REPUBLIC OF TAJIKISTAN SOCIO-ECONOMIC RESILIENCE STRENGTHENING PROJECT ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) April 15, 2019 Table of Contents List of Abbreviations & Acronyms ...................................................................................................5 Executive Summary ............................................................................................................................7 1. Introduction ..................................................................................................................................11 1.1 Purpose of the ESMF ...............................................................................................................11 1.2 Rationale for the ESMF ...........................................................................................................11 1.3 Approach and Methodology for Preparation of ESMF ...........................................................12 1.4 Project Description ..................................................................................................................12 1.4.1 Sectoral and Institutional Context ....................................................................................12 1.4.3 Project Overview ..............................................................................................................15 2. Baseline Data .................................................................................................................................20 2.1. Location and Size....................................................................................................................20 2.2 Physical Environment ..............................................................................................................22 2.2.1 Climate ............................................................................................................................. 22 2.3 Topography and Drainage .......................................................................................................24 2.3.1 Hydrology ........................................................................................................................ 24 2.3.2 Soils and Geology ............................................................................................................ 24 2.4 Land Use ..................................................................................................................................27 2.5 Biological Environment-Ecosystems .......................................................................................27 2.5.1 Flora ................................................................................................................................. 27 2.5.2 Fauna ................................................................................................................................ 28 2.6 Seismic Hazards .......................................................................................................................29 2.7 Natural Protected Areas ...........................................................................................................30 2.8 Socio-Economic Background ..................................................................................................31 2.8.1 Population ........................................................................................................................ 32 2.8.2 Economic Growth & Setting ............................................................................................ 36 2.8.3 Vulnerable Groups ........................................................................................................... 39 3. Description of the Administrative, Policy and Regulatory Framework ..................................41 3.1 The Legal, Regulatory and Policy Framework ........................................................................41 3.1.1 Relevant National Laws and Regulations and International Treaties .............................. 41 3.1.2. Overview of Key National Environmental Legal Provisions ......................................... 42 3.1.3 Key National Social Legal Provisions ............................................................................. 44 3.2 Relevant Institutions ................................................................................................................45 3.2.1 Environmental Assessment Administrative/Institutional Framework ............................. 47 3.2.2 Social and Resettlement Administrative/Institutional framework ................................... 48 4. Relevant World Bank Environmental and Social Standards (ESS) ........................................50 4.1 ESS 1 - Assessment and Management of Environmental and Social Risks and Impacts .......50 4.2 ESS 2 – Labor and Working Conditions .................................................................................51 2 4.3 ESS 3 – Recourse and Efficiency, Pollution Prevention and Management.............................51 4.4 ESS 4 – Community Health and Safety ...................................................................................51 4.5 ESS 5 – Land Acquisition, Restrictions on Land Use, and Involuntary Resettlement ............51 4.6 ESS 6 – Biodiversity Conservation and Sustainable Management of Living Natural Resources ............................................................................................................................................52 4.7 ESS 7 - Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities.......................................................................................................................................52 4.8 ESS 8 – Cultural Heritage ........................................................................................................53 4.9 ESS 9 – Financial Intermediaries.............................................................................................53 4.10 ESS 10 – Stakeholder Engagement and Information Disclosure ..........................................54 5. Potential Environmental and Social Risks and Impacts ...........................................................55 5.1 Positive Impacts .......................................................................................................................55 5.2 Adverse Risks and Impacts ......................................................................................................55 5.2.1 Adverse Environmental Impacts and Risks .....................................................................56 5.2.2 Adverse Social Impacts and Risks ...................................................................................57 6. Environmental and Social Risk Management ...........................................................................61 7. ESMF Implementation Arrangements .......................................................................................66 7.1 ESMF Process Flow at the Project Level ................................................................................66 7.2 ESMF Process Flow at the Subproject Level ..........................................................................70 7.2.1 Identification of Subprojects ............................................................................................70 7.2.2 Screening of Subprojects for Environmental and Social Risks and Impacts ...................70 7.2.3 Development of Safeguard Instruments ...........................................................................73 7.2.4 ESIA/ESMP Review Process ...........................................................................................75 7.3 ESA Monitoring and Reporting ...............................................................................................76 7.3.1 Monitoring Plans ..............................................................................................................77 7.3.2 Monitoring and Reporting Responsibilities .....................................................................78 7.3.3 Community Monitoring ...................................................................................................79 7.4 Institutional Capacity for ESMF Implementation ...................................................................79 7.4.1 NSIFT ...............................................................................................................................79 7.4.2 CSOs ................................................................................................................................80 7.4.3 Local Structures ...............................................................................................................81 7.4.4 Other Relevant Government Agencies.............................................................................82 7.4.5 Other Relevant Stakeholders ............................................................................................82 7.5 Training and Technical Assistance ..........................................................................................82 7.6 ESMF Implementation Budget ................................................................................................82 8. Public Consultations and Disclosure ..........................................................................................84 8.1 ESMF Disclosure .....................................................................................................................84 8.2 Public Consultations ................................................................................................................84 8.3 Grievance Redress Mechanism ................................................................................................85 8.3.1 Objectives of the project-based GRM ..............................................................................85 8.3.2 GRM Overview and Structure .........................................................................................85 3 8.3.3 GRM Communication & Process.....................................................................................87 8.3.4 Grievance Logs ................................................................................................................88 8.3.5 Monitoring and Reporting on Grievances ........................................................................88 8.3.6 World Bank Grievance Redress System ..........................................................................89 Annex 1.Examples of Adverse Environmental and Social Risks and Impacts and Proposed Mitigation Measures under the Community Socio-Economic Infrastructure Subprojects ............ 90 Annex 2. Screening of Categories of Proposed Types of Subprojects .......................................... 94 Annex 3. Environmental Screening Checklist ............................................................................... 96 Annex 4. Social Screening Checklist ............................................................................................. 97 Annex 5. Results of Environmental and Social Screening ............................................................ 98 Annex 6. Environmental and Social Impact Assessment Report Outline ..................................... 99 Annex 7. Environmental and Social Management Plan Content and Format ............................. 100 Annex 8. Environmental and Social Management Checklist for Small Construction and Rehabilitation Activities .............................................................................................................. 104 4 List of Abbreviations & Acronyms ACM Asbestos-containing materials BP Bank Procedures (World Bank) CEP Committee for Environmental Protection CDD Community-Driven Development DEP Department on Environmental Protection DRS Districts under Republican Subordination EE Ecological Expertise EHS Environmental, Health and Safety issues ESIA Environmental & Social Impact Assessment ESA Environmental and Social Assessment ESMP Environmental and Social Management Plan ESMF Environmental and Social Management Framework ESF Environmental and Social Framework ESS Environmental and Social Standard GBAO Gorno-Badakhshan Autonomous Oblast FI Financial Institution FP Focal Point GP Good Practice (World Bank) GOT Government of Tajikistan GFP Grievance Focal Point GRM Grievance Redress Mechanism IDA International Development Association / World Bank IP Implementation Partner IR Involuntary Resettlement JPC Jamoat Project Commission LMP Labor Management Procedures M&E Monitoring and Evaluation MIS Management information system 5 MSDSP Mountain Societies Development Support Programme NGO Non-Governmental Organization NSIFT National Social Investment Fund of Tajikistan OP Operational Policies (World Bank) O&M Operations & Maintenance PAP Project Affected Person PCR Physical Cultural Resources PDO Project Development Objective PMU Project Management Unit PIU Project Implementation Unit PFI Participating Financial Institution RMR Risk Mitigation Regime RPF Resettlement Policy Framework RAP Resettlement Action Plan RSP Resilience Strengthening Program REDP Rural Energy Development Project PCBs Polychlorinated biphenyls (in power transformer oil) SA Social Assessment SEE State Ecological Expertise SERSP Socio-Economic Resilience Strengthening Project SEP Stakeholder Engagement Plan PSC Project Supervision Consultants TA Technical Assistance VPC Village Project Committee WB World Bank WUA Water User Association 6 Executive Summary 1. Project objective. The initial project development objective is to improve socio-economic inclusion of targeted vulnerable communities, and young men and women. 2. Rationale of the Proposed Project. The Socio-Economic Resilience Strengthening Project (SERSP), being a part of the Resilience Strengthening Program (RSP) included in the upcoming World Bank Country Partnership Framework for the Republic of Tajikistan for the period FY19-23. It will contribute to the Risk Mitigation Regime’s (RMR) higher-level objectives of strengthening resilience, defined as a person’s, community’s and/or country’s capacity to adjust or respond to, and recover from, difficulties, adverse impacts, and/or exogenous shocks, reducing perceptions of exclusion, and preventing fragility risks 3. Expected Beneficiaries. Component 1 will target all rural jamoats in the seven target districts. Each one of the approximately 375 villages in the target jamoats are eligible to apply for subgrant funding, either individually or jointly with other villages. Estimated three-quarters of villages with a population of approximately 449,944—50 percent of whom will be women 1 will benefit from Component 1 investments. Given that subcomponent 1a investments will finance public goods, all 599,925 individuals are likely to benefit from the subgrant-financed activities. Component 2 will target disadvantaged and inactive young men and women ranging in age from 16 to 30 who live in both rural and urban jamoats within the target districts. An estimated 10,000 youths will benefit from subcomponent 2a’s youth- inclusive services, and an estimated 5,000 youth will benefit from subcomponent 2b’s livelihood activities, for a total of about 12,000 beneficiaries. While a critical mass of youth in the target districts will be eligible to participate in the youth-inclusive services and livelihood activities, the project will not finance the refurbishment of youth centers in every jamoat that receives subcomponent 1a financing. Subcomponent 2a will finance the refurbishment of some youth facilities located in urban areas where young people tend to be concentrated. Some of these areas are not eligible for subcomponent 1a financing, but there will be some overlap of the rural jamoats receiving subcomponent 1a financing and the smaller sample of rural jamoats with youth or other types of spaces to be refurbished under subcomponent 2a. 4. Project components. The project components and activities are the following: (i) Component 1: Inclusive Local Development Initiatives. The proposed component will provide subgrants to finance local-level climate-resilient socio-economic infrastructure, including youth-led initiatives that address priorities identified through a participatory village needs assessment. Sub- component 1A: Subgrants for local development initiatives would support investments in basic infrastructure and services in villages in targeted districts based on a participatory needs assessment at the village level, the results of which are prioritized and incorporated into Jamoat-level development plan. Component 1b: Community (and youth) and local government mobilization and capacity building will support the mobilization of communities, and youth, and local capacity building in the target districts. 1 United Nations Development Program data of jamoat-level basic indicators for Republic of Tajikistan: http://untj.org/jambi- project/index.php/46-welcome/110-jambi-info. 7 (ii) Component 2: Youth Inclusion and Livelihoods. This component will offer two sets of inter- related activities for disadvantaged and inactive young men and women aged 16 to 30 years old, to increase their overall resilience to risks of exclusion, inactivity, and disaffection. It will finance youth inclusive services and the refurbishment of youth and communal spaces (Sub-Component 2A), as well as livelihoods trainings and tools and equipment for livelihood activities (Sub-Component 2B) in the seven target districts in GBAO and Khatlon. (iii) Component 3: Project Management and Capacity Building will finance the incremental costs, including contracting staff, technical assistance, and training, of the implementing agency for overall project coordination, management and supervision of implementation, procurement, financial management, including project audits, monitoring evaluation and the Management Information System (MIS), and climate change mitigation and adaptation training. 3. Location. The project areas are 7 target districts, including Farkhor, Hamadoni, Panj, and Kulob districts in Khatlon region and Shughnon, Ishkashim and Vanj districts in GBAO region. The GoT selected these districts on the basis of the following selection criteria: (a) a shared border with Afghanistan; (b) relatively large population sizes; (c) a combination of rural and urban areas; and (d) limited coverage by other donor interventions. The project is designed as a proof of concept for strengthening socio-economic resilience that can be replicated in other vulnerable districts of Tajikistan, if successful. As such, the Project concentrates resources in a limited number of districts to maximize efficiencies and impact. 4. Project Risk Ratings. The Environmental Risk Rating is "Moderate" as the physical works envisaged under both components 1 and 2 are of small to medium scale and the associated environmental impacts are expected to be temporary, predictable, and easily mitigable. Moreover, they are all expected to be community based activities and are not expected to be located in environmentally sensitive areas. Nor are they expected to generate serious adverse effects to human health and the environment. Social Risk Rating is “Substantial” as project areas are intrinsically diverse regions and are exposed to common conflict and fragility risks which will have a bearing on the project outcomes. The border vulnerability and the absence of sustainable job opportunities and income-generating activities has led to unemployment and poverty which has proven to be a key push factor incentivizing individuals to join extremist groups. Certain segments are particularly exposed to such risks- women and youth. The project areas are thus characterized by: (i) geographical- inter regional and international/ cross border risks; (ii) economic risks – high rate of unemployment in particular among youth and significant dependency of household income on remittances which is vulnerable to external economic conditions and fluctuations; (iii) social risks – certain sections could get excluded either due to inherent structural deficiencies and/ or due to elite capture; and (iv) institutional risks – inadequate capacity of NSIFT in ESS application. While the first two risks remain external to the project, the remaining has been addressed. Efficacy of these measures depend to a large extent on the institutional and implementation arrangements, notably, performance of NGOs meant to provide social intermediation services. As the process of enlisting of NGOs will happen only during implementation and hence too early to judge the results. Lastly, the project, by design, will avoid undertaking any such activity which will result in physical and/ economic displacement. Nor any structures will be destroyed. Yet, there are remote chances of acquisition of ‘lands’ and hence carry resettlement related risks as well. All social risks are identifiable and could be mitigated. Taking all the above into account, risk rating is continued as ‘substantial’. 8 5. Purpose of Environmental Management Framework. The main goal of the ESMF is to avoid, minimize or mitigate, potential negative environmental and related social impacts caused by implementation of the project. The Framework approach is chosen as the project adopts a Community Driven Development (CDD) approach wherein, during the implementation, the communities identify their needs and accordingly sub projects are formulated to address them. Hence, details will unfurl as and when the sub projects are identified. The Framework ensures that the identified subprojects are correctly assessed from environmental and social point of view to meet the WB’s Environmental and Social Framework (ESF) and its applicale Standards, as well as Tajikistan’s Environmental and Social Laws and Regulations for adequate mitigation of any residual and/or unavoidable impacts. The Framework serves as a guidance tool for the National Social Investment Fund of Tajikistan (NSIFT), the implementing agency, in identifying and assessing the potential environmental and social impacts of subprojects, in preparing environmental and social management plans that will summarize necessary mitigation measures to minimize or prevent them, and to provide guidance on environmental and social monitoring and reporting. 6. Institutional capacities to manage environmental and social risks and impacts. The National Social Investment Fund of Tajikistan (NSIFT) has been functioning for 20 years as an implementing agency for local level development projects. NSIFT has its own staffing and organizational charter (and is supported with premises and utilities by the State Budget). It has implemented several donor financed projects including the Bank’s P044202 and P082977 Poverty Alleviation Projects and is currently implementing “Community Funds for the Promotion of Basic Education and Rehabilitation of Community Infrastructure” financed by KfW. The NSIFT is the designated implementing agency for the social development components of P165313 - CASA-1000 Community Support Project (CSP), which includes similar design features to the proposed project with respect to community and local-level approaches. NSIFT currently has two offices in the Khatlon region and is in the process of opening an office in Khorog, GBAO. Its local presence will allow the NSIFT to work in close coordination with the offices of the Khatlon and GBAO Governors’ offices, as well as with other local structures to ensure local ownership, good results on the ground, and sustainability of interventions. NSIFT will carry out day to day project management and all necessary coordination with provinces and districts. The regional offices of NSIFT supported by Jamoat Project Commissions will directly plan and implement social and environmental risk management. As this is the first project NSIFT preparing under the Bank’s new Environment and Social Framework (ESF), the client’s capacity to deliver an ESF based project is limited; therefore, capacity building for the client including jamoats and contractors will be included in the ESMF as well in other environmental and social instruments to be prepared during implementation. 7. Potential environmental impacts. The proposed project activities under Components 1 and 2 could generate environmental impacts associated with noise, dust, air and water pollution, solid waste management, biodiversity degradation, health hazards and labor safety issues, etc. The environmental risks are expected to be typical for small scale construction/rehabilitation works or for various small scale infrastructure subprojects and rehabilitation of existing youth spaces, temporary by nature and site specific and can be easily mitigated by applying best construction and/or energy supply or energy efficiency practices and relevant mitigation measures. The risk of natural hazards and climate shock is high, therefore the project will include capacity building for local-level actors on a set of relevant FCV and DRM risk issues with local and community institutions, and formal and informal leaders. 8. Potential social impacts and resettlement issues. The subprojects to be implemented under the access to finance component will contribute to improved socio-economic inclusion of targeted vulnerable communities, and young men and women. Component 1 will contribute to improved access to 9 transport/drinking water/electricity/ or irrigation at the target communities, as well as will work with mahalla committees or jamoats to improve their performance and responsiveness to community members. Under Component 2 the Project will increase young men and women engagement in civic activities, training, self-employment or entrepreneurship. The proposed project activities under Components 1 and 2 could generate adverse social impacts associated with temporary access restrictions, land acquisition, voluntary land donations, neighboring community benefit-sharing expectations, social exclusion, high expectations among youth, effectiveness of social intermediation, poor management of investments in communities, governance and anti-corruption risks, labor issues and associated GBV, occupational health and safety. 9. Environment and Social Management Framework (ESMF) structure. The document consists of eight chapters that outline environmental and social assessment procedures and mitigation requirements in line with the Bank’s ESF requirements and standards for the subprojects which will be supported by the Project. i. Chapter One includes the Brief Description of the Project Context and the project development objectives and components. It also outlines the major project activities planned approaches merged from three distinct risks to be addressed: the socio-economic exclusion of young men and women; regional and cross-border challenges that result in heightened fragility risks; and cross-cutting governance challenges that constrain the implementation of participatory and accountable local governance practices. ii. Chapter Two narrates the Baseline Data on enviromental and social background of Khatlon and GBAO provinces, providing analysis of current enrivonmental and social systems at the province and district level. iii. Chapter Three describes the Legal, Regulatory and Policy Framework and provides a overview of laws and regulations that have relevance for environmental and social issues for the SERSP. iv. Chapter Four has a summary of the World Bank’s Environmental and Social Standards (ESS) that are designed to support Borrowers’ projects. The ESS requirements are related to the identification and assessment of environmental and social risks and impacts associated with projects supported by the Bank through Investment Project Financing. v. Chapter Five analyzes Potential Positive and Adverse Environmental and Social Risks and Impacts related to the project activities implementation. vi. Chapter Six includes Environmental and Social Risk Management Instruments and specific measures or actions planned to prevent, avoid, minimize, reduce or mitigate the environmental and social risks and impacts of the project over the project cycle to meet the ESS requirements. vii. Chapter Seven describes the Implementation Arrangements. It provides details on procedures, criteria and responsibilities for subprojects preparing, screening, appraisal, implementing and monitoring viii. Chapter Eight underlines the public consultation procedures and grievance redress mechanisms. Relevant Annexes are enclosed at end of this document to compliment the above-mentioned chapters. 10. ESMF disclosure and consultation. On March 13-14, 2019 NSIFT conducted consultations on the results of social assessment survey and environmental assessment in two districts of Khatlon and online consultations with GBAO stakeholders on April 10, 2019. The final ESMF will be disclosed on the NSIFT website on April 15, 2019 (www.nsift.tj). NSIFT will also officially submit the final ESMF to the World Bank for disclosure in English and Russian on the WB external webpage by April 15, 2019. The final version of this document will be used by respective government agencies and other Project stakeholders during the project implementation. 10 1. Introduction The Socio-Economic Resilience Strengthening Project (SERSP), being a part of the Resilience Strengthening Program (RSP) included in the upcoming World Bank Country Partnership Framework for the Republic of Tajikistan for the period FY19-23. It will contribute to the Risk Mitigation Regime’s (RMR) higher-level objectives of strengthening resilience, defined as a person’s, community’s and/or country’s capacity to adjust or respond to, and recover from, difficulties, adverse impacts, and/or exogenous shocks, reducing perceptions of exclusion, and preventing fragility risks. The project targets Khatlon and Gorno-Badakhshan Autonomous Oblast (GBAO) regions of Tajikistan, which have the highest levels of absolute and relative poverty measures, respectively, and which face fragility risks due to the proximity to unstable parts of Afghanistan, large youth populations, disparities in service delivery outcomes, and legacies of violent conflicts. The project recognizes the significance of, and adopts the World Bank’s Environmental and Social Standards, for identifying and assessing as well as managing the environmental and social (E&S) risks and impacts associated with this investment project. The reviews undertaken by the Bank has classified environmental and social risks as moderate and substantial respectively. As a response, GOT/ NSIFT has developed several key instruments to address the same. One of them is the Environmental and Social Management Framework (ESMF). 1.1 Purpose of the ESMF The main goal of the ESMF is to avoid, minimize or mitigate, potential negative environmental and related social impacts caused by implementation of the project. The Framework approach is chosen as the project adopts a Community Driven Development (CDD) approach wherein, during the implementation, the communities identify their needs and accordingly sub projects are formulated to address them. Hence, details will unfurl as and when the sub projects are identified. The Framework ensures that the identified subprojects are correctly assessed from environmental and social point of view to meet the WB’s Environmental and Social Framework (ESF) and its applicale Standards, as well as Tajikistan’s Environmental and Social Laws and Regulations for adequate mitigation of any residual and/or unavoidable impacts. The Framework serves as a guidance tool for National Social Investment Fund of Tajikistan (NSIFT), the implementing agency, in identifying and assessing the potential environmental and social impacts of subprojects, in preparing environmental and social management plans that will summarize necessary mitigation measures to minimize or prevent them, and to provide guidance on environmental and social monitoring and reporting. 1.2 Rationale for the ESMF The ESMF provides guidelines for the development of appropriate mitigation and compensation measures for adverse impacts caused by the project activities. This document outlines the background / context, the policy and regulatory framework, a brief description of the environmental impacts of possible SERSP subprojects, Environmental and Social Assessment (ESA) procedures & guidelines, institutional arrangements, and consultations and disclosure procedures. The policy & regulatory framework includes also a section describing both measures, which will be used to ensure compliance with the national laws and WB requirements. Under the ESA procedures and guidelines, there are details on responsibilities for sub-project preparation, screening, appraisal, implementing and monitoring. These guidelines will assist in outlining what is required for the sub-project Environmental 11 and Social Management Plans (ESMPs). It includes guidelines for proposed small-scale construction subprojects in the form of an ESMP checklist. Under institutional arrangements, the project will also support training and capacity building of sub-project beneficiaries and their consultants / contractors. Lastly, under ESMF disclosure and consultation, there is an outline of what will be done both for the ESMF as well as for the subprojects to be funded under the SERSP. This ESMF has been approved by the Government of the Republic of Tajikistan and cleared with the World Bank (WB). It is uploaded on WB’s external web-site and available locally through the development centre/Infoshop, in compliance with the WB’s policy. The ESMF will be translated into Russian and/or Tajik and further will be distributed in such a way as to be available to central and local government agencies and community members. Implementation of the planned project investments will only take place following these approvals and information sharing/consultation. 1.3 Approach and Methodology for Preparation of ESMF During preparation of the ESMF the following research methods were applied: desk review of the available national regulatory and legal documents related for the environmental and social assessment; screening of secondary socio-economic statistical data available for the targeted provinces and districts, individual interviews with international and local experts, focus groups discussions, public meetings and consultations. The NSIFT staff conducted field visits to Khatlon target districts and were assisted by the Khatlon and GBAO Governors’ offices and a national CSO, Mountain Societies Development Support Programme (MSDSP), to identify potential environmental and social risks and impacts of the proposed Project in order to draft the ESMF. The public consultations were held with community members in Khatlon on March 13-14, 2019 and online consultation via video conference was conducted with GBAO stakeholders on April 5, 2019. 1.4 Project Description 1.4.1 Sectoral and Institutional Context The sectoral and institutional context for the Project emerges from three distinct risks: the socio- economic exclusion of young men and women; regional and cross-border challenges that result in heightened fragility risks; and cross-cutting governance challenges that constrain the implementation of participatory and accountable local governance practices. Socio-economic exclusion of young men and women: There is a high prevalence of female-headed households: about 23 percent of the population lives in households headed by women, with ensuing vulnerabilities for children and youth growing up in those households.2 The high percentage of female- headed households is due, in part, to the emigration of young men. With limited economic and employment opportunities at home, as many as 1.5 million Tajik citizens, 90 percent of whom are young men, emigrate to find work opportunities abroad.3 Most of these migrants are married with children and 2 A 2011 UNICEF report documents the psychological, social, educational, and health effects. Impact of Labor Migration on Migrants' Children Remaining in Tajikistan, UNICEF, Dushanbe, 2011. 3 Hofmann, E. T. 2017. “Who Goes to Russia? Understanding Gendered Migration Patterns.” Eurasian Geography and Economics 58 (1): 1−22. 12 support households that have on average 7.5 persons.4 Approximately one in three migrants’ wives, over 300,000 young women, find themselves left alone and impoverished, entirely dependent on help from family, relatives and friends.5 Seventy percent of abandoned wives have children and are left to provide for their households, despite limited access to finance, social protection, education, or possibilities for employment. Young women also face other challenges. Child marriage is relatively common, with 13.4 per cent of females aged 15-19 in 2010 married. Adolescent suicide, which is more prevalent among young women, has been identified as an issue of concern in Tajikistan.6 Last, approximately one in six young Tajik men and one in 10 young women aged 20–24 were found to be too discouraged to look for work.7 The share of youth who are not in education, employment or training (NEETs) amounts to 29 percent, but there is a large gender disparity: 49 percent of young Tajik women are NEETs, compared to 7 percent of young men.8 Regional and cross-border challenges: Two regions, namely Khatlon and GBAO, are especially exposed to fragility risks. Some of these risks stem from the legacy of the civil war and the 1,400 km border with Afghanistan. GBAO is the poorest, most sparsely populated, and most geographically remote province that suffered significantly during the civil war. Unlike other regions of Tajikistan, the Pamiri population that constitutes the majority of GBAO’s residents has a distinct ethnic and religious identity. In recent times, GBAO has witnessed the reoccurrence of clashes between local non-state actors and the central government over influence in the region.9 Southern Khatlon also experienced heavy fighting during the Tajik civil war (1992-1997). These districts also share a border with the increasingly volatile Kunduz province in Afghanistan. With almost 3 million people, Khatlon Province is the most populous of the four administrative provinces of Tajikistan and contains over one-third of the country’s total population. GBAO and Khatlon, as well as the DRS, score the worst in access to basic services, such as a toilet inside the house, piped water, and sewage, with at least three-fourths of their populations being deprived along these indicators.10 The second and third highest prevalence of stunting is observed in Khatlon (22.6 percent) and GBAO (22.4 percent), while the lowest is observed in Dushanbe (10.5 percent). An analysis of remote sensing and crowd-sourced data yields observations on the unique challenges that Khatlon and GBAO are facing. Khatlon and a few of GBAO’s districts face high levels of exposure to natural hazards (air quality and flood, landslide and earthquake risks) and climate shocks (temperature and precipitation variation). As measured by levels of road density and market accessibility, GBAO has the lowest levels of connectivity in Tajikistan. While a few districts in Khatlon have high levels of connectivity (e.g. Khuroson, Bokhtar and Kulob), most have low levels. Data on nighttime lights and irrigation coverage suggest that GBAO has a relatively low level of economic activity. Agriculture in GBAO is limited in by the terrain and the altitude. More than half of the land in each of GBAO’s districts – except Darvoz – is barren and not vegetated. Within Khatlon, there is a high degree of 4 Most migrants have completed general secondary education, are unskilled and not employed in Tajikistan prior to migrating abroad. Job Diagnostics Tajikistan, Series 1, World Bank, Washington, DC, 2017. 5 Abandoned Wives of Tajik Labor Migrants, IOM, 2009. 6 Report of the desk review on marginalization of adolescents and youth in Tajikistan. UNICEF. 2015-16. 7 Job Diagnostics Tajikistan, Job Issue, Series No.1. World Bank, Washington, DC, 2017. 8 Tajstat, Labor Force Survey, World Bank, 2016. 9 “Rival for Authority in Tajikistan’s Gorno-Badakhshan,” Crisis Group Europe and Central Asia Briefing No. 87, 14 March 2018. 10 Glass Half Full: Poverty Diagnostic of Water Supply, Sanitation, and Hygiene Conditions in Tajikistan. World Bank, Washington, DC, 2017. 13 heterogeneity in district-level economic activity. In a few of Khatlon districts, more than 50 percent of the land cover is considered cropland indicating higher levels of economic activity.11 Cross-cutting governance challenges: Subnational administrative units12 are primarily responsible for delivering most of the country’s public services but face a range of challenges in doing so. 13 Consequently, the Government has put in place a legal and regulatory framework that aims to strengthen the ability of local self-governing bodies (jamoats) and community organizations to address local socioeconomic needs. The 1994 Law on “Self-Government in Towns and Townships” and subsequent amendments (2009 and 2017) assign to jamoats a broad range of responsibilities including: budget authority, direct election of jamoat councilors, service delivery (i.e., improvement of local living conditions, environmental protection, local roads, maintenance of water resources and water supply networks, and waste disposal), and the ability to retain non-tax revenues earned through the provision of administrative services, as well as a percentage of local property taxes. Yet, there is a clear absence of formal processes through which citizens or civil society can participate in decision-making on local development priorities or resource allocation, or hold subnational administrations to account for service delivery performance. The World Bank/United Nations 2018 Pathways For Peace report emphasizes the process through which goods and services are delivered as being more important than actual quality of delivery for citizens’ perception of government legitimacy.14 An important source of resilience in communities in Tajikistan is the strength of local institutions, including community organizations such as mahalla committees. While historically informal in nature, recent legislation (the 2008 “Law on Public Self-Initiative Bodies”) allows mahallas to register as social institutions, open bank accounts, organize community events, and stamp or issue certificates of temporary or permanent residency. Mahalla committees are also sanctioned to work directly with both non-governmental and government bodies, as well as international organizations. In a survey of nearly 1,400 households from four regions of the country that USAID’s Tajikistan Local Governance Project carried out in 201315, most respondents (86 percent) indicated the existence of a mahalla committee in the locality in which they reside. This survey revealed that mahalla leaders had the highest level of citizen accountability of any public organization. Jamoat councils and mahalla committees together constitute a local institutional basis through which to support transparent, inclusive local development investments and initiatives. Yet, participation in mahalla committees tends to be dominated by older men, with limited avenues for youth and women participation in local decision-making. Ensuring that young men and women benefit from community initiatives is particularly important given Tajikistan’s high levels of youth unemployment and inactivity. 11 The task team conducted the analysis of the remote sensing and crowd source data for the purpose of project preparation. The analysis of cropland coverage draws on the following: World Bank. Forthcoming. Atlas of Tajikistan. 12 District administrations (khukumats) are primarily responsible for delivering most of the country’s public services, including education, health, culture, sports, road construction and maintenance, and transportation. 13 “Improving Service Delivery through Governance Reforms: Is Decentralization the Answer for Tajikistan?” Internal draft, March 2013. 14 Pathways For Peace: Inclusive Approaches to Preventing Violent Conflict. United Nations and World Bank, Washington, DC, 2018. Empirical evidence also supports this point. For example, cross-national survey data suggests that citizens’ perceptions of government’s legitimacy are driven more by the fairness through which goods and services are delivered rather than the quantity of goods and services. Levi, Margaret, Audrey Sacks, and Tom Tyler. "Conceptualizing legitimacy, measuring legitimating beliefs." American Behavioral Scientist 53.3 (2009): 354-375. 15 Individuals were asked for whom they believe mahalla officials work—the state or the community. Three fourths of respondents said that mahalla officials work for the community, 17 percent said they work for both the community and the state, while only 5 percent said they work for the state exclusively. Tajikistan Local Governance Project Impact Evaluation Baseline Report, USAID, Washington, DC, September 2013. 14 Despite these challenges, there are avenues for strengthening resilience at the individual, community and local government levels that can mitigate fragility risks. At the individual level, these include the provision of psycho-social support, 16 soft skills (including critical thinking skills), 17 and support for youth self-employment and micro- entrepreneurship.18 At the community level, proposed interventions include the provision of locally-identified infrastructure, and the empowerment of youth to lead development initiatives. At the local government level, interventions will include strengthening the capacity of jamoat administrations and community-level institutions, including mahalla committees, to engage with citizens, and to deliver services efficiently, fairly and in response to community’s needs. 1.4.3 Project Overview The Project Development Objective is to improve socio-economic inclusion of targeted vulnerable communities, and young men and women. The Project areas are 7 target districts, including Farkhor, Hamadoni, Panj, and Kulob districts in Khatlon region and Shughnon, Ishkashim and Vanj districts in GBAO region. The GoT selected these districts on the basis of the following selection criteria: (a) a shared border with Afghanistan; (b) relatively large population sizes; (c) a combination of rural and urban areas; and (d) limited coverage by other donor interventions. The project is designed as a proof of concept for strengthening socio-economic resilience that can be replicated in other vulnerable districts of Tajikistan, if successful. As such, the Project concentrates resources in a limited number of districts to maximize efficiencies and impact. Project Components Component 1: Inclusive Local Development Initiatives. The proposed component will provide subgrants to finance local-level climate-resilient socio-economic infrastructure, including youth-led initiatives, that address priorities identified through a participatory village needs assessment and decision-making process as part of a project cycle to be defined in the Project Operations Manual (POM). The component will also build the capacity of jamoat administrations and community-level institutions, including mahalla committees, to engage with citizens, and to deliver services efficiently, fairly and in response to citizens’ needs, including those of youth and women. Finally, the component will build the capacity of community and local government institutions to identify, plan for, and take actions needed to mitigate the risks of natural disasters on local development investments, and to operate and maintain (O&M) local infrastructure assets, thereby ensuring the sustainability of investments. The component will consist of the following activities: Sub-component 1a: Subgrants for local development initiatives would support investments in basic infrastructure and services in villages in targeted districts based on a participatory needs assessment at the village level, the results of which are prioritized and incorporated into Jamoat-level development 16 Evidence from randomized control trials suggests that psycho-social support can lead to higher earnings for beneficiaries. See Blattman, C., Fiala, N., & Martinez, S. “Generating skilled self-employment in developing countries: Experimental evidence from Uganda.” The Quarterly Journal of Economics, 129(2), 697–752, 2013. 17 Programs that emphasize social, emotional and “soft” skills may be powerful tools to reduce violence, as recent behavioral programs have shown positive results. Blattman and Ralston, 2015. 18 In fragile states, capital injections (i.e. cash and capital goods) stimulate employment and raise long-term earning potential. Blattman and Ralston, 2015. 15 plan. Where possible, local development initiatives will leverage opportunities created by the complementary investments in electricity access made under the RSP-EE project. Subgrant allocation. The jamoat grant distribution formula (for each of the two cycles of CDD investment) will be based on two criteria: (i) district poverty levels; and (ii) jamoat population size.19 The distribution formula will also ensure that sufficient resources are allocated to ensure that the investments can have impact. Within jamoats, there will be a process for individual villages to apply for subgrants or to coalesce and apply for a larger subgrant for a joint project (e.g., inter-village roads) that benefits multiple villages. Scope of investments. Village subprojects will be selected from an open menu of small-scale social and economic infrastructure and facilities. The investments up to 250,000 USD will focus on the domains for which jamoat administrations are responsible, namely local roads improvement and maintenance, maintenance of water resources and water supply networks, waste disposal, and other investments that improve local living conditions, including those related to social infrastructure. The types of works may involve new construction, improvement/upgrading, rehabilitation, demolition, retrofitting, or maintenance of small scale infrastructure. Eligible subprojects may include, but are not limited to, rehabilitation of village-level water supply and sanitation systems,20 rehabilitation of on-farm irrigation systems, rehabilitation of schools and local health clinics, expansion or construction of kindergartens on existing premises, and rehabilitation of tertiary roads. Where possible, energy efficiency measures will be financed to strengthen community resilience in the face of seasonal energy shortages. This will include: (i) insulated doors and windows of public facilities, and (ii) energy efficient water pumps for public buildings (e.g. schools, kindergartens, health units, community centers). The Project will not finance productive infrastructure, such as small-scale storage and processing facilities for horticultural products, as these will be financed under the RSP-REDP (Rural Energy Development Project). It is intended that 50 percent of subprojects demonstrate benefits for youth and 50 percent for women. The Project will encourage contractors to employ local youth in the infrastructure subprojects. A negative list is included in the Environmental and Social Management Framework and in the Subgrants Operations Manual (SGM). Component 1b: Community (and youth) and local government mobilization and capacity building will support the mobilization of communities, and youth, and local capacity building in the target districts. This will include the financing of activities that support participatory needs assessment, planning and prioritization, implementation and monitoring of communities, targeted support for youth engagement, innovative social accountability mechanisms as well as capacity building for good local governance. NSIFT will procure consulting services, a Facilitating Partner (FP), to implement the community-level outreach and capacity building. Subcomponent 1b will ensure that village investment decisions (funded under Subcomponent 1a) directly involve and are inclusive of all community members (women, youth, young and old) and are responsive to their needs. This subcomponent will follow very similar participatory steps as laid out in CASA-1000 CSP. Scope of activity. The annual cycle of activities financed by this subcomponent will include participatory needs assessment, participatory planning and prioritization/selection of village investments, participatory management, oversight and monitoring, and participatory O&M. Communities will be engaged in all stages of the subproject cycle, structured around the seven steps 19 Where possible, Tajikistan Statistical Office Census Data for 2018 will be used. 20 The proposed project will seek to collaborate closely with the Rural Water Supply and Sanitation Project (P162637) that is currently under discussion with government, to align technical approaches to design, and operations and maintenance. 16 below, particular attention will be paid to empowering women to play an active role, and roles will be created for youth Operations, maintenance and sustainability. Component 1 will be designed and implemented with measures to ensure that subgrant-financed investments deliver sustainable benefits to communities and local governments. Subproject designs and implementation arrangements will build on existing local institutions (e.g. water users associations) and apply appropriate technical designs that are disaster resilient. Communities and jamoat administrations will receive capacity building support to prepare appropriately designed and funded operations and maintenance (O&M) plans as a precondition for subproject approval. The O&M plans will clearly describe: (i) the activities and measures envisaged for O&M of the subproject, (ii) roles and responsibilities for carrying out each measure, (iii) the frequency of the activities, and (iv) the proposed mechanism for covering O&M costs. Component 2: Youth Inclusion and Livelihoods. This component will offer two sets of inter-related activities for disadvantaged and inactive young men and women aged 16 to 30 years old, to increase their overall resilience to risks of exclusion, inactivity, and disaffection. It will finance youth inclusive services and the refurbishment of youth and communal spaces (Sub-Component 2A), as well as livelihoods trainings and tools and equipment for livelihood activities (Sub-Component 2B) in the seven target districts in GBAO and Khatlon. Specifically, it will finance trainings (i.e. consulting services), tools and equipment (i.e. goods) and small rehabilitation of existing buildings (i.e. works).21 Activities will encourage a shift in mindsets through psychology-based training, for which there is growing positive evidence. The activities under the Youth Inclusion and Livelihoods component build upon evidence from impact evaluations (IEs) as well as lessons from previous operations that the World Bank has successfully supported to foster youth inclusion and micro-entrepreneurship in ECA, the Middle East and North Africa, and other countries. Sub-component 2a: Youth Inclusive Services will finance a training package to give the target youth access to experiential learning, such as the development of soft skills (i.e. teamwork, communication, critical thinking, decision making, conflict resolution, and problem solving); psycho-social support, gender-based violence prevention training; and digital literacy skills. Overall, these extra-curricular activities aim to: increase the time young men and women spend in interactive activities; help them to gain new soft and digital literacy skills complementary to those learned through formal school curricula; and increase their resilience. Service providers will also offer trainings to secondary school teachers, parents, and staff of local public facilities, such as Centers for Additional Education or youth spaces (i.e., physical facilities with dedicated space for extra-curricular activities and trainings for youth), on violence prevention. These trainings are meant to raise awareness among teachers, parents and community leaders about preventive approaches to reducing risks related to radicalization and gender-based violence. The PIU will procure consultancy services, Implementing Partners (IPs), to deliver these youth inclusive services during the project implementation period. This component will also finance the refurbishment of youth and communal jamoat spaces, and mobile (i.e., retrofitted) vans, as needed, and the purchase of equipment, such as furniture, computer and printers, for these spaces. The PIU will directly procure the works (i.e., the refurbishment of youth and communal jamoat spaces) and goods (furniture and equipment) for these spaces. 21 A mapping of local and international service providers is underway. There are a number of local NGOs that have solid experience with implementing youth inclusive services and livelihoods support. See Annex 3 for a preliminary mapping. 17 Sub-component 2b: Youth Livelihoods aims to increase basic livelihoods opportunities for disadvantaged young women and men who would not otherwise qualify for more capital-intensive entrepreneurship support. This component will finance trainings and provide in kind tools and equipment for youth to start basic economic activities. While the FPs will focus its outreach for the livelihood activities on youth who are participating in the inclusive services (Sub-Component 2A), completing youth inclusive services is not a prerequisite for participating in the livelihood activities. The IPs will deliver the business development and entrepreneurial trainings at the youth inclusive and communal spaces in jamoats. The IPs will then: encourage youth to form groups and submit business development proposals; carry out market analyses to ensure that demand for products/services exists and that sufficient net income is possible for the participating beneficiaries; evaluate the business development proposals based on criteria established in the POM; deliver livelihood tools and equipment to the successful youth livelihood groups; and provide continued support to the groups through mentors. The central PIU will procure the livelihood tools and equipment. This sub-component will not finance matching grants for entrepreneurship as most young beneficiaries in the pre-identified vulnerable categories will not be able to provide matching contributions due to lack of savings or cash, particularly in Khatlon region. By providing tools and equipment, the project will ensure that vulnerable youth not only receive access to training but also actual livelihood opportunities. By ensuring coverage of excluded youth, this sub-component complements the private sector development activities supported by the RSP-REDP which is targeting entrepreneurs who have higher amounts of capital. Sub-component 2b aims to increase basic livelihoods opportunities for disadvantaged young women and men who would not otherwise qualify for more capital-intensive entrepreneurship support. Specifically, the subcomponent will include the following: Livelihoods development training will provide tailored outreach and boot camp training (i.e. basic, short-duration training) for vulnerable young men and women, as well as tailored livelihood support services (i.e. entrepreneurial mindset training, local market analysis, basic accounting, support for business plan preparation, follow up mentoring, and training on how to include climate change mitigation in livelihoods activities). The IPs will be responsible for delivering this training; In-kind tools and equipment will be provided for promising youth to facilitate their access to small in- kind capital. Following successful completion of the livelihoods trainings, participants with viable proposals will be offered tools and/or equipment. The IPs will submit a detailed inventory of the requested tools and equipment that the central PIU will procure and deliver to the IPs, who will then distribute the tools to the livelihood groups. Component 3: Project Management and Capacity Building will finance the incremental costs, including contracting staff, technical assistance, and training, of the implementing agency for overall project coordination, management and supervision of implementation, procurement, financial management, including project audits, monitoring evaluation and the Management Information System (MIS), and climate change mitigation and adaptation training. This component will fund a dedicated project management team (which will include experts in community driven development, youth inclusion and livelihoods, citizen engagement and social accountability, civil engineering, project management, communication, procurement, financial management, and monitoring and evaluation), that will prepare annual workplans and budgets, and ensure the design and implementation of the Project Operations Manual (POM), including terms of reference (ToR) for all staff and consultants, and training manuals. 18 The proposed Project will also support the implementation capacity of the National Social Investment Fund of Tajikistan (NSIFT) and that of Regional Governors’ offices with respect to their strategic planning, donor coordination, and results monitoring functions. This component will also ensure the regular coordination with a number of national stakeholders, namely, the Ministry of Finance (MoF), Ministry of Economic Development and Trade, and the regional administrations of Khatlon and GBAO, as well as with the implementation structures of the RMR-RE and RMR-REDP projects. The component will finance a Beneficiary Feedback Mechanism (BFM), which will include a Grievance Redress Mechanism (GRM). The BFM will provide a formal channel for feedback from communities on any matter concerning the Project, and specifically collect, process and address environmental and social impacts complaints. 22 Regular meetings will be held to ensure responsiveness and accountability regarding beneficiary feedback. The staffing and the operationalization of the BFM will be covered and clearly allocated under this Component. This Component will support Monitoring and Evaluation (M&E) activities to track, document, and communicate the progress and results of the project. An M&E team within NSIFT will be responsible for overall compilation of progress and results. This Component will finance NSIFT to prepare project reporting—semi-annual reports and quarterly unaudited IFRs—that will be submitted to the World Bank. This Component will also finance an MIS, which NSIFT will establish and utilize for project monitoring, automatic generation of project reports, project transparency (sub-project information will be publicized on maps), and citizen feedback. While community monitoring will be supported under Subcomponent 1B, the NSIFT M&E team will quality of 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 BFM will also be included in the semi-annual reporting. NSIFT’s M&E team will collate and analyze these semi-annual assessments of outcomes and perception-based results and enter them into the MIS and include them in semi-annual reports. 22 The Beneficiary Feedback Mechanism will build on the system deployed under the CASA-1000 Community Support Project. 19 2. Baseline Data 2.1. Location and Size Tajikistan is a landlocked country in the mountainous part of Central Asia, between the latitudes 36°40'N-41°05'N and latitudes 67°31'E-75°14'E. The area of Tajikistan is 143.1 thousand km². In the north and west, Tajikistan borders with Uzbekistan and Kyrgyzstan, in the south it borders with Afghanistan and in the east with China. The perimeter borders of the country extend to 3,000 km. The Project will target the Khatlon and GBAO regions of Tajikistan, which have the highest levels of absolute and relative poverty measures, respectively, and which face fragility risks due to the proximity to unstable parts of Afghanistan, large youth populations, disparities in service delivery outcomes, and legacies of violent conflict. U z b Kyrgyzstan e k i s t a n Afghanistan China Figure 1. Map of Tajikistan Khatlon Region is situated in the south-western part of Tajikistan and it is the most populous of the four first-level administrative regions. It is situated in the southwest of the country, between the Hisor (Gissar) Range in the north and the Panj River in the south and borders Afghanistan in the southeast and Uzbekistan in the west. The capital is the city of Bokhtar, formerly known as Kurgan-Tyube. During Soviet period Khatlon was divided into Kurgantyube (Western Khatlon) and Kulob regions (Eastern Khatlon). Both regions were merged in 1992 into today’s Khatlon Region. Khatlon has an area of 24,800 km² and consists of 24 districts – 14 in Western Khatlon and 10 in Eastern Khatlon. The total population of Khatlon in 2018 was 3,198 500 people. The population in Khatlon is mainly engaged in agriculture. 20 Hamadoni District is a district in the south-east of Khatlon Province of Tajikistan, located south of Kulob and stretching along a section of the Panj on the border with Afghanistan. Population is 132,600 people (2015 data). Between 1950 and 2004 it called Moskovskiy District, then renamed in honor of Mir Sayyid Ali Hamadani, a 14th-century Persia Great Islamic preacher, traveler, poet, and scholar who preached Islam in different parts of world, and was buried in Khatlon. The district capital is Moskovskiy or Moskva (located at 37°39′24″N 69°37′45″E/37.65667°N 69.62917 E). Farkhor District is a district in Khatlon province, located at the Panj river valley. In the north it borders with Danghara and Vose districts, in the east with Hamadoni district, in the west with Kushoniyon and Rumi districts and in the south with Panj district of Tajikistan and Darkar area of Takhar region of Afghanistan. The territory of Farkhor district is 1183,1 km². Population is 152,700 people (2015 data). Panj District is a district in Khatlon province, Tajikistan. It is located in the Panj river valley. It borders with Rumi district in the north with Farkhor district in the south, with Jaihun in the west and in the south with Imam Sahib and Archi provinces of Afghanistan. The territory of the district is 880,6 km². Its capital is Panj Township. The district has been an area of ethnic tensions between its Uzbek and Tajik residents. Population of the district is 107,025 people (2015 data), 11% of which reside in the semi- urban area of Panj township. Kulob district is a district in Khatlon province, located 203 km south-east of the capital Dushanbe on the Yakhsu River (a right tributary of Panj), it is one of the largest cities in the country and has an estimated population of over 100,000. The district capital is Kulob city (located at 37°54′33″N 69°46′55″E). Population is 102,200 people (2015 data). Gorno-Badakhshan Autonomous Oblast/Region (GBAO) is situated in the eastern part of Tajikistan occupying about 64.1 km² or 44.9% of the area of Tajikistan with the population of about 223,6 thousands people (2018 estimates) making up only about 3% of the total country population. GBAO is a rural region with only 13.8% of urban population living in the capital city of Khorog. Vanj district is located between Darvoz and Yazgulam ridges of GBAO. It has borders with the Tavildara district, in the east with the Murghab district, in the south with the Rushan district, in the west with Darvoz district of Tajikistan and Badakhshan province of Afghanistan. Vanj district is crossed by the river Vanj and Yazgulem from the north-east to south-west. Population is 34,340 people (2015 data). Ishkoshim District is a district in east Tajikistan, in the extreme south-west of the GBAO. It borders Afghanistan along the Panj River to the south and to the west. The population of Ishkoshim district is 30,853 people (2015). The district is roughly V-shaped and lies northeast of the Panj River where its course turns from west to north. It is bordered on the south and west Afghanistan across the Panj River and the lower Pamir River and on the north by Roshtqal'a District. There are short borders with Shughnon District to the north and Murghab District to the east. The Shakhdara Range is along the northern border with Roshtqal'a District and the north-south Ishkoshim Range is along the district's eastern border. The district capital is Ishkoshim, a town at the bend of the Panj, opposite the Ishkashim district with a similar name. Shughnon District is a district in east Tajikistan, in the central-western part of GBAO. It is bordered by the Panj River and Afghanistan on the west, the Rushan Range and Rushon district on the north, Murghab district on the east and the Shughnon Range and Roshtqal'a district on the south. It 21 corresponds to the valley of the Gunt River. The population of Shughnon District is 40,180 (2015). The district capital is Khorog, which is also the capital of Gorno-Badakhshan Autonomous Region. 2.2 Physical Environment 2.2.1 Climate Generally, Tajikistan’s climate is continental, subtropical and semi-arid however, the climate conditions are diverse depending on the altitude and other geographical factors. By climatic conditions, Tajikistan is divided into several climatic belts (Figure 2). The locations of project sites within the deep valleys mainly relate to the areas with Western Asian insufficiently humid climate with warm summer and moderately cold winter. The surrounding mountainous territories of Western Pamir relate to the belt with dry climate, moderately warm summer and moderately severe winter. Figure 2. Map of Climate Zones of Tajikistan Most of precipitation in the valleys falls in the form of rain and snow during the wintery spring season. The total annual precipitation in Vanj valley depends on the altitude ranging from 800-1200mm in the area of Medvezhy glacier to 180-200mm at the weather station Hamrogy at the lower part of valley close to the junction of Vanj and Pyanj rivers. At the area of proposed districts in GBAO within Vanj valley, an annual precipitation reaches 450-500mm. The snow cover remains on the soil for up to 90 days in year at altitudes above 2000m above msl. The minimal wintery temperature may reach -30°C with maximal summer temperatures about +40°C. For 12 years of observations from 2005 to 2017 the maximal temperature for Vanj weather station +36.6°C was recorded in July 2013, the minimal temperature -20.5°C in January 2012 (www.gr5.ru). 22 The climate of the Khatlon region is continental. Among other areas of Tajikistan’s Khatlon is considered the hottest place in Tajikistan in particular areas in Shahrituz and Beshkent. Winter in the plains of the Khatlon region is quite mild and the temperature reaches at least -20 degrees Celsius and - 35 in the mountains. Summer in the plains is very harsh and the air temperature is up to +50 Celsius. Precipitation is less than the central areas of the country and is mainly rain from October to March. The flood protection locations in Khatlon province are in the arid and semi-arid zones with very low precipitations, hot dry summer climate and moderate as well as relatively dry winter periods. This climatically condition determines the conditions for agricultural land use, which is very limited and dependent on irrigation and fertilization. Climate conditions in Khatlon can be very harsh as the temperature could be from -20 to -30 C degrees in winter and from +28 to +45 C degrees in summer. There is a heavy winter season in GBAO with extreme snow-falls and avalanches that make access to roads and project sites difficult. Depth of frost penetration in soil is c. 30 cm. Climate change has increased the frequency and intensity of extreme events particularly, intense rainfall events causing landslides, mudflows and severe floods. Decrease in precipitation is common in arid areas in the summer months. Most of precipitation in the valleys falls in the form of rain and snow during the wintery spring season. Snow cover is rarely more than 10 cm deep and melts very quickly. The period from June to October is the driest. Snowfall occurs mostly between mid-December and mid- February; rainfall from March to mid-May. The total average annual precipitation at Farkhor weather station is approximately 125mm, while at Hamadoni ranges from 70mm to 160mm, and Kulob - 468.4 mm respectively. The districts are most prone to natural disaster risks such as earthquakes which also can trigger landslides, mudflows, floods and avalanches. These events should carefully be taken into account when planning and constructing infrastructure. Table below illustrates climate characteristics in Khatlon region. Table 1 Main Characteristics of the climate in Khatlon Region Ambient Temperature (Outdoors) Minimum: -25° C and more Maximum: +45° C and more Daily Average: +35° C and more in July Annual mean: +16-17° С Relative Humidity January - 80%, July -40%, very dry Average Rainfall: From 100-200mm and from 400 to 800 mm Number of days with rain mist: About 100 days Maximum solar radiation: From 2.800 to 3.000 hours and more Maximum soil temperature: More than 36° C Surface: From 32° C to 36° C and can be more (July) 23 Elevation (masl): Up to 1000m Wind speed: Up to 2,1 m/sec 2.3 Topography and Drainage 2.3.1 Hydrology Hydrographic network of Tajikistan is made from more than 25 thousand streams and rivers with a total length of 69,200km, out of these, 947 rivers have a length from 10 to 100km, 16 rivers from100 to 500km, and 4 rivers are longer than 500km. According to the geographical status of Tajikistan's river network, the country is divided into the following major river basins -- Zaravshon, Surhandarya (Karatag & Sherkent rivers), Kofarnihon, Vakhsh, and Panj, (Gunt, Bartang, Yazgulem, Vanj, Southern Kizilsu). The project region is a part of Amu Darya basin, which in the past was the major fresh water contributor to the currently shrunk Aral Sea. Project locations belong to the largest in Tajikistan Pyanj river sub- basin covering an area of over a hundred thousand square km. Panj River is a main water artery of GBAO which serves as a natural border between Tajikistan and Afghanistan. The GBAO target districts relate to different watershed separated by Vanj and Yazgulem mountain ranges areas of 2,070 km² and 1,970 km² respectively. Vanj and Yazgulem rivers are major right tributaries of Panj River. In Khatlon the main river courses are located in the valleys and numerous short tributaries provide water down from the surrounding mountains. These tributaries have good quality water but many of them will dry up during the summer months. This problem has worsened as a result of climate change as snow- melt takes place now earlier in the spring time. Water is needed during the growing season but now less and less water is available. Climate change will result in diminishing water volumes in mountainous rivers and completely dry summer periods will last longer in Khatlon. The modeling of climate change impacts show that rivers fed by glaciers (e.g. the eastern tributaries of Yakhsu) used to have discharges also during the summer months but because of diminishing ice volume in the mountains, the small rivers will now dry up in summer months. In addition, the snow-melt will take place a month earlier than before and rivers which do not have glaciers upstream could be dry 1-2 months longer than a decade ago. Major mountain reservoirs (e.g. Nurek among others) and their downstream rivers usually have good quality water with very low sediment and pollutant contents. Irrigation canals and lowland rivers flow through widespread agricultural land and settlements and contain much humus and suspended sediments especially during snow melt and rainy season in autumn. They may also contain harmful agrochemicals such as pesticides, nitrogen as well as oil and other pollutants. Water may have been polluted because of discharges of community wastewater upstream. Rivers are vulnerable to environmental accidents and pollution releases from the communities, roads and industries upstream. 2.3.2 Soils and Geology Mountains occupy 93% of the area of Tajikistan and comprise South Tian-Shan and Pamir mountain systems. Geographically, the Project region relates to Western Pamir where combination of geological 24 and hydrological features formed exclusively irregular, rugged terrain with alternation of rocky steep mountainous and deep narrow valleys with prominent differences in true altitudes. The Pamir is as a part of Himalayan mountain system formed by collision of the Indian and Eurasian continental tectonic plates. This process continues at an average rate of about 5 cm per year. Project areas in GBAO: Geological structure of project area is complex due to location near the main thrust type tectonic border between the structures of Central and Northern Pamir. The proposed sites are located within Vanj-Yazgulem subzone of Central Pamir composed by various rocks ranging from deformed and metamorphosed Precambrian and Paleozoic schist, gneiss, marbles to detrital and carbonate rocks deposited in the shallow waters from Paleozoic to early Jurassic. The area also contains intrusive rocks including gabbro, gabbro-diorite etc. Figure 3. General View of Vanj Valley The region is abundant with mineral resources including nickel, molybdenum, gold, iron, piezoquartz, marble however the lack of investments and poor infrastructure hinder development, there is only one marble mining enterprise in Vanj district. The remains of ancient iron ore mines and primitive smelters were found in one of nearby side valleys. The topography of Khatlon province, where the flood protections are located, is mostly characterized by planes, undulating lands and foothills with moderate slopes and a weak inclination on the southwest side. The with altitude range from 400m to 1,000m in Kulob district, respectively and from 300m to 450m for flood protections in other target districts in Khatlon, respectively. The geology of the Khatlon area includes folded Cenozoic and mostly Miocene sedimentary rocks composed of thick units of proximal braided river deposits reflecting large fluvial plains. The 25 subsequent folding has created the NE-SW oriented mountain and valley topography (fold-thrust belt). The valleys have later been filled with erosion sequences and proximal coarse fluvial sediments. Cenozoic strata include layers of evaporites (result of evaporated water body) and such salt deposits deteriorate water quality in many places. In this part of Tajikistan, also natural geological salts and soluble minerals from sedimentary deposits are common. Usually mineralization is a typical for groundwater wells but may pollute also surface water in places. Water quality analyses are therefore necessary. Soils in the project area primarily consist of sediments eroded from the mountains and comprise alternating layers of gravels, sands, silts and clays. Adjacent to the mountains, the sediments are dominated by coarse deposits such as gravels and pebbles, deposited by the runoff water from the mountains. Further, away from the mountains, the deposits would be expected to become increasingly dominated by finer sediments such as fine sands/silts. According to Tajikistan’s classification, agricultural soils in the Project regions belong to two principle types: a) mid-altitude mountainous typical brown soils, and b) mountainous light brown soils. The first type evolves in the areas covered by trees and bush vegetation with relatively high precipitation up to 800 mm and widespread within the bed Vanj valley at altitudes from 1600 to 2600m. This type is characteristic with high soil fertility compared to other brown soils. The soil profile includes humus layer about 40 cm thick with humus content of 5-10%. The mountainous light brown carbonate soils are found at the agricultural lands of Yezgulem and Pyanj valleys with the lower levels of precipitation and less density of vegetation cover. The humus stratum is about 30-35cm with humus content of 3-5%. This type of soil normally contains many of rocky particles. Figure 4. Type of Soil in Target Districts Soil profiles in the Khatlon districts are typically loess, loamy sands and loamy soils, occasionally bench gravel of the upper quaternary age, classically formed through wind deposition over arid or semi-arid areas. Soils are brown-gray, light gray, gray (Kulob and Panj districts). The humus layer of the loess and loamy sands is fairly fertile and agriculture is possible. For these soils to be converted into agricultural use, they require irrigation and the mineral fertilizers. The general overview of soil types in Tajikistan is presented in Figure 4. 26 2.4 Land Use In the Khatlon valleys there are extensive irrigated fields receiving water from the main river courses. Surface irrigation is mostly used for cotton which require extensive amount of water. A problem in the irrigation in this area is that the collector water will usually be returned back to the main river. This water flows cross the fields and contains agrochemicals, salts and sediments washed from the fields. The deterioration of the water management structures has led to uncontrolled excessive irrigation, rise of groundwater surface, water logging and soil salinization. The biggest irrigated lands are the Bokhtar area receiving water from the Vakhsh River and the Kulob- Vosse-Gulistan region using water from the Kyzulsu River. Between these two main plains there are extensive areas of rain-fed cultivation. The rainfall is e.g. in the Nurek region c. 1000 mm/v and crops can be cultivated. In the southern Khatlon the precipitation is c. 500 mm/v and irrigation is necessary for cultivation. Arid mountain areas are used as pastures. Irrigated lands are scarce in GBAO: 1522 ha of irrigated lands in Vanj, 4426 ha in Ishkashim and 2121 ha in Shughnon receive water from the Gund and the Panj Rivers. 2.5 Biological Environment-Ecosystems Tajikistan is distinguished with a rich biodiversity. Its biological richness is equivalent to nearby countries 20 times its size, with a wonderfully diverse array of fauna and flora, including a globally significant population of snow leopard. The country is recognized as a part of the ‘Mountains of Central Asia’ Biodiversity Hotspot. However, its natural heritage is under severe threat from habitat fragmentation and degradation. 90 per cent of the forests have disappeared in the past 100 years, causing massive soil erosion and increased risk of landslides. The country has ratified a UN Convention on Protection and Sustainable Use of Biodiversity and has prepared a National Strategy and Action Plan to preserve priority species and habitats. It has been reported that over 25,000 types of species are present in Tajikistan. Many of these species are included in the IUSN Red List, under the endangered and critically endangered categories, inhabiting or once inhabited Tajikistan. 2.5.1 Flora The western Pamir valleys have long history of human settlement and agricultural development. Due to the lack of land suitable for agriculture, most of forested areas have been converted to agricultural lands. The remained natural vegetation cover at the project area belongs to sub-alpine type (up to 3500m msl). Tugai are mainly shrub communities that occur along riversides and around springs at the altitudes up to 3500m. In the past the tugai forest of Vanj river flood plains was included in the list of Natural Heritage Sights of Western Pamir. Currently only scarce remaining fragments of tugai forests grow on the flood plains of Vanj and Yazgulem rivers. The dominant species are birch (Betula Pamirica), pulpous (Populus Pamirica). Within flood plains of Vanj River; there are stands of common sea buckthorn (Hipophae rhamnoides) and Beberis integerrima are preserved. 27 Most of natural forest has been cut by the local population in 1990-s to provide fuel wood due to lack of a reliable power supply during the severe winters. The rare archa (Juniper) trees grow on the steep, rocky slopes of the Vanj and Yazgulem ranges. Nearby the Project areas there are small bush associations of willow (Salix turanica, Salix shunganica) and common sea buckthorn (Hipophae rhamnoides). Common sea buckthorn has some commercial value and local people harvest the berries for production of oil. In Khatlon in early spring the valleys and foothills are covered with a bright carpet of flowers: poppies, buttercups, and bluebells. Saksaul (haloxylon), wormwood, artemisia, camelsthorn (alhagi camelorum), and numerous types of saltwort (salsola) add their green to the picture. River flood-plains are filled with dense bushes composed of tamarisk, reed, thorny of Central Asian oleaster, and Asian poplar. Delights to the eye include the deep-green crowns of pistachio trees hawthorn, wild almond, maple, walnut, and juniper. Such valuable trees as wild pomegranate and fig can also be found occasionally The deforestation of the Khatlon region has been dramatic since the independence of the country. The distribution of coal and oil was interrupted and people had to cut the forests for firewood. In many regions more than 70% from the forests were cut in a few decades. Only the most remote valleys still have natural forests. Deforestation has increased landslides and mudflows in this region. 2.5.2 Fauna Tajikistan has diverse fauna and the Western Pamir hosts many its representative, including rare and endangered species. Mammalia: The most prominent species - Urial (Ovis orientals), Snow Leopard (Uncia uncia), Tian- Shan Brown Bear (Ursus arctos), Eurasian Otter (Lutra lutra) are included both in the IUCN list and Red Data Book of Tajikistan. According to Navruzshoev et al, dhole (Cuon alpinus), the Turkestan Lynx (Felix lynx isabellinus), Least Weasel Mustela altai) inhabiting the Tajik National Park are also included in IUCN list. Birds: Bearded Vulture (Gypaetus barbatus) is listed in Red Data Book of Tajikistan and IUCN list while Himalayan Griffon (Gyps himalayensis) is listed in IUCN as near Threatened and Egyptian Vulture ((Neophron percnopterus) and Saker Falcon (Falco cherrug milvipes) as endangered species. The reptiles include lizards (Asymblepharus alaicus), and Turan Blunt Nosed Viper (Macrovipera lebetina turanica). The natural habitats of these species are located outside of the zone of project influence. The locally interviewed people mentioned about the accidental meetings of bears and wolves, and even complained about losses of cattle and damage to gardens from wild animals. However it happened at the significant distances from the proposed bridges location, mainly in the upper parts of Vanj valley. Territories adjacent to the GBAO districts are inhabited with foxes and hares, eagles, small rodents, etc. According to the Department of Environmental Protection, there are no recorded rare or endangered species in the rural inhabited areas of either Khatlon or GBAO. 28 Fish, Fisheries and Aquatic Biology: It is observed that fish does not contribute much to local economy. In the uppermost rivers there are trout, which is also an important catch for the mountain community. For example, Turkestan catfish, Tibetan stone loach and Sattar snow trout are found in all the major rivers. Rivers have economically important fish but, in general, the consideration of fish in water management and aquaculture are now poorly developed. The main river courses have extensive flood plains and estuaries which are important for migratory and nesting wetland birds. Fishing in rivers and streams at the project sites are found to be very limited, and information on the number of fishermen, fish species captures, yields and total catch does not exist. The fish species Schizothorax which is genus of cyprinid fish dominates in the major rivers. No fish species in this area are classified into endangered status. 2.6 Seismic Hazards Tajikistan has generally a relatively high seismic potential due to the very active tectonic structure and its location within the thrusting tectonic border between Hindustan and Eurasian plates. As a result, it is the only part of continental Asia, which has earthquakes that originates deep below the earth’s crust, as well as crustal earthquakes. In accordance with seismic zoning, the regions of Tajikistan are divided into three seismic zones. The seismic zones are based on the high risk of earthquakes ranging from 7 to 9 points at the Medvedev-Sponheuer- Karnik scale (MSK-64). The project area in Vanj valley relates to ‘9 points earthquake zone’, which is the zone of the high risk of earthquakes of highest intensity in Tajikistan. The project sites are located within Vanj- Akbaital and Figure 5. Seismogenic Zones of Tajikistan. Yazgulem seismogenic zones with high Source: risk of Institute disastrous ofSeismology earthquakes and Seismic (9 points by MSK-64 scale). Construction According to historical data, earthquakes with magnitudes of up to 7.5 occurred in the area including Sarez earthquakes in 1911, which triggered the collapse of rock and creation of Sarez Lake in 100km from project area. The strong earthquake with intensity of 5.5 points (MSK-64) took place in Vanj district in January 2015. The fatalities were not reported, but over a thousand of houses were damaged. 29 Figure 6. Seismic Zones of Tajikistan From the seismological point of view Farkhor and Hamadoni districts are in an 7-degree seismic zone (relatively less dangerous seismic areas where earthquake intensity is unlikely to exceed 7 degrees), according to the MSK-64 scale, while Kulob and Panj districts are in an 8-degree seismic zone (earthquake intensity is unlikely to exceed 8 degrees). 2.7 Natural Protected Areas The Tajik National Park in GBAO’s Pamir Mountains (a UNESCO World Heritage Site, occupies area of 26,000 km² or 18% of the area of Tajikistan and located within GBAO as well as Jirgital and Sangvor Districts of Republican Subordination (DRS). In surroundings of project area the National Park includes watershed areas of Vanj and Yazgulom mountain ranges and wedges in upper part of Vanj valley approximately in 40 km from the project sites. It is unlikely that the project activities will directly affect any habitat or species within the Park. 30 There is a Ramsar site—1084, at the Lower part of Panj River (68o 30’8.107 E 37o 10’ 30’.436 N). It is a wetland area valuable for its birdlife and tugai vegetation. This Ramsar site is right on the border with Afghanistan and has overlapping habitat with Imam Sahib IBA within the Afghanistan side. There are two important protected sites upstream and downstream on the Project area in Khatlon: to the north east is the Dashti-Jum State Strict Nature Reserve and, adjacent to it, the Dashti- Jum Habitat and Species Management Area in Hamadoni district. These reserves were set up to protect the markhor and pistachio, almond, and cherry forests containing a wide range of iris, anemone, wild onions, and foxtail lilies. It is unlikely that the project activities will directly affect any protected sites. Figure 7. Natural Protected Areas of Tajikistan 2.8 Socio-Economic Background Khatlon and GBAO are exposed to fragility risks, resulted from the civil war (1992-1997) and the 1,400 km border with Afghanistan. GBAO is the poorest, most sparsely populated and most geographically remote province that suffered significantly during the civil war. Unlike other regions of Tajikistan, the Pamiri population that constitutes the majority of GBAO’s residents has a distinct ethnic and religious identity. In recent times, GBAO has witnessed the reoccurrence of clashes between local non-state actors and the central government over influence in the region.23 Southern Khatlon also experienced heavy fighting during the Tajik civil war. These districts also share a border with the increasingly volatile Kunduz province in Afghanistan. GBAO and Khatlon score the worst in access to basic services, such as a toilet inside the house, piped water, and sewage, with at least three-fourths of their populations being deprived along these indicators.24 The second and third highest prevalence of stunting is observed in Khatlon (22.6 percent) and GBAO (22.4 percent), while the lowest is observed in Dushanbe (10.5 percent). An analysis of remote sensing and crowd-sourced data yields observations on the unique challenges that Khatlon and GBAO are facing. Khatlon and a few of GBAO’s districts face high levels of exposure to natural hazards (air quality and flood, landslide and earthquake risks) and climate shocks (temperature and 23 “Rival for Authority in Tajikistan’s Gorno-Badakhshan,” Crisis Group Europe and Central Asia Briefing No. 87, 14 March 2018. 24 Glass Half Full: Poverty Diagnostic of Water Supply, Sanitation, and Hygiene Conditions in Tajikistan. World Bank, Washington, DC, 2017. 31 precipitation variation). As measured by levels of road density and market accessibility, GBAO has the lowest levels of connectivity in Tajikistan. While a few districts in Khatlon have high levels of connectivity (e.g. Khuroson, Bokhtar and and Kulob), most have low levels. Data on nighttime lights and irrigation coverage suggest that GBAO has a relatively low level of economic activity. Agriculture in GBAO is limited by the terrain and the altitude. More than half of the land of each of GBAO’s districts – except Darvoz – is barren and not vegetated. Within Khatlon, there is a high degree of heterogeneity in district-level economic activity. In a few of Khatlon districts, more than 50 percent of the land cover is considered cropland indicating higher levels of economic activity.25 2.8.1 Population Khatlon region has a population of over 3 124 400 people (2016)26 and is the most populous region in the country. It has the highest rate of population growth of Tajikistan regions. The average size of the household in Khatlon region is 8.5 people (2016 data). Most of the population lives in rural areas with almost equal number of men and women and equal number of both in working age. The population in Khatlon is predominantly engaged in agriculture. Approximately 45 percent of the country’s irrigated land is located in this Region. Cotton is the major crop grown in the area and accounts for 60 percent of the cotton harvest in the country. Most of the population is below the age of 14, the unofficial unemployment rate (2016) is almost 33 percent resulting in large migration abroad from the region. The distribution of population within the target Khatlon districts and jamoats27 that the project covers is demonstrated in the table below. Table 2. Population of Target Districts in Khatlon by Jamoats, 2016 District Jamoat Total Populatio Number of Number Number of area, km² n, people youth ages of women women headed 15-30 households Panj Panj 0,34 11547 2309 5874 198 Ozodagon 38 20748 4149 10352 118 Mekhvar 71 17298 2850 8422 380 NuriVakhdat 63 13425 3028 6736 136 K Saifuddinov 8700 22684 3504 10967 97 Namuna 1002 21321 4264 10477 394 9874,34 107023 20104 52828 1323 Kulob Kulob 98,9 19840 3769 10190 374 25 The task team conducted the analysis of the remote sensing and crowd source data for the purpose of project preparation. The analysis of cropland coverage draws on the following: World Bank. Forthcoming. Atlas of Tajikistan. 26 State Statistical Agency, Number of Constant Population by Regions, 2016 27 Self-governing body of townships and administratively related villages 32 Dakhana 85 29776 5657 14569 366 Ziraki 9216 28747 5290 14318 431 Zarbdor 40,59 23839 4291 12238 185 9440,49 102202 19007 51315 1356 Hamadoni Panjob 54570 10418 1783 5166 63 Panjrud 45530 13092 2219 6362 46 Turdiev 18,5 10385 1731 5096 98 Mehnatobod 7759 21816 4613 11126 160 Dashtigulo 2684 19331 4231 9934 161 Kahramon 5102 18294 3311 9312 149 Chubek 164,7 18490 3150 9850 256 Moskva 361 20775 3955 11000 50 116189 132601 24993 67846 983 Farkhor Galaba 52366 9278 1802 4620 133 20 - solagii Tojikiston 25 14736 2799 7357 120 Farkhor 76668 12057 2350 6016 116 Zafar 42240 13885 2844 6829 112 Gairat 169 16143 3530 8674 47 Vatan 3966 23123 3682 11792 62 Dekhkonarik 3112 12327 2250 6154 187 Gulshan 3870 12418 2460 6200 130 Darkad 347 14503 2900 7305 54 Farkhor 4200 24256 5975 11928 562 186963 152726 30592 76875 1523 Source: WB Poverty Assessment Satellite Data by Jamoats, 2016 Table 2 indicates Farkhor district being the largest district by the territory, while Kulob district is the most densely populated are among four target districts of Khatlon. The average share of youth ages 15- 30 is around 20% of the total population, while women make around 50% of the total population. The number of women headed households is relatively higher in Panj and Kulob areas. 33 GBAO occupies about 64.1 km² or 44.9% of the area of Tajikistan with the population of about 223,628 thousand people (2018) making up only about 3% of the total country population. GBAO is a rural region with only 13.8% of urban population living in the capital city of Khorog. People in GBAO grow potato, tomato, beet, pumpkin, grains including wheat, barley beans. Apple and pear trees dominate in fruit gardens. All families keep a limited amount of cattle and graze it jointly by community’s shepherds during warm seasons. The lack of fodder and severe winter conditions restricts development of stock rising. By agreement with forestry people harvest buckthorn, walnuts, medicine plants and fire-wood. Due to lack of trees, people often have to collect the dry grasses and small shrubs at the mountainous slopes together with roots (Figure 8). Figure 8. Collection of bushes as fire wood at mountain slopes (GBAO, Yazgulom valley) A very small percentage of people from targeted communities have jobs paid by the government. These are school teachers, health workers, forestry, jamoat’s administration etc. Remittances from the family members working abroad, mainly in Russian Federation account for the major part of the family income in all interviewed communities. Information on population and jamoats for each of SERSP target district in GBAO is given below: Table 3. Population of Target Districts in GBAO by Jamoats, people 28 State Statistical Agency, Number of Constant Population by Regions, 2018 (estimate) 34 District Jamoat Total area, Population Number of Number of Number of sq km youth ages 15- women women 30 headed households Vanj Vodkhud 0,14 2457 760 1251 13 Zhovidon 170 3862 855 1897 18 Tekharv 210 3926 1055 1918 35 Yazgulom 65 6215 1645 2991 15 Rovand 3754 6663 1680 3273 30 M.Abdulloev 0,24 11217 3168 5409 20 4199,38 34340 9163 16739 131 Ishkoshim Zong 3600 6355 1139 3175 21 Vrang 2213 6541 1201 3225 27 Shitkharv 115 2223 385 1094 14 Pitup 67000 3411 613 1699 37 Usufbek Rustambe 759 7673 1401 3692 25 Kozidekh 4500 1880 338 895 13 Zamirov 6070 2770 498 1356 36 84257 30853 5575 15136 173 Shughnon Vankalja 360 5575 947 2899 112 Ver 33 4891 929 2408 28 Navobod 15 6864 1308 3316 99 Suchan 21 8436 1771 4205 68 Shirinjonov M 2025 2932 527 1513 81 Porshynev 16000 8723 1744 4422 178 Darmorakht 8029 2759 524 1362 38 26483 40180 7750 20125 604 Source: WB Poverty Assessment Satellite Data by Jamoats, 2016 Table 3 shows that Ishkoshim district being the largest district by the territory, while Shughnon district is the most densly populated are among three target districts of GBAO. The average share of youth ages 35 15-30 is around 20%, while women make 49% of the total population. The number of women headed households is the highest in Shughnon areas. Languages: Tajik is an official language in Tajikistan and a native language of all inhabitants of target districts in both regions. All communities in the project area have a good command of Tajik. The communities of Ishkoshim and Shughnon districts also have their native languages, -Wakhi and Shughni respectively. However, the writing system for these languages is not developed and they are currently being used only for domestic communication. Ethnicity: 70% of the project area population is ethnic Tajik, 25% is Uzbek, and 5% is from other ethnic groups (most are married to ethnic Tajiks.) Generally non-Tajik populations in southern Tajikistan speak Tajik as well as their native languages. Ethnic minorities enjoy the same rights as the Tajik majority and regularly intermarry with Tajiks. They are fully integrated into institutional, cultural, and economic processes in the country. Consequently they do not face discrimination, nor are they sufficiently separate to justify classification as indigenous peoples. No specific actions for ethnic minorities are envisioned for this project. Religion: All population in the project sites is Muslims. Residents of Ishkashim and Shughnon districts (including their neibouring areas, like Rushan and Roshtqala) are Shia Ismaili branch of Muslims, while population of all other districts mainly relate to Sunni Muslims. 2.8.2 Economic Growth & Setting The main part of the Khatlon region's lands consists of the floodplain lands of the Yakhsu River. Residential and industrial facilities are surrounded by the agricultural land on the area of 10,588 hectares. Irrigated land – 8,255 ha, out of which pastures are 2,333 ha. Agriculture is the main economic activity in the regions with the major share of population living in the rural areas. The main crops sown and agricultural products are cotton, cereals, oilseed, potatoes, carrots, onions, cucumbers, cabbage, melons, vines, milk, wool, honey and eggs. Kitchen gardens and smallholdings are also considered an important part of the local economies. These include apples, peaches, apricots, almonds, pears, pomegranates, mulberries and walnuts produced from the homestead plots in addition to the crops. The irrigation infrastructure, inherited at the end of the Soviet era, has suffered from a lack of investment in routine maintenance, resulting in a progressive loss of cultivable land and damage to embankments, intakes and canals. Cotton is a cash crop widely grown in the Khatlon region, but it involves high levels of irrigation and chemicals while many local farmers receive little profit from its sale (compared to middlemen and dealers). With declared “freedom to farm” areas under cotton decreased drastically, giving way to other crops of choice for farmers. Cotton is produced only in Farkhor, Panj and Kulob districts (see Table 4 below). Table 4. Socio-Economic Data for 7 Target Districts of SERSP, 2015 Name of the Area Population district km2 persons Economic Facilities 36 9874 102939 Sown area, all crops, all categories of farms – 86752ha Crop production (tones): grain- 31709, cotton - 12710, potato Panj 12414 Livestock and poultry production (tones) – 2987 9440 196823 Sown area, all crops, all categories of farms – 25183 ha Crop production (tones): grain - 20417, cotton – 8132, potato - Kulob 7866 Livestock and poultry production (tones) –2959 Sown area, all crops, all categories of farms – 34392 ha Hamadoni 116189 135765 Crop production (tones): grain 44383, cotton 2202, potato 4324 Livestock and poultry production (tones) – n/a Sown area, all crops, all categories of farms – 24562 ha Crop production (tones): grain 66518, cotton – 22088, potato Farkhor 186963 154123 12616 Livestock and poultry production (tones) – 6145 Sown area, all crops, all categories of farms – 13760 ha Vanj 4199 32235 Crop prod’n (tonnes): grain 2440, potato 13579 Livestock and poultry production (tones) – 2229 Sown area, all crops, all categories of farms – 50591 ha Shughnon 26483 62477 Crop prod’n (tonnes): grain 2008, potato 12878 Livestock and poultry production (tones) – 1323,7 Sown area, all crops, all categories of farms – 4243,5 ha Ishkoshim 84257 31461 Crop prod’n (tonnes): grain 4536, potato 13591 Livestock and poultry production (tones) – 795 Source: District Development Plans for Target Districts, 2015-2016 data Table 4 shows that the irrigation lands are scare and the agricultural production rates are not sufficient to feed the population of the districts. The official unemployment rates in Tajikistan, as well as in the target districts are low. Table 5 presents the unemployment rates by jamoats in the target districts. Table 5. Unemployment Rates by Jamoats in Target Districts District Jamoat Population # of officially # of officially Expert # of registered registered estimates of migrants unemployed unemployed total female unemployed Panj Panj 11547 27 11 1400 960 Ozodagon 20748 21 9 1500 928 Mekhvar 17298 36 17 1200 979 NuriVakhdat 13425 25 11 1600 1150 K Saifuddinov 22684 17 8 600 829 Namuna 21321 23 7 1100 1449 37 107023 149 63 7400 6295 Kulob Kulob 19840 600 884 Dakhana 29776 19 8 1600 1112 Ziraki 28747 22 9 800 1669 Zarbdor 23839 19 7 650 1246 102202 60 24 3650 4911 Hamadoni Panjob 10418 23 11 400 368 Panjrud 13092 29 9 700 549 Turdiev 10385 21 6 500 427 Mehnatobod 21816 85 22 1500 725 Dashtigulo 19331 1300 1002 Kahramon 18294 33 19 1000 719 Chubek 18490 47 21 1100 689 Moskva 20775 1400 1114 132601 238 88 7900 5593 Farkhor Galaba 9278 60 13 160 945 20 - solagii Tojikiston 14736 80 29 200 931 Farkhor 12057 56 17 300 672 Zafar 13885 79 33 380 706 Gairat 16143 85 23 800 1025 Vatan 23123 110 46 500 1444 Dekhkonarik 12327 71 18 400 868 Gulshan 12418 85 19 350 874 Darkad 14503 90 21 700 627 Farkhor 24256 122 51 1500 1878 152726 838 270 5290 9970 Vanj Vodkhud 2457 15 4 30 167 Zhovidon 3862 14 7 40 512 Tekharv 3926 17 7 50 527 Yazgulom 6215 24 9 70 640 38 Rovand 6663 30 12 70 596 M.Abdulloev 11217 62 25 180 1003 34340 162 64 440 3445 Shughnon Vankalja 5575 19 7 40 650 Ver 4891 11 3 30 769 Navobod 6864 48 12 70 560 Suchan 8436 28 14 80 767 Shirinjonov M 2932 34 12 541 Porshynev 8723 57 25 100 801 Darmorakht 2759 27 11 281 40180 224 84 320 4369 Ishkoshim Zong 6355 65 14 692 Vrang 6541 21 7 60 849 Shitkharv 2223 43 17 378 Pitup 3411 23 2 40 561 Usufbek Rustambe 7673 33 10 40 157 Kozidekh 1880 11 4 20 246 Zamirov 2770 26 9 40 349 30853 222 63 200 3232 Source: WB Poverty Assessment Satellite Data by Jamoats, 2016 The share of officially registered labour migrants makes in average 5% in Khatlon districts and over 10% in average in GBAO target areas. Table 5 indicates for the significantly higher unemployment rates based on estimations of local experts. 2.8.3 Vulnerable Groups According to official figures from 2018, the population of Tajikistan has the highest proportion of youths among all post-Soviet republics. Sixty-three percent of the country’s overall population is under 30 years, with 15- to 29-year-olds constituting 28.6 percent of the total. The economic opportunities for young men and women in Tajikistan are limited. An estimated 41 percent of youth are not in employment, education, or training (NEET). About 23 percent of female-headed households and abandoned wives, and children and youth growing up in those households, are prone to long-term vulnerabilities. The high rate of female-headed households is partly due to young men emigrating. With limited economic and employment opportunities at home, as many as 1.5 million Tajik citizens, 90 percent of whom are young men, emigrate to find work opportunities. Most of these migrants are 39 married with children, supporting households of more than 7 people on average. Approximately one in three migrants’ wives—over 300,000 young women—have found themselves left alone and impoverished, entirely dependent on help from their family, relatives, and friends. Seventy percent of abandoned wives have children and are left to provide for their households, despite their limited access to finance, social protection, education, or possibilities for employment. Approximately one in six young Tajik men and one in 10 young women aged 20–24 are too discouraged to look for work. NEETs represent 29 percent of this cohort, but the gender disparity is large: 49 percent of young Tajik women but only 7 percent of men can be categorized this way. The Tajikistan ASA report found that respondents identified Youth as the most at-risk segment of the population to join radical groups, followed by returning migrants (especially those with re-entry bans enforced by Russia), vulnerable women, low-income households and relatives of recruits (respectively 26, 16, 10, 9, and 9 percent of total responses) More specifically, respondents identified specific segments among vulnerable youth: male secondary school students and graduates; young adult men not in education, employment or training; and male university students. Categories of women vulnerable to radicalization and recruitment included wives and relatives of radicalized individuals, as well as women that raise families alone, and who have a particularly vulnerable social and economic position. This category includes wives of labor migrants or prisoners, divorcees, and widows. Khatlon and GBAO regions (i.e. Project area) have the highest levels of absolute and relative poverty measures, respectively, and which face fragility risks due to their proximity to unstable parts of Afghanistan, large youth populations, disparities in service delivery outcomes, and legacies of violent conflict. 40 3. Description of the Administrative, Policy and Regulatory Framework 3.1 The Legal, Regulatory and Policy Framework 3.1.1 Relevant National Laws and Regulations and International Treaties An overview of laws and regulations that have relevance for environmental29 and social issues for the Tajikistan SERSP is as follows (see Table 6). Table 6. List of National Laws and Regulations  Law on Environment Protection (2011, amended 2017)  Water Code (2000, amended 2012)  Land Code (1996, amended 2016)  Law on Land Administration (2008, amended 2016)  Law on Sanitary and Epidemiological Safety of the Population (2003, amended 2011)  Law on Pastures (2013)  EA National Legal Framework Law on Ecological Expertise (2012)  Law on Environmental Expertise (2012)  Law on State Ecological Expertise (2012)  Law on Dekhkan Farms (2016)  Law on Land Valuation (2001)  Regulation # 641 “Order of compensation for losses of land users and damage of the agricultural production process”, approved by the Resolution of the Government of the Republic of Tajikistan (2011)  Civil Procedural Code  Law on Appeals of Individuals and Legal Entities (2016)  The Law on Freedom of Information  Law on Public Associations (amended 2015, 2018)  Law on Public Meetings, Demonstrations and Rallies (2014)  Law “On Self-Government Bodies in Towns and Villages (1994, amended 2009 and 2017)  Labor Code (1997) (includes Chapter 35 on Occupational Safety)  Law on Parents Responsibility for Children’s Upbringing and Education In addition to national legislation and regulations on environmental and social issues30, Tajikistan is also party to several international treaties focused on environmental and social issues (see Table 7). Table 7. List of International Treaties and Convention ratified by Tajikistan  Rotterdam Convention on Prior Informed Consent (PIC) procedure (1998);  Signatory of the Stockholm Convention on Persistent Organic Pollutants (2002);  Convention on Biological Diversity (1997) and to its Cartagena Protocol on Biosafety (2004);  Convention for the Protection of the World Cultural and Natural Heritage (1992);  The United Nations Convention to Combat Desertification (1997);  The United Nations Framework Convention on Climate Change (1998);  The Ramsar Convention (2000);  The Convention on the Conservation of Migratory Species of Wild Animals (2001);  Convention on International Trade in Endangered Species of Wild Fauna and Flora (2016);  Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (2016) 29 Used source for updating – Third Environmental Performance Review of Tajikistan, UNECE, 2017 30 ILO Information System on International Labour Standards, checked on 16.02.2019 41  Convention for the Safeguarding of the Intangible Cultural Heritage (2006);  International Covenant on Economic, Social and Cultural Rights;  Convention on the Elimination of all forms of Discrimination Against Women;  Convention on Minimum Age for Admission to Employment (1993);  Convention on Worst Forms of Child Labor (2005);  Abolition of Forced Labour Convention (1999);  Employment Policy Convention (1993);  Labour Inspection Convention (2009);  UN Convention on the Rights of the Child CRC (1993)  Tripartite Consultation (International Lbour Standards) Convention, (2014);  Occupational Safety and Health Convention (2009) 3.1.2. Overview of Key National Environmental Legal Provisions The Law on Environmental Protection (2011, amended 2017) stipulates that Tajikistan's environmental policy should prioritize environmental actions based on scientifically proven principles, and to balance consideration of economic and other activities that have an impact on the environment with that on nature preservation and sustainable use of resources. To secure public and individual rights to a safe and healthy environment, the Law requires that an environmental impact assessment for any activity that could have a negative impact on the environment. It also defines environmental emergencies and ecological disasters and prescribes the order of actions to be taken in such situations, including the obligations of officials and enterprises to prevent and eliminate adverse consequences, and liabilities of the persons or organizations that caused damage to the environment or otherwise violated the Law. The Law also establishes state, ministerial, enterprise and public control over compliance with environmental legislation, which is affected by the Committee for Environment Protection, the Sanitary Inspectorate of the Ministry of Health and Social Protection, the Inspectorate for Industrial Safety and the Mining Inspectorate. Public control is carried out by public organizations or trade unions and can be exercised with respect to any governmental body, enterprise, entity or individual. Article 12 of the Law on Environmental Protection proclaims the right of citizens to live in a favorable environment and to be protected from negative environmental impacts. Citizens also have the right to environmental information (Article 13), as well as to participate in developing, adopting, and implementing decisions related to environmental impacts (Article 13). The latter is assured by public discussion of drafts of environmentally important decisions and public ecological reviews. Public representative bodies have an obligation to take into consideration citizens’ comments and suggestions. The Water Code (2000, last amendment 2012) stipulates the policies on water management, permitting, dispute resolution, usage planning and cadaster. It promotes rational use and protection of water resources exercised by all beneficiaries and defines the types of water use rights, authority and roles of regional and local governments for water allocations among various users, collection of fees, water use planning, water use rights and dispute resolution. The Land Code (1996, last amendment 2016) defines the types of land use rights, the authority and the role of regional and local governments for land allocation, collection of land taxes, land use planning, land use right mortgaging and settlement of land disputes. It defines the rights of land users and lease holders and specifies the use of a special land fund for the purpose of land privatization and farm restructuring. The law does not provide for purchase or sale of allotted land. The Land Code regulates 42 land relations and it is directed at the rational “use and protection of land and fertility of the soil…31 .” The land may be used in a rational manner only and the Code allows local authorities to decide what constitutes “rational” land use. It also includes mechanisms that make it possible to take the land-use permit away from farmers, including in situations where land use causes land degradation. This decision is taken by the rayon administration. The Law on Land Administration (2008, last amendment 2016) obliges the authorities to map and monitor the quality of land, including soil contamination, erosion and logging. The Law on Sanitary and Epidemiological Safety of the Population (2003, amended in 2011) introduced the concept of sanitary and epidemiological expertise that establishes the compliance of project documentation and economic activities with the state sanitary and epidemiological norms and rules, as well as strengthened provisions on sanitary-hygienic, anti-epidemic and information measures. The Law on Pastures (2013) defines the basic principles of pasture use, including protection of pastures and the environment, and attraction of investments for more effective use and protection of pastures. The Law specifies the powers of local administrations to control environmental safety and pasture use in accordance with state regulations and standards. The law prohibits the implementation of a number of activities in pastures, such as cutting down trees or bushes, building roads, misuse of grazing land, pollution of the environment with waste, and grazing of livestock beyond the established rate. The law requires users to ensure effective use of pastures, including protection of pastures against degradation and pollution. It provides geobotanical research on pastures to assess the potential productivity of natural forage land. The EA National Legal Framework Law on Ecological Expertise (2012) stipulates that the mandatory cross-sectoral nature of state ecological “expertise” (SEE) shall be scientifically justified, comprehensive, and objective and which shall lead to conclusions in accordance with the law. The SEE precedes decision-making about activities that may have a negative impact on the environment. Financing of programs and projects is allowed only after a positive SEE finding, or conclusion, has been issued. The following activities and projects will be subject to state ecological review: a) draft state programs, pre-planning, pre-project, and design documentation for economic development; b) regional and sectoral development programs; c) spatial and urban planning, development, and design; d) environmental programs and projects; e) construction and reconstruction of various types of facilities irrespective of their ownership; f) draft environmental quality standards and other normative, technology, and methodological documentation that regulates economic activities; g) existing enterprises and economic entities, etc. This law also stipulates that all types of economic and other activities shall be implemented in accordance with existing environmental standards and norms, and that sufficient environmental protection and mitigation measures will be put into place to prevent and avoid pollution and enhance environmental quality. ESA studies that have analyzed the short- and long-term environmental, genetic, economic, and demographic impacts shall be evaluated prior to making decisions on the selection of sites, construction or reconstruction of facilities, irrespective of their ownership. If these requirements are violated, construction will be terminated until necessary improvements are made, as prescribed by the Committee for Environmental Protection and/or other duly authorized control bodies, such as sanitary, geological, and public safety agencies. 31 Land Code of the Republic of Tajikistan (1992) 43 The Law "On Environmental Expertise" was approved in 2012 and the GoT the subsequently adopted the following in pursuance of this legislation:  Procedure of Environmental Impact Assessment (adopted by the Resolution of the Government of the Republic of Tajikistan as of 01.08.2014 #509 provides guidelines on the composition, order of development, coordination and approval of design estimates for construction of facilities, buildings and structures and EIA chapters, SEA and feasibility documents;  List of objects and types of activities for which preparation of documentation on the environmental impact assessment is mandatory (adopted by the Resolution of the Government of the Republic of Tajikistan as of 01.08.2014 #509). This extensive list contains 180 types of activities that are grouped according to four environmental impact categories (from (I) "high risk" to (IV) "local impact"). If the facility is not included in the list, then it is not required to pass an EIA or a SEE. 3.1.3 Key National Social Legal Provisions Law on Freedom of Information is underpinned by Article 25 of the Constitution, which states that governmental agencies, social associations and officials are required to provide each person with the possibility of receiving and becoming acquainted with documents that affect her or his rights and interests, except in cases anticipated by law. According to the Decree ‘Approval of the Order of costs reimbursements related to provision of information’ adopted on January 1, 2010, all state institutions are enabled to charge fees for providing any kind of information to journalists and public officials. The decree states that one page of information provided should cost up to 35 Somoni (US$8). The decree enables state officials to charge for photocopying official documents or extracts of official documents and for obtaining information from government officials in writing. Payment can be collected not only for the supply of printed information, but also for verbal information and clarification of legislative acts, decrees and regulations32. Per the Law on Public Associations, a public association may be formed in one of the following organizational and legal forms: public organization, public movement, or a body of public initiative. Article 4 of this law establishes the right of citizens to found associations for the protection of common interests and the achievement of common goals. It outlines the voluntary nature of associations and defines citizens’ rights to restrain from joining and withdrawing from an organization. August 2015 amendments to this legislation require NGOs to notify the Ministry of Justice about all funds received from international sources prior to using the funds. The 2014 Law on Public Meetings, Demonstrations and Rallies (Article 10) bans persons with a record of administrative offenses (i.e. non-criminal infractions) under Articles 106, 460, 479 and 480 of the Code for Administrative Offences from organizing gatherings33. Article 12 of the Law establishes that 32 ‘Commercial Laws of Tajikistan: An Assessment by the EBRD’. Office of the General Counsel. April 2012. European Bank for Reconstruction and Development. 33 These provisions concern the hampering of gatherings (Article 106); disorderly conduct (Article 460); disobedience to police (Article 479); and violation of rules of conducting gatherings (Article 480). 44 the gathering organizers must obtain permission from local administration fifteen days prior to organizing a mass gathering. The 1994 Law on Self-Government Bodies in Towns and Villages assigns to jamoats a broad range of competencies and the mandate to support community efforts to address local socioeconomic needs. The 2009 amendment aims to strengthen local self-governance and accountability by delegating budget authority to jamoat councils, and introducing a system of direct election for jamoat councilors. The 2017 amendment allows jamoat councils to retain non-tax revenues earned through the provision of administrative services and a percentage of local property taxes. The 2017 amendment suggests seriousness on the part of national government to enact policies that empower jamoat councils with authorities and resources needed to support local development and problem-solving. Land Code contains basic provisions on land acquisition for public and state purposes. The Code allows the state to seize the land from land users for the needs of projects implemented in the interests of state and at the state scale, and describes methods, system and order of protection of rights and interests of persons whose land is subject for withdrawal for the purposes of the project, and provides for the complex of compensatory measures to cover the land users’ losses. The Regulation about an order of compensation of the land users’ losses and losses of agricultural production, approved by the Resolution of the Government of the Republic of Tajikistan # 641, dd. 30th December, 2011, establishes concrete and detailed order of reimbursement of the land users’ losses. Law on Appeals of Individuals and Legal Entities (from July 23, 2016, № 1339), contains legal provisions on established information channels for citizens to file their complaints, requests and grievances. Article 14 of the Law sets the timeframes for handling grievances, which is 15 days from the date of receipt that do not require additional study and research, and 30 days for the appeals that need additional study. These legal provisions will be taken into account by the project-based Grievance Redress Mechanism. Labour Code prohibits forced labour (Article 8). The Labor Code also sets the minimum age at which a child can be employed as well as the conditions under which children can work (Articles 113, 67, and 174). The minimum employment age is 15, however, in certain cases of vocational training, mild work may be allowed for 14 year olds (Article 174 of the Labor Code). In addition, there are some labour restrictions on what type of work can be done, and what hours of work are permissible by workers under the age of 18. Examples of labor restrictions include: those between 14 and 15 cannot work more than 24 hours per week while those under 18 cannot work more than 35 hours per week; during the academic year, the maximum number of hours is half of this, 12 and 17.5 hours, respectively. These limitations are consistent with the ILO Convention on Minimum Age. In addition, Law on Parents Responsibility for Children’s Upbringing and Education, makes parents responsible for ensuring their children not involved in heavy and hazardous work and that they are attending school. 3.2 Relevant Institutions Identified potential34 government institutions and self-governing bodies to be engaged in SESRP are outlined in the Relevant Institutions Matrix in Table 8. They are divided into categories based on at what 34 The word potential is used to emphasize that this analysis will serve as a point of departure for identification of stakeholders for the different activities during the project preparation and implementation. 45 administrative level(s) the institutions represent: National, oblast, district, township/administrative unit of several villages/communities, or village. Table 8: Relevant Government Institutions and Self-Governing Bodies Institution Village/Kishlak/ National level Oblast (region) Rayon (district) Jamoat Category Mahalla Government Cabinet of Governor’s District and Jamoat Mahalla Administrations Ministers office town administration Committees and local self- administrations, governing bodies including chairman’s office Line Ministries Ministry of Department of Department of and Agencies Finance Finance Finance Ministry of Department of Department of Clinics, rural Health and Health Health (Rayon health centers Social Protection Clinic) (MOHSP) State Agency for Office of the SASSP Social Protection SASPP Department of Population (SASPP) under the MOHSP Sanitary Regional SES District SES Epidemiological Department Department Control Services (SES) under MOHSP Ministry of Department of Department of Elementary & Education and Education Education secondary Science (MOES) schools, kindergartens The State Chief Oblast Chief District Committee for Architect Architect Architecture and Construction (SCAC) The State Regional District Committee on Committee for Committee for Environmental Nature Nature Protection Protection Protection (SCEP) 46 Institution Village/Kishlak/ National level Oblast (region) Rayon (district) Jamoat Category Mahalla Ministry of Regional District Energy and Electricity Electricity Water Resources company Company of The Republic of Tajikistan Agency for Land Regional water District water Water Users’ Water Users’ Reclamation and management management Associations Associations Irrigation under the Government of the Republic of Tajikistan State Committee Regional District for Land Department for Department for Management and Land Land Geodesy Management Management and Geodesy and Geodesy Main Department on the State Supervision of the Safe Practices in the Industry and Mines Inspection Open Joint Stock Branch of Barqi Holding Tojik at the Company Barqi district level Tojik. Women and Regional District Office Family Affairs Department for for Women Committee Women and Affairs Family Affairs Youth Regional Youth District Youth Committee Department Department 3.2.1 Environmental Assessment Administrative/Institutional Framework EIA responsibilities. Conducting the EIA study is the responsibility of the project proponent. The Procedure for carrying out the EIA (Government Resolution No. 509 of 2014) establishes general requirements for contents of the EIA documentation. The State Ecological Expertise for all investment projects is the responsibility of the Committee for Environmental Protection under Government of Tajikistan (CEP) and its regional offices. Furthermore, according to the 2012 Law on the State 47 Ecological Expertise, all civil works, including rehabilitation, should be assessed for their environmental impacts and the proposed mitigation measures reviewed and monitored by the CEP. Screening categories. The laws on Environment Protection and EE stipulate that the Government is to approve a list of activities for which the complete EIA is mandatory. The current guidelines for EIAs do not provide for any preliminary assessment of the project to decide on the need for an EIA (screening) or define the scope of the EIA content. This is because the list of objects and activities for which the development of EIA materials is required is already very detailed. Therefore, although the CSP will not be required to prepare an EIA per existing legislation, upon its approval it will be necessary to consult with the CEP experts for further guidance on compliance with the SEE. The Law on EE provides for the rights of citizens to conduct Public Environmental Expertise (art. 7). Tajikistan is also a member party to the 1998 Aarhus Convention (July 17, 2001) that contains provisions for public EE. The 2014 Procedure (Order) for Conducting an EIA also describes procedures for public participation. Public participation procedures are envisaged for all categories of projects, although in practice they are mainly applied to Category I projects. The Procedure (Order) for conducting the EIA of 2014 changed the focus and timing of public discussions. Compared to the 2006 version of the Procedure for preparing EIAs which provided the opportunity for public inputs during the scoping stage while drafting the technical task, the 2014 version of the Procedure provides space for public discussions only after the preparation of the EIA report by the project's customer. Implementation of environmental laws. A number of legal acts establish liability for violation of environmental laws, which can be enforced by several State bodies. In particular, the 2010 Code on Administrative Violations establishes administrative liability for organizations, their officers and individuals for a range of violations, including careless treatment of land, violation of rules for water use or water protection or failure to comply with a SEE. Administrative sanctions for environment related violations can be imposed by the administrative commissions of khukumats, courts, CEP inspectors, the Veterinary Inspectors of the Ministry of Agriculture, and the State Committee for Land Management and Geodesy. The most common administrative sanction is a fine of up to 10 minimal monthly salaries for individuals and up to 15 minimal salaries to officers of organizations. The 1998 Criminal Code also covers crimes against ecological safety and the environment, such as violations of ecological safety at work, poaching and spoiling land, as well as violation of rules for the protection and use of underground resources. The maximum fine is up to 2,000 minimal monthly salaries and the maximum sentence is up to eight years in prison. 3.2.2 Social and Resettlement Administrative/Institutional framework The Land Code articles contain basic provisions on land acquisition for public and state purposes. The Code allows the state to seize the land from land users for the needs of projects implemented in the interests of state and at the state scale, and describes methods, system and order of protection of rights and interests of persons whose land is subject for withdrawal for the purposes of the project, and provides for the complex of compensatory measures to cover the land users’ losses. The Regulation about an order of compensation of the land users’ losses and losses of agricultural production, approved by the Resolution of the Government of the Republic of Tajikistan # 641, dd. 30th December, 2011, establishes concrete and detailed order of reimbursement of the land users’ losses. Jamoats (self-governing bodies in towns and townships) and District Administrations for locations in target areas are responsible for addressing and solving the social and resettlement issues. An 48 interdepartmental commission will be established at the district level where the acquisition will take place. This commission is chaired by the Deputy Head of District and members include representatives from various line departments, NSIFT, NGOs and community. Determination of losses of land users during the acquisition of agricultural lands should be established on the basis of corresponding documents, provided by the land user and the requirements of the WB Environment and Social Standards. 49 4. Relevant World Bank Environmental and Social Standards (ESS) The World Bank Environmental and Social Framework sets out the World Bank’s commitment to sustainable development, through a Bank Policy and a set of Environmental and Social Standards that are designed to support Borrowers’ projects, with the aim of ending extreme poverty and promoting shared prosperity. The Environmental and Social Standards 35 set out the requirements for Borrowers relating to the identification and assessment of environmental and social risks and impacts associated with projects supported by the Bank through Investment Project Financing. The Bank believes that the application of these standards, by focusing on the identification and management of environmental and social risks, will support Borrowers in their goal to reduce poverty and increase prosperity in a sustainable manner for the benefit of the environment and their citizens. The standards will: (a) support Borrowers/Clients in achieving good international practice relating to environmental and social sustainability; (b) assist Borrowers/Clients in fulfilling their national and international environmental and social obligations; (c) enhance nondiscrimination, transparency, participation, accountability and governance; (d) enhance the sustainable development outcomes of projects through ongoing stakeholder engagement The ten Environmental and Social Standards establish the standards that the Borrower and the project will meet through the project life cycle, as follows: 4.1 ESS 1 - Assessment and Management of Environmental and Social Risks and Impacts ESS1 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). The environmental and social assessment will be 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 will evaluate 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 environmental and social assessment will include stakeholder engagement as an integral part of the assessment, in accordance with ESS10. 35 www.worldbank.org/en/projects-operations/environmental-and-social-framework/brief/environmental-and-social-standards and http://projects-beta.vsemirnyjbank.org/ru/projects-operations/environmental-and-social-framework/brief/environmental-and-social- standards 50 According to ESS1 the Client will manage environmental and social risks and impacts of the project throughout the project life cycle in a systematic manner, proportionate to the nature and scale of the project and the potential risks and impacts. 4.2 ESS 2 – Labor and Working Conditions 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 Borrower will develop and implement written labor management procedures applicable to the project. These procedures will set out the way in which project workers will be managed, in accordance with the requirements of national law and this ESS. The procedures will address the way in which this ESS will apply to different categories of project workers including direct workers, and the way in which the Borrower will require third parties to manage their workers in accordance with ESS2. 4.3 ESS 3 – Recourse and Efficiency, Pollution Prevention and Management 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 consistent with GIIP. The ESMF should include sections on resource efficiency and pollution prevention and management. Assessment of risks and impacts and proposed mitigation measures related to relevant requirements of ESS3, including raw materials, water use, air pollution, hazardous materials, and hazardous waste are included within scope of the ESMF, and ESMPs as relevant. 4.4 ESS 4 – Community Health and Safety ESS4 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. 4.5 ESS 5 – Land Acquisition, Restrictions on Land Use, and Involuntary Resettlement ESS5 recognizes that project-related land acquisition and restrictions on land use can have adverse impacts on communities and persons. Project-related land acquisition or restrictions on land use may cause physical displacement (relocation, loss of residential land or loss of shelter), economic displacement (loss of land, assets or access to assets, leading to loss of income sources or other means of livelihood), or both. The term “involuntary resettlement” refers to these impacts. Resettlement is 51 considered involuntary when affected persons or communities do not have the right to refuse land acquisition or restrictions on land use that result in displacement. Experience and research indicate that physical and economic displacement, if unmitigated, may give rise to severe economic, social and environmental risks: production systems may be dismantled; people face impoverishment if their productive resources or other income sources are lost; people may be relocated to environments where their productive skills are less applicable and the competition for resources greater; community institutions and social networks may be weakened; kin groups may be dispersed; and cultural identity, traditional authority, and the potential for mutual help maybe diminished or lost. For these reasons, involuntary resettlement should be avoided. Where involuntary resettlement is unavoidable, it will be minimized and appropriate measures to mitigate adverse impacts on displaced persons (and on host communities receiving displaced persons) will be carefully planned and implemented. 4.6 ESS 6 – Biodiversity Conservation and Sustainable Management of Living Natural Resources ESS6 recognizes that protecting and conserving biodiversity and sustainably managing living natural resources are fundamental to sustainable development. Biodiversity is defined as the variability among living organisms from all sources including, inter alia, terrestrial, marine and other aquatic ecosystems and the ecological complexes of which they are a part; this includes diversity within species, between species, and of ecosystems. Biodiversity often underpins ecosystem services valued by humans. Impacts on biodiversity can therefore often adversely affect the delivery of ecosystem services. ESS6 recognizes the importance of maintaining core ecological functions of habitats, including forests, and the biodiversity they support. Habitat is defined as a terrestrial, freshwater, or marine geographical unit or airway that supports assemblages of living organisms and their interactions with the nonliving environment. All habitats support complexities of living organisms and vary in terms of species diversity, abundance and importance. This ESS also addresses sustainable management of primary production and harvesting of living natural resources. ESS6 recognizes the need to consider the livelihood of project-affected parties, including Indigenous Peoples, whose access to, or use of, biodiversity or living natural resources may be affected by a project. The potential, positive role of project affected parties, including Indigenous Peoples, in biodiversity conservation and sustainable management of living natural resources is also considered. 4.7 ESS 7 - Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities This ESS applies to distinct social and cultural groups. The terminology used for such groups varies from country to country, and often reflects national considerations. ESS7 uses the term “Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities,” recognizing that groups may be referred to in different countries by different terms. Such terms include “Sub- Saharan African historically underserved traditional local communities,” “indigenous ethnic minorities,” “aboriginals,” “hill tribes,” “vulnerable and marginalized groups,” “minority nationalities,” “scheduled tribes,” “first nations” or “tribal groups.” 52 ESS7 contributes to poverty reduction and sustainable development by ensuring that projects supported by the Bank enhance opportunities for Indigenous Peoples/Sub-Saharan African Historically Underserved Traditional Local Communities to participate in, and benefit from, the development process in ways that do not threaten their unique cultural identities and well-being. 4.8 ESS 8 – Cultural Heritage ESS8 recognizes that cultural heritage provides continuity in tangible and intangible forms between the past, present and future. People identify with cultural heritage as a reflection and expression of their constantly evolving values, beliefs, knowledge and traditions. Cultural heritage, in its many manifestations, is important as a source of valuable scientific and historical information, as an economic and social asset for development, and as an integral part of people’s cultural identity and practice. ESS8 sets out measures designed to protect cultural heritage throughout the project life cycle. The requirements of ESS8 apply to cultural heritage regardless of whether or not it has been legally protected or previously identified or disturbed. The requirements of ESS8 apply to intangible cultural heritage only if a physical component of a project will have a material impact on such cultural heritage or if a project intends to use such cultural heritage for commercial purposes. The Borrower will implement globally recognized practices for field-based study, documentation and protection of cultural heritage in connection with the project, including by contractors and other third parties. A chance finds procedure is a project-specific procedure which will be followed if previously unknown cultural heritage is encountered during project activities. It will be included in all contracts relating to construction of the project, including excavations, demolition, movement of earth, flooding or other changes in the physical environment. The chance finds procedure will set out how chance finds associated with the project will be managed. The procedure will include a requirement to notify relevant authorities of found objects or sites by cultural heritage experts; to fence-off the area of finds or sites to avoid further disturbance; to conduct an assessment of found objects or sites by cultural heritage experts; to identify and implement actions consistent with the requirements of this ESS and national law; and to train project personnel and project workers on chance find procedures. 4.9 ESS 9 – Financial Intermediaries ESS9 recognizes that strong domestic capital and financial markets and access to finance are important for economic development, growth and poverty reduction. The Bank is committed to supporting sustainable financial sector development and enhancing the role of domestic capital and financial markets. FIs are required to monitor and manage the environmental and social risks and impacts of their portfolio and FI subprojects, and monitor portfolio risk, as appropriate to the nature of intermediated financing. The way in which the FI will manage its portfolio will take various forms, depending on a number of considerations, including the capacity of the FI and the nature and scope of the funding to be provided by the FI. 53 FIs are required to develop and maintain, in the form of an Environmental and Social Management System (ESMS), effective environmental and social systems, procedures and capacity for assessing, managing, and monitoring risks and impacts of subprojects, as well as managing overall portfolio risk in a responsible manner. 4.10 ESS 10 – Stakeholder Engagement and Information Disclosure This ESS recognizes the importance of open and transparent engagement between the Borrower and project stakeholders as an essential element of good international practice. 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. Stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the development of strong, constructive and responsive relationships that are important for successful management of a project’s environmental and social risks. Stakeholder engagement is most effective when initiated at an early stage of the project development process, and is an integral part of early project decisions and the assessment, management and monitoring of the project’s environmental and social 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. 54 5. Potential Environmental and Social Risks and Impacts 5.1 Positive Impacts The proposed project is part of the Risk Mitigation Regime (RMR) included in the upcoming World Bank CPF for the Republic of Tajikistan to finance policy reforms and interventions for preventive support aimed at addressing FCV risks that have constrained development progress in Tajikistan. The proposed project will contribute to RMR objectives by strengthening resilience at the individual, community and local government levels to mitigate fragility risks. At the individual level, the project will provide psycho-social support, soft skills (including critical thinking skills), and support for youth self-employment and micro- entrepreneurship. At the community level, proposed interventions include the provision of locally-identified infrastructure and the empowerment of youth to lead development initiatives. At the local government level, these interventions include strengthening the capacity of jamoat administrations and community-level institutions, including mahalla committees, to engage with citizens, and to deliver services efficiently, fairly and in response to community’s needs. Geographically, the proposed project will target Khatlon and Gorno Badakhshan Autonomous Oblast (GBAO) regions, the regions with the highest levels of absolute and relative poverty measures, respectively, and which face fragility risks due to the proximity to unstable parts of Afghanistan, large youth populations, disparities in service delivery outcomes, and legacies of violent conflict. The project is aimed at improving socio-economic inclusion of targeted vulnerable communities, and young men and women. Component1 will contribute to improved access to transport/drinking water/electricity/ or irrigation at the target communities, as well as will work with mahalla committees or jamoats to improve their performance and responsiveness to community members. Under Component 2 the Project will increase young men and women engagement in civic activities, training, self- employment or entrepreneurship. The project components are expected to lead to several economic and social benefits: (i) Income-generating opportunities and improvement in living standards based on investments in improved community infrastructure; project interventions would lead to substantial timesaving either in terms of time saved, e.g. in water collection, and easier access to education, health services, and markets. (ii) The adoption of a participatory, community demand-driven approach would result in: (a) communities empowered to manage their own resources in a more efficient manner; (b) community capability to prioritize, plan, and implement proposed economic activities; and (c) communities interacting more effectively with Jamoats and other stakeholders for the delivery of services. (iii) Improved capacity of local Jamoat councils and Mahallas for local-level development planning, project implementation, financial management, procurement, and other functions. (iv) Indirect human development benefits will be improved health, improved levels of education, and early learning. (v) Project areas are fragile, and conflict ridden, yet also highly fertile (in Khatlon) and potentially attractive to visit (in GBAO). The people are a potential asset as the youth in Tajikistan’s labor force could be productively engaged. Finally, both regions offer high potential for on and off farm development which can be particularly beneficial to women. 5.2 Adverse Risks and Impacts 55 The proposed project activities under Components 1 and 2 could generate environmental impacts associated with noise, dust, air and water pollution, solid waste management, biodiversity degradation, health hazards and labor safety issues, etc. The environmental risks are expected to be typical for small scale construction/rehabilitation works or for various energy supply or energy efficiency activities, temporary by nature and site specific and can be easily mitigated by applying best construction and/or energy supply or energy efficiency practices and relevant mitigation measures. 5.2.1 Adverse Environmental Impacts and Risks As a result of project implementation, the following main adverse environmental may occur: Water pollution. With the leakage of fuels and lubricants (fuel and lubricants) from construction machinery and stored waste, petroleum products and chemicals can pollute the soil, penetrate into groundwater or drain into surface water bodies. Maintenance and cleaning of construction machinery and mechanisms near natural streams can lead to water pollution. If temporary settlements of builders are formed on a construction site, pollution of the environment can be caused by sanitary facilities in settlements. Impacts on Biodiversity. During construction, the necessary earthwork for construction can damage the vegetation cover and lead to cutting down of green plantations. Cariers for building materials, disposal of excess material and waste can disturb the animal world, including affecting the natural habitat. However, since all works will be performed mainly on the developed territory, significant negative impacts on biodiversity or natural habitats are unlikely. Noise, vibration and temporary air pollution. Dust will be generated as a result of construction work, transportation of construction materials / waste and traffic of freight vehicles. Strong increase of noise level is expected during construction, material transportation, construction equipment operation, in particular, during excavation, pneumatic drilling, and work of construction cranes. Noise and vibration will cause concern to local residents if the work is carried out in the vicinity of residential areas. Formation of recovered material and construction debris. The following types of garbage will be formed during the construction of Component 1: (i) construction debris, transportation, handling, compressor works, jackhammers and other construction equipment, soil surpluses and stones, cut trees, bushes, household waste, obsolete equipment and materials, and; (ii) hazardous waste - construction debris containing asbestos plaster, asbestos slate, mineral wool and ruberoid, worn tires, filters and oils from construction equipment and transformer substations. Dangerous production factors as a result of civil works. Direct impact on safety and health of people in civil works can be caused by various factors, for example, high-altitude work, the work of cranes and bulldozers, welding, and sanitary conditions, electric shock, etc. The potential impact on the safety and health of workers is also associated with occupational injuries during construction (falling structures, etc.) or contaminated drinking water or food. Electric shock injury. Electric current injury may result from contact with electric chain with voltage and/or current sources able to induce electric flow through a part of the body that came into a contact with electric current. Usually the sensitive current flow for a human is more than 1 mA. Besides, when working with high voltage installations an electric shock may result without contacting current conducting elements, but due to leak of current or air gap breakage with electric arc generation. Due to high electric resistance of human tissues they are heated rather fast which may cause injuries. Even a relatively low voltage, around 110 – 230 V, upon short-time contact with chest may cause a disruption to cardiac muscle work (60 mA for alternate current, 300 – 500 mA for permanent current). An electric 56 shock may cause a nervous system disorder, for example, random muscle contraction. Repeated electric shocks may cause a neuropathy. Acute electric injury may be reason of growing asystole. In case of head electric injury loss of consciousness is potential. Under an enough high voltage and current strength the so called arcing may appear, inflicting serious burns (injuries). During the construction works and operation of equipment, activities will be carried out ensuring a secure manufacturing job. When operating the electric installations, personal protective equipment will be used. In the course of works, the sites will be fenced and taped off. The access to the site of work for unauthorized persons will be prohibited. Only workers who completed trainings on working with electric equipment and safety techniques when operating electric installations will be allowed to the site of work. Road traffic. Any effort will be made to minimize the time spent on construction vehicles and trucks on the roads, in order to prevent any incidents or damage to property. Drivers will be warned that they should move with caution. Speed restriction in work areas and road traffic with heavy machinery will also be regulated. The proper organization of traffic will also prevent a negative impact on traffic, as far as possible. Historical and cultural heritage sites. Provisions regulating actions in case of accidental finds are included in this ESMF. Natural hazards and climate shocks: GBAO is extremely vulnerable to natural hazards and its geographic isolation leaves the region’s populace in a perilous position. 36 In Khatlon, the risk of landslides, mudflows, floods and erosion is high in particular Farkhor district. 37 The project will include capacity building for local-level actors on a set of relevant FCV and DRM risk issues with local and community institutions, and formal and informal leaders. It will focus specifically on: (i) mapping FCV and disaster risks; and (ii) monitoring risk mitigation measures at the community level. Training will also include establishing the mechanisms for dialogue and communication between local administration and communities on risks (such as the roles of local leaders, engaging with youth, empowering women’s groups etc.) and developing skills for enhanced engagement in national risk management and mitigation strategies. Youth trainings will also cover FCV and DRM topics and a cadre of youth (men and women) will be mobilized to make the links with communities. 5.2.2 Adverse Social Impacts and Risks Access restrictions. There will be some construction induced social impacts during the implementation phase. The construction activities under some local infrastructure subprojects may cause access restrictions to homes, land plots or other private or public property. Construction and /or rehabilitation of public buildings such as schools might also trigger some inconvenience to the public. Even though most of such local level constructions under the project will be done though community centered organizations and agencies, adequate care and measures will be taken to avoid any violation of use of labor, accidents, or disputes with local communities due to use of outside labor force for constructions. The site specific ESMPs prepared under the project will include, as necessary, a mitigation measures to 36 For example, in 2015, a 7.2 magnitude earthquake that struck GBAO caused widespread damage to infrastructure, blocking transportation routes, displacing 652 people, and leaving 4,000 more in need of assistance. Emergency response to this event was significantly constrained by the remote location of the affected area and lack of alternative routes to it. In GBAO, the international M41 route is Tajikistan’s only link to China, one of its main trading partners. M41 is frequently exposed to avalanches, mudflows, landslides, floods, and rock falls, making the transportation of goods generally unsafe and, at times, dangerous. World Bank. 2017. “Strengthening Critical Infrastructure Against Natural Hazards Project”. Project Appraisal Document. 37 World Bank. Forthcoming. Atlas of Tajikistan. 57 reduce potential adverse impacts and risks and the public constructions will be carried out each of the construction site before the civil works begin. Land acquisitions. No large scale physical displacement or relocation of persons is allowed under the project. In addition to the ESMF (ESMP), a Resettlement Policy Framework (RPF) is prepared for the project to address social impacts such as land acquisitions, access restrictions due to community level social and economic infrastructure subprojects. When details of the project sites and investments / subprojects are available, the need for further site-specific Resettlement Action Plans (RAP) or abbreviated RAPs (ARAPs) will be assessed, in accordance with the RPF. Voluntary Land Donations. Social risks could include issues related to voluntary land donations (such as depriving individuals of land and other assets in the guise of voluntary donations and in the name of the "common good"; women users of the land, settlers or migrant users being passed over in decision- making on land donations; and cross-generational conflicts on land ownership issues). To minimize such risks, any subproject that acquires land on the basis of voluntary donations will be required to first meet a set of strict criteria before the land donation is accepted (Annex 10). Neighboring Community Benefit-Sharing Expectations. The project will cover all jamoats within 7 districts; however the project will not be able to make investments in all villages and mahallas within each jamoat. High expectations of benefit-sharing from local neighboring communities and/or villages residing within the same jamoats could be another social risk. Such expectations could lead to social tensions and resentment when benefit sharing does not materialize. This risk will be mitigated through communications and awareness-raising activities that clearly communicate project eligibility criteria to stakeholders within Project districts, and the operation of a project grievance redress mechanism (GRM) should residents raise concerns after awareness-raising activities take place. In addition, subproject prioritization, selection for inclusion in jamoat development plans, and financing through the SERSP will be carried out according to a consultative, participatory process that allows community representatives to express preferences and influence decision-making. Social exclusion. Certain individuals or groups will have no or limited access to various opportunities and resources that will be available to members of the target groups. For example, young women might have limited access to youth inclusion activities due to distant location of the Youth Center from rural villages. Others might be excluded due to elite capture and/or lack of sufficient educational background. Social exclusion might have many other contributors. Major contributors include income, employment status, social class, personal habits and appearance, religion and political affiliation. The risk will be prevented and/or mitigated through arranging mobile educational sessions in remote areas and arranging diversified and multi-level training sessions to cover heterogynous groups of youth and women in remote rural areas. Peer-to-peer approach and creative mobilization techniques appropriate to rural, remote and mountainous areas will be used by the NSIFT, supported by the implementation NGO partner. Risk of Project not meeting expectations among youth. High expectations from youth participating in the livelihoods component, could be another risk. Such expectations, if not met, could lead to discontent and resentment, which in turn could lead to social tensions and/or disruptive actions against the Project or those involved with the Project. This risk will be mitigated through careful management of expectations from the start of Project by the trained facilitators convening the outreach and introductory meetings related to livelihoods component. Individual youths that are not selected to be part of the livelihoods program, may experience a sense of failure which in turn could result in discontent and resentment. Facilitators (NGOs) will make sure to follow up with these individuals to try and find other 58 opportunities e.g. in other livelihoods programs in the area (if available) or employment opportunities with the contractors responsible for the local infrastructure development. The Project will depend on established NGOs with good local knowledge and insight into the sensitivities at the local level. Outreach tools to be applied will attempt to illuminate the degree to which youth initiatives reach the target groups of the communities in rural and semi urban areas and further build upon the opportunity costs to traveling to the training site that may deter the poorest from participating. For example, meetings and educational program obligations take time away from daily life and study schedules and are sometimes held far from the homes of its clients, thus causing them to incur transportation costs and to lose valuable time. To mitigate this risk the implementing agency has examined the opportunity costs to be incurred by participants of educational programs and will reimburse those costs. The effectiveness of social intermediation in alleviating poverty could also be called into question by a failure to improve the standards of living of the most vulnerable of society. While inclusive youth initiatives are generally regarded as successful in improving livelihoods, they may also fail to cater to the most vulnerable and needy groups. The tools and equipment program/subgrants structure, delivery mechanisms, and attitudes of field staff may inadvertently exclude youth and women. To prevent this risk the capacity of social intermediation organizations will be built to reach the most fragile target groups. Poor management of investments in communities (participatory planning, project management and oversight). Given that most local government actors have no experience of CDD projects, training will be provided on the principles and practice of CDD, the project procedures for community mobilization, social accountability, gender and youth-related inclusion and equality (in matters relevant for the Jamoat), and project procedures (mitigating environmental risks, preparing Environmental and Social Impact Assessments (ESIAs) and Environmental and Social Management Plans (ESMPs)). This capacity building will be complemented by training on the Jamoat mandate—local development planning, infrastructure planning, operations, and project management—to deepen skills in participating Jamoat structures and enhance capacity to manage inclusive and responsive investments. Governance and anti-corruption risks. The project will also support efforts to establish good governance in the project and in local governance. The actions will include the training of local stakeholders on the principles and practice of local governance, such as: (i) accountability in public affairs; (ii) relations with higher levels of government; (iii) tools for good governance (integrity pacts, social audits, transparency, and disclosure of information); and (iv) anti-corruption assessments and process audits. Emphasis will be placed on measures to minimize the room for misuse, fraud, and corruption at the various stages of the project cycle. All project stakeholders in communities and Jamoats as well as implementing agencies will sign codes of conduct, and workshops will help each Jamoat produce governance action plans. Labor risks including labor influx and associated GBV, and child labor are considered low given the small size of subproject investments (grant ceiling is $250k) and the NSIFT’s adherence to the national labor code which also prohibits child and forced labor (article 8, Labor Code). Workers will be hired by the PIU at NSIFT, either directly as PIU staff or indirectly as part of contracts with NGOs or service providers. The experience with the WB-funded Global Partnership for Education-4 Project shows that the civil works subcontractors do practice employment contracting and official payrolls to their workers, as they are obliged to follow all legal and regulatory labour and accounting procedures under the GOT executed Loans/Grants. There is a risk that the current practice (as told by some employees) of 59 unaccounted working hours and lack of compensation for overtime will continue. According to the leadership, the Fund heavily relies on the donor-funded projects and has approved budgets per project, and cannot exceed the budget ceilings. Labor risks associated with Community Workers (as per ESS2 definition) are considered low. The existing practices available at the community level in Tajikistan show that subprojects could be implemented with in-kind contribution from the local communities (hashars). Digging trenches and some small scale unqualified jobs are usually contributed by the community members. However, considering the vulnerability of the target districts and low-income status of the communities at border areas and specifics of the civil works under the subprojects, no in-kind contributions of labor (i.e. community workers) and no matching funds will used during sub-project implementation. 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. 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 Component 3 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. The summary of potential environmental and social impacts and mitigation measures is presented in the Annex 1. 60 6. Environmental and Social Risk Management As part of the environmental and social procedures, The Bank classifies all projects into one of four classifications: High Risk, Substantial Risk, Moderate Risk or Low Risk. In determining the appropriate risk classification, the Bank takes into account relevant issues, such as the type, location, sensitivity, and scale of the project; the nature and magnitude of the potential environmental and social risks and impacts; and the capacity and commitment of the Client to manage the environmental and social risks and impacts in a manner consistent with the Environmental and Social Standards38. Environmental Risk Rating is "Moderate" as the physical works envisaged under both Components 1 and 2 are of small to medium scale and the associated environmental impacts are expected to be temporary, predictable, and easily mitigable. Moreover, they are all expected to be community based activities and are not expected to be located in environmentally sensitive areas. Nor are they expected to generate serious adverse effects to human health and the environment. Social Risk Rating is “Substantial” as project areas are intrinsically diverse regions and are exposed to common conflict and fragility risks which will have a bearing on the project outcomes. The border vulnerability and the absence of sustainable job opportunities and income-generating activities has led to unemployment and poverty which has proven to be a key push factor incentivizing individuals to join extremist groups. Certain segments are particularly exposed to such risks- women and youth. The project areas are thus characterized by: (i) geographical- inter regional and international/ cross border risks; (ii) economic risks – high rate of unemployment in particular among youth and significant dependency of household income on remittances which is vulnerable to external economic conditions and fluctuations; (iii) social risks – certain sections could get excluded either due to inherent structural deficiencies and/ or due to elite capture; and (iv) institutional risks – inadequate capacity of NSIFT in ESS application. While the first two risks remain external to the project, the remaining has been addressed. Efficacies of these measures depend to a large extent on the institutional and implementation arrangements, notably, performance of NGOs meant to provide social intermediation services. As the process of enlisting of NGOs will happen only during implementation, it is too early to judge on the results. Lastly, the project, by design, will avoid undertaking any such activity which will result in physical and/ economic displacement. Nor any structures will be destroyed. Yet, there are remote chances of acquisition of ‘lands’ and hence carry resettlement related risks as well. All social risks are identifiable and could be mitigated. Taking all the above into account, risk rating is continued as ‘substantial’. The following risk management instruments and specific measures or actions planned to prevent, avoid, minimize, reduce or mitigate the environmental and social risks and impacts of the project over the project cycle: ESS 1 - Assessment and Management of Environmental and Social Risks and Impacts The environment and social risks are rated as moderate and substantial respectively. The risks are due to the fragile social and environmental conditions, the remoteness of planned activities, and inexperience of the client delivering ESF. Towards addressing them, following instruments have been prepared: (i) Environment and Social Management Framework (ESMF): (ii) Social Assessment based Inclusion Plan; (iii) Stakeholder Engagement Plan (SEP); (iv) Resettlement Policy Framework (RPF); and (v) Labor Management Procedures (LMP). The ESMF covers applicable ESF Standards and the World Bank Group’s Environmental Health and Safety Guidelines. The ESMF has checklists for determining where 38 Only those ESS which are relevant for the project are covered 61 and when site specific Environment and Social Impact Assessments (ESIAs)/Management Plans (ESMPs) and Resettlement Plans (RAPs) will be necessary (for resettlement, the criteria are also in the RPF). The ESMF also contains generic ESMP checklists for each type of small scale construction envisaged by the project, namely local roads improvement and maintenance, maintenance of water resources and water supply networks, waste disposal, and other investments that improve local living conditions, including those related to social infrastructure. ESS 2 – Labor and Working Conditions Direct workers. The National Social Investment Fund of Tajikistan (NSIFT), the implementing agency, follows the national labour legislation and practices when hiring project staff. The legal provisions of the Labour Code of Tajikistan (1997, last updated 2012) apply to all. The NSIFT staff is not public /civil servants, as they are hired on contract basis for the implementation of a wide range of development projects. The NSIFT 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. The random check of personnel folders at the NSIFT Human Resource Department showed that staff contracts were well documented and available upon request. Monthly timesheets are also filed and kept accurately. Forty hour per week employment is practiced and recorded on paper. Payrolls (twice a month), paid sick leaves and annual leave are filed in hard copies, as well as stored in e-version. The Labour Inspection from the Ministry of Labour implements biannual audits of the labour documentation of the organization. Contractors. The NSIFT will recruit 2 local NGOs to facilitate the project activities at the regional level. The NGOs follow the same legal provisions as the NSIFT local staff based on the Labour Code of Tajikistan. The NSIFT will also procure services of local service providers/civil works vendors at the regional and local level. They will recruit local staff and issue employment contracts and service contracts for the employed people. The NSIFT accounting department will request for copies of all the employment contracts and supportive documents to justice the accuracy of the employment and payrolls and tax payments. The NSIFT undergoes annual accounting audit from the Chamber of Accounts, and therefore it keeps all the records accurately to avoid penalties and fines. Sub-contractors. The NSIFT will also recruit sub-contractors, including local private firms and non- governmental organizations to implement project activities in rural areas. De jure they are obliged to follow the local labor legislation and regulations during the sub-project implementation. De-facto, the Facilitating Partners, regional NGOs, can verify the staff employment contracts of sub-contracted organizations. NSIFT prepares the Labor management procedure (LMP) which set out details for preparing the labor management plans and the principles of employment. The LMP also identifies main requirements for contracted workers to be employed in accordance with national Labour Code and the LMP. It will underline the risks associated with the project and determines the resources necessary to address project labor issues. The NSIFT will ensure that all contracts with workers, contractors and primary supply workers are consistent with the requirements of ESS2. The NSIFT will incorporate ESS2 requirements into tendering processes and establish policies for monitoring the performance of contractors in relation to ESS2. NSIFT will work closely with local NGOs (contracted by NSIFT) to check contracts at the local level. Contracts will be reviewed by the World Bank, to ensure compliance with ESS2 requirements. 62 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.). The expectation is that the majority of labor will be locally hired with the exception of a few skilled workers. Civil works contracts will incorporate social and environmental mitigation measures based on the WBG EHS Guidelines and the ESMF; other referenced plans e.g. Stakeholder Engagement Plan (SEP), RPF etc. as well as specific language referencing the prioritization of the hiring of unskilled local labor. 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 NSIFT will be ensure that the grievance mechanism is easily accessible to such project workers. ESS 3 – Recourse and Efficiency, Pollution Prevention and Management The ESMF includes sections on resource efficiency and pollution prevention and management. Assessment of risks and impacts and proposed mitigation measures related to relevant requirements of ESS3, including raw materials, water use, air pollution, hazardous materials, and hazardous waste are included within scope of the ESMF, and ESMPs as relevant. ESS 4 – Community Health and Safety Though relevant, community health and safety may not be critical, as the local communities will be in the forefront of decision making as well as in implementing the activities, communities will carry out participatory needs assessment and engage in participatory decision-making processes to prepare subprojects that address their needs. Project will ensure that Jamoat and Mahalla committees are accountable for resource management and responsive to the preferences and needs of community members, including vulnerable groups, including those of youth and women. The ESMF includes assessment of work related health risks; works and road safety; HIV/AIDS and sexually transmitted diseases; excessive noise and dust levels, site safety awareness and access restrictions; and labor influx. Fencing will be installed around all construction sites and areas where there is a risk to community health and safety. Community organizations (Mahalla) will be empowered to undertake social audit/ monitoring from time to time which will cover CHS as well. The project involves civil works, which require labor force to be fully supplied locally. The labour influx can be accompanied by influx of other people who would follow the incoming local workforce with the aim of selling goods and services, or in search of business opportunities. 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. ESS 5 – Land Acquisition, Restrictions on Land Use, and Involuntary Resettlement The project by design will avoid activities that may involve physical/ economic displacement and/ or loss of structures. Being small scale activities and that they are community driven, flexibility in terms of design and location shall be available and hence no resettlement is envisaged. However, there could be some isolated instances wherein lands need to be acquired involuntarily. Towards addressing such a situation, the Client has prepared a Resettlement Policy Framework (RPF), sought approval from the Bank and disclosed. RPF describes the next steps on preparing and implementing resettlement action plans (RAP). The framework clarifies resettlement principles, organizational arrangements, and design 63 criteria to be applied to subprojects or project components to be prepared during project implementation. Once the subproject or individual project components are defined and the necessary information becomes available, the framework will be expanded into a specific resettlement action. Project activities that will cause physical and/or economic displacement will not commence until such specific plans have been finalized and approved by the Bank. ESS 8 – Cultural Heritage Tajikistan is home to one UNESCO World Heritage Site (the Tajik National Park in the Pamir Mountains in the GBAO) as well as nine candidate sites. Although the small scale activities envisaged are not expected to have direct physical impact on the heritage monuments, indirect impacts from project financed activities will be closely looked at and mitigation measures provided during the preparation of ESMF. The ESMF includes a section on protection of Cultural Heritage as well as proper "chance find" procedures to be included in site specific ESIA/ESMPs and checklists. ESS 10 – Stakeholder Engagement and Information Disclosure Project preparation has done an extensive mapping the stakeholders. Individuals and groups likely to be affected (direct beneficiaries) have been identified. They include: farmers, farming, local communities, women, youth, traders, workers, contractors and transporters. Mapping of other interested parties such as government agencies/ authorities, rival / extremist groups, NGOs 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 Stakeholder Engagement Plan (SEP) has been developed. This will enable the project not only to identify elaborately different stakeholders but also provide an approach towards reaching each of the sub groups. SEP has 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. A draft of the SEP was prepared by the client, disclosed publicly on April 6, 2019. The client has also developed and put in place a Grievance Redress Mechanism (GRM) to enable stakeholders air their concerns/ comments/ suggestions, if any. Risk Classification As part of the environmental and social procedures, the Client will adopt the WB’s categorization system for subprojects with clearly defined risk categories. The risk categorization will inform the scope and nature of the Implementing Agency’s environmental and social due diligence and risk management of its subprojects. Sample risk categories and mitigation measures are outlined in Annex 2 (Screening of Risk Categories for Proposed Types of Subprojects). Towards addressing the risks, following instruments were prepared: (i) Environment and Social Management Framework (ESMF): (ii) Social Assessment based Inclusion Plan; (iii) Stakeholder Engagement Plan (SEP); (iv) Resettlement Policy Framework (RPF); and (v) Labor management procedures (LMP). Client has prepared and disclosed an ESMF since project is financing a broad range of small and medium scale activities, most of which will not be identified until implementation begins. The ESMF covers applicable ESF Standards and the World Bank Group’s Environmental Health and Safety Guidelines. The ESMF has checklists for determining where and when site specific Environment and Social Impact Assessments (ESIAs)/Management Plans (ESMPs) will be necessary. The Environmental and Social Management Plan (ESMP) will identify feasible and cost-effective measures that may reduce potentially significant adverse environmental and social impacts to acceptable 64 levels. The ESMP divides the project cycle into three phases: construction, operation and decommissioning. For each phase, the project team identifies any significant environmental and social impacts. For each impact, mitigation measures are to be identified and listed. Estimates are made of the cost of mitigation actions broken down by estimates for installation (investment cost) and operation (recurrent cost). The ESMP format (enclosed in Annex 7) also provides for the identification of institutional responsibilities for "installation" and operation of mitigation devices and methods. To keep track of the requirements, responsibilities and costs for monitoring the implementation of ESMP, a Monitoring Plan will be applied. The ESMF also contains generic ESMP checklists for each type of small scale construction envisaged by the project, namely local roads improvement and maintenance, maintenance of water resources and water supply networks, waste disposal, and other investments that improve local living conditions, including those related to social infrastructure. 65 7. ESMF Implementation Arrangements 7.1 ESMF Process Flow at the Project Level Overall, activities for the SERSP will be predicated on the principles of transparency, inclusiveness and responsive citizen engagement throughout the Process cycle. Citizen engagement values the right of citizens to have an informed say in the decisions that affect their lives. It is based on a two-way interaction and dialogue with government and emphasizes the sharing of power, information, and a mutual respect between government and citizens. With regards to ESMF implementation, NSIFT will: (i) supporting Jamoat Project Commissions with information and capacity building (including the environmental criteria to be used, procedures to conduct the ESIA etc.); (ii) environmental and social screening and evaluation of subproject eligibility from the ESF point of view; (iii) communication and coordination with ESA competent authorities (Committee on Environmental Protection); (iv) ensuring proper implementation of the ESMP and ESMP Checklist requirements as well as social due diligence tasks during the subprojects’ realization; (v) addressing complaints and feedback from project stakeholders and the public, including grievances regarding environmental/social impacts of subprojects; (v) supervising (independently or jointly with the State Ecological Inspectorate) environmental protection and mitigation measures stipulated in the ESMPs; (vi) monitoring of environmental impacts as part of overall monitoring of the subproject implementation; and (vii) reporting on environmental and social impacts originated during implementation of subprojects and analyzing the efficiency of mitigation measures applied to minimize negative consequences. Together with subproject implementors and beneficiaries, NSIFT and the JPCs are responsible for the implementation of above activities. To implement the ESMF the project team will follow the below described Process Cycle by Components. Table 9. Process Cycle for Component 1 PROCESS CYCLE FOR COMPONENT 1 Activity Primary Secondary Associates 1. Stakeholder Engagement Plan NSIFT NGO Focal points at jamoat Implementation and district levels 2. Selection of villages in the target jamoats NSIFT NGO Focal points at jamoat and districts based on the specific criteria and district levels 3. Clearance and approval of the list of WB SERSP TTLs District selected villages in target districts Chairmen 4. Outreach and orientation at the village, Focal points at NSIFT NGO jamoat, and district level village, jamoat and district levels 5. Establishment of Village Project NGO NSIFT Jamoat and mahalla Committees and Jamoat Project committees Commissions 66 6. Establishing GRM at the village, jamoat, NSIFT VPC, JPC, district and project levels District Focal point 7. Participatory village needs assessment NGO NSIFT Village Project and subproject prioritization Committees 8. Gender Action Plan (GAP) development NSIFT NGO 9. GAP review and approval WB Social Specialists 10. Subproject development JPC, VPC NSIFT 11. Subproject screening for environmental Jamoat Project NSIFT and social risks Commissions 12. Subprojects screening report review and WB ES Specialists WB local approval consultants 13. Development of ESS instruments Jamoat Project NSIFT (ESMPs) Commissions 14. Review and approval of ESS instruments WB ES Specialists WB local consultants 15. Subproject design approval NSIFT WB 16. Participatory implementation of JPC, VPC NGO subprojects 17. Implementation of ESMPs Contractors NSIFT WB 18. Monitoring of ESMP implementation JPC NSIFT WB 19. Subproject procurement prior review WB NSIFT 20. Subproject procurement JPC and NSIFT 21. Subproject management (including JPC NSIFT/NGO VPC certifies the financial management) payments 22. Subproject participatory monitoring Mahalla NGO committees 23. Participatory Operations and Maintenance Mahalla-associated Jamoat District administration VPCs 24. Semiannual social audits VPC and JPC NSIFT/NGO Mahalla committees 25. Semi-annual community scorecards VPC and JPC NSIFT/NGO/ Mahalla committees Firm 26. Monitoring and Evaluation of the project NGO NSIFT WB 67 Table 10. Process Cycle for Component 2 Activity Primary Secondary Associates 1. Stakeholder Engagement Plan NSIFT NGO Focal points at Implementation jamoat and district levels 2. Inventory of youth and women spaces Local NSIFT khukumat, jamoat, and their conditions in target villages, consultant/expert/e women and youth jamoats and districts ngineer committees 3. Selection of youth and women spaces NSIFT Community Focal points at in the target jamoats and districts members jamoat and district based on the specific criteria or levels Participatory jamoat and district needs assessment and subproject prioritization 4. Procurement of NGO services for NSIFT Governors’ youth component implementation in offices 2 regions 5. Prior review and approval of the WB procurement of NGO services for youth component implementation in 2 regions 6. Review and approval of the list of WB SERSP TTLs District selected youth spaces Chairmen 7. Outreach and orientation at the Regional NGO NSIFT village, jamoat, and district levels for components 1&2 8. Following GRM at the village, NSIFT VPC, JPC, jamoat, district and project levels District Focal under component 1 point 9. Subproject screening for NSIFT regional NGO Jamoat Project environmental and social risks engineers and Commissions Social specialists 10. Subprojects screening report review WB ES Specialists WB local and approval consultants 11. Subproject technical design NSIFT JPC Contractors procurement 12. Development of site specific ESMP NSIFT supported External or RAP, if needed by JPC experts/firm 13. Review and approval of ESS WB ES Specialists WB local instruments consultants 68 14. Subproject design approval NSIFT WB 15. Participatory implementation of JPC, VPC NGO subprojects 16. Preparation and implementation of Contractors NSIFT WB local ESMPs, RAPs, labor management consultants procedures 17. Monitoring of ESMP implementation JPC NSIFT WB local consultants 18. Subproject procurement prior review WB NSIFT and approval 19. Subproject procurement NSIFT JPC Contractors 20. Training package development and NGO NSIFT WB implementation to give the target youth access to experiential learning 21. Business development and NGO NSIFT WB entrepreneurial trainings at the youth inclusive and communal spaces in jamoats 22. Livelihoods development NGO VPC, JPC training (outreach and boot camp training) 23. Subproject management (including NSIFT/NGO JPC VPC certifies the financial management) payments 24. Subproject participatory monitoring Mahalla NGO VPC committees 25. Participatory Operations and District Jamoat Mahalla-associated Maintenance administration VPCs 26. Semiannual social audits VPC and JPC NSIFT/NGO Mahalla committees 27. Semi-annual community scorecards VPC and JPC NSIFT/NGO/ Mahalla committees Firm 28. Monitoring and Evaluation of the NGO NSIFT WB project 69 7.2 ESMF Process Flow at the Subproject Level Step 1. Step 2. Step 3. Step 4. Identification Screening & Development Implementatio of Determination of Safeguard n, Supervision subprojects of Relevant Instruments, & M&E ESF their review Instruments and approval Figure 9. The ESMF Process Cycle at the Subproject Level 7.2.1 Identification of Subprojects Under Component 1, Subprojects for local development initiatives to be ranged and prioritized will be based on a participatory needs assessment at the village level. They will support investments in basic infrastructure and services in villages in targeted districts and inform Jamoat and District Development Plans. Investments will include youth-led development initiatives, and energy efficiency measures. Infrastructure investments will focus on the domains for which jamoat administrations are responsible, namely local roads improvement and maintenance, maintenance of water resources and water supply networks, waste disposal, and other investments that improve local living conditions, including those related to social infrastructure. The types of works may involve new construction, improvement/upgrading, rehabilitation, demolition, retrofitting, or maintenance of small scale infrastructure. Eligible subprojects may include, but are not limited to, rehabilitation of village-level water supply and sanitation systems, 39 rehabilitation of on-farm irrigation systems, rehabilitation of schools and local health clinics, expansion or construction of kindergartens on existing premises, and rehabilitation of tertiary roads. Where possible, energy efficiency measures will be financed to strengthen community resilience in the face of seasonal energy shortages. This will include: (i) insulated doors and windows of public facilities, and (ii) energy efficient water pumps for public buildings (e.g. schools, kindergartens, health units, community centers). The Project will not finance productive infrastructure, such as small-scale storage and processing facilities for horticultural products, as these will be financed under the RSP-REDP. A negative list of investments will be included in the Operations Manual. Youth-led development initiatives will provide CDD tools and equipment to support investments proposed by and that directly benefit youth, such as the rehabilitation of sports and cultural facilities. The planning and implementation cycle around these subgrants will establish youth engagement opportunities that increase the interaction between young men and women mahalla committees and jamoat administrations. 7.2.2 Screening of Subprojects for Environmental and Social Risks and Impacts 39 The proposed project will seek to collaborate closely with the Rural Water Supply and Sanitation Project (P162637) that is currently under discussion with government, to align technical approaches to design, and operations and maintenance. 70 7.2.2.1 List of Non-Eligible Activities for SERSP Subprojects The initial screening for the eligibility of the subproject will be based on the list of excluded activities that will be not be permitted by the WB. Therefore, subproject proposals that include these activities will not be considered for financing. Non-eligible activities for Component 1& 2 subprojects are listed in Table 11 below. Table 11. List of Non-Eligible Activities for SERSP Subprojects Require physical relocation or displacement; Will cause negative impact on income/livelihood resources; Involve any kind of forceful evictions of people; Negatively impact assets of individual(s) or household(s); Do not meet the required technical and quality specifications; Have negative environmental or social impacts that are irreversible, create cumulative impacts and/or cannot be adequately mitigated; Exclude the poor/marginalized population or otherwise vulnerable groups; Do not provide equal pay for equal work for women and men; Are financed, or scheduled to be financed, by the government or other development partners; Include the payment of compensation for land or asset loss from the proceeds of the World Bank financing or other government sources; Finance the construction of any new dams or the rehabilitation of existing dams including structural and or operational changes; Finance private goods, government offices or religious buildings; Involve activities that use forced labour; Involve activities that cause or lead to child abuse, child labor exploitation or human trafficking; No child under the age of 15 should work on the construction, rehabilitation or maintenance of a sub-project. 40 Entail the purchase or use of drugs, military equipment or other potentially dangerous materials and equipment, including chain saws, pesticides; insecticides; herbicides; asbestos (including asbestos-containing materials); or other investments detrimental livelihoods including cultural resources; and Involve development of new settlements or expansion of existing settlements in critical habitats, protected areas or areas proposed for certain levels of national protection (e.g., reserved forests). 40 Articles 113, 67, and 174 of Labour Code set the minimum employment age as 15. In addition, there are some labour restrictions on what type of work can be done, and how many working hours are permissible by workers under the age of 18. Examples of labor restrictions include: age of 15 cannot work more than 24 hours per week while those under 18 cannot work more than 35 hours per week; during the academic year, the maximum number of hours is half of this, 12 and 17.5 hours, respectively. These limitations are consistent with the ILO Convention on Minimum Age. 71 7.2.2.2 Subproject Screening Procedures Once it is confirmed that the subproject is not part of the list of prohibited activities, NSIFT/PMU environmental and social staff in the fields, working with communities 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 Annex 3. Subproject activities will be also checked against WB criteria for High Risk Projects. The Screening Checklist on Social Issues should be also filled out for this purpose, see Annex 4. 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 on 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). Subprojects located in the proximity of such areas will be classified as High Risk projects and will not be considered for support by the SERSP. 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 72 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 moderate to substantial. Therefore, only subprojects that are rated as “Substantial Risk” or lower will be considered for SERSP support. Annex 8 provides guidance on the various types of activities that could be proposed for SERSP subprojects, as well as the different environmental categories and suggested EA instruments for each of them. Results of the screening will be reflected in the screening form presented in the Annex 5. While the ESF risk ratings are the governing categories, they generally correspond to the Tajik 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 III and will require either a site- specific ESIA and/or a simple ESMP; (c) Moderate Risk subprojects fall between National Categories III and IV and will require ESMP checklists; and (d) Low Risk subprojects correspond with National Category IV and require no further EA. 7.2.3 Development of Safeguard Instruments For Substantial Risk subprojects a site-specific Environmental and Social Impact Assessment (ESIA) (see ESIA Report Outline presented in the Annex 6) or simple 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 7 with the format of the ESMP) or ESMP checklist (see Annex 8 with the ESMP Checklist for small scale construction and rehabilitation activities). The site-specific ESIA and ESMPs for Substantial risk subprojects will be prepared by the NSIFT PMU, while for moderate and low risk subprojects the JPC will do the ESMP Checklists. The purpose of the ESMP is to predict potential effects and 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 for Moderate Risk subprojects that are likely to have minor environmental impacts, and that are typical for small scale construction and rehabilitation investments. They will be completed by the JPCs. To address potential environmental and social impacts in the case of rehabilitation of social infrastructure facilities it is proposed to use an ESMP Checklist, which was designed for a project in Tajikistan and which is fully applicable for the similar works in Tajikistan (see Annex 7). 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 Substantial and Moderate Risk subprojects it is necessary to disclose the EA document 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) in on the NSIFT website as 73 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 documents and will prepare relevant reports to be included in the final version of the EA documents. For subprojects related to the rehabilitation of electrical substations, as the proposed activities will be implemented on existing, well fenced areas, which usually are located outside of the settlements or which have clear designed sanitary zone of 100 meters, although there is no need for a special public hearing regarding the ESMP, the project beneficiary should provide information to all interested parties about the civil works and electrical stations renovation activities by installing a notice plate placed at the rehabilitation. Furthermore, other specific information related to the project activities and EA should be also publicly available on-line on the NSIFT website. Based on that the public consultation can be done virtually receiving relevant questions/proposals on-line and taking them into consideration while finalizing the substations ESMPs. Similarly, in the case of ESMP Checklist for rehabilitation of existing facilities, the public consultation can be done virtually, as in the case of rehabilitating electrical stations. 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 JPCs has to 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 subprojects is provided by NSIFT for Components 1&2, once all EA documents have been prepared, accepted, and, if needed, preliminary approval is provided by the State Ecological Expertise. The NSIFT and subproject beneficiaries will then sign an agreement which will include statements on compliance with all EA documents. Table 12 indicates the process flow for the risk management instruments development: Table 12. ESMF Instruments Development for Community-led Social and Economic Infrastructure Investments Step 1. a) NSIFT or FPs (engineers or technical specialists) 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, NSIFT specialists assist Jamoat Project Commissions or VPC to complete Section 1 of the Environmental Screening table; c) Based on the Environmental Checklist, the environmental category and the type of EA to be conducted is determined– either a partial ESIA or an ESMP; d) d) The results of the screening, including potential negative impacts and possible measures to mitigate impacts, are presented to community representatives during subproject prioritization meetings held at the Jamoat level by Jamoat Project Commission Step 2. a) If the subproject requires a complete site-specific ESIA and ESMP it should be referred to NSIFT or FPs for further action. b) For Substantial and Moderate Risk subprojects, NSIFT or FPs specialist notes potential environmental risks and indicates how they will be prevented/mitigated in the Environmental Screening Table Step 3. If the subproject is selected for funding, NSIFT or FPs specialists assist Jamoat Project Commission to prepare the ESIA and ESMP or ESMP Checklist Notes: In the case of Substantial Risk small-scale construction and reconstruction activities the requirement is to apply the WB Environmental Management Checklist to address potential environmental impacts; Step 4. NSIFT or FPs assist Jamoat Project Commissions or VPCs to organize its disclosure of the draft partial ESIA or ESMP Checklist and organizes a public consultation, involving NGOs, community representatives, affected groups, etc. Formal minutes will be prepared to record inputs provided by the participants. 74 Step 5. Jamoat Project Commissions or VPCs can proceed to implementation once the partial ESIA, ESMP or ESMP Checklist, is completed and updated based on community consultations. Step 6. a. The subproject applicant will submit the full set of environmental documents for consideration and further decision on funding; b. Upon approval of subprojects, NSIFT or FPs will complete subproject appraisal and proceed with signing of the financing agreement with respective sub-project beneficiaries. Step 7. The jamoat/mahalla conducts periodical supervision, monitoring and reporting, as per agreed monitoring plan. Step 8. Monitoring and reporting results will be included in the NSIFT quarterly and annual reports. 7.2.4 ESIA/ESMP Review Process As explained above, a site specific evaluation will be conducted in accordance with the WB’s Environmental and Social Framework (ESF), and site-specific ESMPs will be prepared as a result of such evaluation. These will be the responsibility of NSIFT supported by JPCs. The ESMP checklist must form an annex of bidding documents for construction works. Labor management procedures will also form a part of bidding documents for construction works. Implementation of ESMP on the ground will be the part of the construction subcontractor’s task, however in case of any non-compliance; VPCs will inform the NSIFT 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 13. The preparation and 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 the majority of cost is covered in the bid proposals. NSIFT will submit site specific ESMPs to WB for prior review. When the WB is confident that NSIFT has demonstrated that the process is accurate, WB will transfer this prior review to post review. Table 13: Roles and Responsibilities Responsible Party Responsibilities World Bank  Review, approve and disclose ESMF, SEP and RAP on WB’s official website;  Review the site-specific ESMPs and RAPs and provide no objections to NSIFT;  Review labor management procedures;  Conduct implementation support and supervision missions in order to ensure that the Project is in compliance with WB ESS requirements; 75 NSIFT • Prepare and implement the ESMF and RPF and submit for Bank approval; • Disclose the ESMF and RPF on NSIFT website; • Prepare ESMPs and RAPs according to ESMF and RPF; • Submit ESMPs and RAPs to the WB for prior review; • Perform the quality control and review of ESMPs and RAPs; • Disclose ESMPs and RAPs on the official website of NSIFT and incorporate ESMPs and RAPs 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; •Implement RAPs on site and provide regular reporting on implementation to WB; • In case of non-compliance, ensure that the contractor eliminates the noncompliance and inform the WB about the noncompliance; • Prepare, update and implement a Stakeholder Engagement Plan (SEP) that considers vulnerable groups in addition to paying attention to the gender aspect of the Project; • Hold consultation meetings, and prepare and distribute leaflets or other informative documents to inform communities, recruit a community liaison officer on project, and its impacts and construction schedule as well as rights and entitlements of PAPs; • 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 RAPs; and • Prepare/design training and tools for NSIFT’s local (branch level) staff and community representatives. Contractor • Implement ESMPs on site, if required can revise the ESMP together with NSIFT; • Prepare and implement labor management procedures; • Manage the grievance mechanism at the contractor, communicate grievances to NSIFT 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 NSIFT; and • Compensate or fix all damages occurred during construction (i.e. damages to crops, infrastructure) as set out by the ESMP or RAP/RPF. Environmental and Social • Ensure that ESMP is implemented correctly and in a timely manner by the contractor; Specialists based in the field • Ensure timely and successful implementation of RAPs; offices (NSIFT branch staff) • Perform environmental and social monitoring as defined in ESMF and RPF and sub- project specific ESMPs and RAPs; and • Collect information on environmental and social issues (including completed LC activities) for progress reports submitted to the WB and make sure that these are all compliant with the Bank’s requirements. 7.3 ESA Monitoring and Reporting Component 3 will support Monitoring and Evaluation (M&E) activities to track, document, and communicate the progress and results of the project. An M&E team within NSIFT will be responsible 76 for overall compilation of progress and results. This Component will finance NSIFT to prepare project reporting—semi-annual reports and quarterly unaudited IFRs—that will be submitted to the World Bank. This Component will also finance an MIS, which NSIFT will establish and utilize for project monitoring, automatic generation of project reports, project transparency (sub-project information will be publicized on maps), and citizen feedback. While community monitoring will be supported under Subcomponent 1B, the NSIFT M&E team will quality of 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 semi- annual reporting. NSIFT’s M&E team will collate and analyze these semi-annual assessments of outcomes and perception-based results and enter them into the MIS and include them in quarterly and annual reports to be submitted to the WB. Results measurements will focus primarily on the outcomes defined in the results framework and the set of output indicators defined in the POM. This Component will also finance midline and end line project monitoring surveys to assess the PDO-level results indicators. NSIFT will be responsible for producing a completion report which draws on the MIS data and surveys prior to project completion. 7.3.1 Monitoring Plans The environmental and social issues included within the mitigation measures are monitored and supervised by the local specialists appointed by the NSIFT. Although the environmental and social impacts are expected to be 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 NSIFT/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. 77 7.3.2 Monitoring and Reporting Responsibilities Through its E&S Officers in branch offices in Kulob, Bokhtar and Khorog, the NSIFT/PMU will monitor all subprojects that it finances to ensure conformity to safeguard requirements during construction, operation and maintenance. They will ensure full compliance with the contract conditions and the ESMP. 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 Officers will visit to sub-project sites as and when necessary. Based on safeguard performance of different subprojects, the PMU’s E&S Officers will advise on the subsequent disbursements that should be done for the contractors awarded a contract to implement subprojects under the SERSP. 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. 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 NSIFT/NGO will conduct random inspections of project sites to determine the effectiveness of measures taken and the impacts of sub project activities on the surrounding environment. The NSIFT/NGO are also responsible for processing, addressing and monitoring complaints and other feedback, including that on environmental and social issues. The NSIFT 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 SERSP related as 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. 78 7.3.3 Community Monitoring Communities will continue to be engaged throughout preparation, construction and/or procurement process through active monitoring and oversight roles. A separate arrangement for community monitoring and social accountability will be developed to ensure there is no conflict of interest between implementers and monitors. Community monitoring will focus on (i) verifying compliance with requirements on ESMF and (ii) evaluating beneficiary satisfaction with project implementation and the quality of service provision. It will also serve as a useful approach to capture experiences and lessons learned from completed subproject cycles and make recommendations for the next subproject cycle, if applicable. Social Audits. Social audits will be conducted in the form of a ‘community audit meeting’. It will serve as a public forum for the NSIFT/the facilitating partner to present progress, challenges and the financial management (subgrant and expenditure on subproject). Communities will have the opportunity to ask questions, air grievances or discuss issues about the subproject. All communities will conduct this annual social audit process to ensure that decisions are inclusive and poverty-focused, and are genuinely bottom-up. This will also serve as a check that there is continuity in the chain of decisions made by focus groups, jamoats, mahallas and operationalized by NSIFT/FPs. The social audit meetings will provide a “report back” to the target communities on sub-project decision-making, progress on sub- project implementation, as well as procurement and financial management. A list of information and documents to be presented at the social audit meetings will be set out in the POM. Social audit meetings will be held at the village level, to encourage participation, and ensure broad attendance by community/village members and community representatives, community facilitators, representatives of the jamoats and mahalla leaders. The project will fund the support needed to prepare, organize and document community audit meetings. Community scorecards. Communities will also engage in annual community scorecards which will provide opportunity for quick and simple feedback on project implementation. NSIFT with facilitating NGO partners will conduct the scorecard process. The annual scorecard will be conducted prior to the social audit meeting, and provide structured feedback for discussion. 7.4 Institutional Capacity for ESMF Implementation The following entities play an important role in SERSP implementation: (a) NSIFT, (b) CSOs, (d) Jamoats, and (e) Mahalla Committees. Other relevant stakeholders include: Government’s Committee for Environmental Protection (CEP), companies contracted by the NSIFT and CSOs to provide goods, works, and services. 7.4.1 NSIFT The National Social Investment Fund of Tajikistan (NSIFT) is the implementing agency for the project with 20 year experience in implementation of local level development projects. It has implemented in the past several donor financed projects including the Bank’s P044202 and P082977 Poverty Alleviation Projects and currently implementing “Community Funds for the Promotion of Basic Education and Rehabilitation of Community Infrastructure” financed by KfW. 79 The NSIFT is the designated implementing agency for the social development components of the CASA-1000 Community Support Project (CSP) which include similar design features to the proposed project with respect to community and local-level approaches. NSIFT currently has two offices in the Khatlon region and is in the process of opening an office in Khorog, GBAO region. Its local presence will allow the NSIFT to work in close coordination with the offices of the Khatlon and GBAO Regional Governors’ offices, as well as with other local structures to ensure local ownership, good results on the ground, and sustainability of interventions. NSIFT will carry out day to day project management and all necessary coordination with oblasts and districts. Regional offices of NSIFT will directly plan and implement social and environmental risk management. During project implementation, the NSIFT field staff in Bokhtar, Kulob and Khorog will be responsible for: (a) environmental screening and evaluation of subproject eligibility from the environmental point of view; (b) communication and coordination with EA competent authorities (Committee on Environmental Protection); (c) ensuring proper implementation of the ESMP and ESMP Checklist requirements during the subprojects’ realization; (d) addressing complaints and feedback from Project stakeholders and the public, including grievances regarding environmental/social impacts of subprojects; (e) supervision (independently or jointly with the State Ecological Inspectorate) of environmental protection and mitigation measures stipulated in the ESMPs; (f) monitoring of environmental impacts as part of overall monitoring of the subproject implementation; and (g) reporting on environmental impacts originated during implementation of subprojects and analyze the efficiency of mitigation measures applied to minimize negative consequences. This will be done by engineers/technical specialists employed by the NSIFT. The NSIFT will conduct regular supervision of E&S screening, documentation, and mitigation measures for infrastructure project activities, and include the summaries of these supervision activities in its regular reports. It will be described in the Project Operational Manual. For Component 2 investments, NSIFT will support disbursements of subgrants and oversee sub-project implementation, conduct community mobilization and local capacity building, and contract facilitating partner(s) for the implementation of youth inclusion activities in target areas. NSIFT will be responsible for M&E and communications. NSIFT responsibilities will include overall compliance with the provisions of the operations manual, including social and environmental standards compliance, the procurement of goods/works/services, oversight and capacity building for management of subprojects, consultancy services for technical assistance and institutional support, communications and outreach, capacity development of all project stakeholders, monitoring and evaluation, and consolidated reporting. NSIFT will carry out day to day project management and in coordination with 2 regional CSOs, all necessary coordination with oblasts and districts. 7.4.2 CSOs Recognizing the presence of experienced NGOs operating in GBAO and Khatlon target districts, the project will leverage local NGOs who have been successfully delivering youth inclusive services and livelihoods support in the target regions. NSIFT will contract, through a competitive selection process, 80 experienced FPs to carry out community mobilization, capacity building/training, and social accountability and community monitoring activities associated with the Project. NSIFT will maintain responsibility for procuring the technical designs of the infrastructure subprojects, signing the contracts for works, and transferring funds to the contractors. 7.4.3 Local Structures The self-governing Jamoats at the subdistrict level will play a key role in the project working with the communities, NSIFT, FPs, and district authorities in local development planning and subproject implementation (including community procurement). 41 For Subcomponents 1A and 1B, the Jamoats, legal entities established under the 2009 Law on Self Governance in a Town or Township (Article 3, clause 2), will establish Jamoat Project Commissions (JPCs) (as provided for in Article 10) to implement the subprojects located in the territory administered by the Jamoat. Each JPC will consist of 5-9 voluntary members representing the target villages in the Jamoat. Strict membership criteria will apply to ensure the engagement of VPC representatives, an equal number of men and women, and youth, as well as the necessary financial and technical specialists, and NGO representatives. The Jamoat, through its Chairperson, will be required to delegate to the JPC the following responsibilities: (i) to support and represent the target communities in the subproject implementation process as defined in the POM; (ii) to endorse subproject(s) for funding during each cycle, including the youth development activities, and ensuring alignment with the JDP; (iii) to inform NSIFT of target communities subproject selections; (iv) to develop subproject proposal(s), including any ESF-related requirements; (v) to coordinate with NSIFT on the technical designs of the selected subprojects; (vi) to carry out the procurement function or request NSIFT to conduct procurement on their behalf as defined in the SGM; (vii) to oversee contract execution; (viii) to propose and implement O&M plans and resolve issues related to ownership and functionality; and (ix) to coordinate with relevant stakeholders (line departments, utilities, NGOs, districts). The JPC will also prepare documentation for signing by the Jamoat Chairperson as defined in the SGM. A terms of reference for the JPC will be included in the POM. All members will sign a code of conduct. At the community level, Mahalla committees (or other community-based organizations where relevant), will establish Village Project Committees in target villages and areas to mobilize communities, support community capacity building, and lead the selection and implementation of subproject activities. The membership of the VPC will comprise Mahalla committee members, along with additional elected/nominated community members to ensure equal representation of women on the committee. Where possible, fifty percent of the members should be under 30. It is anticipated that committees will vary in size from 8-20 members, given the significant variation in the populations of target communities. The requirements for the establishment of VPCs, and the process for participatory nomination of members, will be included in the POM and their role in subproject implementation will be included in the SGM. 41 The Jamoat is a self-governance body of townships and settlements, which is elected by the voters of settlements and townships and solves issues of local importance within its competence. The activities of the Jamoat are regulated by the Laws of the Republic of Tajikistan (see footnote 10). The Chairperson is the head of the Jamoat, who is elected by the Jamoat council based on the recommendation of the District Chairperson. Jamoat decisions are taken at the Jamoat meeting and signed by the Chairperson. The Jamoat has its own office, which is organized and managed by the Chairperson of the Jamoat. The Jamoat has the right to approve and implement the budget of the township/settlement. The Jamoat council is a collegial body of the Jamoat consisting of 15-40 Jamoat representatives. 81 7.4.4 Other Relevant Government Agencies The GoT’s Committee for Environmental Protection (CEP) is responsible for State Ecological Expertise for all investment projects, and has a comprehensive mandate that includes policy formulation and inspection duties. The CEP has divisions at oblast (region), city and rayon (district) level, in the form of Departments of Environmental Protection (DEPs), within the Khukumat (local administration) at each city or rayon. A small unit in the Committee is entrusted with guiding and managing the preparation of site-specific ESIAs and SEEs. 7.4.5 Other Relevant Stakeholders Contracted companies will be responsible for the design and construction/rehabilitation/installation of physical works in accordance with Tajik environmental norms, regulations and requirements. They will also be responsible for complete implementation of the provisions included in the ESMP Checklists. Contracted companies will also prepare their labor management procedures. 7.5 Training and Technical Assistance As this is the first project with NSIFT prepared under the Bank’s new Environment and Social Framework (ESF), the client’s capacity to deliver an ESF based project is limited; therefore, capacity building for the client including jamoats and contractors will be included in the ESMF as well in other environmental and social instruments to be prepared during preparation and implementation. To improve institutional capacities with regard to ESMF implementation the WB Environmental and Social Specialists will provide special training for the NSIFT and JPC staff focused on: (i) Procedural aspects of ESA (stages, key actors, main responsibilities etc.); (ii) Assessment of environmental and social impacts potentially related to the subproject supported within the project; (iii) Consulting and approval of the ESA and monitoring plans; and (iii) preparing ESMP Checklist; (iv) Conducting field supervision and preparing progress reports. Technical Assistance and capacity building support will be also provided to NGO implementing partners. The NSIFT will procure the services of implementing partner NGOs, including engineers and/or specialists with experience in environmental and social impacts assessment, mitigating measures. These specialists will implement ESMF instruments, and build capacity on environmental and social management issues and possible mitigating measures. Moreover, a training program will be organized through the NSIFT to develop and expand professional skills and capacity in environmental and social management issues. This training will reinforce the capacity within the NSIFT and district level CEPs by providing specialized instruction to conduct environmental assessments and manage and monitor E&S risks and impacts. The program will also support outreach and consultations with local authorities and beneficiaries of subprojects in the target areas to encourage local ownership and continued maintenance of newly established and rehabilitated community facilities. 7.6 ESMF Implementation Budget At the project design stage, for Component 1 activities and substantial risk category subprojects, the 82 NSIFT will be responsible for funding to prepare Environmental and Social Impact Assessments, obtain necessary permits and other relevant activities depending on the nature of the project proposal, its complexity, scale, and so on. For Component 2 moderate and low-risk category subprojects, NSIFT with the support of implementing partner NGO specialists, will be responsible for funding to prepare partial ESIAs or ESMP checklists (Substantial Risk subprojects) and WB Environmental and Social Management Checklists (Moderate Risk subprojects), obtain necessary permits and other relevant activities depending on the nature of the project proposal, its complexity, scale, and so on. Funds for these activities are allocated under Component 3 of the Project. During construction and operation, NSIFT for Component 1&2 Substantial and 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. 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. 83 8. Public Consultations and Disclosure 8.1 ESMF Disclosure The draft ESMF was posted on the NSIFT website on April 3, 2019 (www.nsift.tj). The final version of the ESMF will be officially submitted to the World Bank for disclosure in English on the WB external webpage by April 15, 2019. The English and Russian versions will be also posted on the web page of the NSIFT. The final version of this document will be used by respective government agencies and other Project stakeholders during the project implementation. 8.2 Public Consultations NSIFT conducted local public consultations on this draft ESMF and invited all interested stakeholder organizations including local representatives of the other Government bodies, such as local branches CEP, health & labour departments, local khukumats, jamoats, mahalla leaders and local NGOs from target sites in two locations (Kulob, Panj,) during 13-14 March 2019. During the consultations, the NSIFT presented a summary of draft ESMF and RPF. In particular, the audience was informed about screening of the projects, the Environmental and Social Assessment for Substantial Risk subprojects, potential impacts which may by generated as well as measures to be taken to prevent/mitigate potential impacts. Note that these consultations included resettlement aspects and as such this section only focuses on relevant environmental and social questions that were asked during the consultations. The consultations facilitated active discussions among the participants. Annex 11 presents details of public consultations, lists of participants and pictures. Based on the feedback obtained, the ESMF was revised /updated. Consultation on sub-project environmental assessments. The disclosure of environmental documents for Substantial Risk projects is mandatory, and these are to be made accessible to project-affected groups and local NGOs. There will be at least one round of consultations after preparation of the ESMP (for ESMP checklists the public disclosure can be done virtually by posting on the NSIFT the document and by presenting their hard copies to the local Councils). This might be at the jamoat/mahalla office, local authority offices and/or the central State Ecological Inspectorate or its district sub-divisions. Furthermore, local development planning meetings facilitated by NSIFT/FPs with jamoats and mahallas will provide a forum for project-affected groups and local NGO participants to engage and provide feedback during the environmental assessment process, and their views will be taken into account before finalizing project design and submission of the project to the NSIFT/FPs for further processing. Prior to such consultations, the NSIFT/FPs will provide relevant materials (process descriptions, maps, building plans, etc.) to participants in a timely manner and in a form and languages that are understandable to the group being consulted and records. Consultation on simple subprojects. In the case of new small construction, insignificant reconstruction, change of machinery and equipment etc., which will not have a significant effect on the environment, public consultations can be conducted virtually or in key sites in local public administration offices. For construction/reconstruction activities a notice plate will be installed at the project site. 84 8.3 Grievance Redress Mechanism There are two options for Project stakeholders and citizens to submit complaints regarding the SERSP, i.e. the Project Grievance Redress Mechanism (GRM) and the World Bank Grievance Redress Service (GRS). Separate grievance mechanism for project workers will be established inder labor management procedures. 8.3.1 Objectives of the project-based GRM The GRM in SESRP is incorporated into a broader beneficiary feedback mechanism to be established by NSIFT at the central and local levels of the institution. The project-based GRM is intended to serve as a mechanism to:  Allow for the identification and impartial, timely and effective resolution of issues affecting the project;  Strengthen accountability to beneficiaries, including project affected people, and provide channels for project stakeholders and citizens at all levels to provide feedback and raise concerns. Having an effective GRM in place will also serve the objectives of: reducing conflicts and risks such as external interference, corruption, social exclusion or mismanagement; improving the quality of project activities and results; and serving as an important feedback and learning mechanism for project management regarding the strengths and weaknesses of project procedures and implementation processes. 8.3.2 GRM Overview and Structure Who can communicate grievances and provide feedback? The GRM will be accessible to a broad range of Project stakeholders who are likely to be affected directly or indirectly by the project. These will include beneficiaries, community members, project implementers/contractors, civil society, media—all of who will be encouraged to refer their grievances and feedback to the GRM. What types of grievance/feedback will this GRM address? The GRM can be used to submit complaints, feedback, queries, suggestions or compliments related to the overall management and implementation of the SERSP, as well as issues pertaining to sub projects that are being financed and supported by the SERSP, 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.  Disputes relating to resource use restrictions that may arise between or among affected communities.  Grievances that may arise from members of communities who are dissatisfied with the eligibility criteria, community planning measures, or actual implementation of community energy investments or socio-economic infrastructure.  Issues with land donations, asset acquisition or resettlement specifically for SERSP supported sub projects. The GRM for the SERSP will be based on the Laws of the Republic of Tajikistan “On Citizens’ Appeals” and “On Civil Service” as well as the Instructions of the Government of the Republic of Tajikistan “On the Procedures of Records Management on the Appeals of Citizens”. 85 The GRM’s functions will be based on the principles of transparency, accessibility, inclusiveness, fairness and impartiality and responsiveness. Standards. The SERSP GRM will establish clearly defined timelines for acknowledgment, update and final feedback to the complainant. To enhance accountability, these timelines will be disseminated widely to Project stakeholders. The timeframe for acknowledging receipt of a feedback will not exceed 7 days from the time that it was originally received; if an issue is still pending by the end of 30 days the complainant will be provided with an update regarding the status of the grievance and the estimated time by which it will be resolved; and all grievances will be resolved within 45 days of receipt. Structure. The structure of the Feedback system/GRM for the SERSP will be comprised of four levels, from the level of the mahalla through the central PMU level. Village Level. To ensure that the GRM is accessible to people at the community level, they will have the option to report their complaint/feedback to VPC designated member who will also serve as the grievance focal point (GFP) at the village level. Community members are entitled to contact JPC directly to file a complaint. Jamoat Level. The JPC Grievance Management Committee will be established to address complaint/feedback within 15 days of being apprised of the issue. JPC GMC will be responsible for maintaining logs of the feedback received, as well as issues that have been resolved and those which are pending. If the issue cannot be resolved at the jamoat level, then the JPC GMC will immediately escalate it to a higher level, i.e. either to the GMP at the district level and/or to the NSIFT branch office and or directly to the NSIFT central office. District Level. Grievance Management Committee will be established in each district administration (khukumat) to address and resolve complaints in collaboration with JPC GMC and NSIFT regional offices within 30 days of receiving complaints. NSIFT regional GFPs will be responsible for maintaining feedback logs, and if needed, for liaising with other local government structures. If the issue cannot be resolved by GFPs at the NSIFT regional offices, then it will be escalated to the central NSIFT GFP. Central/PMU Level. If there is a situation in which there is no response from the jamoat/district level GFPs, or the NSIFT GFPs at the branch offices, or if the response is not satisfactory then complainants and feedback providers have the option to contact the NSIFT/PMU directly to follow up on the issue. The NSIFT/PMU GFP will be responsible for complaints and issues related to all districts and components. The NSIFT Director will make a final decision after a thorough review of the investigation and verification findings. The timeline for complaint resolution at the central NSIFT level will be 15 days upon receipt of the complaint. The complainant will be informed of the outcome immediately and at the latest within 5 days of the decision. Appeal Mechanism. If the complaint is still not resolved to the satisfaction of the complainant, then s/he can submit his/her complaint to the appropriate court of law. 86 8.3.3 GRM Communication & Process Communication. Information about the SESRP’s GRM will be publicized as part of the initial feedback consultations in the participating jamoats and villages. Brochures will be distributed during consultations and public meetings, and posters will be displayed in public places such as in government offices, project offices, village notice boards, community centers, etc. Information about the GRM will also be posted online on the NSIFT website (http:/www.nsift.tj). Process. The overall process for the GRM 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 2). Figure 9. Feedback and GRM Process Source: Agarwal, Sanjay and Post, David. 2009. Feedback Matters: Designing Effective Grievance Redress Mechanisms for Bank-Financed Projects – Part I. SDV. World Bank. 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 (jamoat, district, NSIFT branch offices and the NSIFT/PMU). Step 2: Sorting and Processing. To consolidate, monitor and report on information related to grievances, complaints and feedback related to the SESRP will be documented upon receipt/communication at each level of the GRM, and will be classified and prioritized in order to manage the grievance redress process more effectively. Feedback/complaints regarding environmental or social issues related to the SERSP activities will be logged and documented. Step 3: Acknowledgement and Follow-Up. Within 15 days of receiving complaint/feedback, the GFP will inform the complainant about the timeframe and the likely course of action. At the 30-day mark, if a complaint/question is still pending, the 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 provide 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 involves 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. 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 NSIFT PMU will be responsible for consolidating, monitoring and reporting on the total number of complaints, enquiries and 87 other feedback for the SERSP that has been received, resolved and that is pending at the jamoat and district levels, as well as feedback pertaining to the NSIFT. Information compiled by the NSIFT will be essential for reporting on progress on grievance indicators included in the Project Results Framework, and to compile information for semi-annual reporting. Step 6: Providing Feedback. This step entails informing GRM users and the public at large about the results of investigations and the actions taken. GFPs will provide feedback by contacting the complainant directly within a 45-day period of receiving the feedback/complaint. The NSIFT will make quarterly reports available to the World Bank team on the implementation of the Project GRM. In addition, data on grievances and/or original grievance logs will be made available to World Bank missions upon request. 8.3.4 Grievance Logs The Grievance Focal Points will maintain local grievance logs to ensure that each complaint has an individual reference number and is appropriately tracked and recorded actions are completed. When receiving feedback, including grievances, the following is defined: - Type of appeal - Category of appeal - People responsible for the study and execution of the appeal - Deadline of resolving the appeal. - Agreed action plan The Project Social Development Specialists (one in each NSIFT branches in Kulob, Bokhtar and Khorog) will ensure that each complaint has an individual reference number and is appropriately tracked and recorded actions are completed. The log should contain the following information: Name of the PAP, his/her location and details of his / her complaint. Date of reporting by the complaint. Date when the Grievance Log was uploaded onto the project database. Details of corrective action proposed, name of the approval authority. Date when the proposed corrective action was sent to the complainant (if appropriate). Details of the Grievance Committee meeting (if appropriate). Date when the complaint was closed out. Date when the response was sent to the complainant. 8.3.5 Monitoring and Reporting on Grievances The NSIFT social development specialists will be responsible for:  Collecting and analyzing the qualitative data from GFPs 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 GRM mechanisms to the NSIFT M&E Specialist at PMU. Quarterly reports to be submitted by NSIFT shall include Section related to GRM which provides updated information on the following: 88 1. Status of GRM implementation (procedures, training, public awareness campaigns, budgeting etc.); 2. Qualitative data on number of received grievances/(applications, suggestions, complaints, requests, positive feedback), highlighting those grievances related to the WB ESS on Involuntary Resettlement and number of resolved grievances; 3. Quantitative data on the type of grievances and responses, issues provided and grievances that remain unresolved; 4. Level of satisfaction by the measures (response) taken; 5. Any correction measures taken. 8.3.6 World Bank Grievance Redress System Communities and individuals who believe that they are adversely affected by a World Bank (WB) supported project may submit complaints to existing project-level grievance redress mechanisms or the WB’s Grievance Redress Service (GRS). The GRS ensures that complaints received are promptly reviewed in order to address project-related concerns. Project affected communities and individuals may submit their complaint to the WB’s independent Inspection Panel which determines whether harm occurred, or could occur, as a result of WB non-compliance with its policies and procedures. Complaints may be submitted at any time after concerns have been brought directly to the World Bank’s attention, and Bank Management has been given an opportunity to respond. For information on how to submit complaints to the World Bank’s corporate Grievance Redress Service (GRS), please visit http://www.worldbank.org/en/projects-operations/products-and-services/grievance-redress-service. For information on how to submit complaints to the World Bank Inspection Panel, please visit www.inspectionpanel.org. 89 Annex 1.Examples of Adverse Environmental and Social Risks and Impacts and Proposed Mitigation Measures under the Community Socio-Economic Infrastructure Subprojects No Project activity Type of risks and impacts Scale of risk or Mitigation measures impact (local/ regional; temporary/ permanent) 1 Access to water Emissions during Local and Strict control over the accumulated wastes supply for dismantling and installing temporary management and use of motor vehicles and drinking water pipelines (welding construction equipment will be implemented in (replacement of equipment, motor accordance with established standards; the optimal water pipes; vehicles); soil damage; route for water supply networks will be selected; building new possible cutting down of involvement of highly qualified specialists to be water supply trees; labor safety; loss of preliminary instructed on safety requirements; network; building access to public facilities alternative roads and pathways will be created to of small water provide access to public facilities; Any land needs intake; Changes in hydrology / will be on voluntary land donation basis, after first construction of drainage in pipeline ensuring strict criteria are met, utilize public land overhead water networks or follow existing right-of way. The project can tanks) utilize a willing buyer – willing seller to acquire use of land on permanent or temporary lease basis. No sub-project which requires involuntary land acquisition will be funded. Design provisions for alternative drainage flows should be prepared. 2 Access to water Dumping of excavated Local and Minimize damage to vegetative cover; for irrigation and sediments from drainage temporary Collection of sediments, silts agriculture canals; Proper disposal of sediments; (rehabilitation of Damage to adjacent Wastewater, including those from aggregate on farm irrigation vegetation; processing and concrete batching, must not enter infrastructure; Water pollution streams without settling ponds cleaning of on- Waste water discharges, Dust from the handling or transporting of farm and drainage Surface and ground water aggregates, cement, etc., should be minimized by channels; pollution sprinkling or other methods. rehabilitation of Air emissions of dust and Prevent air pollution by dust, emissions from pumping stations cement transport vehicles; and vertical Noise Appropriate waste management during drainage wells Solid wastes construction works; repairs) Accidental spillages Prevention of spillage of contaminants, debris, or Occupational hazards other pollutants, into streams or underground water resources. Such pollutants include untreated sewage and sanitary waste and petroleum products; Limitation of works time Apply good practices for occupational health and safety, including regular training, orientation and instructions. 90 3 Energy Waste accumulated during Local and During the construction stage construction waste conservation dismantling of equipment temporary management will be arranged based on the subprojects and construction units; air national standards, with special attention to (insulated doors, pollution during asbestos containing insulated materials and windows in demolition and removal of roofing handling. Workers will be instructed about schools, equipment and occupational safety requirements and provided kindergartens and construction units, noise with uniforms, respirators, glasses, gloves, etc. medical centers) and dust as a result of working equipment; labor safety 4 Energy efficient Water pollution, water Local and Appropriate erosion, sediment, water quality and water pumps leakage, labor safety temporary leakage control measures to be taken to prevent issues excessive turbidity in nearby streams and impacts on neighborhood. Workers and communities are instructed about the safety measures. 5 Implementation Indoor and outdoor air Local and Based on an initial study, new more energy of clean efficient pollutions temporary efficient type of stoves and necessary associated heating stoves or mitigation measures will be recommended to solar powered avoid indoor air pollution. cookers 6 Installing of street Contamination Local and Collection of luminescent lamps and other similar lighting of construction site with temporary waste and delivery to designated (including solar- waste containing heavy landfills/dumpsites for subsequent reprocessing powered systems) metals 7 Small renewable Air pollution due to Local and To reduce air pollution, the project provides for energy operation of boilers and temporary the use of new energy and cost efficient solar subprojects/activi heaters; water powered heaters/pumps; water consumption and ties (solar consumption and discharge will be reduced through the introduction powered PVs, or contaminated water of a closed heat supply system and construction of solar powered discharge; construction individual heating substations in residential and water heaters/ wastes due to maintenance public buildings; distribution of all wastes collectors, heat and overhaul of boiling accumulated during maintenance works among pumps) equipment; worker safety enterprises specialized in their disposal and issues storage; personnel training on occupational safety and measures towards compliance with occupational safety requirements; providing protective equipment. 8 Rehabilitation of Inappropriate handling of Local and ACM will not be used as a new material in kindergartens and asbestos materials temporary rehabilitation works or new buildings. schools, roads, Construction-related Existing asbestos-cement roofing sheets and footpaths and impacts (dust, noise, materials will be removed and disposed based on bridges, and safety of workers and the national standards and WB requirements. sports/social neighborhood residents, During the construction stage EHS issues will be facilities loss of access to public managed based on the mitigation measures set up facilities) in the ESMP Checklist (like operations during normal working hours only; access roads will be watered during dry periods, during planning phase ensure that local people are aware of restrictions during construction and alternative arrangements for access are provided; ensure construction workers are given safety instruction; ensure safety officers on site; ensure effective signage for the public and ensure that all exposed construction 91 areas are barricaded from public access) 9 Small-scale Solid waste management Local Ensuring EHS requirements specified in the site storage and/or Noise air and soil Temporary specific ESMPs which would include: operations processing pollution; during normal working hours only; access roads facilities for Waste waters; will be watered during dry periods, during horticultural Labor safety planning phase ensure that local people are aware products; of restrictions during construction and alternative arrangements for access are provided; local waste water treatment; ensure construction workers are given safety instruction; ensure safety officers on site; ensure effective signage for the public and ensure that all exposed construction areas are barricaded from public access. 10 Installation or Construction-related Local and During the transformers’ installation, the replacements of impacts (safety of workers temporary environment, health and safety (EHS) issues will energy supply- and neighborhood be included in the contract provisions and would level transformers residents, loss of access to include proper organization of works, labor safety public facilities) requirements, and proper cleanup and recultivation Pollution of land and in the case of incidental spills. ground water by oil products. 11 Installing new Construction-related Local and During the construction stage EHS issues will be energy supply impacts (dust, noise, temporary managed based on the mitigation measures set up lines and poles safety, loss of access to in the ESMP Checklist (like operations during and replacing old public facilities) normal working hours only; access roads will be ones watered during dry periods, during planning phase ensure that local people are aware of restrictions during construction and alternative arrangements for access are provided; ensure construction workers are given safety instruction; ensure safety officers on site; ensure effective signage for the public and ensure that all exposed construction areas are barricaded from public access) 92 12 Any socio- Social tensions and Local and This risk will be mitigated through economic conflicts at the community temporary communications and awareness-raising activities infrastructure level that clearly communicate project eligibility criteria subproject to stakeholders within Project districts, and the operation of a project grievance redress mechanism (GRM) should residents raise concerns after awareness-raising activities take place. 13 Subprojects Non-compliance with Local The Client is to ensure contractors and implemented by labour laws and unfair subcontractors comply with labour laws and sub-contractors wages; standards and implement fair work practices Gender discrimination Unfair wages 14 Infrastructure social intensity between local Attraction of manpower from other regions can rehabilitation / workers and local temporary lead to occurrence of some social problems and construction residents possible intensity between workers and local subprojects residents. The opportunity of hiring of local workers can reduce also to a minimum necessity of maintenance of workers habitation and other necessary conditions connected to it and convenience. 93 Annex 2. Screening of Categories of Proposed Types of Subprojects No Project activity Risk Remarks Proposed EA instrument category A. Supply Improvements Subprojects 1 Replacement of existing Moderate/Su In the case the The initial step in subproject EA is oil supply-level transformers bstantial transformer’s oil sampling and conducting its express contains PCBs, analysis. In the case the PCBs will be the project will be identified, and then a simple ESMP should Substantial Risk be prepared which would specify Category measures for storage and disposal of these substances, as well as safety measures, that should be prepared and approved by the subproject beneficiary and environmental authorities. 2. Installation of new supply- Moderate The contract provisions should specify level transformers labor safety rules and that the new transformers do not have oil containing PCBs 3 Installing new lines and poles Moderate The contractors should ensure labor safety and replacing old ones issues and provide before starting the civil works special EHS training. 4 Constructing/rehabilitation of Moderate ESMP Checklist for rehabilitating the distribution substation electrical substations. Before preparing the (installing ESMP Checklist, it is necessary to conduct transformers/disconnectors, oil sampling and its express analysis. In relay protection, the case the PCBs will be identified, then telecommunication devices, the ESMP should be complemented with a etc) special section that would specify measures for storage and disposal of these substances, as well as safety measures, that should be prepared and approved by the subproject beneficiary and environmental authorities. B. Energy Efficiency Subprojects 6 Implementation of clean Low Potential impacts are associated mostly efficient heating stoves or with the indoor and outdoor air pollutions, solar powered cookers which are short term and site specific and will be mitigated by recommending, based on an initial study, actions for improving the individual stoves performance or new, more energy efficient type of stoves 7 Installing of street lighting Low The contractors should ensure labor safety (including solar-powered issues and provide before starting the civil systems) works special EHS training 8 Small renewable energy Moderate The contractors should ensure labor safety elements (solar powered PVs, issues and provide before starting the civil or solar powered water works special EHS training heaters/collectors, heat pumps) 94 9 Energy conservation Moderate/Su In the case of For Moderate Risk Category subprojects – subprojects (insulated doors, bstantial hazardous the contractors should ensure labor safety windows in schools, materials will be issues and provide before starting the civil kindergartens and medical founded (asbestos works special EHS training; for centers) containing Substantial Risk Category – prepare material) or lead ESMP Checklist containing paints to be replaced. 10 Energy efficient water pumps Moderate The contractors should ensure labor safety issues and provide before starting the civil works special EHS training C. Community Socio-Economic Infrastructure subprojects 11 Access to water supply for Moderate/Su In the case of For Substantial Risk Category subprojects drinking (replacement of bstantial building of a new – simple ESIA and ESMP/or ESMP water pipes; building new water supply Checklist water supply network; network and new building of small water water intake – intake; construction of Substantial Risk overhead water tanks) Category/ In case of replacing old pipes; rehabilitating existing water intakes or construction of overhead tanks – Moderate Risk Category 12 Access to water for irrigation Substantial Simple ESMP and agriculture (rehabilitation of on farm irrigation infrastructure; cleaning of on- farm and drainage channels; rehabilitation of pumping stations and vertical drainage wells repairs) 13 Rehabilitation of Substantial ESMP Checklist kindergartens and schools, roads, footpaths and bridges, and sports/social facilities 14 Economic infrastructure, such Substantial ESMP Checklist for small storages and as small-scale storage and/or simple ESIA and ESMP for new processing facilities for processing facilities for horticultural horticultural products; products 95 Annex 3. Environmental Screening Checklist Part 1 (to be completed by NSIFT regional staff) 1. Sub-Project Name and Code: 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 (the description can be copied from the subproject proposal and attached). 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. Explain what land needs will be needed and identify who owns the land, who is using the land, and/ or how land will be acquired. Part 2 (to be completed by the NSIFT based on the findings of the environmental screening and scoping process) Project Environmental Risk Category (Substantial or Moderate) _____ Site-specific ESIA and/or ESMP and ESMP Checklist is required (yes or no) _____ What are the specific issues to be addressed in the EIA/EMP? Environmental Screener: Date: 96 Annex 4. Social Screening Checklist Activities Yes No Notes 1 Purchase of land, buildings (residential and business) If "Yes", and answers other questions "No", provide relevant documents, available for the final sales transaction 2 Acquisitions or expansion of the business, which will be implemented by the demolition/ relocation homeowners, renters, formal and informal user If yes, exclude from financing assets 3 Acquisition of assets, which will cause the loss of access of people or a particular community/groups, especially ethnic minorities to: · Natural resources If yes, exclude from financing · The traditional habitat · The traditional activities · Communal utilities 4 Acquisitions/or expansion of a business that can promote/increase the risk of: 1. Violation of the labor code and laws including the use of child labor 2. Harassment of ethnic minority groups in the areas of project (related to their identity, dignity and livelihoods of the system If yes, exclude from financing of subsistence, cultural identity) 3. Human trafficking and forced labor 5 Will there be land acquisition using eminent domain law? If yes, exclude from financing 6 Will there be permanent or temporary loss of shelter and residential land due to land acquisition? If yes, exclude from financing 7 Will there be permanent or temporary loss of agricultural and other productive assets due to land acquisition? If yes, exclude from financing 8 Will there be permanent losses of crops/croplands, forest If yes, exclude from financing areas, and fixed assets associated with national protected areas/critical natural habitats? 9 Will there be permanent or temporary loss of businesses or enterprises due to land acquisition? If yes, exclude from financing 10 Will there be permanent or temporary loss of income sources and means of livelihoods due to land acquisition? If yes, exclude from financing 11 If land or private property is purchased through negotiated settlement or willing buyer-willing seller, will it result in the permanent or temporary removal or displacement of renters, or leaseholders? If yes, exclude from financing 12 If land or private property is purchased through negotiated settlement or willing buyer-willing seller, will it result in the permanent or temporary removal or displacement of informal land-users (people without legal rights on the land) or If yes, exclude from financing squatters? 97 13 Will the project involve any permanent or temporary restrictions in land use or access to legally designated parks or protected areas and cause people or any community to lose access to natural resources, traditional habitats, communal If yes, exclude from financing land, or communal facilities? 14 Will the project use government land or any public land or property, which will require the permanent or temporary removal of informal occupants or users (residential or If yes, exclude from financing economic)? 15 Are there any cultural or archeological sites nearby that could be impacted by project activities? If yes, exclude from financing Annex 5. Results of Environmental and Social Screening Prepared by: Risk Category "High". Significant impact, exclude from financing Name and Signature: Designation: Risk Category "Substantial". Limited or temporary impact Date: Approved by: Risk Category “Moderate" Limited or temporary impact Name and Signature: Risk Category “Low” Designation: 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. 98 Annex 6. Environmental and Social Impact Assessment Report Outline A site-specific Environmental and Social Impact Assessment for Substantial Risk subprojects focuses on the significant environmental issues raised by a Sub-project. Its primary purpose is to identify environmental impacts and those measures that, if incorporated into the design and implementation of a project can assure that the negative environmental effects will be minimized. The scope and level of detail required in the analysis depend on the magnitude and severity of potential impacts. The environmental and social impact assessment report should include the following elements: 1. Executive Summary. This summarizes the significant findings and recommended actions. 2. Policy, legal and administrative framework. This section summarizes the legal and regulatory framework that applies to environmental management in the jurisdiction where the study is done. 3. Project Description. Describes the nature and scope of the project and the geographic, ecological, temporal and socioeconomic context in which the project will be carried out. The description should identify social groups that will be affected, include a map of the project site, identify impacts on land or assets, and identify any off-site or support facilities that will be required for the project. 4. Baseline data. Describe relevant physical, biological and social condition including any significant changes anticipated before the project begins. Data should be relevant to project design, location, operation or mitigation measures. 5. Environmental and Social Impacts. Describe the likely or expected positive and negative impacts in quantitative terms to the extent possible. Identify mitigation measures and estimate residual impacts after mitigation. Describe the limits of available data and uncertainties related to the estimation of impacts and the results of proposed mitigation. 6. Analysis of Alternatives. Systematically compare feasible alternatives to the proposed project location, design and operation including the "without project" alternative in terms of their relative impacts, costs and suitability to local conditions. For each of the alternatives quantify and compare the environmental impacts and costs relative to the proposed plan. 7. Environmental and Social Management Plan (ESMP). If significant impacts requiring mitigation are identified, the ESMP defines the mitigation that will be done, identifies key monitoring indicators and any needs for institutional strengthening for effective mitigation and monitoring to be carried out. Annexes should include: (i) The list of ESA preparers; (ii) References used in study preparation; (iii) A chronological record of interagency meetings and consultations with NGOs and effected constituents; (iv) Tables reporting relevant data discussed in the main text, and; (v) A list of associated reports such as voluntary land donations list or social assessments that were prepared for the project. 99 Annex 7. Environmental and Social Management Plan Content and Format General Remarks. Environmental and Social Management Plan (ESMP) for subprojects should outline the mitigation, monitoring and administrative measures to be taken during project implementation to avoid or eliminate negative environmental impacts. For projects of intermediate environmental risk (Substantial risk projects), ESMP may also be an effective way of summarizing the activities needed to achieve effective mitigation of negative environmental impacts (description of Environmental and Social Management Plan is provided in Attachment 1 below). The Management Plan format provided in Attachment 2 below. It represents a model for development of an ESMP. The model divides the project cycle into three phases: construction, operation and decommissioning. For each phase, the preparation team identifies any significant environmental impacts that are anticipated based on the analysis done in the context of preparing an environmental assessment. For each impact, mitigation measures are to be identified and listed. Estimates are made of the cost of mitigation actions broken down by estimates for installation (investment cost) and operation (recurrent cost). The ESMP format also provides for the identification of institutional responsibilities for "installation" and operation of mitigation devices and methods. To keep track of the requirements, responsibilities and costs for monitoring the implementation of environmental mitigation identified in the analysis included in an environmental assessment for High Risk and Substantial Risk projects, a monitoring plan may be useful. A Monitoring Plan format is provided in Attachment 3 below. Like the ESMP the project cycle is broken down into three phases (construction, operation and decommissioning). The format also includes a row for baseline information that is critical to achieving reliable and credible monitoring. The key elements of the matrix are:  What is being monitored?  Where is monitoring done?  How is the parameter to be monitored to ensure meaningful comparisons?  When or how frequently is monitoring necessary or most effective?  Why is the parameter being monitored (what does it tell us about environmental impact)? In addition to these questions, it is useful to identify the costs associated with monitoring (both investment and recurrent) and the institutional responsibilities. When a monitoring plan is developed and put in place in the context of project implementation, the PMU will request reports at appropriate intervals and include the findings in its periodic reporting to the World Bank and make the findings available to Bank staff during supervision missions. 100 Attachment 1 Description of the of the Environmental and Social Management Plan The Environmental and Social Management Plan (ESMP) identifies feasible and cost-effective measures that may reduce potentially significant adverse environmental impacts to acceptable levels. The plan includes compensatory measures if mitigation measures are not feasible, cost- effective, or sufficient. Specifically, the ESMP (a) identifies and summarizes all anticipated significant adverse environmental impacts (including those involving indigenous people or involuntary resettlement); (b) 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; (c) estimates any potential environmental impacts of these measures; and (d) provides linkage with any other mitigation plans (e.g., for involuntary resettlement, indigenous peoples, or cultural property) required for the project. Monitoring Environmental monitoring during project implementation provides information about key environmental aspects of the project, particularly the environmental impacts of the project and the effectiveness of mitigation measures. Such information enables the borrower and the Bank to evaluate the success of mitigation as part of project supervision, and allows corrective action to be taken when needed. Therefore, the ESMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the ESA report 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. Capacity Development and Training To support timely and effective implementation of environmental project components and mitigation measures, the ESMP draws on the EA's assessment of the existence, role, and capability of environmental units on site or at the agency and ministry level.3 If necessary, the ESMP recommends the establishment or expansion of such units, and the training of staff, to allow implementation of EA recommendations. Specifically, the ESMP provides a specific description of institutional arrangements-who is responsible for carrying out the mitigatory and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). To strengthen environmental management capability in the agencies responsible for implementation, most EMPs cover one or more of the following additional topics: (a) technical assistance programs, (b) procurement of equipment and supplies, and (c) organizational changes. 101 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. 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 will be executed effectively. Consequently, the Bank expects the plan to be specific in its description of the individual mitigation and monitoring measures and its assignment of institutional responsibilities, and it must be integrated into the project's overall planning, design, budget, and implementation. Such integration is achieved by establishing the ESMP within the project so that the plan will receive funding and supervision along with the other components. 102 Attachment 2 Environmental Management Plan Format Phase Environmental Mitigation Cost Institutional Remarks Impact Measure(s) Responsibility Install Operate Install Operate Construction Operation Decommissioning Attachment 3 Environmental Monitoring Plan Format Phase What Where will How will When will Why is the Cost Institutional parameter is the the the parameter Responsibility to be parameter parameter parameter being monitored? be be be monitored? Install Operate Install Operate monitored? monitored? monitored? Baseline Construction Operation De- commissioning 103 Annex 8. Environmental and Social Management Checklist for Small Construction and Rehabilitation Activities General Guidelines for use of ESMP checklist For low-risk topologies, such as school and hospital rehabilitation activities, the ECA team developed an alternative to the current ESMP format to provide an opportunity for a more streamlined approach to preparing ESMPs for minor rehabilitation or small-scale works in building construction, in the health, education and public services sectors. The checklist-type format has been developed to provide “example good practices” and designed to be user friendly and compatible with safeguard requirements. The EMP checklist-type format attempts to cover typical core mitigation approaches to civil works contracts with small, localized impacts. It is accepted that this format provides the key elements of an Environmental and Social Management Plan (ESMP) or Environmental and Social Management Framework (ESMF) to meet World Bank Environmental and Social Assessment requirements under ESS1. The intention of this checklist is that it would be applicable as guidelines for the small works contractors and constitute an integral part of bidding documents for contractors carrying out small civil works under Bank-financed projects. The checklist has four sections: Part 1 includes a descriptive part that characterizes the project and specifies in terms the institutional and legislative aspects, the technical project content, the potential need for capacity building program and description of the public consultation process. This section could be up to two pages long. Attachments for additional information can be supplemented when needed. Part 2 includes an environmental and social screening checklist, 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 is made to the appropriate section in the following table, which contains clearly formulated management and mitigation measures. Part 3 represents the monitoring plan for activities during project construction and implementation. It retains the same format required for ESMPs proposed under normal Bank requirements for Substantial risk projects. It is the intent of this checklist that Part 2 and Part 3 be included into the bidding documents for contractors, priced during the bidding process and diligent implementation supervised during works execution. Part 4 includes a descriptive part on voluntary land donations. Any land acquired through Voluntary Land Donation must first meet the following criteria:  Land to be donated must be identified by the community through a participatory approach  Impacts of proposed activities on donated land must be fully explained to the donor  The potential donor is aware that refusal is an option, and that right of refusal is specified in the donation document the donor will sign  The act of donation is undertaken without coercion, manipulation, or any form of pressure on the part of public or traditional authorities  The donor may request monetary or non-monetary benefits or incentives as a condition for donation  The proportion of land that may be donated cannot exceed the area required to maintain the donor’s livelihood or that of his/her household 104  Land donation cannot result in a lower standard of living or income generation, on the donor or the donor’s household  Donation of land cannot occur if it requires any household relocation  For community or collective land, donation can only occur with the consent of individuals using or occupying the land  Verification must be obtained from each person donating land (either through proper documentation or through confirmation by at least two witnesses)  The implementing agency establishes that the land to be donated is free of encumbrances or encroachment and registers the donated land in an official land registry  Any donated land that is not used for its agreed purpose is returned to the donor  The donor will not be required to pay any transaction fees for transfer of land Contents of the ESMP Checklist A. General Project and Site Information B. ESF Information C. Mitigation Measures D. Monitoring Plan PART A: GENERAL PROJECT AND SITE INFORMATION SITE DESCRIPTION Name of site Describe site location Attachment 1: Site Map [ ]Y [ ] N Who owns the land? Description of geographic, physical, biological, geological, hydrographic and socio-economic context Locations and distance for material sourcing, especially aggregates, water, stones? 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 building? [ ] N or [ ]Y if Yes, Attachment 2 includes the capacity building program 105 PART B: E&S INFORMATION ENVIRONMENTAL /SOCIAL SCREENING Activity/Issue Status Triggered Actions Building rehabilitation [ ] Yes [ ] No See Section A below New construction [ ] Yes [ ] No See Section A below Individual wastewater treatment system [ ] Yes [ ] No See Section B below Will the site activity Historic building(s) and districts [ ] Yes [ ] No See Section C below include/involve any of the Acquisition of land [ ] Yes [ ] No See Section D below following? Hazardous or toxic materials [ ] Yes [ ] No See Section E below Impacts on forests and/or protected areas [ ] Yes [ ] No See Section F below Handling / management of medical waste [ ] Yes [ ] No See Section G below Traffic and Pedestrian Safety [ ] Yes [ ] No See Section H below 106 PART C: MITIGATION MEASURES ACTIVITY PARAMETER MITIGATION MEASURES CHECKLIST 0. General Notification and The local construction and environment inspectorates and communities have been notified of upcoming activities Conditions Worker Safety 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) All legally required permits have been acquired for construction and/or rehabilitation The Contractor formally agrees that all work will be carried out in a safe and disciplined manner designed to minimize impacts on neighboring residents and environment. Workers’ PPE will comply with international good practice (always hardhats, as needed masks and safety glasses, harnesses and safety boots) Appropriate signposting of the sites will inform workers of key rules and regulations to follow. A. General Air Quality During interior demolition debris-chutes shall be used above the first floor Rehabilitation Demolition debris shall be kept in controlled area and sprayed with water mist to reduce debris dust and /or During pneumatic drilling/wall destruction dust shall be suppressed by ongoing water spraying and/or installing dust screen Construction enclosures at site Activities The surrounding environment (side-walks, roads) shall be kept free of debris to minimize dust There will be no open burning of construction / waste material at the site There will be no excessive idling of construction vehicles at sites Noise Construction noise will be limited to restricted times agreed to in the permit During operations the engine covers of generators, air compressors and other powered mechanical equipment shall be closed, and equipment placed as far away from residential areas as possible Water Quality 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. 107 Waste Waste collection and disposal pathways and sites will be identified for all major waste types expected from demolition and management construction activities. Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical wastes by on-site sorting and stored in appropriate containers. Construction waste will be collected and disposed properly by licensed collectors The records of waste disposal will be maintained as proof for proper management as designed. Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos) B. Individual Water Quality The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction) must be wastewater approved by the local authorities treatment system 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 Monitoring of new wastewater systems (before/after) will be carried out Construction vehicles and machinery will be washed only in designated areas where runoff will not pollute natural surface water bodies. C. Historic Cultural Heritage If the building is a designated historic structure, very close to such a structure, or located in a designated historic district, building(s) notification shall be made and approvals/permits be obtained from local authorities and all construction activities planned and carried out in line with local and national legislation. It shall be ensured that provisions are put in place so that artifacts or other possible “chance finds” encountered in excavation or construction are noted and registered, responsible officials contacted, and works activities delayed or modified to account for such finds. ACTIVITY PARAMETER MITIGATION MEASURES CHECKLIST D. Acquisition of Land Use Criteria No land will be involuntarily acquired land Any land donations must meet Voluntary Land Donation criteria (see Annex 11 checklist) Land can be purchased, or leased, on a willing buyer-willing seller basis Works will utilize vacant government land, occur within existing footprint, or follow right-of-way or easements 108 E. Toxic Asbestos If asbestos is located on the project site, it shall be marked clearly as hazardous material Materials management When possible the asbestos will be appropriately contained and sealed to minimize exposure The asbestos prior to removal (if removal is necessary) will be treated with a wetting agent to minimize asbestos dust Asbestos will be handled and disposed by skilled & experienced professionals If asbestos material is be stored temporarily, the wastes should be securely enclosed inside closed containments and marked appropriately. Security measures will be taken against unauthorized removal from the site. The removed asbestos will not be reused Toxic / hazardous Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of waste management composition, properties and handling information The containers of hazardous substances shall be placed in a leak-proof container to prevent spillage and leaching The wastes shall be transported by specially licensed carriers and disposed in a licensed facility. Paints with toxic ingredients or solvents or lead-based paints will not be used F. Affected Protection All recognized natural habitats, wetlands and protected areas in the immediate vicinity of the activity will not be damaged or forests, wetlands exploited, all staff will be strictly prohibited from hunting, foraging, logging or other damaging activities. and/or protected A survey and an inventory shall be made of large trees in the vicinity of the construction activity, large trees shall be marked areas and cordoned off with fencing, their root system protected, and any damage to the trees avoided Adjacent wetlands and streams shall be protected from construction site run-off with appropriate erosion and sediment control feature to include by not limited to hay bales and silt fences There will be no unlicensed borrow pits, quarries or waste dumps in adjacent areas, especially not in protected areas. G. Disposal of Infrastructure for In compliance with national regulations the contractor will insure that newly constructed and/or rehabilitated health care medical waste medical waste facilities include sufficient infrastructure for medical waste handling and disposal; this includes and not limited to: management Special facilities for segregated healthcare waste (including soiled instruments “sharps”, and human tissue or fluids) from other waste disposal; and Appropriate storage facilities for medical waste are in place; and If the activity includes facility-based treatment, appropriate disposal options are in place and operational 109 H Traffic and Direct or indirect (a) In compliance with national regulations the contractor will insure that the construction site is properly secured and Pedestrian Safety hazards to public construction related traffic regulated. This includes but is not limited to traffic and Signposting, warning signs, barriers and traffic diversions: site will be clearly visible and the public warned of all potential pedestrians by hazards construction Traffic management system and staff training, especially for site access and near-site heavy traffic. Provision of safe activities passages and crossings for pedestrians where construction traffic interferes. Adjustment of working hours to local traffic patterns, e.g. avoiding major transport activities during rush hours or times of livestock movement Active traffic management by trained and visible staff at the site, if required for safe and convenient passage for the public. Ensuring safe and continuous access to office facilities, shops and residences during renovation activities, if the buildings stay open for the public. PART D: MONITORING PLAN What Where How When Why Who Activity (Is the parameter to (Is the parameter to (Is the parameter to (Define the frequency / (Is the parameter (Is responsible for be monitored?) be monitored?) be monitored?) or continuous?) being monitored?) monitoring?) 1. Type of activity 2. Type of activity 3. Type of activity 110 Example of an Environmental Monitoring Plan for Small Scale Construction/Rehabilitation under selected Subprojects WHEN HOW is the WHY WHERE WHAT is the parameter parameter to is the parameter PHASE is the parameter COST RESPONSIBILITY is the parameter to be monitored? to be be being to be monitored? monitored?? monitored? monitored? (frequency)? Designing Implementation of ESMP guidelines Design project Review of Prior Recommended Should be CEP (RECOMMENDATIONS) for construction, elaborates and approval for due to national part of the Designer, Contractor reconstruction adaptation construction legislation Project and adaptation. designs. as part of requiring a project construction monitoring permit. program. Parameters given in construction permit - Main Project A part of During Regular review Included in PMU E&S Specialist, all special conditions of construction issued documentation regular construction stipulated in the the inspectorate of the by different bodies inspection by and prior to Law, and if any construction CEP and the Committee issuance of public phase, costs Construction for the Operation complaint is of Inspection Environmental permit sent to the CEP, Contractors Protection or the (CEP) and the Construction Constructio Construction Inspection. n Inspection Supporting A part of After Needed in Expenditure PMU E&S Construction waste management (including documents for regular reporting on accordance with of the CEP Specialists, hazardous) waste, which is inspection by waste the waste- and the inspectorate of the submitted to the the CEP and management related Construction CEP and competent Construction regulations Inspection Construction communal Inspection and low costs Inspection enterprise for the Contractor 111 WHEN HOW is the WHY WHERE WHAT is the parameter parameter to is the parameter PHASE is the parameter COST RESPONSIBILITY is the parameter to be monitored? to be be being to be monitored? monitored?? monitored? monitored? (frequency)? Cultural Heritage- “chance finds” Notification shall A part of During It shall be Transportatio NSIFT/PMU encountered during excavation or be made and regular construction ensured that n costs for branches construction. If the building is a designated approvals/permit inspection by as part of provisions are the contractor historic structure, very close to such a s are obtained the CEP and project put in place so structure, or located in a designated historic from local Construction monitoring that artifacts or district, for such finds. authorities and Inspection program. other possible all construction “chance finds” activities planned encountered in and carried out in excavation or line with local construction are and national noted and legislation. registered, responsible officials contacted, and works activities delayed or modified to account Operation Waste management Based on the Reports to the After Should be Costs of the Project beneficiary, supporting CEP reporting to monitored in project competent communal documents for the CEP on line with the beneficiary company and the CEP waste, which is waste regulations on and the CEP submitted to the management. waste CEP management. 112 PART 2: ENVIRONMENTAL /SOCIAL SCREENING ACTIVITY ENVIRONMENTAL MITIGATION MEASURES CHECKLIST ISSUE/ PARAMETER A. Contractor mobilization Notification and Worker The local construction and environment inspectorates and communities have been notified of upcoming (General Conditions) Safety activities 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) All legally required permits have been acquired for construction and/or rehabilitation All work will be carried out in a safe and disciplined manner designed to minimize impacts on neighboring residents and environment. Workers’ PPE will comply with international good practice (always hardhats, as needed masks and safety glasses, harnesses and safety boots) Appropriate signposting of the sites will inform workers of key rules and regulations to follow. B. Rehabilitation and /or Air Quality Keep demolition debris in controlled area and spray with water mist to reduce debris dust Construction Activities Suppress dust during pneumatic drilling/wall destruction by ongoing water spraying and/or installing dust screen (civil works) enclosures at site Keep surrounding environment (side-walks, roads) free of debris to minimize dust There will be no open burning of construction / waste material at the site There will be no excessive idling of construction vehicles at sites Noise Construction noise will be limited to restricted times agreed to in the permit During operations the engine covers of generators, air compressors and other powered mechanical equipment should be closed, and equipment placed as far away from residential areas as possible Waste management Waste collection and disposal pathways and sites will be identified for all major waste types expected from demolition and construction activities. Mineral construction and demolition wastes will be separated from general refuse, organic, liquid and chemical wastes by on-site sorting and stored in appropriate containers. Construction waste will be collected and disposed properly by licensed collectors The records of waste disposal will be maintained as proof for proper management as designed. Whenever feasible the contractor will reuse and recycle appropriate and viable materials (except asbestos) 113 C. Wastewater Water Quality 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. The approach to handling sanitary wastes and wastewater from building sites (installation or reconstruction) must be approved by the local authorities 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 Monitoring of new wastewater systems (before/after) will be carried out; Actions of contractors must be accomplished in a way to prevent accidental spilling of waste water from entering to the reservoirs or into groundwater during processing and mixing of concrete. They must not fall into the water courses/canals without special settling in dams (pools), and without passing through special gravel filters and other processing. D. Cultural Heritage Cultural Heritage If any cultural artifacts or other possible archeological “chance finds” are encountered during excavation or Chance Finds construction, work activities will be stopped, the items noted and registered, and responsible Ministry of Culture officials contacted. Work will only be recommenced upon authorization of the responsible officials. E. Toxic Asbestos management If asbestos is located on the project site, mark clearly as hazardous material Materials/Substances When possible the asbestos will be appropriately contained and sealed to minimize exposure The asbestos prior to removal (if removal is necessary) will be treated with a wetting agent to minimize asbestos dust Asbestos will be handled and disposed by skilled & experienced professionals If asbestos material is be stored temporarily, the wastes should be securely enclosed inside closed containments and marked appropriately The removed asbestos will not be reused and should be buried Toxic / hazardous waste Temporarily storage on site of all hazardous or toxic substances will be in safe containers labeled with details of management composition, properties and handling information The containers of hazardous substances should be placed in an leak-proof container to prevent spillage and leaching The wastes are transported by specially licensed carriers and disposed in a licensed facility. Paints with toxic ingredients or solvents or lead-based paints will not be used 114 Oil substances/wastes Car washes and places of mechanisms and machines service must be equipped with sumps and oil and petrol catchers; Used oil and technical liquids should pour off into containers and then should send to the recovery; Exclude leakage of petroleum products during transportation; All the oil wastes of operational materials of maintenance should be collected and stored in specially designated areas with following cleaning in established order. Polychlorinated Biphenyl Strictly obey the regulatory documents in terms of getting access and operating while taking oil samples and in (PCBs) particular the “Safety rules for maintaining of electrical equipment” the II edition issued on 1989, Moscow; Used only glass bottles for oil sampling; In order to prevent the skin from coming into contact with PCBs, use one-way protective gloves. Protect eyes against possible oil splashes by wearing goggles; The sample should be taken by using the drain tap, located at the bottom of the transformer; As there is a risk that highly toxic dioxins are unintentionally formed and released during the Chlorine identification by using applying the Beilstein Method, testing should only be performed in a laboratory by experienced chemists. In the case the Chlorine testing show the transformers contain PCBs it is necessary to follow the rules prescribed in the Guidebook on Environmental Sound PCB Management in Electrical Equipment, labelling the polluted equipment, keeping used oil and contaminated transformers in the tanks in a guarded facility, until when the proper utilization/disposal measures will be in place. 115 Dismantling/installing Crane/excavators/bulldoz It is strictly imperative to obey the existing national regulations on conducting these activities; old/new equipment and ers operations While approaching to the air electrical lines under tension the works should be carried out under the supervision conducting earthworks of electricians; The cranes should be installed and fixed in a stable position to prevent their tipping or spontaneous displacement under the action of its own weight, and the engine. For mechanized management of earthworks it is necessary to check the serviceability of machineries, availability of their fencing and safety devices. Working on defective machines is not permitted; To exclude injuries members of mechanized brigades operating cranes and bulldozers should know and strictly follow all safety engineering rules during operations of relevant machines; Workers serving machines should be provided with instructions, comprising following: (a) Machine controlling instruction and caring about the workplace; (b) Safety engineering requirements; (c) Guidance of signals system; (d) The maximum loads and speeds of machines; (e) The measures have to be taken by the worker in the case of accident or malfunction of the machines. To control the machines are allowed people specially trained and have certificate of competence of controlling machines. The basic requirements of cranes and bulldozers operations are as follows: (a) All rotating parts of machines - gears, chain and temporary transfer, fans, flywheels, etc. must be fenced by casing. Turning on the mechanisms without fences is prohibited; (b) Examination, adjustment, tightening bolts, lubrication and preventive maintenance of the equipment during their work is banned; and (c) In areas where these machines work implementation of any other works and existence of people are not allowed. If in exploit soil will be found large stones, stumps or other objects the machine must be stopped and the objects which can cause an accident should be removed. Welding activities Strictly imperative to obey the existing national regulations on conducting these activities; The personal should have protective equipment, rubber gloves, special boots, as well as special helmets. Prior to starting welding operations, all workers have to pass labor safety training course. Use the protective gear which as minimum includes: (a) Respirator/Welders Mask; (b) Protective clothing: All skin areas need to be protected to protect against molten metal and sparks. This includes: Long sleeve shirts; Pants that cover the tops of shoes; Gloves; Shoes or boots; (c) Eye protection devices against injuries from debris and from the effects of the ultraviolet light; (d) Helmets. Fire protection: prepare and use extinguishers as well as sand and water. 116 Dismantling/installing Strictly obey the existing national regulations on conducting these activities; electrical equipment Carry out the routine inspection of the machinery and equipment for the purpose of trouble shooting and observance of the time of repair; Organize training and instruction of the workers engaged in maintenance of the machinery, tools and equipment on safe methods and techniques of work; It is prohibited: to distribute faulty or unchecked tools for work performance as well as to leave off-hand 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. 117 PART 3: MONITORING PLAN Phase/project activity What Where How When Why Cost Who (Is the parameter (Is the parameter (Is the parameter to (Define the (Is the parameter (if not included in (Is responsible to be to be monitored?) be monitored?) frequency / or being monitored?) project budget) for monitoring?) monitored?) continuous?) During project implementation Transformer oil testing Presence of At the stations Using Belstien Once in the Avoiding health Covered by NSIFT on PCBs Chlorine/ safety taking samples method beginning at the impacts NSIFT Environmental rules of PCBs from transformers project Protection testing and testing the implementation Department laboratory Civil works Parameters Project A part of regular During Regular review Included in the Supervision (construction/ given in documentation, inspection by construction and stipulated in the costs of NSIFT Engineer rehabilitation) construction Construction NSIFT prior to issuance construction Contractors and Social permit - all permits of the Operation permits to ensure Specialist special permit compliance with conditions of the specified by construction national legislation issued by and EMP different bodies environmental requirements 118 Air quality and At the Visually During To avoid PMC expenditures NSIFT noise construction site construction phase environmental as part of the Environmental pollution and project Specialist workers health implementation impacts costs Waste water At the Visually During To avoid PMC expenditures NSIFT construction site construction phase environmental as part of the Environmental pollution and project Department and workers health implementation IP Environment impacts costs Specialist Construction At the Visual observations During the Avoiding Expenditure of the IP waste construction sites and analyzing construction phase environmental NSIFT and Environmental management, and supporting and after reporting pollution and operating costs for Specialist hazardous documents for on waste health impacts and the Contractor materials and waste collection management needed in asbestos and transportation, accordance with which is submitted the waste-related to the competent national regulations communal enterprise; Reporting documents from landfills 119 Dismantling/installing Labor safety At the Visual observation Before and during Avoiding accidents Contractors Contractor’s new electrical construction site and analysis of construction and and health impacts expenditure on Environmental equipment/welding (for dismantling presented report on per national training and Specialist operations or installing of conducted works, requirements in ensuring labour equipment) accidents, if any, terms of ensuring safety, including reports on labour safety costs for conducted training protective gear; Supervision costs of Environmental Specialist During operation Electrical station Labor safety At the electrical Protective gears, Periodically per Avoiding accidents NSIFT own Chief Engineer operation stations obeying of safety specified in and health impacts expenses of the station rules, conducted national norms to station workers training and standards procedures and timing 120 Annex 9. Template for Grievance Redress Log Priority Date Feedback Category of Summary Anonymous Person Status Date of Communication Feedback Channel feedback Description (Yes/No) assigned to (resolved, resolution of about resolution Received address pending, feedback # feedback escalated) 1 2 3 4 5 6 121 Annex 10. Voluntary Land Donation Criteria and Forms In case of small sections of land required for micro level subproject activities, the project may seek support from the community to donate lands. However, the community members have the right to make a contribution of their land or other assets without seeking or being given compensation at full replacement value. Voluntary contribution is an act of informed consent. Local Authorities must assure that voluntary contributions are made with the affected person’s full and prior knowledge of the availability of other options (including compensation at replacement cost) and are obtained without coercion or duress. Also, voluntary donations are allowed only if the affected people are direct beneficiaries of the investments that cause such impact. Proposals including voluntary contributions will not be submitted for approval where they would significantly harm incomes or living standards of individual owners or users (the size of land contributed on a voluntary basis should not exceed 5% of that individual’s total land holding). Specifically, the following protocol will govern voluntary contributions under the project: Voluntary contributions are an act of informed consent and affected people are not forced to donate land or other assets with coercion or under duress, or misled to believe that they are obliged to do so, without regard to the legal status of their land occupancy. Land alienation should not result in physical or economic displacement. The impacts must be minor. the households contributing land or other assets are direct beneficiaries of the sub-project; the impact is less than 5% of the total productive assets owned by said household. The facilities requiring land should not be site specific. The land in question must be free of squatters, encroachers, or other claims or encumbrances. The land must be identified by the Mahalla Committee, and not by NGO or NSIFT or other line agencies or project authorities. However, the project technical authorities should ensure that the land is appropriate for sub-project purposes and that the sub-project will not have any adverse health or environmental safety hazards. Voluntariness will be ascertained by NSIFT with due signing by a higher level official. A process to this effect will be formulated by NSIFT and shared with the Bank for approval. Verification of the voluntary nature of land donations must be obtained from each of the persons/ household donating land. This should be in the form of signed statements. NSIFT/ NGO will also create awareness among the community to devise mechanisms to express a sense of gratitude to those households donating lands. These will find a place in the statements. Other things being equal, land donations will not be accepted by FHHs and elderly people. The affected people are fully informed that they have the right to refuse to donate land or other private assets, and instead receive compensation at replacement cost, and that a grievance handling mechanism is available to them through which they can express their unwillingness to donate. Furthermore, people are encouraged to use the grievance handling mechanism if they have questions or inquiries, either in writing or verbally. 122 Voluntary Land Donation Form Province: Local Authority : Village/Jamoat: Sub-project name: Date of Village/Public Meeting Name of land title owner: Land Title Number: Beneficiary of the sub-project: Y/N Sex: Age: Occupation: Address: Description of land that will be Area affected: Total Ratio of land Map code, taken by the sub-project: landholding affected to total if available: area: land held: Description of annual crops growing on the land now and project impact: Details Number Trees that will be destroyed Fruit trees Trees used for other economic or household purposes Mature forest trees … Describe any other assets that will be lost or must be moved to implement the project: Value of donated assets: Will the donated land/asset is less than 5% of the land/property owned? Gratitude by the Mahalla: By signing this form, NSIFT representative here by affirm that land donations are voluntary and that it confirms to the protocol agreed with the World Bank. By signing this form, Mahalla committee (representative) hereby affirm that land donations are acknowledged and agreed on extending the gratitude as described above. 123 By signing this form, the land user or owner agrees to contribute assets to the project. The contribution is voluntary. If the land user or owner does not want to contribute his/ her assets to the project, he or she should refuse to sign or provide thumb print, and ask for compensation instead. Date: Date:......................... NSIFT representative’s signature Affected persons’ signatures (both husband and wife) Date:............................ Mahalla representative’s signature ------------------------------------------------------------------------------------------------- 124 Annex 11. Minutes of Consultations with Stakeholders on Draft ESMF Minutes of Public Consultations on two documents: draft Environmental and Social Management Framework and Resettlement Policy Framework for SERSP in Khatlon Province Kulob city, March 13, 2019 Khatlon region Objective: Present to the community and stakeholders the environmental and social management framework and resettlement policy under the Socio-Economic Resilience Strengthening Project. Place and Date: Small conference hall of the Kulob city government (khukumat), 10:00AM Participants: 38 people, including the representatives of the district government, chairmen of jamoats, villages, mahallas, representatives of environment protection, health and social protection, education, architecture and building, district engineering services, housing and communal services department, electricity networks, water and sanitation, as well as other responsible persons of the active public organizations. Facilitators: Representatives of the National Social Investment Fund of Tajikistan: Hasan Karimov (Manager, Community Projects Department), Abdulkosim Kotibov (Manager, Information and Analytical Department), Nodir Raupov (Chief specialist, Information and Analytical Department), Mirzomurod Odinaev (NSIFT branch manager in Kulob city). Agenda of the Consultation Workshop: 1. General information on the Socio-Economic Resilience Strengthening Project. 2. Presentation and discussion of the draft Environmental and Social Management Framework and draft Resettlement Policy Framework. 3. Analysis and discussions, findings of the consultation workshop. The consultation workshop was opened by Ismoilzoda Saimurod, deputy chairman of Kulob city, who briefed on the objectives of workshop and introduced the participants. Later, a detailed information was presented on the Socio-Economic Resilience Strengthening Project. Further, Abdulkosim Kotibov, Manager of the Information and Analytical Department spoke about the Project, its goals and objectives, components, directions and its potential environmental and social impact in the process of project implementation and also provided information on the citizens’ involvement in project implementation. He also presented the agenda of the consultation workshop to the participants and noted that the goal of consultation workshop was to review the two important project documents: 1. Environmental and Social Management Framework and 2. Resettlement Policy Framework, which needed to be discussed and participants’ feedback to be received on these two documents. Tthe Environmental and Social Management Framework document was presented via Power Point slides provided a step by step explanation of the details of this document along with proposed measures on prevention and mitigation of impacts and compensation methods. Abdulkosim Kotibov also introduced the Resettlement Policy Framework document and noted that it had its own principles implemented in compliance of the legislation of the Republic of Tajikistan, as well as the World Bank policies and procedures. It was noted that during project implementation the main social risk that may potentially result in land acquisition for the project needs, or restrictions on access to collective property and natural resources, which would include temporary loss of income source 125 and livelihoods, such as fruit trees. If individuals/legal entities do not have legally acknowled title or association to the occupied land, it was informed that according to the legislation of the Republic of Tajikistan, such individuals or legal entities are not eligible for compensation. During the consultation workshop Hasan Karimov, Manager of the NSIFT Community Projects Department expressed his views and commented on the aspects of procedures and rules of the environmental impact assessment and on the criteria and rights of project affected persons. In addition, he commented on environment protection that the impacts resulting from projects implementation include air and earth layer pollution that are caused by construction activities. Earth works during construction activities may also have adverse impact on plants that result in cutting trees. During the discussion of these two documents participants also expressed their views and noted that during construction activities people may feel different impacts, such as noise of machinery (during transportation of construction materials and work of construction equipment), dust, construction waste (example, during dismantling of old windows, doors or the building roof), which may have adverse impact on health of workers, local residents and on their safety. In addition, there are many other aspects, even if temporary, that may have serious impacts on the environment and people’s health. It will be necessary to take necessary measures to mitigate such adverse impacts. During the presentations, discussion of environmental protection and resettlement policies other environmental issues were also discussed, namely:  World Bank policies on involuntary resettlement, which provide for the ESF instruments to address and mitigate the risks of involuntary resettlement under the Project;  Requirements of the laws of the Republic of Tajikistan on environmental protection and involuntary resettlement;  Key requirements of the Resettlement Policy Framework;  Environmental impact mitigation measures proposed in the Environmental and Social Management Framework document and in the Resettlement Policy Framework. During the consultation workshop participants asked many questions, including: - Will the project be able to support the private business of individual persons or public organizations?; Does the project provide for new construction of infrastructure buildings?; Will the market rates or those established by the government be considered in case of resettlement or compensation? Detailed responses were provided to all these questions. The documents were reviewed using the slides, computer equipment and projector, which allowed the participants to receive more information during the consultation workshop. Finally, participants expressed their satisfaction with the outcomes of the consultation workshop. 126 127 MINUTES of the consultation workshop to discuss Environmental and Social Management Framework and Resettlement Policy Framework Panj district, March 14, 2019 Khatlon region Objective: Present to the community and stakeholders the environmental and social management framework and resettlement policy under the Socio-Economic Resilience Strengthening Project. Place and Date: Small conference hall of the local government (Khukumat) of Panj district, 10:00AM Participants: 43 people, including the representatives of the district local government, chairmen of jamoats, villages, mahallas, representatives of environment protection, health and social protection, education, architecture and building, district engineering services, as well as other responsible persons of the active public organizations. Facilitators: Gulru Azamova and Savriniso Kurbonbekova, the World Bank consultants, representatives of the National Social Investment Fund of Tajikistan: Hasan Karimov (Manager, Community Projects Department), Abdulkosim Kotibov (Manager, Information and Analytical Department), Ilhom Hasanov (Procurement Department Manager), Nodir Raupov (Chief specialist, Information and Analytical Department), Guljahon Berdieva (Chief Specialist, NSIFT in Bokhtar city). Agenda of the Consultation Workshop: 1. General information on the Socio-Economic Resilience Strengthening Project. 2. Presentation and discussion of the draft Environmental and Social Management Framework and draft Resettlement Policy Framework. 3. Analysis and discussions, findings of the consultation workshop. The consultation workshop was opened by Khairniso Kenjaeva, deputy chairman of Panj district, who briefed on the objectives of workshop and introduced the participants. Later, a detailed information was presented on the Socio-Economic Resilience Strengthening Project. Further, Abdulkosim Kotibov, Manager of the Information and Analytical Department spoke about the Project, its goals and objectives, components, directions and its potential environmental and social impact in the process of project implementation and also provided information on the citizens’ involvement in project implementation. He also presented the agenda of the consultation workshop to the participants and noted that the goal of consultation workshop was to review the two important project documents: 1. Environmental and Social Management Framework and 2. Resettlement Policy Framework, which needed to be discussed and participants’ feedback to be received on these two documents. The Environmental and Social Management Framework document was presented via Power Point slides provided a step by step explanation of the details of this document along with proposed measures on prevention and mitigation of impacts and compensation methods. Abdulkosim Kotibov, Manager of the Information and Analytical Department spoke about the Resettlement Policy Framework document and with clear examples presented to the participants the information on resettlement policy framework and guidelines, which are implemented in compliance of the legislation of the Republic of Tajikistan, as well as the World Bank policies and procedures. It was 128 noted that all project affected persons, regardless of their legal status should be compensated. The project affected persons should be involved in the planning implementation of resettlement process. If individuals/legal entities do not have legally acknowled title or association to the occupied land, it was informed that according to the legislation of the Republic of Tajikistan, such individuals or legal entities are not eligible for compensation. During the consultation workshop Hasan Karimov, Manager of the NSIFT Community Projects Department added that the key social risk during the project implementation is land acquisition for the Project needs, which will be compensated by the Government in accordance with the applicable laws of the Republic of Tajikistan. Compensation for the loss of land will be made in the form of provision of a land of equal replacement cost or in other form in coordination with land user. The structure, crops, other types of resettlement assistance to the owners, such as shifting allowance, assistance with rebuilding structures/buildings, compensation for loss of workdays/income. During the discussion of the indicated documents, the participants expressed their views on the aspects of environmental impact assessment procedures and rules, criteria and rights of project affected persons and proposed their additions. In addition, it was noted on environment protection that the impacts resulting from projects implementation, such as air and water pollution, are temporary impacts that are caused by construction activities. There are traditional measures used to eliminate or mitigate such adverse impacts. Efforts will be made to avoid adverse impact on people during construction activities. During the presentations, discussion of environmental protection and resettlement policies other environmental issues were also discussed, namely:  World Bank policies on involuntary resettlement, which provide for the ESF instruments to address and mitigate the risks of involuntary resettlement under the Project;  Requirements of the laws of the Republic of Tajikistan on environmental protection and involuntary resettlement;  Key requirements of the Resettlement Policy Framework;  Environmental impact mitigation measures proposed in the Environmental and Social Management Framework document and in the Resettlement Policy Framework. During the consultation workshop participants asked many questions, including: - Does the project provide funds for large size construction? For example, would the project funds allow to perform maintenance (major repair) of the culture center in Kabut Saifiddinov jamoat? Would the public organizations and local construction enterprise be given advantage? Who should be referred to in case of resettlement and who would compensate personal assets and how? Detailed responses were provided to all these questions. The documents were reviewed using the slides, computer equipment and projector, which allowed the participants to receive more information during the consultation workshop. Finally, participants expressed their satisfaction with the outcomes of the consultation workshop. 129 130 131 132 133