Republic ofUzbekistan Ferghana Valley Enterprise Development Project ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK February, 2019 Tashkent Ferghana Valley Enterprise Development Project (FVEDP) TABLE OF CONTENTS LIST OF ABBREVIATIONS .............................................................................................................................. 4 1. PROJECT BACKGROUND AND THE SCOPE OF ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK ................................................................................................................... 13 1.1. PROJECT DEVELOPMENT OBJECTIVE AND POTENTIAL BENEFICIARIES ........................................... 13 1.2. PROJECT COMPONENTS AND PLANNED INVESTMENTS ..................................................................... 14 1.3. SCOPE AND OBJECTIVES OF THE ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK .... 16 2. REGULATORY AND INSTITUTIONAL FRAMEWORK FOR ENVIRONMENTAL AND SOCIAL ASSESSMENT ................................................................................................................................... 17 2.1. UZBEKISTAN NATIONAL ENVIRONMENTAL LEGISLATION AND PROCEDURES ................................ 17 2.2. LEGISLATION OF THE REPUBLIC OF UZBEKISTAN IN THE SPHERE OF SOCIAL ASSESSMENT, LAND ACQUISITION AND RESETTLEMENT ................................................................................................................. 21 2.3. THE WORLD BANK SAFEGUARDS POLICIES AND ENVIRONMENTAL AND SOCIAL ASSESSMENT REQUIREMENTS ............................................................................................................................................... 24 2.4. THE COMPARISON OF NATIONAL AND WORLD BANK ENVIRONMENTAL ASSESSMENT REQUIREMENTS ............................................................................................................................................... 30 3. INSTITUTIONAL EA FRAMEWORK .................................................................................................. 35 3.1. STATE ORGANIZATIONS RESPONSIBLE FOR ENVIRONMENTAL ASSESSMENT AND MANAGEMENT 35 3.2. PUBLIC INVOLVEMENT IN ENVIRONMENTAL ASSESSMENT ............................................................... 36 3.3. NATIONAL EIA REQUIREMENTS ........................................................................................................ 37 4. BASELINE SURVEYS .............................................................................................................................. 38 4.1. NAMANGAN PROVINCE ...................................................................................................................... 38 4.2. ANDIJAN PROVINCE ............................................................................................................................ 40 4.3. FERGANA PROVINCE ........................................................................................................................... 43 5. POVERTY ASSESSMENT, SOCIAL AND GENDER ASPECTS ....................................................... 46 5.1 SOCIAL PROFILE OF THE PROJECT AREA .................................................................................................. 46 5.2 GENDER ASSESSMENT OF THE PROJECT AREA .................................................................................. 49 6. OPPORTUNITIES AND CONDITIONS FOR PARTICIPATION OF INTERESTED PARTIES IN THE DEVELOPMENT PROCESS .................................................................................................................. 53 6.1. CITIZEN ENGAGEMENT ...................................................................................................................... 53 6.2. DEFINITIONS ....................................................................................................................................... 54 6.3. PROPOSED CITIZEN ENGAGEMENT MECHANISMS ............................................................................. 54 6.4. PUBLIC DISPLAYS OF INFORMATION ................................................................................................. 55 6.5. GENDER ASPECTS IN SOCIAL ASSESSMENT ........................................................................................ 56 6.6. CONSULTATION WITH PROJECT AFFECTED PERSONS ...................................................................... 57 7. ENVIRONMENTAL AND SOCIAL IMPACTS OF PROPOSED SUB-PROJECTS ........................ 57 8. RULES AND PROCEDURES FOR ENVIRONMENTAL AND SOCIAL SCREENING AND ASSESSMENT .................................................................................................................................................... 81 8.1. MAIN STAGES OF ENVIRONMENTAL ASSESSMENT ............................................................................. 81 8.2. ENVIRONMENTAL SCREENING OF THE SUB-PROJECTS ...................................................................... 83 8.3. IDENTIFICATION OF THE REQUIRED DOCUMENTS ON ESA ............................................................... 84 8.4. SOCIAL SCREENING ............................................................................................................................ 88 9. ENVIRONMENTAL AND SOCIAL ASSESSMENT GUIDELINES .................................................. 89 9.1. ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT OF CATEGORY B SUB-PROJECTS ..... ОШИБКА! ЗАКЛАДКА НЕ ОПРЕДЕЛЕНА. 9.2. THE ROLE OF VARIOUS STAKEHOLDERS IN ENVIRONMENTAL SCREENING, ENVIRONMENTAL ASSESSMENT PROCESSES AND MONITORING THE IMPLEMENTATION OF SAFEGUARDS REQUIREMENTS ...... 92 9.3. LABOR (LABOR INFLUX, FORCED AND CHILD LABOR) ..................................................................... 94 10. INSTITUTIONAL ARRANGEMENTS AND CAPACITY FOR ESMF IMPLEMENTATION .. 95 10.1. PROJECT COORDINATION ................................................................................................................... 95 2 Ferghana Valley Enterprise Development Project (FVEDP) 10.2. PROJECT IMPLEMENTATION UNIT .................................................................................................... 96 10.3. REGIONAL PROJECT IMPLEMENTATION UNITS ................................................................................ 96 10.4. PARTICIPATING FINANCIAL INSTITUTIONS ....................................................................................... 97 10.5. THE RESPONSIBILITY OF SUB-BORROWERS ....................................................................................... 97 11. MONITORING AND REPORTING ACTIVITIES ........................................................................... 97 11.1. BASIC REQUIREMENTS FOR ENVIRONMENTAL AND SOCIAL MONITORING AND REPORTING ........... 97 11.2. ENVIRONMENTAL MONITORING ........................................................................................................ 98 11.3. ENVIRONMENTAL AND SOCIAL REPORTING ..................................................................................... 99 11.4. INTEGRATION OF ESMF INTO THE PROJECT DOCUMENTATION .................................................... 100 12. ACTIVITIES OF TECHNICAL ASSISTANCE IN THE FIELD OF ENVIRONMENTAL PROTECTION AND THE SOCIAL SPHERE ............................................................................................. 100 13. GRIEVANCE REDRESS MECHANISM ......................................................................................... 103 14. ESMF DISCLOSURE AND PUBLIC CONSULTATIONS ............................................................ 105 15. ANNEXES ............................................................................................................................................ 107 ANNEX 1. EXTRACTS FROM THE REGULATION ON THE STATE ENVIRONMENTAL EXPERTISE .................. 107 ANNEX 2. PRIORITY INVESTMENTS WITHIN PROJECT .................................................................................. 110 ANNEX 3. EXCLUSION LIST ........................................................................................................................... 115 ANNEX 4. FORMS ........................................................................................................................................... 116 ANNEX 5. TERMS OF REFERENCE FOR CONDUCTING AN ENVIRONMENTAL AND SOCIAL IMPACT ASSESSMENT STUDY ...................................................................................................................................... 124 ANNEX 7. ENVIRONMENTAL MANAGEMENT PLAN CHECKLIST (FOR SMALL SCALE CONSTRUCTION/REHABILITATION SUB-PROJECTS) ........................................................................................... 128 ANNEX 8. SOCIAL SCREENING FORMAT ....................................................................................................... 135 ANNEX 9. PEST MANAGEMENT ..................................................................................................................... 137 ANNEX 10. PUBLIC CONSULTATION .............................................................................................................. 143 3 Ferghana Valley Enterprise Development Project (FVEDP) LIST OF ABBREVIATIONS AIPFAFS Agency for the Implementation of Projects in the Field of Agriculture and Food Supply CC Civil Code BIH Business incubator hubs DCM Decree of the Cabinet of Ministries DSEI Draft Statement of the Environmental Impact EHS Environment, Health and Safety General Guidelines EIA Environmental Impact Assessment ES Environmental Specialist ESA Environmental and SocialAssessment