Ministry of Housing and Communal Services of the Republic of Uzbekistan Public Disclosure Authorized "Kommunkhizmat" agency PROJECT «Water Services and Institutional Support Program » Environmental and Social Management Framework (ESMF) Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized Tashkent, Uzbekistan November 15th, 2019 ABBREVIATIONS AND GLOSSARY AD Agricultural Department ARAP Abbreviated Resettlement Action Plan AZ Aeration zone BPS Booster pump station BSSP-AF Bukhara and Samarkand Sewerage Project, Additional Financing CB Central Bank of Uzbekistan CBCC Capacity Building Component Contractor CBO Community-based organization (makhalla) CC Civil Code CE Citizen Engagement COM Cabinet of Ministers of the Republic of Uzbekistan DBM Design, Build, and Maintain DCM Decree of the Cabinet of Ministries DDCSC Detailed Design and Construction Supervision Consultants DDR Due Diligence Report DEF Declaration of Environmental Effects DMF Design and Monitoring Framework DMF Design and Monitoring Framework DMH District Metering Hubs DMS Detailed Measurement Survey DSEI Draft Statement of the Environmental Impact EA Executive Agency EEC Energy Efficiency Consultant EHS Environment, Health and Safety General Guidelines EIA Environmental Impact Assessment EIS Environmental Impact Statement EM Entitlement Matrix EPP Emergency Preparedness Plan ESA Environmental and Social Assessment ESCA Energy Savings Capture Account ESIA Environmental and Social Impact Assessment ESMF Environmental and Social Management Framework ESMP Environmental and Social Management Plan ESSS Environmental and Social Safeguards Specialist FGD Focused Group Discussion FS Feasibility Study GAP Gender Action Plan GHG Greenhouse gas GoU Government of Uzbekistan GRM Grievance Redress Mechanism GRS Grievance Redress Service H&S Health and Safety HH Household ICWC Integrated Commission for Water Coordination IDA International Development Association IF Infiltration feeding IFIs International Financial Institutions API Air pollution index IPF Investment Project Financing IR Involuntary Resettlement IRP Involuntary Resettlement Plan KSA Kommunkhizmat Agency LAA Land Acquisition Act LAR Land Acquisition and Resettlement LARC Land Acquisition and Resettlement Commission LC Land Code LRSCD Land Resources and State Cadaster Department M&E Monitoring and Evaluation M&V Measurement and verification 1 MCA Makhalla Citizen’s Assembly MHCS Ministry of Housing and Communal Services MIS Management Information Systems MoH Ministry of Health MPS Main pumping station NGO Non-governmental organization NRW Non-revenue water OHS Occupational and Health and Safety PAP Project Affected Persons PCR Physical Cultural Resources PCU Project Coordination Unit of the World Bank (PCU) of the Kommunkhizmat Agency under the Ministry of Housing and Communal Services of the Republic of Uzbekistan R-PCU Regional Project Coordination Unit PMC Project Management Consultant PMU Project Management Unit POM Project Operational Manual R&R Resettlement and Rehabilitation RAP Resettlement Action Plan RoW Right-of-Way RPCU Regional Project Coordinating Units R-PCUs Regional PCU RPF Resettlement Policy Framework RUZ Republic of Uzbekistan SA Social Assessment SCB Substation control buildings SCEEP State Committee for Ecology and Environmental Protection SDGS Social Development and Gender Specialist SEC State Environmental Consequences SEE State Environmental Expertise SEI Statement of the Environmental Impact SES Sanitary Epidemiological Station 2 SIA Social Impact Assessment SS Social Specialist STP Sewage treatment plants TA Technical Assistance TOR Terms of Reference USD United State Dollar USF Urban surface facilities UZS Uzbek Sum WB World Bank WBG World Bank Group WCU Women’s Committee of Uzbekistan WDU Water Distribution Units WIS Water Intake Station WSS Water Supply and Sanitation WTP Water Treatment Plant ОP Operational Policy 3 Table of Contents EXECUTIVE SUMMARY .............................................................................................................................. 7 1. PROJECT DESCRIPTION ....................................................................................................................... 13 1.1. THE OBJECTIVES OF THE PROJECT AND POTENTIAL BENEFICIARIES ................................... 13 1.2. PROJECT COMPONENTS ...................................................................................................................... 13 1.2.1 Structure of the programme (sub-projects). ........................................................................................ 15 1.2.2. Component 2: Energy Efficiency Financing Facility ......................................................................... 19 1.3. THE SCOPE AND OBJECTIVES OF ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) .................................................................................................................................. 25 2. REGULATORY FRAMEWORK FOR ENVIRONMENTAL AND SOCIAL ASSESSMENT ......... 26 2.1. NATIONAL ENVIRONMENTAL POLICY AND LEGISLATION ....................................................... 26 2.2. LEGISLATION OF THE REPUBLIC OF UZBEKISTAN AND WB POLICIES IN THE SPHERE OF SOCIAL ASSESSMENT, LAND ACQUISITION AND RESETTLEMENT ................................................ 29 2.2.1 Social Assessment requirements .......................................................................................................... 29 2.2.2 Land Acquisition and Resettlement ..................................................................................................... 29 2.3. GOVERNMENT AGENCIES RESPONSIBLE FOR CONDUCTING ENVIRONMENTAL IMPACT ASSESSMENTS .............................................................................................................................................. 30 2.4. MAIN STAGES OF ENVIRONMENTAL ASSESSMENT .................................................................... 32 2.5. NATIONAL REQUIREMENTS FOR ENVIRONMENTAL AND SOCIAL ASSESSMENT ............... 35 2.6. THE REQUIREMENTS OF THE WORLD BANK'S SAFEGUARDS POLICIES ................................ 38 2.6.1 Project Categories and Project Selection (Screening) ........................................................................ 38 2.6.2. World Bank Safeguards Policies and their requirements .................................................................. 38 2.6.3 World Bank Project Categories and Screening ................................................................................... 41 2.7. COMPARISON OF NATIONAL AND WORLD BANK REQUIREMENTS FOR ENVIRONMENTAL ASSESSMENT ................................................................................................................................................ 42 2.7.1. Differences with regard to project environmental categories ........................................................... 42 2.7.2. Differences in terms of ESMP ............................................................................................................ 42 2.7.3. Differences in terms of EA information disclosure and public consultation activities ...................... 42 2.7.4. Applicable environmental standards .................................................................................................. 42 3. BASELINE INFORMATION AND ANALYSIS .................................................................................... 47 3.1. RELIEF, CLIMATE, HYDROGEOLOGY, SOIL, VEGETATION, FAUNA AND PROTECTED AREAS ............................................................................................................................................................. 47 3.1.1. Republic of Karakalpakstan - Nukus, Takhiatash, Kungrad and Khodjeyli....................................... 47 3.1.2. Syrdarya, Gulistan, Saykhunabad, Akaltyn, Sardoba, Mirzaabad, Bayaut, Khavast regions and Yangier city .................................................................................................................................................. 55 3.1.3. Kattakurgan city ................................................................................................................................. 60 3.2. SOCIO-ECONOMIC CONDITIONS ....................................................................................................... 67 3.3. ANALYSIS OF EXISTING UTILITY NETWORKS .............................................................................. 72 3.4. SUMMARY FINDINGS OF FGDs IN THE PROJECT AREA. ............................................................. 92 3.5. STAKEHOLDER ANALYSIS ................................................................................................................. 94 4. RULES AND PROCEDURES FOR ENVIRONMENTAL AND SOCIAL SCREENING AND ASSESSMENT ............................................................................................................................................. 103 4.1 ESA PROCESS: STEP-BY-STEP ........................................................................................................... 103 4.2. CRITERIA FOR SUBPROJECTS ENVIRONMENTAL SCREENING ............................................... 104 4.3. TYPES OF ESA INSTRUMENTS ......................................................................................................... 109 4.4. THE ROLE OF DIFFERENT INVOLVED PARTIES IN THE ENVIRONMENTAL SCREENING, ESA PROCESS AND MONITORING OF THE ESMP IMPLEMENTATION ........................................... 109