OFFICIAL USE

1 OFFICIAL USE

REPUBLIC OF KAZAKHSTAN

ALMATY TROLLEYBUS PROJECT

FEASIBILITY AND DUE DILIGENCE STUDY

TERMS OF REFERENCE

1. BACKGROUND

The City of Almaty (the “City”) with population of 1.8 million is the country’s largest and most

important business and financial centre, contributing around 25 per cent of the national GDP. As

most of rapidly growing conglomerates, the city is experiencing deficit of convenient “green”

public transportation aggravated by an increasing number of private cars.

Almaty is the only city in Kazakhstan with trolleybus system. Current trolleybus fleet was

purchased 10 years ago, and it is close to its full depreciation. Subsequently, the City approached

the European Bank for Reconstruction and Development (the “EBRD” or the “Bank”) to finance

renewal of the trolleybus fleet through the purchase of 200 new hybrid trolleybuses and associated

depot equipment (the “Project”). EBRD loan would be provided for the benefit of

Almatyelectrotrans LLP (the “Company” or “AET”).

The City sees the Project as an important measure to improve the environmental situation via

expanding electric transport. The Project will allow the Company to improve passenger services

by replacing the existing deteriorating fleet and providing vehicles for new lines, should the City

decide to expand the trolleybus network. Better public transport services will prevent further

modal shift from public transport to personal cars.

The City’s public transport carries over 450 million passengers annually. The bulk of passenger

traffic (86 per cent) is carried by buses operated by private and municipal companies. Trolleybuses

account for 11 per cent of traffic, and the metro for 3 per cent.

Since 2017, the Almaty City Akimat (the “Akimat”) has subsidised public transport operations

based on the number of serviced passengers. This was a major step to support public transport

that has allowed operators to improve their services and renew the bus fleet. The subsidies are

provided exclusively to the operators with new buses for up to 10 years of operations. In mid-

2019, the Akimat has started to provide subsidies for trolleybus operation as well. Overall the City

allocated KZT 23 billion (EUR 53 million) to support bus services in 2019. This practice is

expected to continue in the future.

The Company is fully owned by the City. It operates 709 buses and 160 trolleybuses carrying

around 180 million passengers per year (40 per cent of the City’s passenger traffic). The Company

operates 51 bus and 8 trolleybus lines, with a total route length of 2,890 and 240 km respectively.

AET has 4 bus and 1 trolleybus depots and 16 operating sub-stations for trolleybuses with a total

capacity of 55,600 kW. The total number of employees is circa 2,500. One fourth of trolleybus

drivers are women. The Company’s fare revenue is mostly collected by the operator of the Onay

e-ticketing system, which retains up to 10 per cent as a service fee.

OFFICIAL USE

2 OFFICIAL USE

The EBRD is currently overseeing implementation of a TC assignment to assist Almaty in

developing a Green City Action Plan. The TC’s implementation should start in [month] 2020 and

will last for 18 months.

In order to prepare the project for financing, the EBRD wishes to appoint a consultant (the

“Consultant”) to perform a feasibility study to determine the scope and viability of the Project,

preliminary costs and provide recommendations on the technical specifications of the trolleybuses

and the depot.

2. THE OBJECTIVE

The Bank needs a comprehensive analysis of the proposed investments in Almaty. The specific

objectives of the assignment are to:

Task Series 1 – Feasibility Study and Due Diligence

The specific objectives of this assignment are to:

a) review existing studies and perform consultations with beneficiary and key

stakeholders;

b) perform demand study, network assessment and network development scenarios

c) analyse trolleybus lines and operational trolleybus fleet requirements, including for

scenarios;

d) assess maintenance facilities (trolleybus depot and spare parts) and determine any

upgrade requirements, including for scenarios;

e) assess trolleybus infrastructure, power supply/substations, including for hybrid

trolleybus systems (additional power off-take) and determine any upgrade

requirements, including for scenarios;

f) perform comparative assessment of trolleybus hybrid (battery) trolleybus and fully

electric bus (as an option) for network extensions and/or optimisation, considering

infrastructure costs, supply/maintenance issues and risks involved;

g) prepare financial and economic cash flows and lifetime assessments of proposed

investment;

h) prepare project implementation and procurement plan, including possible phasing

and/or scenarios;

i) prepare detailed technical requirements for trolleybus fleet and depot, for open

procurement of trolleybuses and depot works in line with the EBRD PP&Rs.

Task Series 2 – Environmental and social assessment

Environmental and social due diligence of the project for full project scope, including notably

trolleybus fleet and depot, in accordance with the Banks Environmental and Social Policy and

Performance Requirements.

Task Series 3 – Recommendation of operational and regulatory support

This task is to assess existing practices, resources and tools and recommend measures to ensure

successful introduction of the new trolleybus fleet onto all company trolleybus lines, and the

corresponding withdrawal of existing bus services.

The specific objectives of this assignment are to:

OFFICIAL USE

3 OFFICIAL USE

a) review of City practices for reporting and licencing of bus operations, requirements and

possible timeline for withdrawal of existing licences, as appropriate

b) assessment of company management and accounting systems, recommendation of MIS

system

c) recommendation of focus actions for post-signing regulatory and operational support (notably,

public service contract and corporate development plan).

In the completion of these tasks, the Consultant will consult with all relevant studies and

stakeholders.

The Consultant will cooperate closely with all teams at the Bank, notably for technical,

environmental, social and financial assessments, and provide any required technical inputs and

advice for completion of their tasks.

3. SCOPE OF WORK

Task Series 1 – Feasibility Study and Due Diligence

1.1 Analysis of urban transport system

The Consultant will provide an overview of City’s public transport market. It will include but

should not be limited to the following:

Overview of public transport market in the City;

Review and analyse the most recent sector strategy, route network of the City;

Overview of regulatory framework and institutional set up, including proposal on the new

tariff system based on E-ticketing;

Review proposed E-ticketing solution and the investment contract with the operator.

Main parameters of services, including number of routes for different modes;

Number of passengers carried and their structure in terms of eligibility to social discounts;

Number of operators and description of their fleets in terms of type, size and age,

Annual turnover in the sector

Suburban service scale.

The Consultant will collect all potentially required data on urban transport system, including

demand and supply levels of public transport service, public transport prioritisation, cost of

services provided and their main driving factors, tariffs structure and passengers, fleet conditions,

etc.

The Consultant will review the current fare revenue collection and enforcement system on

municipal and privately rendered services and any plans for expansion of the system.

Notably, the Consultant shall consult the Almaty Sustainable Transport Strategy 2013-2023 and

other outputs of the Sustainable Transport Project, concluded in 2017.

1.2 Network and demand assessment

The Consultant will document, review and assess current trolleybus route network in terms of level

of service supply, demand and competition with other modes.

OFFICIAL USE

4 OFFICIAL USE

Using outputs and files of the TranCAD demand model developed under the Sustainable Transport

Project, the Consultant shall update the model with latest ridership data from the automated fare

system, along with network, socio-economic and other data, to provide a reference baseline

network and demand model for 2020. The Consultant shall complement available ridership data

with sample occupancy and/or non-paying and concessionary passenger surveys as appropriate

The Consultant shall consider proposed reorganisation of the route network, including notably

simplification of bus network and improvement of main routes (metro, LRT, trolleybus and main

bus routes) and two new interchange terminals and, in consultation with City and along with

complementary modelling and network scenarios, will use this as a basis for proposed trolleybus

network and related scenarios.

The Consultant will carry out a thorough review of the existing public transport services along

trolleybus routes, including modes, quantity of vehicles on each route, service frequency during

peak and off-peak hours, and average capacity of vehicles on the route.

The study of trolleybus routes should take into account the following factors:

number of vehicles required for service and volume of annual vehicle kilometres required;

distance from the existing depot;

demand and required service levels (in terms of frequency);

existing trolleybus infrastructure and its current condition, including old unused

substations;

condition of roads, trolleybus stops etc.

Based on suitable assumptions of ridership attraction and using transport model or other

assessments, as appropriate, the Consultant will provide a forecast of potential number of

passengers for each route, based on a number of network development scenarios, considering

expansions to areas and routes not currently served by trolleybus.

Depending on chosen tariff scenario, the Consultant shall forecast fare revenue with a breakdown

including revenue from full fare paying and concessionary passengers.

The ridership forecast shall include passengers transferred from competing bus routes to each

trolleybus route, based on assumptions for revision of these bus routes, to be cancelled, shortened

or otherwise adjusted. This assessment shall include indicative ridership volume, based on fleet

capacity and available data, and expiry date of existing licence.

1.3. Analysis of the Municipal Trolleybus Operator

The Consultant will carry out an overview of the Company’s performance by documenting and

providing necessary comments covering the following:

Scope of services;

Market position and share;

Organisational structure and number of staff breakdown;

Composition and capacity of company’s management;

Size and structure of the fleet;

Detailed inventory of existing trolleybus infrastructure and facilities, its condition and

remaining useful life;

Condition of the trolleybus infrastructure and facilities including trolleybus traction power

system, bus stops, depot, maintenance and repair facilities, end turning points including

driver rest facilities, if any, administration building, etc

OFFICIAL USE

5 OFFICIAL USE

Revenue structure;

Cost structure and trends

City budget subsidised (current and estimated following transfer of the financing

obligations for privileged passengers to the local level.

The Consultant will provide main key performance indicators and suggest comparable benchmarks

in CIS and the region).

The information above should include at least the last three years’ data.

The Consultant will also provide key performance indicators of the Company for at least the past

three years and indicate comparable benchmarks in CIS and the region. The Consultant will

document the organizational structure of the Company.

1.4. Investment Plan and Cost estimates

The Consultant shall prepare the investment plan for the proposed project comprising fleet and

infrastructure works, with relevant options as appropriate, which would enable the rehabilitation

of the trolleybus system and fleet to a standard allowing at least 10 years of operating life from

end of works, requiring only routine maintenance thereon.

The investment plan shall notably consider:

Trolleybus fleet, considering appropriate size, performance and aesthetics

Upgrade and expansion of trolleybus depot(s)

Modernisation of substations, power infrastructure and catenaries

The Consultant will specify and agree with the Company the main functional and quality

parameters for new trolleybuses to determine a realistic price for new vehicles.

In the context of the envisaged Project scope and initial budget, the Consultant will provide a list

of assumptions to be used for cost estimates. These should be supported to the extent possible with

references to similar projects.

The Consultant shall present a number of investment scenarios for a justified choice to be made

by the Client, which may include inter-alia:

Baseline option, based on existing trolleybus network, with service pattern responsive to

forecast demand

Network expansion scenarios, using of extended trolleybus lines, hybrid (battery)

trolleybus from existing lines and/or fully electric bus (as an option)

Network optimisation, by reduction of trolleybus catenaries in areas of low usage or

requiring critical repair, through extended use of hybrid (battery) trolleybus and ‘in motion’

charging and/or fully electric bus (as an option)

For each scenario, the Consultant will present a breakdown of estimated overall costs of the

planned investments. These will include capital and operational cost for the whole life cycle of

the assets. The costs will be based on the planned volume of services and size of the fleet and will

be linked to variables like energy prices, average monthly net earnings of a driver, depreciation,

taxes, etc.

The Consultant will make a comparative assessment of the investment scenarios and recommend

a scenario for investment, based on whole life cost and risk assessment.

OFFICIAL USE

6 OFFICIAL USE

As part of the investment plan, the Consultant shall propose, in collaboration with the Client, Bank

and relevant parties, the investment components to be allocated under the loan, city budget or

other.

The Consultant shall discuss the foreseen procurement strategy for the purchase of new

trolleybuses, construction of new trolleybus infrastructure, notably depots and rehabilitation of the

existing substations, if any. Based on the best international practices and local circumstances, the

Consultant will propose and document in the report a Procurement Strategy and Plan for all

envisaged project components.

1.5 Key project savings and benchmarks (emissions, energy savings, efficiency etc)

Using the emissions model and parameters provided by EBRD, the Consultant shall perform the

assessment for the expected reduction of emissions and savings as a result of the project

implementation.

Specifically, the consultant should prepare the following calculations:

Expected improvement in farebox ratio

Expected efficiency improvements (reduction of repair and maintenance costs and related

number of staff, per operating trolleybus),

Expected electricity savings to be achieved as a result of the investment programme

implementation (per km of trolleybus service).

Annual reduction in tonnes of CO2, PM and NOx for improved public transport operations

(baseline pre-investment and post-investment projection);

Key project monitoring benchmarks vs baseline (ie CO2 reduction, repair and maintenance

costs per operating trolleybus),

The assessment shall include both improvements in trolleybus efficiency and modal shift transfer

from existing minibus routes and other.

Based on the estimated emissions and energy savings, the Consultant will develop justification for

any investment grant or any alternative co-financing, which may be requested to support

investment.

1.6. Economic Cost-Benefit Analysis and Inputs for Financial Model

The Consultant shall prepare an Economic Internal Rate of Return (EIRR) for the project

presenting the economic costs and benefits from improved trolleybus operations, including

investment and maintenance costs, operating costs savings, time savings, modal shift benefits.

EIRR shall compare a without-project situation with projection of current operating conditions and

funding levels and post-investment situation with improved infrastructure and services.

The Consultant will be involved in preparation of a Financial Model by the Bank. The Consultant

will, inter alia, gather all necessary inputs and provide key assumptions regarding the Company’s

operations for the financial model. The key assumption will be based on the proposed operational

plan and its implementation timetable agreed with the Bank.

The key assumptions for the financial model should cover a period of thirteen years and separately

outline:

Breakdown of the Company’s cost and revenue components;

OFFICIAL USE

7 OFFICIAL USE

Forecast of trolleybus cost on a basis of the planned scope of services, and present vehicle

km price, including likely inflation;

Emissions and CO2 reduction and electricity savings to be achieved as a result of the

investment programme implementation;

Tariff progression;

Fare revenue, compensation for concessionary passengers and subsidy from municipal

budget.

1.7. Justification for the Project approval

Based on the Due Diligence report, the Consultant will:

Provide input, arguments and justification for the project approval by the stakeholders;

Prepare a presentation for the City council and provide input on the application for the

Bank’s and key donor approvals, as well as participate in related meetings.

1.8. Prepare Supply Requirements, including the technical specifications of the new

trolleybus fleet and related depot facilities to be financed

The Consultant shall prepare the Supply Requirements, including the technical specifications, to

be used in the tender for the new trolleybus fleet and related depot facilities to be procured. This

should comply with all relevant EU regulations (including emissions standards, safety, fire safety,

disabled access etc.), and ensure that all specifications are amenable to an open, international

tender using EBRD’s procurement rules and policies.

The trolleybus fleet shall include relevant maintenance provisions, as agreed for the fleet,

including possible extended warranty and/or service agreements and requirements for integration

of relevant ticketing, user information and bus fleet management systems (automated vehicle

location, AVL) as appropriate.

The specifications shall include related studies and layout plans for bus depot facilities, notably

maintenance facilities, and as required for tender.

The Consultant shall also propose appropriate tender evaluation and qualification criteria for

trolleybus fleet and depot.

Task Series 2: Environmental and Social Assessment (ESA)

Task 2.1: Environmental and Social Audit and Assessment

The Consultant will carry out an Environmental and Social Audit and Assessment (“ESA”) in

order to assess the environmental and social aspects of the Project, to be consistent with local

relevant environmental and permitting requirements and the EBRD’s 2014 Environmental and

Social Policy and associated Performance Requirements. The purchase of new bus fleet and

upgrading of the bus depot is a brownfield category B project under the EBRD ESP, requiring an

environmental and social audit of the existing facilities and operations and environmental and

social conditions relevant to the Project and a focussed environmental and social assessment that

is proportionate to the project’s nature, size and location, as well as to the characteristics of the

potential impacts and risks.

The ESA will characterise potential future adverse impacts associated with the project, identify

potential improvement opportunities, and recommend any measures needed to avoid, or where

avoidance is not possible, minimise and mitigate adverse impacts.

OFFICIAL USE

8 OFFICIAL USE

Applicable Requirements:

The E&S Assessment is to be carried out in accordance with:

Applicable local, national and regional requirements, including those related with ESIAs /

EIAs and associated public disclosure and consultation requirements.

The EBRD’s ESP (and the incorporated Performance Requirements (PRs)), and relevant

European Union (EU) directives.

Relevant international conventions and protocols relating to environmental and social

issues, as transposed into national legislation.

The objective of the E&S Assessment is to identify and assess the potentially significant existing

environmental and social risks and future adverse environmental and social impacts and benefits

of the proposed Projects, assess compliance with applicable laws and the EBRD ESP and PRs,

determine the measures needed to prevent or minimise and mitigate the adverse impacts, and

identify potential environmental and social opportunities, including those that would improve the

environmental and social sustainability of the Projects and/or the associated current operations.

The assessment process will be commensurate with, and proportional to, the current E&S risks

and potential future impacts of the Projects. The assessment will cover, in an integrated way, all

relevant direct and indirect environmental and social impacts and issues of the Projects at all

relevant stages of the project cycle (e.g. pre-construction, construction, operation, and

decommissioning or closure and reinstatement).

The Environmental and Social Audit (as defined in Section 3.11.4) is required to assess the current

operations relevant to the Projects in terms of compliance with national legislation as well as

possible historical environmental, health and safety, and social issues.

Specifically, the ESA aims to:

Describe and characterise a relevant environmental and social baseline commensurate with

the risks posed by the current site operations and the Project.

Identify existing and Project-related environmental and social impacts and risks.

Identify if any additional studies will be required to cover relevant aspects in greater detail

(e.g. Road safety, resettlement, retrenchment, etc.; any such work will be commissioned

under separate Terms of Reference).

Assess potential gender aspects and priorities among nearby communities to understand

women’s and men’s concerns;

Identify potential environmental and social opportunities and/or the associated current

operations, including those consistent with the EBRD’s GET principles and criteria;

Perform ex-ante estimation of physical environmental benefits of the Project or

verification of the estimations already performed by the bank in line with EBRD’s GET

Handbook;

Prepare a draft Stakeholder Engagement Plan (SEP), draft Environmental and Social

Action Plan (ESAP) and draft Non-Technical Summary (NTS).

Review of Available Data and Site Visit

The Consultant will identify and review all studies and baseline data available from the Client:

Where available, the local EIA of the Projects;

Any strategic level studies and documents relating to the Project, including any land

acquisition documentation if applicable;

OFFICIAL USE

9 OFFICIAL USE

Project designs.

Data and documentation are in Kazakh. This list is not exhaustive and the Consultant must be

prepared to review, and also request, further documentation that does not appear above.

Following the review of available data, the Consultant will visit the site, to obtain any

supplementary information needed to carry out the E&S Audit requirements and complete the E&S

Assessment.

The data review process will include a simple media search to determine whether any relevant

issues regarding the Project, the City or Company have been reported through the media and to

determine the importance of these through additional verification during the due diligence work.

If no relevant issues are identified through this process the Consultant will include a statement to

this effect in its report.

Following completion of the data review and site visit the Consultant will deliver a summary of

key findings.

Task 2.2: Environmental and Social Audit

The E&S Audit is required to review the current and, to a limited extent, past operational

performance of the Company existing operations and facilities in terms of their compliance with

relevant national environmental laws and regulations and EBRD PRs, including relevant EU

environmental standards and guidelines. The Consultant should provide cross-reference with other

sections of the Feasibility Study, in particular the technical assessment, in case of any overlap.

Key issues to be covered under the E&S Audit may include, but are not limited to:

The Company’s existing environmental and social management systems, policies and

practices, organisational capacity and resources, including description of the number of

personnel; number and percentage of women and men in total staff count as well as across

all levels/categories;

Human Resources and employment policies (relating to e.g. child labour, forced labour,

and non-discrimination, workers’ organisations, contractor management, retrenchment and

employment);

Equal opportunities policies and practices in the Company; assessment of potential

employment opportunities for under-represented groups in the workplace (i.e. women or

men, people with the disabilities, different age groups, ethnic groups, etc.) and

recommendations on what measures need to be made or what policies need to be revised

to ensure equality of opportunity in the Company;

Occupational health and safety (local and national requirements, applicable EU/

international requirement and standards, key health and safety issues, control and major

accident hazards, current health and safety monitoring programme, summary of regulatory

compliance status, summary of health and safety expenditures, emergency response etc.);

Pollution prevention measures implemented by the Company and overall regulatory

compliance with national requirements and pertinent EU standards including applicable

Best Available Techniques. In addition, this assessment will need to review compliance

with good international practice as a benchmark against current operations;

Community health, safety and security as it relates to the Company’s existing operations;

Major hazards assessment and management; existing emergency situation management

plans in the event of an incident or accident;

OFFICIAL USE

10 OFFICIAL USE

Current company policy and practice in relation to avoidance of third party access to

potentially hazardous areas (fences, security, personnel, others);

Management of potentially hazardous works (including excavation works, work in

confined spaces, etc.);

Traffic management;

Contractor management and oversight;

Waste management and waste minimisation;

The Client’s policy and procedures regarding land acquisition (compensation policy,

consultation activities related to land acquisition including grievance management, if

applicable);

The Client’s supply chain (e.g. suppliers of main materials and resources including energy;

presence of women-owned businesses) and identification of relevant environmental, social,

labour and/or reputation issues; and

Current stakeholder identification and engagement practices, including public interaction

and responsiveness to public comments, complaints and questions.

The Consultant will be guided by the relevant requirements of the Bank’s E&S Performance

Requirements. The findings of the E&S Audit should also be considered in the completion of the

PR compliance assessment.

Task 2.3: Environmental and Social Assessment

Project Description & Identification of Relevant Associated Activities & Operations:

The Consultant will prepare a description of the Project including details of any alternatives1

considered for the project and information on associated operations and activities. In accordance

with EBRD PR1, paragraph 9, the Consultant will identify:

Any potentially significant environmental, health and safety, and social issues or risks

associated with relevant other activities or facilities, which are not part of the Project but

which may be directly or indirectly influenced by the Project, exist solely because of the

Project or could present a risk to the Project

Cumulative impacts of the Project in combination with impacts from other relevant past,

present and reasonably foreseeable developments.

Unplanned but predictable activities enabled by the Project that may occur later or at a

different location.

Environmental and social risks associated with the primary supply chains central to the

Project’s core operational functions.

Analysis of Legal Requirements

The Consultant will identify applicable local, regional and national environmental and social laws

and regulatory requirements of the jurisdictions in which the Project operates, including those laws

implementing Kazakhstan’s obligations under international law. The Consultant will analyse

local/national assessment and permitting requirements and the EBRD environmental and social

requirements and compare them within a gap analysis in tabular format.

As required, the Consultant will identify any issues that require legal interpretations for the Bank

to raise with its legal advisors. The Consultant is not required to provide legal opinions. The

Consultant will identify, review and take into consideration any relevant strategic level assessment

documentation.

1 Project alternatives to include: Zero (“no project”) alternative, siting and routing alternatives, infrastructure and traffic

connection alternatives, design alternatives

OFFICIAL USE

11 OFFICIAL USE

Baseline Conditions

Building on the Environmental and Social Audit, the E&S Assessment will include a review of

the aspects of the physical, biological and socio-economic environment likely to be affected by

the proposed Project. The Study shall also identify respective needs and concerns of different

disadvantaged groups and/or those with less voice, such as women, to be addressed in the design,

implementation, and monitoring and evaluation of the project.

The baseline characterisation will include consideration of the inter-relationship between the

relevant factors, as well as the exposure, vulnerability and resilience of these factors to natural and

manmade disaster risks.

Project Assessment

In accordance with the Bank’s ESP (2014), the Consultant will analyse the potential environmental

and social impacts and risks of the Project, as well as opportunities that the Project may provide,

including infrastructure development and other associated facilities, for which the EBRD financing

is being sought.

The E&S Assessment will include a review of the likely effects of the proposed Project on the

physical, biological and socio-economic environment to provide an identification and

characterisation of potential E&S impacts and benefits.

This review will be structured to include all relevant stages of the Project’s life, e.g. construction,

operation and maintenance, closure and decommissioning, and residual E&S impacts. The level

of analysis and reporting will be commensurate with the magnitude of risks and impacts of the

identified issues. If the assessment determines that there are potential risks associated with

resettlement, impacts on livelihoods and expropriation, the Consultant will need to discuss and

agree with the EBRD on the specific requirements to address these risks including the potential

need for a Resettlement Action Plan or Livelihood Restoration Plan.

If an EIA has been prepared under the national requirements, the Consultant will also include a

summary statement of compliance of the national EIA’s process with the EU EIA Directive,

including:

how the project was screened by the national authorities;

which EIA procedure was followed;

how the public participation process was carried out;

potential cumulative impacts and area of influence issues (e.g. raw material sourcing); and

whether any impact on designated or identified nature conservation areas or other sensitive

areas has been identified.

The Consultant will also assess:

the occupational health and safety issues by the Company and its contractors undertaking

the Project related works, including employees and workers exposure to noise, dust,

electricity, physical and other risks during modernization and refurbishment works.

public safety and security issues and the impacts on stakeholders. This should include an

assessment of potential gender-specific health and security issues and impacts (i.e. impacts

during construction and maintenance phase of the service, temporary or permanent

disruption of the service, timetable of the provision of the services, safety concerns of

accessing the services (location sensitivity, and any other security aspects (for example, an

increase of male workers in the area, which may lead to an increase in the risk of

harassment and assaults).

OFFICIAL USE

12 OFFICIAL USE

community health, safety and security risks and benefits, including traffic management and

potential nuisance to local community during both construction and operation of the

Project.

whether or not women would be disproportionally affected by the proposed investment

programme and identify any opportunities to specifically address their needs and concerns

so as to enable them to benefit to an even greater extent from project activities.

the capacity and competency of the company to manage health and safety and road safety

risks, comparing them against good internal practice.

GET Identification and / or estimation or verification of physical environmental impacts

In accordance with the Bank’s GET Handbook, the Consultant will analyse the potential

environmental opportunities of the Project or potential for improvements in the current

operations which can be categorised as:

climate change mitigation (reduction of greenhouse gas emissions)

climate change adaptation (enhancement of climate change resilience)

other environmental benefits (including improved resource efficiency, reduced local

pollution, improved resilience and restoration of ecosystems).

In the proposals made by the Consultant, the general economic feasibility of the projects and/or

project components should be taken into account.

In line with the Bank’s GET Handbook, the Consultant will:

identify project components that meet the GET principles and criteria and are on the

positive lists of activities qualifying for GET or covered by the climate adaptation

approach;

assess the physical environmental benefits of the project and/or project components that

qualify for GET ;

confirm the proportion of GET finance and GET benefits of the project and explaining how

this fits into the GET strategy, as well as examining other contributing factors and total

GET benefits.

Stakeholder engagement

The E&S assessment will include an appropriate stakeholder engagement process in accordance

with EBRD PR 10 to ensure identification of all key E&S risks and impacts of the Project to local

communities. This will include the key concerns the local communities have of the Project.

Mitigation and management of Risks and Impacts

For each identified adverse future impact, issue and/or risk, the Consultant will propose measures

to avoid, minimise, mitigate or compensate for them.

EBRD PR Compliance Assessment

Based on the results of the E&S Assessment, the Consultant shall evaluate the compliance status

of the Project with the EBRD PRs using the format provided in Annex 1 and 2. Note that the

compliance assessment should also take into consideration the findings of the E&S Audit.

Project RAP In case resettlement or displacement is anticipated, the Consultant is expected to

utilize any existing Resettlement and Compensation Framework, to develop a Resettlement Action

Plan and/or Livelihood Restoration Plan to include provisions to compensate women as well as

men for loss of livelihood, address gender issues in planning and executing the resettlement

throughout the whole resettlement process (consultation and participation, resettlement planning,

and resettlement and rehabilitation) in line with PR5.

The Consultant will clearly outline the roles and responsibilities of both the City authorities and

the Company.

OFFICIAL USE

13 OFFICIAL USE

Project ESAP

The Consultant shall develop a comprehensive ESAP to address gaps and issues identified during

the Project appraisal. The ESAP should be based on the Gap Analysis and will be presented and

sequenced by PRs. Actions identified must be numbered, clearly defined, indicate a time frame for

completion (with specific reference to those actions that must be completed before financial close

if appropriate) and a responsible party specified. Further, each item must contain a description of

the factors that will be used to determine when the identified action is closed/completed. The

Consultant should also inform the City and Company about any material budget implications of

ESAP items (although this information may not be required in the public domain). A guide for

presenting the ESAP is provided in Annex 3. The ESAP will clearly outline how the

responsibilities for any of the actions/measures will be cascaded down from the City to Company,

i.e.it will clearly indicate the transfer of obligations from the City to the Company.

Project Stakeholder Engagement Plan

The Consultant shall prepare a draft Stakeholder Engagement Plan (“SEP”) in English, and

Bosnian in compliance with the PR10. The scope and level of detail of the SEP will be scaled to

fit the needs of the Project and the objectives of EBRD PR10. Following review of the Project

operations, the Consultant will propose a format best suited for the specific Project needs.

Guidance for the contents of an SEP is provided in Annex 4 of the E&S guidance pack. The SEP

should be developed in consultation with the relevant Client and incorporate stakeholder

mapping results

Project Non-Technical Summary

The Consultant will prepare, in consultation with the Client, a concise, over-arching, standalone

Non-Technical Summary (“NTS”) in English, and Bosnian. The NTS will be written in non-

technical language and the Consultant will ensure that the NTS can be used to demonstrate

compliance with the EBRD requirements, and provide confirmation that the documents are ready

for public disclosure.

An indicative list of issues for the NTS is given in Annex 5 of the E&S guidance pack.

Task Series 3: Recommendation of operational and regulatory support

This task is to assess existing practices, resources and tools and recommend measures to ensure

successful introduction of the new trolleybus fleet onto all company trolleybus lines, and the

corresponding withdrawal of existing bus services.

Task 3.1: Review of City practices for reporting and licencing of bus operation

The Consultant shall review the requirements and timeline for cancellation and/or transfer of

ongoing licences, as a requirement for the introduction of new trolleybus services and capturing

of ridership levels.

The Consultant will review existing practices, including the following (pertaining in particular to

bus routes affected by the project):

Division of rights and responsibilities between city and bus operators

Bus service contract provisions, regulation and control

Procedures for cancellation, withdrawal and/or transfer of licences

Level and quality of city operational oversight, including data recorded in city database or

elsewhere

Requirements for technical/financial reporting of operators

OFFICIAL USE

14 OFFICIAL USE

The review shall include legal/regulatory review to back up existing practices, notably including

contracting, enforcement and fare collection, and possible future arrangements.

The Consultant shall consult with a sample of existing operators, as part of this assessment.

Task 3.2: Assessment of company management systems, recommendation of MIS system

The Consultant shall assess Company system and methods for management and accounting, to

ensure compatibility with monitoring and reporting requirements under a PSC. This shall include

the following:

Review and analyse the Company’s existing management information systems (“MIS”) and

procedures, including the extent of automation and computerisation, identifying any

immediate shortcomings and development needs.

Recommend a computer-based MIS that would register, monitor and provide key management

information across all areas of the Client’s activities, considering, in particular that the system

can produce such financial and other information which is required for reporting to third parties

(in particular reporting to the EBRD as will be defined in the financing agreements), public

authorities and the general public.

Recommend a suitable MIS system, including hardware and software components, with list of

functional requirements and budget breakdown, for loan or TC funding or local budget, as

appropriate

Task 3.3: Recommendation of focus actions for post-signing regulatory and operational

support

Based on practices for existing bus licences, the Consultant shall assess a suitable timetable for

any required withdrawal or transfer of relevant route licences, on or after the commencement of

new trolleybus services. This programme shall be coherent with ridership scenarios, developed

under task 1.1.

The Consultant shall indicate an action plan for any required measures, including regulatory,

contractual, social or training-related, to accompany the timetable and ensure effective withdrawal

of existing licences. Notably, the Consultant shall consider a possible staff transfer plan (notably

drivers and controllers) to the new trolleybus fleet, as relevant.

The Consultant shall recommend those actions, considered important for the effectiveness of

future operations, notably the following:

Implementation of public service contract (PSC) to provide improved transparency in operator

payments and service obligations

Corporate development plan for Company, to ensure improved financial and operational

performance for new fleet operation and reporting under the PSC

Regulatory and planning support to City, to plan the public transport network, support

improved.

For relevant actions, the Consultant shall provide an outline scope/terms of reference, timeline,

resources and budget for consideration of the Bank.

OFFICIAL USE

15 OFFICIAL USE

4. IMPLEMENTATION ARRANGEMENTS AND DELIVERABLES

The duration of the entire assignment is expected to be 20 weeks in total, of which

8 weeks for draft feasibility and due diligence report (task series 1, tasks 1.1-1.6 and task

series 3)

10 weeks for draft E&S due diligence assignment (task series 2)

14 weeks for draft technical specifications (task 1.7)

20 weeks for final technical specification and all deliverables

The Consultant shall mobilise at least the following missions to Almaty:

Project inception for data collection and consultations with beneficiary and stakeholders

Presentation of draft due diligence report

Discussion of draft technical specifications

The Consultant will report principally to the Bank and to the Company, as required.

The Consultant will supply all necessary computer hardware and software required to deliver the

services, together with the necessary office equipment.

The Consultant will be responsible for arranging their own transport, accommodation,

communications, materials, printing and report preparation etc. (the Consultant will be responsible

for the cost of connection time for calls/faxes/internet).

The Company will provide serviced and furnished office accommodation for the Consultant, plus

suitable office space for meetings, together with access to all relevant information, reports, maps,

studies, legal documents etc., at no cost to the Consultant.

All reports should be produced in English and Russian language, with 3 copies in English and 6

copies in Russian.

The Consultant will provide soft copies of all project deliverables to the EBRD using Microsoft-

Office where appropriate, including source files (XLS spreadsheets, DOC reports).

The Consultant shall keep the Bank’s Team in Almaty and London fully updated of the progress

of the assignment.

The Consultant shall provide the following reports on the activities performed. Timelines relate to

reports in draft version in English language, except where indicated.

Document (in English language and in electronic format) Deadline

Feasibility and Due Diligence Study (tasks 1.1-1.7, task series 3)

Inception report M+2 weeks

Draft report on Due Diligence Study M+8 weeks

Final report on Due Diligence Study M+10 weeks

E&S Due Diligence Study (task series 2)

Draft E&S documents (RAP, SAP, ESAP, NTS.) M+10 weeks

Final reports M+12 weeks

Technical specifications (task 1.8)

Draft technical specifications M + 14 weeks

Final technical specifications M + 20 weeks

M = commencement date of the assignment

OFFICIAL USE

16 OFFICIAL USE

5. CONSULTANT PROFILE

It is estimated that the Consultant shall mobilise the following experts:

Senior public transport specialist with at least 15 years of experience in planning and

operations of urban transport systems, including trolleybuses and related infrastructure;

Senior trolleybus specialist with at least 7 years of experience in trolleybus fleet

management, maintenance and operations, including trolleybuses and hybrid (battery)

trolleybuses;

Economist/Modeller with preferably 7 years of experience in economic and transport

modelling assessments, including urban transport studies and modelling software.

Familiarity with modelling software including TransCAD is required.

Finance Expert with preferably 7 years of relevant professional experience in financial and

economic assessment, preferably in an urban transport or municipal services. The expert

should be familiar with selection and use of management information systems (MIS)

Electrical Expert with at least 7 years of experience in power systems and including

trolleybus catenary and power infrastructure;

Building Specialist, with preferably 7 years of relevant professional experience in building

and/or engineering, preferably with experience in depots or transport logistics parks and

good knowledge of local building regulations

Environmental and Social Experts - with experience in ESIAs and E&S due diligence,

health & safety, stakeholder engagement, public consultation and disclosure in the local

context, gender and inclusion expertise, and/or resettlement expertise, in urban transport

sector with experience of similar assignments and with recent track record in the region.

Such experts need to demonstrate knowledge and experience of typical lender/IFI E&S

standards and their implementation. Senior experts need to have at least 8 years’ relevant

experience and appropriate academic qualifications.

Consultants should demonstrate previous project experience in similar regions. Fluency in Russian

and experience in Kazakhstan or Central Asian region would be an advantage. It is mandatory for

a Senior public transport specialist or Senior trolleybus specialist to speak Russian.

OFFICIAL USE

17 OFFICIAL USE

ANNEX 1

E&S GUIDANCE 1

SAMPLE REPORT FORMAT FOR AN E&S AUDIT AND ASSESSMENT REPORT (BROWNFIELD)

Note: The following is an indicative list of issues for possible inclusion in an E&S Audit and

Assessment report for a Brownfield Project. The Consultant is expected to use its professional

judgement to determine what issues (either listed below or additional) are relevant to the Project.

Issues which are not relevant to this project should be covered by a short statement that they have

been considered but do not apply in this case.

Executive Summary

A concise summary description of the Project, its rationale, the existing operations and overall

setting, significant environmental and social impacts, recommended mitigation and enhancement

measures, monitoring proposals, and the extent of the Client’s commitment to these

recommendations and proposals.

1 | Project Description

Precise description of the Project within its geographical, environmental and socio-economic

context. This should include information on whether and how the Project is part of a wider

development plan/programme. A systematic comparison of feasible alternatives to the project in

terms of location, project technology or design in terms of potential environmental and social

impacts. This should include the ‘do-nothing’ option.

2 | Legal Requirements

Outline of the policy, legal and administrative context of the ESIA summarising the

environmental and social and project approval requirements of the Bank, co-financiers and

applicable regional/global conventions or agreements. The timeframe for public consultation,

project appraisal and implementation should be outlined.

Applicable IFI Environmental and Social Assessment procedures;

Host Country, Regional and International Regulatory Framework, standards and

guidelines, treaties applicable;

Approach to benchmarking.

3 | Baseline Conditions

A description of relevant aspects of the physical and natural environment and socio-economic

conditions in areas affected by the existing operations and the Project to include, inter alia:

Air emissions and noise;

Biological and ecological resources (fauna, flora, biodiversity, protected species, critical

habitats, ecosystems);

Climatic factors and climate change (e.g. greenhouse gas emissions, including from land

use, land use change and forestry, and sectors of population more affected by climate

change);

Cultural heritage, including architectural and archaeological heritage;

Geomorphology and geology;

Land (past and current use, permanent or temporary acquisition);

Land use patterns;

Landscape and visual aspects;

Material assets;

Mitigation potential and impacts relevant to adaptation;

OFFICIAL USE

18 OFFICIAL USE

Other social issues: community, settlement patterns and residential properties, vulnerable

groups;

Public and / or site specific transportation system;

Socio-economic status of the population (disaggregated by gender, age, ethnicity, and

other social characteristics);

Soil (organic matter, erosion, compaction, sealing);

Stakeholder engagement practices;

Water (accessibility, quantity and quality, surface and groundwater) and waste water

management;

Worker and public health and safety.

4 | Potential Impacts

Identification of the potential environmental and social impacts that could be associated with the

existing operations and the Project, including those of an indirect and cumulative nature. Impacts

which are unlikely to arise or be insignificant should be recorded, together with the rationale for

why they are considered to be unlikely or insignificant. Potential impacts must be considered at

the following levels:

Local impacts;

National impacts;

Regional/Global impacts.

5 | Characterisation of Impacts and Opportunities

Identification and characterisation of positive and negative environmental and social impacts in

terms of magnitude, significance, reversibility, extent and duration. The possibility for cumulative

impacts is to be considered. Quantitative data must be employed to the greatest extent possible.

The chapter should also identify opportunities for environmental and social enhancement and

identify key uncertainties and data gaps. Both the existing operations and the following Project

stages must be considered in this evaluation where appropriate:

Construction phase;

Operation and maintenance;

Closure and decommissioning;

Residual environmental and social impacts.

6 | Management of Impacts and Issues

An outline of the feasible cost-effective measures to avoid, minimise, mitigate or compensate for

environmental and social impacts to acceptable levels and address other environmental and social

issues; such as the need for worker health and safety improvements, inter-agency coordination,

community involvement, institutional strengthening or training within the executing agency/

governmental agencies/Client or at the community level. Additionally, an outline of any measures

that would enhance environmental and social aspects within the area affected by the Project and

the existing operations and characterisation of the nature of any residual environmental and social

impacts or issues that have not been addressed. A description of the financial provisions for

potential risks (for example escrow accounts and insurance cover to provide for inter alia

abandonment and decommissioning, site remediation and oil spills and other emergencies). Both

the existing operations and the following Project stages must be considered where appropriate:

Construction;

Implementation and maintenance;

Closure and decommissioning;

Residual environmental and social impacts.

OFFICIAL USE

19 OFFICIAL USE

7 | Monitoring and Supervision

A description of how environmental and social impacts and issues will be monitored and managed

in practice; including an indication of how the Project will be supervised by lenders and

governmental agencies. Estimates should be provided for capital expenditure and operation and

maintenance costs where possible. The following stages must be considered where appropriate:

Construction;

Implementation and maintenance;

Closure and decommissioning.

8 | Mitigation and Management Plan

A record of all measures required to address environmental and social impacts and issues as well

as monitoring and supervisory activities associated with these should be consolidated in tabular

form. This should also indicate institutional responsibilities, timeframes and associated costs.

Appendices

Names of those responsible for preparing the E&S Assessment

References and sources of information

Records of public meetings and consultations held

Supporting technical data

EBRD Compliance Summary Table (see E&S Guidance 2)

OFFICIAL USE

20 OFFICIAL USE

ANNEX 2

ENVIRONMENTAL AND SOCIAL ASSESSMENT: EBRD COMPLIANCE SUMMARY TABLE

Introduction

The Compliance Summary provides a systematic review of project compliance with the EBRD Environmental and Social Policy, as defined through

the applicable Performance Requirements (PRs). Scope of compliance is all PRs applicable to non-FI projects. The review is intended to provide a

baseline against which to judge future performance of projects through the annual environmental and social reporting process.

Between 2 and 10 indicators are identified for each of the applicable PRs: 1, 2, 3, 4, 5, 6, 7, 8 and 10.

Guidance

For all PRs (Indicators with whole number references) provide a summary of overall compliance with the PR. Justification for any derogation from a

PR should be summarised and supporting documents referenced.

For each indicator within a PR, please complete the 3 steps below:

1. Decide whether the indicator is applicable. For Category A and B projects the starting point is that all indicators are applicable unless the

project has no significant aspects relevant to the indicator (i.e. no risks), in which case the indicator should be scored "NA" and a brief summary

of the reason given. For Category C projects the starting point is all indicators are NA unless the project has a significant aspect relevant to the

indicator (i.e. there is a material risk).

2. Decide whether an opinion is possible. If not (for example if the indicator will apply, but it is too early in the project) score as "NOP" and

provide a brief summary of why. Where lack of opinion represents a material omission to the review refer to where this is addressed in the

report and summarise any recommendations.

OFFICIAL USE

21 OFFICIAL USE

3. Score the indicator as follows and provide brief justification.

EC Exceeding Compliance: The project has gone beyond the expectations of EBRD’s PR requirements. EBRD should be able to use projects rated EC as a role model for positive Environmental and Social effects.

FC Fully Compliant: The project is fully in compliance with EBRD’s requirements, and EU and local environmental, health and safety policies and guidelines.

PC Partial Compliance: The project is not in full compliance with EBRD’s requirements, but has systems, processes or mitigation measure in place which are working towards addressing the deficiencies.

MN Material Non-compliance: The project is not in material compliance with EBRD’s requirements, and the systems, processes and mitigation measures in place are not working towards addressing the deficiencies.

4. Comments/Issues: Provide a brief commentary (one or two sentences) on the relevance of this requirement for the project and an explanation

of the chosen score.

5. Actions Required: Where applicable, briefly describe any actions required by the client to achieve full compliance with each requirement.

Where a relevant action is included in the ESAP for this project, please provide a reference to the ESAP.

6. PR Summary: Provide an overall summary against the PR, using the above compliance definitions with supporting commentary. In some

cases it may be sufficient to address a PR at summary level only, depending on Stage 1 above.

Note: The Material Non-compliance score (at both Indicator and PR level) has significant implications for Project approval and requires particular care. In judging

whether the measures sufficiently address deficiencies the consultant should consider in a structured way both the level of residual (post-approval) risk and the level

of confidence that the Project can successfully bring the issue into compliance with the Policy through the ESAP. The table below illustrates the approach to be taken.

Risk

High PC MN MN

Medium PC PC MN

Low FC PC PC High Medium Low Confidence

OFFICIAL USE

22 OFFICIAL USE

KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

1 Assessment and Management of Environmental and Social Impacts and Issues

Summary:

1.1 Environmental and Social Assessment

1.2 Environmental and Social Management Systems

1.3 Environmental and Social Policy2

1.4 Environmental and Social Management Plan

1.5 Organisational Capacity and Commitment

1.6 Supply Chain Management

1.7 Project Monitoring and Reporting3

2 Labour and Working Conditions

Summary:

2.1 Human Resource Policies and Working Relationships

2.2 Child and Forced Labour

2.3 Non-Discrimination and Equal Opportunity

2.4 Workers Organizations

2 Where the project represents a substantial extension to the client activities, confirm that Policy and supporting management systems and plans are appropriate for the new activities. 3 At appraisal stage there will be limited information. Compliance assessment should address specific plans for monitoring and reporting (against for example ESAP requirements)

and also consider whether there is evidence of weak monitoring/reporting by client on other relevant projects - which may reduce confidence in future performance.

OFFICIAL USE

23 OFFICIAL USE

KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

2.5 Wages, benefits, and conditions of work and accommodation

2.6 Retrenchment4

2.7 Grievance Mechanism

2.8 Non-Employee Workers

2.9 Supply Chain

2.10 Security Personnel Requirements

3 Resource Efficiency and Pollution Prevention and Control NB. Appraisal should carefully consider (and state) what regulations or standards have been applied to compliance assessment (eg EU, National, Sector Best Practice). Assessments should address consideration of the performance of alternative techniques.

Summary:

3.1 Resource Efficiency

3.2 Pollution Prevention and Control - Air emissions

3.3 Pollution Prevention and Control - Waste waters

3.4 Greenhouse Gases5

3.5 Water

3.6 Wastes

3.7 Hazardous Substances and Materials

4 Will not be applicable to many projects at appraisal stage. However evidence, within the last 3 years of client approach to retrenchment which is not compatible with the Policy

should be taken into consideration. 5 Particular attention should be given to client demonstration of consideration of alternatives. Projects expected annually to produce more than 25,000 tonnes of Co2 equivalent

should provide an emission inventory and plans for annual reporting.

OFFICIAL USE

24 OFFICIAL USE

KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

4 Health and Safety

Summary:

4.1 Occupational Health and Safety

4.2 Community Health and Safety

4.3 Infrastructure, Building, and Equipment Design and Safety

4.4 Hazardous Materials Safety

4.5 Product and Services Safety

4.6 Traffic and Road Safety

4.7 Natural Hazards

4.8 Exposure to Disease

4.9 Emergency Preparedness and Response

5 Land Acquisition, Involuntary Resettlement and Economic Displacement

Summary:

5.1 Avoid or minimise displacement

5.2 Consultation

5.3 Compensation for displaced persons

5.4 Grievance mechanism

5.5 RAP/LRP documentation

5.6 RAP/LRP implementation

5.7 Monitoring

OFFICIAL USE

25 OFFICIAL USE

KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

6 Biodiversity and Living Natural Resources

Summary:

6.1 Assessment of Biodiversity and Living Natural Resources

6.2 Conservation of Biodiversity

6.3 Sustainable Management of Living Natural Resources

7 Indigenous People

Summary:

7.1 Indigenous People Assessment

7.2 Adverse Effects Avoidance and Indigenous Peoples Development Plan

7.3 Information Disclosure, Meaningful Consultation and Informed Participation

7.4 Grievance Mechanism and Prevention of Ethnically Based Discrimination

7.5 Compensation and Benefit-Sharing

7.6 Impacts/Relocation on Traditional or Customary Lands and Cultural Heritage

OFFICIAL USE

26 OFFICIAL USE

KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

8 Cultural Heritage

Summary:

8.1 Assessment and Management of Impacts on Cultural Heritage

8.2 Consultation with affected communities and other stakeholders

8.3 Project use of Cultural Heritage

10 Information Disclosure and Stakeholder Engagement

Summary:

10.1 Stakeholder Engagement Plan

10.2 Operational Grievance Mechanism

Overall Compliance

National Environmental, Social, Health and Safety Requirements

EU Environmental, Social, Health and Safety Requirements

OFFICIAL USE

27 OFFICIAL USE

ANNEX 3

ENVIRONMENTAL AND SOCIAL ACTION PLAN TEMPLATE

No. Action

Environmental & Social Risks

(Liability/Benefits)

Requirement

(Legislative, EBRD PR, Best

Practice)

Resources, Investment Needs,

Responsibility Timetable

Target and Evaluation Criteria

for Successful Implementation

Status

PR1 Assessment and Management of Environmental and Social Impacts and Issues

1.1 Develop and implement an EMS

Optimisation of environmental management though a formalised system. Provide resources for training and monitoring of emissions

EBRD PR1

Voluntary and best practice

Own resources, external consultants

Cost

Assign responsibilities

20xx Develop and implement an EMS

Attain ISO 14001 or equivalent certification

Annual EHS Report to the Bank

PR2 Labour and Working Conditions

2.1

PR3 Resource Efficiency and Pollution Prevention and Control

3.1

PR4 Health and Safety

4.1

PR5 Land Acquisition, Involuntary Resettlement and Economic Displacement

5.1

OFFICIAL USE

28 OFFICIAL USE

No. Action

Environmental & Social Risks

(Liability/Benefits)

Requirement

(Legislative, EBRD PR, Best

Practice)

Resources, Investment Needs,

Responsibility Timetable

Target and Evaluation Criteria

for Successful Implementation

Status

PR6 Biodiversity and Living Natural Resources

6.1

PR7 Indigenous People

7.1

PR8 Cultural Heritage

8.1

PR10 Information Disclosure and Stakeholder Engagement

10.1

OFFICIAL USE

29 OFFICIAL USE

ANNEX 4

GUIDANCE FOR A STAKEHOLDER ENGAGEMENT PLAN

The following is an indicative list of issues for possible inclusion in a Stakeholder

Engagement Plan. The Consultant is expected to use its professional judgement to

determine what issues (either listed below or additional) are relevant to the Project.

A Stakeholder Engagement Plan will need to:

Briefly identify the Project location and areas subject to impact (e.g., list of

communities)

Record what the Project is legally required to do regarding disclosure and

consultation

Identify all stakeholders, including stakeholder maps (if relevant)

Identify any specific groups who might be considered vulnerable or need more

support in the consultation process, e.g. because of their level of literacy,

gender, socio-economic level, ethnicity/language, or location (e.g., proximity

of the project to school, hospital, etc.). For each identified group, specify how

meaningful consultation will be undertaken

Report on any previous consultation and disclosure activities

Define which documents will be released, including a schedule, and in what

language(s)

Define where documents will be available (physical and online addresses) ,

e.g. provide names of specific newspapers, bulletin board locations, etc.

Define how people will be notified of the document availability

State the beginning and end dates of the consultation

Provide a table or list of meetings, activities or opportunities for comment. If

locations/dates are not yet known, state how people will be informed of the

dates

State who/where should comments be sent to, what will happen to them and

how people will be advised of the outcomes

Define how grievances will be handled (including a specific public grievance

process)

Define the monitoring and reporting activities for the stakeholder engagement

process

Define the responsibilities for delivering the stakeholder engagement process

The SEP should be concise and not exceed 15 pages in length, excluding annexes.

Please also see guidance note:

http://www.ebrd.com/downloads/about/sustainability/grievance-mechanism.pdf

OFFICIAL USE

30 OFFICIAL USE

ANNEX 5

INDICATIVE LIST OF ISSUES FOR A NON-TECHNICAL SUMMARY

The following is an indicative list of issues for possible inclusion in a Non-Technical

Summary. The Consultant is expected to use its professional judgement to determine

what issues (either listed below or additional) are relevant to the Project.

Non-Technical Executive Summary

1 | Project Description

A concise and comprehensive description of the Project

Proposed works and subsequent maintenance/operation

Scheme map and typical cross sections

2 | Background

Rationale of the Project, the need for the scheme and scheme objectives

Legal aspects and compliance with relevant environmental and social laws

Current environmental and social situation and considerations

History of the Project development and planning; including an outline of the

main alternatives that were studied, their environmental and social impacts,

and the reasons for making the final selection

3 | Process

ESIA process carried out and integration with design

A statement of the national EIA process’s compliance with the EU EIA

Directive

Public consultations and disclosure and dealing with objections

4 | Environmental Benefits, Adverse Impacts and Mitigation Measures

Land use planning and changes

Water resources, impacts and management measures

Habitats, ecology (flora and fauna) and nature conservation, impacts and

management measures

Landscape and visual impacts, impacts and management measures

Air quality, impacts and management measures

Traffic, noise and vibration; impacts and management measures

Waste management

Raw material sourcing and transportation, including borrow pits

Road safety, impacts and management measures

Associated infrastructure impacts and management measures

Cumulative impacts

Induced (indirectly consequential) impacts

Occupational health and safety issues; including explosives safety

Disruption, health and safety during construction

Consistency with policy, law and other plans

Environmental management plans, mitigation measures and compensatory

measures

OFFICIAL USE

31 OFFICIAL USE

5 | Social Benefits, Adverse Impacts and Mitigation Measures

Socio-economic impacts; including gender and management measures (taking

into account gender specificities and needs)

Impacts on businesses and employment

Impacts to existing infrastructure and public services

Local traffic and access impacts

Land acquisition and resettlement (cross reference any resettlement report that

is being developed)

Contractor management, including the siting and management of worker

camps,

Community impacts (confirm that no Roma are known to utilise the land

and/or corridor route)

Labour issues and standards

Public road safety; including health and safety mitigation in the design

Social management plans, mitigation measures and compensatory measures

Cultural heritage, impacts and management measures

6 | Monitoring of Impacts

Process for monitoring the identified impacts

On-going solicitation of further comments

Process for addressing any issues arising