Ministry of Innovative Development of the Republic of Uzbekistan Modernizing Uzbekistan National Innovation System Project ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK Tashkent July 14, 2020 Contents CONTENTS .................................................................................................................................................................2 ACRONYMS & ABBREVIATIONS .........................................................................................................................4 EXECUTIVE SUMMARY .........................................................................................................................................5 Project development objective ..............................................................................................................................5 1. INTRODUCTION ............................................................................................................................................ 11 1.1 PURPOSE OF THE ESMF............................................................................................................................ 11 1.2 RATIONALE FOR THE ESMF ..................................................................................................................... 11 1.3 APPROACH AND METHODOLOGY FOR THE PREPARATION OF ESMF ..................................................... 11 1.4 PROJECT DESCRIPTION ............................................................................................................................. 11 1.5 SECTORAL AND INSTITUTIONAL CONTEXT .............................................................................................. 20 1.6 PROJECT INSTITUTIONAL AND IMPLEMENTATION ARRANGEMENTS...................................................... 22 2. BASELINE DATA ............................................................................................................................................ 23 2.1 LOCATION AND SIZE.................................................................................................................................. 23 2.2 PHYSICAL ENVIRONMENT ......................................................................................................................... 24 2.3 TOPOGRAPHY AND DRAINAGE .................................................................................................................. 24 2.4 LAND USE .................................................................................................................................................. 25 2.5 BIOLOGICAL ENVIRONMENT-ECOSYSTEMS ............................................................................................. 25 2.6 SOCIO-ECONOMIC BACKGROUND ............................................................................................................ 25 3. DESCRIPTION OF THE ADMINISTRATIVE, POLICY AND REGULATORY FRAMEWORK ....... 27 3.1 THE LEGAL, REGULATORY AND POLICY FRAMEWORK .......................................................................... 27 3.2 LEGISLATION OF THE REPUBLIC OF UZBEKISTAN IN THE SPHERE OF SOCIAL ASSESSMENT, LAND ACQUISITION AND RESETTLEMENT ........................................................................................................................ 33 3.3 INNOVATION POLICY REGULATORY FRAMEWORK................................................................................... 34 4. WORLD BANK ENVIRONMENTAL & SOCIAL STANDARDS ............................................................. 36 4.1 ESS 1 - ASSESSMENT AND MANAGEMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND IMPACTS ..... 36 4.2 ESS 2 – LABOR AND WORKING CONDITIONS ........................................................................................... 36 4.3 ESS 3 – RECOURSE AND EFFICIENCY, POLLUTION PREVENTION AND MANAGEMENT .......................... 37 4.4 ESS 4 – COMMUNITY HEALTH AND SAFETY ............................................................................................ 38 4.5 ESS 5 – LAND ACQUISITION, RESTRICTIONS ON LAND USE, AND INVOLUNTARY RESETTLEMENT ...... 38 4.6 ESS 6 – BIODIVERSITY CONSERVATION AND SUSTAINABLE MANAGEMENT OF LIVING NATURAL RESOURCES............................................................................................................................................................. 39 4.7 ESS 7 - INDIGENOUS PEOPLES/SUB-SAHARAN AFRICAN HISTORICALLY UNDERSERVED TRADITIONAL LOCAL COMMUNITIES............................................................................................................................................ 39 4.8 ESS 8 – CULTURAL HERITAGE. ................................................................................................................ 39 4.9 ESS 9 – FINANCIAL INTERMEDIARIES. ..................................................................................................... 39 4.10 ESS 10 – STAKEHOLDER ENGAGEMENT AND INFORMATION DISCLOSURE ............................................ 39 5. DETERMINATION OF POTENTIAL ENVIRONMENT AND SOCIAL IMPACT ................................ 41 5.1 POSITIVE IMPACTS .................................................................................................................................... 41 5.2 POTENTIAL ADVERSE ENVIRONMENTAL IMPACTS .................................................................................. 41 5.3 ADVERSE ENVIRONMENTAL IMPACTS ...................................................................................................... 42 5.4 ADVERSE SOCIAL IMPACTS....................................................................................................................... 43 5.5 POTENTIAL CUMULATIVE IMPACTS ......................................................................................................... 44 5.6 ENVIRONMENTAL & SOCIAL MANAGEMENT PROCESS ........................................................................... 44 5.7 MONITORING PLANS AND INDICATORS .................................................................................................... 52 5.8 SPECIFIC PROJECT ISSUES ........................................................................................................................ 53 5.9 MONITORING ROLES AND RESPONSIBILITIES .......................................................................................... 54 6. PROJECT REVIEW, COORDINATION & IMPLEMENTATION ARRANGEMENTS ........................ 58 6.1 SUB PROJECT INVESTMENT REVIEW ........................................................................................................ 58 6.2 OVERALL PROJECT COMPLIANCE AND REPORTING ............................................................................... 60 7. CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE ............................................... 62 7.1 INSTITUTIONAL CAPACITY FOR ESMF IMPLEMENTATION ..................................................................... 62 7.2 IDENTIFICATION OF CAPACITY NEEDS ..................................................................................................... 62 7.3 ESMF IMPLEMENTATION BUDGET .......................................................................................................... 63 8. PUBLIC CONSULTATION AND DISCLOSURE ........................................................................................ 63 8.1 ESMF DISCLOSURE .................................................................................................................................. 63 8.2 PUBLIC CONSULTATION ............................................................................................................................ 64 8.3 STAKEHOLDER ENGAGEMENT .................................................................................................................. 64 8.4 GRIEVANCE REDRESS MECHANISM ......................................................................................................... 64 ANNEX 1. SCREENING OF RISKS CATEGORIES OF PROPOSED TYPES OF SUBPROJECTS............. 69 ANNEX 2. EXCLUSION LIST ................................................................................................................................ 70 ANNEX 3. ENVIRONMENTAL SCREENING CHECKLIST - FORMS ........................................................... 71 ANNEX 4. SOCIAL SCREENING CHECK LIST AND REPORTING .............................................................. 76 ANNEX 5 RESULTS OF ENVIRONMENTAL AND SOCIAL SCREENING ................................................... 79 ANNEX 6. INDICATIVE OUTLINE OF ESMP .................................................................................................... 80 ANNEX 7. ENVIRONMENTAL MANAGEMENT PLAN CHECKLIST (FOR SMALL SCALE CONSTRUCTION/REHABILITATION SUB-PROJECTS) ................................................................................ 82 ANNEX 8. ASBESTOS CONTAINING MATERIAL MANAGEMENT PLAN (EXAMPLE) ......................... 87 ANNEX 9. HEALTH, SAFETY AND WELLBEING INSPECTION CHECKLISTS ....................................... 89 ANNEX 10 – COVID-19 CONSIDERATIONS IN CONSTRUCTION/CIVIL WORKS PROJECTS ........... 104 ACRONYMS & ABBREVIATIONS IBRD International Bank for Reconstruction and Development PMU Project Management Unit SB Sub-borrower EIA Environmental Impact Assessment EMP Environmental Management Plan EMF Environmental Management Framework ESF Environmental and Social Framework M&E Monitoring and evaluation MSDS Material Safety Data Sheet MID Ministry of Innovative Development MUNIS Modernizing Uzbekistan National Innovation System SPB Sub-project Beneficiary SP Sub-Project IC Instrumentation Contractor IMSC International Materials Science Center IP Intellectual Property ISCB International Science and Commercialization Board RPF Resettlement Policy Framework S&T Science and Technology TTO Technology Transfer Office EXECUTIVE SUMMARY Project development objective The overall objective of the Project is to assist NIS to enhance its effectiveness in highly competitive global markets so that traditionally strong science and educated population turn into long-term and sustained resource welfare, national competitiveness, and economic diversification and improved living standards. Project components and activities. The Project is composed of the following components: Component 1: Improving research excellence and commercialization (US$20 million). The objectives of this component are to improve the capacity of public research to achieve international standards of research quality and enable the commercialization of research results. It comprises three subcomponents. Subcomponent 1.1. Research Excellence Program (REP, US$10 million). The REP will finance research sub-projects submitted by researchers from RIs or local universities. The REP will emphasize joint research proposals from local and international researchers (including Uzbek scientists abroad), joint research proposals from researchers and the private sector, and proposals from young (junior) researchers (aiming to strengthen the country’s future research capability). Subcomponent 1.2. Research Commercialization Program (RCP, US$4 million). The RCP will (i) finance research commercialization sub-projects on the development of proof-of-concept and small-scale prototyping, and (ii) provide mentorship to sub-projects with commercialization potential. The RCP is expected to attract and support research commercialization sub-projects from RIs and universities. Mentorship activities will offer individualized training and coaching, as well as facilitate the matching between potential candidates and prospective enterprises/ investors. Component 3 will support complementary regulatory/ legal reforms necessary for effective research commercialization. Subcomponent 1.3. Public Research Institutes Modernization (PRIM, US$6 million) . This subcomponent will finance investment in the modernization of infrastructure of selected public research institutes. The selection of research institutes (RIs) will be undertaken by the MID after full assessment of the IMP of all RIs candidates. The design of the IMP will be supported by TA based on growing international experience of improved governance of RIs, as in the cases of Germany, Italy, and New Zealand, as well as open consultation and engagement forums with the researchers and other stakeholders of the NIS Access to the infrastructure research funding will be conditional on the acceptance of an IMP by the MID. Participation will be voluntary, and any RI is eligible. Component 2: Promoting innovation in the private sector (US$20 million). The objective of this component is to increase private sector innovation in Uzbekistan. It comprises two subcomponents reflecting the dual needs of Uzbekistan at the current stage of development, namely enabling technology adoption by firms and diffusion and supporting the initial growth of R&D-driven innovation, as well as the expansion of a knowledge-based startup sector in Uzbekistan. Subcomponent 2.1. Innovation Capabilities Program (ICP, US$10 million). The objective is to enable SMEs to develop new or improved products, services, and processes, enabling their expansion in domestic, regional, and global markets. The ICP will finance (i) supplier development matching grants for the adoption of quality standards by domestic SMEs, and (ii) targeted technical assistance and purchase of equipment to support modernization of selected parts of the national quality infrastructure. Subcomponent 2.2. Business Investments in R&D Program (BIRD program, US$10 million). This activity will finance matching-grants for sub-projects to (i) support later stages of research commercialization, (ii) R&D for SMEs, and (iii) early stages of knowledge-based startups. In addition to SMEs, potential beneficiaries will include projects that graduate from the RCP and require, for example, funding for large-scale prototyping, small-scale production for market testing; and, independent inventors with knowledge-intensive ideas that require funding to develop proof-of-concept and prototypes. Component 3: Supporting STI policy-making and reforms (US$5 million). This TA component aims to address the lack of adequate information about good policies and the weak capacity of policy-making organizations. Importantly, in addition to the support of enabling reforms for project activities, it will also support coordination and consensus building for the implementation of reforms aiming at the development and implementation of new Science Technology and Innovation Strategy of Uzbekistan. Component 4: Project management, and monitoring and evaluation (US$5 million). This component will support project implementation activities. It will finance the operational costs of the PMU and other related operational costs, including those incurred in the administration of the programs. Project Beneficiaries: Direct project beneficiaries include: (i) individual senior scientists and junior researchers who receive grants for developing eligible R&D ideas, (ii) Uzbek research institutes, design bureaus, and scientific and engineering laboratories that receive project funds for upgrading their laboratories, (iv) innovative SMEs that receive financial and technical support through a Component 2, (v) Staff of MID and other entities involved in policy formulation and execution, (vi) key stakeholders of the NIS, including MID and other relevant authorities and ministries of Uzbekistan. It is not possible to estimate the number of direct beneficiaries (people) under other components because of the multitude of entities that will be involved in the activities. Project location. The project activities will be implemented in the territory of Republic of Uzbekistan. Locations throughout the country of the selected project Components 1 and 2 will be identified during the project implementation. Project potential environmental risks and impacts. The proposed project components are generally environmentally benign except that activities under Components 1 and 2, which will support rehabilitation of laboratories and other science and technical institutions. These renovation activities will not generate adverse environmental impacts or substantial risks on human population, and the predictable impacts are expected to be temporary, reversible, low in magnitude and site specific. The expected environmental impacts may be listed as: improper care, handling and storage of building renovation material and waste, generation of excessive noise and dust levels, and health impacts related with inadequate disposal of asbestos-containing material. As indoor water, sanitary and hygiene facilities are part of this subcomponent, wastewater discharged without proper septic tanks or filters, may cause soil and groundwater pollution. The science and technical institutions locations are in built-up areas that are not expected to be in proximity to areas of biodiversity significance or cultural heritage. The project will finance procurement and installation of Laboratory and IT equipment in science and technical institutions, and proper disposal of obsolete electronic components and materials in future is necessary to avoid air and groundwater pollution by electronic waste in landfills. There will be no special screening form provided for rehabilitation works. The Sub-Project Beneficiary will have to fill in directly EMP checklist where basic information about the Sub-Project will be provided. The Bank will require adoption of adequate OHS practices; and for the client to prepare, before appraisal, an Environmental and Social Management Framework (ESMF) and to disclose it locally as well as at the Bank. A professional design must be made for the laboratory facilities in the science and technical institutions, following relevant national guidelines on Sanitary and epidemiological requirements for laboratories; and professional supervisors will need to be hired to supervise installation. Sewerage water disposal/treatment shall be carefully assessed, and proper arrangements put in place to prevent soil pollution (septic tanks, filters, etc.). The site-specific environmental management and safety measures to be prepared following the project ESMF should be included in the contracts for installation. The project will not finance land acquisition or construction of new buildings on new sites. For the operation phase, the science and technical institutions will implement good international practices and follow state standards and national requirements of the order of Acting minister of National Economy of the Republic of Uzbekistan of April 15, 2015 No. 338 on the Sanitary regulations "Sanitary and epidemiological requirements for laboratories using potentially hazardous chemical and biological Substances". Risk related to labor-management including influx is not substantial given the small-scale nature of expected rehabilitation works. Beneficiary (science and technical institutions and enterprises) selection criteria need to be carefully elaborated to ensure inclusive access to the institutions and enterprises in the regions, as well as a regionally equitable balanced distribution of funds. Overall, most of identified risks and impacts are expected to be typical for small scale construction/rehabilitation works will be temporary by nature and site specific and can be easily mitigated by applying best construction practices and relevant mitigation measures. Potential social impacts and resettlement issues. The social impacts associated with the project activities are considered positive and beneficial for the Uzbek society. Social risk is rated as Moderate based on the information available. Project activities will be site-specific, with the likelihood that any impacts beyond the project footprint to be low in magnitude and easily mitigated in a predictable manner. If project activities will show the potential for temporary or permanent involuntary land acquisition, a negative impact on economic activities, or restricting access to resources – then the activities will not be financed under the project. Activities associated with the project will also be screened to ensure there is no involuntary resettlement or negative impact on livelihood. Subprojects will be assessed through the ESMF and will be monitored during supervision. The adverse social risks and impacts may relate, among others, to: inclusive access to and affordability of services to be provided by the project; socio-economic risks from participating in project activities, for example, arising from access restrictions; risks of inadequate or insufficient outreach and engagement of selected groups of target beneficiaries; risks arising from inadequate application or enforcement of labor rights and occupational health and safety requirements; lack of adequate grievance mechanisms both for general project-related issues as well as for labor related issues; community health and safety risks, etc. Overall project environmental and social risks. Considering the potential environmental and social risks, described above, as well as the high uncertainty over sectoral policy priorities and directions, and diverse areas of potential investments the project environmental and social risks are assessed as Moderate. Relevance of Environmental and Social Standards (ESS) and triggered WB Operational Policies (OPs). ESS1, ESS2, ESS3, ESS4 and ESS10 are relevant to the project. In terms of triggering WB Operational Policies, while the OP 7.60: Projects in Disputed Areas and the OP 7.50 on International Waters do not apply and are not triggered by the project. Environmental and Social Management Framework (ESMF). As the technical evaluation (e.g., feasibility studies, detailed designs) and specific intervention locations under the project are not identified and/or ready and their specific impacts are not known by project appraisal, a framework approach is adopted. Respectively, in accordance with the ESS1, an Environmental and Social Management Framework (ESMF) has been prepared, which specifies rules and procedures for the activities and for preparing adequate site-specific Environmental and Social Management Plans (ESMPs). The ESMF covers the following: (i) rules and procedures for environmental and social screening of project activities and subprojects to be supported under the project; (ii) guidance for preparing site-specific ESMP or ESMP Checklist, which would include the monitoring plans; (iii) mitigation measures for possible impacts of different proposed activities and subprojects to be supported by the project; (iv) requirements for monitoring and supervision of implementing of ESMPs, implementation arrangements; (vii) overview of the capacity of MID (the project implementing agency) for E&S risk management and capacity building activities that would include other parties on mitigating potential environmental and social risks. The ESMF also specifies that under the proposed institutional strengthening and capacity building activities should include special training on identifying and addressing environmental safeguards issues and integrating environmental requirements infeasibility studies. Furthermore, the client prepared a SA that includes: (i) stakeholder identification/mapping; (ii) stakeholder analysis of expectations, concerns, and issues; (iii) assessments of positive and negative impacts; and (iv) a social management plan to mitigate the negative impacts and enhance positive benefits. Borrower’s Environmental and Social Commitment Plan. The ESCP specifies the main responsibilities and actions to be undertaken by the implementing agency (MID) to ensure project compliance with the WB ESSs and in particular: (a) conducting environmental and social screening for all project activities via ESMP/ESMP Checklist covering the above aspects; (b) application of the ESMF to the relevant project activities, including the need to prepare site specific ESMPs; (c) reporting on environmental and social performance of all activities in a quarterly reports; (d) ensuring transparency in providing project environmental safeguards and ensuring all ESMPs are disclosed and publicly consulted with all interested parties; I maintaining through the whole period of project implementation human capacity to ensure project activities supervision and monitoring and providing adequate reporting to the implementing agency and to the WB; (f) preparation and adherence to the Environment, Social, Health and Safety Code of Conduct by works contractors; and (g) implementing and reporting on: (i) Stakeholders Engagment Plan; (ii) Labor Management Plans (LMP); and Grievance Redress Mechanism. ESSs supervision and reporting. The status of the compliance with the ESMPs’ requirements shall be provided by the contractors to the PMU, and then to the Bank by the PMU in form of their quarterly report. Environmental and social monitoring during sub-component implementation should provide information about key environmental and social aspects of the sub-projects, particularly its environmental impacts, social consequences of impacts and the effectiveness of taken mitigation measures. Such information enables the PMU to evaluate the success of mitigation measures as part of project supervision and allows corrective action(s) to be implemented in a timely manner, when needed. Integration of the ESMPs into project documents. The ESMP provisions will form part of the design documents for the project and will be included in construction contracts for selected subprojects, both into specifications and bills of quantities. Respectively the Contractors will be required to include the cost of ESMP requirements in their financial bids and required to comply with them while implementing the project activities. The bidding documents for selecting the contractors will include specifications that would ensure effective implementation of environmental, health and safety performance criteria by the winning bidder. World Bank Assistance in complying with the ESSs. The Bank’s environmental and social specialists will provide support to PMU to ensure smooth implementation of the Project activities in consistency with the applicable Environmental and Social Standards of the Bank. Regular site visits will be carried out to monitor the compliance of the contractors with good construction practices and other requirements to be specified in site-specific ESMPs. The Bank task team will provide guidance in, and review, key environmental and social monitoring documents, such as ESMPs, Labor Management Procedures (LMP) and Stakeholder Engagement Plan (SEP), as well as quarterly reports and support MID in meeting its commitment set out in ESCP. Stakeholders Engagement: A greater emphasis and special attention will be paid to these aspects in the ESMF. The project provides principles for strengthening social accountability and inclusion through public information and stakeholders involvement in planning and monitoring of services. Grievance Redress Mechanism (GRM): The proposed Grievance redress mechanism within the ESMF helps complaint handling system to be functional, transparent and responsive, and where appropriate, strengthen government systems. The project establishes a Grievance redress mechanism which would function at the two-levels to receive, evaluate and facilitate the resolution of displaced persons concerns, complaints and grievances. PMU will be responsible for establishment of GRM during the project affectivity and act as the GRM secretary to make sure that the GRM is operational to effectively handle environmental and social concerns of project affected persons. ESMF Public consultations and information disclosure. Public Consultations will be undertaken during the ESMF development and before disclosure. For this purpose, there will be number of virtual meetings conducted with relevant stakeholders such as specialists from different line ministries, specialists of MID, science and technical institutions, specialists from nature protection committee. Public consultations in project target areas will present the project’s objectives, planning activities, anticipated environmental and social impacts and proposing mitigation measures, and grievance redress mechanism to participants. ESMF will be published on Implementing Agency website and further will be published on WB external website. Project Implementation Arrangements The proposed Project will be implemented by the Ministry of Innovative Development (MID). The MID will be responsible for strategic oversight and technical aspects of project implementation. The Project Management Unit (PMU) will be established within MID to facilitate and monitor day-to-day implementation of the project and grant administration. The PMU will manage the project according to the rules and procedures agreed with the World Bank and codified in the Project Operations Manual. In addition, a Project Steering Committee (PSC) will be established for strategic project management by the Ministry. The Project Steering Committee will be chaired by the Minister of Innovative Development and will include representatives of MOF, the Ministry of Higher Education, the Ministry of Health, the Ministry of Agriculture, the Ministry of Justice, the Chamber of Commerce, the Academy of Science and other interested parties. The PSC will ensure effective collaboration across all stakeholders, monitor progress, and facilitate the resolution of inter-institutional implementation challenges as wells as coordination between the Parties in respect of performance of activities under the Project. The International Expert Board (IEB) will evaluate project proposals and make financing decisions for competitive grants under Components 1 and 2. A new selection mechanism following international practice will be implemented, involving a two-stage evaluation process – an initial evaluation by 2-3 independent professional peer reviewers, followed by the expert assessment and implementation progress oversight by the IEB. The IEB will include five distinguished individuals - 2 scientists, 2 commercialization experts and 1 successful tech-entrepreneur or financier from different parts of the world. The IEB will represent the fields of scientific and commercial expertise that are of strategic importance for Uzbekistan, from a variety of technologically advanced countries. The project will finance the cost of engaging peer reviewers and IEB members, such as fees, travel costs, etc. Technology Transfer Office (TTO) will be an independent legal entity owned and established by the MID. The TTO will work initially with the research groups established under components 1 and 2. Beneficiaries and Contractor’s responsibilities The actual investments will be carried out by contractors selected through the public tender process. They should operate in full compliance with national environmental and social legislation and with the ESMPs requirements. Further, the contractors are obliged to follow regulative requirements of the national law related to traffic safety, occupational health and safety; fire safety; environmental protection; and community health and safety. All ESMPs’ associated activities will be financed by the contractors. The contractors will also be requested to designate a person in charge of environmental, social, health and safety issues and for implementing the ESMP. Similarly, in order to ensure an efficient implementation of the ESMPs, the subprojects’ beneficiaries, in most cases these are local municipalities, will also appoint responsible persons with the main tasks of supervising subproject implementation and reporting to the MID PMU in case of any environmental or social non-compliance. 1. INTRODUCTION 1.1 Purpose of the ESMF Environmental and social management framework (ESMF) is an instrument that examines the issues and impacts associated when a project consists of a program and/or series of sub-projects, and the impacts cannot be determined until the program or sub-project details have been identified. The ESMF sets out the principles, rules, guidelines and procedures to assess the environmental and social impacts. It contains measures and plans to reduce, mitigate and/or offset adverse impacts and enhance positive impacts, provisions for estimating and budgeting the costs of such measures, and information on the agency or agencies responsible for addressing project impacts. 1.2 Rationale for the ESMF As the details of specific interventions (feasibility studies, detailed designs) and their locations under the project are not identified and their specific impacts are not known by project appraisal, in accordance with the ESS1, an Environmental and Social Management Framework (ESMF) has been prepared. It specifies rules and procedures for the activities and for preparing adequate site-specific Environmental and Social Management Plans (ESMPs). 1.3 Approach and Methodology for the preparation of ESMF The ESMF covers the following: (i) rules and procedures for environmental and social screening of project activities and subprojects to be supported under the project; (ii) guidance for preparing site-specific ESMP or ESMP Checklist, which would include the monitoring plans; (iii) mitigation measures for possible impacts of different proposed activities and subprojects to be supported by the project; (iv) requirements for monitoring and supervision of implementing of ESMPs, implementation arrangements; (vii) overview of the capacity of MID (the project implementing agency) for E&S risk management and capacity building activities that would include other parties on mitigating potential environmental and social risks. The ESMF also specifies that under the proposed institutional strengthening and capacity building activities should include special training on identifying and addressing environmental safeguards issues and integrating environmental requirements infeasibility studies. 1.4 Project Description The Project Development Objective is to assist NIS to enhance its effectiveness in highly competitive global markets so that traditionally strong science and educated population turn into long-term and sustained resource welfare, national competitiveness, and economic diversification and improved living standards. Key Results 1. Number of scholarships or support to research conducted abroad 2. Number of applied R&D projects conducted jointly by research institutes and firms financed 3. Number of firms creating new or improved products and services Project approach and potential beneficiaries The proposed Project is in line with all 3 focus areas of the FY16-20 Performance and Learning Review of the Country Partnership Framework (Report 126078-UZ dated May 29, 2018) – 1) Sustainable Transformation Towards a Market Economy; 2) Reform of State Institutions and Citizen Engagement; and 3) Investing in People. The project beneficiaries Direct project beneficiaries include: (i) individual senior scientists and junior researchers who receive grants for developing eligible R&D ideas, (ii) Uzbek research institutes, design bureaus, and scientific and engineering laboratories that receive project funds for upgrading their laboratories, (iv) innovative SMEs that receive financial and technical support through a Component 2, (v) Staff of MID and other entities involved in policy formulation and execution, (vi) key stakeholders of the NIS, including MID and other relevant authorities and ministries of Uzbekistan. It is not possible to estimate the number of direct beneficiaries (people) under other components because of the multitude of entities that will be involved in the activities. The main stakeholders of the National Innovation System (NIS) of Uzbekistan are universities (70 universities), the National Academy of Sciences (consists of 28 entities, including 27 SRIs), the Ministry of Innovative Development (MID, established in December 2017), as well as SRIs under the Ministry of Agriculture and Water – 11, under the State Committee on Land Resources – 1, under State Veterinary Committee – 1, under State Forestry Committee – 1, under Ministry of Health - 6. Combined, they employ 16,700 R&D personnel. Project components and proposed investments Component 1: Improving research excellence and commercialization (US$20 million). 1. The objectives of this component are to improve the capacity of public research to achieve international standards of research quality and enable the commercialization of research results. It comprises three subcomponents. 2. Subcomponent 1.1. Research Excellence Program (REP, US$10 million). The REP will finance research sub-projects submitted by researchers from RIs or local universities _____. The REP will emphasize joint research proposals from local and international researchers (including Uzbek scientists abroad),1 joint research proposals from researchers and the private sector, and proposals from young (junior) researchers (aiming to strengthen the country’s future research capability). Selection will be based on the two core criteria: (i) scientific merit; and, (ii) social and/ or economic relevance, for example, the potential contribution to solving some societal challenge or on its commercial application. In particular, the REP will encourage proposals in the fields of renewable energy, energy efficiency, and low-carbon technologies. It is also envisaged that one of the initial project calls will target COVID-19- related research. 3. Operational procedures. The REP will be guided by the REP Manual and implemented by the PMU, which will follow strict procedures of meritocracy adopted internationally — for example, those followed by the European Research Council (ERC), including international peer review. During the development of the program, open consultation forums2 in RIs and HEIs will be established to engage local and international researchers, junior researchers and develop detailed understanding of necessary changes to improve the effectiveness of transparency and meritocracy in funding allocation (e.g. size of the grants, fields of the proposals). Grants for junior and senior researchers would go up to US$200,000 1 International collaboration calls will also target the scientific Diaspora, following the experience of Croatia’s Unity Through Knowledge Fund. and US$600,000, respectively.3 Each call will have the flexibility to establish lower maximum values to encourage more participation and better demonstration effect. Eligible candidates must belong to a RI or a HEI. Implementation time is expected to be up to 24 months. Collaborative research will be supported by larger funding and extended periods. The program may also target preliminary research required for applications to international research funds for which the country qualifies (such as for the Framework Programs of the European Research Area). When complete, the project will support activities to obtain feedback on the REP and establish a vehicle, such as a committee, for deliberation over the results. All procedures will be set out in an approved REP Manual. The REP is expected to be the starting point of a National Science Foundation. 4. Subcomponent 1.2. Research Commercialization Program (RCP, US$4 million).4 The RCP will (i) finance research commercialization sub-projects on the development of proof-of-concept and small- scale prototyping, and (ii) provide mentorship to sub-projects with commercialization potential. The RCP is expected to attract and support research commercialization sub-projects from RIs and universities. Mentorship activities will offer individualized training and coaching, as well as facilitate the matching between potential candidates and prospective enterprises/ investors. Component 3 will support complementary regulatory/ legal reforms necessary for effective research commercialization. 5. Mentorship to sub-projects: MID will establish a Technology Transfer Unit that will provide tailored capacity-building for RCP sub-projects on varying themes, including market sizing exercises, developing commercialization concept, sales and marketing, team building, investment and finance, presentational and pitching skills. In view of the nascent market for investment readiness services in the country, a reputable international contractor will be competitively hired to help build capacity of the TTU and thus build a strong cadre of technology commercialization specialists in the country. The contractor’s key tasks include (i) development of capacity of the TTU staff, including training and supervising the TTU commercialization managers to ensure regular knowledge transfer; (ii) drafting RCP manual based on analysis of gaps in existing commercialization practices; (iii) support TTU in implementing RCP (selecting RCP beneficiaries, providing peer review, help developing monitoring mechanisms etc.); (iv) provide mentoring to RCP beneficiaries. 6. Operational procedures.5 (i) Research Commercialization Grants: funding will be in the format of small grants varying from US$75,000 to US$150,000 for a period no longer than 24 months. Within those boundaries, each call will have the flexibility to adjust its parameters depending on the stage of research commercialization, the field of science, and related factors.6 Research projects will be selected on a competitive basis, according to their 3 Calls for young researchers will be informed by the Young Researchers Grant Program experience of the ERC. 4 This subcomponent will help to transfer research results to the market, a process that is currently impeded by many market and institutional failures. For further discussions see Zuniga, P. and Correa, P. (2013). Technology Transfer from Public Research Organizations: Concepts, Markets and Institutional Failures. Innovation Policy Platform Policy Brief. 5 This funding scheme follows closely the Small Business Technology Transfer (STTR) scheme provided under the US Small Business Innovation Research (SBIR) program. 6 For example, proof-of-concept calls often require lower co-funding amounts and offer a lower amount of total funding as compared to prototyping. In addition, the amounts and the time required for the development of proof-of-concept in the software industry tends to be lower than in the biotech sector. scientific and commercial potential, with a possible target of reaching at least 35 percent female beneficiaries. (ii) Mentorship to sub-projects: The subcomponent will also finance the establishment of a Technology Transfer Unit (TTU) under the MID to oversee the implementation of the RCP. A specialized entity (e.g., the Larta Institute, IC2, or other) will be selected7 for, inter alia, (i) building capacity of the TTU in implementing RCP, (ii) drafingt the RCP Manual, (iii) supporting selecting the beneficiaries, and (iv) providing mentorship to Research Commercialization Grants Program beneficiaries, (all under the Project Management Unit’s -PMU- supervision).8 Decisions on the selected projects will be submitted to the IEB for concurrence. Jointly with the hired entity, the TTU will work directly with the researchers (possibly through online feedback processes) to explore the potential for their commercialization. It will also coordinate the provision of training for existing technology transfer offices or similar organizations of RIs and universities, as well as other TA activities in the field of research commercialization. The contractor will also provide detailed recommendations on sustainably maintaining the RCP after the completion of the engagement. Inputs from the targeted beneficiaries (researchers, enterprises, investors) of the RCP will be sought through an online consultaion platform to better understand needs for subgrants (amounts and fields), the type of mentorship, and services to be offered by the TTU. 7. Subcomponent 1.3. Public Research Institutes Modernization (PRIM, US$6 million). This subcomponent will finance investment in the modernization of infrastructure of selected public research institutes. The selection of research institutes (RIs) will be undertaken by the MID after full assessment of the IMP of all RIs candidates.9 The design of the IMP will be supported by TA based on growing international experience of improved governance of RIs, as in the cases of Germany, Italy, and New Zealand, as well as open consultation and engagement forums with the researchers and other stakeholders of the NIS10 Access to the infrastructure research funding will be conditional on the acceptance of an IMP by the MID. Participation will be voluntary, and any RI is eligible. 8. Operational procedures. IMPs are not expected to be comprehensive but should be robust enough to generate a substantial improvement in research excellence or research commercialization. Proposed measures should be conceived as part of a long-term reform strategy but be commensurate with the resources available for the activity and completed within a short period (e.g., 6-12 months). Research infrastructure projects will be accompanied by feasibility studies acceptable to the World Bank. Where relevant, IMPs may be requested to include plans to diversify the gender composition of the management and administration. Component 3 will support the hiring of a consultant to advise the MID on the design and the review/ acceptance of the IMP. The IMP framework may include a guideline to target the 7 The selection of the entity to implement the RCP will be competitive, based on the costs of service, the quality of the mentorship program, and demonstrated results (see Section III.A). 8 The Project Management Unit will be responsible for fiduciary responsibilities and administrative tasks. 9 The research infrastructure funded by the program will be consistent with a broader research infrastructure strategy to be developed under Component 3. It will be subject to the regulation of access norms established internationally, such as those of the European Research Infrastructure Consortium (ERIC). Lastly, it will contain an assessment of maintenance costs and budgetary implications acceptable to the MID. 10 See OECD (2014). STI Policy Profiles: Universities and Public Research Institutes. OECD, Paris; and OECD (2011), Pubic Research Institutions: Mapping Sector Trends. OECD, Paris. The sub-component will also follow the experience under the Serbia Innovation Project (SIP). enhancement of participating RI’s climate change mitigation or adaptation research capacity, as part of institutional modernization plan. 9. During the pre-appraisal mission, the project team assessed some of the RIs based on the (i) quality/ relevance of their research; (ii) preparedness to adopt administrative reforms; and, (iii) the availability of clear proposals for the modernization of their respective research infrastructures.11 Among several potential candidates, the team undertook a preliminary assessment of three potential candidates for pilot programs, namely the Institute of Virology, the Institute of Seismology, and the Institute of Plant Chemistry. In particular, the project envisages the possibility of financing the acquisition of a mobile BSL-3 laboratory for COVID-19-related research (which would also be necessary for research on other viral diseases).12 Component 2: Promoting innovation in the private sector (US$20 million). 10. The objective of this component is to increase private sector innovation in Uzbekistan. It comprises two subcomponents reflecting the dual needs of Uzbekistan at the current stage of development, namely enabling technology adoption by firms and diffusion and supporting the initial growth of R&D-driven innovation, as well as the expansion of a knowledge-based startup sector in Uzbekistan. 11. Subcomponent 2.1. Innovation Capabilities Program (ICP, US$10 million). The objective is to enable SMEs to develop new or improved products, services, and processes, enabling their expansion in domestic, regional, and global markets. The ICP will finance (i) supplier development matching grants for the adoption of quality standards by domestic SMEs,13 and (ii) targeted technical assistance and 11 Based on the Background Note “Review of Potential Candidates to the Public Research Institutes Modernization Program”, prepareded by Ravi Gupta. 12The BSL-3 laboratory corresponds to the minimum level of biosafety recommended by the Centers for Disease Control and Prevention for COVID-19 when performing scientific research, including viral isolation and initial characterization of viral agents found in cultures of SARS-CoV-2 infected specimens as those needed in Uzbekistan. The total (construction and equipment) costs of a 30 m2 modular BSL-3 laboratory was estimated at US$ 400.000 in 2009, with annual maintenance budget at about 10-15 percent of the facility construction costs. Compared to a standard construction, the modular option could be built in a relatively short period of time and cost less to build and maintain. See Ssengooba W, Gelderbloem SJ, Mboowa G, Wajja A, Namaganda C, et al. (2015) Feasibility of establishing a biosafety level 3 tuberculosis culture laboratory of acceptable quality standards in a resource-limited setting: An experience from Uganda. Health Research Policy and Systems 13:4; and Heckert RA, Reed JC, Gmuender FK, Ellis M, Tonui W (2011) International biosafety and biosecurity challenges: suggestions for developing sustainable capacity in low-resource countries. Applied Biosafety 16: 223-230. Bridges, D. J. , James Colborn, Adeline S. T. Chan, Anna M. Winters, Dereje Dengala, Christen M. Fornadel, Barry Koslof Modular Laboratories—Cost-Effective and Sustainable Infrastructure for Resource-Limited Settings. The American Journal of Tropical Medicine and Hygiene, Volume 91, Issue 6, 3 Dec 2014, p. 1074 - 1078 . 13 Supplier development initiatives or programs aim to stimulate linkages between local SMEs and large local and foreign companies. Such programs pilot a group of targeted and coordinated interventions to support local SMEs to increase their sophistication, compete more effectively and integrate into the global and regional supply chains of the large companies. International experience suggests that SDPs can make a substantial impact in generating increased domestic value added. The Czech and Serbian experience showed that having SDP in place is a win-win for all parties involved in the process (Government, foreign investors and local companies). Countries that attract Foreign Direct Investments (FDI) but do not develop linkages do not fully benefit from FDI; SDPs are instrumental in ensuring spillovers and attracting additional FDI. For a review of supplier development programs see World Bank. 2008. International experience in supplier development (English). Washington, DC: World Bank and on the experience of North Macedonia, as documented in Metz, Melissa; Popovikj purchase of equipment to support modernization of selected parts of the national quality infrastructure14. Modernization efforts would include streamlining and implementing procedures for certification, accreditation and conformity, upgrading of laboratory facilities for metrology, calibration and testing. Activities aiming at the modernization of the national quality infrastructure (NQI) will be selected according to the needs of the sectors in which the SD grants are implemented. Priorities will be identified through various consultation mechanisms such as an open forum or an online platform The ICP will be piloted in one to three segments of the economy. Possible candidates include medical devices and personal protective equipment, as well as the pharmaceutical and biotechnology industries, while product and service selection criteria will encourage climate consideration through energy efficiency or saving. 12. The SD matching grants will be implemented jointly with at least one large firm as a co-sponsor to reduce moral hazard and adverse selection risks, as well as to improve the chances of market access by the beneficiaries.15 Co-sponsor(s) of the SD matching grants will be selected competitively based on the (i) amount of resources offered for co-funding; (ii) quality of the supply development program proposed; (iii) market size and sophistication; and, (iv) degree of commitment to procure from selected beneficiaries. The project funding is expected to be equal to or less than the contribution of the co- sponsor(s). The co-sponsor will provide the supplier development requirements to be targeted. 13. Operational procedures. The SD matching grants will be guided by the SD Matching Grants Manual. SMEs pre-selected by the co-sponsor(s) will be eligible—with women-led or managed firms especially encouraged to apply. Selection will be based on the implementation plan submitted by the prospective candidate. The most competitive implementation plans will be those considered more likely to achieve the results established in the sponsor(s)’ development plan. The project’s contribution is capped at US$50,000 per firm, but could be up to 10 percent higher for women-led or managed firms. The matching funds provided by the prospective beneficiary are expected to be not less than 50 percent of the total cost of the proposed plan. The costs incurred in the preparation of the proposal could be counted as part of the matching. The duration of the program is expected to be 6-12 months, with a possible extension of up to two months for women-led or managed firms. Selection will be made by a panel composed predominantly of the private sector, submitted to the IEB for concurrence. Beneficiary feedback will be collected from stakeholder SMEs periodically to improve implementation. 14. Subcomponent 2.2. Business Investments in R&D Program (BIRD program, US$10 million). This activity will finance matching-grants for sub-projects to (i) support later stages of research commercialization, (ii) R&D for SMEs, and (iii) early stages of knowledge-based startups. In addition to SMEs, potential beneficiaries will include projects that graduate from the RCP and require, for example, funding for large-scale prototyping, small-scale production for market testing; and, Friedman, Gordana; Adamon, Karamath Djivede Sybille; Vrboski, Perica; Bilotserkivska, Iryna. 2017. FYR Macedonia supplier development pilot program toolkit : materials and lessons learned (English). Washington, D.C. : World Bank Group. 14 A National Quality Infrastructure (NQI) is the ecosystem that supports the development, adoption and compliance of standards to promote product quality. It is comprised of the institutions, norms, and regulations, metrology and testing infrastructure and public and private stakeholders that develop, supervise or adopt quality standards 15 For the importance of demand size and sophistication in product upgrade see for example Atkin D, A Khandelwal and A Osman (2014). “Exporting and Firm Performance: Evidence from a Randomized Trial”, CEPR Discussion Paper 10276. independent inventors with knowledge-intensive ideas that require funding to develop proof-of-concept and prototypes. 15. The BIRD program will encourage the submission of joint R&D projects from SMEs and between SMEs and PROs. It is expected to emphasize applied R&D projects and the development of proofs of concept and prototypes. The BIRD program will encourage applications (including from early stage enterprises) that have environment- and climate-friendly innovation potential, namely applications to achieve climate change mitigation or adaptation results as well as other areas related to existing societal challenges. This component may lead to forming a joint-stock company dedicated to the production of COVID-19 vaccines. Component 3 will provide TA for this decision by the GOU.16 16. The BIRD program will also offer mentorship assistance in the form of ‘investment readiness’ activities to startup firms that graduate from the program. These activities provide individualized training, mentoring, and coaching, as well as facilitate the matching between potential candidates and prospective investors, helping entrepreneurs to overcome standard obstacles in obtaining external funding and know- how for business growth.17 Component 3 will support the design of a public co-investment fund to crowd-in this type of investment from the private sector. The implementation of this instrument, however, will depend on the existing demand throughout the project lifetime.18 17. Operational procedures. The BIRD program will be guided by the BIRD Program Manual. Co-finance by the awardee will vary between 30 and 70 percent of the total cost of the project (up to 10 percent more for women-led and or managed firms), with a maximum amount of US$300,000 per individual project or US$600,000 for joint projects, for a period no longer than 24 months.19 Within those boundaries, each call will adjust its parameters to the stage of the project (vs. proof-of-concept or prototype) and the sector of activity (e.g., software vs. biotech), among other factors. Eligible firms are SMEs (including startups) formally registered in Uzbekistan, with women-led and managed firms especially encouraged to apply. Final decisions will be taken by the IEB. The provider of investment readiness assistance activities will be selected competitively by the PMU under the guidance of the IEB, taking the into account the growingly available international evidence.20 Component 3 will fund TA 16 The decision to proceed with the investment will be based on a feasibility study, co-substantiated by the opinion of at least three international experts on vaccine production and virology. A preliminary framework was shared with the MID as part of the preparation of this project. See Bacgrkound Note “A Proposed Approach for the Decision on Producing SARS-CoV-2 Vaccines in Uzbekistan”, prepared by Danica Ramljak, Paulo Correa and Yeraly Beksultan. 17 Prospective entrepreneurs, especially researchers, often lack knowledge about the availability of external sources of finance, the key factors that investors look for in making investment decisions, and the presentational skills necessary for successfully ‘pitching’ of business propositions. Prospective investors are also not easily accessible to individual entrepreneurs. Mason, Colin and Jennifer Kwok (2010) “Investment Readiness Programmes and Access to Finance: A Critical Review of Design Issues”, Local Economy 25(4): 269-92. 18 The BIRD program will provide a potential ‘exit strategy’ to projects, expected to be the private equity industry. 19 Each call will have flexibility to establish lower maximum values that will encourage more participation and better demonstration effect. 20 One example is the experience of the Western Balkans Investment Readiness Project. A randomized experiment worked with 346 firms and delivered an investment readiness program to half of the firms, with the control group receiving an inexpensive online program instead. A pitch event was held for these firms to pitch their ideas to independent judges. The investment readiness program resulted in a 0.3 standard deviation increase in the investment readiness score, with this increase occurring throughout the distribution. Two follow-up surveys show that the judges' scores predicted investment readiness and outcomes over the subsequent two years. Treated firms attained significantly more media attention and were 5 percentage points more likely to have made a deal with an outside investor, although this increase is not statistically required to inform the selection process. Beneficiary feedback will be collected from stakeholders periodically to improve implementation. Component 3: Supporting STI policy-making and reforms (US$5 million). 18. This TA component aims to address the lack of adequate information about good policies and the weak capacity of policy-making organizations.21 Importantly, in addition to the support of enabling reforms for project activities, it will also support coordination and consensus building for the implementation of reforms aiming at the development and implementation of new Science Technology and Innovation Strategy of Uzbekistan. The component will finance (i) advisory work for the preparation of studies or draft regulations and policies; (ii) training (e.g., mini-courses) and study tours; and, (iii) consensus- building workshops. MID will encourage women’s participation in these events. The MID will be encouraged to monitor the participation of women in the activities of Component 3 and based on the results, consider measures to improve their participation. The component will be implemented along thematic areas, and each of the three activities complementing each other to maximize the likelihood of impact on the policy or reform to be implemented. Processes that ensure the engagement of targeted beneficiaries will be established in all stages of the process to ensure the TA meets their needs, and maximizes consensus.22 19. TA will be provided towards project implementation as indicated in Components 1 and 2, including (i) advisory work for the design of the process of selection and evaluation of IMPs under Subcomponent 1.3; (ii) the assessment of the NQI system gaps that will guide investments and reforms under Subcomponent 2.1,23 and, (iii) development of citizen engagement processes, and (iv) the design of a potential co-investment fund to crowd-in private investments to the BIRD program (Subcomponent 2.2). In addition, the Component will finance studies to fill knowledge gaps of the GOU related to the implementation of the current Innovation Strategy, including the consolidation of research and innovation funding and the development of a research infrastructure strategy. 20. Training activities will include formal on-the-job training and study tours for the staff of the MID, RIs and other institutions, and the Uzbek scientific community. Potential beneficiaries include the Patent significant. See McKenzie, D., Cusolito, A. P., Dautovic, E. (2018). ' Can Government Intervention make firms more investment- ready? A randomized experiment in the Western Balkans'. World Bank Policy Research Working Paper." 21 Cirera, Xavier; Frias, Jaime; Hill, Justin; Li, Yanchao. 2020. A Practitioner's Guide to Innovation Policy : Instruments to Build Firm Capabilities and Accelerate Technological Catch-Up in Developing Countries. World Bank, Washington, DC 22 For example, the project will support: (i) a study of the current needs of national R&D statistics, a strategy for improvement, and a consensus-building workshop among key stakeholders; (ii) the preparation of a robust M&E framework for better management of STI policies, on-the-job training on its use, and consensus-building about lessons learned and reforms needed; (iii) a broad consultation process of proposals towards the design of the country’s equiv alents to a national science foundation and an innovation agency, as well as the sustainable institutionalization of the REP and the RCP into the policy arsenal of this agency; and, (iv) studies of the existing bottlenecks to research commercialization and proposals of reforms (e.g., drafting of legal reforms, adjustment to career development plans, and other), as well as consultation with key stakeholders (RIs and universities). Finally, another theme covered across the three subcomponents relates to the decision to produce vaccines locally, and Component 3 will fund the studies, training, and consensus-building activities for effective decision-making. 23 The modernization of the NQI will be supported by studies related to the gaps with international good practice, an assessment of demand for NQI services in selected value chains, and the preparation of reform proposals. Office and the Center for Scientific and Technical Information.24 The capacity-building programs will also include relevant educative training and climate and science-related awareness sessions. 21. Consensus-building activities will target the enhanced coordination of key stakeholders and the development and implementation of a communications strategy. Coordination of innovation policy and sector reforms is a significant challenge due to the systemic nature of the innovation process and the number of different stakeholders in any NIS. In addition, there has been insufficient public discussion about the ‘destination’ of the economic transformation and the long-term changes that it will bring about, particularly in what relates to the role of a market-oriented NIS. The component will support the MID to articulate a narrative around the economic transformation of Uzbekistan and the role of a market- oriented NIS. TA will help consolidate and strengthen the functioning of coordination bodies, as well as the development of a communications strategy to get feedback, build consensus, and improve implementation. Component 4: Project management, and monitoring and evaluation (US$5 million). 22. This component will support project implementation activities. It will finance the operational costs of the PMU and other related operational costs, including those incurred in the administration of the programs. The PMU will be responsible for the day-to-day implementation of project activities, and for fiduciary activities (including procurement, financial management, environmental and social compliance, reporting citizen engagement, project audits, and other functions). This component will also finance the establishment and operation of the IEB that will guide project implementation, including final decision-making on funding schemes, the selection of proposals to be supported by the REP, and the BIRD Program. In addition, the component will finance the operation of a Project Steering Committee (PSC) to be created to improve coordination among beneficiaries and key NIS stakeholders. The allocation of US$5 million is commensurate with the the additional administrative and coordination burden on the PMU. Section III provides further detail on the project implementation arrangements. 1.4.1 Country and sector context/ Project Concept Uzbekistan is Central Asia's most populous country, with a population of over 33 million people. The demographic structure is heavily skewed toward the young cohorts, with children under the age of 16 years accounting for 35% of the population and 60% of the population being under the age of 30 years. Slightly more than half of the population lives in urban areas (51%). Uzbekistan is a multi-ethnic country with more than 100 ethnic groups. Ethnic Uzbeks comprise about 80% of the population. Over the past decades, Uzbekistan achieved high rates of growth, a rapid decline in poverty and sizeable equity gains.25 According to official estimates, annual GDP growth averaged the impressive level of 7.2 percent between 2000 and 2016; GNI per capita rose from US$560 in 2001 to US$2,020 in 2019, bringing Uzbekistan to the group of low middle-income countries. Social progress was also robust: poverty declined from 27.5 percent in 2001 to 11.4 percent in 2018; according to World Bank calculations, extreme poverty is currently almost non-existent in Uzbekistan. Those impressive results were driven by an inward-oriented 24 Since 2018, the Patent Office is a unit of the Ministry of Justice. It has collaborated closely with World Intellectual Property Organization (WIPO) and is involved in the World Trade Organization accession process. The Center for Scientific and Technical Information was created in 2019 under MID with the main goal to improve the state system of scientific and technical information. 25. World Bank. Report No. 106454-UZ. Systematic Country Diagnostic for Uzbekistan. May 20, 2016. strategy, dominance of large, often monopolists, state-owned companies, financed by an abundant supply of foreign currency due to improved terms of trade. The country launched a process of market-oriented reforms in late 2016, following the first leadership change since the country gained independence in 1991. President Shavkat Mirziyoyev embarked upon an economic modernization program to reinvigorate equitable growth, strengthen and modernize public institutions and increase the role of the private sector in the economy. In February 2017, the Government of Uzbekistan (GoU) announced a broad market-oriented National Development Strategy for 2017-2021 (NDS), targeting five priority policy areas: (i) enhancing state and public institutions; (ii) securing the rule of law and reform of the judicial system; (iii) promoting economic development; (iv) fostering social development; and (v) ensuring personal and public security through inter-ethnic and religious tolerance and constructive foreign policy. Among the key priorities are promoting the growth of the private sector through privatization of state-owned enterprises (SOEs) and public-private partnerships (PPPs), improving the investment climate, encouraging entrepreneurship and investment in modern technology and innovation. In January 2019, the GoU adopted an ambitious Reform Roadmap, developed with World Bank Group (WBG) support. The Reform Roadmap outlines reform actions across all strategic areas to achieve the objective of becoming an upper-middle-income country by 2040. The Reform Roadmap foresees the development of a National Innovation Strategy for the Uzbek economy, and the mobilization of financial resources for research grants to create partnerships with the private sector and foreign universities. The development of a research and innovation strategy is consistent with the transition towards an upper-middle income country, as illustrated, for example, by the cases of Korea. The challenge is to carefully craft the policy mix to meet the dual goals of meeting the current country’s needs and enable a gradual development of more innovative, knowledge-intensive firms. This will require, for example, fostering technology diffusion, including managerial capabilities, while enabling firms gradually to invest more systematically in knowledge, including through R&D investments. In parallel, public research organizations (research institutes and higher education institutions) will also need to transition towards more meritocratic and market-friendly policies. A case to keep in mind is the reform of sector-specific institutes, as for example in agriculture – which, if properly done, can have an important impact on technology diffusion and agricultural productivity. 1.5 Sectoral and Institutional Context 1.5.1 Overview In September 2018, the government announced a comprehensive strategy to transform the country into one of the top-50 global innovators in the next ten years -- the Strategy for Innovative Development for 2019- 2021. 26 Led by the Ministry of Innovative Development created one year earlier, the Strategy foresees seven intermediate goals, including: (i) improving research excellence, (ii) strengthening the links between education, science and industry; and (iii) increasing the quantity and the effectiveness of public investments. One of the KPIs summarizes well this last objective and the ambition of the program: quadrupling gross (public and private) spending on R&D from the current 0.2 in 2018 to 0.8 percent of GDP by 2021. More recently, in his address to the Parliament on 24 January 2020, President Shavkat Mirziyoyev declared 2020 as the Year of Development of Science, Education and the Digital Economy. In his address he declared: “we had set ourselves a goal of joining the ranks of advanced nations and we can only achieve it by accelerating reforms, by relying on science, education and innovation.”27 The challenge is to choose the policy mix that meets the dual goal of addressing existing technological demand and enabling the gradual development of Uzbekistan’s innovative capacity.28 For a lower-middle- 26 Presidential Decree 5544 ‘of September 21, 2018. 27 Based on the President Shavkat Mirziyoyev’s Address to the Oliy Majlis on 24 January 2020 28 Cirera and Maloney income country in the beginning of a complex economic transition, emulating the level of R&D investments of more advanced economies or allocating most of its STI policies to the development of radically new discoveries – those that push the ‘production’ and ‘scientific’ frontier -- would likely be a futile exercise. In fact, a major source of firm growth is the day-to-day improvement of products and processes – including manufacturing, administrative processes and marketing strategies. Firms do not need to invest in R&D to have access to a new idea or new knowledge: knowledge will often be embedded in internationally available capital and intermediate goods. Yet, as firms grow, their capabilities change: at this point, R&D investments become one way that firms turn innovation into a routine, rather than a random event.29 Reforms in each of the five priority areas of the Strategy for Innovative Development have already been initiated. In the field of innovation, a dedicated fund under MID was formed to finance innovation projects based on a competitive selection process; Technology and Innovation Support Centers were established with the support of WIPO; and technology parks, several business incubators, and accelerators programs were created. The State Fund for Support of Business Development was created to provide guarantees to small business entities on loans of commercial banks. In the area of ICT development, a dedicated IT park and ICT learning and technology centers were set up for training; ‘one million programmers’ project was launched in 2019; and digitalization processes in several sectors have started, comprising healthcare, transport and construction. In the case of higher education reforms, development of Higher Education Management Information System (HEMIS) and Quality Assurance reforms have been initiated; also a dedicated innovation fund channelling competitive grants to HEIs was set up. In the field of competitive market development, simplifications to the Tax Code were introduced and the legal framework for attracting FDI was approved. Prior to 2018, the government would fund R&D projects initiated by the scientific community once a year through a cumbersome procedure. Now it is a competitive selection of R&D proposals on a rolling basis (calls for proposals are announced online every 2 months) and are based on the priorities and needs of the national economy.30 Before the establishment of еру Ministry of Innovative Development (MID), R&D projects would receive more funding incrementally and mainly to cover researchers’ salaries. The Ministry has stepped up funding (the average size of grants tripled and reached US$80K) and at least 50 percent of allocated funds are now used by beneficiaries to purchase R&D equipment. MID has also increased the available funding for field expeditions and laboratories in regional universities in order to diversify the subject areas of R&D and expand the geographic coverage of science facilities. This implies increased funding of institutions outside of the National Academy of Science. The government has also launched short-term (3-month) foreign internships for researchers. A total of 40 researchers went abroad in 2018, and 300 more will be sent in 2019. The Ministry has also launched calls for proposals for joint research in cooperation with German, Chinese and Turkish research institutes and universities. Furthermore, an international call for proposals was announced to establish new research facilities in Uzbekistan. Climate change poses a significant risk to Uzbekistan’s economic and social achievements. A recent World Bank assessment concluded that Uzbekistan is vulnerable to the effects of climate change, particularly its water resources, energy and agriculture. Anticipated climate impacts include increases in monthly maximum temperatures across Uzbekistan, high variability of rainfall across different agroecological and climatic zones (i.e. annual precipitation decline in some central and eastern districts; moderate increase in areas surrounding the Aral Sea), and increased glacier melting with implications for water availability and river flow. In the agriculture sector, climate change is increasing risks related to water availability, but also pests, insects, and diseases. Droughts may become more frequent due to river runoff decreases, specifically from the Amudaryo and Syrdaryo rivers. Areas with increased demand and consumption from economic 29 Firm investments in R&D are fundamental to enhancing the region’s “absorptive capacity”—that is, its ability to adapt and adopt foreign technology, to benefit from spillover effects from foreign direct investments (FDI), and to gain from other sources of knowledge transfer. 30 This implies pre-selection of R&D areas for funding; in the future, it would be desirable to let the market determine these areas, at least partially. development and population growth may be impacted, with implications for food security. 31 The country is also highly susceptible to natural disasters, especially earthquakes. About 50 years ago, a magnitude 5.0 earthquake devastated Tashkent, the country’s capital city. In 1897, an earthquake in Uratjunbinsky, close to Samarkand, showed the vulnerability of some of the country’s cultural centers. The Western part of Uzbekistan, wherein lies Bukhara, another cultural center, is also characterized by the high density of strong earthquakes. Strong earthquakes have also been documented around Central Kyzylkum.32 Given that it is estimated that more than half the population and half the economy are located in areas of high seismic risk, earthquakes remain a considerable threat to development gains and livelihoods in Uzbekistan. A risk assessment developed by the World Bank and GFDRR’s Innovation Lab showed that, in Uzbekistan, the annual average population affected by earthquakes is about 1 million and annual average affected Gross Domestic Product (GDP) is US$2 billion.33 The outbreak of COVID-19 exposed Uzbekistan’s lack of preparedness to respond to new diseases, especially the rise of pandemics, which threaten the country’s development process. Recognizing this threat, the authorities have moved rapidly to contain this outbreak and respond to the economic effects of the crisis. Two anti-crisis packages largely in line with emerging international best practice were adopted to support the health and economic policy responses. According to Global Economic Prospects, as of January 2020, economic growth in 2020 was projected to be 5.7 percent compared to an average of 2.6 percent expected in ECA as a region, before the outbreak. Baseline projections indicate that 1.3 percent of the population, or 448,000 people, may already have fallen back into poverty,34 overall, a scenario that is very detrimental to public support for the reforms. 1.6 Project Institutional and Implementation Arrangements 1.6.1 Implementation Arrangements The proposed Project will be implemented by the Ministry of Innovative Development (MID.) The MID will be responsible for strategic oversight and technical aspects of project implementation. The Project Management Unit (PMU) will be established within the MID to facilitate and monitor day-to-day implementation of the project and grant administration. The PMU will manage the project according to the rules and procedures agreed with the World Bank and codified in the Project Operations Manual. The PMU will hire professional companies/organizations to administer initial rounds of grant programs. A separate selection committee with strong representation of local and well-experienced entrepreneurs will be established for the innovation matching grants under Component 2. In addition to the core staff, a Coordinator for Science Activities and Coordinator for Innovation Activities will be hired to oversee implementation of the respective component activities from the technical point of view and ensure knowledge transfer and capacity-building within the PMU to manage the grant programs independently. This accumulated implementation capacity and experience will further support institutional transitions towards the science foundation and innovation agency mentioned earlier. 23. Reporting to the World Bank. The PMU will also be responsible for producing and transmitting to the WB all data, reports, and information required to follow project implementation progress, detect 31 World Bank Report No. PAD 3391- Agriculture Modernization Project. February 28, 2020. For example, droughts may become more frequent due to river runoff decreases, specifically from the Amudaryo and Syrdaryo rivers 32 See CITE Geodesic and Geodynamics. Interestingly, the paper estimates a probability equal to 1, to the risk of the Tashkent, Fergana, Andijan and Dijzak having in the next 50 years a “strong” earthquake (level 6 in MSK-64 scale) 33 World Bank website --FEATURE STORY: Uzbekistan Moves Towards Proactive Approach to Disaster Risk Management. December 14, 2016. 34 Soon after the first detected case of the virus in Uzbekistan, the authorities closed schools, implemented tighter controls on movement, required social distancing and activated emergency health protocols. These restrictions have been progressively tightened, leading to the suspension of most non-essential domestic economic activity across the country. The government has also moved quickly to provide additional health sector resources, including essential equipment and additional hospital bed capacity. In late March, the government announced a US$1 billion anti-crisis package to fund health expenditures and provide interim financial relief to the most affected households and enterprises. A second set of measures was announced on April 3 to provide further tax and debt relief to businesses. See WBR PCBASIC0220322 deviations and problems, and identify and respond to problems and bottlenecks – including procurement transactions and FM requirements. The PMU will also report to the WB on the progress and status of contract administration against agreed or contractual timetables and schedules. 24. In addition, a Project Steering Committee (PSC) will be established for strategic project management by the Ministry. The Project Steering Committee will be chaired by the Minister of Innovative Development and will include representatives of the Ministry of Finance, the Ministry of Higher Education, the Ministry of Health, the Ministry of Agriculture, the Ministry of Justice, the Chamber of Commerce, the Academy of Science and other interested parties. The PSC will ensure effective collaboration across all stakeholders, monitor progress, and facilitate the resolution of inter-institutional implementation challenges as wells as coordination between the Parties with respect to performance of activities under the Project. 25. The International Expert Board (IEB) will evaluate project proposals and make financing recommendations for competitive grants under Components 1 and 2. A new selection mechanism following international practice will be implemented, involving a three-stage evaluation process: a preliminary application to quickly identify promising proposals and provide useful feedback for all applicants; this would be followed by submission of a full application by the invited applicants subject to evaluation by two to three independent professional peer reviewers specialized in the topics, including those from the Center for Scientific and Technology Information’s expert database. This will be followed by the expert assessment, including possibly inviting the shortlisted candidates for a pitching session (mainly for commercialization projects) and implementation progress oversight by the IEB. The IEB will include eight distinguished individuals - five scientists (to cover at least five core areas important to Uzbekistan), two commercialization experts and one successful tech-entrepreneur or financier from different parts of the world. The IEB will represent the fields of scientific and commercial expertise that are of strategic importance for Uzbekistan, from a variety of technologically advanced countries. The project will finance the cost of engaging peer reviewers and IEB members, such as fees, travel costs, etc. 26. IEB will also provide strategic advice to MID on STI development policy, including through participation in the semiannual sessions of the Republican Council on Science and Technologies. Consistent exposure of the key decision-makers to international experience will be very useful tool in aligning national policies with international good practices. 27. Candidates for the IEB will be invited from such prominent international scientific organizations as the Royal Society, the US National Academy of Sciences, the US National Science Foundation, the European Science Foundation, the Inter-Academy Council, the Third World Academy of Sciences, the Nobel Committee and similar scientific organizations in Asia. There will be an open international call for scientists from a large variety of technologically-advanced countries, including Europe, North and South America and Asia, including distinguished scientists with both academic as well as industrial research backgrounds. The nominations will be evaluated by the PMU and it will select the members of the IEB. Their recommendations will then be submitted to the World Bank for No Objection, which will formally invite the scientists and commercialization experts to serve on the IEB. 2. BASELINE DATA 2.1 Location and Size Uzbekistan, is a country in Central Asia (Figure 1). The area of country is 447,4 thousand km². It is surrounded by five landlocked countries: Kazakhstan to the north; Kyrgyzstan to the northeast; Tajikistan to the southeast; Afghanistan to the south and Turkmenistan to the southwest. The capital and largest city of Uzbekistan is Tashkent. For administrative purposes, the country is divided into 12 provinces (vilayats) Andijan, Bukhara, Fergana, Jizzakh, Kashkadarya, Khorezm, Namangan, Navoiy, Samarkand, Sirdaryo, Surkhandarya and Tashkent (which includes the capital city of Tashkent), plus one autonomous republic: Karakalpakstan in the far west near the Aral Sea. Figure 1. Map of Uzbekistan The project activities will be implemented in the territory of Uzbekistan. Project locations of the selected subprojects on scientific and technical institutions and enterprises under Components 1 and 2 will be identified during the project implementation, however it is expected that the subprojects will be implemented throughout the country. 2.2 Physical Environment 2.2.1 Climate Uzbekistan's climate is classified as continental, with hot summers and cool winters. Summer temperatures often surpass 40 °C; winter temperatures average about −2 °C, but may fall as low as −40 °C. Most of the country also is quite arid, with average annual rainfall amounting to between 100 and 200 millimeters and occurring mostly in winter and spring. Between July and September, little precipitation falls, essentially stopping the growth of vegetation during that period of time. 2.3 Topography and Drainage The physical environment of Uzbekistan is diverse, ranging from the flat, desert topography that comprises almost 80% of the country's territory to mountain peaks in the east reaching about 4,500 metres (14,800 ft) above sea level. The southeastern portion of Uzbekistan is characterized by the foothills of the Tian Shan mountains, which rise higher in neighboring Kyrgyzstan and Tajikistan and form a natural border between Central Asia and China. The vast Qizilqum (Turkic for "red sand"—Russian spelling Kyzyl Kum) Desert, shared with southern Kazakhstan, dominates the northern lowland portion of Uzbekistan. The most fertile part of Uzbekistan, the Fergana Valley, is an area of about 21,440 square kilometres (8,280 sq mi) directly east of the Qizilqum and surrounded by mountain ranges to the north, south, and east. The western end of the valley is defined by the course of the Syr Darya, which runs across the northeastern sector of Uzbekistan from southern Kazakhstan into the Qizilqum. Although the Fergana Valley receives just 100 to 300 millimetres (3.9 to 11.8 in) of rainfall per year, only small patches of desert remain in the center and along ridges on the periphery of the valley. Water resources, which are unevenly distributed, are in short supply in most of Uzbekistan. The vast plains that occupy two-thirds of Uzbekistan's territory have little water, and there are few lakes. The two largest rivers feeding Uzbekistan are the Amu Darya and the Syr Darya, which originate in the mountains of Tajikistan and Kyrgyzstan, respectively. These rivers form the two main river basins of Central Asia; they are used primarily for irrigation, and several artificial canals have been built to expand the supply of arable land in the Fergana Valley and elsewhere. During the Soviet Era, a plan was devised in which Kyrgyzstan and Tajikistan provided water from these two rivers to Kazakhstan, Turkmenistan, and Uzbekistan in summer, and these three countries provided Kyrgyzstan and Tajikistan with oil and gas during the winter in return. However, this system dissolved after the collapse of the USSR, and a new resource-sharing plan has yet to be put in place. 2.4 Land Use Physiographically the country can be divided into three zones:  the desert (Kyzylkum), steppe and semi-arid region covering 60 percent of the country, mainly the central and western parts;  the fertile valleys (including the Fergana valley) that skirt the Amu Darya and Syr Darya rivers;  the mountainous areas in the east with peaks of about 4 500 m above sea level (Tien Shan and Gissaro-Alay mountain ranges). 2.5 Biological Environment-Ecosystems Vegetation patterns in Uzbekistan vary largely according to altitude. The lowlands in the west have a thin natural cover of desert sedge and grass. The high foothills in the east support grass, and forests and brushwood appear on the hills. Forests cover less than 8 percent of Uzbekistan’s area. Animal life in the deserts and plains includes rodents, foxes, wolves, and occasional gazelles and antelopes. Boars, roe deer, bears, wolves, Siberian goats, and some lynx live in the high mountains. 2.6 Socio-Economic Background 2.6.1 Population The number of permanent population of the Republic of Uzbekistan as of January 1, 2020 amounted to 33.8 million people and, since the beginning of the year, it has increased by 650.3 thousand people, or 2.0%. In particular, around 50.5% of population resides in urban areas and remaining 49.5% of population resides in rural areas. In 2019, the number of births amounted to 815.9 thousand people and, compared with the corresponding period of 2018 (768.5 thousand people), increased by 47.4 thousand people.35 Life expectancy at birth for males is 69 years vs. 74 years for females. Annual population growth rate was 1.48 percent, with the highest rate in Tashkent (102.5%) and the lowest in the Navoi Oblast (101.8%)36. The average population density for the country is 78 persons/km2. 2.6.2 Economic Growth & Setting Agriculture in Uzbekistan employs 28% of the country's labor force and contributes 28% of its GDP (2019 data).37 Another 36.4% of GDP is from industry including processing of minerals. Crop agriculture 35 UzStat, https://stat.uz/uploads/doklad/2019/yanvar-dekabr/ru/14.pdf 36 UzStat, https://stat.uz/uploads/doklad/2019/yanvar-dekabr/ru/14.pdf 37 UzStat https://stat.uz/uploads/doklad/2019/yanvar-dekabr/ru/1.pdf requires irrigation and occurs mainly in river valleys and oases. Cultivable land is 4.5 million hectares, or about 10% of Uzbekistan's total area, and it has to be shared between crops and cattle. Desert pastures cover fully 50% of the country, but they support only sheep. Minerals and mining also are important to Uzbekistan's economy. Gold, alongside cotton, is a major foreign exchange earner, unofficially estimated at around 20% of total exports.[24] Uzbekistan is the world's seventh-largest gold producer, mining about 80 tons per year, and holds the fourth-largest reserves in the world. Uzbekistan has an abundance of natural gas, used both for domestic consumption and export; oil used for domestic consumption; and significant reserves of copper, lead, zinc, tungsten, and uranium. A comparative analysis of the sectoral structure of the economy in 2017-2019 allows us to identify structural shifts that are associated with an increase in the share of industry to 30.0% (in 2018 - 26.5%, 2017 - 22.2%) and a decrease in the share of rural, forestry and fisheries up to 28.1% (in 2018 - 31.5%, 2017 - 34.0%). The largest volume in the composition of exported goods is made up of energy carriers and oil products, chemical products and products from it, as well as food products. Over the past three years, the dynamics of export diversification has been observed. Thus, the share of precious metals and food products increased by 1.5% points, energy carriers and oil products - by 1.3% points, ferrous metals and products from them - by 0.8% points, services - by 0.2% points, textiles and textile products - by 0.1% points. The remaining positions show a decrease in the share due to a substantial increase in the share of precious metals, food products, energy carriers and oil products in the export structure. At the end of 2019, small and medium enterprises (SMEs) created value added by 56.5% of the total value added created in the economy. In 2019, small businesses exported products (goods and services) for $ 5135.7 million (28.7% of the total export), which is 34.8%, more than January-December 2018.38 Higher education. As of November 1, 2019, there were 119 higher educational institutions in the Republic of Uzbekistan (except for higher military educational institutions), which included 7 academies, 17 branches of foreign higher educational institutions, 58 universities and 5 higher religious educational institutions. In the 2019/2020 academic year, 9362 students were accepted to the magistracy, of which 44.1% (4131 people) study on the basis of a state grant, 55.9% (5231 people) on a paid-contract basis. In the academic year 2018/2019, 5725 students were admitted to the magistracy, of which 27.2% (1555 people) study on the basis of a state grant, 72.8% (4170 people) on a paid contract basis. At the beginning of the 2019/2020 school year on the gender distribution of students studying in higher educational institutions, a higher proportion of girls compared to other regions was observed in Navoi - 62.2%, Syrdarya - 56.2% and Surkhandarya - 55.2 % areas. The largest proportion of male students was recorded in the city of Tashkent - 61.1%, Tashkent - 59.9% and Samarkand - 58.9% of the regions. 38 UzStat https://stat.uz/uploads/doklad/2019/yanvar-dekabr/ru/8.pdf 3. DESCRIPTION OF THE ADMINISTRATIVE, POLICY AND REGULATORY FRAMEWORK 3.1 The Legal, Regulatory and Policy Framework 3.1.1 Constitutional provisions (if any) Legal Framework in the field of Nature Protection and Management established in RUz, provides to the citizens the rights and duties specified in the country’s Constitution. Specific articles that address environment protection issues within the Constitution are: Article 50. All citizens shall protect the environment Article 51. All citizens shall be obliged to pay taxes and local fees established by law Article 54. Any property shall not inflict harm to the environment Article 55. Land, subsoil, flora, fauna, and other natural resources are protected by the state and considered as resources of national wealth subject to sustainable use. Uzbekistan has enacted several supporting laws and statutes for environmental management and is party to several international and regional environmental agreements and conventions. The key national environmental law is the Law on Nature Protection (1992). A brief description of this law and the other supporting laws related to environmental protection is presented below. The law “On nature protection” (1992) states legal, economic, and organizational bases for the conservation of the environment and the rational use of natural resources. Its purpose is to ensure balanced relations between man and nature, to protect the environmental system and to guarantee the rights of the population of a clean environment. Article 25 of this law states that State Environmental Expertise (SEE) is a mandatory measure for environmental protection, preceded to decision-making process. In addition, article 25 says that the implementation of the project without a positive conclusion of SEE is prohibited. Law “On Atmospheric Air Protection” (1996, amended on 10.10.2006). It describes regulations on atmosphere protection and its objectives. It specifies standards, quality and deleterious effect norms, requirements on fuels and lubricants, production and operation of vehicles and other transport means and equipment, ozone layer protection requirements, obligations of enterprises, institutions and organizations toward atmospheric protection, and compensations for damages from atmospheric pollutions. Law “On water and water use” (1993). It regulates the water relations, rational use of water by the population and economy. The law regulates the protection of waters from pollution and depletion, and prevention and liquidation of harmful effects of water, improvement of water bodies and the protection of the rights of enterprises and institutions, organizations and dehkan farms and individuals in the field of water relations. Land Code of the Republic of Uzbekistan (1998). It aims to regulate land relations in order to ensure that present and future generations have science-based, sustainable use and conservation of land, breeding and improvement of soil fertility, conservation and improvement of the environment and creating conditions for equitable development of all forms of management, the protection of individuals and legal entities’ right for land, as well as strengthening the rule of law in this area. Law “On Wastes” (2002, as amended on 2011). It addresses waste management, exclusive of emissions and air and water pollution, and confers authority to the SNPC concerning inspections, coordination, ecological expertise and establishing certain parameters with regard to the locations where waste may be processed. Enterprises are responsible for their waste, but, if they recycle, they may be provided with assistance from the state budget, the National Fund for Nature Protection or voluntary payments. The principal objective of this law is to prevent negative effects of solid wastes on people’s lives and health, as well as on the environment, reduce wastes generations, and encourage rational use of waste reduction techniques in household activities. Law “On Protected Natural Reserves” (2004) - The purpose of this Law is to regulate relations in term of organization, protection and use of protected natural territories. The main tasks of this Law are the preservation of typical, unique, valuable natural objects and complexes, the genetic fund of plants and animals, the prevention of the negative impact of human activities on nature, the study of natural processes, the monitoring of the environment, the improvement of environmental education. Law “On environmental control” (2013) - The purpose of this Law is to regulate relations in the field of environmental control. The main objectives of environmental control are: (i) prevention, detection and suppression of violation of the requirements of legislation in the field of environmental protection and rational use of natural resources;(ii) monitoring the state of the environment, identifying situations that can lead to environmental pollution, irrational use of natural resources, create a threat to life and health of citizens; (iii) determination of compliance with the environmental requirements of the planned or ongoing economic and other activities; (iv) ensuring compliance with the rights and legitimate interests of legal entities and individuals, performing their duties in the field of environmental protection and rational use of natural resources. Law “On Protection and Usage Objects of Archeological Heritage” (2009) – regulates relations in the field of protection and usage of objective of archeological heritages, defines ownership rights of such objectives, responsible entities and provides a procedure of archeological investigation of the objectives of archeological heritage. The Nature Protection Normative Documents. Most important nature protection normative documents issued by government include:  “Procedure for elaboration and execution of draft standards on maximum permissible emission of contaminants discharged to water bodies including drainage water” (RD 118.0027719.5-91);  “Procedure for granting permission for special water use” (RD 118.0027714.6-92);  “Instruction for determining of damage caused to the national economy by underground water contamination” (RD 118.0027714.47-95);  State Standard - Water quality. O’z DST 951:2011 – Sources of centralized household water supply. Hygienic, technical requirements and classification code;  State Standard - Drinking water. O’z DST 950:2011 – Drinking water. Hygienic requirements and quality control;  “Temporary recommendation on control of underground water protection of the Republic of Uzbekistan”. State Nature Committee and Uzbekgidrogeologiya of the Republic of Uzbekistan, Tashkent, 1991;  Decree of the Cabinet of Ministers “On approval of Provision on the State Environment Monitoring” (No 49, 3.04.2002;  Decree of the Cabinet of Ministers “On the Action Program for the Protection of Environment in the Republic of Uzbekistan for 2013-2017” (No 142, 27.05.2013);  State standard O’z DSt 1057:2004 “Vehicles. Safety requirements for technical conditions” and O’z DSt 1058:2004 “Vehicles. Technical inspection. Method of control”;  SanR&N RUz No.0179-04 Hygienic norms. List of Maximum Allowable Concentrations (MACs) of pollutants in ambient air of communities in the Republic of Uzbekistan;  SanR&N RUz No. 0158-04 Sanitarian Rules and Norms on collection, transportation and disposal of wastes contained asbestos in Uzbekistan;  SanR&N RUz No. 0267-09 Admissible noise level into the living area, both inside and outside the buildings;  SanR&N RUz №0120-01 Sanitarian Norms of allowed level of noise at the construction sites;  SanR&N RUz No 0088-99 Sanitarian requirements for development and approval of maximum allowed discharges (MAD) of pollutants discharged into the water bodies with waste waters;  KMK (Construction norms and rules) 2.04.02-97 “Water Supply. External network and facilities”;  Decree of the Cabinet of Ministers of the Republic of Uzbekistan on Approval of the collection and disposal of used mercury-containing lamps. No. 266 of 21.09.2011;  SanR&N # 233-07 On occupational health and environment protection during production and usage of asbestos contained materials The Republic of Uzbekistan is party to a series of international environmental treaties and Regional Agreements which also contain a series of requirements to be considered while conducting the subprojects ESA. The country is party to the three Rio Conventions: Convention on Climate Change, Convention on Biological Diversity, and Convention to Combat Desertification. Additionally, the country has signed and ratified the following treaties: Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (22.12.1995); Convention on Protection of the World Cultural and Natural Heritage (22.12.1995); Convention on International Trade in Endangered Species of Wild Fauna and Flora (01.07.1997); Bonn Convention on Conservation of Migrating Species of Wild Animals (01.05.1998). National EIA rules and procedures. The national EIA procedure is regulated by Law on Environmental Expertise and The Regulation on State Environmental Expertise (SEE) approved by Cabinet of Ministry Decree No.491 dated from 31 December 2001 with amendments in 2005 and 2009. The regulation defines the legal requirements for EIA in Uzbekistan. SEE is a review process conducted by the Center for SEE (‘Glavgosecoexpertiza’) under Goskomecologiya at either the national or the regional level, depending on the project category. Goskomecologiya on state environmental expertise is a uniform system of State Environmental Expertise, methodological guidance of which implemented by Glavgosecoexpertise. Pursuant to Section 10 of the Regulation on SEE, the developer must conduct the EIA assessment process (‘OVOS’ is the national acronym) in a staged approach, providing the Glavgosecoexpertiza/Gosecoexpertisa with OVOS documents for review at three distinct stages of the Project. Section 11 of the Regulation on SEE outlines the information that should be within the documentation at each of these stages. The three OVOS stages and their required deliverables are summarized as follows:  Stage I: The ‘Draft Statement of the Environmental Impacts (DSEI)’ (‘PZVOS’ is the national acronym), to be conducted at the planning stage of the proposed project prior to development funds being allocated.  Stage II: The ‘Statement of the Environmental Impacts (SEI)’ (‘ZVOS’ is the national acronym), to be completed where it was identified by the Glavgosecoexpertiza/Gosecoexpertise at Stage I that additional investigations or analyses were necessary. The Statement must be submitted to the Glavgosecoexpertiza/Gosecoexpertise before approval of the project’s feasibility study, and therefore before construction.  Stage III: The ‘Statement on Environmental Consequences (SEC)’ (‘ZEP’ is the national acronym) represents the final stage in the SEE process and is to be conducted before the project is commissioned. The report details the modifications to the project design that have been made from the Glavgosecoexpertiza/Gosecoexpertise review at the first two stages of the EIA process, the comments received through the public consultation, the environmental norms applicable to the project and environmental monitoring requirements associated with the project and principal conclusions. SEE approval (Glavgosecoexpertiza/Gosecoexpertise opinion) is a mandatory document for project financing by Uzbek banks and other lenders (Section 18) at Stages I and II and for project commissioning at Stage III of the national EIA procedure. All economic activities subject to SEE are classified into one of four categories:  Categories I and II — “high and medium risks of environmental impact” (SEE is conducted by the national SNPC within 30 days, all EIA materials are required);  Category III — “low risk of impact” (SEE is conducted by regional branches of (SCEEP) within 20 days, all EIA materials are required); and  Category IV – “low impact” (SEE is conducted by regional branches of SNPC within ten days, only a draft EIA is required). EIA procedure in Uzbekistan is presented in Figure 2 below. Figure 2: Uzbek EIA procedure 39 * - Apply for Project Categories I to IV ** - Apply for Project Categories I to III 39(Source: Regulation on the State Environmental Expertise in the Republic of Uzbekistan No.491 of 31.12.2001, as amended on 05.06.2009) State Organizations Responsible for Environmental Assessment and Management The State Committee for Ecology and Environmental protection (SCEEP) (Goskomecologiya) is the body of state administration in the sphere of ecology, environmental protection, rational use and reproduction of natural resources. The committee is accountable to the Cabinet of Ministers of the Republic of Uzbekistan. The activity of the committee is regulated by President Resolution No. 5024 ‘On Improving the System of State Management in the sphere of Ecology and Environmental Protection’ of 21th April 2017. The structure of Goskomecologiya takes the form of a central body in Tashkent with regional branches and agencies providing scientific and technical support. Regional environmental authorities are structured similarly to the Goskomecologiya. Other state bodies of the Republic of Uzbekistan dealing with environment-related issues are:  Ministry of Water Resources;  State Committee for Geology and Mineral Resources (or Goskomecologiya);  Centre of Hydro-meteorological Service (or Uzhydromet);  Ministry of Health (or MoH RUz);  State Inspectorate for Exploration Supervision, Operations Safety Supervision of Industry, Mining and Utilities Sector (or Sanoatgeokontekhnazorat). Ministry of Water Resources is responsible for water allocation among different users within Republic of Uzbekistan. Based on forecast and limits provided by Interstate Commission for Water Coordination (ICWC), water is allocated among users with the priority given to drinking water supply sector40. State Committee for Geology and Mineral Resources: (i) carries out, together with Geological Survey Services of the neighboring countries, work on identifying and studying the focal points of radioactive and toxic pollution within transboundary territories, prepare geological maps and atlases reflecting specially hazardous zones and sections; (ii) in accordance with the procedure established by legislation, exercises control over protection of geological and mineralogical facilities as well as underground water from pollution and depletion. Uzhydromet establishes and maintains the State Hydrometeorological Fund of Data, the State Fund of data on environment pollution, state accounting of surface waters; systematic observations of air, soil, surface water, as well as formation and development of disastrous hydrometeorological phenomena. Ministry of Health – develops and approves sanitary regulations, rules, and hygienic standards, carries out state sanitary supervision over their observance as well as methodological supervision of the work of sanitary and epidemiological services, regardless of their departmental subordination. Sanoatgeokontekhnazorat (State Inspectorate for Supervision of Subsurface Resources Geological Investigation, Safe Work in Industry, Mining, Utilities and Household Sector) – works together with the State Committee for Ecology and Environment protection of the RUz and carries out control in the field of geological investigation, use and protection of subsurface resources. Ministry of Culture - is a body of the Government of Uzbekistan that responsible for state policy in cultural spheres, Art, Cinematography, archives and inter-nations issues. 40 Law of RUz “On water and water use” (1993), chapter 8, para 25 3.2 Legislation of the Republic of Uzbekistan in the sphere of social issues including land acquisition and resettlement The legal and policy framework of the project is based on national laws and legislations related to land acquisition and compensation policy in Uzbekistan and WB’s ESF. Based on the analysis of applicable laws and policies and WB’s ESSs requirement, project related LAR principles have been adopted. The Constitution of the Republic of Uzbekistan dated on 8 of December 1992 provides that:  Everyone shall have the right to own property (Article 36). The economy of Uzbekistan, evolving towards market relations, is based on various forms of ownership. The state shall guarantee freedom of economic activity, entrepreneurship and labor with due regard for the priority of consumer s’ rights, equality and legal protection of all forms of ownership (Article 53);  An owner, at his discretion, shall possess, use and dispose of his property. The use of any property must not be harmful to the ecological environment nor shall it infringe on the rights and legally protected interests of citizens, juridical entities and the state (Article 54);  The land, its minerals, waters, fauna and flora, other natural resources shall constitute the national wealth and shall be rationally used and protected by the state (Article 55). The decree of the Cabinet of Ministers “on Additional Measures for Provision of Property Rights of Individuals and Legal Entities, and for Improving the Procedure for Land Acquisition and Compensation” dated on 16 of November 2019 #911. By this Decree the earlier procedure on land acquisition and resettlement has been replaced by a new Regulation on procedure of land acquisition and payment of compensation to the owners of immovable property situated on the land being acquired. The Regulation defines the procedure for the acquisition of land or its part belonging with the right of ownership, permanent use or temporary use to individuals (self-employed individuals, citizens of the Republic of Uzbekistan, citizens of foreign country and persons without citizenship) and legal entities (business entities, non- governmental organisations) for the state and public needs and under implementation of investment projects, as well as procedure for the payment of compensations to the owners of immovable property situated on this land. The Regulation is not applied towards land owned by individuals and legal entities on the basis of property rights Labor Code and Employment law. These two documents are main legislations regulating labor relations of individuals employed by labor contract by enterprises, institutions, organizations of all type ownership forms, including contracted by individuals. These legislations are considering the interests of employees and employers provide the efficient function of labor market, just and secure labor conditions, protection of labor rights and employees' health, promote growth of labor productivity, increase of work quality, raising on this matter welfare and social livelihood level of the population. Decree of the Cabinet of Ministers # 349 dated 10 May 2018 “On additional measures on the elimination of forced labor in Uzbekistan” prohibits and provides detail information on types of forced labor, types of governmental organizations and its staff, monitoring mechanism of local governorates (hokimiyats). According to this decree a financial resources of Public Works Fund, which was established under the Ministry of Employment and Labor Relations will be used for any public works in Uzbekistan. The resolution “On Approval of the order of the appointment and payment of social allowances and material (financial) assistance to low income families” dated on of February 15, 2013 #44. This resolution determines the procedure for the appointment and payment of Makhalla allowances for families with children under the age of 14 years, allowances for childcare until the age of two years and allowance for low income families. According to this resolution the following types of families are entitled for allowances:  families who have lost both parents and children involved in family education;  families where one or both parents are disabled children;  widow (er), raising two or more children under the age of 14, living separately from other relatives;  family with disabled children;  mothers or fathers who are bringing up the children in a single-parent family. In this case the fact of child rearing mother (father) in an incomplete family established by makhalla;  families in which one or both parents are unemployed who has been registered at centers to promote employment and social protection of the population as jobseekers;  single retired persons. Presidential resolution “On measures to improve the effectiveness of training and realizing projects with participation of international financial institutions and foreign government financial organizations” dated on 16 of July 2018 #3857 partly provides that payment of compensation for the land acquisition , demolition of houses, other structures, structures or plantings in the framework of projects with the participation of IFIs , if this is provided for by project agreements, is carried out by authorized bodies in accordance with the requirements of IFIs FGFOs. According to this resolution, PMU can use a preliminary assessment document prepared in accordance with the IFI methodology as a pre-project document that defines the main parameters of a planned project for implementation. Presidential Decree “On measures on major improvement of investment climate in the republic of Uzbekistan" dated on 1 of August 2018 #5495 partly provides that the adoption of decisions on the seizure of land for state and public needs is allowed only after an open discussion with interested parties whose land plots are planned to be seized, as well as assessing the benefits and costs; demolition of residential, industrial premises, other structures and structures belonging to individuals and legal entities, with the withdrawal of land plots is allowed after full compensation of the market value of immovable property and losses caused to owners in connection with such withdrawal. Presidential Decree “On measures to improve the system of protection of rights and legal interests of subjects of entrepreneurship” dated 27 July, 2018 # 5490 provides a new mechanism for compensation of losses to individuals and legal entities in connection with the withdrawal of their land for state and public needs. According to this Decree, a centralized Fund shall be established under the Cabinet Of Ministries comprising of local budge’s revenue share and other sources. 3.3 Innovation policy regulatory framework The project activities might include rehabilitation of laboratory facilities of science and technical institutions. Innovation policy is addressed in the following legal acts: (1) the law ‘On Science and Scientific Activities’41; and (2) the draft law ‘On Innovative Activities’. In addition, key legislation issued since 2017 defining the innovation system comprises: The Presidential Decree ‘On the formation of the Ministry of Innovative Development of the Republic of Uzbekistan’, dated November 29, 2017. The Decree forms legal basis for the creation of the MID and the Fund for support of innovative development and innovative ideas. The Decree of the Cabinet of Ministers ‘On Measures to Create Effective Mechanisms for Introducing Scientific and Innovative Developments and Technologies into Production’ (No. 24) dated 12 January 2018. It defines the financing of expenses for the maintenance of buildings and structures, as well as the remuneration of certain categories of employees of research institutions of the Academy of Sciences. The 41 https://www.lex.uz/docs/4571492 law also states that the economic management bodies and large state-owned enterprises shall create their Funds for Supporting Innovation Activities by allocating 10 percent of their net profit.42 The Decree of the Cabinet of Ministers ‘On the Approval of the Model Regulation on the Fund for Supporting Innovation Activities in economic management bodies and Large State-Owned Enterprises’ (No. 195) dated 12 March 2018. It approves model regulation on the Fund for the Support of Innovation in economic management bodies and large state enterprises.43 Decree (PP-3698) by the President issued on May 7, 201844 on ‘Additional Measures to Improve Mechanisms for Introducing Innovations in Sectors and Spheres of the Economy’. It introduces posts of (1) vice-rector for scientific work and innovation in the higher educational institutions; and (2) deputy directors for AS’s SRIs; who are directly accountable to the MID. The decree confirms the allocation of 0.1 percent of funds from innovation support funds of economic management bodies and large state enterprises to the Fund for Supporting Innovative Development and Innovative Ideas.45 The Decree ‘On the additional measures for the enhancement of commercialisation of the scientific and technical activity results’ (No. 3855) dated 14 July 2018. It sets the framework for the commercialisation of the research results from the institutes of the Academy of Sciences and universities.46 Presidential Decree ‘On measures to improve the efficiency of the system of integration of scientific and innovative activities’ (PP-3899) from August 6, 2018. It sets the framework for establishing the Scientific and Technical Center under the Academy of Sciences to support the implementation of fundamental and applied scientific research for military, agriculture and other industries and collaboration with universities.47 The Decree of the Cabinet of Ministers ‘On the Organisation of Activities of the Republican Council on Science and Technology’ (No. 953) dated 27 November 2019. It defines the composition and regulations of the Republican Council on Science and Technology, as well as the rules for accepting recommendations and preparing proposals for candidates for the State Prize of S&T. The Presidential Decree “On additional measures to improve mechanisms for financing projects in the field of entrepreneurship and innovation”, issued on November 24, 2018. It defines the criteria, type of activity and monitoring of investment and management companies, including those to be created for venture financing.48 42 http://lex.uz/docs/3506460 43 http://lex.uz/docs/3584368 44 https://cis-legislation.com/document.fwx?rgn=107365 45 http://lex.uz/docs/3723559 46 https://lex.uz/docs/3823592 47 http://lex.uz/docs/3853774 48 http://lex.uz/docs/4076954 4. WORLD BANK ENVIRONMENTAL & SOCIAL STANDARDS 4.1 ESS 1 - Assessment and Management of Environmental and Social Risks and Impacts Background: The Standard sets out the Client’s responsibilities for assessing, managing and monitoring environmental and social risks and impacts associated with each stage of a project supported by the Bank through Investment Project Financing, in order to achieve environmental and social outcomes consistent with the Environmental and Social Standards (ESSs). As required by this standard, the ESIA should be conducted based on current information, including a description and delineation of the project and any associated aspects, and environmental and social baseline data at an appropriate level of detail sufficient to inform characterization and identification of risks and impacts and mitigation measures. The assessment evaluates the project’s potential environmental and social risks and impacts, with a particular attention to those that may fall disproportionally on disadvantaged and/or vulnerable social groups; examine project alternatives; identify ways of improving project selection, siting, planning, design and implementation in order to apply the mitigation hierarchy for adverse environmental and social impacts and seek opportunities to enhance the positive impacts of the project. The ESS1 is relevant to the project. The project will not support construction of new science and technical institution buildings. The existing science and technical institutions are located in build-up areas and are not in proximity to areas of biodiversity significance or cultural heritage. Potential environmental and social risks and impacts are predictable, expected to be temporary and reversible, low in magnitude, and site specific. The expected environmental impacts may be listed as: improper care, handling and storage of building renovation material and waste, generation of excessive noise and dust levels, and health impacts related with inadequate disposal of asbestos containing material. And as an integral part of the project, the project will require that a professional design for these laboratory facilities in the existing premix of science and technical institutions should be made following relevant national guidelines on laboratory facilities and professional supervisors should be hired to supervise installation. The Science and technical institutions’ management should be engaged for supervision of installation as well. The site-specific environmental management and safety measures to be prepared following the project Checklist ESMF should be included in the contracts for installation. In addition, if it is determined that a large number of research and IT equipment for teaching and learning will be procured under the project, as an integral project activity, the project will also support preparation of an environmentally sound disposal plan for all electronic equipment to be financed by the project to ensure that these equipment will not cause environmental and health risks in future when they are retired. At this stage, information about the beneficiary science and technical institution are not available. The project will target to ensure a broad, regionally balanced distribution of funds. While the beneficiary selection criteria will be further refined during project preparation. Towards addressing the risks, following instruments were be prepared: (i) ESMF and (ii) Stakeholder Engagement Plan (SEP). 4.2 ESS 2 – Labor and Working Conditions Background: ESS2 recognizes the importance of employment creation and income generation in the pursuit of poverty reduction and inclusive economic growth. Borrowers can promote sound worker- management relationships and enhance the development benefits of a project by treating workers in the project fairly and providing safe and healthy working conditions. ESS2 applies to project workers including fulltime, part- time, temporary, seasonal and migrant workers. The Standard is relevant to the project. The ESS2 requirements has been setup for direct workers contractors and subcontractors, as follows: Direct workers. The implementing agency follows the national labor legislation and practices when hiring project staff. PMU staff is not public /civil servants, as they are hired on contract basis for the implementation of a wide range of development projects. The Agency applies two types of employment contract: a one- year employment agreements and short-term service contracts. Majority of staff are permanent staff with one-year employment agreements with fixed monthly wage rates. All the recruiting procedures are documented and filed in the folders. Monthly timesheets are also filed and kept accurately. Forty hour per week employment is practiced and recorded on paper. Contractors. The Contractors follow the legal provisions of the Uzbekistan Labor Code. PMU will also procure services of local service providers/civil works vendors at the national and local level. They will recruit local staff and issue employment contracts and service contracts for the employed people. The Contractors will have to follow Occupation Safety and Health rules, which include among others strictly implementation established norms and procedure H&S which depends on type on conducting works, usage of PPE, training activities and monitoring. Sub-contractors. The sub-contractors (including local private firms) will be recruited by the contractors to implement project activities in the project areas. They are obliged to follow the local labor legislation and regulations during the sub-project implementation. The ESMF includes sections on Environment Health and Safety (EHS) including specific instruments that will need to be prepared either by the client or the contractor prior to commencement of works (ESH checklists, codes of conduct; safety training etc.). Civil works contracts will incorporate social and environmental mitigation measures based on the WBG EHS Guidelines and the ESMF. All civil works contracts will include industry standard Codes of Conduct that include measures to prevent Gender Based Violence/Sexual Exploitation and Abuse (GBV/SEA). GBV assessment too has been done. A locally based Grievance Redress Mechanism (GRM) specifically for direct and contracted workers will be provided. The note, which contains links to the latest guidance for responding to COVID-19, is found as Annex 10 to this ESMF. 4.3 ESS 3 – Recourse and Efficiency, Pollution Prevention and Management Background: ESS3 recognizes that economic activity and urbanization often generate pollution to air, water, and land, and consume finite resources that may threaten people, ecosystem services and the environment at the local, regional, and global levels. The current and projected atmospheric concentration of greenhouse gases (GHG) threatens the welfare of current and future generations. At the same time, more efficient and effective resource use, pollution prevention and GHG emission avoidance, and mitigation technologies and practices have become more accessible and achievable. This ESS sets out the requirements to address resource efficiency and pollution1 prevention and management throughout the project life cycle. The Standard is relevant to the project. The design of laboratory facilities should consider water resources, water saving measures and how they are connected to a sewerage system, to the extent technically and financially feasible, that avoid or minimize water usage and water pollution so that the project’s water use does not have significant adverse impacts on communities, other users and the environment. The risk of use or handling of toxic materials during renovation of science and technical institutions, should be monitored and avoided through following the ESMPs included in the contracts for civil works. For instance, asbestos can be generated from old roofs, water and heating systems and should be stored and disposed accordingly. Renovation equipment should not involve use of asbestos and any other hazardous material. 4.4 ESS 4 – Community Health and Safety Background: This standard recognizes that project activities, equipment, and infrastructure can increase community exposure to risks and impacts. In addition, communities that are already subjected to impacts from climate change may also experience an acceleration or intensification of impacts due to project activities. ESS4 addresses the health, safety, and security risks and impacts on project-affected communities and the corresponding responsibility of Borrowers to avoid or minimize such risks and impacts, with particular attention to people who, because of their particular circumstances, may be vulnerable. ESS4 is relevant to the project. The project will ensure safety of students, teachers and research staff during the building renovation works by adopting adequate OHS protocols following WBG EHS Guidelines. Seclusion of construction area by putting up fence, mitigation measures to control excessive noise and dust levels, and secure access to the area in the building for students, teachers and research staff use will be ensured through a robust mitigation and management plan in the ESMF which has been prepared. Presence of any sensitive receptors close to renovation sites will be identified during screening of environmental impacts and necessary mitigation measures will be provided in the site-specific ESMPs. Building’s structural integrity and access of disabled population to the buildings should also be assessed. The scale of construction is however small so that foot print currently limited to the boundary walls is not expected to spill over across communities beyond the boundary walls. Proper electronic equipment disposal plan will be prepared to proper handling of and laboratory and IT- equipment in future. The SEP will also ensure widespread engagement with communities in order to disseminate information related to community health and safety, particularly around social distancing, high risk demographics, self- quarantine, and mandatory quarantine. As specified in the ESMF, the project involves minor civil works, which require labor force to be supplied mostly locally, - it is anticipated that due to the nature and scope of rehabilitation activities the level of labor influx will be insignificant so the associated risks will be low and manageable. 4.5 ESS 5 – Land Acquisition, Restrictions on Land Use, and Involuntary Resettlement Background: ESS5 recognizes that project-related land acquisition and restrictions on land use can have adverse impacts on communities and persons. ESS 5 is not considered relevant to the project. The project would include small construction works within existing facilities, it is unlikely that impacts on private land, assets or involuntary resettlement will occur. The project will ensure that the process for screening out ineligible activities include an on-the-ground assessment to determine whether there are any encroachers or informal users of the land who would be displaced. Any activities that involve involuntary impacts on land or assets (including encroachers or informal users) will be explicitly deemed ineligible in the ESCP and ESMF as well as in the eligibility requirements, so that potential beneficiaries are aware of this requirement and that it is adhered to. As part of the project’s promotion of innovation in the private sector (component 2), particularly the co-investment matching grants, entrepreneurs (micro, small and medium enterprises) that grown may expand, including through the acquisition of limited additional land conducted on a willing-seller willing-buyer basis. Transactions on a willing-buyer willing-seller basis will be adequately documented applying WB’s definition and principles, i.e. the seller has the option to agree or disagree with the land acquisition, without the threat of expropriation or other adverse consequences imposed formally or informally by the state. The process for documenting these will be described in the ESMF and Grant Program Manuals for private co-investments.. 4.6 ESS 6 – Biodiversity Conservation and Sustainable Management of Living Natural Resources The project will finance small-scale building renovations, which will include installation of indoor water and sanitation facilities designed for children in the premise of existing buildings. Therefore, no project sites are expected to be located in living natural resources. 4.7 ESS 7 - Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities. Not relevant as there are no such social groups in the project area. 4.8 ESS 8 – Cultural Heritage. Not relevant as there are no cultural heritage sites near project institutions. 4.9 ESS 9 – Financial Intermediaries. Not relevant as there will be no involvement of FIs in project activities. 4.10 ESS 10 – Stakeholder Engagement and Information Disclosure Background: This ESS recognizes the importance of open and transparent engagement between the Borrower and project stakeholders as an essential element of good international practice. Considering the serious challenges associated with COVID-19, dissemination of clear messages around social distancing, high risk demographics, self-quarantine, and, when necessary, mandatory quarantine is critical. Meaningful consultation, particularly when public meetings are counter to the aims of the Stakeholder engagement, and disclosure of appropriate information assume huge significance for ensuring public health and safety from all perspectives – social, environmental, economic, and medical/ health. Effective stakeholder engagement can improve the environmental and social sustainability of projects, enhance project acceptance, and make a significant contribution to successful project design and implementation. The client will engage with stakeholders throughout the project life cycle, commencing such engagement as early as possible in the project development process and in a timeframe that enables meaningful consultations with stakeholders on project design. The nature, scope and frequency of stakeholder engagement will be proportionate to the nature and scale of the project and its potential risks and impacts. In consultation with the Bank, the Borrower will develop and implement a Stakeholder Engagement Plan (SEP) proportionate to the nature and scale of the project and its potential risks and impacts. Meaningful consultation, particularly when public meetings are counter to the aims of the SEP, and disclosure of appropriate information assume huge significance for ensuring public health and safety from all perspectives – social, environmental, economic, and medical/ health. In this backdrop, the project has prepared a SEP which serves the following purposes: (i) stakeholder identification and analysis; (ii) planning engagement modalities viz., effective communication tool for consultations and disclosure; and (iii) enabling platforms for influencing decisions; (iv) defining roles and responsibilities of different actors in implementing the Plan; and (v) a grievance redress mechanism (GRM). Project preparation has included a detailed mapping of the stakeholders. Individuals and groups likely to be affected have been identified. Risk-hot spots on the international borders as well as in-country have been delineated. Mapping of other interested parties such as government agencies/authorities, NGOs and CSOs, and other international agencies have also been completed. Drawing upon their expectations and concerns, a SEP has been prepared by the Government of Uzbekistan and disclosed publicly (put in website where it has been disclosed). The SEP will be updated during implementation. The PMU has also developed and put in place a GRM to enable stakeholders to air their concerns/ comments/ suggestions, if any. The SEP has been prepared, and individuals and groups likely to be affected (direct beneficiaries) have been identified. They include: the scientists, universities, national Academy of Sciences, Science research Institutes, Private Sector Firms and Business Incubators, workers, contractors, who will benefit directly from improved accessibility, infrastructure and services. Mapping of other interested parties such as government agencies/ authorities and CSOs, which may differ between subprojects, will be done during implementation. Given the highly diverse stakeholder profile and that their expectations and orientation as well as capacity to interface with the project are different, a SEP has been developed which identified and will continue to identify impediments during implementation as well, if any, at reaching out to stakeholders and reflect/ build capacity of the client in engaging with stakeholders. The client has also developed a GRM to enable stakeholders air their concerns/ comments/ suggestions, if any. 4.10.1 Public Disclosure Requirements Stakeholder consultations on this ESMF, the SEP, and the LMP were held on July 17, 2020. This ESMF, the SEP, and LMP have been disclosed by Ministry of Innovative Development on their website (www.mininnovation.uz) and as well as by the World Bank. The World Bank Group Environmental Health and Safety (EHS) Guidelines 49. The EHS Guidelines are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP) and are referred to in the Environmental and Social Framework (ESF). The EHS Guidelines contain the performance levels and measures that are normally acceptable to the World Bank Group, and that are generally considered to be achievable in new facilities at reasonable costs by existing technology. The World Bank Group requires borrowers to apply the relevant levels or measures of the EHS Guidelines. When host country regulations differ from the levels and measures presented in the EHS Guidelines, projects will be required to achieve whichever is more stringent. 1. In the case of the MUNIS project, the General EHS Guidelines apply. The implementing agency will pay particular attention to the following General EHS Guidelines: a. EHS Section1.5 – Hazardous Materials Management; b. EHS Section 2.5 – Biological Hazards; c. EHS Section 2.7 – Personal Protective Equipment (PPE); d. EHS Section 2.8 – Special Hazard Environments; e. EHS Section 3.5 – Transportation of Hazardous Materials; and f. EHS Section 3.6 – Disease Prevention. 2. World Bank Interim Guidance on COVID-19 Considerations. The World Bank has issued an interim guidance note for World Bank projects. The note, which contains links to the latest guidance for responding to COVID-19, is found as Annex 10 to this ESMF. 49 http://documents.worldbank.org/curated/en/157871484635724258/Environmental-health-and-safety-general-guidelines 5. DETERMINATION OF POTENTIAL ENVIRONMENT AND SOCIAL IMPACT The project is not expected to have any major environmental and social impact and is not expected to trigger World Bank Safeguard Policies related to Natural Habitats, Pest Management, Involuntary Resettlement, Indigenous People, Forests, Safety of Dams, Cultural Property, Projects in Disputed Areas or Projects on International Waterways (including aquifers). 5.1 Positive Impacts (a) Increased knowledge production. Contributions to knowledge from the project subprojects usually measured through contributions to scientific publications, accumulation of human capacity. (b) Increased research capacity. Building research capacity that benefits future research activity. This includes the use of research information to improve targeting of future research, individual and group development of research skills and research capacity, development of the capability to use existing national or international research. (c) Building up commercialization capacity. Benefits to the NIS from training and developing the commercialization team of the TTO. (d) Building up institutional capacity to support commercially viable R&D activities. Accumulation of institutional knowledge that help take informed decisions by policymakers (including database of R&D, proof-of-concept applications); strengthening linkages between various agencies involved in the project; and benefits stemming from streamlining administrative procedures in the MID. (e) Increasing attractiveness of scientific career among the younger generation, thus contributing to stable supply of human capital to the NIS of Uzbekistan. (f) Diversifying local economy and increasing share in gross domestic product with high value- added. 5.2 Potential Adverse Environmental Impacts The proposed project components are environmentally benign except that the Components 1 and 2 will support rehabilitation works in existing laboratory facilities of the scientific and technical institutions buildings (same foot print), which will involve existing building renovations. Renovation activities will not generate significant adverse environmental impacts or substantial risks on human population, and the predictable impacts are expected to be temporary, reversible, low in magnitude and site specific and can be easily mitigated by applying best construction practices and relevant mitigation measures. These impacts would be associated with generation of wastes, noise, dust, and air pollution, health hazards and labor safety issues, etc., due to civil works in the premise of existing buildings. Improper designs of water supply and wastewater may cause soil and groundwater pollution. In case of roof replacement or heating pipes replacement, there could be negative impact from asbestos materials, if not handled properly. Light bulbs should be also handled with care to avoid air pollution by mercury particles. If components will finance Research and IT-platforms, and given the large number of equipment, research & electronic equipment disposal plan will need to be developed to avoid air pollution with hazardous particles. Presently, no land acquisition and no new building construction is expected under the proposed project. However, this may change during project preparation if the external water supply and sanitation infrastructure will be necessary for above-mentioned renovations. Risk related to labor management including influx is not substantial given the nature of small-scale nature of expected rehabilitation works. At the same time the proposed project activities might generate a series of various adverse social impacts. Here are a few potential impacts associated with the project:  Generation of wastes (toxic and non-toxic), wastewater, noise, dust, air pollution  Temporary limitation of access to public facilities due to construction works  Temporary termination of water and sewerage services, in case these are available  Health and safety risks for community during renovation works  Risk of occupational accidents and injuries to workers The listed impacts are expected to be typical for small scale construction/rehabilitation works, temporary by nature and site specific, and can be easily mitigated by applying best construction practices and relevant mitigation measures. The proposed measures could be used for development of ESMPs for selected sub- projects. However, the ESMPs could be fulfilled with other measures as per beneficiaries’ decision. 5.3 Adverse Environmental Impacts Dust generation - will occur during conduction of most types of rehabilitation works that are related to rehabilitation of buildings and etc. The magnitude of impact will increase when construction/rehabilitation works will be conducted close to existing lecture rooms or other facilities of participating institutions. Taking in account nature of most of the works this impact is expected to be short term with moderate risk and it could be easily mitigated by implementation of measures recommended in the Table 1, which contains summary of potential environmental risks and impacts along with the generic mitigation measures. Waste generation – under the program two types of wastes will be generated: non-hazardous and hazardous. Non-hazardous wastes will be generated during the most part of construction works and will be represented by demolishing parts of existing roads, buildings, pipes. Storage of such wastes in areas close to settlement and untimely or improper disposal may impact on air quality, dust generation and disturbance of neighboring settlements. Besides these wastes, used welding rods, packing materials, woods will be generated as well. During rehabilitation of water supply and sewage networks old pipes maybe excavated for replacement by new ones. Old metal pipes could be re-used as a scrap. However, old asbestos pipes will have to be not touched and not excavated. Hazardous wastes – it is expected that during project works implementation two types of hazardous materials will need a special attention – (i) asbestos contained in the roofs, and (ii) lead containing paints. Air pollution - During construction stage pollutants emissions will be caused by earth works, construction/demolishing activities and exhaust gases from vehicles. Improper waste management, particularly burning of construction and domestic wastes may lead to air pollution. This impact could be minimized through implementation of standard good practice. Water pollution – for project sites, when project activities will be conducted next to the water courses the surface water could be polluted due to improper placement of excavated soil, improper storage of construction materials, leakage of fuel and lubricates from construction machinery, washing of vehicles and techniques without proper treatment. Health and safety risks for workers and community during civil works For community - Inadequate lighting and fencing of construction sites inside of settlement areas can be dangerous for pedestrians and vehicles especially during the night time. Increasing of traffic due to trucks and vehicles movements to construction sites, temporary closing of roads during pipe lying inside of settlements may cause inconvenience for local population as well. In addition, pipe lying will cause temporary blockage of household access. Untimely and inefficient disposal of solid waste and improper sanitary conditions generated by the construction workers at construction sites may cause pollution of the surrounding environment and affect the health of local people. Moreover, a movement of heavy tracks may destroy or deteriorate conditions of roads inside settlements. The SEP will also ensure widespread engagement with communities in order to disseminate information related to community health and safety, particularly around social distancing, high risk demographics, self- quarantine, and mandatory quarantine. For workers - Safety and health non-compliance may create a risk for construction workers. The project proposes some small-scale civil works and the expectation is that the majority of labor will be locally hired and hence no large-scale labor influx is envisaged. This ESMF includes an ESMP checklist for the works which contains a section on worker health and safety requirements. The Contractors will have to follow Occupation Safety and Health rules, which include among others strictly implementation established norms and procedure H&S which depends on type on conducting works, usage of PPE, training activities and monitoring. In addition, all workers need to be introduced to working procedure with hazardous materials (such as asbestos materials, PCBs etc.). Contractors have to provide workers with appropriate living conditions: safe water supply, washing conditions, rooms for rest and etc. The note, which contains links to the latest guidance for responding to COVID-19, is found as Annex 10 to this ESMF. 5.4 Adverse Social Impacts 5.4.1 Incessant Traffic including accidents In construction works implementation phase, the main roads of the project municipalities leading to the project sites will serve additional vehicles used for the transportation of materials, equipment and staff to the sites. The project might slightly contribute to increasing the amount of heavy traffic plying the roads around it. 5.4.2 Noise and Vibration Impacts Regular maintenance of machinery and equipment Using equipment with noise suppressing technologies. Providing workers with PPEs against noise e.g. ear plugs. Placing signs around the site to notify people about the noisy conditions. Regular maintenance of equipment to ensure they remain efficient and effective. Complying with the National noise & vibration regulations. 5.4.3 Health and Safety of Construction Workers Employing an OHS plan that will outline all OHS risks and provide a strategy for their management. Ensuring all potential hazards such as movable machine parts are labelled. Raising awareness and educating workers on risks from equipment and ensuring they receive adequate training on the use of the equipment. Providing the workers with adequate PPEs and monitoring regularly to ensure they are replaced on time when they wear out. Placing visible and readable signs around where there are risks. Ensuring there is security in and around the site to control the movement of people. Providing safe and secure storage for equipment and materials in the site. 5.4.4 Solid and Effluent Waste Hazards Generation and Pollution Using waste minimization techniques such as buying in bulk. Allocating responsibilities for waste management and identifying all sources of wastes, and ensuring wastes are handled by personnel licensed to do so. Making available suitable facilities for the collection, segregation and safe disposal of the wastes. Creating waste collection areas with clearly marked facilities such as colour coded bins and providing equipment for handling the wastes. The bins should be coded for plastics, rubber, organics, glass, timber, metals etc. Ensuring all wastes are dumped in their designated areas and through legally acceptable methods and that the bins are regularly cleaned and disinfected. Assessing and creating opportunities for Regulation, Reducing, Reusing, Recycling, Recovering, Rethinking and Renovation. Creating adequate facilities for the storage of building materials and chemicals and controlling access to these facilities. Ensuring bins are protected from rain and animals. 5.4.5 Employment Issues Recruitment of skilled labour from sub-project community as much as available Workers to be issued with jobs cards to monitor their movements in the site area. Only authorised personnel should be allowed entrance to the site Presence of a work registry book where workers sign in and out Educating the workers on proper sanitation methods. Sensitizing the worker on HIV/AIDS. Making available suitable facilities for the collection, segregation and safe disposal of the wastes. Ensuring all waste is dumped in their designated areas and legally acceptable methods. 5.5 Potential Cumulative Impacts Overall, most of the foreseen environmental risks and impacts are expected to be typical for small scale construction/rehabilitation works, and site-specific, and can be mitigated by applying best and safe construction practices and other relevant mitigation measures. Thus, due to the nature of proposed works and associated environmental risks, and limited capacity of MID in the understanding and application of Bank's ESF and relevant Standards, the project is classified as Moderate risk from environmental perspective. 5.6 Environmental & Social Management Process 5.6.1 Mitigation considerations and options Table 1 below describes potential impact and mitigation measures. Table 1: Potential project environmental risks and mitigation measures EXPECTED ADVERSE PROPOSED TYPES OF Nо ENVIRONMENTAL RISKS MEASURES TO PREVENT/MITIGATE NEGATIVE IMPACTS SUBPROJECTS AND IMPACTS Component 1 and 2. 1 Small-scale building  Air pollution and dust  Prior to commencement of rehabilitation works at the building where renovations in the premise of generation; asbestos materials contained in roof and thermo isolation, to develop existing institutions buildings: Asbestos Management Plan for each site.  Installation of indoor water toilet and sanitation  All contractors and subcontractors’ vehicles and techniques must comply facilities with technical requirements and have to pass regular inspection as indicated  Repair/replacement of into the national standards; external doors and  Prohibit open burning of solid wastes generated from construction windows, window activities; optimization;  Near dwellings or public places engine idling should not exceed 5 minutes  Small scale refurbishing activities inside the premises (e.g. walls repainting, tiling, installation of cable ducts,  Noise pollution (during  Operation of noisy equipment shall be conducted between 7 am and 7 pm new water-pipes) construction of collection points); only;  Replacement of the  Limitation on speed for vehicles; asbestos roofs  Waste generation;  Segregate wastes on recycled and non-recycled;  Recycled wastes utilize (sell) to relevant organizations;  Non-recyclable waste shall be utilized to municipal landfills;  Some of replacing pillars could be re-used for other parts of city or neighboring settlements; EXPECTED ADVERSE PROPOSED TYPES OF Nо ENVIRONMENTAL RISKS MEASURES TO PREVENT/MITIGATE NEGATIVE IMPACTS SUBPROJECTS AND IMPACTS  Dispose replaced bulbs contained mercury in accordance with national regulation;  Timely dispose all wastes from construction sites (within 1 day).  Health safety of workers and community  Contractor has to comply with requirements of the Labor Code of the Republic of Uzbekistan (1998), and the General Guidance of the IFC on the Occupational Safety and Health (2007)  Construction sites will be properly lightened and fenced; clear signs will be placed with indication of conducting works;  Contractor and PMU will inform population about anticipated works in the settlement in advance; 2  Extension and For construction period rehabilitation of water supply  Air pollution and dust  The same as for activity # 1 (air pollution and dust generation) networks generation;  Storage of hazardous materials, techniques and vehicles refueling and repairmen works will be prohibited on construction sites. All these types of works need to be conducted at the special equipped workshops and stations  In addition to action recommended for activity # 1 (waste generation) special attention needed to be paid asbestos pipes – they should not be touched and excavated. New pipes have to be laid next to old pipes  The same as for activity # 1 (noise pollution and vibration) EXPECTED ADVERSE PROPOSED TYPES OF Nо ENVIRONMENTAL RISKS MEASURES TO PREVENT/MITIGATE NEGATIVE IMPACTS SUBPROJECTS AND IMPACTS  Waste generation (including  The same as for activity # 1 (H&S of workers and community) used asbestos pipes);  Noise and vibration pollution  Health and safety for workers and communities 3  Sewerage network  Air pollution and dust  The same as for activity # 1 (air pollution and dust generation) extension and generation; rehabilitation;  Noise and vibration  The same as for activity # 1 (noise pollution and vibration) pollution  The same as for activity # 2 (waste generation)  Waste generation (including used asbestos pipes);  Health and safety for workers and communities  The same as for activity # 1 (H&S of workers and community) 4 Purchasing of goods, research  Waste generation  The same as for subproject # 4 (waste generation) & IT-equipment for institutions;  Electronic equipment  Electronic equipment installation disposal plan to be developed waste 5.6.2 Recommended mitigation measures To address identified above risks and impacts associated with the civil works under the ESS1, ESS2 and ESS4, it would be necessary to undertake a series of activities and implement mitigation measures which should be clearly specified in the construction contracts and enforced by MID. These would include the following: The site-specific ESMP provisions will form part of the design documents for the project and will be included in construction contracts for selected subprojects, both into specifications and bills of quantities. Respectively the Contractors will be required to include the cost of ESMP requirements in their financial bids and required to comply with them while implementing the project activities. The bidding documents for selecting the contractors will include specifications that would ensure effective implementation of environmental, health and safety performance criteria by the winning bidder. Organizational measures. Before starting the construction/rehabilitation activities it is necessary to inform the local construction and environment inspectorates and communities about upcoming activities in the media and/or at publicly accessible sites (including the site of the works). Furthermore, it is necessary to have in place all legally required permits. All works should be carried out in a safe and disciplined manner designed to minimize impacts on neighbouring residents and environment. Construction workers should be properly dressed, having when necessary respirators and safety glasses, harnesses and safety boots. Protection of air quality and dust minimization. During construction/rehabilitation activities it is necessary to use debris-chutes above the first floor and to keep demolition debris in controlled area, spraying with water mist to reduce debris dust. It is also necessary to suppress dust during pneumatic drilling/wall destruction by ongoing water spraying and/or installing dust screen enclosures at site. It is strictly prohibited burning of construction/waste material at the site. For the transportation of any other dusty material to the rehabilitation site watering or covering of the cargo should be implemented. Reduction of dust on rehabilitation site during dry season of the year can be accomplished by watering the ground surface. Workers that perform the works should be introduced with protective closes and respirators. Noise reduction. Before any beginning of the work it is recommended to inform all potentially affected parties and especially the neighbours either directly or through local billboards or newspapers on the rehabilitation activities. The noise should be limited by using good management practice and limiting works on regular daily shifts. The construction equipment and machinery used should be calibrated according to the Noise Standards. Construction wastes and spills. As a general requirement is that the existing building elements to be rehabilitated (walls, floor.) should be carefully rehabilitated and the construction wastes should be sorted and removed in an organized way and disposed on an authorized land filed. All valuable materials (doors, windows, sanitary fixtures, etc.) should be carefully dismantled and transported to the storage area assigned for the purpose. Valuable materials should be recycled within the project or sold. Wastes wherever possible should be minimized, separated and handled accordingly. When wastes are separated, they are more manageable. Some materials like doors or ceramics sinks might be usable on the site again. Non-usable materials should be taken to appropriate place for recycling. For non-recyclable wastes, in agreement with local councils the wastes will be deposited on authorized landfill. Open burning and illegal dumping of any waste is strictly prohibited. In addition to solid wastes, some amounts of hazardous wastes will be produced on the site: like the remaining from paints, enamels, oiled packaging, oils, material contaminated with oil, insulation material, etc., which have to be collected and handed over to the local self-government body authorized for collection and transportation of hazardous waste. Temporary storage of materials (including hazardous). Stockpiling of construction material should be avoided if possible. If not, 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. Ensuring workers health and safety. The personnel should have protective equipment, rubber gloves, respirators, goggles and breathing mask with filter, as well as helmets. Prior starting civil works, all workers have to checked for any COVID-19 symptoms (dry cough, fatigue, high temperature, etc.) and pass labour safety training course. In addition, it is necessary to 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. Specific requirements and mitigation measures for handling asbestos containing materials and lead containing paints. In the case Asbestos Containing Materials are identified during rehabilitation, such material should be handled is a specific manner, to ensure workers safety. For such types of subprojects, prior conduction construction works, contractor will have to develop Asbestos Management Plan in template provided in Annex 8. The Asbestos-Containing Materials Management Plan (ACMMP) describes and evaluates the risk of contractors (and others) encountering asbestos-containing material (ACM) at the Project construction sites during the implementation stage of the project; and it provides a procedure for dealing quickly and safely with any ACM that may be found. The WB ESS1 Environmental Assessment requires that WB-funded projects apply pollution prevention and control technologies and health and safety measures that are consistent with international good practice, as reflected in international standards such as the IFC/World Bank Environmental, Health and Safety General Guidelines (2007). If national legislation differs from these standards, the borrower is required to achieve whichever is more stringent. The main principles of the ACMMP is (i) prompt and effective action to contain and deal appropriately with the ACM (including safe management and disposal); and (ii) maintaining the safety of site personnel and the general public at all times. The ACMMP is designed for use by Contractor, and the Project Coordination Unit (PMU) to manage the ACM risk over the project as a whole, and, by contractors to deal efficiently with any ACM they or their workers encounter. The procedural element of the ACMMP is therefore designed to provide straightforward instructions that can be easily and quickly understood without the need for specialist knowledge and without referring to other sources. The general approach while handling this material is that constructors avoided crushing/destruction of asbestos plates from the roofs and or from the walls insulation and deposited them in an organized manner on the construction sites. Also, the constructors should avoid releasing asbestos fibers into the air from being crushed. It is also imperative while working with asbestos plates the workers have to wear special closing, gloves and respirators. If the use of asbestos-containing materials (ACM) it is anticipated for the roof renovation, it is necessary to provide brief information about alternative non-asbestos materials, their availability and the rationale for the material choice made. Once the presence of ACM in the existing infrastructure has been presumed or confirmed and their disturbance is shown to be unavoidable, incorporate the following requirements in the EMP for construction works:  Develop a plan for doing works involving removal, repair and disposal of ACM in a way that minimizes worker and community asbestos exposure. The plan should include: (i) Containment of interior areas where removal will occur in a negative pressure enclosure; (ii) Protection of walls, floors and other surfaces with plastic sheeting; (iii) Removal of the ACM using wet methods and promptly placing the material in impermeable containers; (iv) Final clean-up with vacuum equipment and dismantling of the enclosure and decontamination facilities; (v) Disposal of the removed ACM and contaminated materials in an approved landfill; (vi) Inspection and air monitoring as the work progresses, as well as final air sampling for clearance, by an entity independent of the contractor removing the ACM;  Require that the construction firms/and or individuals employed during the construction have received training in relevant health and safety issues;  Provide for all construction workers with personal protection means, including respirators and disposable clothing;  Require that the beneficiary or the selected contractor notifies authorities of the removal and disposal according to applicable regulations and cooperates fully with representatives of the cognizant agency during all inspections and inquiries. For lead containing paints and the rest of hazardous wastes the above mentioned national hazardous waste management procedure and standard best practice need to be applied – collection and storage in the special designated and equipped places with proper labeling, timely disposal, etc. Ensuring Occupational Health and Safety (OHS) issues OHS issues must be covered in all supervision and monitoring activities. That means specifically asking whether there have been any incidents, checking logs and the availability and use of protective and preventative equipment. Respectively, the safeguards sections of all progress reports include statements indicating that the PMU have checked occupational health and safety issues, and existing procedures in this regard, and asked if there have been any serious incidents or fatalities. Similarly, the PMU will ensure that at the project launch workshop and in the operational manual contain adequate provisions for occupational health and safety. The relevant text on OHS to be included in the progress reports might be as follows : The project has reported X Occupational Health and Safety (OHS) incidents since its start. Of these, X are classified as SEVERE, X as SERIOUS, and X as INDICATIVE. All incidents are confirmed accounted through the Environment and Social Incident Response Toolkit (ESIRT) (see below). During this mission period, the PMU checked with all contractors and consultants if any OHS incidents occurred, either reported or not yet reported. The PMU found (EITHER) (i) no new incidents occurred during this supervision period, or (ii) X incidents occurred (include classification, brief description of event and follow-up actions, and confirmation event was reported via SIRT)]. The World Bank Environment and Social Incident Response Toolkit helps to manage incidents consistently by providing clear guidance on how to classify the incident’s severity, how to provide a proportional response according to severity, and clarifies roles and responsibilities. ESIRT also requires a root cause analysis to be done by the Borrower when there is a severe incident. “Incident” is defined as an accident, incident, or negative event resulting from failure to comply with identified Safeguards measures OR conditions that occur because of unexpected or unforeseen Safeguards risks or impacts during project implementation. Examples of Safeguards incidents include: fatalities, serious accidents and injuries; social impacts from labor influx; sexual exploitation and abuse (SEA) or other forms of gender-based violence (GBV); major environmental contamination; child labor; forced labor; risks and adverse impacts from temporary project induced labor influx; loss of biodiversity or critical habitat; loss of physical cultural resources; and loss of access to community resources. In most cases an incident is an accident or a negative impact arising if the contractor does not comply with the WB security policy or unforeseen events which occurred during the Project implementation. The WB ESIRT does not replace monitoring procedures and implementation of regular monitoring of the implementation of the project safeguard provisions. The document includes the following six stages of the incident management and reporting process: Stage 1. Informing the PMU, local authorities, the WB, the public, providing urgent health care and providing the necessary safety measures for workers. All measures must be taken immediately. In parallel, all necessary data about the incident are collected - its scope, degree of danger to public health and environment, location, cause of occurrence, duration, what decisions are taken by the Executor, what actions should be taken next, etc. Stage 2. Assess severity of the incident. The Executor should promptly provide information to the WB about the incident and its degree of danger. Stage 3. Notification. The Executor is preparing an incident notification for the WB. Submission of a notification in the event of an incident should be determined when signing a contract with the Contractor. Stage 4. Investigation of the incident. The Executor provides any information requested by the WB and does not prevent to visit the incidence scene. The Executor is also obliged with the assistance of the Contractor to analyze the causes of the incident and to document the information received. The Executor may need to involve external experts in investigation of the incident. The term of the investigation should not exceed 10 days after the incident. The findings of the investigation should be used by the Executor and the Contractor to develop corrective actions and draw up a corrective action plan (CAP) to avoid any future repetition of what happened. Besides, the conclusions should be submitted to the WB. Stage 5. Corrective Action Plan. The Executor develops a CAP with specific actions, responsibilities, implementation dates and monitoring program and discusses it with the WB. In case of serious incidents, the WB and the Executor agree on a set of measures to eliminate the major causes of sources for such incidents. The CAP indicates actions, duties and terms that should be performed by the Executor and the Contractor. The Executor is responsible for implementation of the CAP. The CAP may include development or modernization of technical measures to protect the environment and prevent further pollution, conduct training, including on issues of emergency health care, compensation for insurance claims of injury or death. If the WB considers that the CAP measures are not effective, and/or the Executor has shown unwillingness or inability to take corrective measures, the WB may consider a decision on complete or partial suspension of the loan payments until such actions are taken, or in some cases it may consider a question of cancellation of the whole or part of the Project after its suspension. Stage 6 Monitoring execution of the CAP. The Executor performs the CAP, monitors execution of individual CAP items and provides a report on implementation to the WB. For supervision of OHS issues during the project implementation which include civil works, the PMU Environmental Specialist may use, as appropriate, the “Health, Safety and wellbeing inspection Checklists” see Annex 8. Overview of potential social risks and impacts The Project will generate mostly positive socio-economic benefits due to the improvement of urban infrastructure services environmental conditions on the participating cities. Rehabilitation of science institutions laboratories infrastructure will significantly improve conditions, that makes the researchers work in the project institutions comfortable. As a result of rehabilitation works, the number of institutions laboratory infrastructure refurbished, which will overall have significant effects on conducting research. At the same time the proposed project activities might generate a series of various adverse social impacts. Here are a few potential social impacts associated with MUNIS:  Temporary limitation of access to institutions, due to construction works  Possible influx of temporary workers  Risk of occupational accidents and injuries to workers  Low capacity of the implementing agencies to conduct social safeguards studies  Risk of COVID-19 infection spread among workers and communities. The listed social impacts are expected to be typical for small scale construction/rehabilitation works, temporary by nature and site specific, and can be easily mitigated by applying best construction practices and relevant mitigation measures. Specific project social risks and impacts Labor risks including labor influx and associated GBV, and child labor are considered low given the small size of subproject investments and the PMU’s adherence to the national labor code which also prohibits child and forced labor. Workers will be hired by the PMU at MID, either directly as PMU staff or indirectly as part of contracts with contractors or service providers. There is a risk that the practice of unaccounted working hours and lack of compensation for overtime will continue. According to the leadership, PMUs are heavily relies on approved project budgets and cannot exceed the budget ceilings. Labor risks associated with contracted workers at subproject level. Subprojects will be implemented by local contractors and the majority of contracted workers will be hired locally. All contractors will be required to have a written contract with their workers materially consistent with objective of ESS2, in particular with regard to child and forced labor. Inclusion and non-discrimination provisions. The Implementing Agency will ensure that project benefits are equally accessible to all qualified applicants without discrimination of people with disabilities, ethnic and linguistic minorities, and persons from various regions, gender, ages, and socio-economic background. The Grant Program Manuals prepared by the Implementing Agency will clearly spell out guidance/requirements to ensure (i) all eligible people/ agencies are aware of, and do not face a significant barrier to apply for, the grant funding opportutnity through a widespread communication campaign, including eligibility and selection criteria; (ii) selection of applications is conducted based on an objective criteria and through a fair and transparent process; and (iii) results of the selection is widely disseminated, so that project benefits are more inclusive. Occupational Health and Safety (OHS) risks are low to moderate and will depend on the type of subproject works to be implemented. The risks are considered low to moderate because the local contract workers are likely to be unskilled. All contractors will be required to develop and implement written labor management procedures, including procedures to establish and maintain a safe working environment as per requirements of ESS2. Capacity building activities under project will include guidance on identifying such impacts and preparing ESIAs and ESMPs. Additionally, the selection, design, contracting and monitoring and evaluation of subprojects will be consistent with the guidelines set out in the annexes. To address identified impacts, the implementing agency and its branches, the subprojects beneficiaries and contractors have to undertake a series of mitigation measures, which are presented below, and which should be clearly defined in the site specific ESMP to be prepared. 5.7 Monitoring Plans and Indicators 5.7.1 Monitoring of Environmental and Social Indicators The environmental and social issues included within the mitigation measures will be monitored and supervised by the project beneficiaries, contractors and local specialists appointed by the Implementing Agency. Although the environmental and social impacts are expected to be moderate or low, the potential negative environmental and social impacts are planned to be prevented or mitigated during the construction and operation stages. Environmental and social monitoring system starts from the preparation phase of the subproject through the operation phase in order to prevent negative impacts of the project and observe the effectiveness of mitigation measures. This system helps the WB and the Client to evaluate the success of mitigation as part of project supervision and allows taking an action when needed. The monitoring system provides technical assistance and supervision when needed, early detection of conditions related to mitigation measures, follows up on mitigation results, and provides information of the project progress. Environmental and social monitoring to be implemented by the Implementing Agency/PMU has to provide information about key environmental and social aspects of the subprojects, particularly the project environmental and social impacts and the effectiveness of taken mitigation measures. Such information enables to evaluate the success of mitigation as part of project supervision and allows corrective action(s) to be implemented, when needed. In this regard the Monitoring Plan identifies monitoring objectives and specifies the type of monitoring, and their link to impacts and mitigation measures. Specifically, the monitoring section of the ESMP provides: (a) a specific description, and technical details, of monitoring measures, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements; and, (b) monitoring and reporting procedures to: (i) ensure early detection of conditions that necessitate particular mitigation measures, and (ii) furnish information on the progress and results of mitigation. A Monitoring Plan Format is presented in the Part C of the ESMP Checklist enclosed in this document in Annex 7. In addition, the Implementing Agency’s (IA) safeguards and engineering team will monitor compliance of environmental and social safeguards and submit regular quarterly monitoring reports on implementation of ESCP. The IA will also comply with the provisions of any other E&S documents required under the ESF and referred to in this ESCP, such as Environmental and Social Management Framework (ESMF), Environmental and Social Management Plans (ESMP), Labor Management Procedures (LMP) and Stakeholder Engagement Plans (SEP), and the timelines specified in those E&S documents. Moreover, project progress reports will contain section on environmental and social safeguards. In case of accidents and incidents, the Implementing Agency will promptly notify any incident or accident related or having an impact on the Project which has, or is likely to have, a significant adverse effect on the environment, the affected communities, the public or workers, including without limitation any Project- related fatalities, serious accidents, significant pollution, community unrest caused by the Project or allegations of gender-based violence. It will provide sufficient detail regarding the incident or accident, indicating immediate measures taken to address it, and include information provided by any contractor and supervising entity, as appropriate. The Implementing Agency will also monitor the community mobilization and other inclusion, voice, and agency activities with communities will be measured through community scorecards, which will be discussed and verified, along with financial records and project implementation records, in social audit meetings. Feedback and grievances received through the Beneficiary Feedback Mechanism will also be included in the semiannual reporting. Implementing Agency’s M&E team will collate and analyze these semi-annual assessments of outcomes and perception-based results and include them in quarterly and annual reports to be submitted to the WB. 5.8 Specific Project Issues 5.8.1 Involuntary Resettlement and Land Acquisition Under the proposed project no land acquisition and no new building construction is expected, therefore no Resettlement Policy Framework and Resettlement Action Plans are prepared. The Implementing Agency will ensure that the process for screening out ineligible activities include an on-the-ground assessment to determine whether there are any encroachers or informal users of the land who would be displaced. Any activities that involve involuntary impacts on land or assets (including encroachers or informal users) will be explicitly deemed ineligible in the ESCP and ESMF as well as in the eligibility requirements, so that potential beneficiaries are aware of this requirement and that it is adhered to. As part of the project’s promotion of innovation in the private sector (component 2), particularly the co-investment matching grants, entrepreneurs (micro, small and medium enterprises) that grown may expand, including through the acquisition of limited additional land conducted on a willing-seller willing-buyer basis. Transactions on a willing-buyer willing-seller basis will be adequately documented applying WB’s definition and principles, i.e. the seller has the option to agree or disagree with the land acquisition, without the threat of expropriation or other adverse consequences imposed formally or informally by the state. 5.8.2 Labor Management Procedures The Implementing Agency has prepared Labor Management Procedures (reviewed and accepted by the Bank), which will be implemented and reported throughout the project. The LMP enables identify main labor requirements and risks associated with it, and help the Borrower to determine the resources necessary to address labor issues. The LMP is a living document, which is initiated early in project preparation, and is reviewed and updated throughout development and implementation of the project. Accordingly, this document details out the type of workers likely to be deployed by the project and the management thereof. 5.9 Monitoring Roles and Responsibilities 5.9.1 PMU The PMU is responsible for preparing and implementing ESMF(reviewed and accepted by the Bank) and ESMPs. The PMU E&S Specialists/Consultants will monitor subcomponents 1.1 and 1.3 to ensure conformity to safeguard requirements during construction, operation and maintenance. They will perform inspections of the ESMP implementation, ensure full compliance with the contract conditions and the ESMP, providing guidance to the construction contractor and engineering supervision firm. Final payment to the contractor should be contingent on the final inspection, with particular attention to the requirement to restore the site to its original condition upon completion of rehabilitation activities. The environmental monitoring of the rehabilitation sites will include regular observations of soil and water and vegetation within and around the rehabilitation sites; the involvement of the environmental inspectors in monitoring and evaluation will help in developing systematic environmental monitoring on rehabilitated sites. PMU’s E&S Specialists/Consultants will visit to sub-project sites as and when necessary. Based on safeguard performance of different subprojects, they will advise on the subsequent disbursements that should be done for the contractors awarded a contract to implement subprojects under the Project. If it is found that there is an ESMF and/or ESF noncompliance, further disbursements will be stopped until ESF compliance is ensured. In addition, in the project areas the PMU will be responsible for the environmental and social monitoring activities identified above as part of the preventive actions and mitigation measures proposed to address potential adverse impacts. PMU will summarize the environmental and social issues related to project implementation to WB in regular progress reports. This monitoring will be incorporated into the overall project monitoring plan required by the World Bank as part of project performance. As part of its environmental and social monitoring activities, the PMU will conduct random inspections of project sites to determine the effectiveness of measures taken and the impacts of subproject activities on the surrounding environment. The PMU is also responsible for processing, addressing and monitoring complaints and other feedback, including that on environmental and social issues. For that PMU must set up a multi-level GRM. PMU will also have to prepare and implement a SEP (reviewed and accepted by the Bank) that considers all affected groups, including vulnerable groups. SEP implementation must enable response to comments from such stakeholders. Roles and Responsibilities of all parties The Ministry as an Implementing Agency will coordinate and provide all possible support to its PMU in its daily work. ESMPs will be prepared in accordance with the project Environmental and Social Management Framework (ESMF). The ESMP and or the ESMP checklist documents must form an annex of bidding and contracts documents for construction works. In addition, the Labor Management Procedures will also form a part of bidding documents for construction works. Implementation of ESMPs on the ground will be the part of the construction contractor’s task, however in case of any non -compliance, the local governments will inform the Implementing Agency, which is expected to take corrective action as the primary responsible party. Distribution of the responsibilities of all parties involved in the project is given in Table 2. The implementation of ESMPs is expected to cost only a small fraction of design and construction cost, as most mitigation measures will be very generic, off-the-shelf, and implementable without specialized skills, experience or equipment. Moreover, it is assumed that most of the cost is covered in the bid proposals. Implementing Agency will submit site specific ESMPs to WB for prior review. When the WB is confident that Implementing Agency has demonstrated that the process is accurate, WB will transfer this prior review to post review. Table 2: Roles and Responsibilities in ESS Responsibilities Responsible Party  Review, acceptance and disclose ESMF and SEP on WB’s official website;  Review the site-specific ESMPs only for first three sub-projects and World Bank provide no objections to Implementing Agency;  Review labor management procedures;  Conduct implementation support and supervision missions in order to ensure that the Project is following WB ESS requirements;  Prepare and implement the ESMF and submit for Bank approval;  Disclose the ESMF on Implementing Agency website; Implementing Agency/PMU  Prepare ESMPs according to ESMF;  Submit ESMPs to the WB for prior review;  Perform the quality control and review of ESMPs;  Disclose ESMPs on the official website of Implementing Agency and incorporate ESMPs into bidding documents;  Prepare Labor Management procedures;  Assign field specialists for the environmental and social monitoring;  Perform inspections of the implementation of ESMP by the construction contractor, make recommendations and decide whether additional measures are needed or not;  In case of non-compliance, ensure that the contractor eliminates the noncompliance and inform the WB about the noncompliance;  Prepare, update and implement a SEP that considers vulnerable groups in addition to paying attention to the gender aspect of the Project;  Set up a multi-level GRM, monitor and address grievances related to the project under specified timelines;  Provide guidance to the construction contractor and engineering supervision firm.  Summarize the environmental and social issues related to project implementation to WB in regular progress reports;  Be open to comments from affected groups and local environmental authorities regarding environmental aspects of project implementation. Meet with these groups during site visits, as necessary;  Coordinate and liaise with WB supervision missions regarding environmental and social safeguard aspects of project implementation;  Conduct regular monitoring activities for the implementation of site specific ESMPs; and  Prepare/design training and tools for Implementing Agency’s local (branch level) staff and community representatives.  Implement ESMPs on site, if required can revise the ESMP together with Implementing Agency;  Implement labor management procedures;  Manage the grievance mechanism at the contractor, communicate Contractor grievances to Implementing Agency regularly through ESMP monitoring reports;  Monitor site activities on a regular basis (daily, weekly monthly etc.);  Prepare the ESMP progress reports for the review of Implementing Agency; and  Ensure that ESMP is implemented correctly and in a timely manner by the contractor;  Perform environmental and social monitoring as defined in ESMF and Beneficiaries/Clients sub project specific ESMPs; and  Collect information on environmental and social issues for progress reports submitted to the WB and make sure that these are all compliant with the Bank’s requirements. 6. PROJECT REVIEW, COORDINATION & IMPLEMENTATION ARRANGEMENTS 6.1 Sub Project Investment Review 6.1.1 Screening and investment project preparation Implementing Agency/PMU environmental and social staff will carry out a rapid assessment of the likely environmental impact and the potential for involuntary resettlement, that will be based on the requirements of national legislation and WB ESSs, completing the screening form presented in the Annexes 3 and 4. Subproject activities will be also checked against WB criteria for High Risk Projects (Annex 2). This will make it possible to identify the type and scale of potential environment impacts and determine to which risk category the subproject should be attributed. Generally, the significance of impacts and risks, contribute to resulting ESA categorization will depend on the type and scale of the subproject, its location, sensitivity of environmental issues, and the nature and magnitude of potential risks and impacts. Type and scale of projects. Subprojects that are considered as “High Risk Subprojects” will not be financed. A “High Risk” rating generally would entail the following impacts (a) significantly impact o n human populations, including settlements and local communities (b) alteration of environmentally important areas, including wetlands, native forests, grasslands, and other “critical” natural habitats and ecosystem services; (c) direct pollutant discharges that are large enough to cause degradation of air, water or soil, endangered species and “critical” habitats; (d) largescale physical disturbances of the site and/or surroundings; (e) extraction, consumption or conversion of substantial amounts of forest and other important natural habitats, including above and below ground and water-based ecosystems; (f) measurable modification of hydrologic cycle; (g) hazardous materials in more than incidental quantities; and (h) involuntary displacement of people and other significant social disturbances. Location. There are a number of locations which should be considered while deciding to rate the project as “High Risk”: (a) in or near sensitive and valuable ecosystems and “critical” habitats — juniper forests, wetlands, wild lands, vulnerable soils, and particular habitats of endangered rare and endemic species; (b) in or near areas with archaeological and/or historical sites or existing cultural and social institutions; (c) in densely populated areas, where resettlement may be required or potential pollution impact and other disturbances may significantly affect communities; (d) in regions subject to heavy development activities or where there are conflicts regarding the allocation of natural resources; along watercourses, in aquifer recharge areas or in reservoir catchments used for potable water supply; and on lands or waters containing valuable resources (such as fisheries, minerals, medicinal plants, prime agricultural soils). Institutions located in the proximity of such areas will be classified as High-Risk projects and will not be considered for support by the Project. Sensitivity. Sensitive issues may include (but are not limited to): conversion of wetlands, potential adverse effects on endangered species and habitats as well as protected areas or sites, involuntary resettlement, impacts on international waterways and other transboundary issues, and toxic waste disposal. Magnitude. There are a number of ways in which magnitude can be measured, such as the absolute amount of a resource or ecosystem affected, the amount affected relative to the existing stock of the resource or ecosystem, the intensity of the impact and its timing and duration. In addition, the probability of occurrence for a specific impact and the cumulative impact of the proposed action and other planned or ongoing actions may need to be considered. Taking into account the scale of the proposed subprojects, it is expected that the magnitude of their environmental impacts will be low to moderate, and their social impacts will be low to moderate. Therefore, only subprojects that are rated as “Moderate Risk” or lower will be considered for MUNIS Project support. Results of the screening will be reflected in the screening form presented in the Annex 2. While the ESF risk ratings are the governing categories, they generally correspond to the Uzbek categories as follows: (a) High Risk subprojects (which are excluded from the project) correspond with National categories I and II; (b) Substantial Risk subprojects correspond with National Category IIIand are excluded from the project; (c) Moderate Risk subprojects fall between National Categories III and IV and will require in some cases a partial ESIA and or an ESMP or – an ESMP checklists; and (d) Low Risk subprojects correspond with National Category IV and require no further EA. In addition to High and Substantial Risks subprojects the Bank will also not finance several types of subprojects which are specified in the WB exclusion list, - see Annex 3. For Moderate Risk subprojects a site-specific Environmental and Social Impact Assessment (ESIA) or an ESMP will be required to identify, evaluate and to prevent potential environmental and social risks and impacts. The mitigation measures for the identified impacts and risks will be incorporated into the project design of the ESMP (see Annex 5 with the format of the ESMP) or ESMP checklist (see Annex 6 with the ESMP Checklist for small scale construction and rehabilitation activities). The site-specific ESIA and ESMPs for moderate and low risk subprojects will be prepared by the hired by beneficiaries Consultants or the Contractors. The purpose of the ESMP is to improve the environmental and social aspects of subprojects by minimizing, mitigating or compensating for negative effects. Environmental and Social Management Plan Checklists will be used mostly for Moderate Risk subprojects that are likely to have minor environmental impacts, and that are typical for small scale construction and rehabilitation investments. The ESMP Checklist has three sections: (a) Part 1 constitutes a descriptive part (“site passport”) that describes the project specifics in terms of physical location, the project description and list of permitting or notification procedures with reference to relevant regulations. Attachments for additional information can be supplemented if needed; (b) Part 2 includes the environmental and social screening in a simple Yes/No EMS format as well as specifies mitigation measures; and (c) Part 3 is a monitoring plan for activities carried out during the rehabilitation activities. For Moderate Risk subprojects it is necessary to disclose the EA documents and conduct public consultations with the project affected people and interested parties. For all projects that would require a site-specific ESIA and ESMP should be organized face to face consultations. For that purpose, it is necessary to disclose in advance the EA document (about two weeks) on the Implementing Agency and on involved municipalities websites as well as providing hard copies to local public administrations and key interested parties (environmental authorities). During the consultations, the subproject applicants will register all comments and suggestions on improving the site-specific ESIA/ESMP documents and will prepare relevant reports to be included in the final version of the EA documents. Furthermore, other specific information related to the project activities and ESA should be also publicly available on-line on the Implementing Agency website. In some cases, the public consultation can be done virtually receiving relevant questions/proposals on-line and taking them into consideration while finalizing the subprojects ESMPs, - such consultations can be done only in the case when it is clear no any direct impacts on local population is expected, - mostly when the proposed activities are located far away from the residential areas and will not have adverse impacts on environmentally sensitive areas such wetlands, forests, legally protected areas, etc. Similarly, in the case of ESMP Checklist for rehabilitation of existing facilities, the public consultation can be done virtually. As described above, only in some cases, as per national legislation and when it is necessary to conduct a site-specific ESIA and prepare an ESMP, the subproject beneficiaries or their Contractors must submit all EA documents for approval to the oblast level State Ecological Expertise, which will issue a decision, to be used for approving and/or rejecting subproject proposals. The final approval of infrastructure is provided by Implementing Agency – only once all EA documents have been prepared, accepted, and, if needed, preliminary approval is provided by the State Ecological Expertise. The Implementing Agency and subproject beneficiaries will then sign an agreement which will include statements on compliance with all EA documents. Table 3 indicate the process flow for the risk management instruments development: Table 3. Environmental and Social Standards Instruments Development for scientific and technical Institutions renovation works a) Implementing Agency (PMU Environmental and Social Specialists and Engineers) conduct screening of the subproject with regard to prohibited/excluded activities; b) If the subproject passes the screening for the list of prohibited/excluded activities, Implementing Agency specialists assist Contractors to complete Section 1 of the Environmental Screening table; Step 1. c) Based on the Environmental Checklist, the environmental category and the type of EA to be conducted is determined– ESMP/ESMP Checklist; d) The results of the screening, including potential negative impacts and possible measures to mitigate impacts, are presented to communities representatives during subproject prioritization meetings held at the Municipality level by the Contractors. For Moderate Risk subprojects, Implementing Agency specialist notes potential Step 2. environmental risks and indicates how they will be prevented/mitigated in the Environmental Screening Table. If the subproject is selected for funding, Implementing Agency specialists assist to the Step 3. consultants to prepare the ESMP or ESMP Checklist Implementing Agency assist the contractors to organize its disclosure of the draft partial ESMP or ESMP Checklist and organizes a public consultation, involving NGOs, Step 4. community representatives, affected groups, etc. Formal minutes will be prepared to record inputs provided by the participants. The contractors can proceed to implementation once the ESMP or ESMP Checklist, is Step 5. completed and updated based on community consultations. a. The subproject applicant will submit the full set of environmental documents for consideration and further decision on funding; Step 6. b. Upon approval of subprojects, Implementing Agency will complete subproject appraisal and proceed with signing of the financing agreement with respective sub- project beneficiaries. The PMU and Contractor conducts periodical supervision, monitoring and reporting, as Step 7. per agreed monitoring plan. Monitoring and reporting results will be included in the Implementing Agency quarterly Step 8. and annual reports. 6.2 Overall Project Compliance and Reporting Implementing Agency/PMU will be responsible for ESMP reporting and will:  Record and maintain the results of project supervision and monitoring throughout the life of the project. It will present summary progress reports on ESMF/ESMP implementation and the E&S aspects of subprojects on a semi-annual basis to the World Bank, and as part of this reporting, provide updates on any grievances/feedback that was received, that has been addressed and that may be pending.  Prepare quarterly reports on the progress of implementation of measures proposed by the ESMP for selected subprojects;  Prepare annual reports on the environmental impacts originated during implementation of subprojects and analyze the efficiency of mitigation measures applied to minimize negative consequences;  Prepare outlines and requirements for Contractors’ reports on environmental protection and mitigation measures, and review Contractor’s monitoring plan and reports  Present the impact of mitigation and environmental and social protection measures for general public via specific publications or/and by annual public seminars. PMU’s E&S Specialists/Consultants will visit to sub-project sites as and when necessary. Based on safeguard performance of different subprojects, they will advise on the subsequent disbursements that should be done for the contractors awarded a contract to implement subprojects under the Project. If it is found that there is an ESMF and/or ESF noncompliance, further disbursements will be stopped until ESF compliance is ensured. 7. CAPACITY BUILDING, TRAINING AND TECHNICAL ASSISTANCE 7.1 Institutional Capacity for ESMF Implementation This section describes all involved actors in the ESMF implementation and an assessment of their capacities to perform their duties. Based on that it will be necessary to propose a set of concrete capacity building and strengthening of involved institutions to assess and control the environmental and social impacts of the potential types of subprojects for inspection and enforcement to comply with existing and proposed legislation and any other requirements needed to ensure fulfilment of the proposed environment monitoring at national and local level. 7.1.1 Ministry of Innovative Development The Project will be implemented by the Ministry of Innovative Development (MID) with support from its Project Management Unit (PMU), as well as other existing institutions. The Project Management Unit (PMU) will be established as a separate legal entity fully owned within the MID to facilitate and monitor day-to-day implementation of the project and grant administration. The Safeguards Specialist which will oversee overall coordination of individual ESMF and ESMPs implementation, reporting to Implementing Agency and to the WB regarding safeguards issues, as well as of integrating safeguards requirements into biding and contracting documents. He/she also will be responsible for interaction with the environmental authorities, local implementing agencies ensuring an efficient implementation of safeguards documents and will undertake, randomly, field visits and environmental and social supervision and monitoring, assessing environmental and social compliance at worksites, advising project municipalities on environmental and social safeguards issues. PMU Safeguards Specialist will be, also, responsible for identifying EA training needs for all parties involved in ESMF/ESMPs implementation. 7.1.2 Other Relevant Government agencies Institutions involved in the project implementation include: the Ministry of Education and Science, National Academy of Science and Science and technical institutions. Within each agency, a head of relevant department/unit would be designated to lead the agency’s efforts in project implementation and supervision. 7.2 Identification of Capacity Needs 7.2.1 Technical Capacity Enhancement The implementation of the ESMF requires specific knowledge for all parties, including beneficiaries and operators that will be engaged in the different phases of the project implementation. Respectively, the project will support relevant trainings on knowledge and information on topics such as the ESMF implementation, ESMF/ESMP reporting, World Bank Guidelines, management of hazardous materials, etc. For this purpose, before the civil works will start, the Implementing Agency will hire a Specialist with knowledge on the environmental and social management requirements for Republic of Uzbekistan, along with substantial knowledge on World Bank safeguards policies and requirements which will provide ESA training. 7.2.2 Training will focus on: The training will include the basic requirements of the WB and National safeguards rules and procedures, as well as case studies in this regard. The training activities will continue also during the project implementation when the consultant will provide on the job training regarding environmental and social monitoring and supervision. The proposing the Project’s capacity building on environmental and social aspects will cover three main directions: i) PMU’s capacity on ESMF implementation during sub-projects selection process and sub-project construction stages – the hired Consultant will provide respective training for MID’s staff and SC on WB ESS standards requirements, ESMF, ESMP preparation and further assistance in monitoring of the ESMP. Other relevant staff members of PMU can participate at the training in order to widen familiarization of the ESMF. ii) Beneficiaries’ Capacity on development of ESMP/ESMP Checklist. Since the program will be implemented during several years and more sub-projects will be proposed for inclusion in the program, the Consultant will provide training for local agencies involved in preparation of EA report and conduction national EA. The training will be dedicated to harmonization of process of WB’s EA and national EA. The target will be to educate EA developers and specialist from local environmental agencies to prepare the documents which meet WB safeguards standards as well. A separate training on handling, collection and disposal of hazardous materials (asbestos materials) for PMU’s SC and contractors will be provided by the Consultant before starting respective works. As per national requirements the contractors will have to conduct OH&S training for workers with indication in special logbook which will be kept on each construction site. For the project sustainability it is important along with physical interventions, institutional improvements and financial enhancing, to increase people awareness on the project related topics, particularly waste management, water supply and sanitation aspects. It is proposed, that hired Consultant in collaboration with national NGOs and relevant agencies will develop awareness program which will cover three mentioned above topics and delivered to the target groups through seminars. During construction and operation, Implementing Agency for Moderate Risk subprojects, is also responsible for providing funding for installation and other activities to minimize any hazardous environmental impacts to be included in the subproject costs. The amount of required funding will depend on the technique/technologies used for implementing mitigation measures and their scale, number, variety and other factors. 7.3 ESMF Implementation Budget In order to ensure successful ESMF implementation, funding is also required to finance capacity building activities. Since it is difficult to prepare budget estimates for capacity building at this stage, this information will be included in the procurement plan. The tentative plan of capacity building and training plan is presented below. Table 4. Tentative plan for capacity building and training program Time and tentative Tentative Name of training Recipients Organizer duration of the training cost Overview on WB ESSs on MoES, NAS, safeguards and their implementation During first year of Science Institutes, during the project cycle. National MID, 1 Project implementation Universities and 3,000 USD Environmental requirements for Consultant Duration – 1 day Business project preparation and Incubators implementation Before sub-projects MID, 2 Implementation of ESMF, ESMP. selection and approval MID, MID’ SS 2,000 USD Consultant Duration - 2 days OH&S, Handling and disposal of Before starting MID SS; MID, 3 3,000 USD hazardous materials respective works 1 day Contractors Consultant Continuously during the General Public, Consultant, 4 Awareness program 10,000 USD program implementation Main stakeholders MID Total 18,000 USD 8. PUBLIC CONSULTATION AND DISCLOSURE 8.1 ESMF Disclosure The environmental and social assessment process will be available to the public, thus all the involved parts will be consulted on project safeguard documents at least once during the process. The Public Consultation is required to take place for the documents related to the overall project as specified in ESMFs. The public consultations will be organized under National environmental legislation and WB ESS 10. All comments and recommendation provided during the public consultations need to be reflected into the final version of ESMF for further submission to WB. Once the Implementing Agency officially submits ESMF to WB, the document will be disclosed on WB external website. Under this Project as part of information disclosure process number of meetings will be conducted with involved parties, particularly, officials and specialists from MID, MoES, institutions and SMEs, and others. During the meeting the project team will discuss with expert planning activities under the project and introduced WB ESS requirements. 8.2 Public Consultation The MID will undertake a process of meaningful consultation in a manner that provides stakeholders with opportunities to express their views on project risks, impacts, and mitigation measures, and allows the MID to consider and respond to them. Meaningful consultation will be carried out on an ongoing basis as the nature of issues, impacts and opportunities evolves. Meaningful consultation is a two-way process, that: (a) Begins early in the project planning process to gather initial views on the project proposal and inform project design; (b) Encourages stakeholder feedback, particularly as a way of informing project design and engagement by stakeholders in the identification and mitigation of environmental and social risks and impacts; (c) Continues on an ongoing basis, as risks and impacts arise; (d) Is based on the prior disclosure and dissemination of relevant, transparent, objective, meaningful and easily accessible information in a timeframe that enables meaningful consultations with stakeholders in a (a) culturally appropriate format, in relevant local language(s) and is understandable to stakeholders; (e) Considers and responds to feedback; (f) Supports active and inclusive engagement with project-affected parties; (g) Is free of external manipulation, interference, coercion, discrimination, and intimidation; and (h) Is documented and disclosed by the MID/PMU. 8.3 Stakeholder Engagement The MID will continue to engage with, and provide information to, project-affected parties and other interested parties throughout the life cycle of the project, in a manner appropriate to the nature of their interests and the potential environmental and social risks and impacts of the project The MID will continue to conduct stakeholder engagement in accordance with the SEP and will build upon the channels of communication and engagement already established with stakeholders. In particular, the MID will seek feedback from stakeholders on the environmental and social performance of the project, and the implementation of the mitigation measures in the ESCP. If there are significant changes to the project that result in additional risks and impacts, particularly where these will impact project-affected parties, the MID will provide information on such risks and impacts and consult with project-affected parties as to how these risks and impacts will be mitigated. The MID will disclose an updated ESCP, setting out any additional mitigation measures. 8.4 Grievance Mechanism 8.4.1. Grievance Mechanism purpose The MID will respond to concerns and grievances of project-affected parties related to the environmental and social performance of the project in a timely manner. For this purpose, the MID will establish and implement a grievance mechanism to receive and facilitate the resolution of such concerns and grievances. The PIU at MID will be responsible for managing the stakeholder Grievance Mechanism (GM). The grievance mechanism will be proportionate to the potential risks and impacts of the project and will be accessible and inclusive. The grievance mechanism is expected to address concerns promptly and effectively, in a transparent manner that is culturally appropriate and readily accessible to all project-affected parties, at no cost and without retribution. The mechanism, process, or procedure will not prevent access to judicial or administrative remedies. The MID will inform the project-affected parties about the grievance process in the course of its community engagement activities, and will make publicly available a record documenting the responses to all grievances received; and Handling of grievances will be done in a culturally appropriate manner and be discreet, objective, sensitive, and responsive to the needs and concerns of the project-affected parties. The mechanism will also allow for anonymous complaints to be raised and addressed. The GM will be accessible to the full range of project stakeholders, including project-affected parties, community members, civil society, media, and other interested parties. Stakeholders can use the GM to submit complaints, feedback, queries, suggestions, or even compliments related to the overall management and implementation of the project. A separate mechanism will be established for project workers in compliance with ESS2. What types of grievances/feedback will this GM address? The GM can be used to submit complaints, feedback, queries, suggestions or compliments related to the overall management and implementation of the project, as well as issues pertaining to sub-projects that are being financed and supported by the project, including:  Mismanagement, misuse of Project Funds, or corrupt practices.  Violation of Project policies, guidelines, or procedures, including those related to child labor, health, and safety of community/contract workers and gender violence.   Grievances that may arise from persons or entities who are dissatisfied with the eligibility criteria, project activities, or actual implementation of the project by MID.  General feedback, questions, suggestions, compliments. The scope, scale, and type of grievance mechanism required will be proportionate to the nature and scale of the potential risks and impacts of the project. The grievance mechanism may include the following: (a) Different ways in which users can submit their grievances, which may include submissions in person, by phone, text message, mail, e-mail or via a web site; (b) A log where grievances are registered in writing and maintained as a database; (c) Publicly advertised procedures, setting out the length of time users can expect to wait for acknowledgment, response and resolution of their grievances; (d) Transparency about the grievance procedure, governing structure and decision-makers; and (e) An appeals process (including the national judiciary) to which unsatisfied grievances may be referred when the resolution of grievance has not been achieved. 8.2. GM Communication & Process Communication. Information about the project’s GM will be publicized as part of the consultations with the stakeholders. It will be distributed during consultations and public meetings, and posters will be displayed in the project portal, available in both languages, Uzbek and Russian. Details will be updated in the Project Operational Manual and this SEP, before project effectiveness. Process. The overall process for the GM will be comprised of 6 steps: (1) uptake (2) sorting and processing (3) acknowledgment and follow up (4) verification, investigation and action (5) monitoring and evaluation, and (6) feedback (see figure 3). Figure 3. Feedback and GM Process Step 1: Uptake. Project stakeholders will have the opportunity to provide feedback and report complaints through several channels (in-person, mail, telephone, project website) at different levels. Step 2: Sorting and Processing. To consolidate, monitor, and report on information related to grievances, complaints, and feedback related to the project will be documented upon receipt/communication at each level of the GM, and will be classified to manage the grievance redress process more effectively. Feedback/complaints regarding environmental or social issues related to the project activities will be logged in the MIS and documented. Step 3: Acknowledgement and Follow-Up. Within 5 days of receiving complaints/feedback, the grievance redress focal point will inform the complainant about the timeframe and the likely course of action. At the 5-day mark, if a complaint/question is still pending, the Grievance Focal Point (GFP) in charge of the complaint at that point should provide an update about the status of complaint/question to the person who submitted it and provides an estimate of how long it will take to resolve the grievance or respond to the query. Step 4: Verification, Investigation & Action. Verification and investigation involve gathering information about the grievance to determine its validity and to generate a clear picture of the circumstances surrounding the issue under consideration. This process normally includes site visits, document reviews, a meeting with the complainant (if known and willing to engage), and meetings with individuals and/or entities who can assist with resolving the issue. Potential actions include responding to a query or comment, providing users with a status update, imposing sanctions, or referring the grievance to another level of the system for further action. Depending on which channel the grievance is received, the verification and investigation can be conducted by the GFP or by the communications specialist at the PMU. Step 5: Monitoring & Evaluation. Monitoring refers to the process of tracking grievances and assessing the extent to which progress is being made to resolve them. Ultimately, the PMU will be responsible for consolidating, monitoring, and reporting on the total number of complaints, inquiries, and other feedback for the project that has been received, resolved and that is pending at the community and MID levels, as well as feedback pertaining to the PMU. Step 6: Providing Feedback. This step entails informing GRM users and the public at large about the results of investigations and the actions taken. Grievance redress focal points will provide feedback by contacting the complainant directly within 30 days of receiving the feedback/complaint. The PMU will make quarterly reports available to the World Bank team on the implementation of the Project GM. In addition, data on grievances and/or original grievance logs will be made available to World Bank project supervision missions. 8.3. Grievance Logs The Grievance Focal Point at the PMU will maintain grievance logs to ensure that each complaint has an individual reference number and is appropriately tracked, and recorded actions are completed. GM will be accessible to all through various means (written, telephone, email, social media etc). Grievance database to facilitate tracking, analysis, and monitoring logbook will be maintained in the PMU office. A sample grievance form and a close-out form are attached in Annex-3. 8.4. Monitoring and Reporting on Grievances The PMU’s GM focal point who will be the Communications and Stakeholder Specialist will be responsible for:  Collecting and analyzing the qualitative data from grievance redress focal points on the number, substance, and status of complaints and uploading them into the single project database;  Monitoring outstanding issues and proposing measures to resolve them;  Submitting quarterly reports on GM mechanisms to the Project Coordinator at the PIU. Quarterly reports to be submitted by the PMU shall include a section related to GM which provides updated information on the following:  Status of GM implementation (procedures, training, public awareness campaigns, budgeting, etc.);  Qualitative data on the number of received grievances (applications, suggestions, complaints, requests, positive feedback), number of resolved grievances;  Quantitative data on the type of grievances and responses, issues provided and grievances that remain unresolved;  Level of satisfaction by the measures (response) taken;  Any correction measures are taken. Results posted on the PMU and MID websites. The central point of contact – PMU The point of contact regarding the stakeholder engagement program will be Communications and Stakeholder Specialist at PMU who will be nominated after the start of the project and below table will be updated: Description Contact details Name Dilshodbek Azgarov, PMU Director Address 100060, Tashkent city, Almazar district Universitetskaya st. Email d.azgarov@mininnovation.uz Telephone +998 (97) 766 47 05 Website https://mininnovation.uz/ World Bank Grievance Redress System Communities and individuals who believe that they are adversely affected by a project supported by the World Bank may also complaints directly to the Bank through the Bank’s Grievance Redress Service (GRS) (http://projects-beta.worldbank.org/en/projects-operations/products-and-services/grievance-redress- service). A complaint may be submitted in English, Uzbek or Russian, although additional processing time will be needed for complaints that are not in English. A complaint can be submitted to the Bank GRS through the following channels:  By email: grievances@worldbank.org  By fax: +1.202.614.7313  By mail: The World Bank, Grievance Redress Service, MSN MC10-1018, 1818 H Street Northwest, Washington, DC 20433, USA  Through the World Bank Uzbekistan Country Office in Tashkent: 107B Amir Timur Street, Block C, 15th floor, 100084, Tashkent, Uzbekistan, tashkent@worldbank.org, Tel. +998 71 120-2400 The complaint must clearly state the adverse impact(s) allegedly caused or likely to be caused by the Bank- supported project. This should be supported by available documentation and correspondence to the extent possible. The complainant may also indicate the desired outcome of the complaint. Finally, the complaint should identify the complainant(s) or assigned representative/s and provide contact details. Complaints submitted via the GRS are promptly reviewed to allow quick attention to project-related concerns. In addition, project-affected communities and individuals may submit complaints to the World Bank’s independent Inspection Panel, which will then determine whether harm occurred, or could occur, as a result of the World Bank’s non-compliance with its policies and procedures. Complaints may be submitted to the Inspection Panel at any time after concerns have been brought directly to the World Bank’s attention, and after Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org. Annex 1. Screening of Risks Categories of Proposed Types of Subprojects # PROJECT COMPONENTS WB GOU Note Required AND ACTIVITIES action/type of ESA instrument 1 Component 1 and 2 Small-scale building renovations in the Moderate ESMP Checklist laboratory premises of existing Risk institutions buildings  rehabilitation/renovation (of - ESMP Checklist existing), Moderate Risk  refurbishment (of both new and - existing); No further action Low Risk after filling Environmental Screening Checklist (ESC)  Establishment and/or upgrading of Research & IT - infrastructure/facilities; No actions after filling ESC  Human resource development, LR- if no civil works including training (short and long term), workshops, seminars, conferences and study tours LR No actions after filling ESC LR - No actions after filling ESC Annex 2. Exclusion list50 The Exclusion List defines the types of projects that WB does not finance. The WB does not finance the following projects:  Production or trade in any product or activity deemed illegal under host country laws or regulations or international conventions and agreements, or subject to international bans, such as pharmaceuticals, pesticides/herbicides, ozone depleting substances, PCB's, wildlife or products regulated under CITES.  Production or trade in weapons and munitions.  Production or trade in alcoholic beverages (excluding beer and wine).  Production or trade in tobacco.  Gambling, casinos and equivalent enterprises.  Production or trade in radioactive materials. This does not apply to the purchase of medical equipment, quality control (measurement) equipment and any equipment where IFC considers the radioactive source to be trivial and/or adequately shielded.  Production or trade in unbonded asbestos fibers. This does not apply to purchase and use of bonded asbestos cement sheeting where the asbestos content is less than 20%.  Drift net fishing in the marine environment using nets in excess of 2.5 km. in length. A reasonableness test will be applied when the activities of the project company would have a significant development impact, but circumstances of the country require adjustment to the Exclusion List. 50Based on IFC Exclusion list. See; https://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/sustainability-at-ifc/company- resources/ifcexclusionlist#2007 Annex 3. Environmental Screening Checklist - Forms Form 1 ENVIRONMENTAL SCREENING CHECKLIST Part 1 (to be completed by Sub-project beneficiary) 1. Project Name: 2. Brief Description of sub-project to include: nature of the project, project cost, physical size, site area, location, property ownership, existence of on-going operations, plans for expansion or new construction. 3. Will the project have impacts on the environmental parameters listed below during the construction or operational phases? Indicate, with a check, during which phase impacts will occur and whether mitigation measures are required. Construction Operational Mitigation Environmental Component Phase Phase Measures Terrestrial environment Land & soil degradation: Will the project involve land excavation? Generation of solid wastes, including toxic wastes? Soil and underground water pollution Air quality Will the project provide pollutant emissions? Aquatic environment Water Quantity: will the project involve water use? Water Quality / Pollution: Will the project contribute to surface water pollution Socio-economic environment Will the project assure non-deterioration of human health, occupational safety and non-disturbance of residents living near project area? Does the project require public consultation to consider local people environmental concerns and inputs? Social impacts Subproject beneficiary ENVIRONMENTAL SCREENING CHECKLIST Part 2 (to be completed by the PMU based on the findings of the environmental screening process) 1. Sub-project Environmental Category (H, S, M or L) _____ (if project is categorized as H, no needs to fill next paras – sub-project could not be included into the project) 2. Is project activities will be implemented: a) in or near sensitive and valuable ecosystems — wetlands, wild lands, and habitat of endangered species - ____ (yes or no) b) in or near areas with archaeological and/or historical sites or existing cultural and social institutions - ____ (yes or no) c) in densely populated areas, where resettlement may be required or potential pollution impact and other disturbances may significantly affect communities - ____(yes or no) d) in regions subject to heavy development activities or where there are conflicts in natural resource allocation; along watercourses, in aquifer recharge areas or in reservoir catchments used for potable water supply; and on lands or waters containing valuable resources (such as fisheries, minerals, medicinal plants, prime agricultural soils) - ____(yes or no) If any “yes” - the sub-project will be excluded from the Program 3 Environmental Assessment required (yes or no) _____ (the next paras have to be filled only for category S sub-projects) 3. Types of required EA documents (circle round the required): a) partial ESIA, including site assessment and Environmental and Social Management Plan (ESMP) for Category S sub-projects; b) Environmental and Social Management Plan for small scale Category S sub-projects; c) ESMP checklists for small scale Category S sub-projects; d) Draft Environmental Impacts Statement (for categories 2-4 (Uzbek) sub-projects) e) Statement on Environmental Consequences (only for category 2-3 (Uzbek) sub-projects) 4. What environmental and social issues are raised by the sub-project? __________________________________________________________________________ _____________________________________________________________________________________ 10. If an environmental and social impact assessment is required, what are the specific issues to be addressed? ____________________________________________________________________________ ____________________________________________________________________________ 11. What is the time frame and estimated cost of conducting the ESIA? _______________ ____________________________________________________________________________ Conclusion (could the sub-project be included in the program and if yes, under which conditions): ___________________________________________________________________________ ____________________________________________________________________________ Environmental Screener: Date: ENVIRONMENTAL SCREENING CHECKLIST Part 3 Final Environmental Assessment Checklist (to be completed by the PMU based on review of the mitigation proposed and the environmental impact assessment (if required)) Was an Environmental and Social Impact Assessment needed? (Y or N) ___ If yes, was it done? ___ Was an Environmental and Social Management Plan prepared? (Y or N) ________ Are the mitigation measures to be included in project implementation adequate and appropriate? (Y or N) ________ Will the project comply with existing pollution control standards for emissions and wastes? (Y or N) _____ If No, will an exemption be sought? _____ ______ Is an Environmental Monitoring Plan necessary? (Y or N) ___ If so, has it been prepared? (Y or N) ___ Approved by the PMU? ___________ What follow-up actions are required by the proponent, the RPMU and PMU? _____________________________________________________________________________________ _______ _____________________________________________________________________________________ _______ _____________________________________________________________________________________ _______ Were public consultations held concerning potential environmental impacts of the proposed sub-project? (Y or N) _____ Were minutes recorded? (Y or N) _____ Dates Participants _______________________ ________________________________________________________________ _______________________ ________________________________________________________________ _______________________ ________________________________________________________________ Project Officer: Date: Environmental Screener: Date: ENVIRONMENTAL SCREENING CHECKLIST Part 4. Final Environmental Assessment Checklist (2) (to be completed by the PMU based on review of the mitigation proposed and the environmental and social impact assessment (if required)) Is the project documentation complete? If not what is missing? Are land use and resource use permits required? If so have they been received? Are discharge permits required for solid waste? If so have they been received? Are discharge permits required for wastewater discharge? If so have they been received? Is there a sanitary inspection required? Has a permit been issued? Has the environmental assessment been received and approved? Is there potential for soil degradation or contamination? If yes, have appropriate prevention or mitigation measures been planned and budgeted? Is there potential for water quality degradation or contamination? If yes, have appropriate prevention or mitigation measures been planned and budgeted? Is there potential for air quality degradation or contamination? If yes, have appropriate prevention or mitigation measures been planned and budgeted? Is there a threat to the biological environment? If yes, have appropriate prevention or mitigation measures been planned and budgeted? Is there potential for adverse impacts on the social environment? If yes, are there necessary prevention, mitigation or compensation measures planned and budgeted? Was the level of public involvement in design and planning and public consultation sufficient? Were public concerns raised in the consultation process adequately addressed? What is the desired level, frequency and scope of environmental monitoring during the construction phase? What is the desired level, frequency and scope of environmental monitoring during the operational phase? Form 2 Field site visit checklist Project Name: Date/time of Visit: Rayon: Visitors: Current activity and site history  Who is the site contact (name, position, contact information)?  What is the area of the site to be used for project activities?  What are current users of the site?  What were previous uses of the site (give dates if possible)?  Are there any encroachers or illegal users of the site whose livelihoods or assets are going to be affected by the project? Environmental Situation  Are there sensitive sites nearby (nature reserves, cultural sites, historical landmarks)?  Are there water courses on the site?  What is the terrain or slope?  Does the site experience flooding, waterlogging or landslides? Are there signs of erosion?  What are the neighboring buildings (e.g. schools, dwellings, industries) and land uses? Estimate distances.  Will the proposed site affect transportation or public utilities? Licenses, Permits and Clearances  Does the site require licenses or permits to operate the type of activity proposed? Are these available for inspection?  What environmental or other (e.g., health, forestry) authorities have jurisdiction over the site? Water Quality Issues  Does the proposed activity use water for any purposes (give details and estimate quantity). What is the source?  Will the proposed activity produce any effluent? (estimate quantity and identify discharge point)  Is there a drainage system on site for surface waters or sewage? Is there a plan available of existing drainage or septic systems?  How waste water is managed (surface water courses, dry wells, septic tanks)? Soils  What is the ground surface (agricultural land, pasture, etc.)?  Will the project damage soils during construction or operations?  Will the project affect the landscape significantly (draining wetlands, changing stream courses) Biological environment  Describe vegetation cover on the site.  Is there information about rare or threatened flora and fauna at or near the site? If yes, would the project have an impact or increase risk to the species?  Obtain a list of vertebrate fauna and common plants of the site (if available).  Note potential negative impacts on biota if project proceeds. Visual Inspection Procedures  Try to obtain a site map or make a sketch to mark details.  Take photos, if permitted.  Walk over as much of the site as possible, including boundaries, to note adjacent activities.  Note any odors, smoke or visual dust emissions, standing water, etc. Annex 4. Social Screening Check List and Reporting Part 1 Instructions (i) PMU/ Subproject implementer unit assigned with help of experts if needed: completes the form. (ii) The classification of a project is a continuing process. If there is a change in the project components, project design or/and site PMU/Subproject Implementer assigned completes and submits a new form. The old form is attached for reference. (iii) Screening is filled in for all type of subprojects financed under the Project. 1. Project name: 2. Subproject name: 3. Location (Province, city, village) 4. Kind of activity associated with civil works (all types including assess roads, infrastructure etc.): 5. Screening is done First Time ______ Time (mention the reason)__________________________ 6. Project/subproject start date 7. Project/subproject completion date 8. Screening date 9. Field visit conducted: No, Yes (add dates and locations in the field) 10. Description of the Subproject Give a brief introduction to the sub-project and its components, their objectives and benefits. Details about existing conditions of the facilities and proposed civil works with scope Available design maps earmarking site and proposed activities in order to explain work. Superimpose the map on the Google earth if available. Whether this is purely rehabilitation of existing facilities or will involve any new works. Is this sub-project closely linked to any other activity not funded under the Project? Will this sub-project involve any ancillary impact/ activity away from the work site? Not Questions Yes No Observations, remarks Known Impacts Due to Land Acquisition/ Donation 1. Is the ownership status and current usage of land to be used for the construction known? (provide details in the remarks). Please, add is the site chosen for this work free from encumbrances and is in possession of the subproject implementer? 2. Is land for material mobilization or transport for the civil work available within the existing plot (Right of Way)? If not, provide the details on that land location, availability etc. 3. Would the Project potentially involve temporary or permanent If yes, exclude from and full or partial physical displacement? (Specify in the financing. remarks what type of displacement is anticipated) 4. Would the Project potentially involve temporary or permanent and full or partial economical displacement (e.g. loss of assets or If yes, exclude from access to resources due to land acquisition/ donation or access financing. restrictions – even in the absence of physical relocation)? (Specify in the remarks what type of displacement is anticipated) 5. Is there any impact on illegal land use practices? Are there any non-titled people who are living/doing business on the proposed If yes, exclude from site/project locations that will be used for civil work? If yes, financing. provide in the Note Section details on any temporary or permanent impact on them? 6. If the site is privately owned, can this land be purchased through negotiated settlement? If yes, exclude from 7. Will the land owners donate the land plot for the project? financing. 8. Will there be loss of shelter and/or residential land due to land If yes, exclude from acquisition/ donation? financing. 9. Will there be loss of any productive assets due to land If yes, exclude from acquisition/donation? financing. 10. Will there be losses of crops, trees, and fixed assets due to land If yes, exclude from acquisition/donation? financing. 11. Will there be loss of businesses or enterprises due to land If yes, exclude from acquisition/donation? financing. 11. Will there be loss of income sources and means of livelihoods If yes, exclude from due to the subproject land acquisition/donation? financing. 12. Will any social or economic activities be affected by land use If yes, exclude from related changes? financing. 13. Will people lose access to natural resources, communal facilities, services or other assets as a result of land If yes, exclude from acquisition/donation or project implementation? Provide details financing. in the remarks. 14. Will project result in land use restrictions and/or easement If yes, exclude from rights? Provide details in the remarks. financing. 15. Will access to land and resources owned communally or by the If yes, exclude from state be restricted? financing. 16. Are there any previous land acquisitions happened and the identified land has been already acquired? Provide details in the Note section. 17. Are there any land acquisition happening in frame of this project but without financing of the World Bank? Provide details in the Note section. 18. Is land area needed for the project known? (Provide estimates in the Remarks, including status of ownership, area, type of land use etc.) 19. 20. Gender 21. Is there a likelihood of impacts on gender equality and/or the situation of women and girls? 22. Would the Project potentially reproduce discriminations against women based on gender, especially regarding access to assets, opportunities and benefits? 23. Decision: After reviewing the answers above, it is determined that the sub project: [ ] LAR impacts, the project is not eligible for financing [ ] No LAR impact, the project is eligible for financing Prepared by __________________________ Date __________ Approved by__________________________ Date ___________ Note: Attach additional information on the project, as necessary. For example, maps, photos, minutes of meeting etc. Part 2 Screening report form of expected LAR impacts (The report should be brief) Sub-project_______________________________ Sub-project implementation location_____________ (Indicate location of implementation with the designation on the map-scheme with photos) Kind of activity:________________________________________ (new construction, reconstruction, rehabilitation, maintenance) Estimated cost ____________ Estimated start date: _______________________________ Technical drawings / specifications discussed: ____________________ Availability № Possible impact factor (Yes/ No) 1. Does the sub-project fall into private land? Is it necessary to physically or economically displace local people or businesses? Will 2. there be involuntary acquisition of land? Will there be impact on assets? Is it required to determine the level of assessment of institutional resources necessary for 4. protection measures? 5. Are there any third party assets at the project site? 6. Are there any disputed territories? Will there be access roads and pedestrian paths to residential buildings and commercial 7. structures during construction? Will the construction lead to changes in social environment, will the incomes of 8. commercial structures and the population decrease? Will the planned construction affect the health of the population and harm 9. somebody? 10. Will the sub-project cause protests and concerns among residents? Will activities cause unfavorable impact on the living conditions of the population, its 11. values, and way of life? 12. Will the sub-project cause inequality between population groups? 13. Is the degree of public interest in the sub-project high? Are there any facts of the past impact of involuntary resettlement in a given territory, 14. which require corrective actions for not mitigated past relocations? 15 Is this subproject linked with any other infrastructure development project Based on the above checklist it will be determined if an activity will be financed by the Project. Recommendations: Taking into account responses to monitoring questions, it will be determined whether further actions are required to prepare Due diligence report _________________________________________ Completed by (full name and contacts): _____________________________________ Signature: _________Date:________________________ Annex 5 Results of Environmental and Social Screening Risk Category “High” Prepared by: Significant impact, exclude from financing Name and Signature: Designation: Risk Category “Substantial” Significant impact, exclude from financing Date: Approved by: Risk Category Moderate Limited or temporary impact Name and signature: Designation Risk Category Low No Impact Date: Any subproject applications that includes activities that coincide with those included in the lists of excluded subprojects for financing and that which may have significant environmental risks will be disqualified. If the answer to one of the following questions is YES, the subproject application shall be excluded. Annex 6. Indicative outline of ESMP An ESMP consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation and operation of a project to eliminate adverse environmental and social risks and impacts, offset them, or reduce them to acceptable levels. The ESMP also includes the measures and actions needed to implement these measures. The Borrower will (a) identify the set of responses to potentially adverse impacts; (b) determine requirements for ensuring that those responses are made effectively and in a timely manner; and (c) describe the means for meeting those requirements. Depending on the project, an ESMP may be prepared as a stand-alone document or the content may be incorporated directly into the ESCP. The content of the ESMP will include the following: (a) Mitigation • The ESMP identifies measures and actions in accordance with the mitigation hierarchy that reduce potentially adverse environmental and social impacts to acceptable levels. The plan will include compensatory measures, if applicable. Specifically, the ESMP: (i) identifies and summarizes all anticipated adverse environmental and social impacts (including those involving indigenous people or involuntary resettlement); (ii) describes—with technical details—each mitigation measure, including the type of impact to which it relates and the conditions under which it is required (e.g., continuously or in the event of contingencies), together with designs, equipment descriptions, and operating procedures, as appropriate; This may be particularly relevant where the Borrower is engaging contractors, and the ESMP sets out the requirements to be followed by contractors. In this case the ESMP should be incorporated as part of the contract between the Borrower and the contractor, together with appropriate monitoring and enforcement provisions. (iii) estimates any potential environmental and social impacts of these measures; and (iv) takes into account, and is consistent with, other mitigation plans required for the project (e.g., for involuntary resettlement, indigenous peoples, or cultural heritage). (b) Monitoring • The ESMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the environmental and social assessment and the mitigation measures described in the ESMP. Specifically, the monitoring section of the ESMP provides (a) a specific description, and technical details, of monitoring measures, including the parameters to be measured, methods to be used, sampling locations, frequency of measurements, detection limits (where appropriate), and definition of thresholds that will signal the need for corrective actions; and (b) monitoring and reporting procedures to (i) ensure early detection of conditions that necessitate particular mitigation measures, and (ii) furnish information on the progress and results of mitigation. (c) Capacity Development and Training • To support timely and effective implementation of environmental and social project components and mitigation measures, the ESMP draws on the environmental and social assessment of the existence, role, and capability of responsible parties on site or at the agency and ministry level. • Specifically, the ESMP provides a specific description of institutional arrangements, identifying which party is responsible for carrying out the mitigation and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). • To strengthen environmental and social management capability in the agencies responsible for implementation, the ESMP recommends the establishment or expansion of the parties responsible, the training of staff and any additional measures that may be necessary to support implementation of mitigation measures and any other recommendations of the environmental and social assessment. (d) Implementation Schedule and Cost Estimates • For all three aspects (mitigation, monitoring, and capacity development), the ESMP provides (a) an implementation schedule for measures that must be carried out as part of the project, showing phasing and coordination with overall project implementation plans; and (b) the capital and recurrent cost estimates and sources of funds for implementing the ESMP. These figures are also integrated into the total project cost tables. (e) Integration of ESMP with Project • The Borrower’s decision to proceed with a project, and the Bank’s decision to support it, are predicated in part on the expectation that the ESMP (either stand alone or as incorporated into the ESCP) will be executed effectively. Consequently, each of the measures and actions to be implemented will be clearly specified, including the individual mitigation and monitoring measures and actions and the institutional responsibilities relating to each, and the costs of so doing will be integrated into the project’s overall planning, design, budget, and implementation. Annex 7. Environmental Management Plan Checklist (for small scale construction/rehabilitation sub-projects) General Guidelines for use of ESMP checklist: For low-risk construction projects, such as minor roads rehabilitation works or the construction of bicycle paths, the ECA (Europe and Central Asia) safeguards team developed an alternative ESMP (environmental and social management plan) format to provide an opportunity for a more streamlined approach to mainstreaming the World Bank’s environmental safeguards requirements into projects which (a) are small in scale or by the nature of the planned activities have a low potential environmental impact, (b) are located in countries with well-functioning country systems for environmental assessment and management. The checklist-type format has been developed to ensure that basic good practice measures are recognized and implemented, while designed to be both user friendly and compatible with the World Bank’s safeguards requirements. The ESMP checklist-type format attempts to cover typical key mitigation measures to civil works contracts with small, localized impacts or of a simple, low risk nature. This format provides the key elements of an ESMP to meet the minimum World Bank Environmental Assessment requirements for Category B projects under OP 4.01. The intention of this checklist is that it offers practical, concrete and implementable guidance to Contractors and supervising Engineers for simple civil works contracts. It should be completed during the final design phase and, either freestanding or in combination with any environmental documentation produced under national law (e.g. ESIA reports), constitute an integral part of the bidding documents and eventually the works contracts. The checklist ESMP has the following sections: Part 1 includes a descriptive part that characterizes the project, specifies institutional and regulatory aspects, describes technical project content, outlines any potential need for capacity building and briefly characterizes the public consultation process. This section should indicatively be up to two pages long. Attachments for additional information may be supplemented as needed. Part 2 includes a screening checklist of potential environmental and social impacts, where activities and potential environmental issues can be checked in a simple Yes/No format. If any given activity/issue is triggered by checking “yes”, a reference to the appropriate section in the table in the subsequent Part 3 can be followed, which contains clearly formulated environmental and social management and mitigation measures. Part 3 represents the environmental mitigation plan to follow up proper implementation of the measures triggered under Part 2. It has the same format as required for MPs produced under standard safeguards requirements for Category B projects. Part 4 contains a simple monitoring plan to enable both the Contractor as well as authorities and the World Bank specialists to monitoring due implementation of environmental management and protection measures and detect deviations and shortcomings in a timely manner. Part 1. Project Information INSTITUTIONAL & ADMINISTRATIVE ARRANGEMENTS Country Project title Scope of project and activity Institutional arrangements WB Project Management Local Counterpart and/or Recipient (names and contacts) (Project Team Leader) Implementation Safeguard Local Counterpart Supervision Local Inspectorate Contactor arrangements Supervision Supervision (Name and contacts) SITE DESCRIPTION Name of site Describe site location Attachment 1: Site Map [ ]Y / [ ]N Who owns the land? Geographic description LEGISLATION Identify national & local legislation & permits that apply to project activity PUBLIC CONSULTATION Identify when / where the public consultation process took place INSTITUTIONAL CAPACITY BUILDING Will there be any capacity [ ], if Yes, Attachment 2 includes the capacity building program building? (Yes/No) Beneficiary: Signature: Date: ENVIRONMENTAL /SOCIAL SCREENING Will the site activity Activity Status Additional references include/involve any of the A. Building rehabilitation [ ] Yes [ ] No See Section B below following: B. New construction [ ] Yes [ ] No See Section B below C. Individual wastewater treatment system [ ] Yes [ ] No See Section C below D. Historic building(s) and districts [ ] Yes [ ] No See Section D below E. Acquisition of land51 [ ] Yes [ ] No See Section E below F. Hazardous or toxic materials52 [ ] Yes [ ] No See Section F below G. Impacts on forests and/or protected areas [ ] Yes [ ] No See Section G below H. Handling / management of medical [ ] Yes [ ] No See Section H below waste I. Traffic and Pedestrian Safety [ ] Yes [ ] No See Section I below ACTIVITY PARAMETER MITIGATION MEASURES CHECKLIST A. General Conditions Notification and Worker Safety (a) The local construction and environment inspectorates and communities have been notified of upcoming activities (b) The public has been notified of the works through appropriate notification in the media and/or at publicly accessible sites (including the site of the works) (c) All legally required permits have been acquired for construction and/or rehabilitation (d) All work will be carried out in a safe and disciplined manner designed to minimize impacts on neighboring residents and environment. (e) Workers will comply with international good practice (always hardhats, as needed masks and safety glasses, harnesses and safety boots) (f) Appropriate signposting of the sites will inform workers of key rules and regulations to follow. B. General Rehabilitation and Air Quality (a) During interior demolition use debris-chutes above the first floor /or Construction Activities (b) Keep demolition debris in controlled area and spray with water mist to reduce debris dust (c) Suppress dust during pneumatic drilling/wall destruction by ongoing water spraying and/or installing dust screen enclosures at site (d) Keep surrounding environment (side-walks, roads) free of debris to minimize dust (e) There will be no open burning of construction / waste material at the site (f) There will be no excessive idling of construction vehicles at sites Noise (a) Construction noise will be limited to restricted times agreed to in the permit (b) During operations the engine covers of generators, air compressors and other powered mechanical equipment should be closed, and equipment placed as far away from residential areas as possible Water Quality (a) The site will establish appropriate erosion and sediment control measures such as e.g. hay bales and / or silt fences to prevent sediment from moving off site and causing excessive turbidity in nearby streams and rivers. Waste management (a) Waste collection and disposal pathways and sites will be identified for all major waste types expected from demolition and construction activities. (b) Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical 51 The project will support construction of new buildings only in the case when land acquisition is not necessary and there are no any resettlement issues; for such cases the investor should have the landownership title as well as has to prove the land at the moment of sub-projects application is not occupied or used even illegally 52 Toxic / hazardous material includes and is not limited to asbestos, toxic paints, removal of lead paint, etc. ACTIVITY PARAMETER MITIGATION MEASURES CHECKLIST wastes by on-site sorting and stored in appropriate containers. (c) Construction waste will be collected and disposed properly by licensed collectors (d) The records of waste disposal will be maintained as proof for proper management as designed. (e) Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos) C. Individual wastewater Water Quality (a) The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction) must be treatment system approved by the local authorities (b) Before being discharged into receiving waters, effluents from individual wastewater systems must be treated in order to meet the minimal quality criteria set out by national guidelines on effluent quality and wastewater treatment (c) Monitoring of new wastewater systems (before/after) will be carried out D. Historic building(s) Cultural Heritage (a) If the building is a designated historic structure, very close to such a structure, or located in a designated historic district, notify and obtain approval/permits from local authorities and address all construction activities in line with local and national legislation (b) Ensure that provisions are put in place so that artifacts or other possible “chance finds” encountered in excavation or construction are noted, officials contacted, and works activities delayed or modified to account for such finds. E. Acquisition of land Land Acquisition Plan/Framework (a) If project activities will show the potential for temporary or permanent involuntary acquisition, a negative impact on economic activities, or restricting access to resources – then the activities will not be financed under the project F. Toxic Materials Asbestos management (a) If asbestos is located on the project site, mark clearly as hazardous material (b) When possible the asbestos will be appropriately contained and sealed to minimize exposure (c) The asbestos prior to removal (if removal is necessary) will be treated with a wetting agent to minimize asbestos dust (d) Asbestos will be handled and disposed by skilled & experienced professionals (e) If asbestos material is be stored temporarily, the wastes should be securely enclosed inside closed containments and marked appropriately (f) The removed asbestos will not be reused Toxic / hazardous waste management (a) Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of composition, properties and handling information (b) The containers of hazardous substances should be placed in an leak-proof container to prevent spillage and leaching (c) The wastes are transported by specially licensed carriers and disposed in a licensed facility. (d) Paints with toxic ingredients or solvents or lead-based paints will not be used G. Affects forests and/or Protection (a) All recognized natural habitats and protected areas in the immediate vicinity of the activity will not be damaged or protected areas exploited, all staff will be strictly prohibited from hunting, foraging, logging or other damaging activities. (b) For large trees in the vicinity of the activity, mark and cordon off with a fence large tress and protect root system and avoid any damage to the trees (c) Adjacent wetlands and streams will be protected, from construction site run-off, with appropriate erosion and sediment control feature to include by not limited to hay bales, silt fences (d) There will be no unlicensed borrow pits, quarries or waste dumps in adjacent areas, especially not in protected areas. Environmental Monitoring Plan (Example) Where When Cost What How Why Who (Is the parameter (Define the (if not included Phase (Is the parameter to be (Is the parameter to (Is the parameter (Is responsible for to be frequency / or in project monitored?) be monitored?) being monitored?) monitoring?) monitored?) continuous?) budget) site access at the site check if design and before launch of safety of general marginal, Contractor, traffic management project planning construction public, within budget Engineer foresee diligent availability of waste at the site procedures timely detection of disposal facilities waste disposal During activity bottlenecks preparation hazardous waste inventory in site vicinity visual / analytical if before start of marginal, (asbestos) on site in doubt rehabilitation within budget; works before public and (prepare special construction material Contractor’s visual / research in approval to use workplace health account for quality control (eg. paints / store / building toxic materials materials and safety analyses at solvents) yard databases PMU) dust generation on site and in Visual daily avoidance of public marginal, Contractor, immediate nuisance within budget Engineer noise emissions neighborhood, consultation of locals daily close to potential impacted residents During activity waste and wastewater visual, analytical if daily / continuous avoidance of supervision types, quality and volumes at discharge suspicious count of negative impacts on points or in waste transports off ground/ surface surface drainage soundness storage facilities site, check flow rates waters and runoff routes for daily / continuous ensuring proper wastewater waste management and disposal Annex 8. Asbestos Containing Material Management Plan (Example) Applicability The Asbestos Containing Material Management Plan (ACMMP) applies to all project construction or reconstruction sites and any related areas. Contractors employed by Project are legally responsible for their construction sites and related areas and must follow the provisions of the Project ACMMP within those locations. Specifically, this procedure must be used to ensure the safe handling, removal and disposal of any and all Asbestos Containing Materials (ACM) from those areas. Immediate Action On discovering ACM on a Project site the contractor must: a) Stop all work within a 5 m radius of the ACM and evacuate all personnel from this area; b) Delimit the 5 m radius with secure fencing posts, warning tape and easily visible signs warning of the presence of asbestos; c) If the site is in an inhabited area, place a security guard at the edge of the site with instructions to keep the general public away; d) Notify the RPMU’s Safeguards Specialist and arrange an immediate site inspection. Equipment To remove asbestos from a construction site, contractors must provide the following equipment: a) Warning tape, sturdy fence posts and warning notices; b) Shovels; c) Water supply and hose, fitted with a garden-type spray attachment; d) Bucket of water and rags; e) Sacks of clear, strong polythene that can be tied to close; f) Asbestos waste containers (empty, clean, sealable metal drums, clearly labelled as containing asbestos). Personal Protective Equipment (PPE) All personnel involved in handling ACM must wear the following equipment, provided by the contractor: g) Disposable overalls fitted with a hood; h) Boots without laces; i) New, strong rubber gloves; j) A respirator is not normally required if there are only a few pieces of ACM in a small area, and if the ACM is damp; k) There must be no smoking, eating or drinking on a site containing ACM. Decontamination Procedure 1: Removing small pieces of ACM a) Identify the location of all visible ACM and spray each lightly but thoroughly with water; b) Once the ACM is damp, pick up all visible ACM with shovels and place in a clear plastic bag; c) If ACM debris is partially buried in soil, remove it from the soil using a shovel and place it in the plastic bag; d) Insert a large label inside each plastic bag stating clearly that the contents contain asbestos and are dangerous to human health and must not be handled; e) Tie the plastic bags securely and place them into labelled asbestos waste containers (clean metal drums) and seal each drum; Soil that contained ACM debris must not be used for backfill and must instead be shovelled by hand into asbestos waste containers; f) At the end of the operation, clean all shovels and any other equipment with wet rags and place the rags into plastic disposal bags inside asbestos waste containers. Decontamination Procedure 2: Removing ACM-contaminated backfill a) If soil containing ACM debris has inadvertently been used for backfill this must be sprayed lightly with water and shovelled out by hand to a depth of 300 mm and placed directly into asbestos waste containers (i.e. not stored temporarily beside the trench); b) Any ACM uncovered during the hand shovelling must be placed in a clear plastic bag; c) Once the trench has been re-excavated to 300 mm, if there is no visible ACM remaining, the trench may be refilled by excavator using imported clean topsoil. Disposal ACM should be disposed of safely at a local hazardous-waste disposal site if available, or at the city municipal dumpsite after making prior arrangement for safe storage with the site operator.  The Contractor must arrange for the disposal site operator to collect the sealed asbestos waste containers as soon as possible and store them undisturbed at the disposal site.  At the end of construction Contractors must arrange for the disposal site operator to bury all ACM containers in a separate, suitably-sized pit, covered with a layer of clay that is at least 250 mm deep. a) Personal Decontamination At the end of each day, all personnel involved in handling ACM must comply with the following decontamination procedure:  At the end of the decontamination operation, clean the boots thoroughly with damp rags;  Peel off the disposable overalls and plastic gloves so that they are inside-out and place them in a plastic sack with the rags used to clean the boots;  If a disposable respirator has been used, place that in the plastic sack, seal the sack and place it in an asbestos waste container;  All personnel should wash thoroughly before leaving the site, and the washing area must be cleaned with damp rags afterwards, which are placed in plastic sacks as above. b) Clearance and Checking-Off  The decontamination exercise must be supervised by site supervisors (engineering or environmental).  After successful completion of the decontamination and disposal, the Contractor should visually inspect the area and sign-off the operation if the site has been cleaned satisfactorily.  The contractor should send a copy of the completion notice to the RPMU, with photographs of the operation in progress and the site on completion. TRAINING RPMU’s Environmental Specialist may hire the specialized companies to conduct training on ACCMP implementation for Contractors staff and RPMU and PMU. The training will include a session focusing on ACM, which covered: a. Risks of contact with ACM; b. Responsibilities for dealing with ACM on project’s construction sites; c. The Project’s ACMMP and the Protocol for site clean-up; d. Awareness-raising for the contractors’ workforce. COST ESTIMATE Costs incurred by contractors in implementing the ACMMP are included in their budget in ESMP budget. Annex 9. Health, Safety and Wellbeing Inspection Checklists Project name: Project no: Project location: Inspection team: Inspection date: Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) 1.0 Plant and Equipment Plant in sound condition? Daily pre-start checks completed? Safety items/faults recorded in pre-start checklist? Lights, signals, beepers working? Fire extinguishers fitted/charged? Seat belts installed/worn? Speed limits posted/observed? Driver/operator ticketed/licenced? Warning signs/stickers in place? PPE worn for type of plant? Worker and Other separation acceptable? High visibility clothing worn? Spotters being used during plant operations? Safe operations being observed by all? 2.0 Cranage and Rigging Operator, dog man, rigger, Trained/certified? Log book/maintenance records? Daily pre-start checks completed? Any oil or diesel leaks? Load charts/certificates available? All Rigging gear tagged/colour code? Rigging gear/slings good condition? Rigging gear/slings stored correctly? Fire extinguishers fitted/charged? 2 tag lines available? Hooks, clasps, shackles good working order and condition? Outriggers used, stabilized pads and correct set-up? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) PPE available and worn? 3.0 Motor Vehicles Daily pre-start checks completed? 4wd roll-over bar fitted? Brakes, warning lights operating? Glass in clean condition? Fire extinguishers/fitted/charged? Seat belts installed/worn? Reverse beeper operating? Qualified operators for on-site plant and equipment appointed? Operators are provided with refresher training? First aid kitted fitted/supplied and stocked? 4.0 Power Tools Tools, cords in good condition? Correct tools used for the job? Guards on tools in place? Tools/leads/cords tagged/correct colour and recorded? RCDs fitted, including portable generators? RCDs tested and results recorded? Terminal boxes with covers? Switch boards locked, access, phone number for access? Electrical leads protected from damage? PPE available and worn? Specialized PPE for special work (face/eyes/gloves) provided and worn? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Earth stake in place on generators (unless earth bonding on generator)? 5.0 Compressed Air Compressor fitted with silenced unit? Fire Extinguisher available? All valves operational and correct? Inspection – Tags on machine/tools with details recorded? Whip checks/chains on hoses fitted? Drip tray provided under diesel engine fill point? Specific PPE for Workers using air tools (AVG/Hearing Protection/etc.)? Manifolds tested and identified effective? Exhaust fumes from compressor away from working area/location? 6.0 Flammable Gases and Liquids Containers/drums clearly marked with contents? Safety Data Sheets is available /current? Correct separation of cylinders? Storage area well ventilated? Cylinders stored out of sun/heat? Gas cylinders vertical, secured/chained? Fire extinguishers available /charged? No smoking and hazard signs in place and visible? Cylinder caps in available and use? Bunds/drip trays available and in place? All inspection/colour coded tags used and legible? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Empty/Full cylinders segregated, stored and secured? 7.0 Welding and Cutting Hot work permit in place/used? All hoses fitted with 2 Flash Back arrestors (Cylinder/Torch end)? Electrical leads protected? Screen in place when welding is being carried out? Gas bottles on trolley and restrained? Fire extinguisher in place at work point? All equipment inspected/tags current? Cylinder caps in use and secured in place? Specific PPE available and being used? Fireproof blankets available and in place? Signage in positioned and placed to notify workers and others? Drip trays under stationary diesel- powered machines? Flammable material separated as required by the permit? 8.0 Materials Handling, Storage Material stored, secured and/or stacked safely? Traffic control in storage and access area? Manual lifting operations safe and correct for material handling? Mechanical aids for lifting available and used? Materials weather protected (Sun, Rain, Storm etc.)? Signage is in place to notify workers and others? No temporary or permanent water holding areas to favour mosquito breeding? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Spotters available to manage traffic and worker movement and control? Adequate space for vehicles to manoeuvre around/through compound? 9.0 Hazardous Substances Safety Data Sheets available at location? Hazardous/Chemical (HazChem) storage with good ventilation? Eye wash, showers, and hand wash facility? Hazardous liquids in suitable bund facility? No smoking signs displayed? Correct PPE available and being worn? Signage for HazChem displayed and visible? Correct spill kits available and stocked? HazChem containers appropriately labelled? HazChem certified handlers appointed? HazChem test certification required and certificates displayed/available? 10.0 Work at Height Fall protection (barricades, railings) in place to prevent falls? Access to working at height is adequate and safe? Exclusion zones are in place and effective for the area? Ladders used are inspected/tagged? Are ladders used for access only? Are ladders secure (top & bottom) to prevent movement - 1m over, 1m < / 4m>?? Are industrial ladders used for the work being undertaken? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Are harness available and required/worn and used correctly? Is the work permit required, completed in full and sign-off obtained by all involved? Are all penetrations covered/cover secured – wording ‘hole below’? Are ladders stored/maintained/protected correctly? 11.0 Scaffold Are Scaftags/Registers in place (signed off) and current as required for inspection requirements? Is scaffolding erected where needed for the work activities? Is the scaffolding erected by Competent/Certified persons? Are access to platforms in place, hand, mid-rails, toe boards in place secure and safe? Floor openings coverings – As above in 10.0 Working at height? Safety harness available, worn and used during erection of scaffolding? Foundations support for type of scaffolding adequate for loading, sound and secure? Warning signage in place, visible to all workers and others? Is the Scaffolding adequate for the job/activities being carried out? The scaffolding complies with design drawings (Temporary Works)? What type of Scaffolding is provided – basic, special, suspended, hanging? 12.0 Excavations and Trenching Daily checks completed by competent person and recorded? Checks for underground services performed prior to excavation? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Underground services located prior to excavation (hand digging, HydroVac)? Are sufficient and adequate barricaded in place to prevent falls into excavations? Are ladders used/secured for a safe means of access and egress in/out of excavation? Is the excavation >1.5 metres deep shored, battered benched? Is the excavated material away from the cut face (1 metre)? Is the excavation/trench width adequate for working activities? Is Air quality checks being done prior/during work activities and are the readings recorded? Is the excavation/trench Benching/Battering/Shoring adequate? 13.0 Formwork/Concrete Work Are design drawings available for the temporary works and sign-off obtained? Is the temporary works erected in accordance with design drawings? Is the temporary works inspected prior to and during pour? Is the Formwork In good order and safe condition? Is the Formwork process/JSEA covers “do not drop” when being stripped? Penetrations covered and cover secured/fixed with words – ‘hole below’? All Vertical bars are covered and protected with anti-implament devices All waste concrete controlled and disposed of correctly? 14.0 Traffic Management (Pedestrian and Vehicle) Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Traffic Management Plan(s) approved by the Engineer? Traffic control and signs checked every 2 hourly for compliance with the plan? Road traffic rules/signs being obeyed by workers and others? Barriers and signage adequate for the work activities? Are proactive measures in place to prevent pedestrians and vehicles entering active working areas? Parking rules are obeyed by workers and others? Speed limits obeyed by workers and others? Dust suppression systems being operated and adequate for the whole operation? Lighting available and adequate for the tasks during dusk/night operations? Driving habits being observed comply with on-site requirements? Haul roads sign posted, marked, maintained and have adequate edge bund for usage? Traffic awareness workshops held – Schools, mosques, churches, community meetings etc.? TMP distributed to all workers, drivers, operators working on- site? Are weekly safety awareness and enhancement meetings held and attended by everyone? Traffic light system used, maintained and is manned? Maximum traffic diversions for work activities – 5 Km rural – 1 Km urban? Minimum lane width for traffic movement – single 3.5m – two- way 7.5m Roads maintained in a safe and trafficable condition at all times? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Has the contractor prepared a response plan for deteriorating road conditions/environment? Has the Contractor prepared a detailed completion report? 15.0 Housekeeping Specific waste bins available and in place/used emptied/lids? Waste bins to segregated items used on-site (Wood, Steel Recycle)? All work areas are tidy and with safe access to all locations? On-site sewage/septic tanks are controlled and not allowed to overflowing? Walkways and passages demarcated/tidy/safe and maintained? Shelter from sun/rain provided and maintained? Signage legible, clean, visible and appropriate? Waste containers for cigarette butts provided and used? Lighting adequate provided within facilities and to work locations? Hi Glare locations identified and workers advised/informed to avoided? Security site fencing installed around hazards/compound? Site fencing in good order and condition with appropriate signs advising Authorized Entry Only’? Office areas in a clean, tidy and hygienic condition? Storage areas clearly defined, tidy and maintained? Appropriate signs to inform visitors, workers and others fixed and visible to all? 16.0 Fire Prevention Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Adequate number of Fire extinguishers available and in place? All extinguishers have clear and ready access to uplift? All extinguishers inspection tags up to date? Appropriate signage in place to inform those in the area? Correct Firefighting procedure displayed? Emergency contact Numbers’ displayed (fire, ambulance, police)? No smoking enforcement/signs displayed? Extinguishers suitable type/size for environment? Company vehicles fitted with fire extinguishers? Emergency response plan displayed and understood by all in the area? 17.0 First Aid Facilities 1st Aid person(s) on site for the number of workers in the area? 1st Aid kit stocked, maintained and stocks are within expire date? Emergency contact numbers for first aiders is displayed around site? Signage for response is adequate and visible for all to see/read? All shifts operations are adequately covered? Emergency plan displayed and understood by all workers? A clinic provided with suitable equipment and staff to provide treatment for workers? Medical doctor appointed and a nurse with two years’ experience? 18.0 Health / Amenities Mess Rooms/Toilets clean, hygienic and tidy condition? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Mess rooms and toilets adequate for numbers and size of workforce? Female toilet provided with additional personal equipment provided? Soap and paper towels available and maintained? Wash your hands signs legible and displayed? Correct drinking water supply available? Food storage adequate for all types of environments? Quit smoking signage visible and displayed? Fitness for work signage visible and displayed? UV Protection cream available, used and maintained? Hazard/Incident reporting system in place? Vehicle available for treatment and transport of injured worker/visit to medical center? The breeding sites (stagnant water ponds) for mosquitoes are eliminated? Is a medical clinic, with all necessary medication provided? Has any outbreak of illness of an epidemic nature occurred? Is a plan in place to manage an outbreak of illness? 19.0 Asbestos Removal JSEA prepared to cover the removal of asbestos and engagement of workers prior to it being issued? Is the correct PPE available and being used? Is the asbestos material being contained correctly? Are the correct disposal methods being used and the appropriate dockets available and completed in full)? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Is the Asbestos Contractor an approved remover with current certification? 20.0 Lasers Is appropriate signage in place and visible to all in the area? Is the equipment being used positioned so as Not erected at eye level? Has a Laser Safety Officer been appointed on-site for (class 2 or 3A)? 21.0 Noise Has a noise assessment been conducted to identify if any excessive levels exist? Has any personnel monitoring been carried out in noisy areas? Is the correct PPE available, been issued, worn and maintained by the workers and others? Is the correct signage erected to inform workers and others as required? Is a medical assessment conducted with each worker exposed to high noise levels? 22.0 Explosive Power tools Are Operators trained and hold the correct certification? Are warning signs visible and in place to warn workers and others? Is the correct PPE available, been issued, worn and maintained by the workers using the tool and other in close proximity? Is the tool placed in a secure container? Does the tool display and has current certification? 23.0 Confined spaces Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Has the Hazard/Risks been Identified for the confined space? Has a JSEA been prepared with the engagement of the workers and, issued? Is air monitoring completed prior to entry and during work within the confined space and recorded? Is breathing apparatus available and used by workers and have they received the required training? Is a rescue plan developed and appropriate rescue equipment available? Is an entry permit prepared and complete correctly? Are all those involved trained and competent workers for the confined space work? Standby/Spotter are in place and trained to respond? All Isolation of external hazards are in place, checked and verified complete? All workers familiar with confined space requirements? 24.0 Explosives Has a Blasting Management Plan been prepared and approved by the Engineer? Site location/plan approved by the Engineer? Storage facility designed and approved for the explosives? Transportation of explosives is in compliance with legislative controls and procedures? Controls during blasting operations are in-place and effective? Blasting operations under the control of a qualified and certified Blaster? The Engineer is notified within the specified time-lines set within the contract? Note: Full compliance record Y=Yes and record positive findings – For partial compliance record N=No and record findings to correct. N/A Close-out Item Y Comments and Corrective actions if required By Initials N (date) Buildings and services are provided with adequate protection to prevent damage from flying debris? All precautions are in-place to ensure no harm to individuals during blasting operations? Police control traffic movement within 400 m of the blasting operations? All signs are in place to warn others of the blasting operations? The use of a Vibro-metre is in place during blasting? Weather condition have been assessed (Lighting Storms etc.)? 24.0 Other – Specify Activity: JSEA reviewed by all relevant workers? JSEA controls being implemented and review as required? Has the work environment changed since commencement? Does the JSEA require revision and has this been done on a regular basis? CLOSE OUT OF PREVIOUS CORRECTIVE ACTIONS Have all the hazards/risks identified and documented in the previous site safety inspection checklist dated (insert date) ___/___/______ been rectified. Yes/No If No give details: - Name: Signature: Position: Date: Reviewed by Project Manager. Name: Signature: Date: Annex 10 – COVID-19 Considerations in Construction/Civil Works Projects World Bank ESF/SAFEGUARDS Interim Note This note was issued on April 7, 2020 and includes links to the latest guidance as of this date (e.g. from WHO). Given the COVID-19 situation is rapidly evolving, when using this note it is important to check whether any updates to these external resources have been issued. 1. INTRODUCTION The COVID-19 pandemic presents Governments with unprecedented challenges. Addressing COVID-19 related issues in both existing and new operations starts with recognizing that this is not business as usual and that circumstances require a highly adaptive responsive management design to avoid, minimize and manage what may be a rapidly evolving situation. In many cases, we will ask Borrowers to use reasonable efforts in the circumstances, recognizing that what may be possible today may be different next week (both positively, because more supplies and guidance may be available, and negatively, because the spread of the virus may have accelerated). This interim note is intended to provide guidance to teams on how to support Borrowers in addressing key issues associated with COVID-19 and consolidates the advice that has already been provided over the past month. As such, it should be used in place of other guidance that has been provided to date. This note will be developed as the global situation and the Bank’s learning (and that of others) develops. This is not a time when ‘one size fits all’. More than ever, teams will need to work with Borrowers and projects to understand the activities being carried out and the risks that these activities may entail. Support will be needed in designing mitigation measures that are implementable in the context of the project. These measures will need to take into account capacity of the Government agencies, availability of supplies and the practical challenges of operations on-the-ground, including stakeholder engagement, supervision and monitoring. In many circumstances, communication itself may be challenging, where face-to-face meetings are restricted or prohibited, and where IT solutions are limited or unreliable. This note emphasizes the importance of careful scenario planning, clear procedures and protocols, management systems, effective communication and coordination, and the need for high levels of responsiveness in a changing environment. It recommends assessing the current situation of the project, putting in place mitigation measures to avoid or minimize the chance of infection, and planning what to do if either project workers become infected or the work force includes workers from proximate communities affected by COVID-19. In many projects, measures to avoid or minimize will need to be implemented at the same time as dealing with sick workers and relations with the community, some of whom may also be ill or concerned about infection. Borrowers should understand the obligations that contractors have under their existing contracts (see Section 3), require contractors to put in place appropriate organizational structures (see Section 4) and develop procedures to address different aspects of COVID-19 (see Section 5). 2. CHALLENGES WITH CONSTRUCTION/CIVIL WORKS Projects involving construction/civil works frequently involve a large work force, together with suppliers and supporting functions and services. The work force may comprise workers from international, national, regional, and local labor markets. They may need to live in on-site accommodation, lodge within communities close to work sites or return to their homes after work. There may be different contractors permanently present on site, carrying out different activities, each with their own dedicated workers. Supply chains may involve international, regional and national suppliers facilitating the regular flow of goods and services to the project (including supplies essential to the project such as fuel, food, and water). As such there will also be regular flow of parties entering and exiting the site; support services, such as catering, cleaning services, equipment, material and supply deliveries, and specialist sub-contractors, brought in to deliver specific elements of the works. Given the complexity and the concentrated number of workers, the potential for the spread of infectious disease in projects involving construction is extremely serious, as are the implications of such a spread. Projects may experience large numbers of the work force becoming ill, which will strain the project’s health facilities, have implications for local emergency and health services and may jeopardize the progress of the construction work and the schedule of the project. Such impacts will be exacerbated where a work force is large and/or the project is in remote or under-serviced areas. In such circumstances, relationships with the community can be strained or difficult and conflict can arise, particularly if people feel they are being exposed to disease by the project or are having to compete for scarce resources. The project must also exercise appropriate precautions against introducing the infection to local communities. 3. DOES THE CONSTRUCTION CONTRACT COVER THIS SITUATION? Given the unprecedented nature of the COVID-19 pandemic, it is unlikely that the existing construction/civil works contracts will cover all the things that a prudent contractor will need to do. Nevertheless, the first place for a Borrower to start is with the contract, determining what a contractor’s existing obligations are, and how these relate to the current situation. The obligations on health and safety will depend on what kind of contract exists (between the Borrower and the main contractor; between the main contractors and the sub-contractors). It will differ if the Borrower used the World Bank’s standard procurement documents (SPDs) or used national bidding documents. If a FIDIC document has been used, there will be general provisions relating to health and safety. For example, the standard FIDIC, Conditions of Contract for Construction (Second Edition 2017), which contains no ‘ESF enhancements’, states (in the General Conditions, clause 6.7) that the Contractor will be required: • to take all necessary precautions to maintain the health and safety of the Contractor’s Personnel • to appoint a health and safety officer at site, who will have the authority to issue directives for the purpose of maintaining the health and safety of all personnel authorized to enter and or work on the site and to take protective measures to prevent accidents • to ensure, in collaboration with local health authorities, that medical staff, first aid facilities, sick bay, ambulance services and any other medical services specified are available at all times at the site and at any accommodation • to ensure suitable arrangements are made for all necessary welfare and hygiene requirements and for the prevention of epidemics These requirements have been enhanced through the introduction of the ESF into the SPDs (edition dated July 2019). The general FIDIC clause referred to above has been strengthened to reflect the requirements of the ESF. Beyond FIDIC’s general requirements discussed above, the Bank’s Particular Conditions include a number of relevant requirements on the Contractor, including: • to provide health and safety training for Contractor’s Personnel (which include project workers and all personnel that the Contractor uses on site, including staff and other employees of the Contractor and Subcontractors and any other personnel assisting the Contractor in carrying out project activities) • to put in place workplace processes for Contractor’s Personnel to report wo rk situations that are not safe or healthy • gives Contractor’s Personnel the right to report work situations which they believe are not safe or healthy, and to remove themselves from a work situation which they have a reasonable justification to believe presents an imminent and serious danger to their life or health (with no reprisal for reporting or removing themselves) • requires measures to be in place to avoid or minimize the spread of diseases including measures to avoid or minimize the transmission of communicable diseases that may be associated with the influx of temporary or permanent contract-related labor • to provide an easily accessible grievance mechanism to raise workplace concerns Where the contract form used is FIDIC, the Borrower (as the Employer) will be represented by the Engineer (also referred to in this note as the Supervising Engineer). The Engineer will be authorized to exercise authority specified in or necessarily implied from the construction contract. In such cases, the Engineer (through its staff on site) will be the interface between the PMU and the Contractor. It is important therefore to understand the scope of the Engineer’s responsibilities. It is also important to recognize that in the case of infectious diseases such as COVID-19, project management – through the Contractor/subcontractor hierarchy – is only as effective as the weakest link. A thorough review of management procedures/plans as they will be implemented through the entire contractor hierarchy is important. Existing contracts provide the outline of this structure; they form the basis for the Borrower to understand how proposed mitigation measures will be designed and how adaptive management will be implemented, and to start a conversation with the Contractor on measures to address COVID-19 in the project. 4. WHAT PLANNING SHOULD THE BORROWER BE DOING? Task teams should work with Borrowers (PMUs) to confirm that projects (i) are taking adequate precautions to prevent or minimize an outbreak of COVID-19, and (ii) have identified what to do in the event of an outbreak. Suggestions on how to do this are set out below: • The PMU, either directly or through the Supervising Engineer, should request details in writing from the main Contractor of the measures being taken to address the risks. As stated in Section 3, the construction contract should include health and safety requirements, and these can be used as the basis for identification of, and requirements to implement, COVID-19 specific measures. The measures may be presented as a contingency plan, as an extension of the existing project emergency and preparedness plan or as standalone procedures. The measures may be reflected in revisions to the project’s health and safety manual. This request should be made in writing (following any relevant procedure set out in the contract between the Borrower and the contractor). • In making the request, it may be helpful for the PMU to specify the areas that should be covered. This should include the items set out in Section 5 below and take into account current and relevant guidance provided by national authorities, WHO and other organizations. See the list of references in the Annex to this note. • The PMU should require the Contractor to convene regular meetings with the project health and safety specialists and medical staff (and where appropriate the local health authorities), and to take their advice in designing and implementing the agreed measures. • Where possible, a senior person should be identified as a focal point to deal with COVID-19 issues. This can be a work supervisor or a health and safety specialist. This person can be responsible for coordinating preparation of the site and making sure that the measures taken are communicated to the workers, those entering the site and the local community. It is also advisable to designate at least one back-up person; in case the focal point becomes ill; that person should be aware of the arrangements that are in place. • On sites where there are a number of contractors and therefore (in effect) different work forces, the request should emphasize the importance of coordination and communication between the different parties. Where necessary, the PMU should request the main contractor to put in place a protocol for regular meetings of the different contractors, requiring each to appoint a designated staff member (with back up) to attend such meetings. If meetings cannot be held in person, they should be conducted using whatever IT is available. The effectiveness of mitigation measures will depend on the weakest implementation, and therefore it is important that all contractors and sub-contractors understand the risks and the procedure to be followed. • The PMU, either directly or through the Supervising Engineer, may provide support to projects in identifying appropriate mitigation measures, particularly where these will involve interface with local services, in particular health and emergency services. In many cases, the PMU can play a valuable role in connecting project representatives with local Government agencies, and helping coordinate a strategic response, which takes into account the availability of resources. To be most effective, projects should consult and coordinate with relevant Government agencies and other projects in the vicinity. • Workers should be encouraged to use the existing project grievance mechanism to report concerns relating to COVID-19, preparations being made by the project to address COVID-19 related issues, how procedures are being implemented, and concerns about the health of their co-workers and other staff. 5. WHAT SHOULD THE CONTRACTOR COVER? The Contractor should identify measures to address the COVID-19 situation. What will be possible will depend on the context of the project: the location, existing project resources, availability of supplies, capacity of local emergency/health services, the extent to which the virus already exist in the area. A systematic approach to planning, recognizing the challenges associated with rapidly changing circumstances, will help the project put in place the best measures possible to address the situation. As discussed above, measures to address COVID-19 may be presented in different ways (as a contingency plan, as an extension of the existing project emergency and preparedness plan or as standalone procedures). PMUs and contractors should refer to guidance issued by relevant authorities, both national and international (e.g. WHO), which is regularly updated (see sample References and links provided in the Annex 10). Addressing COVID-19 at a project site goes beyond occupational health and safety, and is a broader project issue which will require the involvement of different members of a project management team. In many cases, the most effective approach will be to establish procedures to address the issues, and then to ensure that these procedures are implemented systematically. Where appropriate given the project context, a designated team should be established to address COVID-19 issues, including PMU representatives, the Supervising Engineer, management (e.g. the project manager) of the contractor and sub-contractors, security, and medical and OHS professionals. Procedures should be clear and straightforward, improved as necessary, and supervised and monitored by the COVID-19 focal point(s). Procedures should be documented, distributed to all contractors, and discussed at regular meetings to facilitate adaptive management. The issues set out below include a number that represent expected good workplace management but are especially pertinent in preparing the project response to COVID-19. (a) ASSESSING WORKFORCE CHARACTERISTICS Many construction sites will have a mix of workers e.g. workers from the local communities; workers from a different part of the country; workers from another country. Workers will be employed under different terms and conditions and be accommodated in different ways. Assessing these different aspects of the workforce will help in identifying appropriate mitigation measures: • The Contractor should prepare a detailed profile of the project work force, key work activities, schedule for carrying out such activities, different durations of contract and rotations (e.g. 4 weeks on, 4 weeks off). • This should include a breakdown of workers who reside at home (i.e. workers from the community), workers who lodge within the local community and workers in on-site accommodation. Where possible, it should also identify workers that may be more at risk from COVID-19, those with underlying health issues or who may be otherwise at risk. • Consideration should be given to ways in which to minimize movement in and out of site. This could include lengthening the term of existing contracts, to avoid workers returning home to affected areas, or returning to site from affected areas. • Workers accommodated on site should be required to minimize contact with people near the site, and in certain cases be prohibited from leaving the site for the duration of their contract, so that contact with local communities is avoided. • Consideration should be given to requiring workers lodging in the local community to move to site accommodation (subject to availability) where they would be subject to the same restrictions. • Workers from local communities, who return home daily, weekly or monthly, will be more difficult to manage. They should be subject to health checks at entry to the site (as set out above) and at some point, circumstances may make it necessary to require them to either use accommodation on site or not to come to work. (b) ENTRY/EXIT TO THE WORK SITE AND CHECKS ON COMMENCEMENT OF WORK Entry/exit to the work site should be controlled and documented for both workers and other parties, including support staff and suppliers. Possible measures may include: Establishing a system for controlling entry/exit to the site, securing the boundaries of the site, and establishing designating entry/exit points (if they do not already exist). Entry/exit to the site should be documented. • Training security staff on the (enhanced) system that has been put in place for securing the site and controlling entry and exit, the behaviors required of them in enforcing such system and any COVID 19 specific considerations. • Training staff who will be monitoring entry to the site, providing them with the resources they need to document entry of workers, conducting temperature checks and recording details of any worker that is denied entry. • Confirming that workers are fit for work before they enter the site or start work. While procedures should already be in place for this, special attention should be paid to workers with underlying health issues or who may be otherwise at risk. Consideration should be given to demobilization of staff with underlying health issues. • Checking and recording temperatures of workers and other people entering the site or requiring self- reporting prior to or on entering the site. • Providing daily briefings to workers prior to commencing work, focusing on COVID-19 specific considerations including cough etiquette, hand hygiene and distancing measures, using demonstrations and participatory methods. • During the daily briefings, reminding workers to self-monitor for possible symptoms (fever, cough) and to report to their supervisor or the COVID-19 focal point if they have symptoms or are feeling unwell. • Preventing a worker from an affected area or who has been in contact with an infected person from returning to the site for 14 days or (if that is not possible) isolating such worker for 14 days. • Preventing a sick worker from entering the site, referring them to local health facilities if necessary or requiring them to isolate at home for 14 days. (c) GENERAL HYGIENE Requirements on general hygiene should be communicated and monitored, to include: • Training workers and staff on site on the signs and symptoms of COVID-19, how it is spread, how to protect themselves (including regular handwashing and social distancing) and what to do if they or other people have symptoms (for further information see WHO COVID-19 advice for the public). • Placing posters and signs around the site, with images and text in local languages. • Ensuring handwashing facilities supplied with soap, disposable paper towels and closed waste bins exist at key places throughout site, including at entrances/exits to work areas; where there is a toilet, canteen or food distribution, or provision of drinking water; in worker accommodation; at waste stations; at stores; and in common spaces. Where handwashing facilities do not exist or are not adequate, arrangements should be made to set them up. Alcohol based sanitizer (if available, 60-95% alcohol) can also be used. • Review worker accommodations, and assess them in light of the requirements set out in IFC/EBRD guidance on Workers’ Accommodation: processes and standards, which provides valuable guidance as to good practice for accommodation. • Setting aside part of worker accommodation for precautionary self-quarantine as well as more formal isolation of staff who may be infected (see paragraph (f)). (d) CLEANING AND WASTE DISPOSAL Conduct regular and thorough cleaning of all site facilities, including offices, accommodation, canteens, common spaces. Review cleaning protocols for key construction equipment (particularly if it is being operated by different workers). This should include: • Providing cleaning staff with adequate cleaning equipment, materials and disinfectant. • Review general cleaning systems, training cleaning staff on appropriate cleaning procedures and appropriate frequency in high use or high-risk areas. • Where it is anticipated that cleaners will be required to clean areas that have been or are suspected to have been contaminated with COVID-19, providing them with appropriate PPE: gowns or aprons, gloves, eye protection (masks, goggles or face screens) and boots or closed work shoes. If appropriate PPE is not available, cleaners should be provided with best available alternatives. • Training cleaners in proper hygiene (including handwashing) prior to, during and after conducting cleaning activities; how to safely use PPE (where required); in waste control (including for used PPE and cleaning materials). • Any medical waste produced during the care of ill workers should be collected safely in designated containers or bags and treated and disposed of following relevant requirements (e.g., national, WHO). If open burning and incineration of medical wastes is necessary, this should be for as limited a duration as possible. Waste should be reduced and segregated, so that only the smallest amount of waste is incinerated (for further information see WHO interim guidance on water, sanitation and waste management for COVID-19). (e) ADJUSTING WORK PRACTICES Consider changes to work processes and timings to reduce or minimize contact between workers, recognizing that this is likely to impact the project schedule. Such measures could include: • Decreasing the size of work teams. • Limiting the number of workers on site at any one time. • Changing to a 24-hour work rotation. • Adapting or redesigning work processes for specific work activities and tasks to enable social distancing, and training workers on these processes. • Continuing with the usual safety trainings, adding COVID-19 specific considerations. Training should include proper use of normal PPE. While as of the date of this note, general advice is that construction workers do not require COVID-19 specific PPE, this should be kept under review (for further information see WHO interim guidance on rational use of personal protective equipment (PPE) for COVID-19). • Reviewing work methods to reduce use of construction PPE, in case supplies become scarce or the PPE is needed for medical workers or cleaners. This could include, e.g. trying to reduce the need for dust masks by checking that water sprinkling systems are in good working order and are maintained or reducing the speed limit for haul trucks. • Arranging (where possible) for work breaks to be taken in outdoor areas within the site. • Consider changing canteen layouts and phasing mealtimes to allow for social distancing and phasing access to and/or temporarily restricting access to leisure facilities that may exist on site, including gyms. At some point, it may be necessary to review the overall project schedule, to assess the extent to which it needs to be adjusted (or work stopped completely) to reflect prudent work practices, potential exposure of both workers and the community and availability of supplies, taking into account Government advice and instructions. (f) PROJECT MEDICAL SERVICES Consider whether existing project medical services are adequate, taking into account existing infrastructure (size of clinic/medical post, number of beds, isolation facilities), medical staff, equipment and supplies, procedures and training. Where these are not adequate, consider upgrading services where possible, including: • Expanding medical infrastructure and preparing areas where patients can be isolated. Guidance on setting up isolation facilities is set out in WHO interim guidance on considerations for quarantine of individuals in the context of containment for COVID-19). Isolation facilities should be located away from worker accommodation and ongoing work activities. Where possible, workers should be provided with a single well-ventilated room (open windows and door). Where this is not possible, isolation facilities should allow at least 1 meter between workers in the same room, separating workers with curtains, if possible. Sick workers should limit their movements, avoiding common areas and facilities and not be allowed visitors until they have been clear of symptoms for 14 days. If they need to use common areas and facilities (e.g. kitchens or canteens), they should only do so when unaffected workers are not present and the area/facilities should be cleaned prior to and after such use. • Training medical staff, which should include current WHO advice on COVID-19 and recommendations on the specifics of COVID-19. Where COVID-19 infection is suspected, medical providers on site should follow WHO interim guidance on infection prevention and control during health care when novel coronavirus (nCoV) infection is suspected. • Training medical staff in testing, if testing is available. • Assessing the current stock of equipment, supplies and medicines on site, and obtaining additional stock, where required and possible. This could include medical PPE, such as gowns, aprons, medical masks, gloves, and eye protection. Refer to WHO guidance as to what is advised (for further information see WHO interim guidance on rational use of personal protective equipment (PPE) for COVID-19). • If PPE items are unavailable due to world-wide shortages, medical staff on the project should agree on alternatives and try to procure them. Alternatives that may commonly be found on constructions sites include dust masks, construction gloves and eye goggles. While these items are not recommended, they should be used as a last resort if no medical PPE is available. • Ventilators will not normally be available on work sites, and in any event, intubation should only be conducted by experienced medical staff. If a worker is extremely ill and unable to breathe properly on his or her own, they should be referred immediately to the local hospital (see (g) below). • Review existing methods for dealing with medical waste, including systems for storage and disposal (for further information see WHO interim guidance on water, sanitation and waste management for COVID-19, and WHO guidance on safe management of wastes from health-care activities). (g) LOCAL MEDICAL AND OTHER SERVICES Given the limited scope of project medical services, the project may need to refer sick workers to local medical services. Preparation for this includes: • Obtaining information as to the resources and capacity of local medical services (e.g. number of beds, availability of trained staff and essential supplies). • Conducting preliminary discussions with specific medical facilities, to agree what should be done in the event of ill workers needing to be referred. • Considering ways in which the project may be able to support local medical services in preparing for members of the community becoming ill, recognizing that the elderly or those with pre-existing medical conditions require additional support to access appropriate treatment if they become ill. • Clarifying the way in which an ill worker will be transported to the medical facility, and checking availability of such transportation. • Establishing an agreed protocol for communications with local emergency/medical services. • Agreeing with the local medical services/specific medical facilities the scope of services to be provided, the procedure for in-take of patients and (where relevant) any costs or payments that may be involved. • A procedure should also be prepared so that project management knows what to do in the unfortunate event that a worker ill with COVID-19 dies. While normal project procedures will continue to apply, COVID-19 may raise other issues because of the infectious nature of the disease. The project should liaise with the relevant local authorities to coordinate what should be done, including any reporting or other requirements under national law. (h) INSTANCES OR SPREAD OF THE VIRUS WHO provides detailed advice on what should be done to treat a person who becomes sick or displays symptoms that could be associated with the COVID-19 virus (for further information see WHO interim guidance on infection prevention and control during health care when novel coronavirus (nCoV) infection is suspected). The project should set out risk-based procedures to be followed, with differentiated approaches based on case severity (mild, moderate, severe, critical) and risk factors (such as age, hypertension, diabetes) (for further information see WHO interim guidance on operational considerations for case management of COVID-19 in health facility and community). These may include the following: • If a worker has symptoms of COVID-19 (e.g. fever, dry cough, fatigue) the worker should be removed immediately from work activities and isolated on site. • If testing is available on site, the worker should be tested on site. If a test is not available at site, the worker should be transported to the local health facilities to be tested (if testing is available). • If the test is positive for COVID-19 or no testing is available, the worker should continue to be isolated. This will either be at the work site or at home. If at home, the worker should be transported to their home in transportation provided by the project. • Extensive cleaning procedures with high-alcohol content disinfectant should be undertaken in the area where the worker was present, prior to any further work being undertaken in that area. Tools used by the worker should be cleaned using disinfectant and PPE disposed of. • Co-workers (i.e. workers with whom the sick worker was in close contact) should be required to stop work, and be required to quarantine themselves for 14 days, even if they have no symptoms. Family and other close contacts of the worker should be required to quarantine themselves for 14 days, even if they have no symptoms. • If a case of COVID-19 is confirmed in a worker on the site, visitors should be restricted from entering the site and worker groups should be isolated from each other as much as possible. • If workers live at home and has a family member who has a confirmed or suspected case of COVID19, the worker should quarantine themselves and not be allowed on the project site for 14 days, even if they have no symptoms. • Workers should continue to be paid throughout periods of illness, isolation or quarantine, or if they are required to stop work, in accordance with national law. • Medical care (whether on site or in a local hospital or clinic) required by a worker should be paid for by the employer. (i) CONTINUITY OF SUPPLIES AND PROJECT ACTIVITIES Where COVID-19 occurs, either in the project site or the community, access to the project site may be restricted, and movement of supplies may be affected. • Identify back-up individuals, in case key people within the project management team (PMU, Supervising Engineer, Contractor, sub-contractors) become ill, and communicate who these are so that people are aware of the arrangements that have been put in place. • Document procedures, so that people know what they are, and are not reliant on one person’s knowledge. • Understand the supply chain for necessary supplies of energy, water, food, medical supplies and cleaning equipment, consider how it could be impacted, and what alternatives are available. Early pro- active review of international, regional and national supply chains, especially for those supplies that are critical for the project, is important (e.g. fuel, food, medical, cleaning and other essential supplies). Planning for a 1-2 month interruption of critical goods may be appropriate for projects in more remote areas. • Place orders for/procure critical supplies. If not available, consider alternatives (where feasible). • Consider existing security arrangements, and whether these will be adequate in the event of interruption to normal project operations. • Consider at what point it may become necessary for the project to significantly reduce activities or to stop work completely, and what should be done to prepare for this, and to re-start work when it becomes possible or feasible. (j) TRAINING AND COMMUNICATION WITH WORKERS Workers need to be provided with regular opportunities to understand their situation, and how they can best protect themselves, their families and the community. They should be made aware of the procedures that have been put in place by the project, and their own responsibilities in implementing them. • It is important to be aware that in communities close to the site and amongst workers without access to project management, social media is likely to be a major source of information. This raises the importance of regular information and engagement with workers (e.g. through training, town halls, toolboxes) that emphasizes what management is doing to deal with the risks of COVID-19. Allaying fear is an important aspect of work force peace of mind and business continuity. Workers should be given an opportunity to ask questions, express their concerns, and make suggestions. • Training of workers should be conducted regularly, as discussed in the sections above, providing workers with a clear understanding of how they are expected to behave and carry out their work duties. • Training should address issues of discrimination or prejudice if a worker becomes ill and provide an understanding of the trajectory of the virus, where workers return to work. • Training should cover all issues that would normally be required on the work site, including use of safety procedures, use of construction PPE, occupational health and safety issues, and code of conduct, taking into account that work practices may have been adjusted. • Communications should be clear, based on fact and designed to be easily understood by workers, for example by displaying posters on handwashing and social distancing, and what to do if a worker displays symptoms. (k) COMMUNICATION AND CONTACT WITH THE COMMUNITY Relations with the community should be carefully managed, with a focus on measures that are being implemented to safeguard both workers and the community. The community may be concerned about the presence of non-local workers, or the risks posed to the community by local workers presence on the project site. The project should set out risk-based procedures to be followed , which may reflect WHO guidance (for further information see WHO Risk Communication and Community Engagement (RCCE) Action Plan Guidance COVID-19 Preparedness and Response). The following good practice should be considered: • Communications should be clear, regular, based on fact and designed to be easily understood by community members. • Communications should utilize available means. In most cases, face-to-face meetings with the community or community representatives will not be possible. Other forms of communication should be used; posters, pamphlets, radio, text message, electronic meetings. The means used should take into account the ability of different members of the community to access them, to make sure that communication reaches these groups. • The community should be made aware of procedures put in place at site to address issues related to COVID-19. This should include all measures being implemented to limit or prohibit contact between workers and the community. These need to be communicated clearly, as some measures will have financial implications for the community (e.g. if workers are paying for lodging or using local facilities). The community should be made aware of the procedure for entry/exit to the site, the training being given to workers and the procedure that will be followed by the project if a worker becomes sick. • If project representatives, contractors or workers are interacting with the community, they should practice social distancing and follow other COVID-19 guidance issued by relevant authorities, both national and international (e.g. WHO). 6. EMERGENCY POWERS AND LEGISLATION Many Borrowers are enacting emergency legislation. The scope of such legislation, and the way it interacts with other legal requirements, will vary from country to country. Such legislation can cover a range of issues, for example: • Declaring a public health emergency Authorizing the use of police or military in certain activities (e.g. enforcing curfews or restrictions on movement) • Ordering certain categories of employees to work longer hours, not to take holiday or not to leave their job (e.g. health workers) • Ordering non-essential workers to stay at home, for reduced pay or compulsory holiday Except in exceptional circumstances (after referral to the World Bank’s Operations Environmental and Social Review Committee (OESRC)), projects will need to follow emergency legislation to the extent that these are mandatory or advisable. It is important that the Borrower understands how mandatory requirements of the legislation will impact the project. Teams should require Borrowers (and in turn, Borrowers should request Contractors) to consider how the emergency legislation will impact the obligations of the Borrower set out in the legal agreement and the obligations set out in the construction contracts. Where the legislation requires a material departure from existing contractual obligations, this should be documented, setting out the relevant provisions. Resource List: COVID-19 Guidance Given the COVID-19 situation is rapidly evolving, a version of this resource list will be regularly updated and made available on the World Bank COVID-19 operations intranet page (http://covidoperations/). WHO Guidance Advice for the public  WHO advice for the public, including on social distancing, respiratory hygiene, self-quarantine, and seeking medical advice, can be consulted on this WHO website: https://www.who.int/emergencies/diseases/novel-coronavirus-2019/advice-for-public Technical guidance  Infection prevention and control during health care when novel coronavirus (nCoV) infection is suspected, issued on March 19, 2020  Recommendations to Member States to Improve Hygiene Practices, issued on April 1, 2020  Severe Acute Respiratory Infections Treatment Center, issued on March 28, 2020  Infection prevention and control at health care facilities (with a focus on settings with limited resources), issued in 2018  Laboratory biosafety guidance related to coronavirus disease 2019 (COVID-19), issued on March 18, 2020  Laboratory Biosafety Manual, 3rd edition, issued in 2014  Laboratory testing for COVID-19, including specimen collection and shipment, issued on March 19, 2020  Prioritized Laboratory Testing Strategy According to 4Cs Transmission Scenarios, issued on March 21, 2020  Infection Prevention and Control for the safe management of a dead body in the context of COVID-19, issued on March 24, 2020  Key considerations for repatriation and quarantine of travelers in relation to the outbreak COVID-19, issued on February 11, 2020  Preparedness, prevention and control of COVID-19 for refugees and migrants in non-camp settings, issued on April 17, 2020  Coronavirus disease (COVID-19) outbreak: rights, roles and responsibilities of health workers, including key considerations for occupational safety and health, issued on March 18, 2020  Oxygen sources and distribution for COVID-19 treatment centers, issued on April 4, 2020  Risk Communication and Community Engagement (RCCE) Action Plan Guidance COVID-19 Preparedness and Response, issued on March 16, 2020  Considerations for quarantine of individuals in the context of containment for coronavirus disease (COVID-19), issued on March 19, 2020  Operational considerations for case management of COVID-19 in health facility and community, issued on March 19, 2020  Rational use of personal protective equipment for coronavirus disease 2019 (COVID-19), issued on February 27, 2020  Getting your workplace ready for COVID-19, issued on March 19, 2020  Water, sanitation, hygiene and waste management for COVID-19, issued on March 19, 2020  Safe management of wastes from health-care activities, issued in 2014  Advice on the use of masks in the community, during home care and in healthcare settings in the context of the novel coronavirus (COVID-19) outbreak, issued on March 19, 2020  Disability Considerations during the COVID-19 outbreak, issued on March 26, 2020 WORLD BANK GROUP GUIDANCE  Technical Note: Public Consultations and Stakeholder Engagement in WB-supported operations when there are constraints on conducting public meetings, issued on March 20, 2020  Technical Note: Use of Military Forces to Assist in COVID-19 Operations, issued on March 25, 2020  ESF/Safeguards Interim Note: COVID-19 Considerations in Construction/Civil Works Projects, issued on April 7, 2020  Technical Note on SEA/H for HNP COVID Response Operations, issued in March 2020  Interim Advice for IFC Clients on Preventing and Managing Health Risks of COVID-19 in the Workplace, issued on April 6, 2020  Interim Advice for IFC Clients on Supporting Workers in the Context of COVID-19, issued on April 6, 2020  IFC Tip Sheet for Company Leadership on Crisis Response: Facing the COVID-19 Pandemic, issued on April 6, 2020  WBG EHS Guidelines for Healthcare Facilities, issued on April 30, 2007 ILO GUIDANCE  ILO Standards and COVID-19 FAQ, issued on March 23, 2020 (provides a compilation of answers to most frequently asked questions related to international labor standards and COVID-19) MFI GUIDANCE  ADB Managing Infectious Medical Waste during the COVID-19 Pandemic  IDB Invest Guidance for Infrastructure Projects on COVID-19: A Rapid Risk Profile and Decision Framework  KfW DEG COVID-19 Guidance for employers, issued on March 31, 2020  CDC Group COVID-19 Guidance for Employers, issued on March 23, 2020