reviews will be undertaken by the Contractor’s Environmental Specialist and Engineer as follows:

• The full EMP shall be reviewed at least annually; • Relevant parts of the EMP shall be reviewed following a reportable incident; • In case any issues of failure of mitigation measure to reduce the impact occurs; • Relevant parts of the EMP shall be reviewed following the receipt of an updated site specific or topic specific plan; and • At the request of stakeholders.

587. The review shall include analysis of the data collection and analysis of data, monitoring reports, incident reports, complaints/grievances and feedback from stakeholders.

588. The Contractor is responsible for the preparation of monthly environmental monitoring report that should be sent to Supervision Consultant (SC).

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589. The Supervision Consultant is responsible for the preparation of quarterly environmental monitoring reports that should be sent to KazCenter PMU.

590. The Environmental Specialist is responsible for the preparation of bi-annual and quarterly environmental monitoring reports and will provide to ADB and KazCenter PMU. Semi-annual environmental monitoring reports will be posted on ADB website, and available in Kazakh language.

I.6 Inspection

591. The Employer will regularly inspect works undertaken by the contractor to check on the implementation of environmental management and monitoring requirements. A noncompliance notice will be issued to the contractor if the employer requires action to be taken. The contractor is required to prepare a corrective action plan which is to be implemented by a date agreed with the employer. The non-compliances will be ranked according to the following criteria:

• Non-compliance Level I: A noncompliance situation not consistent with the requirements of the concession agreement, but not believed to represent an immediate or severe social or environmental risk. Repeated Level I concerns may become level II concerns if left unattended.

• Non-compliance Level II: A noncompliance situation that has not yet resulted in clearly identified damage or irreversible impact, but which potential significance requires expeditious corrective action and site-specific attention to prevent severe effects.

• Non-compliance Level III: A critical situation, typically including observed significant social or environmental damage or a reasonable expectation of very severe impending damage, intentional disregard of specific prohibitions is also classified as a level III concern. The failure to prepare a corrective action plan or to implement it within the required time frame will result in the owner undertaking the works and the cost, and 20% will be recovered from the final payment to the Contractor.

592. The contractor will have a system for recording and communicating any complaints received by any person employed by or contracted to the Contractor. All complaints will be communicated in writing to the Employer within one working day of the receipt.

I .7 Implementation Costs

593. The Costs for Environmental Management of the project shall mainly consist of the (i) monitoring of works by the EMS who will be employed by the SC; (ii) baseline and regular parametric measurements of noise, dust and emission (water quality testing may not be needed unless water supply sources will be affected by the construction works). All of the implementation of mitigation measures shall be part of the contractual works and obligation of the Contractor.

594. The cost for the environmental management for construction period is tentatively estimated in the Table 49.

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Table 49: Environmental Management Cost

Total Item Quantity1 Unit Cost Remarks Cost Updating the IEE for 1 the detailed design

To be conducted by the Baseline Parametric Contractor for noise, air 6 200 USD 1,200 Measurements emissions, dust (and water, if necessary)measurements Monthly Parametric Tests to be conducted by Measurements (at 72 200 USD 14 400 the Contractor at 2 sites x36 least 2 sites) months monthly monitoring The costs are included in the Environmental 36 contract signed between Management 2,500 USD 90 000 months Balkhash Vodokanal and SC Specialist (SC) and no additional costs will occur. Environmental The costs will be included in specialist 36 month 1500 USD 54000 the contract signed between (Contractor) Balkhash Vodokanal and Contractor. To be installed by Contractor Construction dust 100000 1 100000 at the WWTP construction and noise barriers USD site Miscellaneous 259600.00 10% for above Items Subtotal 285560.00 Total for above

1To be established by CS Consultant and international environmental consultant. 119

K. CONCLUSIONS AND RECOMMENDATIONS

K.1 Recommendation

595. The environmental impacts of infrastructure elements proposed in the waste water system construction subproject in Balkhash have been assessed and described in the previous sections of this document. Potential negative impacts were identified in relation to design, location, construction and operation of the sub project components. Mitigation measures have been developed to reduce all negative impacts to acceptable levels.

596. Mitigation measures were discussed with engineering specialists, and some measures have already been included in the designs.

597. Regardless of these and various other actions taken during the IEE process and in developing the project, there will still be impacts on the environment when the infrastructure is built and when it is operating. Appropriate monitoring measures to guarantee the long term and sustainable operation of the waste water system are presented in a monitoring plan.

598. When operating, waste water components will have overall beneficial impacts to human health and the environment as it will provide the inhabitants of Balkhash with a new waste water system.

599. The main beneficiaries of the improved system will be the citizens of Balkhash, who will be provided with a new waste water system. This will improve the quality of life of people as well as raising the standards of both individual and public health as the improvements in hygiene should reduce the incidence of disease. This should lead to economic gains as people will be away from work less and will spend less on healthcare, so their incomes should increase.

600. Mitigation will be assured by a program of environmental monitoring conducted during both construction and operation to ensure that all measures are provided as intended, and to determine whether the environment is protected as envisaged.

601. The recommendation of this Environmental Assessment process is that all mitigation, enhancement and monitoring activities proposed here shall be implemented in full. This is essential to ensure that the environmental impacts are successfully mitigated; this is the responsibility of the Implementing Agency (IA).

602. The conceptual design prepared under the project does not address sludge management at this stage using the biogas method. It is desirable that both economic and ecological positive aspects of this approach be considered as an alternative at the detailed design stage.

K.2 Conclusion

603. The environmental impacts of the proposed waste water components have been assessed by the Initial Environmental Examination reported in this document.

604. An Environmental Management Plan (EMP) has been prepared and will be implemented during the project implementation. The EMP identifies the potential environmental impacts

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arising from the project along with a set of the mitigation measures to reduce the impacts to acceptable levels. It also includes the institutional arrangements for implementing the EMP to ensure its effectiveness.

605. The overall conclusion of the IEE is that provided the mitigation and enhancement measures are implemented in full, there should be no significant negative environmental impacts as a result of location, design, construction or operation of the subproject. There should in fact be positive benefits through major improvements in quality of life and individual and public health once the scheme is in operation. Project will stimulate economic growth. The waste water good quality is a prerequisite for tourism development. Standard of individual and public health will improve as a result of the project. Project will generate new job opportunities.

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ANNEXES

Annex 1: Environmental Management Plan

Annex 2. Environmental Monitoring Plan

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Annex 5. Rapid Environmental Assessment (REA) Checklist

Annex 6. Chance Find Procedures

Annex 7. Guidance on Public Consultations within the COVID19 limitations context

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Annex 1: Environmental Management Plan

Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts A. Project Preparation and Initial Environmental Examination (IEE) Development Feasibility IEE updating • Submit IEE for review and comments by ADB and KazCenter Approval of IEE by ADB and Study PMU KazCenter

Public • Conduct public consultations in target district PMU Report on public consultations consultation results in IEE;

Grievance • Prepare GRM PMU Approval of IEE and GRM by Redress • Validate requirements with KazCenter ADB and KazCenter Mechanism (GRM) B. Detail Design Establishing Environmental • Hire ES KaaCenter ES hired Project Specialist (ES) Implementati on Unit (PIU) Capacity Training on • PMU and the DBO (Design Build Operation) will be required to engage DBO Workshop will be conducted Building ADB the necessary staff for environmental safeguards and compliance. To Records conducted workshops and Environmental build the capacity of KazCenterZhKH in environmental management; trainings Safeguards • DBO will conduct environmental training workshops for the KazCenterZhKh, SPV, Akimat and the Vodakanal at the preconstruction stage. • Training workshop on ADB Environmental Safeguards for , PMU and PIU

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EIA (OVOS) Incorporating • Review, update, and ensure incorporation of this IEE and measures Design Approval of updated EMP/ IEE preparation IEE results and defined in current EMP into subproject detail design, decision- Building (DB) by KazCenter and ADB by detail EMP into detail making, and national EIA (OVOS) process Contractor - Approval of project IEA (OVOS) design design process by State Environmental Building Expertise Contractor (DBC) 111

Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts Climate • Incorporate into detail design adequate considerations and DB Consultant Approval of IEE and detail change provisions in relation to climate change aspects in subproject area design by KazCenter and ADB impacts through recommended climate change adaptation measures and good engineering design practices

Public • Archaeological research should be undertaken during detail design DB Consultant - Archaeological report cultural as required by laws - Approval of the subproject resources from State Expertise Grievance • Establish GRM PIU, GRM established will be intended Redress • Appoint GRM coordinators / focal points districts branch Mechanism • Conduct initial and refresher training for coordinators / focal points / of KazCenter stakeholders / affected people on GRM procedures

Public • Conduct public consultations on decisions made in regards to detail Consultant, Report on public consultations on design, present updated IEE/ EMP, and get feedback to consider in districts branch consultations included into detail design IEE/ final subproject design of final IEE. EMP • Explain established GRM, disseminate information and contacts KazCenter Approval of IEE by KazCenter and ADB Bidding IEE and EMP • Include EMP obligations in tender documents and specifications, PMU Bidding documents approved documents requirements referencing to this IEE and EMP by PMU and ADB

C. Pre-Construction Stage Pre- Contractor’s • Contractor shall hire a full-time environmental specialist(-s) with DB Contractor Environmental Specialist construction Staffing relevant background and sufficient experience to ensure compliance of Contractor hired arrangements with all applicable national laws and regulations, obtain all necessary environmental licenses and permits, and implement EMP All licenses and permits will be requirements obtained

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Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts

Roles and • Assign roles and responsibilities related to subproject’s PIU Roles and responsibilities responsibilities Environmental Monitoring and Reporting System assigned

Environmental • Conduct environmental protection training on implementation and PMU Training will be delivered Protection Training supervision of subproject’s environmental mitigation measures for PIU, Supervision Consultant and Contractor

Site Specific EMP • Prior to any construction works may commence, prepare Site Specific DB Contractor SSEMPs will approv by EMPs for each construction site based on requirements set forth in Supervision Consultant and bidding documents, design package IEE/ EMP, actual on- site PMU conditions and decisions on work arrangements

Baseline • Conduct initial baseline monitoring of water and soil quality at DB Contractor Baseline monitoring results monitoring approved locations prior to commencement of construction works, to track changes due to consequent project implementation

D. Construction Stage 113

Air quality Dust Emissions Transportation of materials and vehicle movement: DB Contractor Dust related generation • All dust generating roads should be watered to suppress dust complaints Visual formation during movement of vehicles, as frequent as necessary depending on circumstances. inspection • During hot dry summer days and active construction works, it is a usual practice to water access roads every two hours. • Trucks carrying earth, sand or stone should be covered with tarpaulins or other suitable cover.

Stockpiles of materials and spoil:

• All stockpiles should be managed to reduce dust emissions Stockpiles should be located downwind of sensitive receptors, • Stockpiles emitting dust should be sprayed with water prior to moving • If a stockpile is within 300 m of sensitive receptors, precautions should be taken to avoid dust generation, including using of a reusable stockpile cover and fencing to form a high barrier to prevent wind lifting and dispersing

Construction sites:

• Water should be sprayed on construction sites and material handling routes, where fugitive dust is generated • No burning is allowed on any construction sites throughout the project implementation period • Construction vehicles and machinery should be maintained to a high standard to minimize emissions and should avoid unnecessary idling to save fuel and reduce emissions • Manufacturing plants locations should be agreed with Supervision Consultant and should be downwind and at least 500 m from nearest residential area

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Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts Noise Noise • Noise monitoring should be organized at sensitive receptors DB Contractor Noise related and • All exhaust systems should be maintained in good order vibration complaints Monitoring • Noise generating equipment should be located at least 300 m from any sensitive areas reports • Noise generating equipment at construction sites should be isolated and, where possible, should be faced away from most sensitive directions • All construction workers should be provided with Personal Protective Equipment (PPE) and use them against high noise and/ or lengthy exposure • Noisy works and vehicle movement near sensitive receptors should be limited to daylight working hours • Measures should be taken to reduce any noise disturbance to community, including advance warning on timing of noisy activities, seeking suggestions from community members to reduce noise annoyance, and dissemination of procedure on handling complaints through GRM

Vibration • Project area and vehicle movement routes should be inspected for DB Contractor Vibration related complaints sensitive structures; pictures and precautions should be taken to avoid vibration impacts on sensitive structures near project sites and roads, prone to cracking and breaking caused by vibration from construction activities 115

Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts

Soil Soil erosion • Minimize unnecessary encroachment onto adjacent lands to reduce DB Contractor Visual inspection area of disturbance to vegetation and soil • Fertile topsoil layer should be cut and stockpiled separately from spoil material to be readily available for later use in slope stabilization and land reinstatement works • Where possible, surplus soil should be used for earth filling works at approved locations • Excavation width and depth should be kept to a feasible minimum to reduce extra spoil generation • Settling ponds, silt fences and screens should be used to prevent sediment transport into surface water • Works and material handling should be limited during heavy rains and high winds to minimize soil erosion • All disturbed sites prior to project completion and commissioning should be reinstated at least to pre-project conditions by (i) cleaning area from wastes and debris, (ii) mechanical remediation and (iii) biological revegetation with native plants

Soil contamination • Petroleum products, hazardous materials and wastes should be DB Contractor Visual inspection stored covered from precipitation, on an impermeable surface, and secured from acts of vandalism • Fuel tanks shall be installed on an impermeable ground in a bunded area with capacity of 110% of fuel tank.

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Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts • Avoid soil contamination with petroleum products, lubricants, or hazardous materials during equipment maintenance and repair, field refueling, and hazardous material handling • Organize spill response kit at each construction site for collection and storage of contaminated soil and provide training for workers on use of spill response kit

Surface water Surface water • No equipment washing is allowed in any surface water bodies DB Contractor Visual inspection contamination throughout the project implementation period • No wastewater shall be dumped into any water bodies Monitoring • Wastewater from labor camp and construction site should be reports canalized into septic tanks without contacting ground • Septic tanks should be timely emptied by a hired septic truck and transported to legally approved treatment facility or dumpsite • Fuel storage, equipment maintenance and repair workshops, and vehicle washing areas shall be stationed at least 300 m away from any water body

Solid wastes Waste and • No wastes shall be burned throughout the project implementation DB Contractor Waste and Spoil Management spoil period Plan approved by Construction management • Develop Waste and Spoil Management Plan for handling, storage and Supervision Consultant and PIU disposal of construction, household wastes, at project sites and selected dumpsites Visual inspection • Waste and Spoil Management Plan should indicate approved spoil disposal sites, which should not to be on slopes or near pasture lands, and should have further plans for rehabilitation • All construction wastes and demolition debris should be disposed at authorized locations 117

Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts • Trees and bushes cut under the project works can be provided for use to local households • All household wastes shall be collected into confined waste containers equipped with covers installed away from sensitive areas • Use waste management hierarchy: (i) avoid waste generation at source; (ii) minimize waste generation, where it is inevitable; (iii) reuse or recycle if possible; (iv) dispose at authorized locations.

Flora Impacts on flora • Acquire tree cutting permit from local forestry and wildlife DB Contractor Visual inspection and and fauna department for any trees to be cut under the project fauna • For any tree cut or valuable grassland area disturbed for project needs, replant trees or re-vegetate areas at other approved locations; best practice is three trees planted for one cut • Use only native plants for re-vegetation of disturbed areas • Identify, demarcate and protect sites where small animals, reptiles, and birds of common species live, such as vegetated roadside areas, tree belts, inner areas of bridges, river riparian zones, etc. • Strictly prohibit poaching of wildlife and damaging plants

Public Impacts on PCR • If any paleontological fossils, archaeological finds or other important DB Contractor Visual inspection cultural objects (including human bones, which may have criminal resources background) are encountered during construction, all activities at that location shall stop and local authorities shall be notified; works may restart only after fulfillment of prescribed measures and permission received to resume works

Health Occupational • DB Contractor shall allocate budget for Occupational Health and Contractor HSE Management Plan should be and Health and Safety measures; approved by Supervision Safety Safety • Health and Safety Specialist shall be hired to develop, implement, Consultant and PIU and supervise Health and Safety Management Plan (HSMP),

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subject to approval by Supervision Consultant • H&S Specialist will conduct initial and regular refresher training for all workers on labor rights, occupational health and safety matters, ensure provision and distribution of Personal Protective Equipment (PPE), and keep record and report any H&S incidents • HSM Plan shall follow national legislation requirements and include among others requirements to: (i) norms on provision of fresh water at all sites; (ii) adequate hygienic and sanitation facilities; (iii) labelling, warning, storage, and handling procedures for hazardous liquid materials; (iv) emergency response procedures; (v) records of occupational accidents, diseases, and incidents; (vi) OH&S publications, such as brochures, leaflets, posters in Kazakh and Russian languages at relevant construction sites; (vii) monthly reporting on labor profile, including information on workers’ place of origin, gender, ethnicity, type of contract (full-time/ part-time, unskilled/ semi-skilled/ skilled, management, administration) (viii) ensure all workers have officially signed contracts, correct and timely pay, no excessive use of overtime. • Child labor at this subproject is prohibited by national laws and ADB requirements with minimum full 16 years of age. 119

Project Potential Mitigation measures Institutional Monitoring Indicators stage/ issues/ responsibility aspect important factors/ impacts Community Safety • Temporary traffic management and road safety awareness Contractor Visual inspection measures should be taken to ensure safety of nearby residents, community and visitors Clear signs shall be installed in view of public, warning people of potential dangers, such as moving vehicles, hazardous materials, etc.; all dangerous sites should be secured from unauthorized access

GRM Grievance redress • GRM focal point should be appointed to implement GRM Contractor GRM established mechanism

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Project Potential Mitigation measures Institution Monitoring Indicators stage/ issues/ al aspect important responsibil factors/ ity impacts E. Operation Stage Contamination PMU O&M Plan prepared and Risk of • Operation and Maintenance Plan should be developed after taking over of of water bodies implemented accidental works by KazCenter

release of • O&M Plan should include provisions for regular inspection and untreated maintenance WWTP wastewater • Before operation Phase commencement the “Emergency Management Plan” from the should be prepared. WWTP • provision of dual power supply; • spare parts for key components; • regular inspection and proper maintenance of the WWTP; • automated on-line, real-time monitoring of influent and effluent quality;

Foul Odor Off- Air • close monitoring of the aerobic units to ensure the conditions are not anoxic PMU O&M Plan prepared and site Migration emissions (without enough oxygen), implemented from WWTP • landscaping with trees and shrubs around the facility shall be done to position them as wind breaks, and • conduct of WWTP‟s annual odor audit to identify operational measures that can prevent odor problems

Disturbance/ Air emissions • Consulting company has to define the noise level and its spreading area PMU O&M Plan prepared and nuisance/ noise generated at the stage of WWTP operation; implemented due to • Additional changes will have to be included in the design if required and also operation noise reducing barriers will have to be arranged activity

ADB = Asian Development Bank; KazCenter = Executive Agency; PMU = Project Management Unit; IEE = Initial Environmental Examination; EMP = Environmental Management Plan; SSEMP = Site Specific Environmental Management Plan; Construction sites = include access road, areas around project, water regulating devices, material storage, labor camp, borrow pits, dumpsites, and any other physically affected areas. 121

Annex 2: Environmental Monitoring Plan for general construction activities in Balkhash

Item Parameter Frequency Action Level Response When Responsibility Action Level Exceeded

Pre - construction Tender documentation Environmental Issues Once before bid Environmental audit of The bidding document shall SC announcement bidding documents to ensure reflect all environmental relevant sections of the EMP mitigation measurements have been included Contract documentation Environmental Issues Once before contract Environmental audit of The contract document shall SC with constriction signature contract documents to reflect all environmental contractor ensure relevant sections of mitigation measurements the EMP have been included Construction Ambient Air Dust Continual Visual assessment If dust levels are above SC during the Works acceptable visual levels, implement dust suppression

Impact Monitoring techniques (wetting down area) and/or assess weather

Compliance conditions and maybe Monitoring temporarily cease works until conditions ease Noise (15 minute) Only as required: +20 dBA for short If noise action level is exceeded SC Noise Levels Periodic attended term (1 Month) then review work Monitoring at hourly practices and noise intervals at nearest control procedures, potentially sensitive including maintenance of receivers. equipment, installation of silencers, provision of noise barriers and modification of work hours. Noise (15 minute) Dally (At the nearest Measurement If noise action level is SC Noise Levels receptors) exceeded, then review work practices and noise control procedures, Water Quality Quality/ Continue Guideline / license If contaminant SC Contaminant requirements (whichever is concentrations/license concentrates In rain weather Applicable) conditions are exceeded, Impact Monitoring review disposal options.

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Waste Segregation, Monthly - Visual assessment during Solid waste cycled as 0 % of SC Management Storage and inspection the works; movement of solids or liquid Implications transport of - Field inspection, waste through the soil, rocks, wastes - Report of waste volumes water, atmosphere. generated. - Report and record all leakages and spills - Impact Monitoring. - Compliance Monitoring Ground Soil Continual Assess adequacy of If controls have failed or are SC Monitoring sedimentation/environmental found inadequate, cease works and Erosion controls on-site immediately and repair to an Control Impact Monitoring acceptable standard Ecological Fauna and Continual Minimal ecological impacts Required to ensure the SC Resources Flora Impact Monitoring recommended mitigation measures are properly implemented. Landscape Surface Once at the Minimum disturbance of the Required to ensure the SC and Visual treatment of Completion of original landscape. Impact recommended mitigation temporary work Monitoring measures are properly structures implemented Operation

WWTP quality BOD5, COD, weekly Compare with design Balkhash monitoring, inflow Nitrogen, parameters Vodokanal Phosphorus WWTP quality Oxygen daily Compare with design Adjust treatment process Balkhash monitoring, parameters Vodokanal aeration tank WWTP quality Sludge volume daily Compare with design Adjust treatment process Balkhash monitoring, parameters Vodokanal aeration tank WWTP quality Dry matter Thrice per Compare with design Adjust treatment process Balkhash monitoring, contents week parameters Vodokanal aeration tank WWTP quality Dry matter Weekly Compare with design Adjust treatment process Balkash monitoring, contents of parameters Vodokanal aeration tank return sludge WWTP quality Microscopical Twice per Compare with design Adjust treatment process Balkhash monitoring, analysis week parameters Vodokanal aeration tank 123

WWTP quality Temperature, daily Compare with Adjust treatment process Balkhash monitoring, pH, suspended permission Vodokanal outflow solids WWTP quality BOD5, COD, weekly Compare with Adjust treatment process Balkhash monitoring, NH4-N, NO3-N, permission Vodokanal outflow WWTP quality NO2-N monthly Compare with design Adjust treatment process Balkhash monitoring, parameters Vodokanal outflow WWTP quality Coliforms monthly Monitor development Balkhash monitoring, Vodokanal outflow WWTP quality temperature, pH daily Compare with design Adjust treatment process Balkhash monitoring, parameters Vodokanal sludge treatment WWTP quality Dry matter monthly Compare with design Adjust treatment process Balkhash monitoring, contents parameters Vodokanal sludge treatment WWTP quality loss on ignition monthly Compare with design Adjust treatment process Balkhash monitoring, parameters Vodokanal sludge treatment WWTP quality sludge gas daily Compare with design Adjust treatment process Balkhash monitoring, parameters Vodokanal sludge treatment WWTP quality sludge as required Compare with design Adjust treatment process Balkhash monitoring, production parameters Vodokanal sludge treatment (watered, dewatered) WWTP quality energy daily Compare with design Adjust treatment process Balkhash monitoring consumption parameters Vodokanal WWTP quality Methane monthly Check occurrence Check sludge treatment Balkhash monitoring installations Vodokanal Lake Balkhash Suspended weekly Sample taking, water Compare with effluent Balkhash water quality particles, BOD analysis, compare with quality, adjust treatment Vodokanal monitoring overall, COD, baseline data process Total Nitrogen, Total Phosphorus WWTP operation Noise monthly Compare with Inspect installations Balkhash National standards for Vodokanal noise control

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WWTP operation Odor monthly Compare with normal Inspect installations Balkhash odor levels Vodokanal Infrastructure Breaks / Monthly Visual Assessment If breaks/ failures occur, Balkhash Deteriorations/ inspection Public Complaints close isolation valves (or Vodokanal Leakage Compliance Monitoring plug manholes)immediately and repair / replace to unacceptable standard. Balkhash Lake O2 Twice per day Balkhash during failure of Vodokanal WWTP 125

ANNEX 3: THEMATIC MANAGEMENT PLANS

Before the construction starts, the Contractor will prepare a number of thematic management plans and method statements consistent with the EMP for review and approval by the RD. Approval will be required prior to construction commencing. Contract documents shall explicitly indicate that construction cannot start until all documents are approved. The thematic management plans include the following:

1. Waste Management Plan

The Contractor will ensure that, for the relevant areas, waste is managed in accordance with local and national policies, as well as with international best practice.

An overarching Project-wide Waste Management Plan should be produced by the Contractor and used to ensure a consistent approach to managing waste at the construction sites. The Project wide plan should provide a central location for all Project waste information to ensure that waste is effectively managed in accordance with the waste hierarchy, meeting regulatory control requirements, and reducing waste disposal costs.

The Project-wide plan should: • make reference to statutory waste management requirements and obligations’ • record the Contractor’s responsible person(s) for waste management; • set out waste handling procedures; • set out waste transportation procedures; • set out waste disposal procedures; • set out auditing and other oversight requirements; • record the waste types generated by the entire Project; • provide details of waste minimization actions; • provide project-wide waste forecasts for each waste type; and • contain a complete register of all approved waste carriers and receptor sites for the Project.

The Contractor is also required to produce a Wastewater Management Plan and a Spoil Disposal Management Plan. These plans can be treated as separate management plans or within the overall Waste Management Plan.

2. Wastewater Management Plan

The Wastewater Management Plan will need to identify:

• plans for provision of sanitary latrines and proper sewage collection and disposal system to prevent pollution of watercourses or groundwater; • plans for the operation of the work camp (if any) indicating proposed arrangements for the collection and disposal of sewage consistent with applicable national regulations (e.g., provision of sanitary latrines, installation of proper sewage collection, and disposal systems designed to prevent pollution of land and watercourses; • plans detailing how wastewater would be collected from all wastewater generating areas, as well as storage and disposal methods. If the Contractor intends to carry out any on-site wastewater treatment, this should also be included.

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3. Spoil Disposal Management Plan

The Spoil Disposal Management Plan will need to identify: 127

• the approach taken to excavated material and waste management taking into account the waste hierarchy; • procedures for identifying contaminated soil; • the dedicated area for the handling and storage of excavated materials; • where the practicable opportunities for the use of material with recycled content during construction will be adopted; • the types of excavated material and waste removed from site, its description and estimated quantities of waste generated; • the authorized waste carrier details; • plan for waste segregation to maximize opportunities for reusing and recycling; • the types of training that will be provided to all site workers on waste management and recycling procedures; • disposal routes and permitting requirements; and • details of the site that the waste and/or material will be and was taken to.

A soil disposal assessment template is provided as an annex in this IEE and should be utilized to confirm that the site selected is appropriate and the level of assessment is sufficient to meet ADB safeguards requirements.

4. Soil Erosion Management Plan

The Soil Erosion Management Plan addresses the management and mitigation of significant impacts relating to soil erosion on the site for the proposed Project. The aims of the Management Plan are to provide: • a general framework for erosion management, which enables Contractors to identify areas where erosion can be accelerated from their actions; and • an outline of general methods to monitor, manage, and rehabilitate erosion to ensure that all erosion caused by this development is addressed.

This Management Plan serves as a guideline to be applied by all Contractors on the Project. The plan is an evolving guideline, however, that needs to be updated or adapted as conditions change within the Project area, and successes and failures of procedures are identified. The objectives of the ESMP are to: • identify the risk from soil erosion across the Project site and in relation to the areas and water assets; and • identify and set prescriptive management actions to protect key assets in identified high risk areas.

5. Traffic Management Plan

A site-specific Traffic Management Plan will be produced, coordinated, and then implemented by the Contractor. The Management Plan will be prepared in consultation with traffic authorities and the emergency services. The Plan will need to be approved by the KAZCenter in consultation with the relevant local authorities. The Plans will need to include:

• site boundaries and the main access/egress points for the worksites; • temporary and permanent closures and diversions of roads or highways (including program and/or phasing); • the strategy for traffic management such as the use of parking measures and/or site operatives to manage how construction vehicles will enter and exit the sites;

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• local routes to be used by trucks, cranes, and abnormal loads generated by construction activity including, where required, the timings of use of such routes, truck holding areas, truck route signing strategy, means of monitoring truck use, and any routes prohibited from use; • a schedule and program of the planned traffic management schemes and measures required to undertake the works; • required bus diversions and bus stop locations; • measures (including notification to suppliers) to address potential risk to residents and activities on local roads adjacent to the construction site. These will include where appropriate restrictions on delivery hours where practical, and strict enforcement of speed limits; and • procedures for carrying out regular full safety audits on all highway works and temporary diversion routes.

6. Method Statement for Temporary Roads

The purpose of this document is to describe plans for the use of temporary roads (also referred to as access/haul roads), including designs for construction of new temporary roads (if applicable). The statement shall be prepared with contribution from and in consultation with relevant traffic authorities and should cover measures to maintain the temporary roads (i.e., erosion protection, dust prevention, reinstatement, etc.)

7. Aggregate and Borrow Pits Management Plan

The Aggregate and Borrow Pits Management Plan will describe work activities, technology, potential environmental impacts, and mitigation measures for aggregate/borrow pits (if operated by the Contractor) and extraction sites. Contractors will ensure that:

• borrow areas will be located outside protected areas and the Lake Balkhash and avoid valuable pasture/grazing land; • after use, borrow pit areas will be graded to ensure drainage and visual uniformity; • borrow pit restoration will follow the completion of works in full compliance with all applicable standards and specifications; and • topsoil from borrow pits will be saved and used during restoration were possible.

The plan should provide information on the following:

• the location and extent of extraction areas, current land use, and assessment of the character and key features of the surrounding area; • a reclamation strategy and plan; • a summary of compliance and copies of licenses obtained in accordance with national and local laws; and • a plan showing the proposed main haul routes to and from the site.

8. Employment and Procurement Procedure

During the construction phase of the Project, temporary and permanent workforce will be employed by the Contractor, subcontractors, and other contractors. Contractors to comply with all applicable labor laws and core labor standards, including the Core Labor Standards of the ADB. 129

The prime Contractor will have a fundamental role in the process of managing the supply chain and implementing mitigation measures. The Contractor will implement its own Employment and Procurement Procedure, providing details on management methods and mitigation measures in line with this EIA. The plan should include the following:

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• provisions prohibiting employment of child laborers and forced labor; • provisions encouraging employment of women; • provisions on equal pay for equal work of equal value regardless of gender, ethnicity, or caste • provisions on dissemination of information on sexually transmitted diseases, including HIV/AIDS, to employees and local communities surrounding the Project sites • grievance mechanism that ensures concerns are addressed promptly using an understandable and transparent process that provides timely feedback to those concerned, without any retribution; • a general framework which allows the Contractor to track the number of local firms, workers, and women that are/have been employed; and • the types of training that will /have been provided to all site workers.

9. Occupational and Community Health and Safety Management Plan

For management of occupational health and safety (OHS), the Contractor will prepare a Occupational and Community Health and Safety Management Plan for the construction workers based on the EMP and in line with Kazakhstan legislation. The detailed management plan will include the following provisions:

• Clean Water. Provide a clean and sufficient supply of fresh water, for construction and for camps (if established), offices, and workshops. • Sewage and Wastewater. Provide an adequate number of latrines and other sanitary arrangements at the site and work areas and ensure that they are cleaned and maintained in a hygienic state. • Solid waste. Provide garbage receptacles at construction site and camps, which will be periodically cleared. • Liquid Chemical Waste. Provide receptacles in suitably bunded areas for the storage of liquid chemical waste prior to disposal. Include clear warnings with health risks. • Personal Protection. Provide personal protection equipment (PPE), such as safety boots, helmets, gloves, protective clothing, goggles, and ear protection, in accordance with relevant health and safety regulations, for workers. • Emergency Preparedness and Response. An Emergency Response Plan (prepared separately) to take actions on accidents and emergencies, including public health emergencies associated with hazardous material spills and similar events will be prepared. Emergency phone contacts with the nearest hospitals will be established. The Contractor will ensure that qualified first-aid can be provided at all times. Appropriately equipped first-aid stations should be easily accessible throughout the Project site. • Records Management. A Records Management System that will store and maintain easily retrievable records protected against loss or damage should be established. It will include documenting and reporting occupational accidents, diseases, and incidents. The records will be reviewed during compliance monitoring and audits. • Safety Communication. Ensure that safety, rescue, and health matters are given a high degree of publicity to all persons regularly or occasionally at active construction sites. Posters in Russian and any other language appropriate for the Contractors drawing attention to relevant health regulations will be made or obtained from the appropriate sources and will be displayed prominently at the site. • Training, Awareness, and Competence. Train all construction workers in basic sanitation and health care issues, general health and safety matters, and on the specific 131

hazards of their work. Implement HIV/AIDS and other communicable diseases awareness and prevention program to target the local community and construction workers.

10. Emergency Response Plan

The Emergency Response Plan will contain the following as a minimum:

• guidance on the storage and use of hazardous materials with the aim of preventing and containing spills and releases; • guidelines on the degrees of containment which take account of the nature of the materials and the sensitivity of the environment; • procedures and appropriate information required in the event of any incident such as a spillage or release of a potentially hazardous material; and • systems for notifying appropriate emergency services, the KazCenter PMU and other relevant authorities, and the Contractor's personnel.

11. Air Quality Plan

Plan that outlines measures that will be taken to limit emissions emanating from construction related operations. Such measures may include, but are not limited to:

• spraying/paving of internal haul roads; • spraying of stockpile and plant areas during dry and windy conditions; • siting of plant and machinery away from sensitive receptors; • provision of landscaping around the perimeter of the site, or around the dust emitting activity; • dust suppression on plant and machinery; • seeding and landscaping of berms and other open areas not directly affected by extraction operations; • reduction of emissions from site vehicles; • continual plant operator training, and management of driver behavior; • measures to ensure road cleanliness; and • monitoring and recording of dust-generating activities.

12. Spill Management Plan

The Contractor’s Spill Management Plan will document the specific requirements, protocols, responsibilities, and materials necessary to implement an emergency spill response following an incident. The Management Plan will contain:

• an assessment of the type of materials to be used and the risk of contamination; • guidance on the storage and use of hazardous materials, with the aim of preventing and containing spills and releases; • guidelines on pollution prevention for sites on or adjacent to the Balkhash River and other watercourses; • procedures to be adopted in the event of a pollution incident, to contain and limit any adverse effects; • systems for notifying appropriate emergency services, authorities, and the Contractor's

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personnel; • standby equipment and materials; and • specific arrangements for sites on or adjacent to the Balkhash Lake.

13. Noise Management Plan

The Noise Management Plan should outline measures that will be taken to limit noise emanating from the Project construction and related activities. Descriptions of the following measures should be included:

• the use of temporary noise barriers around noisier activities/machinery; • siting of plant and machinery away from sensitive receptors; • construction of berms or other noise barriers between the site and receptors; • noise dampening apparatus on plant and machinery; • limitations on working hours; • regular maintenance of all plant and machinery; • appropriate surfacing/grading of internal haul roads; • regular monitoring of noise and vibration levels; • use of plant and machinery that is suited to its application; • continual plant operator training, and management of driver behavior. • pre-construction survey of the nearby buildings for documents existing cracks and other issues; • minimize use of backup alarms to the extent possible; and • under water noise measurements during coffer dam construction and impact pilling.

14. Laydown Area and Construction Camp Management Plan

The Laydown Area and Construction Camp Management Plan should propose preventive/mitigation measures for environmental impacts of laydown areas and the construction camp, i.e., offices, accommodation facilities, testing facilities/laboratories, batching areas, storage and stockpiling areas, workshops, vehicle washing areas and all other areas/facilities required for the undertaking of activities required for completion of the Project. The Management Plan should contain procedures for establishing and operating laydown areas and work camps in order to safeguard nearby communities and environment resources.

The Management Plan should comprise the following details:

• details of the sites selected; • site preparation; • arrangements/ facilities within the laydown area and camp; • mitigation measures that will be undertaken as per the EMP; • re-development plan; and o list of structures to be demolished and list of the cleanup activities that needs to be undertaken o proposed use of the land after demobilizing o presence of facilities that could be put in use by the land owner if it is a leased out private land or community in case of a public property • working drawings and certifications. o electrical plan showing the electrical network planned for the site o location of plants, generators, master switch boards, etc. plumbing drawing showing the network of water supply lines, sewerage line, and drainage line, copy of certificates / permissions obtained from regulatory authorities / local governing body / community etc. as applicable; copy of agreement entered with the owner of the 133

site if it is a leased-out land.

15. Asphalt, Rock Crushing, and Concrete Batching Plant Management Plans

The Management Plans should include, but not be limited to, providing method statements and information on the following:

• Asphalt Plant Management Plan on Description of the layout and management of asphalt plant, including management of bitumen (if planned to run own facility) • Rock Crushing and Concrete Batching Plant Management Plans on description of the layout and management of crushing and concrete batching plants, including waste water discharge, dust management, etc. on Method Statement detailing cement storage, concrete batching areas and methods, method of transport of cement and concrete, storage and disposal of used cement bags, and spill contingencies for each concrete batching operation.

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Annex 4. Specific Environmental Management (SEMP) Plan

Content of SSEMP Chapter Brief Description of each chapter 1. INTRODUCTION & OVERVIEW OF THE SITE Brief description of the project; ADB environmental SPECIFIC EMP category; When IEE/EIA have been prepared; The main objective of the plan; By whom the SSEMP is prepared (construction contractor should be mentioned in this chapter). 2. DEFINITION OF BOUNDARIES Brief description of project site location; Provide here project site map with construction site boundaries; The decision on how to divide a project can be made based on the following criteria:

1. If the construction activities are different 2. If there are variations in the environments (such as a transition from agricultural land to forest or from rural to residential areas).

Justification is also needed why this project has been divided in one or more areas for which a single or more SSEMP preparation is needed.

3. SENSITIVE RECEPTORS AND ENVIRONMENTAL Once the boundaries of a site to be covered by a VALUES SSEMP have been defined, the sensitive receptors surrounding the site and the environmental values of the area need to be confirmed and accordingly described in this chapter. 4. CONSTRUCTION ACTIVITIES In this chapter various phases of work for each site should be described. Different phases of work will include different activities and thus different environmental management requirements.

For example, construction of a reservoir could have the following schedule of works: - Site Clearance, Topsoil Stripping - Site Establishment, Excavation and Materials Transportation - Demolition of Reservoirs - Concrete Pouring Activities - Backfilling and Compaction - Reinstatement 5. RISK ASSESSMENT The Risk Assessment Matrix should be included in this chapter. The last column of Risk Assessment Matrix includes brief description of environmental management measures (mitigation measures). 6. ENVIRONMENTAL MANAGEMENT MEASURES Environmental Mitigation measures and their implementation should be described in this chapter in

more details than in Risk Assessment Matrix. 135

7. SITE PLAN The environmental management requirements need to be included in a site plan. This is the final, but vital stage in the preparation of SSEMP. ADB will not consider a SSEMP to be complete unless a site plan accompanies the risk assessment matrix. A site plan must cover the extent of the construction activity and should contain: - Indication of North, and scale; - Existing and planned supporting infrastructure (e.g. access roads, water supplies, electricity supplies, etc.) - Location of planned work - Contours - Drainage systems - Locations of sensitive receptors 8. ENVIRONMENTAL MONITORING PLAN Sample of environmental monitoring plan is given in Annex 1 below.

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Annex 5. Rapid Environmental Assessment (REA) Checklist

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Annex 6. Sample Chance Find Procedures

Purpose of the chance find procedure

The chance find procedure is a project-specific procedure that outlines actions required if previously unknown heritage resources, particularly archaeological resources, are encountered during project construction or operation. A Chance Find Procedure, as described in IFC Performance Standard 8 and ADB SPS 2009 (Section 11. Physical Cultural Resources), is a process that prevents chance finds from being disturbed until an assessment by a competent specialist is made and actions consistent with the requirements are implemented.

Scope of the chance find procedure

This procedure is applicable to all activities conducted by the personnel, including contractors, that have the potential to uncover a heritage item/site. The procedure details the actions to be taken when a previously unidentified and potential heritage item/site is found during construction activities. Procedure outlines the roles and responsibilities and the response times required from both project staff, and any relevant heritage authority.

Induction/Training

All personnel, especially those working on earth movements and excavations, are to be inducted on the identification of potential heritage items/sites and the relevant actions for them with regards to this procedure during the Project induction and regular toolbox talks.

Chance find procedure

If any person discovers a physical cultural resource, such as (but not limited to) archaeological sites, historical sites, remains and objects, or a cemetery and/or individual graves during excavation or construction, the following steps shall be taken:

1. Stop all works in the vicinity of the find, until a solution is found for the preservation of these artefacts, or advice from the relevant authorities is obtained; 2. Immediately notify a foreman. The foreman will then notify the Construction Manager and the Environment Officer (EO)/Environmental Manager (EM); 3. Record details in Incident Report and take photos of the find; 4. Delineate the discovered site or area; secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities take over; 5. Preliminary evaluation of the findings by archaeologists. The archaeologist must make a rapid assessment of the site or find to determine its importance. Based on this assessment the appropriate strategy can be implemented. The significance and importance of the findings should be assessed according to the various criteria relevant to cultural heritage such as aesthetic, historic, scientific or research, social and economic values of the find; 6. Sites of minor significance (such as isolated or unclear features, and isolated finds) should be recorded immediately by the archaeologist, thus causing a minimum disruption to the work schedule of the Contractor. The results of all archaeological work must be reported to the Ministry/Agency, once completed.

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7. In case of significant find the Ministry of Culture and Sports of the Republic of Kazakhstan should be informed immediately and in writing within 7 days from the find. 8. The onsite archaeologist provides the Ministry/Heritage team with photos, other information as relevant for identification and assessment of the significance of heritage items. 9. The Ministry must investigate the fact within 2 weeks from the date of notification and provide response in writing. 10. Decisions on how to handle the finding shall be taken by the responsible authorities. This could include changes in the layout (such as when finding an irremovable remain of cultural or archaeological importance) conservation, preservation, restoration and salvage; 11. Construction works could resume only after permission is granted from the responsible authorities. 12. In case no response received within the 2 weeks’ period mentioned above, this is considered as authorization to proceed with suspended construction works.

One of the main requirements of the procedure is record keeping. All finds must be registered. Photo log, copies of communication with decision making authorities, conclusions and recommendations/guidance, implementation reports – kept.

Additional information

Management options for archaeological site • Site avoidance. If the boundaries of the site have been delineated attempt must be made to redesign the proposed development to avoid the site. (The fastest and most cost- effective management option) • Mitigation. If it is not feasible to avoid the site through redesign, it will be necessary to sample it using data collection program prior to its loss. This could include surface collection and/or excavation. (The most expensive and time-consuming management option.) • Site Protection. It may be possible to protect the site through the installation of barriers during the time of the development and/or possibly for a longer term. This could include the erection of high visibility fencing around the site or covering the site area with a geotextile and then capping it with fill. The exact prescription would be site- specific.

Management of replicable and non-replicable heritage Different approaches for the finds apply to replicable and non-replicable heritage.

Replicable heritage Where tangible cultural heritage that is replicable64 and not critical is encountered, mitigation measures will be applied.

The mitigation hierarchy is as follows: • Avoidance; • Minimization of adverse impacts and implementation of restoration measures, in situ; • Restoration of the functionality of the cultural heritage, in a different location; • Permanent removal of historical and archaeological artefacts and structures;

64 Replicable cultural heritage is defined as tangible forms of cultural heritage that can themselves be moved to another location or that can be replaced by a similar structure or natural features to which the cultural values can be transferred by appropriate measures. Archaeological or historical sites may be considered replicable where the particular eras and cultural values they represent are well represented by other sites and/or structures.

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• Compensation of loss - where minimization of adverse impacts and restoration not feasible.

Non-replicable heritage

Most cultural heritage is best protected by in situ preservation, since removal is likely to result in irreparable damage or even destruction of the cultural heritage.

Nonreplicable cultural heritage65 must not be removed unless all of the following conditions are met: • There are no technically or financially feasible alternatives to removal; • The overall benefits of the project conclusively outweigh the anticipated cultural heritage loss from removal; and

Any removal of cultural heritage must be conducted using the best available technique advised by relevant authority and supervised by archaeologist.

Human Remains Management Options

The handling of human remains believed to be archaeological in nature requires communication according to the same procedure described above.

There are two possible courses of action:

• Avoid. The development project is redesigned to completely avoid the found remains. An assessment should be made as to whether the remains may be affected by residual or accumulative impacts associated with the development, and properly addressed by a comprehensive management plan. • Exhume. Exhumation of the remains in a manner considered appropriate by decision makers. This will involve the predetermination of a site suitable for the reburial of the remains. Certain ceremonies or procedures may need to be followed before development activities can recommence in the area of the discovery.

EMERGENCY CONTACTS

Ministry of Culture and Sports of the Republic of Kazakhstan

Address: Almaty city, 158A Bogenbai Batyr St.

Tel.: +7(727)292 64 62

+7(727)292 03 81

E-mail: [email protected]

65 Nonreplicable cultural heritage may relate to the social, economic, cultural, environmental, and climatic conditions of past peoples, their evolving ecologies, adaptive strategies, and early forms of environmental management, where the (i) cultural heritage is unique or relatively unique for the period it represents, or (ii) cultural heritage is unique or relatively unique in linking several periods in the same site. Examples of non-replicable cultural heritage may include an ancient city or temple, or a site unique in the period that it represents.

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[email protected]

Annex 7. Guidance on Public Consultations within the COVID19 limitations context

In cases of limitations of mobility and communications due to the current pandemic, where it has been established that accessing communities and soliciting their views and feedback is difficult, best efforts shall be made to ensure that alternative available options of consultations/communication with Project’s main stakeholders are adopted.

Apart from traditional consultations methods such as local and country wide newspapers, brochures (hard and soft copies), interviews (face to face through phone, social media), community meetings, the use of remote communications technology will also be acceptable, if established as an operational and meaningful channel. The use of Telegram, WhatsApp, Viber, FB messenger/groups, other chat and teleconference technologies such as Skype and Zoom is encouraged in the absence of direct access to project affected persons and stakeholders.

While the best efforts should be made to achieve meaningful consultations, it is understandable that those may still not be achievable under the Project context. In such case, safeguards documents must identify the consultations process limitations and associated risks and demonstrate the strategy of future consultations with inaccessible stakeholders.

Due to tremendous development of cellular and internet networks availability in many resided areas throughout Kazakhstan, people have access to many social networks and apply them successfully in their everyday lives. Hence, it is often possible the public consultations to be held remotely by applying of available social networks and various communication applications in compliance with recommendations issued by the World Health Organization (WHO) and the Government of Kazakhstan. Meanwhile, if the national legislation and regulations related to pandemic still allows face-to face meetings following the required specific safety measures, meetings should be organized.

In the given circumstances, it is critical that all Project stakeholders are properly screened at this stage in order to identify who needs to be consulted and at what stage to enable their informed participation in preparation of project and safeguards documents avoiding complaints at later stages of project implementation.

Thus, the below table suggests the most feasible and convenient methods of remote communications and consultation mechanisms for each of the Project stakeholders at this stage.

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Options of remote communication and consultations methods per Project stakeholders

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Options of remote Notification on Sharing of project Consultations/collecti Recording Remarks communication and holding of materials ng of feedback consultations consultations methods per Project stakeholders List of Project stakeholders Direct government Preparation of public Any social media The Minutes of Meeting -All government 1. Municipality of communication channel consultation platform, chat and (MoM) will be institutions have Balkhash to inform on remote materials/information teleconference developed for each internet access and consultations. leaflet (in power point technologies virtual meeting, computers. If different 2. Other government or other format) in (Telegram, FB, reflecting the stakeholders want to regulatory institutions advance and their WhatsApp, Viber, information provided in use different social disclosure at Zoom, Skype) as the course of that media platforms, then KazCenter ZhKh means of meeting, along with the (i) multiple sessions (KAZC) and Balkash communication to Q&As and other can be held, or (ii) town/region websites at organize virtual town information, if it is majority rule can be least 1-week in halls, virtual calls for required to be provided established as advance.1 group discussions. in given conditions. preferred and Provide the link of Public virtual meeting The MoM will be considered optimal disclosed materials to should involve as many enclosed with the list of based on initial all invited stakeholders. people as optimal for participants of virtual communication to enabling perceiving of meeting and a joint stakeholders. information and photo (screenshot) of -All the project participating in participants. materials shall be discussions. All the MoM(s) to be available also at As per stakeholders’ attached to final IEE. KazCenter ZhKh request, they will be (KAZC) and Balkhash provided with the Municipality. information by phone and other materials for the visualization of the project, along with other available documentation. 143

Direct email Preparation of public The invitation letter All the supporting Information leaflet shall 3. NGOs and CBOs communication with the consultation should specify a date documents on include the description working in the affected NGOs/CBOs active in materials/information until which interested conducted invitations, of proposed project communities Balkhash and regions leaflet (in power point parties may express virtual consultations (if with maps, tentative to inform on remote or other format) in their positions, any), disclosure timeline of project consultations. advance and their comments and methods, as well as implementation (if disclosure at suggestions. Q&As shall be available), details on KazCenter ZhKh If needed, any social recorded, attached GRM, as well as (KAZC) and Balkhash media platform, chat and described in final contact details of public city/region websites at and teleconference IEE. consultation focal least 1-week in technologies persons in KazCenter advance. (Telegram, FB, ZhKh (KAZC) and Provide the link of WhatsApp, Viber, Balkhash Municipality. disclosed materials to Zoom, Skype) can be all invited stakeholders. used for individual or group meetings with NGOs/CBOs or their associations. As per request, they will be provided with the additional information materials for the visualization of the project, along with other available documentation. AnnouncementAnnouncement via via local PreparationPreparation of of public public TheThe announcement announcement AllAll the the supporting supporting 4. Community localnewspaper newspaper or online or consultationconsultation placedplaced at at the the web web- - documentsdocuments on on adopted adopted representative onlinenews news(including (including local materials/informationmaterials/information pagespages and and in inthe the posted announcements,announcements, localradio radio stations, stations, if any), if leafletleaflet (in (in power power point point or postedinformation information leaflets disclosuredisclosure methods, methods, as as (People who live, and any),as well as wellas information as orother other format) format) in in leafletsshould should specify, specify, a date wellwell as as Q&As Q&As shall shall be be work in the vicinity of informationleaflets which leaflets will be advanceadvance and and their their a untildate whichuntil which the the recorded,recorded, attached attached and and construction sites in whichplaced will at be Food placed at disclosuredisclosure at at interestedinterested persons persons may may describeddescribed in inthe SDDR. IEE. Balkhash city, Food(Markets) (Markets) and and KazCentertown/region ZhKh websites at expressexpress their their positions, positions, prominent citizens, PharmaciesPharmacies sites, sites, (KAZC)least 1 - weekand Balkhash in commentscomments and and religious leaders, includingincluding Municipality Municipality city/regionadvance websites at suggestions.suggestions. Interested Interested offices.offices. partiesparties shall shall be be asked asked

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elders, women’s leastThe 1 link-week of disclosed in toto provide provide an an email email groups) Announcements advancematerials should be addressaddress or or other other through mobile phone Theprovided link of indis localclosed contactcontact to to which which messaging (if possible). materialsnewspaper should or via be online responsesresponses to to their their providednews, as in welllocal as communicationscommunications can can be be newspaperinformation or l eafletsvia online provided.provided. A Aspecial special news,which as will well be as placed at designateddesignated person person informationFood (Markets) leaflets and shouldshould be be assigned assigned in in whichPharmacies will be placed sites, at KazCenterUWSGC, asZhKh well as in Foodincluding (Markets) Municipality and (KAZC)the Municipality, as well as for in Pharmaciesoffices. sites, thepublic Balkhash consultation includingSufficient Municipality hard copies of Municipalityrelated issues, for public who will offices.PC materials should be consultationbe responsible related to Sufficientavailable hard at Municipal copies issues,address who will be of PC materials should responsiblequestions/requests to address from be available at questions/interestedrequests Municipal frompersons/parties. interested offices 1 week in persons/parties.Information on this focal advance of the date Informationperson should on this be when people can focalpro videdperson in shouldthe posted be provide their comments providedannouncements in the posted and in and suggestions so that announcementsweb pages. and in every interestedAnnouncement person web viapages. local newspaper or online news, as well as 5. Other community representatives (prominent citizens,can take and getinformation Asleaflets per people’s which will be placed at Food (Markets) and religious leaders, elders, detailed information requests, they will be regarding the project provided with the

and planned activities additional information under it. materials for the visualization of the project, along with other available documentation.

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Annex 8: Rapid Assessment Questionnaire

Willingness-to-Pay Rapid Assessment Questionnaire (English Version)

Questionnaire No.

Hello, my name Is . I represent BRIF Research Group LLP. We conduct research on various topics. Please, give me some time and answer a few questions? Our conversation is recorded to control the quality of my work.

01. How can I refer to you? Write down the name of the respondent/ /

1А. Which city do you live in? One answer Balkhash 1 Zhanatas 2 Zhezkazgan 3 Satpaev 4 Stepnogorsk 5 Other 6 Finish

02. How old are you? One answer write down the age / / /

PROGRAMMER, CODE IN THE TABLE BELOW AUTOMATICALLY. ONE ANSWER ONLY. Less than 18 years old Finish 18 or more Continue

2А. Is the house/apartment you live in is yours, or you are renting? ONE ANSWER ONLY.

Own 1 Continue Rented 2 Finish

B ACCESS TO SANITARY SERVICES B.1 Liquid Waste Disposal 06 Do you have at home… (read)? Shower/ Bath 1 = Yes 2 = No 999 = No answer / Difficult to answer / Refused to answer (FINISH)

Kitchen sink 1 = Yes 2 = No 999 = No answer / Difficult to answer / Refused to answer (FINISH) 146

Communal/Shared bathroom 1 = Yes 2 = No 147

999 = No answer / Difficult to answer / Refused to answer (FINISH) 07 How do you usually dispose of used 1 = Just into the yard (splash on the ground in water and other LIQUID WASTES the yard) from the household? 2 = Into the street (splash on the ground into the street) 3= In a septic tank without waterproofing (waterproofing is the protection of the system from penetration into groundwater and the environment from the penetration of chemically active substances into the soil) 4 = In a septic tank with waterproofing (waterproofing is the protection of the system from penetration into groundwater and the environment from the penetration of chemically active substances into the soil) 6 = Through a centralized sewage system 7 = Others: please write 999 = No answer / Difficult to answer / Refused to answer (FINISH) B.2 Toilets and Household Sanitation 08 What kind of toilet does your 1 = Flush tank/toilet bowl connected to the water household have? supply system 2 = Pit toilet/ without waterproofing 3 = Pit toilet/ with waterproofing

C QUALITY OF WASTEWATER AND HEALTH IMPACT 09 Did water/liquid waste disposal, 1 = Yes, it did Go to question № 10 quality of toilet, quality of sewage 2 = no, it did not.>>> go to question № 12 system services cause any harm to 999 = No answer/difficult to answer / refused to your health or those of household answer >>> gp to question # 11A members in 2018-2019?2019-2020 ? 10 What harm was caused? 1= Gastrointestinal tract (diarrhea, etc.) 2= Diseases of the respiratory tract 3= Infectious diseases (typhoid fever, cholera, Other SPECIFY 11 Approximately, how much did your THOUSAND KZT household spend on medical 999 = No answer/difficult to answer / refused to treatment answer these health issues related to waste disposal, quality of toilet, in 2019-2020?

C WILLINGNESS TO PAY FOR IMPROVED SANITATION SERVICES 11А. Do you have a water meter at home? One answer 1. Yes 2. No Scenario: Currently, sanitation in your area is considered poor due to the unsatisfactory condition of your wastewater treatment plant that puts your health and the health of your community at high risk. The Asian Development Bank (ADB) has proposed a project that intends to improve sanitation services in your area by constructing a new wastewater treatment facility. Consequently, tariffs for wastewater and sewerage will need to be increased. If tariffs are not increased, there may not be sufficient money to operate and maintain as well as pay the interest on the ADB loan causing sanitation services in your area

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to deteriorate again. Given the proposed improvements in sanitation with the construction of a new wastewater treatment in your area, consider and respond to the following questions: What is the greatest amount your household can 12 pay for 1 cubic meter of centralized wastewater KZT/m3 of water with sewerage Ask sewerage services if payment is made with a water services №12, If meter? 11А=1 13 If without a water meter, what is the greatest KZT per month for 1 member Ask amount your household can pay per month per 1 of the household №13, If member for tap water with sewerage service? 11А=2 Ask №14-№17, If 11А=1 Next, please answer the questions below for tariffs which might be set for 1 cubic meter of WASTEWATER SEWERAGE SERVICES WITH A WATER METER. 14 If the water and wastewater sewerage service are in 1 = Yes .>>> go to question constant supply, can your household pay KZT 300 № 18a per 100 buckets of water? 2= No, go to question №15 999= No answer/Difficult to answer / refused to answer 15 If the water and wastewater sewerage service are in 1 = Yes .>>> go to question № constant supply, can your household pay KZT 250 18a per 100 buckets of water? 2= No go to question №16 999= No answer/Difficult to answer / refused to answer 16 If the water and wastewater sewerage service are in 1 = Yes .>>> go to question № constant supply, can your household pay KZT 200 18a per 100 buckets of water? 2= No go to question №17 999= No answer 17 If the water and wastewater sewerage service are in 1 = Yes .>>> go to question № constant supply, can your household pay KZT 150 18 per 100 buckets of water? 2= No Go to question №24 999= No answer/Difficult to answer / refused to answer 18a According to WHO, the risk of getting COVID-19 is 1 = Yes .>>> go to question significantly reduced with a carefully managed water № 24 waste treatment plan. If this project potentially 2= No go to question №18 b reduces the risk of COVID-19 infection in your city, 999= No answer/Difficult to answer / are you ready to pay 30% in addition to the above- refused to answer mentioned amount? 18b If this project potentially reduces the risk of COVID- 1 = Yes .>>> Go to question 19 infection in your city, are you ready to pay 20% in № 24 addition to the above-mentioned amount? 2= No Go to question №18c 999=No answer/Difficult to answer / refused to answer 18c If this project potentially reduces the risk of COVID- 1 = Yes .>>> Go to question № 19 infection in your city, are you ready to pay 10% in 24 addition to the above-mentioned amount? 2= No 999= No answer/Difficult to answer / refused to answer Ask №19-№22, If 11А=2 INTERVIEWER, READ: Now, please answer the questions regarding tariffs that can be set FOR 1 HOUSEHOLD MEMBER WITHOUT A WATER METER if the sewer pipeline is in your yard or house. 19 If the water and wastewater sewerage are in 1 = Yes .>>> Go to question №23a constant supply, can your household pay KZT 2500 2= No Go to question №20 per household member per month? 149

999=No answer/Difficult to answer / refused to answer 20 If the water and wastewater sewerage are in 1 = Yes .>>> Go to question №23a constant supply, can your household pay KZT 2000 2= No Go to question №21 per household member per month? 999= No answer/Difficult to answer / refused to answer 21 If the water and wastewater sewerage are in 1 = Yes .>>> Go to question №23a constant supply, can your household pay KZT 1500 2= No >>>> Go to # 22 per household member per month? 999= No answer 22 If the water and wastewater sewerage are in 1 = Yes .>>> Go to question constant supply, can your household pay KZT 1000 №23a per household member per month? 2= No >>>> Go to # 24 999= No answer 23a According to WHO, the risk of getting COVID-19 is 1 = Yes .>>> Go to question significantly reduced with a carefully managed water №24 waste treatment plan. If this project potentially 2= No >>>> Go to # 23b reduces the risk of COVID-19 infection in your city, 999= No answer are you ready to pay 30% in addition to the above- mentioned amount? 23b If this project potentially reduces the risk of COVID- 1 = Yes .>>> Go to question 19 infection in your city, are you ready to pay 20% in №24 addition to the above-mentioned amount? 2= No >>>> Go to # 23c 999= No answer 23c If this project potentially reduces the risk of COVID- 1 = Yes .>>> Go to question 19 infection in your city, are you ready to pay 10% in №24 addition to the above-mentioned amount? 2= No >>>> Go to # 24 999= No answer

Interviewer, read:

As a result of reconstruction (construction in Balkhash) of the sewage treatment plant, the quality of treated water will improve, which will positively affect the environmental situation in the region.Negative impacts will be only during the construction period in the form of dust, noise, construction debris, emissions of construction equipment and impact on the soil of construction work. Negative impacts on flora and fauna are not expected. Construction will take (Balkhash - 22, Zhezkazgan - 23, Satpayev - 21, Stepnogorsk - 14, Zhanatas - 16) months. During construction, measures will be taken to mitigate the negative impacts: garbage will be collected in containers and disposed of to permitted places, equipment will be in good condition, dusty areas will be watered in summer, disturbed soil will be re-cultivated by grass sowing and at the end of construction all areas will be cleaned from debris and restored to its original condition. There are no residential buildings, hospitals, and schools near the construction sites, therefore, a strong impact of noise on sensitive places is not expected.

24. Do you have any suggestions or comments on environmental issues? Yes go to question #25 No Thanks and finish.

25. If so, our ecologists have prepared a report on the Environmental Impact Assessment (EIA) of the project. The report is available for download on the website of KazCenter Housing and Public Utilities JSC zhkh.kz. You can download and read it, and then send any questions by e-mail to: [email protected] or call 8 702 999 74 1534

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A RESPONDENT’S BASIC PROFILE

03. Mark the respondent gender without asking. ONE ANSWER ONLY. Male 1 Female 2

04. How many people are in your family, including you (living with you and sharing a household)? ONE ANSWER ONLY. One 1 Two 2 Three 3 Four 4 Five or more 5

05. What is your occupation? ONE ANSWER ONLY. Government employee 1 Private sector employee 2 Unemployed 3 Retired 4 Housewife / Maternity leave 5

THANK YOU VERY MUCH FOR YOUR PARTICIPATION IN