Ministry of Transport of the Republic of Kazakhstan JSC National Company "KazAvtoZhol" TRANSPORT RESILIENCE AND CONNECTIVITY ENHANCEMENT PROJECT (P500565) Environmental and Social Impact Assessment and Environmental and Social Management Plans (Draft) Astana 2024 TABLE OF CONTENTS EXECUTIVE SUMMARY...................................................................................................................1 1 PROJECT DESCRIPTION.......................................................................................................8 1.1 Key Project Components ....................................................................................................8 1.2 Project Outputs and Study Area ..........................................................................................9 1.2.1 The Project Road Corridor .................................................................................... 11 1.2.1.1 Current Road Condition.................................................................................... 12 1.2.1.2 Proposed Road Cross section ........................................................................... 12 1.2.1.3 Planned Structures ........................................................................................... 13 1.2.2 Auxiliary Facilities................................................................................................. 14 1.2.2.1 Borrow Pits and Quarries ................................................................................. 14 1.2.2.2 Disposal Sites for Construction Wastes............................................................. 15 1.2.2.3 Detour Roads during Construction ................................................................... 16 1.2.2.4 Plants and Camps ............................................................................................. 16 2 ESIA OBJECTIVES AND METHODOLOGY ...........................................................................18 2.1 Scope, Coverage and Purpose ...........................................................................................18 2.2 Approach and Methodology .............................................................................................19 3 POLICY AND LEGAL INSTITUTIONAL FRAMEWORK ..........................................................22 3.1 National Environmental Laws, Regulations, Guidelines, and Standards .............................22 3.1.1 Basic Environmental Laws of the Republic of Kazakhstan ..................................... 22 3.1.2 Kazakhstan Laws and Regulations Relevant to the Project.................................... 22 3.1.3 Recognition of International Agreements and Conventions.................................. 26 3.2 World Bank ESF Policy, Directives and Standards – Extent of Relevance ...........................28 3.3 Gap Analysis: WB ESF and Kazakhstan’s National Legislations...........................................31 3.4 Project Level Institutional Arrangements ..........................................................................43 3.4.1 Ministry of Finance .............................................................................................. 43 3.4.2 Ministry of Transport – Committee of Roads ........................................................ 43 3.4.3 KazAvtoZhol (KAZh) .............................................................................................. 44 3.4.4 Construction Supervision Consultant (CSC) .......................................................... 44 3.4.5 Civil Works Contractors ........................................................................................ 45 3.4.6 Ministry of Ecology and Natural Resources of Kazakhstan .................................... 46 3.5 Environmental Standards .................................................................................................48 4 ENVIRONMENTAL AND SOCIAL BASELINE DATA ..............................................................48 4.1 Observed Features along the Corridor ..............................................................................48 4.1.1 Field Inspection on the Physical Environment ...................................................... 48 4.1.2 Field Inspection on Biodiversity and Ecology ........................................................ 50 4.1.3 Field Inspection on Social Aspects ........................................................................ 51 4.2 Measured Parameters ......................................................................................................53 4.2.1 Ambient Air Quality Sampling Measurements ...................................................... 54 4.2.2 Surface Water Quality Sampling Measurements .................................................. 55 4.2.3 Ambient Noise Level Monitoring Locations .......................................................... 58 i 4.3 Environmental and Social Resources.................................................................................59 4.3.1 Physical Resources ............................................................................................... 59 4.3.1.1 Topography and Relief ..................................................................................... 59 4.3.1.2 Geological Structure ......................................................................................... 61 4.3.1.3 Soils and Soil-forming Rocks ............................................................................. 62 4.3.1.4 Soil quality ....................................................................................................... 64 4.3.1.5 Seismic Characteristics of the Region ............................................................... 65 4.3.1.6 Surface water ................................................................................................... 66 4.3.1.7 Groundwater.................................................................................................... 68 4.3.1.8 Ambient Air Quality and Noise ......................................................................... 69 4.3.1.9 Climate of Karagandy and Ulytau Regions ........................................................ 70 4.3.1.10 Natural Hazards................................................................................................ 74 4.3.2 Biodiversity and Biological Resources ................................................................... 75 4.3.2.1 Flora ................................................................................................................. 75 4.3.2.2 Fauna ............................................................................................................... 76 4.3.3 Korgalzhyn State Nature Reserve ......................................................................... 86 4.3.4 The Karaagash State Nature Zoological Sanctuary ................................................ 86 4.3.5 Andasai State Nature Zoological Sanctuary .......................................................... 87 4.3.6 Cultural Heritage .................................................................................................. 89 4.3.6.1 Investigations of the Tangible Aspects.............................................................. 89 4.3.6.2 Intangible Aspects ............................................................................................ 92 4.3.7 Socio-Economic Conditions .................................................................................. 92 4.3.7.1 Ulytau Region ................................................................................................... 92 4.3.7.2 Karagandy Region ............................................................................................ 94 4.3.8 Gathered Data from Socio-economic Survey ........................................................ 96 4.3.8.1 Affected Land Plots .......................................................................................... 96 4.3.8.2 Profile of affected population........................................................................... 96 4.3.8.3 The number and size of affected households (Karagandy region) ..................... 97 4.3.8.4 Age, family status and education level of head of affected households (Karagandy region) ......................................................................................................... 97 4.3.8.5 Ethnic Composition of Affected Population (Karagandy region) ....................... 98 4.3.8.6 Income of Households (Karagandy region) ....................................................... 98 4.3.8.7 The number and size of affected households (Ulytau region) ........................... 99 4.3.8.8 3.2.6. Age, family status and education level of head of affected households (Ulytau region) ................................................................................................................ 99 4.3.8.9 Ethnic Composition of Affected Population (Ulytau region) ............................ 101 4.3.8.10 Income of Households (Ulytau region) ........................................................... 101 4.3.8.11 General Perceptions about the Proposed Road Project .................................. 102 4.3.8.12 Analysis of Social Risks Impacts ...................................................................... 103 4.3.8.13 Impact on Vulnerable Groups/People ............................................................ 104 4.4 Traffic Safety .................................................................................................................. 105 5 ENVIRONMENTAL AND SOCIAL RISKS ASSESSMENTS AND MEASURES ......................... 105 5.1 Environmental and Social Assessment on the Project Activities ...................................... 106 5.2 Impacts and Risks during Pre-construction and Construction Phase ............................... 110 5.2.1 E&S Risk and Impact Related to ESS1 ................................................................. 110 5.2.2 E&S Risk and Impact Related to ESS2 ................................................................. 111 ii 5.2.2.1 Labor Influx and Labor Conditions .................................................................. 111 5.2.2.2 Occupational Health and Safety Hazard.......................................................... 118 5.2.2.3 Sexual Exploitation and Abuse/Sexual Harassment (SEA/SH) .......................... 127 5.2.2.4 Social Tension ................................................................................................ 128 5.2.2.5 Employment and Livelihoods ......................................................................... 129 5.2.3 E&S Risk and Impact Related to ESS3 ................................................................. 129 5.2.3.1 Soil Quality (Land Resources) ......................................................................... 129 5.2.3.2 Sediment Pollution ......................................................................................... 132 5.2.3.3 Water Resources (Surface and Ground Water) and Quality ............................ 132 5.2.3.4 Air Quality ...................................................................................................... 134 5.2.3.5 Noise .............................................................................................................. 136 5.2.3.6 Wastes Generation (domestic/construction solid hazardous/non-hazardous waste, wastewater) ....................................................................................................... 137 5.2.4 E&S risks and impacts relating to Community Health and Safety (ESS 4) ............ 139 5.2.4.1 Community Health and Safety ........................................................................ 139 5.2.5 E&S risks and impacts relating to ESS 5 .............................................................. 140 5.2.5.1 Land Acquisition, Resettlements on Land Use and Involuntary Resettlement . 140 5.2.5.2 Access Restrictions on Land Use ..................................................................... 140 5.2.6 E&S Risks and Impacts Related to ESS 6 ............................................................. 141 5.2.6.1 Flora and Fauna.............................................................................................. 141 5.2.6.2 Biodiversity and Protected Areas in the project area ...................................... 145 5.2.7 E&S Risks and Impacts Related to ESS 8 – Cultural Heritage ............................... 150 5.3 Impacts and Risks during Demolition Phase .................................................................... 151 5.4 Potential Impacts and Risks during Maintenance/Operations Phase ............................... 152 6 ANALYSIS OF ALTERNATIVES .......................................................................................... 154 7 DESIGN MEASURES ........................................................................................................ 157 8 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN ................................................... 159 8.1 Environmental and Social Management Plan .................................................................. 160 8.2 ESMP Implementation Arrangements ............................................................................. 214 8.3 Procurement .................................................................................................................. 214 8.4 Contractor’s Site-specific Environmental and Social Management Plans (C-ESMP) ........ 216 8.5 Cost estimates for the ESMP implementation ................................................................. 217 8.6 ESMP Monitoring Plan .................................................................................................... 218 8.6.1 Consultancy Budget on Monitoring Activities ..................................................... 222 9 CONSULTATION AND STAKEHOLDER ENGAGEMENT ..................................................... 222 9.1 Consultations During Project Preparation ....................................................................... 224 9.2 Consultations During Project Implementation ................................................................ 224 9.3 Reporting Back to Stakeholders ...................................................................................... 224 10 GRIEVANCE REDRESS ..................................................................................................... 226 10.1 Grievance Redress Mechanisms...................................................................................... 226 10.2 Disclosure of the Grievance Process ............................................................................... 228 iii 11 MONITORING AND REPORTING ..................................................................................... 228 11.1 Internal Environmental and Social Monitoring by KAZh .................................................. 229 12 Annex 1: Environment & Social Screening for Sub-Component 1.2 ............................... 230 12.1 Guidelines for Screening of Rural Roads und Subcomponent 1.2 .................................... 230 12.1.1 Step 1: Rural Road Information and Eligibility Screening .................................... 230 12.1.2 Step 2: Technical Screening and Instrument Determination ............................... 230 12.1.3 Step 3: Preparation of Instruments .................................................................... 232 12.2 Environmental and Social Assessment Instruments ........................................................ 232 12.3 Environmental and Social Code of Practice (ESCOP or SPPL) ........................................... 232 12.4 ES Screening Template ................................................................................................... 233 12.5 Guidelines in Preparing an ESMP .................................................................................... 235 13 Annex 2: Sample Chance Find Procedure ....................................................................... 239 14 Annex 3: Incident Reporting Toolkit .............................................................................. 242 Sub-appendix A.1: Incident Classification and Communication .......................................... 246 Sub-appendix A.2: Template for Incident Report ............................................................... 248 Sub-appendix A.3: Samples of Terms of References .......................................................... 249 Sub-appendix A.4: Example Incident Corrective Action Plan (ICAP) Outline ....................... 255 Sub-appendix A.5: Example of Response Mechanism following a Fatality .......................... 257 15 Annex 4: Public Consultation Outputs ........................................................................... 258 16 Annex 5: Biodiversity Management Plan (a separate standalone document) ............... 267 List of Figures Figure 1: Map of Project Road Corridor ......................................................................................... 9 Figure 2: Map of TRACE Project Study Area ................................................................................. 11 Figure 3: Typical Condition of A17 Road ...................................................................................... 12 Figure 4: Project Level Institutional Arrangements ...................................................................... 47 Figure 5: Observed Physical Environment of the Project Road ..................................................... 49 Figure 6: Location of Potential Soil Reserves for the Project ........................................................ 49 Figure 7: Observed Biological Environment of the Project Road .................................................. 50 Figure 8: Observed Social Environment of the Project Road ........................................................ 52 Figure 9: Topographical Relief & Elevation of the Project Area .................................................... 60 Figure 10: Map of General Seismic Zones .................................................................................... 66 Figure 11: Rivers in the Project Area............................................................................................ 67 Figure 12: Average Temperature in the Study Area ..................................................................... 71 Figure 13: Average Monthly Precipitation in the Study Area ....................................................... 71 Figure 14: Average Monthly Humidity in the Study Area ............................................................. 72 Figure 15: Country Flood Hazards ................................................................................................ 75 Figure 16: Road Sections with Graded Importance for Saiga Crossings. ....................................... 76 Figure 17: Movement of tagged Saigas in the Betpak- Dala Population ....................................... 77 Figure 18: Observation of Saiga antelopes during an air survey (April) in the period from 2019 to 2020 .................................................................................................................................... 78 iv Figure 19: Observation of Betpak- Dala Saiga Population from 14 April to 1 May 2022 ............... 79 Figure 20: Indicative Ranges Saiga Betpak-Dala Populations........................................................ 80 Figure 21: Importance of route sections (including potential ones) for Saiga crossings ............... 81 Figure 22: Plan view at Saiga Crossings........................................................................................ 83 Figure 23: Profile of the Northern Road Lane at the Saiga Crossing ............................................. 84 Figure 24: Profile of the Southern Road Lane at the Saiga Crossing ............................................. 84 Figure 25: Locations of the Wild life Crossings provided by the Project ....................................... 86 Figure 26: Map of the Karaagash State Nature Sanctuary ............................................................ 87 Figure 27: Locations of Andasai Sanctuary Clusters ..................................................................... 88 Figure 28: Some Rivers Crossing A17 ......................................................................................... 132 Figure 29: Options Developed in the Feasibility Study ............................................................... 156 List of Tables Table 1: Project Road Design Parameters .................................................................................... 13 Table 2: Assessment Matrix of Levels of Impacts and Risks ......................................................... 21 Table 3: Main Legislative Acts and their Project Relevance .......................................................... 22 Table 4: International Agreements and Convention .................................................................... 26 Table 5: World Bank ESF Policy, and World Bank Groups' EHSGs ................................................. 28 Table 6: WB ESF and Kazakhstan Policy Considered in the Environmental and Social Assessment ............................................................................................................................................ 31 Table 7: Ambient Air Quality Sampling Measurement Results ..................................................... 54 Table 8: Surface Water Quality Sampling Measurement Results ................................................. 55 Table 9: Ambient Noise Level Measurement Results (equivalent sound level LAeq), dBA ............ 58 Table 10: Standards for MPCs of harmful substances polluting the soil ....................................... 64 Table 11: Average number of days with thunderstorms .............................................................. 72 Table 12: Average number of days with hail ................................................................................ 73 Table 13: Average number of days with fog ................................................................................ 73 Table 14: Average number of days per year with snowstorms..................................................... 73 Table 15: Number of Tagged Saigas in the Betpak-Dala Population ............................................. 77 Table 16: Areal Census for Saiga Populations (2023, extrapolation) ............................................ 79 Table 17: Preliminary Routes of Crossing for Wild Animals During the Migration Period ............. 85 Table 18: Affected Land Plots ..................................................................................................... 96 Table 19: Size of Households Surveyed........................................................................................ 97 Table 20:: Age of the Surveyed Heads of Households .................................................................. 97 Table 21:: Education of the Surveyed Heads of Households ........................................................ 98 Table 22: Monthly Income of the Surveyed Household (per household)...................................... 98 Table 23: Settlements around the Road Corridor (Karagandy region) .......................................... 99 Table 24: Size of Households Surveyed........................................................................................ 99 Table 25: Age of the Surveyed Heads of Households ................................................................ 100 Table 26: Education of the Surveyed Heads of Households ....................................................... 101 Table 27: Monthly Income of the Surveyed Household (per household).................................... 101 Table 28. Settlements around the Road Corridor (Ulytau Region) ............................................. 102 Table 29: Activity – ESS Interaction Matrix ................................................................................ 107 Table 30: Activity – Impact Interaction Matrix ........................................................................... 109 Table 31: Labor Impacts and Risks ............................................................................................. 112 v Table 32: OHS Impacts/Risks and Mitigation Measures ............................................................. 119 Table 33: Number of Trees and Shrubs to be cut down along the Alignment............................. 142 Table 34: Biodiversity Conservation Measures .......................................................................... 144 Table 35: Assessment of Impacts and Risks during Demolition Phase ........................................ 151 Table 36: Potential Impacts/Risks during Demolition Phase with Measures .............................. 151 Table 37: Assessment of Impacts and Risks during Operations and Maintenance ...................... 152 Table 38: Potential Impacts/Risks during Operations and Maintenance Phase with Measures .. 153 Table 39: Comparison of “Without” and “With” the Project ...................................................... 154 Table 40: Environment and Social Risks and Impacts and Mitigation Measures for Sub-Component 1.1 and 1.2: ....................................................................................................................... 160 Table 41: Actions for Integrating Environmental and Social Measures in Contracts ................... 215 Table 42: Budgetary Cost for Mitigation of Affected Trees and Regreening ............................... 218 Table 43: Environment and Social Monitoring Plan ................................................................... 219 Table 44: Sub-Component 1.2 Project Risk Classification ........................................................... 231 Table 45: Incident Reporting Procedure .................................................................................... 244 vi Abbreviations ACBK Association for the Conservation of Biodiversity of Kazakhstan C-ESMP Contractor’s site-specific management plan CoR Committee for Roads dBA decibels EHS - Environment, Health and Safety EQS Environmental Quality Standards ES - Environment and Social ESIA - Environmental and Social Impact Assessment ESCP Environment and Social Commitment Plan ESMP - Environmental and Social Management Plan ESS - Environmental and Social Standard GAP Gender Action Plan GBN - Gender Based Violence GRM - Grievance Redress Mechanism IUCN International Union for Conservation of Nature GoK Government of Kazakhstan JSC joint stock company KAZh/QAJ - KazAutoZhol LAeq equivalent sound level LMP - Labor Management Procedures MDB - Multilateral Development Banks MENR Ministry of Ecology and Natural Resources MOF Minister of Finance MoT Ministry of Transport MPC Maximum permissible concentration NC national company OHS Occupational health and safety PAP - Project Affected Person PDO Project Development Objective PM Project Manager PMU Project Management Unit PPE Personal Protective Equipment ROK - Republic of Kazakhstan ROW - Right of Way RAP - Resettlement Action Plan SCD Systematic Country Diagnostic SEA - Sexual Exploitation and Abuse SEE - State Ecological Expertise SEP - Stakeholder Engagement Plan vii SPZs Sanitary Protection Zones ToR - Terms of Reference TRACE Transport Resilience and Connectivity Enhancement Project WB - World Bank Units of Measurement °C - degree Celsius km - kilometer km/h - km per hour km2 - square kilometer m - meter m3 - cubic meter mm - millimeter viii EXECUTIVE SUMMARY The World Bank will be supporting the Ministry of Transport in implementing the Transport Resili- ence and Connectivity Enhancement Project (TRACE). The objective of the Project is to provide safe, efficient and climate resilient transport connectivity, foster increased trade and development activi- ties along the Jezqazgan – Karagandy road section within the Middle Corridor. The Executive Sum- mary of the Environmental and Social Impact Assessment and Environmental and Social Manage- ment Plans (ESIA/ESMP) for rehabilitation of the Jezqazgan – Karagandy highway describes the pro- ject and presents major findings of the ESIA. The document provides a summary of environmental and socio-economic conditions and of how the project could affect people and the environment. It also summarizes the proposed mitigation measures to reduce the identified risks and impacts on the environment or people. KazAutoZhol (KAZH) will serve as the project management agency, over- seeing daily implementation and assuming financial management, fiduciary and environmental and social management responsibilities under the Committee of Roads (CoR) of the Ministry of Transport (MoT). Project Description The project will focus on the upgrading of 513 km long A17 Jezkazgan – Karaganda corridor as a critical segment of the multimodal Middle Corridor and key to connectivity between the poorly con- nected main economic development centers in the north and south of the country. The proposed Project Development Objective (PDO) is to improve transport resilience in Kazakhstan and develop road connectivity and safety along the multimodal Jezqazgan - Karagandy corridor. The project will support upgrading the highway, pilot alternative hybrid works plus maintenance contracts and asso- ciated infrastructure for services, tolling and axle load control and local road rehabilitation to enable last-mile connectivity for rural populations and agricultural producers. The proposed operation will return the highway to a serviceable state through full depth reconstruction of the existing carriage- way to restore the ride quality, making it economically maintainable, and reducing road user costs. Further, road upgrading works are also expected to improve climate resilience through design, in- cluding improved road pavement materials, temporary/permanent snow barriers, and flood preven- tion. The project consists of the following three components with the subprojects: Component 1: Resilient and Safe Road Connectivity 1.1 Corridor Connectivity 1.2 Last Mile Connectivity 1.3 Road Sustainability 1.4 Safety Audit Component 2: Transport System Development 2.1 Framework for Resilient and Safer Roads 2.2 Multimodal Middle Corridor Development Component 3. Project Management The ESIA covers Subcomponent 1.1: Corridor Connectivity that will support upgrading selected sec- tions of the strategically important A17 Jezqazgan-Karagandy highway. Since the exact locations of the connectivity roads under subcomponent 1.2: Last-Mile Connectivity addressing reliable last-mile connectivity for the rural population and agricultural producers along the Jezqazgan-Karagandy are not confirmed at the project preparation stage, a guideline for the screening/scoping of potential 1 environmental and social risks and impacts and for preparation of site-specific management plans for last mile connectivity roads is provided as an Annex 1 into the ESMP. Potential Environmental and Social Risks and Impacts The TRACE project’s environmental and social risk classification is substantial in line with the World Bank Environmental and Social Policy for Investment Project Financing. The substantial risk classifi- cation considers the type, location, sensitivity, and scale of the project, the nature and magnitude of the potential environmental and social risks and impacts and the institutional capacity requirements to prevent and manage potential environmental and social risks adequately. The following World Bank’s Environmental and Social Standards are relevant to the project: ESS1 on Assessment and Man- agement of Environmental and Social Risks and Impacts, ESS2 on Labor and Working Conditions, ESS3 on Resource Efficiency and Pollution Prevention and Management, ESS4 on Community Health and Safety, ESS5 on Land Acquisition, Restrictions on Land Use and Involuntary Resettlement, ESS6 on Biodiversity Conservation and Sustainable Management of Living Natural Resources, ESS8 on Cultural Heritage and ESS10 on Stakeholder Engagement and Information Disclosure. The potential environ- mental risks include risks and impacts associated with civil works involving A17 highway upgrading and supporting infrastructure. Although the project could potentially affect a small part of Saiga’s winter migration range, a preliminary biodiversity assessment conducted as part of the ESIA study by biodiversity experts from the Association for Conservation of Biodiversity in Kazakhstan (ACBK) indicates that the A17 highway will have no significant impact on the main habitat of Saiga, and the project will not affect natural and/or critical habitats and species of ecological and conservation sig- nificance as the A17 corridor does not pass through known legally protected areas of high value and sensitivity, Ramsar sites, or Key Biodiversity Areas (KBAs) of the region. The state rangers jointly with ACBK specialists observed around 29 saiga crossings over the last 5 years as part of regular ground monitoring. According to the data collected during the biodiversity assessment, the A17 corridor crosses two clusters of the zoological sanctuary Andasai which is located in Zhambyl oblast’ (more than 400 km away from the A17 highway) and expanded by six clusters on the territory of Ulytau and Karagandy regions as per the Resolution of the Government of the Republic of Kazakhstan dated July 11, 2022, No 470. However, the potential risks and impacts of the road are expected to be manage- able and easily mitigated through implementation of site-specific Contractor’s ESMPs (C-ESMPs). The Contractor must follow the environmental requirements of the Biodiversity Management Plan (BMP), including the requirements for landowners and land users located on the territory of the sanctuary as stipulated in the “Passport of the sanctuary” (Annex 2 of the BMP). These requirements and other proposed mitigation measures minimizing potential impacts on biodiversity are included in the ESMP and BMP. Other potential environmental risks include increased pollution due to improper utilization of addi- tional resources (inefficient quarrying); Increased environmental pollution due to air emissions from construction vehicles and equipment; dust, waste water generation and unsanitary management, noise, light and vibration pollution associated with the movement of machinery and equipment; Im- pact on land and land use associated with land exploitation for materials resulting in degradation, soil degradation and erosion; Impact on water resources (surface and underground water) associated with construction works and water withdrawal for construction purposes. Potential risks and impacts on biodiversity (cutting of vegetation along roads, impacts on nests and habitats and influencing of 2 species diversity, etc.); Improper reinstatement/rehabilitation works of the disturbed lands/areas after completion of civil works and during demobilization, etc. Construction-specific risks and impacts considered under the project based on stakeholders’ consultations during the ESIA development are related to the following: i) Potential labor influx and consequent social tension with the host communities. There could be potential issues on labor and working conditions due to sub-standard working practices. Further there could be community expectations for local employment that need to be managed. Potential risks related to labor influx may include crowding out of the existing basic services which could impact the host community, public health issues (including SEA/SH, and potential sexually transmitted diseases); ii) community health and safety risks associated with construction works, such as noise, waste, traffic safety, public safety (i.e., improper housekeeping, open excavation trenches, etc.), access restrictions to properties, etc. iii) Occupational health and safety (OHS) issues, which could result in potential injury from work-related accidents, health issues from work environment (emissions, noise, extreme temperature, weather condition, contaminants, etc.); iv) Traffic and road safety, such as vehicular accidents, operations of machinery, road-crash kills to livestock, road detours, etc. With regards to land acquisition, the project is not expected to generate significant impacts. As per the RAP, in Karagandy Region the project affects 58 agricultural lands and 6 commercial lands, ma- jority of which are state owned. In Ulytau Region, the affected properties consist of 97 agricultural lands and 10 commercial lands, which are mixed legally acquired and state owned along with two land properties with businesses. There will be 153 PAPs adversely affected by the project. Most of them will lose part of their land and a few will lose some buildings in which they operate some busi- ness activities. The RAP sets out guidelines for prompt, fair compensation, and proper valuation in line with the ESS5. No significant resettlement impacts are envisaged. The project may require relo- cation of two business facilities operated by private owners. No households fall under the national poverty thresholds along the road corridor based on the socio- economic survey held during the ESIA development. However, further assessment on vulnerability, including project-induced vulnerability, particularly amongst people with underlying comorbidities, people with disability, children who may use the existing road, need to be properly assessed during the updating of the ESIA and ESMP as well as during the preparation of C-ESMPs. The previous consultations with the community indicate that in general, the host communities along the road corridor are supportive of the proposed road works due to the benefits and the perceptions of benefits that the project creates. There are expectations that need to be managed including the expectations of additional infrastructure as well as design adaptation to enable a sufficient number of cattle drives, overpasses for agricultural machinery, turnarounds, accesses and exits to farms. These need to be revisited as the final detailed designs are being prepared during the early stage of the Project implementation. Environmental and Social instruments To manage the environmental and social risks and impacts identified throughout all phases of the project implementation, the following documents have been prepared, disclosed, and consulted upon: − Based on the available designs, an Environmental and Social Impact Assessment and Environ- mental and Social Management Plans (ESIA/ESMP), including a Biodiversity Management 3 Plan (BMP, a standalone document prepared as part of the ESMP), and a Guideline for the screening and assessment of potential environmental and social impacts and risks for last- mile connectivity roads provided in the annex 1 as part of the ESMP. The ESIA will be updated based on final detailed designs and approved by MoT prior to the launch of the procurement of civil works. − Stakeholder Engagement Plan to guide relevant stakeholder consultations, engagement, and grievance redress management during the project’s cycle. − The implementation of land acquisition will be guided by the Resettlement Action Plan (RAP) which will be updated and finalized based on the final detailed designs. − Potential impacts on labor, particularly the construction workers will be addressed through the Labor Management Procedures (LMP). The ESIA and ESMP has been prepared to assess the Project’s potential negative and positive environmental and social risks and impacts and recommend measures needed to prevent, minimize, and mitigate adverse impacts towards improved environmental and social management and per- formance during implementation. The objective of the ESIA study is to ensure that implementation of the project activities is environmentally and socially sustainable and in line with the national leg- islation of Kazakhstan and with the World Bank’s relevant Environmental and Social Standards (ESSs). It describes the approaches, implementation arrangements, and environmental and social mitigation measures to be followed. Forming part of the Civil Works Contract, the ESMP presents a set of mitigation, monitoring, and institutional measures, which should be taken throughout the project cycle to avoid, minimize, reduce, or mitigate the adverse environmental and social risks and impacts of the project. The ESMP also determines institutional arrangements to implement these measures along with the assessment of the capacity for the purpose of recommending measures for enhancement. In addition, a Biodiversity Management Plan (BMP) was prepared as part of the ESMP containing biodiversity conservation measures, such as compensatory planting of trees af- fected by the project, installation of artificial nests and fish protection facilities, installation of mesh fencing and proper traffic signage, environmental awareness campaigns for minimizing adverse ef- fects on flora and fauna etc. Furthermore, a preliminary Resettlement Action Plan (RAP) was pre- pared during the project preparation based on partial information on the preliminary road designs. Potentially affected and interested stakeholders were identified as part of the preparation of a Stakeholder Engagement Plan (SEP). This includes development of a project-level grievance redress mechanism, which consists of national and regional focal points. A Labor Management Procedure (LMP), which forms part of the ESMP was prepared based on the proposed road upgrading works and estimated workforce requirements based on past and on-going projects. Legal and regulatory Framework The ESIA/ESMP study was undertaken in accordance with respective national laws and regulations of the Republic of Kazakhstan and in line with relevant WB ESSs and the World Bank Environmental, Health, and Safety (EHS) Guidelines with general and industry-specific examples of Good Interna- tional Industry Practice (GIIP). All relevant national legislation was identified which normally applies to infrastructure and road projects. A ‘Policy Gap Analysis’ was undertaken to enable the Project to achieve objectives materially consistent with both WB ESSs and national legislation requirements. An overview of the institutional responsibilities of relevant government agencies who will be in- volved in the management and monitoring of environmental and social risks and impacts under the Project is also provided in this report. For the extended Legal Framework, please see the RAP. 4 Baseline Data Baseline data was gathered and compiled for the overall environmental and social setting description before starting the project. In this ESIA/ESMP, several reports from KAZh and design consultants were utilized as principal sources, supplemented by data from secondary sources, as well as addi- tional field inspection along the entire alignment from the starting point at Jezqazgan city in Ulytau region to the endpoint at Karagandy city in Karagandy region. The primary study area was deter- mined to be the area within the existing corridor; peripheral study areas are the immediate sur- roundings; and the communities connected to the road as supplemental study area, with two regions (oblasts’) and potential sources of raw materials as regional study area. Analysis of Alternatives The “Analysis of Alternatives” was undertaken to provide justification and rationale for the selected alternative covering aspects such as technical, economic, financial, environmental, and social con- siderations. Reconstruction of the 2-lane into 4-lane A17, will entail certain physical and ecological environment and social disturbances with no new structural and safety improvements. The Feasibil- ity Study (FS) came up with the following three alternative options: (i) First option-road on one road- bed; (ii) Second option - road on a separate roadbed, the preferred option in FS and road scheme for ESIA Subcomponent 1.1; and (iii) The third option - “Without the Project” scenario in ESIA. The com- parative analysis concluded that the second option is found to be more beneficial and contributive to the regional and the country’s progress and development. Environmental and Social Management Plan The ESMP presents the Mitigation Plan for measures against environmental impacts as well as social impacts including social issues related to GBV and SEA/SH. All these items shall be applied and con- sidered during the design/pre-construction, construction, and operations phases of the TRACE pro- ject. Most of the environmental and social impacts shall occur during the construction stage, which will have to be planned for appropriately in the design and pre-construction phase. National legisla- tion and WB ESSs should be enforced by KAZh for compliance of contractors and subcontractors. A recommended draft ESCP is also presented for consideration of the KAZh as part of the legally binding document. The ESMP will inform the scope and preparation of the Construction ESMPs that will fall under the responsibility of the selected contractor(s). Integration of the ESMPs into the Project Contractual Documentation All bidding documents for subprojects 1.1 and 1.2 will include a requirement to develop and imple- ment site-specific Contractor’s ESMPs (C-ESMPs) based on the final detailed design, and these docu- ments shall be attached to the bidding documents and then to the civil works contracts. The require- ments of this ESIA will be incorporated into the Project Operational Manual, while the requirements of the ESMP will be included in the civil works contracts for individual subprojects, both in the spec- ifications and in the bill of quantities, and contractors will be required to include the cost of imple- mentation of the ESMP in their financial proposals. Contractors’ contracts should include require- ments for compliance with all respective national building/sanitary codes and norms, road safety and traffic management standards during road construction works, health and safety arrangements pro- tective procedures and regulations, and environmental protection documents. 5 ESMP implementation arrangements The KAZh jointly with Construction Supervision Consultant’s (CSC’s) E&S staff will support the follow- ing activities: (i) Establish communication and coordination with the Ministry of Environment and Natural Resources (MENR); (ii) Review, quality control, approval and submission to the World Bank of ESF instruments prepared for the Project, including site-specific ESMPs for the last-mile connec- tivity roads as well as C-ESMPs with prior approval by CSC and KAZh; (iii) Ensure proper implementa- tion of the ESMP requirements, RAP during the project implementation; (iv) Establish a GRM and support addressing complaints and feedback from project stakeholders and the public, including grievances regarding environmental and/or social impacts; (v) Supervise environmental protection and mitigation measures stipulated in the ESMPs; (vi) Monitor environmental and social impacts as part of the overall monitoring of ESMP, RAP, LMP, SEP implementation; and (vii) Promptly notify the Bank within 48 hours of any incident or accident related or having an impact on the Project which has, or is likely to have, a significant adverse effect on environment, affected communities, the pub- lic, or workers; (viii) Submit regularly monitoring reports on the environmental, social, health, and safety (ESHS) performance and analyze the efficiency of applied mitigation measures to minimize adverse E&S implications. Together with subproject implementers and beneficiaries, the Committee for Roads (CoR) with its KAZh are responsible for implementation of the above activities. With regard to ESMP implementation, the hired Consultants will provide capacity building training to KAZh (including on, but not limited to, specific aspects of E&S risks; Occupational and Community Health and Safety; Specific aspects of environmental and social assessment (Screening and Scoping); Implementation progress and monitoring report on ESMP implementation compliance; Emergency preparedness and response; Implementation of LMP, its provisions, and labor complaints manage- ment; Stakeholder mapping, engagement, and GRM; Prevention of and response to SEA/SH sexual exploitation and abuse, and sexual harassment; Incident reporting and understanding of the World Bank’s reporting requirements on incidents and accidents, etc. Consultations and Stakeholder Engagement To the road project, consultation activities and stakeholder engagement as per the TRACE project’s Stakeholder Engagement Plan (SEP) is undertaken. The SEP seeks to ensure that Project communi- ties, as well as other Project stakeholders, are informed and involved in all the stages of the Project. The Project recognizes the need to seek representative and inclusive feedback. The means of com- munication and information dissemination is provided in relevant chapters and sections of this re- port, with more details in the SEP. The ESMP, LMP, SEP, RAP were publicly disclosed through the Committee of Roads’ website on 20th of June 2024 (link). A series of public consultations in Akimats in both regions were conducted between 24th and 28th of June 2024, with further engagement as defined in the SEP to be organized during the early stage of project implementation. Grievance Redress Mechanism The grievance mechanism seeks to resolve concerns promptly and effectively, in a transparent man- ner that is culturally appropriate and readily accessible to all project-affected parties, at no cost and without retribution. Grievances can be submitted if someone believes the Project is having a detri- mental impact on the community, the environment, or on their quality of life. The GRM is described in full in the project’s SEP. 6 The CoR and JSC NC QazAvtoZhol central office and regional branches have the primary responsibility for ensuring that the Grievance Redress Mechanism (GRM) implementation is completed on time. They can be supported by consultants and a Construction Supervision Consultant (CSC), as well as other actors (i.e. Akimats and NGOs). The GRM for the road sector projects implemented by the CoR consists of two levels: (i) the Grievance Re-dress Committee (GRC) at the regional (oblast); and (ii) central (Astana) levels, as per CoR GRM Guidelines (August 2014). The GRC is composed of mem- bers who are appointed from CoR, akimats, KAZh, CSC, and the Contractors. In both regional and national levels, the GRC is led by senior managers who are responsible for overseeing the entire operations of the GRM. It is envisaged that the grievances will primarily be those pertaining to road works implementation issues (including relating to environmental and social impacts, health, road safety, etc.). The handling of worksite related grievances shall be through a Grievance Redress Mechanism described herein to be established by KAZh. Any worker-related disputes are covered in the Labor Management Proce- dure document. PAPs and other stakeholders may visit, call, email to, or fax the GRC for the Karaganda and Ulytau region at the regional level. The following details has been communicated to the project people: GRC Contact Details where the public can submit complaints: Contact person: Bektimirov Rafael and Rakhimzhanov Sungat Address: Karaganda, Republic ave. 42, 4 floor/ Zhezkazgan, Sary Arka street 82, 2 floor Tel: +7 702 287 90 90/+ 701 916 77 07 Email: karaganda.info@qaj.kz /ulytau.info@qaj.kz The regional GRC for Karagandy and Ulytau region and key persons at Central GRC level are yet to be appointed. Monitoring and Reporting Monitoring ensures that mitigation measures shall be implemented and expected to be effective during the Jezqazgan–Karagandy road construction. The KAZh jointly with the construction supervi- sion consultant, shall develop monitoring and auditing arrangements for TRACE sub-components 1.1 and 1.2, with the regular progress reports on environmental and social implementation perfor- mance submitted to the Bank. In addition, environmental management activities and reporting of project related incidences/accidents should form part of the Internal Monitoring System. The KAZh with the assistance of the CSC, shall monitor the compliance of the Contractor in accordance with the ESMP. Monthly and quarterly reporting shall be established for such purposes. 7 1 PROJECT DESCRIPTION 1.1 Key Project Components The Transport Resilience and Connectivity Enhancement Project (TRACE), referred herein as the Project, aligns with the strategic pillar on integration and connectivity outlined in the Systematic Country Diagnostic (SCD) as the proposed interventions aim to enhance transport connectivity, which in turn will foster increased trade and development activities. The proposed TRACE Project under the World Bank for Kazakhstan is envisioned four components, as outlined below, with the first two subcomponents involving civil works. The proposed key project components are the following: Component 1: Resilient and Safe Road Connectivity Subcomponent 1.1 Road Connectivity will support upgrading selected sections of the strategically important A17, Jezqazgan 1-Karagandy 2 highway using an integrated design, build, and maintain ap- proach. The existing 513 km long road is a two-lane single carriageway in poor condition and no longer serviceable as a long-distance passenger and freight route. The existing carriageway will be reconstructed, and a new parallel two-lane carriageway will be built, ensuring traffic is segregated. This arrangement reduces the number and severity of collisions, as head-on accidents are largely prevented despite the higher speed possible on the improved road. Climate resilience will be intro- duced through design, including improved road pavement materials, temporary and permanent snow barriers, and flood prevention. Fully serviced rest areas will function as refuges from extreme weather conditions and provide services for the comfort and safety of road users, such as baby change facilities and modern heated separated toilets. Dedicated road maintenance facilities will also be constructed and fitted out to support routine, winter, and emergency maintenance opera- tions. Subcomponent 1.2 Last-Mile Connectivity will encompass upgrading or reconstructing around 40km of local roads and bridges that interlink at least thirteen communities within the Jezqazgan - Kara- gandy corridor, including improving links to railway stations. Emphasis will be placed on accommo- dating pedestrians and cyclists, especially between communities and bus stops along the highway, to make these modes of transport conveniently accessible. At least 30km of paths and tracks for non- motorized road users are expected to be installed. The benefits arising from this subcomponent will include reduced travel times, enhanced economic sustainability of roads, and the facilitation of year- round access for rural communities. Subcomponent 1.3 Road Sustainability supports designing and implementing a modern axle load management system utilizing weigh-in-motion (WIM) technology along the project road to increase efficiency through reduced pavement damage and improved safety. The subcomponent will also fa- cilitate the design and installation of modern electronic tolling facilities, aligned with the Ministry of Transport’s plans to expand the country’s toll road network, using advanced automatic number plate recognition technology to enable accurate and automated toll collection. Tolling is also expected to contribute to managing motorization by improving the attractiveness of environmentally cleaner ve- hicles and public transport. Subcomponent 1.4 Safety Audit will use the International Road Assessment Programme (iRAP) star rating system to benchmark project road sections before and after improvement works. Recommen- 1 Also referred to as Zhezkasgan 2 Also referred to as Qaragandy or Kharaganda 8 dations for expanding the use of the iRAP auditing shall be drawn from the example and widely dis- seminated to promote the practice. This will assist KAZh in systematically managing the safety of road infrastructure and prioritizing future investments. Component 2: Transport System Development activities seek to modernize the road sector to make the country’s roads more climate resilient and safer by design amidst growing motorization chal- lenges. Through targeted technical assistance, the tools required to address current vulnerabilities and meet upcoming challenges will be delivered, where change can best be affected. Subcomponent 2.1 Framework for Resilient and Safe Roads seeks to improve climate resilience and road safety of infrastructure in Kazakhstan by modernizing design practices. Subcomponent 2.2 Multimodal Middle Corridor development activities will investigate methods to augment the capacity and efficiency of Kazakhstan’s existing railway and road systems within the Middle Corridor. The technical assistance will explore opportunities to better integrate and extend road, railway, and logistics networks and facilities. Component 3: Project Management component will support the Ministry of Transport’s project im- plementation with specialist consulting services. These will encompass contract preparation, project management, financial management, procurement, and environmental and social risk management. Experienced project management consultants will be actively involved, offering direct guidance and support to the implementation team. Additionally, Component 3 will facilitate external financial au- dits, along with the measurement of results and impact assessments of the project. 1.2 Project Outputs and Study Area The Project Development Objective (PDO) of the proposed project is to improve transport resilience in Kazakhstan and develop road connectivity and safety along the multimodal Jezqazgan - Karagandy corridor. The map of the project corridor is shown on Figure 1. Figure 1: Map of Project Road Corridor The project outputs and activities will consist of the following planned infrastructure: • Upgrading 513 km long A17 Jezqazgan - Karagandy corridor, including associated road infra- structure – will involve reconstructing the existing carriageway, and a new parallel two-lane carriageway will be built, ensuring traffic is segregated. • Rehabilitation of additional around 40 km of local roads and bridges connecting communities with the Jezqazgan – Karagandy highway - will encompass upgrading/reconstructing local 9 roads that interlink at least thirteen communities within the Jezqazgan - Karagandy corridor. Since the siting of local roads to be rehabilitated are not known at the project appraisal stage, the works will be guided by the guideline for the screening and assessment of potential envi- ronmental and social impacts and risks included as an Annex 1 into the ESMP. • Construction of road maintenance facilities to support routine, winter, and emergency maintenance operations – construction of maintenance depots for the entire stretch of the road (to be determined) The auxiliary facilities for the road upgrading works consist of the quarries, borrow pits, asphalt/con- crete, batching plants labor camps or other associated sights or facilities required in support of the above infrastructure. The road upgrading and rehabilitation will entail construction of road pavement and inter- changes/junctions’ bridges and culverts. Prior to construction, it is expected that the designs will be finalized, for which the ESMP will be refined, land acquisition shall be conducted, along with some capacity building for PIU staff. The following are the activities during the construction phase for the road rehabilitation and upgrading project: • Relocation of utilities (i.e., water supply, power, etc.). • Establishment of auxiliary facilities (asphalt/ concrete batching plants, crushing plants, quar- ries, borrow pits and worker’s camps). • Drainage works (excavations for box or pipe culverts, laying of pipe culverts and concrete). • Earthworks (site clearance and grubbing; excavations; fill and compaction; material transport). • Construction of structures (excavation and construction of bridges and box culverts; cast in concrete). • Embankment construction. • Pavement construction. • Road utilities, furniture, and markings. • General work site clearance. • Decommissioning of auxiliary facilities. • Upon completion of construction works, the land shall be reinstated in accordance with the site-specific Site Restoration Plans and landscape strategy. While, during the operations/maintenance phase, the major activities on the new four-lane A17 highway are: • Usage of Road by vehicles. • Road repairs and maintenance. The study area for the environmental and social assessment of interventions envisaged under sub- component 1.1 of the project focusing on upgrading of the main A17 corridor road into a four-lane motorway, starting at eastern outskirts of Jezqazgan and spanning 513km to the eastern entry point of the city of Karagandy. While, upgrading works of approximately 40 km of last-mile connectivity local roads (siting to be determined) envisaged under subcomponent 1.2, will be guided by the guide- line for the screening and assessment of potential environmental and social impacts and risks in- cluded as an annex 1 into the ESMP. The A17 highway is envisioned to be reconstructed following primarily the current alignment with interchanges and junctions at the main population centre and 10 several settlements of villages. In addition, the reconstruction will also entail setting up of some aux- iliary facilities such as potential borrow pits, quarries, access roads, disposal sites for debris, con- struction camps, labor camps, facilities, etc. The Study Area is determined as: (i) within the existing Right-of-Way (ROW) corridor with the con- struction strips as primary Study Area; (ii) may entail direct social impact areas for people and prop- erties alongside the road, as peripheral study area; (iii) indirect social impacts for communities con- nected to the project road considered as the project area of influence (i.e. villages located at 20-25 km from the project road); (iv) cumulative impacts such as induced changes in the pattern of land use, population density or growth rate, and related effects on air and water and other natural sys- tems, including ecosystems; and (v) regional impacts for the 2 rayons and potential sources of raw materials outside the two rayons of Karagandy and Ulytau, considered as regional study area. The map of the Study Area is shown below. Figure 2: Map of TRACE Project Study Area 1.2.1 The Project Road Corridor Following the available design 3, the A17 TRACE main corridor road starts at the eastern outskirts of Jezqazgan City passed around 820m the Kara-Kengir River and ends after the entry gateway at the western part of Karagandy City. It will essentially follow the same alignment. A bypass will be con- structed in Atasu along with several interchanges and junctions as the road nears Karagandy City for traffic flow in consideration as well of future growth in vehicular traffic. The entire project road will have a length of around 513km along with about 40 km of local roads and bridges connecting com- munities with the reconstructed A17 highway will be upgraded. 3 Based on available information, there is currently no approved detailed design except for the sections of km 755-783 and km 783- 795. The detailed designs for the other sections are under development. 11 1.2.1.1 Current Road Condition The existing condition of the project road was noted during the initial field work and can be summa- rized as follows: • The road is asphalt paved with moderate deterioration as noted with some roughness as driven over by motor vehicles. • A17 is generally a double lane with unpaved shoulders and with unpaved shoulders es- pecially in the rural areas. • From Karagandy to around 50km, the traffic is quite moderate and free flowing. Deteri- orations can be observed, and patching work undertaken in some areas. • The embankment fills are shallow and becomes steeper at bridge approaches. • The bridges are concrete decks, with asphalt paving; with some needing some repairs or reconstruction. • Tree plantations were noted alongside the existing corridors which serve as buffers also to farmlands. • There are several intersections and junctions at the outskirts of Karagandy city with some railroad crossings. Road over railroad were noted. Figure 3: Typical Condition of A17 Road 1.2.1.2 Proposed Road Cross section The road is to be designed according to Kazakhstan geometric design standard, and accordingly, it shall be sufficient to carry the traffic loading efficiently and with safe passage for bi-directional traffic. Effectively, these will be a four-lane road consisting of a carriageway width (sum of the width of lanes) and the width of the shoulders. The design elements for the cross section of the project road are as follows: 12 Table 1: Project Road Design Parameters According to SP Adopted in No. Prospective Parameter RK 3.03-101-2013 Design 1 Prospective traffic intensity (vehicles/day) From 7000 45 525 2 Road category I-b I-b 3 Design speed, km/h 120 120 4 Number of traffic lanes, no. 4 4 5 Lane width, m 3.75 3.75 6 Width of the roadway, m 15 15 7 Curb width, m 3.75 3.75 8 Minimum width of the reinforced shoulder, m 0.75 0.75 9 Width of the subgrade, m 27.5 27.5 10 Transverse slope of the roadway and reinforcing strip, ‰ 20 20 11 Width of dividing strip At least 5 5 12 Width of the safety lane at the median 1 1 13 Cross slope of the shoulder, ‰ 40 40 14 Maximum longitudinal slope, ‰ 40 35 15 Minimum visibility distance, m: a) to stop: 250 250 b) for an oncoming car: 450 450 16 Minimum radii of curves in plan, m. 800 3000 17 The smallest radii of curves in a longitudinal profile: - convex, m.: 15000 15000 - concave, m.: 5000 7240 Turns with a single-slope roadway profile with radii of curves 18 3000 or less 3000 or less in plan, m. Curves with a single-pitched profile and widening of the road- 19 1000 or less 1000 or less way with radii of curves in plan, m 1.2.1.3 Planned Structures Interchanges with crossing bridges shall be designed to facilitate the flow of traffic. Most of these major interchanges are near Karagandy. Water crossing bridges are to be implemented as follows: (i) old bridges along the existing lanes shall be reconstructed, while (ii) those along the new lanes shall be newly constructed. In addition, culverts (pipe and box) shall be provided whenever neces- sary, as per design. There will be 15 sections for the entire 513km road from Jezqazgan to Karagandy. The project in- cludes 6 railway overpasses, 493 culverts, 89 cattle crossings, 40 bridges, 50 local overpasses, 18 transport overpasses, 2 transport interchanges, 6 underground pedestrian crossings, 248 junctions and intersections, 12 rest areas, 69 bus stops and 12 public transport stations. 13 1.2.2 Auxiliary Facilities Aside from the project roads, potential locations of auxiliary facilities for the road project need to be established. These facilities are described in the following sub-sections. 1.2.2.1 Borrow Pits and Quarries Considerable volume of materials will be obtained from borrow areas and quarries, that will be used for reconstruction of road/bridge as embankment fills, gravel for bituminous pavement layers and bridge concrete components. The locations of these burrow pits should be specifically identified by the appointed contractors. Potential sites shall be investigated again prior to construction to ascer- tain their capacities to be source of materials. These materials should conform to the specifications prescribed in the design. If the Contractor will operate the material sources, he shall be responsible for proper operations of the borrow pits or quarries and any access used in hauling materials to the project sites, along with reinstatement of the extraction site/s upon completion of the project. To operate a new, borrow pit for extraction of materials requires a number of documents such as Permission from Local Executive Power with attached Act and Map from local Land Committee. A permit from relevant national and local authorities. Based on these documents and site observation, the Regional Department of MENR will issue “Conclusion” that has to be presented to the State Eco- logical Expertise Department of MENR for final processing. This document will include the list of rules for site exploitation and re-cultivation. The application requires an Ecological Passport that can be issued after site final approval. Details required include location of borrow pit and proposed volume, rate of extraction, estimated volume of dust emission etc. Prior to closing the borrow pit, the Con- tractor shall undertake relevant reinstatement measures, such as site clearing, landscaping, top- soiling, grass seeding and/or re-plantation of bushes and trees if any had been disturbed as part of the C-ESMP (i.e. Borrow Pit Management Plan). Approval on properly done reinstatement shall be received from the regional department of MENR. At the moment, the list of possible quarries to be used (about 23 quarries) is proposed in the Design Documentation for the road. For road construction the following will be extracted: sandy loam with gravel, sand, loam, coarse clastic material, etc. The quarries that can be used are located at different distances from the road (from 300 m to 2500 m). The need to use a particular quarry will be identified at later stages of project development and will be determined based on construction needs, logistical costs and permissions of authorized bodies (land ownership, ecology, etc.). The operation of quarries is a complex process and involves the placement of equipment, special machinery, and mechanisms, possibly transporters, hoppers, and crushers. Selection of sites should be agreed with the landowners, if any, and the local Akimat. Appropriate design and estimate docu- mentation (including an environmental section) must be developed and appropriate permits ob- tained (including a license for the extraction of solid minerals, issued by the Ministry of Industry and Infrastructure Development of the Republic of Kazakhstan). The main pollutants negatively affecting the environment are dust emissions from quarry develop- ment and loading and unloading operations, crushers, and conveyors, as well as emissions from in- ternal combustion engines of machinery and equipment. The Sanitary Protection Zone (SPZ) of such objects varies from 100 to 500 meters and should be calculated in the EPP/HIA section. To reduce dusting, it is recommended to moisten (by spraying water) the ground and territory (calculations and approval of water intake by the Basin Inspectorate are required), to install barriers, to develop plans 14 for operation in case of NMU (unfavorable weather conditions), to cover the ground in the bodies of vehicles, etc. To reduce machine emissions - use of modern and technically serviceable machinery and equipment, refueling using pallets, cleaning, and appropriate disposal of fuel oil stains, etc. Quar- rying in protected areas is prohibited. After quarrying, reclamation works should be carried out. 1.2.2.2 Disposal Sites for Construction Wastes During road reconstruction, it is necessary that demolition waste from existing pavement is properly managed and disposed of by the specialized accredited company. An old asphalt pavement can be scrapped and milled, and the aggregates mixed with new batches of asphalt mix. However, old com- ponents of concrete structure may not be suitable for immediate use. Temporary storage or stockpile of such materials should be discussed with KAZh. It is preferred to store these materials in vacant government land but NOT within the extended clusters of Andasai sanctuary or IBA’s. Any contam- inated substance, materials, soil, etc., should be transported by the Contractor to appropriate and approved disposal facility for proper treatment based on the agreement signed with an accredited company(ies) for waste transportation and further disposal. Due to the wide stretch of unutilized or underutilized lands, finding suitable places for temporary storage may not be an issue. Also, local Akimats may have locally controlled lands and villagers may offer their own lands who may also pre- fer certain materials in their own locality for temporary road enhancements or other uses. Some vacant private lands may be used only with written permission of the owner and if it will not pose any environmental or social risk or impacts. Concrete components may be reused for other purposes by rayon authorities or private citizens in their properties. After any demolition of struc- tures, this option will be explored by the Contractor along with the permission of the Engineer and no objection of KAZh and Local Executive Power, when necessary to eliminate generation of debris waste in the project. Should there be any toxic and hazardous waste that will arise due to construction activities, certain guidance can be obtained from the WBG Environmental, Health, and Safety (EHS) Guidelines, partic- ularly on the chapter on “Hazardous Materials Management”. For the road project, the following should be considered: • Hazardous chemicals and liquids (even solids) should be inside roofed and sufficiently sealed, bound and containment works (shelters or sheds or buildings). • Containers should be those recommended by manufacturers and appropriate to safely contain materials that are corrosive, reactive or with low flash points. • Any spills on the ground should be removed immediately and stored in appropriate con- tainers and disposed of in approved facilities. • The Spill Prevention Plan should be drafted and established by the Contractor before starting work. The basic permits required for the establishment and operation of the Contractor's auxiliary facilities -industrial facilities, infrastructure and camps consist of the following: • Establishment permit from the local executive authority (Land Management Act) • Contract or agreement with the landowner • Conclusion of a comprehensive non-departmental expert review of the design or design and estimate documentation, including: (i) environmental report or results of the expert review; 15 (ii) architectural and construction expert review; (iii) sanitary and epidemiological expert review; (iv) results of archaeological research; (v) permit for emergency work and fire safety specialists, etc. etc.; (vi) authorization for special water and/or resource use; (vii) Agreement with the Company for rubbish collection; and (viii) sewage disposal. 1.2.2.3 Detour Roads during Construction During the construction stage, local access may be impaired. Major traffic can be diverted to certain strips (e.g. median or shoulders). Also, the contractor may strategize to construct the new lanes while maintaining the old lanes for the current traffic. Subsequently, as the new lanes become usable, the traffic will be shifted to the new ones to reconstruct the old lanes. Local roads may be utilized with due regard to residents for their safety and welfare. If rural village roads are used for temporary access, the Contractor should see to it that generation dust and noise/vibration are minimized, and the road frequently maintained to drivable condition. At the end of the usage, the Contractor should reinstate the road to pre-construction or to a better condition. During bridge construction, temporary water crossings may be necessary. It is advisable that con- struction be done during the non-rainy season to take advantage of the low water level. This is also to ensure safer vehicular passage over temporary crossings at bridge construction sites. When water crossing structures are finished, the temporary crossings should be demolished, and the site properly reinstated with revegetation. The local traffic should be provided with alternate access in areas of road construction. The Contrac- tor should strategize to undertake work in stages to minimize public inconvenience. Alternate lane construction should be done in case of narrow ROW or vacant spaces within the ROW converted to temporary access whenever possible. Restoration should be done after completion of works in cer- tain spots. The specific sections with the detour roads are not yet identified and the ESIA/ESMP will be revisited once the final detailed designs are in place. 1.2.2.4 Plants and Camps In establishing asphalt and cement batching plant sites for the project's needs, the Contractor should be guided by several items to protect the environment. Emissions will be produced in producing the asphalt mix likewise bitumen spill may occur during handling and mix preparation. For the cement batching plant for concrete works such as bridges, culverts and drainage work, cement dust can con- taminate the air. In addition, the preparation, mixing and loading of concrete mix into the transit mixer and subsequent washing of trucks will result in soil and water contamination. In accordance with Kazakhstani legislation, all construction of this type of road is classified as Hazard Class 2 - having a moderate adverse environmental impact, which can be minimized by a wide range of environmental measures and restrictions. Such auxiliary facilities such as BSU, crushing plants/plants, warehouses, petrol stations, etc. have their own Sanitary Protection Zones (SPZs), which shall be adjusted by special calculations of pollution dispersion in the surface layer of the atmosphere due to climatic conditions (wind, temperature, and background pollution). 16 SPZs are determined in accordance with the Sanitary Rules "Sanitary and Epidemiological Requirements for Sanitary Protection Zones of Facilities that are the objects of impact on the habitat and human health" (2022), Section 4 and are as follows: • Hazard Class I: SPZ - 1000 m - production of cement, as well as local cements (including clay-cement, roman cement, gypsum-slag, phosphorus-slag); - asphalt concrete production • Hazard Class II - SPZ 500 m: - production of crushed stone, gravel and sand, quartz sand beneficiation; - production of reinforced concrete products • Class III hazard class - SPZ 300 m: - concrete production plant; - quarries, enterprises for extraction of gravel, sand, clay, etc. • Class IV - SPZ 100 m: - warehouses of cement and other dusty building materials; - production of concrete products; - production of construction parts; - bituminous installations; - non-explosive stone extraction facilities In addition, no dust and wind-borne pollutants should cause damage to local residents and agricultural animals and plants - vulnerable components, as well as negatively affect all components of the OS beyond hazardous distances. Special attention should be paid to the territories with the status of SPNA and coastal territories, for which special restrictions apply. Accordingly, camps and plants should be situated at appropriate distances (no less than 300m) from the residences as well as the river so as not to result in water contamination. Within the project road, since the area is rural, there are ample spaces to set up these plants. The proper maintenance of all the service and sanitary facilities at the construction camp falls under the direct responsibility of the Contractor under the supervision of the Construction Supervision En- gineer (CSE) for the project. The sanitary facilities or ablution include toilets, urinals, showers, wash- stands and a laundry area. In addition, equipment and maintenance yard will also have to be sited accordingly. Wastewater should not be discharged into the river unless treated in compliance with local effluent standards. Solid waste collection and disposal should be planned properly as part of the guidelines for worker’s accommodation. The Contractor should establish a Solid Waste Management for work camps, facility vicinities and work sites consisting of minimization, segregation, recycling and reuse which will form part of the C-ESMP (i.e. site-specific Waste Management Plan). It is expected that for the project road's reconstruction, considerable refuse materials will be generated. If not managed properly, will contaminate depository sites of accumulated solid waste. Improper management of solid waste re- sults in contamination of the surroundings, water resources, and even biota in the vicinity. Along the route to the disposal sites in the rayons, droppings of solid waste will result in spot contamination and possibly pollution of the natural surroundings. It should be emphasized to the workers that the practice of inadvertent dumping and improper disposal in unpermitted sites will result in contami- nation of the environment’s land and water resources. 17 For construction camps, there are ample spaces in the area that the Contractor can select to set them up. Since the road travelers' sections of farmland with some of them non-productive, usage of these lands can be negotiated with the landowners. The selection of any work camp should ensure proper protection of the physical and social environment as per the relevant ESSs and local regulations. It will be up to the Contractor to select the land parcels required, negotiate directly with the land- owner and obtain the necessary permits for his facilities as part of “voluntary transactions” for tem- porary land use by contractors as mentioned in the RAP. Such facilities should not be within pro- tected areas or IBAs and should have buffer zones adjacent to them. Site selection and operation of camps and material plants shall be in line with this ESMP as well as Contractor’s ESMPs mentioned below in Section 8.4 of this ESIA/ESMP Report (List of other Plans to be prepared by the Contractor is provided after ESMP Table). The Contractor must obtain the necessary permits, negotiate properly with the landowners, and re- instate the area/disturbed lands after completion of civil works according to the Kazakhstan legislation and in line with the ESSs: The list of permits needed for establishment and operation of Contractor's auxiliary facilities, in- cluding industrial facilities, infrastructure, and camps as well as exploitation of construction camps, borrow pits and quarries include: 1. Establishment permit from the local executive authority (Land Allocation Act). 2. Contract or agreement with the landowner. 3. Conclusion of a comprehensive non-departmental expert review of the project or design and estimate documentation, including: (i) environmental report or results of the expert review; (ii) conclusion of architectural and construction expertise; (iii) conclusion of sanitary and epidemio- logical examination; (iv) results of archaeological research; (v) permit for emergency work and fire safety specialists, etc.; (vi) authorization for special water use and/or resource use; (vii) Agreement with the accredited Company for waste collection, transportation, and disposal; and for (viii) sewage reception. 2 ESIA OBJECTIVES AND METHODOLOGY 2.1 Scope, Coverage and Purpose For Sub-Component 1.1, the objective of the environmental and social impact assessment (ESIA) study is to ensure that the development and implementation of the project is environmentally and socially sustainable and in line with the applicable requirements of the national legislation, the Envi- ronmental and Social Standards relevant to the project (ESS 1, 2, 3, 4, 5, 6, 8, and 10), the World Bank Group Environment, Health and Safety Guidelines (EHSGs) and other relevant GIIPs. Sub-Component 1.2 for rural connectivity road, Annex 1 provides the guidelines for (i) screening of the rural road projects (which is also applicable to “auxiliary facilities”) for the preparation of relevant E&S Instru- ments to be prepared by KAZh/PIU and the CSC; as well as for (ii) preparation of ESMP by Contractors for the concerned sub-component project lots. The scope of the ESIA study mainly focuses on Subcomponent 1.1, the four-laning upgrading works of the Jezqazgan - Karagandy corridor based on provided preliminary design of KAZh includes: 18 • Assessment of the baseline conditions of the road corridor based on the alignment provided in the preliminary design. • Evaluation of the Kazakhstan’s national legal and institutional requirements relevant to the road project. • Identification of potential environmental and social risks and impacts as consequence of the pre-construction, construction, and operation of the road corridor. • Analysis and determination of the Levels of Risks and Impacts on environmental and social parameters across a set of considerations for the construction corridor. • Designing appropriate mitigation and management measures corresponding to the identified risks and impacts. • Preparation of environmental and social management plan (ESMP) and provide key recom- mendation for the ESCP, incorporating essential elements of the RAP, SEP, LMP, GAP and BMP consistent with WB ESSs. The ESIA also considers various potential site options for the auxiliary facilities for the road upgrading works (if known) and provide an assessment of potential risks for each option to inform whether there are sensitive receptors that will need to be assessed correspondingly. During construction, the ESIA shall be the source of recommendations to the Contractors on possible options and/or alterna- tives with less impacts, including on aspects related to but not limited to i) sourcing of materials; ii) siting of auxiliary facilities; iii) transportation routes (i.e., for goods and materials), etc. 2.2 Approach and Methodology The preparation of the ESIA/ESMP Report for the Transport Resilience and Connectivity Enhance- ment (TRACE) Project include a multifaceted methodology such as reviews of available secondary information from similar road projects (i.e., policies applied, social and environmental reports and other documents), field/site inspections, consultations with KAZh, discussions with other Consultants and other stakeholders particularly with potentially affected communities. Coordinative efforts shall be arranged with the consulting firm involved in preparing the Project’s Feasibility Study, Preliminary and detailed Design for rehabilitation/ upgrade of the project activities under Component 1. Secondary data are supplemented by primary data, whenever necessary and possible, to enable a due diligence assessment within the bounds of practicality based on perceived impacts of the pro- jects. Refinements of the assessment work shall proceed once updated information becomes avail- able from other project consultants in the Feasibility, and Detailed Design work of the project com- ponents. In the same way, the ESIA/ESMP will be updated by KAZh PMU based on the final design of the project to make sure that ESIA/ESMP final findings and recommendations are incorporated in the final detailed design in line with World Bank’s ESF requirements. Essentially, the approach consists of assessment of impacts on environmental and social parameters for potential environmental and social receptor discussed in the relevant report chapters and sec- tions. The adverse (negative) and beneficial (positive) environmental and social impacts of the Pro- ject are identified and assessed against the established baseline within the considered impact areas. Based on the predicted negative impacts or risks, measures are devised consistent with the WB ESS framework. Particularly: • To adopt a mitigation hierarchy approach to: − Anticipate and avoid risks and impacts; 19 − Where avoidance is not possible, minimize or reduce risks and impacts to acceptable levels; − Once risks and impacts have been minimized or reduced, mitigate; and − Where significant residual impacts remain, compensate for or offset them, where techni- cally and financially feasible. • To adopt differentiated measures so that adverse impacts do not fall disproportionately on the disadvantaged or vulnerable, and they are not disadvantaged in sharing development benefits and opportunities resulting from the project. • To utilize national environmental and social institutions, systems, laws, regulations and procedures in the assessment, development and implementation of projects, whenever appropriate. • To promote improved environmental and social performance, in ways which recognize and enhance Borrower capacity. As matter or methodology, a set of criteria were used to determine the Levels of Impacts and Risks applied across the various environmental social and environmental parameters or considerations. To determine the significance of each impact, two overall factors are considered: • The importance and/or sensitivity of the environmental and social receptor parameters, as determined during the assessment of baseline conditions; and • Magnitude and Nature of the impact. The sets of considerations applied ES parameters are as follows: 1) Nature of the Impact: Initially, any activity introduced into the environmental and social environment results into conse- quences constituting the nature of the impact and defined as follows: • Type of Consequential Impact - Positive: applies to impacts that have a beneficial E&S result, such as enhancement of conditions; and - Negative: applies to impacts that have a harmful aspect associated with them such as loss or degradation of environmental resources. • Type of Relevance Effect - Direct: applies to impacts which can be clearly and directly attributed to a particular E&S parameter (e.g. generation of dust directly impacts air quality); and - Indirect: applies to impacts which may be associated with or are after a particular impact on a certain E&S parameter. • Duration (how long the stressor or its effect last) - Short Term: applies to impacts whose effects on the environment will disappear within a 1-year period, or once construction activities are completed; - Medium Term: applies to impacts whose effects on the environment will disappear within a 5-year period; and - Long Term: applies to impacts whose effects on the environment will disappear in a period greater than 5 years. • Reversibility - Reversible: applies to impacts whose significance will be reduced and disappeared over time (either natu- rally or artificially), once the impacting activity ceases; and - Irreversible: applies to impacts whose significance will not be reduced nor disappeared over time (either naturally or artificially), once the impacting activity ceases. With the above considerations, the nature of impacts and risks consistent with WB ESS can be cate- gorized as (i) low; (ii) moderate; (ii) substantial; and high. 2) Occurrences: This is a level of measure that a certain perceive consequence by the introduced by an activity will occur or exist. In the project, the focus of interest is the occurrence of the impacts to the environ- mental and social environment as consequence of the construction activities and typified as follows: • Unlikely – the event or impact is not likely to be or occur and believed to be improbable, marked by doubt but it does occur can be referred to as remote event and with slim chance of being repeated. 20 • Likely – the event or impact has a high probability of occurring or being true. Such events are also expected after the introduced activity or sets of activities. • Very Likely – The impact or event has a high degree of certainty of occurring or being true as consequence of the actions or activities. The methodology of ascertaining the levels of impacts and risk is the central focus of the ESIA process and provides guidance in the identification and categorization of E&S effects. Consequently, to de- termine impact or risk level of the activities, the nature of impact and risks is considered with the probability of occurrence. The table below demonstrates how these parameters are considered in the assessment of significance. Table 2: Assessment Matrix of Levels of Impacts and Risks Severity of Impacts and Risks Occurrences Minor Moderate Substantial High Unlikely MINOR/LOW MINOR/LOW MODERATE MODERATE Likely MINOR/LOW MODERATE SUBSTANTIAL SUBSTANTIAL Very Likely MODERATE MODERATE SUBSTANTIAL HIGH The above matrix serves as a tool for the determination of impact/risk level, and enables comparison across E&S parameters underpinned by a degree of professional judgement by ES consultants while considering some parameter-specific factors.  Designing of Management Measures Based on the impact assessment undertaken a set of management measures are identified for each impact which aims to address it. Management measures include the following: • Mitigation Measures: a vital step in the ESIA process is the identification of measures that can be taken to ensure that impacts are mitigated or reduced to acceptable levels. The ESIA firstly considers the significance of any impacts caused by the Project and then propose mitigation measures through applying the following hierarchy: - Anticipate and avoid risks and impacts; - Where avoidance is not possible, minimize or reduce risks and impacts to acceptable lev- els; - Once risks and impacts have been minimized or reduced, mitigate; and - Where significant residual impacts remain, compensate for or offset them, where techni- cally and financially feasible. While some negative impacts can be easily mitigated, others cannot or are too difficult and costly to mitigate. Certain aspects may also to be considered vis-à-vis the mitigation measures as follows: - Additional Requirements: those are generally regulatory requirements identified and which must be considered later. - Additional Studies: for certain E&S receptors additional studies must be undertaken at a later stage. 21 3 POLICY AND LEGAL INSTITUTIONAL FRAMEWORK 3.1 National Environmental Laws, Regulations, Guidelines, and Standards 3.1.1 Basic Environmental Laws of the Republic of Kazakhstan Environmental legislation of the Republic of Kazakhstan is based on the Constitution of the country as embodied in Article 31, which states that: “The state shall aim to protect the environment in fa- vour of human life and health.” Article 61, (provision 3, no. 3) also states that the “Parliament shall have the right to issue laws that regulate the most important public relations and establish funda- mental principles and standards relating to Environmental protection. Accordingly, the Environmental Code (also translated as the Ecological Code, EcoCode) was promul- gated as the legal framework for environmental protection in Kazakhstan, with its latest amended form signed by the Head of State, Kassym-Zhomart Tokayev, on January 2, 2021. Among with the relevant provisions in the EcoCode is the basis for EIA development for all types of activities that can have a direct or indirect impact on the environment or health of the people. 2.1.4. Management Organization State regulation of environmental relations is carried out through the establishment by the state of environmental requirements, mandatory for fulfillment by subjects of relations regulated by this Code, and the use of state regulation instruments in the field of environmental protection in accord- ance with the EcoCode (Article 31). The Ministry of Ecology and Natural Resources of the Republic of Kazakhstan is a government body of the Republic of Kazakhstan that provides leadership in the areas of formation and implementation of state policy, coordination of management processes in the areas of environmental protection, meteorological and hydrological monitoring, development of the “green economy”, waste manage- ment (except for medical , biological and radioactive waste), protection, control and supervision of the rational use of natural resources, forestry, protection, reproduction and use of wildlife and spe- cially protected natural areas. The Ministry has Committees: Committee for Environmental Regulation and Control of the Ministry of Ecology and Natural Resources of the Republic of Kazakhstan; and Committee of Forestry and Wildlife of the Ministry of Ecology and Natural Resources of the Republic of Kazakhstan. 3.1.2 Kazakhstan Laws and Regulations Relevant to the Project With respect to road construction and inter-alia activities, the main governing laws, regulations and standards of the Republic of Kazakhstan relating to environmental and social aspects of environmen- tal and social management and their relevance to this project are summarized in the table below. Table 3: Main Legislative Acts and their Project Relevance 22 Laws/ Instruc- No. tions/ Rules/ Key Points Applicability to the project Standards 1 Constitution of - The main law of the Republic of Kazakhstan is the Applicable. the Republic of Constitution (August 30, 1995) - For the project, both the re- Kazakhstan - International treaties ratified by the Republic take quirements of the Republic of precedence over its laws. Kazakhstan and the require- - It stipulates that its land, subsoil, water, flora and ments of international agree- fauna, and other natural resources are exclusively ments will be considered. state property. However, within the limits deter- - The project will consider the mined by the land legislation of the Republic of Ka- requirements of the Constitu- zakhstan, land may be privately owned. tion for the protection of - Every citizen has the right to working conditions health, labor, nature, historical that meet safety and hygiene requirements, to re- and cultural heritage. muneration for work without discrimination, and - Relevant Plans and recommen- to social protection from unemployment. dations will be developed - Citizens have the right to health care. The state within the scope of the Project. aims to protect the environment favorable to hu- man life and health and take care of the preserva- tion of historical and cultural heritage, preserve historical and cultural monuments, etc. 2 About the Con- Decree of the President of the Republic of Kazakhstan Applicable. cept for the dated May 30, 2013, No. 577 defines the main strate- The project can be considered as transition to a gies, plans and activities for the country’s transition to an element of this policy. “green econ- a “green economy” (protection and rational use of re- omy” sources, environmental protection, etc.). 3 Environmental - The Environmental Code (dated January 2, 2021, Applicable. Code of the No. 400- VI ZRK) - regulates public relations in the Republic of Ka- field of interaction between man and nature (envi- In accordance with Art. 48 of the zakhstan ronmental relations) arising in connection with the EcoCode, activities within Kazakh- implementation by individuals and legal entities of stan are subject to environmental activities that have or can have an impact on envi- assessment. Project documenta- ronment. tion for the road will be developed - Defines the rights and responsibilities of subjects in and agreed upon, considering this the field of environmental protection, etc. (for de- document and by-laws. tails, refer to EcoCode). − Land Code The Land Code of the Republic of Kazakhstan (No. 442 Applicable. dated June 20, 2003) determines the composition of Activities to seize additional areas the land fund of the Republic, the principles and pro- for roads and protect land will be cedure for using land, as well as a legislative proce- done according to this document. dure for compensation of losses to landowners and land users. − Water Code - Establishes the basic legal requirements for the Applicable. protection of water resources and the prevention The project will cross-water bodies of harmful impacts and be considered when develop- - Types of water use and the conditions for their im- ing the EIA, Plans and recommen- plementation, etc. dations. 6 Code About - Determines the mode of subsoil use, the procedure Applicable. subsoil and for state administration and regulation in the field The project will use quarries to ex- subsoil use of subsoil use, etc. tract soil material and crushed - According to this law, the withdrawal of subsoil ar- stone. eas of special environmental, scientific, cultural or other value is not permitted. 7 Forest Code Regulates public relations regarding the ownership, Applicable. use, and disposal of forest resources, and establishes 23 Laws/ Instruc- No. tions/ Rules/ Key Points Applicability to the project Standards the legal basis for the protection, protection, reproduc- Regulation of work on forest belts tion, improvement of the environmental and resource along the road is regulated by this potential of the forest fund, and its rational use. document. 8 Code About - Defines the rights and responsibilities of citizens Applicable. public health and government bodies to ensure the sanitary and One of the main documents defin- and the epidemiological well-being of the population. ing the requirements for OS qual- healthcare sys- - Establishes Sanitary and epidemiological require- ity standards that are safe for hu- tem ments for household and drinking water supply and man life. places of cultural and domestic water use; to air Considered in the EIA and the TPD quality. section “Occupational Health and Safety” 9 Civil Code - Regulates commodity-money and other relations Applicable. based on equality of participants, as well as per- sonal non-property relations related to property. - Provides compensation for personal injury. 10 Labor Code Regulates labor relations directly related to labor and is Applicable. aimed at protecting the rights and interests of the par- ties to labor relations, establishing minimum guaran- tees of rights and freedoms in the world of work. 11 On architec- - Regulates the relations that arise between govern- Applicable. tural, urban ment bodies, individuals and legal entities in the Project documentation will be de- planning and process of carrying out architectural, urban plan- veloped and agreed upon in ac- construction ning and construction activities. cordance with this document. activities in - Defines requirements for the use of land plots, en- the Republic vironmental safety and environmental protection, of Kazakhstan road safety, preservation of historical and cultural heritage sites and landscapes, public participation in decision-making, etc. 12 On the protec- - Defines the basic requirements for the protection, Applicable. tion, repro- reproduction and use of wildlife objects and the The project passes through two duction and competence of government authorities and man- clusters of the extended Andasai use of wildlife agement in this area of activity. sanctuary and migration routes of - When doing work, the inviolability of areas of value saiga and other wild animals. as a habitat for wild animals is ensured. - Actors must compensate for damage caused to an- imals, fish resources and other aquatic animals in accordance with the requirements of the legisla- tion of the Republic of Kazakhstan. 13 About the - Considers issues of the use, protection and restora- Applicable. plant world tion of flora, the competence of bodies and mech- For vegetation adjacent to the anisms for regulating relationships, compensation road, the requirements of this payments or plantings. document will be used. - Also, if plants belonging to the category of rare and endangered species are located on the Project ter- ritory, the Procedure for compensation or limiting the scope of the Project is in effect. 14 About espe- Regulates public relations on the creation, expansion, Applicable. cially pro- protection, restoration, sustainable use and manage- It is necessary to exclude negative tected natural ment of specially protected natural areas and objects of impacts on two clusters of the ex- territories the state natural reserve fund of special environmental, tended Andasai sanctuary. scientific, historical, cultural and recreational value, as well as being a component of the national, regional and global ecological network. 24 Laws/ Instruc- No. tions/ Rules/ Key Points Applicability to the project Standards 15 On the protec- Provides for careful treatment of monuments and his- Applicable. tion and use of torical places, regulates research work, handling of his- The roadbed passes through Cen- historical and torical finds, etc. tral Kazakhstan, a historically sig- cultural herit- nificant territory. age sites During construction, “chance finds” may occur. 16 Civil Protec- - Regulates public relations aimed at preventing and Not applicable but may be consid- tion Law eliminating emergencies of a natural and man- ered. made nature and their consequences, ensuring fire and industrial safety, - The causes of harm (damage) are obliged to com- pensate for the damage caused to the environ- ment, including the costs of land reclamation and restoration of the natural fertility of the land (Arti- cle 58). 17 About Defines the basis for the legal, economic and organiza- Applicable. transport tional activities of transport in the Republic of Kazakh- The main departmental document. stan. 18 About roads - Regulates the legal, organizational and economic Applicable. foundations of state management of highways in The main departmental document. their construction, operation and development in the interests of the state and road users. - Provides a classification of roads, operating proce- dures, state regulation, safety requirements for the design and operation of roads, etc. 19 About access Regulates social relations arising because of the imple- Applicable. to information mentation of the constitutional right of everyone to Right to receive information. freely receive and disseminate information in any way not prohibited by law. 20 About tech- Establishes the fundamental principles of technical reg- Applicable. nical regula- ulation that arise when establishing and implementing Quality of services. tion and requirements for products, related processes, and the standardiza- provision of services, and also defines the legal basis for tion the functioning of the state system of technical regula- tion. 21 On approval of The implementation of the concept in the transport Applicable. the Concept sector will be represented by monitoring the consump- Monitoring the consumption of for the devel- tion of fuel and energy resources through a large-scale fuel and energy resources opment of en- analysis of the consumption of energy resources by the ergy saving transport sector. and increasing energy effi- ciency of the Republic of Ka- zakhstan for 2023 – 2029 22 On the adop- On the adoption of the technical regulations of the Cus- Applicable. tion of the toms Union "On the safety of wheeled vehicles" (Deci- Safety of the vehicles used technical regu- sion of the Customs Union Commission dated Decem- lations of the ber 9, 2011, No. 877) contains requirements for vehi- Customs Un- cles in operation. ion "On the safety of 25 Laws/ Instruc- No. tions/ Rules/ Key Points Applicability to the project Standards wheeled vehi- cles" 23 Article 81 of According to this, in the case of acquisition of a land Applicable the Land Code plot for public/state use, forced alienation of property or termination of land use rights is permitted. Con- struction of a road is one of the few grounds allowing the alienation of land plots for public use (subpara- graph 4 of paragraph 2 of Article 84). 3.1.3 Recognition of International Agreements and Conventions Kazakhstan is signatory to most international agreements and conventions relating to the socio-en- vironment and the project, as shown in Table below. Table 4: International Agreements and Convention Name Date Place Applicability to the project Climate and atmospheric air Vienna Convention for the Protection 1985 The project must not result in “adverse Vienna of the Ozone Layer effects” that will or may change the 1 Montreal Protocol on Substances ozone layer.” 1987 Montreal that Deplete the Ozone Layer The Project must include measures to Convention on Long-Range Trans- limit and, to the extent possible, re- 2 1979 Geneva boundary Air Pollution duce air pollution, including long- range transboundary air pollution. The customer will assess the estimated Framework Convention on Climate Rio de volumes of GHG emissions and ensure 3 1992 Change Janeiro the prevention or mitigation of ad- verse consequences. The customer will assess estimated Kyoto Protocol to the United Nations Kyoto (Ja- volumes of GHG emissions and ensure 4 Framework Convention on Climate 1997 pan) the prevention or mitigation of ad- Change verse consequences. Flora and fauna The implementation of the Project shall be carried out in due compliance with the following principles: Rio de - Biodiversity conservation 5 Convention on Biological Diversity 1992 Janeiro - Sustainable use / management of biodiversity - Fair sharing of benefits from the use of genetic resources The implementation of the Project Convention on the Conservation of must be carried out with due respect 6 Migratory Species of Wild Animals 1979 Bonn for the principle of conservation of mi- (Bonn Convention) gratory species of wild animals and their habitats. The Client/Contractor will determine Convention on Wetlands of Interna- the possible existence of any ecosys- 7 tional Importance especially as Wa- 1971 Ramsar tems covered by this Convention in the terfowl Habitat (Ramsar Convention) Project area or in the immediate vicin- 26 Name Date Place Applicability to the project ity of the Project facilities and, if nec- essary, take appropriate protection/ conservation measures. Land resources The Owner and Contractors will pro- UN Convention to Combat Desertifi- vide measures for restoration, conser- 8 1994 Paris cation/ Land Degradation vation and sustainable management of land and water resources. Cultural heritage The Contractor will determine whether the objects exist cultural and natural Convention Concerning the Protec- heritage, covered by this Convention 9 tion of the World Cultural and Natu- 1972 Paris in close proximity to the project facili- ral Heritage ties, and, if necessary, will take appro- priate measures for their protec- tion/preservation Social Aspects / Consultation The customer will provide: - access to information about the Convention on Access to Infor- Project; mation, Public Participation in Deci- 10 1998 Aarhus - public participation in the decision- sion -Making and Access to Justice in making process; Environmental Matters - access to justice in environmental matters. Workers ILO Conventions: 29 and 105 (About forced or compul- 1930 Geneva sory labor) 87 (On freedom of association) San Fran- 1948 Project Participants/ Customer will cisco provide measures to prevent discrimi- 11 98 (On the right to organization and 1949 Geneva nation, forced or compulsory labor, management collective negotiations) ban on child labor. 100 and 111 (About discrimination) 1958 Geneva 138 (About the minimum age) 1973 Geneva 182 (in the worst forms child labor) 1999 Geneva Occupational safety, public safety and health The Project Participants/ Customer/ Contractor will provide measures to ILO C148 - Working Environment prevent and control harmful and dan- 12 Convention (Air Pollution, Noise and 1977 Geneva gerous production factors in the work- Vibration) ing environment associated with air pollution, noise and vibration, and to protect against them. Project Participants will take measures to prevent accidents and personal in- jury arising out of, during or in connec- Occupational Safety and Health Con- 13 1981 Geneva tion with the work, by minimizing, to vention the extent practicable, the causes of hazards inherent in the work environ- ment. Road traffic The project will promote the develop- ment of international road traffic and 14 Convention on Road Traffic 1968 Vienna improve road safety through the adop- tion of uniform traffic rules 27 Name Date Place Applicability to the project The project will provide uniformity of road signs, signals and markings, as Convention on Road Signs and Sig- 15 1968 Geneva well as road markings, which will facili- nals tate international road traffic and im- proving road safety movement European Agreement concerning the The project will reduce the number of Work of Crews of Vehicles Engaged traffic accidents due to fatigue, uni- 16 1970 Geneva in International Road Transport form working conditions (AETR) Project participants at all stages will consider all the requirements of the Technical regulations Customs Union Technical Regulations to ensure the 17 2010 (CU) “Road Safety” safety of the environment and humans and ensure efficiency and resource saving 3.2 World Bank ESF Policy, Directives and Standards – Extent of Relevance The relevance of ESF Policy, each of the ten standards (ESS1 to 10) and associated directive and their requirements are summarized in the Table below. Additionally, it also discusses the relevance and requirements relating to other guidance notes of the World Bank. Table 5: World Bank ESF Policy, and World Bank Groups' EHSGs No. World Bank ESS Policy, Relevance & Extent of Relevance to the project Standards, Directive 1 World Bank Environment and Social Policy Applicable to this project for Investment Project Financing 2 ESS-1 Relevant Assessment and Management of Environ- Based on the Bank's due diligence, the overall environmental mental and Social Risks and Impacts defines and social risk classification for the proposed project is as- the Borrower's responsibilities for assessing, sessed as 'Substantial', including due to the extent of planned managing and monitoring the environmental infrastructure under subcomponent 1.1. A detailed ESIA re- and social risks and impacts associated with port must be prepared, disclosed and consulted in accord- each phase of a project supported by the ance with the ESF requirements. Bank through Investment Project Financing The E&S risks and Impacts have been identified based on sur- (IPF), with the aim of achieving environmen- veys and consultations with primary stakeholders including tal and social results consistent with Environ- communities and implementing agency. mental and Social Standards (ESS). 3 ESS -2 Relevant Labor and Working Conditions The design and implementation of a project involves many Recognizes the importance of job creation people and contractors. and income generation for poverty reduction Personnel policies and procedures, including internal proce- and inclusive economic growth. Borrowers dures and grievance procedures that meet the requirements can help build strong labor-management re- of ESS2 must be developed in the ESIA and implemented by lationships and increase the development contractors and subcontractors. benefits of a project by treating project Occupational Health and Safety Plan (OHS), workers fairly and ensuring safety and including measures aimed at ensuring compliance of living health. and working conditions with international requirements, should be prepared and implemented as part of the ESMP. An ESMP and a Labor Management Procedure (LMP) will also be developed, which will be used to inform contractors about labor protection requirements in tender documents. 28 No. World Bank ESS Policy, Relevance & Extent of Relevance to the project Standards, Directive 4 ESS-3 Relevant Resource Efficiency and Pollution Road rehabilitation works require a significant amount of re- Prevention and Management recognizes that source use, including water, energy efficiencies and construc- economic activities often pollute air, water tion material use. The substantial consumption of construction and land and consume finite resources that materials may lead to depletion of local natural resources and can threaten people, ecosystem services and environmental degradation. The ESIA will assess types of ma- the environment at local, regional and global terials and their sourcing and identify measures to include levels. This ESS establishes requirements to adopting sustainable sourcing practices to minimize resource ensure resource efficiency and pollution pre- depletion. The project is also expected to produce construc- vention and control throughout the project tion & demolition waste from existing pavement, alongside life cycle. solid waste from workers’ camps. The ESMP should include measures to optimize resource use and pollution management. The ESIA will assess risks and impacts and proposed mitiga- tion measures related to relevant requirements of ESS 3, in- cluding water and energy use, and types of materials and their sourcing. Soil, water and air pollution, generation of hazardous and non-hazardous wastes/materials, their man- agement and procedures for handling and disposing of mate- rial and waste. This will be included within the scope of site- specific ESMPs, including Waste Management Plans, Borrow Pits Management Plan, Air Quality Management Plan, Water Resources Management Plan, Emergency preparedness and Response Plan, Road Safety and traffic Management Plan, Community Health and Safety Plan, Post-construction Site Restoration Plan, etc.). 5 ESS-4 Relevant Community Health and Safety considers the Potential risks include safety & traffic congestion during the risks and impacts on the health, safety and construction stage. Vulnerable groups, incl. individuals with security of communities affected by the pro- underlying health conditions, may be more exposed to con- ject, and the corresponding responsibilities struction-related impacts (dust, noise). Labor influx may re- of Borrowers to prevent or minimize such sult in the crowding out of basic services & public health risks risks and impacts, with particular attention to due to overcrowding & poor living conditions. SEA/SH risks people who, due to their circumstances, may may increase in contexts where there are high poverty rates be vulnerable. & lack of supervision. Such risks can vary depending on the scale of labor influx, health status of the migrating population & absorbing capacity of the destination areas. These risks will be mitigated through site-specific ESMPs, incl. Traffic Management Plan (TMP) to minimize disruptions and enhance pedestrian safety; dust control measures and noise reduction strategies to mitigate air quality and noise impacts (i.e. Air quality and noise pollution management plan) and ef- fective grievance mechanisms addressing community con- cerns promptly and effectively. Rest areas will be designed with universal access for disabled and older individuals. 6 ESS -5 Relevant Land acquisition, restrictions on land use and Resettlement. forced resettlement Land acquisition should The RAP will assess the amount of land acquisition required be minimized and forced resettlement for the corridor and propose measures to manage impacts. should be avoided. Where involuntary reset- tlement is unavoidable, it will be kept to a minimum and appropriate measures to miti- gate negative impacts on displaced people (and on host communities hosting displaced 29 No. World Bank ESS Policy, Relevance & Extent of Relevance to the project Standards, Directive people) will be carefully planned and imple- mented. ESS6: Relevant. Biodiversity conservation and sustainable Biodiversity is a value of any state. management of living natural resources Rec- The ESIA study includes a thorough analysis of Saiga Tatarica ognizes that the protection and conservation habitats and their migration routes, protected areas, and of biodiversity and the sustainable manage- presence of endangered species. ment of living natural resources are funda- In addition, the ESIA assesses how the project will impact nat- mental to sustainable development, and rec- ural habitats, animals and plants, especially those listed in the ognizes the importance of maintaining the Red Book of the Republic of Kazakhstan. The studies will be essential ecological functions of habitats, in- jointly conducted and consulted with public organizations, cluding forests, and the biodiversity they sup- NGOs and other relevant stakeholders with interest and pro- port. It is envisaged that the project can fessional expertise in biodiversity. The project’s mitigation meet the requirements of standards that re- measures are described in the ESMP. late to critical habitat in Paragraph 24 as well as Paragraphs 26 and 27 of ESS6. 7 ESS7:Indigenous peoples Not relevant No groups that meet the criteria of Indigenous Peoples as per the ESS7 are present in the pro-posed project's sites 8 ESS8: Relevant Cultural Heritage recognizes that cultural The Project does not anticipate potential impacts on tangible heritage provides continuity in tangible and and intangible cultural heritage due to road improvements. intangible forms between the past, present The ESMP will need to propose measures to handle incidental and future. ESS8 sets out measures to pro- finds, training of workers/supervisors/contractors to manage tect cultural heritage throughout the life cy- finds, etc. cle of a project. 9 ESS9:Financial intermediaries Not relevant 10 ESS10: Relevant Stakeholder Engagement and Information As preparation progresses, the ESIA will include consultation Disclosure with potentially affected parties as well as to inform relevant Recognizes the importance of open and engagement, identification of relevant means of communica- transparent communication between the tion, timing, stakeholders, etc., which will form the basis for Borrower and project stakeholders as an es- the development of a project-level Stakeholder Engagement sential element of international best prac- Plan (SEP). tice. Effective stakeholder engagement can improve the environmental and social sus- tainability of projects, increase project ac- ceptability, and make a significant contribu- tion to the successful design and implemen- tation of projects. World Bank Groups' EHSGs, IFC, 2007 General Environmental, Health and Safety The General Guide is a technical reference that provides gen- Guidance Security of the World Bank Group eral examples of international experience in relevant indus- (document dated April 30, 2007 G.) tries. These guidelines establish requirements in relation to the fol- lowing: - environmental protection; worker health and safety; health and safety of the local population. - The Guide also defines maximum permissible emissions and discharges, indicators of the efficiency of resource use and the effectiveness of measures aimed at reducing risks and impacts and sets out a program implementation of controls and mitigation measures. 30 No. World Bank ESS Policy, Relevance & Extent of Relevance to the project Standards, Directive - According to the Guidelines, key risks should be managed in accordance with international standards and best prac- tices. Environmental, Health and Safety Guidelines Applicable. for toll roads (as amended in April 2007) The Guide is a technical reference book that contains addi- tional industry-specific requirements for environmental pro- tection and industrial safety during the construction, opera- tion and maintenance of major closed-access highways being designed, including associated bridges and passages. The document presents a set of measures to mitigate the en- vironmental impacts typical of the industry, including habitat modification and fragmentation, stormwater, waste, air emissions and wastewater. The Occu- pational Health and Safety section provides guidance on how to prevent and control related risks. Particular attention is paid to public safety issues, including pedestrian safety, general traffic safety and emergency preparedness. Tasks for monitor- ing and determining effectiveness are defined. Workers’ accommodation: processes and - Applicable. This includes: standards (Public guidance note by IFC and - Appropriate standards to the construction and operation the EBRD) of worker housing. - Necessary compliance to standards/guidance on food safety, water sanitation and waste management that should be applied, and national or local building regula- tions that must be complied with. - Impact of construction, and the effect of a new housed la- bour force on community services, such as health, and on community cohesion and safety 3.3 Gap Analysis: WB ESF and Kazakhstan’s National Legislations The gap analysis between the national environmental and social legal and institutional framework and the Environmental and Social Standards applicable to the project is shown below. Table 6: WB ESF and Kazakhstan Policy Considered in the Environmental and Social Assessment # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions 1 Environmental Code In this regard, the Consultant pre- ESS1: Assessing The assessment of the of the Republic of Ka- pared the ESIA and ESMP in accord- and managing possible impact of the zakhstan ance with the World Bank's Envi- environmental Project on the environ- On approval of the In- ronmental and Social Standards and social risks ment evaluates mainly structions for organiz- (ESS) and Environment, Health and and impacts the expected impact on ing and conducting Safety Guidelines. the natural environment. environmental assess- The ESIA assesses all risks and im- and, quite insignificantly, ments pacts associated with the stand- on the socio-economic About architectural, ards applicable to the Project environment. urban planning and (ESS2, ESS3, ESS4, ESS5, ESS6, ESS8 construction activities and ESS10). The assessment also As a gap, there is less in the Republic of Ka- covers social protection and inclu- emphasis for social im- zakhstan sion of vulnerable groups, in addi- pacts based on legisla- tion to assessing the risks associ- tive acts on socio-eco- ated with GBV and SEA, in line with 31 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions Code on public health nomic relations, the de- the World Bank's Best Practice and the healthcare tail of this does not meet Note (BPR) on SEA/SH. system international require- Land Code of the Re- ments. public of Kazakhstan, etc. Compared to the WB re- quirements, the Project documentation does not sufficiently cover the is- sue of social risks. 2 Code on public health The requirements for this The consultant prepared an ESIA, ESS2: Labor and and the healthcare item in the Republic of which assesses labor risks and working condi- system Kazakhstan are regulated working conditions. This assess- tions -Labor Code at different levels and in ment includes the risks associated -Civil Code, etc. different documents and with the project activities and key The Law “On ratifica- almost completely cover labor risks such as hazardous tion of the Conven- international require- work, child and forced labor, mi- tion concerning on ments. grant or seasonal workers, dis- equal remuneration crimination against women, vul- for men and women The gap on this item is so- nerable groups, etc., labor influx, workers for work of cial impacts and risks are occupational health and safety equal value”. not assessed in a system- (OHS), potential accidents and The Law “On State atic manner, but guide- emergencies, and risks of gender- Guarantees of Equal lines are provided based based violence, among others. An Rights and equal Op- on prevailing legislations, Occupational Health and Safety portunities of Men making issues such as for- Plan (OHS) and a Labor Manage- and Women eign labor, SEA/SH, non- ment Procedure (LMP) were de- discriminations, etc., are veloped, which will be used to in- covered in generic terms. form contractors about labor On GBV: RoK legislation safety requirements in tender doc- does not cover grievance uments. mechanism related to Adopt Kazakhstan’s age for em- GBV, the Law is under ployment consideration. Minimum age for em- ployment: WB ESS – 14 years old; in Kazakhstan, 15 for the non-hazardous activities; 18 for likely to be hazardous 3 ESS3: Resource Environmental Code Most of the ESS3 require- The ESIA assessed the risks and im- efficiency, pollu- of the Republic of Ka- ments are regulated by pacts specific to the project based tion prevention zakhstan existing regulations of on issues such as resource use, ef- and control Land Code of the Re- the Republic of Kazakh- ficiency and potential pollution, public of Kazakhstan stan. and will develop pollution preven- Law of the Republic of tion plans and mitigation measures Kazakhstan “On archi- As gaps for example: associated with relevant ESS 3 re- tectural, urban plan- - The EIA addresses is- quirements, including water and ning and construction sues of pollution, energy use, and types of materials activities in the Re- regulatory use of re- and their sources. Soil, water and public of Kazakhstan” sources, pollution air pollution, generation of hazard- About subsoil and and pollution pre- ous and non-hazardous waste/ma- subsoil use vention. 32 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions On the protection, re- - Resource efficiency terials, their handling and proce- production and use of is mainly governed dures for handling and disposal of wildlife, etc. by market supply and materials and waste. This will be in- demand. cluded in the site specific ESIA and - According to the re- ESMP framework. Based on the quirements of the WBG HSE guidelines, national legis- World Bank, the is- lation and best practices, appropri- sue of efficiency of ate waste management plans, use requires more wastewater management require- careful study. ments, quarry management re- quirements, concrete plants, etc. The ESMP should include measures to optimize the use of resources and pollution management. 4 ESS4: Community Code “On the health Most of the require- The ESIA will assess the risks and Health and Safety of the people and the ments for ensuring public impacts of the project on the healthcare system” health are provided and health and safety of the public regulated by the legisla- along the road and supporting fa- tive requirements of the cilities (both temporary and per- Republic of Kazakhstan manent). Potential risks associated and are considered in the with public health and safety will EIA and other project depend on the presence of sensi- documents, which are in tive assets, which will be assessed a more general terms. as part of the ESIA. Vulnerable However, as a gap, the groups, including people with un- RoK Procedures do not derlying health conditions, may be contain the concept of more susceptible to construction- vulnerable groups and in- related exposures. The influx of la- teraction with them. Ac- bor can lead to displacement of cording to the require- essential services and public ments of the World Bank, health risks due to overcrowding this requires more care- and poor living conditions. The ful study. risks of SEA/SH may increase, es- pecially in contexts of high poverty and lack of control. Such risks may vary depending on the size of the labor influx, the health of the mi- grating population, and the ability of the destination region to absorb and meet the needs of the incom- ing labor force. These risks are ex- pected to be mitigated through the implementation of the ESMP, LMP and site-specific SEP, which include a GRM for community stakeholders. 5 ESS5: Land Acqui- Land Code of the Re- Most of the require- The RAP will assess the amount of sition, Land Re- public of Kazakhstan ments and procedures land acquisition required for the strictions, and In- Law on State Property for transferring land from corridor. It should provide infor- voluntary Reset- Law on Housing Rela- one category to another mation on the number and types of tlement tions and/or seizure of land in people affected by the project favor of the state are con- (PAPs) and propose measures to sidered in existing legisla- manage impacts according to the mitigation hierarchy. 33 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions tion and are imple- mented at different lev- It is expected that temporary im- els of development of de- pacts on land, land use and prop- sign and estimate docu- erty resulting from construction mentation (approval of will be addressed as part of the site Land Allocation Acts, specific ESMP. The entitlement ma- etc.). trix as per the RAP shall apply. Recognized gaps are re- lated to the informal land and other assets occu- pants, PAPs which do not have a recognized own- ership of the land they use, obligatory consulta- tions with the project community (public hear- ing is obligatory) and identifying and address- ing affected PAP’s liveli- hood. The Land Code addresses Within a framework of this project restrictions on land use to develop policies that recognize and access to natural re- and provide support for informal sources mainly through land users. These policies could in- provisions on compulsory clude provisions for transitional as- acquisition for state sistance, access to social services, needs (Article 81, Article and livelihood restoration pro- 84), and limitations on grams. land use rights (Article 92). The Land Code does To establish monitoring and re- cover people whose land porting mechanisms to track pre- use and access to natural project land use restrictions and resources are restricted, ensure that affected individuals are particularly under com- identified and compensated appro- pulsory acquisition sce- priately. narios, and provides for compensation in such To develop administrative guide- cases. lines that recognize the rights of in- formal land users who occupy the The Land Code explicitly land before a project-specific cut- states that it does not en- off date. These guidelines should title encroachers or those include processes for identifying using the land informally and registering such users for com- without registered claims pensation. to compensation for the right to use the lands To establish a compensation they occupy. framework that explicitly includes informal land users. This frame- The Land Code does not work should ensure that compen- specifically address pre- sation is based on the duration and project land restrictions extent of their land use, even if done in anticipation of a they do not have formal registra- project. The provisions tion. 34 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions mainly deal with ongoing processes and post-deci- sion acquisition. ESS5: Land Acqui- Land Code of the Re- Permanent Displace- Develop and disseminate detailed sition, Land Re- public of Kazakhstan ment: administrative guidelines for calcu- strictions, and In- Law on State Property The Land Code specifies lating compensation, ensuring all voluntary Reset- Law on Housing Rela- that land can be compul- potential losses are considered, in- tlement tions sorily acquired for state cluding future income potential needs with equivalent and intangible assets. compensation provided Ensure local authorities follow to the landowner or non- these guidelines consistently state land user (Article across all projects. 84.3). This includes land Enhance transparency by publish- required for construc- ing all relevant information regard- tion, reconstruction of in- ing land acquisitions, compensa- frastructure, and imple- tions, and relocations on public mentation of concession platforms. projects (Article 84.2.4). Engage with affected communities The procedures for com- through regular meetings and pulsory alienation in- feedback sessions to ensure their volve formal notifica- concerns are addressed promptly tions, compensation according with GRM. agreements, and poten- Establish a standardized compen- tially court adjudications sation framework for temporary if there is disagreement displacement that covers all poten- (Articles 84.6, 88.1-88.3). tial costs and losses incurred by dis- Compensation includes placed persons. the cost of the land or Ensure prompt disbursement of land-use rights, market compensation and provide access value of assets on the to necessary resources and support land, costs associated during the displacement period. with land development, Implement livelihood restoration losses incurred due to ac- programs that offer additional as- quisition, and loss of rev- sistance beyond monetary com- enue (Article 166.2). The pensation. costs are to be borne by The Client can require project de- the project/government velopers to include detailed liveli- (Article 166.2). hood restoration plans as part of The Law on State Prop- their project proposals during the erty specifies that com- procurement stage. pulsory alienation of land Establish partnerships with local or other immovable NGOs and community organiza- property for state needs tions to deliver transitional support is allowed only to the ex- services effectively. tent necessary to satisfy public needs (Article 62.4). The Law on State Property provides de- tailed procedures for this process, including notifi- cation, evaluation, and compensation (Articles 62-2, 63, 64, 65). If the original land is ac- quired for state needs, an 35 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions Land Code of the Re- equivalent land plot or public of Kazakhstan immovable property Law on State Property must be provided within Law on Housing Rela- the same settlement, tions considering the location, purpose, and area of the alienated plot, and any incurred losses (The Law on State Property Article 62-2.1). Compensation for any difference in value is also addressed (The Law on State Property Article 62- 2.5). Compensation includes the market value of the alienated land or prop- erty, losses incurred, and costs associated with necessary expenses en- suring the use of prop- erty according to its in- tended purpose (Articles 67, 68). All reimburse- ments must be made in full before the transfer of ownership to the state (The Law on State Prop- erty Article 68.1). Temporary Displace- ment: The Land Code provides for granting temporary use rights to state-owned land (Articles 34 and 35). This includes temporary paid (lease) and unpaid land use (Articles 43, 44). When land is required temporarily for construc- tion purposes, the pro- cess involves pre-selec- tion of the land plot, for- malizing its use, and com- pensating for any losses incurred by the current landowners or users (Ar- ticle 44). The termination of tem- porary land use rights in- cludes expiration of lease contracts and early ter- mination under specific 36 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions Land Code of the Re- conditions (Chapter 9, Ar- public of Kazakhstan ticle 81). Law on State Property The Law on State Prop- Law on Housing Rela- erty requires that owners tions or non-state land users receive notification of compulsory acquisition, including details on com- pensation and options for equivalent replace- ment (Articles 63.1, 64.2). During the period from notification to the con- clusion of an acquisition agreement or court deci- sion, owners or users can continue to use their property but must bear the costs and risks associ- ated with any new con- structions or modifica- tions (The Law on State Property Article 66.1). If the remaining portion of a land plot cannot be used for its intended pur- pose after partial acquisi- tion, the entire plot must be alienated (The Law on State Property Article 66.1). Physical Displacement: The Land Code outlines detailed procedures for granting land use rights, whether for permanent or temporary purposes, including identification documents and contracts (Articles 43, 44). The Land Code addresses how land can be taken for state needs, including compensation and for- mal procedures to ensure owners and users are properly informed and compensated (Article 84). The Law on State Prop- erty outlines detailed procedures for compul- sory acquisition, includ- 37 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions Land Code of the Re- ing the issuance of de- public of Kazakhstan crees, notifications, and Law on State Property the inclusion of neces- Law on Housing Rela- sary information in public tions records (Articles 63, 64). The provision of equiva- lent land or property is mandated to ensure that the displaced party re- ceives fair compensation and suitable replacement within the same settle- ment (The Law on State Property Article 62-2.1). Economic Displacement: The Land Code ensures that compensation for economic displacement includes all economic losses incurred due to land acquisition, includ- ing loss of revenue and costs associated with de- velopment and operation of the land (Article 166.2). The amount of compen- sation is to be agreed upon by all parties, and if disagreement arises, the matter can be resolved through court adjudica- tion to ensure fair com- pensation (Article 166.3, 166.7). The law ensures that compensation covers all economic losses incurred due to the compulsory acquisition, including market value assess- ments and any necessary adjustments for differ- ences in property values (The Law on State Prop- erty Articles 67, 68). Reimbursement includes costs of land or property, losses due to early termi- nation of obligations to third parties, and dam- ages incurred during the acquisition process (Arti- cle 67.4). Compensation 38 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions must be made in full be- fore the transition of ownership (The Law on State Property Article 68.1). According to the Labor Code (№ 414-V, adopted on 23 November 2015, last amendment dated February 11, 2024), regis- tered employees of en- terprises / institutions who are losing their jobs as a result of termination of employment agree- ment by the Client in the event of termination of the Client’s activities are entitled to compensation in the amount of average salary for one month (Ar- ticle 131). ESS5: Land Acqui- Land Code of the Re- Compensation includes Develop and implement supple- sition, Land Re- public of Kazakhstan the cost of land or land- mentary guidelines specifically ad- strictions, and In- Law on State Property use rights, the market dressing the needs of vulnerable voluntary Reset- Law on Housing Rela- cost of assets located on groups, including women, elderly, tlement tions the land, and all losses in- disabled, and poor individuals. flicted on the owner or Incorporate gender-sensitive ap- land user because of land proaches in the supplementary acquisition, including guidelines to ensure women are losses due to early termi- equally represented and their spe- nation of their obliga- cific needs are met during displace- tions to third parties and ment and resettlement processes. loss of revenue (The Land Ensure that consultation processes Code Article 166.2). are inclusive, with specific efforts Compensation must be to engage vulnerable groups and made in full before the women. This can include holding transfer of ownership to separate consultation sessions, the state, ensuring that providing accessible information, project-affected persons and creating safe spaces for vulner- (PAPs) receive timely able groups to voice their concerns. compensation (The Land Establish community-based moni- Code Article 68.1). toring mechanisms to oversee the implementation of resettlement The amount of compen- plans and ensure that the needs of sation is established vulnerable groups are adequately based on agreements addressed. among the parties in- volved, and in case of dis- agreement, the land can- not be taken until a court adjudicates a settlement (The Land Code Articles 166.3, 166.7). 39 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions In cases of compulsory acquisition, the Land Code mandates equiva- lent compensation, in- cluding providing an- other land plot or prop- erty that is equivalent in value and purpose (Arti- cles 81.1, 84.3). he Land Use Plan must in- clude calculations of losses incurred by own- ers and users, including agricultural and forestry production losses, ensur- ing comprehensive com- pensation (The Land Code Article 44). All transaction costs are borne by the project, meaning that PAPs should have no out-of- pocket expenses (The Land Code Article 166.2). The Land Code does not explicitly address the needs of vulnerable groups or gender-specific considerations. No cut-off date is re- Since the legislation of the Republic quired under Legislation of Kazakhstan (RoK) does not re- of RoK quire a cut-off date for land acqui- sition for state needs, it is essential to establish a clear and specific pol- icy regarding the cut-off date within the project framework. The cut-off date must be clearly documented in official project doc- uments, including finalized Reset- tlement action plan. Information about the cut-off date should be widely disseminated throughout the project area using both written and non-written forms. All information regarding the cut- off date must be translated into Ka- zakh and Russian languages to en- sure comprehension by the entire community. While the RoK legislation does not mandate a cut-off date, the project should establish a legal framework 40 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions or agreement with local authorities to support the enforcement of the cut-off date. No consultation is re- Within a framework of this project quired as such with the Client/ Implementing Agency affected landowners or through local executive bodies will users. The state authority ensure an early and meaningful provides a written notifi- consultation with all affected per- cation on the compulsory sons by consulting affected people acquisition for state on their rights and entitlements needs not later than 3 under the RAP. calendar days after the publication of the LAR de- cree. The notification shall be sent by mail with the mandatory notice of receipt. In case of ab- sence of the recipient, the notification shall be re-sent (the Law on State Property Article 64.1). 6 ESS6: Biodiversity - Environmental The provisions of Kazakh- The ESIA assessed how the project conservation and Code of the Re- stan legislation comply will affect natural habitats, com- sustainable man- public of Kazakh- with the requirements of munities, animals, and plants, es- agement of living stan the World Bank. The EIA pecially those listed in the Red natural resources - On the protection, conducts an environmen- Book of the Republic of Kazakh- reproduction, and tal assessment of the ad- stan. It also included a detailed as- use of wildlife verse impact on particu- sessment of biodiversity along the - About Vegetation larly sensitive sectors of corridor, with particular emphasis - About protected flora and fauna, as well as areas, etc. protected areas, etc. on potential impacts on critical Sustainable manage- habitats, protected areas, pres- ment simply means ence and migration routes of criti- maintaining norms and cally endangered or threatened compliance with conser- species (e.g. Saiga tatarica). The vation requirements. findings of the ESIA will be con- As a gap, compared with sulted in collaboration with rele- the WB’s requirement, vant institutions, NGOs and/or the EIA needs more de- other relevant stakeholders with tailed preparation of interest and professional expertise EMP, and other docu- in the field of biodiversity. ments are required. The outcomes of the biodiversity assessment conducted as part of the ESIA study (i.e. Biodiversity Management Plan) measures are included in the ESMP to mitigate identified risks and impacts on bio- diversity. It is anticipated that the project will be able to meet the re- quirements of the critical habitat standards in paragraph 24, as well as paragraphs 26-27 of ESS6. The 41 # ESS Relevant national Policy gaps Gap Filling Measures policies and regula- tions project's mitigation strategy is de- scribed in the ESMP. As the project develops, the Borrower will con- sider potential identified activities compared to ESS 6 and include ad- ditional mitigation measures as necessary. 7 ESS7: Indigenous Not applicable peoples 8 ESS8: Cultural Law “On the protec- The provisions of Kazakh- The Project does not anticipate po- Heritage tion and use of his- stan legislation, in gen- tential impacts on tangible and in- torical and cultural eral, comply with the re- tangible cultural heritage due to heritage sites” quirements of the World road improvements. However, Bank. These include: (i) ESS8 is considered relevant as a conduct of archeological precaution before excavation work work prior to allocation begins. The ESMP will have to pro- of land for project devel- pose measures to handle incidental opment; (ii) suspension finds, training of workers/ supervi- of work and notification sors/ contractors to manage finds, within 3 working days the in case any finds are discovered authorized bodies and lo- during the road upgrading works. cal executives; (iii) inclu- The consultant team will outline sion of objects in prelimi- the incidental finding procedures in nary registration and the ESMP. subject to protection un- til final decisions on their status. 9 ESS9: Financial Not applicable intermediaries 10 ESS10: Stake- On approval of the Interaction with stake- According to World Bank guide- holder Engage- Rules for conducting holders in the Republic of lines, stakeholder engagement ac- ment and Infor- public hearings (Au- Kazakhstan is mainly car- tivities will be conducted as early as mation Disclosure gust 3, 2021 No. 286) ried out at the level of the the design preparation stage to en- Statement of Planned Ac- sure concerns and feedback are tivities and holding hear- systematically considered and ad- ings on the EIA. dressed throughout the design pro- As a gap, falling short of cess. As preparation progresses, the requirements of the the ESIA will include consultation World Bank, during the with potentially affected parties, development of docu- which will form the basis for the mentation, additional ac- development of a project-level tivities are carried out to Stakeholder Engagement Plan interact with stakehold- (SEP). Key stakeholder groups in- ers. clude national and regional author- ities, professional associations, non-governmental organizations and community groups. The SEP, while focusing on risk management under Sub-Component 1.1, will cover other project elements and include a project-level grievance redressal mechanism (GRM). 42 Based on a comparative analysis of the national regulatory framework with ESS1-10, the require- ments in the country's regulatory framework turned out to be almost like the requirements of the ESS, with the exception of areas of deeper consideration of socio-economic issues (vulnerable pop- ulations, gender inequality, consultation with people affected project, etc.) and issues of resource efficiency. These aspects will be considered as part of the preparation of the ESIA according to inter- national standards and the WB ESS requirements. The Resettlement Action Plan (RAP), Labor Management Plan (LMP) with Gender Action Plan (GAP), and Stakeholder Engagement Plan (SEP) provide more details regarding ESS5, ESS2 and ESS10 re- spectively. 3.4 Project Level Institutional Arrangements The implementation of the project activities related to institutional modernization and road sector management practices will be particularly closely coordinated with the Ministry of Transport and the Committee for Roads. KazAvtoZhol will act as the project implementation unit in charge of project implementation daily. KAZh had adequate capacity for project implementation, it is currently under- taking a similar role for the ongoing EWRP project financed by the Bank and projects financed by other IFIs and, hence, has gained experience and knowledge of the requirements, procedures, and guidelines for implementing the Bank financed projects. However, given the important reforms and advanced contracting modalities to be supported in the proposed project, during implementation KAZh’s capacity will be complemented by individual international and local consultants in procure- ment and contract management, social and environmental risk management, financial management, monitoring and evaluation, and other areas, as required. 3.4.1 Ministry of Finance As the line agency in charge of regulating the financial sector, the Minister of Finance (MOF) shall be the Borrower's Representative for the Government of Kazakhstan. From the financing received both from the WB and Government of Kazakhstan, the MOF shall cause the KAZh to disburse funds allo- cated to its account for the TRACE. In line with the RAP, the MOF also will allocate the calculated compensation to the account of KAZh will transfer the compensation to affected peoples’ accounts. For this activity, an additional report will be submitted to the WB for the execution of the compen- sation payment. 3.4.2 Ministry of Transport – Committee of Roads The Ministry of Transport is a state body of the Republic of Kazakhstan, exercising leadership in the fields of railway, automobile, inland waterway transport; merchant shipping; in the use of the air- space of the Republic of Kazakhstan and the activities of civil and experimental aviation; natural monopolies in the field of air navigation services and airports; socially significant markets in the field of airport services and highways. The Committee for Roads (CoR), under the Ministry of Transport is responsible for managing the road sector and for implementing state policy, developing, and ensuring compliance with regulations. It finances KAZh, the national operator, and is responsible for quality control, and for introducing and 43 operating toll roads. It also makes transfers to regional budgets for the development and repair of local roads. The CoR has traditionally acted as implementing agency for road projects of international financing institutions. The project will be coordinated by the Ministry of Transport (MoT) of the Re- public of Kazakhstan through its Committee for Roads. 3.4.3 KazAvtoZhol (KAZh) KAZh as a joint stock company (JSC), with the Ministry of Transport as its sole shareholder, was given the status of a “national company” (NC), which enables it to attract and use all sources of funding not prohibited by law, KAZh responsible for procurement and supervision of construction, recon- struction and repair (capital, medium and current), and also acts as the manager of the republican road network. Under TRACE project, KAZh as the Project Management Unit (PMU), will have overall responsibility for the project preparation, implementation, including financing of activities related to environmental and social measures such as livelihood restoration, addressing other adverse effects caused by the land acquisition, establishing project SEP, and overseeing the LMP. In addition, KAZh will be responsible for any interagency coordination with relevant government offices. KAZh exercises its functions through the PMU which in turn will be responsible for project execution and overseeing day-to-day project activities at rayon/subproject levels. KAZh's departments within the Ulytau and Karagandy regions shall be responsible for the section of roads within their jurisdic- tion. The Borrower’s Environment and Social Commitment Plan (ESCP) is a legally binding document that forms part of the loan agreement developed by the Government and agreed with the World Bank. It sets out agreed timetables and actions for the project to achieve compliance with the Environmen- tal and Social Standards over a specified timeframe (such us commitments of the QAJ/PIU pertaining to the ES staffing with the PIU, CSC, and Contractor obligations; preparation and implementation of ESF instruments under the TRACE Project; regular reporting on ES performance; capacity building activities, etc). KAZh will establish a project implementation unit (PIU) with qualified staff to support management of E&S risks, including one environmental specialist, one social development/gender specialist, and one community liaison officer responsible for ensuring full compliance with the ESSs, ESCP and the prepared ESF instruments. 3.4.4 Construction Supervision Consultant (CSC) The CSC for the Jezqazgan–Karagandy road will be responsible for the tasks and scope of construction supervision, implementation monitoring, as well as project performance monitoring and evaluation to be described in more detailed in a Consultancy Terms of Reference. The CSC shall be staffed with an Environmental Specialist, Social Development Specialist, Occupational health and safety (OHS) Specialist, and Road Safety and Traffic Management Specialist, at a minimum to fulfil the environ- mental and social roles, and responsibilities including by conducting capacity building training activ- ities/instructions/toolbox talks/ and assisting in developing work plans, monitoring progress reports, conducting E&S inspections and audits at sites etc.; 1) Spearhead in the finalizing the drafting of required environmental and social documents such as the site-specific ESMPs, RAPs and updating of the LMPs, SEP and GAPs, as needed and ensure that the Contractors will formulate their own corresponding documents as to be stipulated in the civil works contract; 2) Working collaboratively with KazAvtoZhol, Ministry of Transport, Ministry of Environment and Natural Resources, and other related ministries and departments, etc., as needed; 44 3) Ensuring effective implementation of ESMPs, RAPs, and other E&S documents developed for the Project and regular supervision in compliance with national legislation and ESF re- quirements; minimum disruption/damage to the environment and local communities by ap- proval of contractors' work statement/methodology on implementation of the ESMPs, in- cluding monitoring the impact of construction works on the environment and local commu- nities and assisting the KAZh to prepare monthly progress reports on E&S risk management performance; 4) Incorporate into the project design the environmental protection and mitigation measures identified in the ESMP for the design/pre- construction stage; 5) Assist the KAZh to ensure that all the environmental and social requirements and mitigation measures from the ESMP are incorporated in the civil works bidding documents and con- tracts as well as in the final detailed designs; 6) Review and approve Contractor’s site-specific management plans (C-ESMP); 7) Assist KAZh in establishing the Grievance Redress Mechanism as described in the SEP, RAP and summarised in this ESIA/ESMP; 8) Implement all mitigation and monitoring measures for various project phases specified as CSC’ tasks in this ESIA/ESMP; 9) Undertake environmental and social management capacity building activities for the KAZh, as required; 10) Undertake regular monitoring of the contractor’s environmental and social performance as scheduled in the ESMP; 11) Supervise Contractors’ compliance with site-specific ESMPs and organize frequent site in- spections/audits to each road section; 12) Prepare and regularly submit to KAZh the Environmental and Social Monitoring Reports to be included into the Project Progress reports for the Project. 13) Participate in regular supervision missions and share Corrective Action Plans supported by photo/video records with KAZh and WB in response to the mission findings and recommen- dations. 3.4.5 Civil Works Contractors The Civil Works Contractors for subcomponent 1.1 will be selected based on procurement guidelines of the WB and Government of Kazakhstan. Depending on the parceling of lots, these Contractors may be international or local contractors depending on the construction lot budgets as has been normally applied in previous projects. Subcomponent 1.1 activities may be tendered as international competitive bidding and will have a site-specific ESMP to be complied with by the winning contrac- tors. The contractors will be expected to be responsible for implementing the measures recom- mended in the ESMP to mitigate environmental and social risks and impacts. The contractor may also have responsibilities linked to other documents such as the RPs, LMPs and SEP. Accordingly, a con- tractor will: a. Mobilize a full-time Environmental Specialist, Social Development Specialist, Occupational Health and Safety (OHS) Engineer, Road Safety and Traffic Management Specialist; b. Prior to starting civil works, prepare, consult on, and submit site-specific Contractor’s Envi- ronmental and Social Management Plans (C-ESMPs) to Construction Supervision Consultant (CSC) for review and approval. The C-ESMPs shall also be approved by the E&S staff of the KAZh. The C-ESMPs and other project documents if required (RAP, LMPs, SEP, etc.) shall be updated if there are any changes in the E&S risks and impacts associated with the changes in the design or scope of works during implementation; 45 c. Provide sufficient funding and human resources for implementation of the ESMP, including for instrumental measurements as part of the monitoring, provision of full set of seasonal Personal Protective Equipment (PPE) to workers and for other necessary arrangements for proper ESMP implementation. This should include protective visibility clothing, helmets, safety boots, goggles, hearing protection, respiratory protection equipment (filtering masks), gloves, and balaclava; equipment to prevent workers falling from height, etc.; d. Ensure proper and timely implementation of required pre-construction and construction mit- igation measures as stipulated in the ESMP; e. Implement additional environmental and/or social mitigation measures as necessary, con- sistent with the grievance redress mechanism (GRM) and complying with other measures in the SEP. f. In the event land is required for the establishment of the contractors’ facilities, such as camps, plants, the contractor(s) shall enter in a mutual agreement with landowners and/or users on the leasehold agreements and the amounts of payments through a negotiated process. The contractors shall submit their proposed sites for prior approval by the PIU and include the implementation of any land agreements as part of the environmental and social monthly re- ports. 3.4.6 Ministry of Ecology and Natural Resources of Kazakhstan The Ministry of Ecology and Natural Resources (MENR) of the Republic of Kazakhstan is the central executive body of the Republic of Kazakhstan, carrying out leadership in the areas of formation and implementation of state policy, coordination of management processes in the fields of environmen- tal protection, development of the "green economy", waste management (excluding municipal, medical and radioactive waste), protection, control and supervision of the rational use of natural resources, state geological study, use and protection of the water fund, water supply, sanitation, forestry, conservation, reproduction and use of the animal world and specially protected natural ter- ritories. Under MENR is the Committee for Environmental Regulation and Control, that is engaged in improv- ing the quality of the environment, ensuring environmental safety, preserving natural resources and achieving a favorable level of environmentally sustainable development of society; improving the system of state regulation in the field of environmental protection and state environmental control within its competence; organization and conduct of state environmental expertise in accordance with the requirements of the current legislation of the Republic of Kazakhstan; organization, coordi- nation, regulation of emissions and implementation of the issuance of environmental permits; im- plementation of state environmental control. During construction of any project, the applicant/developer (in this case CoR) should ensure adher- ence to conditions attached to the approval and environmental permits and be responsible for mon- itoring the developments of the projects along with the regular and timely reporting to MENR. The monitoring program of the proponent/developer should be designed to give clear indications prior to conditions being breached. Practical corrective measures should be undertaken by the propo- nent/developer in order to avoid breach of any conditions stipulated in the approval. The MENR is authorized to issue warning to proponent/developer should it observe that conditions are being breached. If conditions are breached, the proponent/developer is obliged to stop whatever activity which is causing the breach. In such cases, the MENR may reconsider the approval, possibly 46 with the participation of the Environmental Review Expert Group, and the conditions of approval may be reviewed. During the implementation stages of the TRACE project, the following are the roles of MENR: • The Department of Environmental Protection under the MENR periodically monitors the en- vironmental compliance on behalf of Government. • MENR is also providing licenses and permissions for the operation of plants and use of mate- rial sources. All facilities are operated under the strict control of relevant regional and local offices of Ministry of Ecology and Natural Resources. • If additional quarries are required after the beginning of the construction, an approval/envi- ronmental permit shall be obtained from authorities, and a reinstatement (re-cultivation) plan shall be prepared by the contractor as per the national laws and regulations. • Operation of a new borrow pit for extraction of aggregate requires a permit from Ministry of Ecology and Natural Recourse. The application requires an Ecological Passport. Details re- quired in Ecological Passport include location of borrow pit and proposed volume and rate of extraction. MENR undertakes a geological assessment of the site of the proposed borrow pit. Once approved, the site is registered by MENR’s regional branch. MENR undertakes regular checks to confirm the volumes extracted do not exceed those in the permit. The overall pro- cess usually takes 1 month to obtain the necessary permit for operation of new borrow sites. After using the area, Contractor should implement reinstatement plan under the strict con- trol of MENR local branches within the time frame agreed in ecological passport. Details of the reinstatement plan (such as time frame) are identified together with MENR. Usually, Con- tractors are required to finalize the reinstatement works within one-month period after op- eration of the site. • Monitoring of surface water quality is carried out by National Hydrometeorological Depart- ment of MENR. Figure 4: Project Level Institutional Arrangements 47 3.5 Environmental Standards ISO standards of the 14000 series have been adopted in Kazakhstan. Kazakhstan ST RK/ISO 14000 are authentic texts of international standards on environmental management, but with minor addi- tions. Environmental Quality Standards (EQS) are widely used in Kazakhstan and are legally binding. Cur- rently there are more than 3000 of them (Minutes of the technical meeting of KAZEKOPROEKT LLP and Snip LLP Information Systems " dated October 15, 2018). These are the Technical Regulations of the Customs Union and the EAEU; technical regulations of the Republic of Kazakhstan; regulations of public services of the Republic of Kazakhstan; standards of public services of the Republic of Kazakh- stan; regulatory documents for tenders and public procurement, regulatory and technical documents in the following sections: environmental protection; waste; air quality; water quality; soil quality; soil science; protecting people from the influence of environmental conditions; emergencies; fire pro- tection; protective equipment, etc. 4 ENVIRONMENTAL AND SOCIAL BASELINE DATA The baseline data has been compiled that serves as an overall description of the environmental and social setting prior to commencing the project. The previous documents and studies prepared for subcomponent 1.1 has served as primary source of these information supplemented by data from secondary sources as well as additional field inspection along the entire alignment from the starting point at Karagandy region to the endpoint at the entrance to Jezqazgan City, Ulytau region. 4.1 Observed Features along the Corridor 4.1.1 Field Inspection on the Physical Environment Generally, what were inspected in the early part of December 2023 were sites for bridges, inter- changes, bypass roads, population centers at hilly areas. The bridges with perennial flows will be water quality testing sites. Several bridges were noted to be currently in wintertime and can possibly be drier in summer, with intermittent stream flow or stagnant water in spring and autumn. Such intermittent flow surface water will not be candidate testing sites. General Terrain of the Project Road Potential Water Quality Testing Site 48 Figure 5: Observed Physical Environment of the Project Road Spots where population may agglomerate will be potential or sensitive receptor sites will be air qual- ity testing sites. Notably, the current alignment, except in Atasu, avoids population centers. However, once the actual designs are fully obtained and easily discernible in Google Earth maps, these sites will be confirmed. Material sites (e.g., burrow pits and quarries) will be confirmed later by design engineers. Potential sites for construction camps, contractor’s camps will be confirmed with KAZh on permissible sites with concurrence from local authorities. However, within the Andasai sanctuary, environmental re- quirements prohibit the extraction of minerals (solid, liquid and gaseous), construction materials (sand, clay, etc.) on the territory/clusters of the extended Andasai sanctuary. Any activities on these territories shall be coordinated with by the administration of the sanctuary. A preliminary list of quarries was provided by KAZh consisting of around 17 potential sites within Karagandy Region and around 27 potential sites within Ulytau Region. The major constraint is whether these quarries are inside or outside the Andasai Sanctuaries. All of the sites in Karagandy region are outside the Andasai Sanctuary; however, within Ulytau Region, 14 sites are within the Andasai Sanctuary. For the sites, specific prohibition applies: “Extraction of minerals (solid, liquid and gaseous), construction materials (sand, clay, etc.) on the territory of the PA, creation of quarries with- out prior agreement with the administration of the PA”. On the safer side, the KAZh shall explore alternate sites outside the Andasai Sanctuary. Figure 6: Location of Potential Soil Reserves for the Project 49 4.1.2 Field Inspection on Biodiversity and Ecology During the field trip in early December, the following were observed: - Rook nesting colonies are located on most of the trees growing along the road. - A Golden Eagle species was noted near the Taldysai River - 13 (thirteen) large nests of birds of prey have been discovered. Presumably the eagle of the steppe and the barrow (on the Jezqazgan-Atasu site) The data will be updated in the subse- quent fieldwork. - There is also a breeding colony of the Spanish sparrow. - Flocks of black lark are marked. - Pigeons, grey crow, magpie, and white wagtail are noted everywhere. - Along the road, on both sides, there are massive colonies of the common sleeper (Ellobius talpinus), as well as burrows of small rodents and jerboa. Breeding colonies of Predator's Nest Predator's Nest and Earth mounds of Corvus frugilegus the nesting colony of Ellobius talpinus the Spanish sparrow Old Predator's Nest Predator's Nest Golden Eagle A flock of black larks Figure 7: Observed Biological Environment of the Project Road There were additional filed visits conducted on May 1-3, 2024, with the following findings that could potentially pose adverse risks and impacts on biodiversity: 50 1. Rare and endangered plant species sites. Two plant species included in the Red Data Book of the Republic of Kazakhstan - Tulipa patens and Adonis volgensis - were confirmed to grow. 2. Meeting and nesting sites of rare bird species. During the spring field survey live sightings of Steppe Eagle (Aquila nipalensis) and Red-crowned Crane (Anthropoides virgo) were noted, in December a Golden Eagle (Aquila chrysaetos) was noted, species are listed in the Red Book of the Republic of Kazakhstan. The nature of birds' stay on the site is nesting. Nests of birds of prey were recorded mainly in trees along the route (although they may also nest on the ground) in the Ulytau area. Eagles were observed on two nests during the egg incubation period. 3. Spring bottlings. During spring snowmelt and after floods in places of natural depressions of the relief, roosts are formed, which are places of concentration, feeding and resting of both migratory and nesting bird species, among which rare endangered species can be observed. The detailed information on biodiversity along with the required protection measures could be found in the Biodiversity Management Plan (BMP), a standalone document prepared as part of the ESMP 4.1.3 Field Inspection on Social Aspects On December 6, 2023 a joint visit of the team of specialists on social safeguards and the Deputy Director of the branch of NC KAZh took place. During the visit the consultants drove along the existing highway A-17 to the end of 40km section for which the detailed design was completed and were able to inspect the nearest objects, which according to the maps falls within the right-of-way of the high- way. These are a gas station and adjacent cafe, minimarket and another café which appeared as a non-working cafe. These four objects will be adversely affected by the project. A gas station at the Karagandy City Boundary (shown in the photograph below), will not be affected as presented in the drawings. According to KAZh only a very small strip of land in front of the gas station may be affected and this will not affect the station’s operation. The consultants also traveled 40 km to Topar settle- ment and the nearest planned rest area. km 946 Marker Karagandy City Boundary at A17& Gas Station 51 Gas station along the highway A17 Café and minimarket Café near the gas station Planned rest area near Topar village Figure 8: Observed Social Environment of the Project Road On December 7 & 8, 2023 social safeguards consultants were in Karagandy City and started to review the project data received from NC KAZh branch. The consultants on social safeguard measures planned to conduct a focus group survey in Karagandy villages area, but due to the busy schedule of the regional Akimat it was not possible to hold a meeting with representatives of the Akimat and the local community. In the near future a letter will be sent from the Committee of Roads to the regional akimat with a request to assist the consultants in obtaining the necessary statistical and other data and conducting a survey of the community. The consultants also conducted a Socio-economic Study (SES) between February 12-23, 2024, as part of the RAP preparation. The main purpose of conducting the SES was to inform people about the project, identify their suggestions and concerns, identify the Project affected areas, Project affected persons (PAPs), to collect socio-economic data and, based on the listed activities, to determine the baseline conditions available for the Project prior to the commencement of construction works. The consultants also conducted focus group discussions during the period from February 26 to March 7, 2024, as part of the gender action plan (GAP) preparation and the results are presented in separate reports. During these community visits and studies, the consultants found no evidence of real risks from the project. The only concern expressed by the PAPs was to receive fair compensation for land and assets 52 affected by the project. The influx of local and foreign workers was not seen as a concern or potential risk, but as an opportunity to earn some extra money for the household. As part of the social and economic research in the region, work was carried out to identify poor and socially vulnerable households. Among the households concerned, no household was considered vulnerable (having an income below the minimum subsistence level, having four or more minor chil- dren, having a disabled member, or having an elderly member without family support). There were no sensitive receptors such as school, bazaars, monuments etc along the road route. 4.2 Measured Parameters As part of generating baseline data for the environment, air quality, water quality and noise were obtained in selected locations. The sites for air quality and noise measurements were in areas where emission impact can affect local population and biota. While water quality parameters were meas- ured in rivers with perennial flows. It is to be noted that these measurement sites were chosen to serve as benchmarks for measurements during construction. 53 4.2.1 Ambient Air Quality Sampling Measurements Ambient air quality during construction can be impacted by dust generation due to substantial earthworks and emissions from truck, heavy equip- ment and machinery in plants or auxiliary facilities. The CO2 measurements exceed the Maximum Permissible Concentration (MPC, kg/m3), due possibly to existing traffic along A17; while the rest are well below the MPCs, as shown in the Table below. Table 7: Ambient Air Quality Sampling Measurement Results Parameters Mark Location/Description Latitude Longitude TSP (Dust) CO СО2 NOx SО2 AQ (1) Near end of road in Karagandy 49°48'17.06"N 73° 00'58"E 0.015 82.6 2.92 0.0019 0.0091 In front of ArcelorMittal Temirtau AQ (2) Угольный Департамент - Corpo- 49°47'0.06"N 72°56'24"E 0.024 96.4 3.05 ND 4 0.0110 rate office Dubovka Village (junction of Sabur- AQ (3) khanskaya Street and Volynskaya 49°44'06"N 72°54'01"E 0.017 65.6 1.92 0.0012 0.0053 Street) AQ (4) Acsu River (Andasai 1) 48°53'34"N 72°21'34"E 0.019 7.2 1.68 0.0022 0.0043 AQ (5) Atasu Roundabout 48°41'05"N 71°40'53"E 0.027 53.9 2.19 0.0017 0.0012 Maximum Permissible Concentration (MPC, kg/m3) 0.30 5.0 0.5 0.4 0.2 It will be expected that the construction activities will ‘substantially” impact the areas in near proximity to construction. Construction works are expected to have a "significant" impact on the atmospheric air of the areas in the immediate vicinity of the construction site. This will be especially true for residential buildings immediately adjacent to construction sites. The MPC for “dust” is not exceeded; nevertheless, this parameter can become a concern in the late spring to autumn months. Measures to suppress dust should be implemented as described in the ESMP. On the other hand, the concentrations of the parameters will attenuate with distance. The ample free and open space will enable contaminants to diffuse pro- fusely, thereby making the overall impacts to “low”. Workers at the work sites and auxiliary sites, and local folks approaching these sites should be advised to wear proper respiratory PPEs. The contractor should ensure that emissions are controlled by appropriate measures. 4 ND – “Not Detected” 54 4.2.2 Surface Water Quality Sampling Measurements Water quality during construction can be impacted by discharges into water bodies from construction sites, sediment disturbance, pollution from operating machinery and equipment, etc. Water quality at selected points of rivers with permanent water flow, indicate "spring" condition of steppe rivers, characterized by increased content of suspended solids in them. Chemical pollution with oil products is not present. The test results indicate presence of contaminants which but not too far from MPCs. No specific MPC was provided for total mineralization; the numbers indicate presence of minerals which are possibly naturally occurring. The measured Water Quality parameters are shown below: Table 8: Surface Water Quality Sampling Measurement Results BOD5, mg/l [5 Day Bio- Dissolved Suspended Mineraliza- chemical Oil prod- Coli index, Mark Location/Description Latitude Longitude рН oxygen, solids, mg/l tion, mg/l Oxygen De- ucts, mg/l pcs/l mg/l mand (BOD5)] WQ (1) Socyr River 49°43'27.69"N 72°52'43.96"E 5.4 7.93 1349 3.13 5.45 0.039 Not found WQ (3) Sherybay-Nura River 49°15'25.36"N 72°56'43.36"E 2.22 5.73 407 3.05 5.37 0.03 Not found WQ (5) Acsu River (Andasai 1) 48°53'34.17"N 72°21'44.31"E 3.98 7.77 860 3.12 4.99 0.043 Not found WQ (6) Sarysu River 48°47'12.10"N 71°59'13.75"E 2.94 7.40 497 3.08 5.1 0.041 Not found Kudamerdi River (Andasai WQ (8) 48°34'40.20"N 70°48'13.94"E 4.31 7.73 1008 2.96 5.24 0.029 Not found 2) Maximum permissible concentrations of water bodies of a fishery reservoir 0,25 - 0,75 6.5–8.5 or 1500 6,0 The content Not less 4.0 0,1 (On approval of water quality standards and maximum permissible concentra- content of must corre- does not At a tem- of oxygen Films of pe- Water from tions of harmful substances in the waters of water bodies of fishery im- suspended spond to exceed by perature of dissolved in troleum water bod- portance) solids does the back- dry residue 20°C under water products, ies of fish- not in- ground 1000 the influ- should not oils, fats ery im- crease value of the mg/dm3 ence of eco- fall below and accu- portance in "On Approval of Hygienic Norms of Safety Indicators for household and cul- by more indicator (1500) nomic ac- 6.0 mulations places tural and domestic water use" than: 0.25 for water of including tivities (in- mg/dm3 of other where Order of the Minister of Health of the Republic of Kazakhstan dated 24 No- mg/dm3, a water chlorides cluding under the harmful im- wastewater vember 2022 № KR DSM-138. 0.75 body of 350 wastewater influence of purities is dis- mg/dm3. fishery im- mg/dm3, discharge) economic should not charged For water portance sulphates should not activities be found on should not bodies con- 500 exceed 3.0 (including the water have an taining mg/dm3. mgO2/dm3 wastewater surface of acute toxic /dm3. (mg/dm3) discharge). effect on 55 BOD5, mg/l [5 Day Bio- Dissolved Suspended Mineraliza- chemical Oil prod- Coli index, Mark Location/Description Latitude Longitude рН oxygen, solids, mg/l tion, mg/l Oxygen De- ucts, mg/l pcs/l mg/l mand (BOD5)] more than The content water bod- test objects. 30 mg/ of dissolved ies of fish- The water dm3 of nat- oxygen dur- ery im- of the wa- ural min- ing the portance in ter body at eral sub- freeze-up the zone of the control stances, it is period anthropo- site should allowed to should not genic im- not have a increase in fall below pact. chronic the content 4.0 toxic effect of sus- mg/dm3. on the test pended sol- objects ids in water within 5.0 %. Suspended sediments with depo- sition veloc- ity more than 0.4 mm/sec. for flowing water bod- ies and more than 0.2 mm/sec for reservoirs are prohib- ited for re- lease. 56 BOD5, mg/l [5 Day Bio- Dissolved Suspended Mineraliza- chemical Oil prod- Coli index, Mark Location/Description Latitude Longitude рН oxygen, solids, mg/l tion, mg/l Oxygen De- ucts, mg/l pcs/l mg/l mand (BOD5)] Translated with DeepL.com (free ver- sion) During construction effluents from auxiliary facilities and construction sites that are discharged in water bodies will degrade their water quality. It is anticipated that any spill will be mitigated by Contractor and can be detected by CSC to enable emergency corrective actions that will mitigate the problem; thereby the risk and impact can be “low to moderate”. In addition, the dilution and natural decomposition of the active stream can further lower the effects to biota. Nevertheless, it should be mandatory to be vigilant to prevent and contain any spillage of contaminating substances to water bodies. Relevant authorities should be alerted in the occurrence of any spill incidents. 57 4.2.3 Ambient Noise Level Monitoring Locations Ambient noise levels due to operation of machinery and general construction are expected to be elevated depending of the proximity of the source to the receiver. The minimum permissible level is from 70-80 dBA (GOST 12.1.003-83). Most of the equivalent sound level (LAeq) obtained in the sites are lower than the range. It was mentioned that in some instances certain noise producing objects along the existing road elevates the noise; however, at the moment the levels are generally accepta- ble, as shown below. Table 9: Ambient Noise Level Measurement Results (equivalent sound level LAeq), dBA N (1) N (2) N (3) N (4) N (5) In front of Dubovka Vil- ArcelorMittal lage (junction Near end of Temirtau of Saburkhan- Acsu River Atasu Round- Time road in Kara- Угольный skaya Street (Andasai 1) about gandy Департамент and Volyn- 48°53'34"N 48°41'05" N 49°48'17" N - Corporate skaya Street) 72°21'54"E 71°40'53"E 73°00'58"E office 49°44'06" N 49°47'06" N 72°54'01"E 72°56'24"E 6:00-7:00 49.3 57.5 57.3 43.8 56.6 7:00-8:00 56.8 59.4 66.7 59.7 60.4 8:00-9:00 62.3 61.3 63.2 62.1 62.5 AM 9:00-10:00 64.4 62.8 69.9 69.5 68.4 10:00-11:00 60.1 64.9 60.0 65.8 66.7 11:00-12:00 60.1 66.6 65.6 61.5 67.3 12:00-1:00 59.2 70.1 70.8 66.4 69.9 1:00-2:00 62.5 68.6 72.6 79.8 64.9 2:00-3:00 68.4 64.2 71.8 63.3 68.7 PM 3:00-4:00 60.7 58.6 72.9 68.0 61.4 4:00-5:00 53.0 58.5 78.0 74.3 61.1 5:00-6:00 58.5 78.8 70.9 72.8 67.4 6:00-7:00 62.2 65.8 73.3 71.9 65.9 7:00-8:00 64.1 65.0 69.6 63.9 55.5 8:00-9:00 59.9 54.7 64.8 47.9 56.8 PM 9:00-10:00 65.8 64.7 61.4 47.0 50.3 10:00-11:00 64.9 51.4 62.6 48.2 52.4 11:00-12:00 50.5 57.1 52.9 47.0 49.4 12:00-1:00 52.1 52.3 51.4 51.3 53.7 1:00-2:00 46.9 51.7 52.3 50.3 52.6 2:00-3:00 44.5 49.0 49.2 45.6 50.9 AM 3:00-4:00 42.2 47.2 48.9 47.4 52.5 4:00-5:00 43.7 46.0 46.8 52.1 54.1 5:00-6:00 46.9 48.7 47.2 49.8 53.3 With the construction activities the levels will be elevated at the vicinity of the source. Workers with prolonged exposures to loud noises can be affected considerably. At this instance, the risk can be considered “substantial”. It is advisable that workers wear proper PPE to protect their eardrums and 58 to minimize exposure as much as possible. The community should be advised of the noise pollution hazard and the contractor should ensure that measures are provided to visitors to the sites and aux- iliary facilities. Likewise, the Contractor should be advised of potential noise impacts to vulnerable people whenever the construction works are in proximity to settlements. 4.3 Environmental and Social Resources 4.3.1 Physical Resources 4.3.1.1 Topography and Relief Ulytau, literally “the great mountains”, as the Mountain Range Ulytau is visible for many miles, stretched from north to south for 200 km situated in the semi-desert area of Central Kazakhstan. This mountain ranges are located in the geographical center of Kazakhstan, with the high point vertex Aulie-Tau, is around 1,113m high. In the north Ulytau borders with Kostanai oblast, in the east with Karagandy oblast, in the southeast with Zhambyl oblast, in the south - with Turkestan and Kyzylorda oblasts, in the west with Aktobe oblast. Karagandy region is freely and widely spread over the vast steppes of Sary-Arka. The region's territory is the most elevated central part of Kazakhstan hills. From Karkaralinsk mountains in the east to the west of Lake Tengiz, from Ishim in the north to Sherubai-Nura reservoir in the south stretches the wide steppe, its highest elevation is maximum in the Karkaraly Mountains (1,559 m). It is bordered in the north it borders with the Akmola Region, in the northeast with Pavlodar Region, in the east with Abay Region, in the southeast - with Zhetysu region and Almaty Region, in the south with Zhambyl Region, in the southwest and west with Ulytau Region, in the north and the west with the Kostanay Region. The relief of the territory - mainly a flat plain - is determined by its location on the Kazakh melkoso- pochnike: the steppe region of central Kazakhstan with patches of small heights (hills). The terrain is variable along the route. The highway is repeatedly crossed by rivers. The surface of the region is predominantly hilly: most of it is occupied by Central Kazakhstan melk- osopochnikom. Only the southern and extreme western regions differ in their flat relief. The desert plateau of the Northern Balkhash region, the Betpak-Dala and the Turan lowland represent here, as it were, a single low-mountain plain. The melkosopochnik was formed as a result of the Hercynian and Alpine orogeny of the Caledonian fold. The modern relief of melkosopochnika arose under the influence of long-term denudation of the Hercynian mountains to the peneplain stage - a plain with remnants of mountains and hills. Hills, with dome-shaped or cone-shaped tops and rise to 30-40 m, and sometimes up to 80-100 m above the adjacent plain. They are often grouped into ridges, elon- gated in the meridional direction. Hills and ridges are separated by undulating plains, wide inter- mountain depressions and river valleys. On the tops of hills and ridges, bedrock is exposed, and their slopes are covered with rubble. Against the general background of small hills, isolated mountain el- evations, ridges, and in places separate low-mountain massifs stand out. In the western part of the region, such a massif is the Ulytau mountains, up to 1135 m high. (their relative elevations are 300-350 m). Aktau mountains are located in the central part of the region, individual peaks of which reach a height of more than 1000-1100 m. They are part of the Karkaraly- Aktau low-mountain massif. The highest mountain node of the massif is located in the east of the 59 region and is the main Balkhash-Ishim-Nurinsky watershed. This mountain complex consists of a vast highland and numerous isolated mountain ranges. The highest mountains of Karkaraly and Kzyl-Ray exceed 1400 m. abs., being the highest points of the region and the entire Central-Kazakhstan melk- osopochnika. The Arkalyk and Niyaz Mountains, located in the north-east of this territory, are higher. The ridges rise to 300-500 m or more above the surrounding hilly terrain of "typical melkosopochnik ". Only at a considerable distance from the mountain node, the melkosopochnik gradually turns into a more or less flat plain with separate small elevations. In the north, this plain is a part of the Tengiz- Korgalzhinskaya valley. On the south-eastern slopes of the Karkaraly-Aktau Mountain massif, they steeply break off, passing into the Severnogo-Pribalkhashya plateau. The relief here is mainly flat, with rarely encountered small elevations and isolated hills. The Betpak-Dala plateau extends only to its northern edge within the region. The predominant relief here is a flat plain, on the surface of which rise low hilly valleys, as well as small sand massifs (Muyun- kum, Zhety-Konyr, Samenkum). Only in the north-eastern part, the relief of the plateau is hilly and differs little from the small hills: the same rocky hills are hills that give the area a mountainous ap- pearance. The absolute height of the plateau varies from 400-700 m in the northeast to 200-300 m in the southwest. In the west of the plateau there is a ledge (chink), behind which it passes into the Turan lowland. The Turan lowland is mostly occupied by flat or undulating clay or sandy plains, as well as Betpak-Dala. The absolute heights of the lowlands decrease from east to west from 200-250 m near the western edge of the Central-Kazakhstan melkosopochnik to 80-100 m in the Pre-Aral Karakumakh. Buggy and bumpy-ridged sands of the Aral Karakums occupy the extreme southwestern tip of the region. The length of the largest sand massifs reaches 100 km, and the width is 15 km. The relative height is 10-20 m. The relief of the route is geomorphologically characterized by the follow- ing types of relief: Intervolcanic valleys and intervolcanic depressions Dolina r. Serum. Melkosopochny relief has more distribution. According to the characteristics of the plano-elevation arrangement of the hills, it is possible to distinguish hilly-oval and hilly relief. The hilly-oval relief has a significant distribution, it is mainly hilly. According to the relative height of the hills, the small hill- ocks can be classified as low: the relative height varies from 3 to 20 m, and the width of the hills at the base is 100-300 m. Contours of elevations (hills) are soft, smooth. Intermountain valleys and intermountain depressions are also widespread. The map of the high-altitude region is presented in the scheme. Figure 9: Topographical Relief & Elevation of the Project Area 60 In terms of risk due to elevation, because the road corridors run through generally flat to hilly terrain, it can generally be regarded as “minor” or “moderate” for slope stability as well as for road safety. The mitigation measures are provision of necessary slope stability works in the hilly sections as well as road markings and guard rails for elevated spots. During the operations phase, with the upgraded road becomes a temptation for driver to speed up, which can increase the risk of accidents. Notice warnings should be sufficiently provided along the corridor. 4.3.1.2 Geological Structure The territory under consideration differs in the complexity of the geological structure. Rocks of all geological ages from Dopaleozoic to Quaternary sediments are spread here. Out of all the variety of sediments, the dominant role belongs to sedimentary and effusive complexes. Intrusive and ancient metamorphic formations are significantly less developed. Tectonic movements in the past gathered the earth's crust here into complex folds. At the same time, more ancient and highly dislocated for- mations were superimposed on layers of rocks of later origin, which in turn underwent intense tec- tonic disturbances. As a result, numerous geological structures were formed, pierced by granite in- trusions and broken by a network of tectonic faults, often accompanied by zones of intense crushing of rocks. In Central Kazakhstan, the relief forms raised in the melkosopochnik are composed mainly of crystal- line rocks of pre-Paleozoic and Paleozoic age. Paleozoic and pre-Paleozoic rocks in the region of Ulytau Mountains include shale, gneiss, quartzite, marble, conglomerate, sandstone, and limestone. Most of the listed rocks are highly dislocated and deeply metamorphosed, because of which they have weak water-holding properties. Raised fracturing is characteristic only for Devonian and Car- boniferous deposits: sandstones, shales, conglomerates, limestones, and partly granites. Carbonate rocks are also characterized by corrosion. Most likely Carboniferous limestones, especially wide- spread in the river basin, are distinguished by fractured and crusted rocks. In Kara-Kengir, Karst is expressed by a complex system of caverns and larger voids - good accumula- tors of snow and rainwater. Many of the structures made of karst limestone are directly crossed by river valleys. Kara-Kengir and its tributaries (Zhilandy, Sarybulak, etc.). Strongly fractured and karst limestones are also found in the middle and upper parts of the river basin. Serum. The largest areas in the basin of this river are occupied by Silurian and Devonian sediments, represented by effusives, rarely sandstones, conglomerates and other lithological differences. The listed rocks, which mainly make up the typical melkosopochnik of the central and western regions, territories, have a zone of active cracking with a thickness of up to 30-40 m. In the upper reaches of the Atasu and Zhaksy-Sarysu rivers, there are large massifs of granites, which are characterized by rather significant fissures. Intrusive rocks (mainly granites) are also found in the upper reaches of the Nuri, Tokrau and other rivers. Crystalline rocks of the Middle and Upper Paleo- zoic, represented by sandstones, shales, effusives and other rocks, are most widespread in the Aktau- Karakaralin massif. The degree of cracking is very uneven. Devonian sediments, which make up mostly positive landforms, are more fissured than Silurian formations, which are usually exposed in intermontane depressions. Carbon deposits in the basin. The light is distributed mainly in the Kara- gandy region, where weakly fractured sandstones, shales and siltstones prevail among them. Car- boniferous effusive layers in the upper rivers are characterized by greater fracture. 61 In Severnom Near Balkhashye, in the east of the Tokrau River, Mointy, widespread effusive-sedimen- tary complexes of carbonaceous rocks with increased fracturing. In the area adjacent to the lake in Balkhash, the degree of fracturing of carbonaceous formations decreases significantly. The Betpak-Dala Plateau within the region is composed of crystalline Paleozoic rocks in the east, and Upper Cretaceous clays, clayey sands, sandstones with interlayers of limestones and marls in the west. The western part is a clay desert. The largest massif of Muyunkumov, Zhetykonur and Samen- kumov eolian sands are located here. Thick layers of Tertiary and partly Cretaceous sediments make up the Turan lowland within the Ulytau region. Tertiary sediments are represented by clays and partly by conglomerates. They occupy almost all the space between UlyZhilanshik and Kiyakty Rivers. Cretaceous deposits in the vicinity of the melkosopochnik are characterized by a sandy clay layer with a predominance of clay varieties. Clay sediments are replaced by sandstones as they move to the southwest. The latter begin to dom- inate already in the middle part of the Baikonur and Kalmakkyrgan river basins. River valleys and lake basins of the studied territory are composed of thick layers of alluvial and alluvial-proluvial Quaternary sediments. The thickness of sand-gravel-pebble sediments in the mod- ern river valleys of Sarysu, Nuri, Taldy, Tokrau, Moint and others reaches 15-20 m and more. In ad- dition, in the valleys of these rivers, the ancient alluvium, buried under 50-70-meter thick Tertiary clay, was discovered by drilling wells. The ancient alluvium is represented by sand-pebble deposits with a thickness of several tens of meters. 4.3.1.3 Soils and Soil-forming Rocks The soil cover area is diverse. Among the zonal types of soils (dark-chestnut, light-chestnut, brown and gray-brown), successively changing from north to south, introzonal soils are found everywhere (solants, salt marshes, meadow-chestnut, meadow, meadow- chestnut, meadow, meadow-swamp, takyrnye). Their formation is connected with local soil formation conditions. The most typical for this territory are dark-chestnut and light-chestnut soils, which occupy about 40% of the entire territory. Dark-chestnut soils are mainly common in the northern and northeastern regions, and light-chestnut soils are found in the central part, which is occupied by melkosopochnik. Brown and gray-brown soils are developed in the southern regions of the melkosopochnik and the plain adjacent to it, and in the mountain valleys - mountain chernozems and mountain-chestnut soils. The peculiarities of the soils of Central Kazakhstan are characterized by a small thickness of the fine-soil layer, a shallow under- layment of dense rocks or rubble, cartilage and gravel (especially in the elevated parts of the melk- osopochnik). According to the mechanical composition, the soil of the studied territory can be di- vided into three groups: 1) sandy, low-strength gravelly soils on dense rocks, light loamy and sandy soils, characterized by increased infiltration. They are widespread in small hills and sandy massifs of the southern and western regions; 2) loamy soils of the southern and central regions of the region; 3) clayey and heavy loamy soils of the northern regions, distinguished by the greatest water- holding capacity. Sometimes they are found in the southern region along river valleys, in lake basins, on lakes and other depressions. 62 The amount of moisture in the soil depends on climatic features and water-physical properties of soil and soil. Water-physical properties of soils depend mainly on the mechanical composition, content of organic matter, compaction of genetic horizons. Volumetric weight in a meter layer varies from 1.50 - 1.65 for sand and sandy soils to 1.25-1.36 for heavy clay soils. Medium-loamy and light-loamy chestnut soils have a specific gravity of 1.34-1.50, and brown and gray-brown soils - 1.52. A general regularity for all types of soil (except for sand) is an increase in volume, weight with depth, which is caused by a change in their mechanical properties. The specific weight of soil fluctuates on average in the range of 2.52-2.78. The highest specific gravity is observed in light loamy and sandy soils (2.68- 2.78). The maximum hygroscopicity of soils, depending on their mechanical composition, varies from 8.20% (from dry soil) for heavy loamy mountain chernozems to 0.96% for sands. For dark-chestnut soils, the maximum hygroscopicity varies mainly from 8.25 to 4.00%, for light-chestnut soils - from 8.20 to 3.75%, for sandy dark-chestnut soils it decreases to 2.40%, and for light-chestnut soils to 1.85%. Brown and gray-brown sandy soils have an average maximum hygroscopicity of 1.77%. The total moisture content of a meter layer of soil-soil varies from 500-525 mm for heavy loam to 395-430 mm. It is mainly 410-420 mm for sandy chestnut soils, brown and grey-brown soils, and 400 mm for sands. The minimum field moisture capacity of a twenty-centimeter layer of chestnut soils is 60-70 mm for heavy loamy soils and 35-40 mm for sandy soils, and for a one-meter layer, it is 305-320 and 170-175 mm, respectively. The moisture content of brown, gray-brown light loamy and sandy soils is characterized by values of 30-45 mm for a twenty-centimeter layer and 165-240 mm for a meter layer. The degree of soil mois- tening in the autumn period plays a major role in the spring river flood's formation. Moisture reserves in the meter layer of soils in the late autumn period in the northern regions of the region are on average 120-200 mm, and in the southern regions, 50-150 mm. In rainy years, autumn moisture re- serves in the meter layer of clayey and heavy loam soils in the northern region reach 200-250 mm, and in the same layer of light loamy soils in the south, 100-150 mm. In dry years, total moisture reserves in the underground layer in autumn are from 160-180 mm in the north to 50-60 mm in the south. In the winter period, soil moisture usually changes little. The greatest increase in moisture reserves in the upper layers of the soil occurs only as a result of distil- lation of water vapor from the lower layers, as well as a result of precipitation, which is sometimes observed in the southern regions. The total increase in moisture in the meter layer of the soil during the winter period, as a rule, does not exceed 30 mm. The greatest moistening of soil and soil is ob- served in the spring period, usually in the first decade after the end of snow melting. During this period, the moisture reserve in the meter layer of the soil reaches 250-300 mm on average in the northern part of the river basins, in the central regions - 200-250 mm, and in the southern regions - 150-200 mm. The greatest variety in the wetness of the territory is noted in the spring period, espe- cially in the area of the small hillock. The depth of wetting of the steep slopes of the hills is 20 cm, and at the foot of them, at the bottom of logs and beams, in depressions and watershed areas, wet- ting often reaches full moisture capacity to a depth of more than 1 m. In the summer, as a result of intensive evaporation, the soil's moisture reserves are noticeably reduced, and in July, there is almost no soil moisture available for plants in the considered area. Frosty winter and relatively small thick- ness of the snow cover cause significant depth of soil freezing. 63 Soil freezing usually begins at the end of October. At winter's end, temperature 00 is seen in the soil at a great depth. The greatest average winter depth of soil freezing for most of the territory consid- ered is 2-2.5 m. In the northern regions of the region, in the most frosty and snowless winters, the soil freezes to a depth of 3.0-3.5 m or more. Even in relatively warm and snowy winters, freezing is observed to a depth of more than 1 m. The route of the projected highway A-17 " Kyzylorda-Pavlo- dar-Uspenka-gr. " RF", section "Jesqazgan - Karagandy" 433-946 km. Section km 733-783 (1 starting km 755-783) runs along the interhill plain of the Zhaksysarysu River. The intermountain plain is com- posed within the highway zone, considering nomenclature soil types, their consistency, and salinity. The soil of the highway strip and the foundation of the earthworks under the new construction are suitable. In general, the engineering and geological conditions of this site are favorable for construc- tion. The formation of the soil cover occurs under shrubby and grassy vegetation; Spirea zveroboe is a common shrub leafy, ephedra, in the herbage there are sedges, wheatgrass, fireweed, clover, com- mon St. John's wort, immortelle, chissets, etc. Under the meadow steppe, medium-loam mountain chernozems are developed, which differ little from the chernozems of foothill plains. The mountain variety of chestnut soils is low-strength, humus horizon: brownish-gray color with crushed stone in profile; powder structure; usually there is no carbonate horizon. On more stony slopes, mountain- steppe soils with insignificant strongly gravelly humus horizons, weakly structurally leached, are de- veloped. Southern chernozems and dark-chestnut carbonate soils with a clearly differentiated hori- zontal soil profile up to 45 cm thick are suitable for high plateau-like areas and sloping slopes. The content of humus in the soils of the zone decreases from 8.4 to 3% as you approach the foothills. The presented soil data indicate that the soil in the region and near the road are suitable for earth- works. Hence, it will be easy to source materials in short distance, thus minimizing emission in trans- porting materials. If material sources were within private property, fair negotiation for the usage should be done and with fair compensation. Reinstatement of sites should follow decommissioning of material sources in accordance with the national environmental requirements for re-cultivation of disturbed lands and in line with the site-specific Borrow Pit Management Plans (BPMP). 4.3.1.4 Soil quality Observations of the state of soil pollution in the Republic of Kazakhstan were carried out in 94 set- tlements of 14 regions of the republic and in the cities of Astana, Almaty, Shymkent (2023, RSE " Kazhydromet "). Earth samples were taken at five points in populated areas. Relevant to the Project Road, test results revealed exceedances of the maximum permissible concentration for: 1. lead: Jezqazgan-1-2.9 MPC; 2. copper: Karagandy – 1.4-2.2 MPC, Jezqazgan – 1.2-28 MPC 3. zinc: Karagandy - 1-6.5 MPC, Jezqazgan -1.8-12.8 MPC 4. for chrome: Jezqazgan – 1.2-2.75 MPC. Table 10: Standards for MPCs of harmful substances polluting the soil Name of substance Maximum permissible concentra- tion (hereinafter - MPC) mg/kg in soil Lead (gross form) 32.00 Copper (movable form) 3.00 Copper (gross form) 33.00 Chrome (movable form) 6.00 64 Name of substance Maximum permissible concentra- tion (hereinafter - MPC) mg/kg in soil Chrome +6 0.05 Manganese (gross form) 1500.00 Nickel (movable form) 4.00 Zinc (mobile form) 23.00 Arsenic (gross form) 2.00 Mercury (gross form) 2.10 Joint order of the Ministry of Health of the Republic of Kazakhstan dated January 30, 2004 No. 99 and the Ministry of Environmental Protection of the Republic of Kazakhstan dated January 27, 2004. No. 21- p The above data indicate soil contamination in large industrial centers. However, observations of the level of soil pollution along the Karagandy- Jezqazgan road as per RSE " Kazhydromet" indicate that it is not contaminated. This would mean, that the road, as the major infrastructure, the risk of intro- ducing contamination along the road may be “moderate to substantial” when uncontrolled, thus may result to pollution of soil and water resources, causing harm to ecosystem and perhaps even the settlements. To mitigate this, spills along the construction site should be avoided and if they do oc- cur, stoppage of contamination source, isolation of contaminated sectors and clean-up of contami- nation should be conducted. A number of factors can result to polluted soil condition. Acidified/polluted rainfall, for example in- Karagandy and Jezqazgan territories, can modify properties of soil cover. In the absence of specific baseline studies, it can be assumed that soils in the regions can be contaminated to some degree with heavy metals and deformed to some degree. Any contact of petroleum, oil and lubricants with soils reduces their ability to absorb and retain moisture. Hydrophobic particles of petroleum prod- ucts impede the flow of moisture to plant roots, which leads to their physiological changes. Change of physical properties of soil leads to displacement of air by oil products, disruption of water and nutrients supply, and this is the main cause of inhibition of plant growth and their death. Also, it should be noted that the soil and vegetation cover along the A17 route is somewhat already contam- inated with rubbish. The existing forest belts along the A17 route serve to alleviate this situation as they promote self-restoration of soils, and stabilizes the levels of soil fertility. In view of the above, a number of measures should be taken to reduce the impact on the soil and vegetation covers and their pollution, such as - moving only along certain routes, minimizing the areas involved, re-fuelling vehicles outside the sites, organizing run-off from the construction site with collection of waste water and its subsequent safe removal from the site, using new and service- able machinery and equipment, organizing the collection and disposal of rubbish, rapid elimination of any spills of fuel and lubricants from the work of special machinery, etc. 4.3.1.5 Seismic Characteristics of the Region The following regions are in the seismically dangerous region of the Republic of Kazakhstan: East Kazakhstan region, Almaty region, as well as the city of Almaty, Zhambyl region, South-Kazakhstan oblast, Kyzylorda region, Mangistau region. 65 Since 1994, several earthquakes with a magnitude of Mb=4.7 have occurred in Central Kazakhstan (as shown in Figure below). Two of them were recorded by global systems of seismic observations. In the tectonic plan, the epicenter of these earthquakes is located on the border of Ulytauskogo megasynclinoria and Jezkazgansky synclinoria relate to the intersection zone of multidirectional re- gional faults. On August 22, 2001, an event with a magnitude of 5.0 occurred in this area, which was felt in the vast territory of Kazakhstan. Its epicenter was located near the village of Shalginsky, where the intensity of the earthquake reached 6 points. Also, one of the strongest earthquakes of unknown etymology was recorded in Karagandy on June 21, 2014. Magnitude is 5.2 points. Figure 10: Map of General Seismic Zones However, according to the official report published on the website of the Kazakhstan National Data Center, the Karagandy earthquake was of a natural and man-made nature. There were no reports of victims of the earthquake in Karagandy, seismologists noted that near the Karabash quarry, where the tremors were felt the most, small cracks appeared in the buildings, and the old damage increased by approximately 2 times. It is also noted that the phenomenon is not related to work at the quarry, because there were no explosions that day. In general, the region is "aseismic", however, despite the relatively calm environment, the absence of mountains and junctions of tectonic plates, earthquakes are recorded with a rather rare frequency. Since the region is generally aseismic, the risk is considered minor. Nevertheless, the design engi- neers should ensure that structures are sufficiently designed to withstand the previously recorded earthquake. 4.3.1.6 Surface water The projected section of the road runs along the river Jaksysarysu and crosses the road at km 777+485, where two bridges in connection for A17 with the separate subsurface will be constructed. With the presence of a good number of rivers and even formation of seasonal lakes or ponds in the 66 area, the risk of not having water in early spring to early summer is “minor”. However, in mid-sum- mer, with the summer heat and dry spell, some of the rivers dry which heightens the risk of unavail- ability of water to “substantial”. For the Contractors who will face these issues, a good planning for sourcing of water without compromising the domestic supplies of the villages should be planned carefully in coordination with local Akimats. Some of the major rivers are as follows: • Reka Sherubai-Nura - crosses A17 at km 833. • Reka Sarysu- crosses t A17 at km 783, Atasu Bypass around km 750. • Reka Kara-Kengir – at the end of the road near Jezqasgan, is not included in the section for the project. The route also crosses other minor rivers at: Topar, Aksu, Sulu, Belazar, Kudaimendy, Sorty, Kandyka- rasha, Kundyzespe, Taldysai, Akmayak, Shagyrbay, Terekty. The rivers belong to the so-called Central Kazakh type, for which the channel is filled with water during the period of snowmelt and lasts until early-mid summer, after which the channel dries up. A map of the rivers in the region is shown below. Figure 11: Rivers in the Project Area The main feature of the water regime of the region is a sharply expressed spring flood. The flood is followed by the midsummer, during which most watercourses dry up. In winter, many non-drying rivers freeze over. The seasonal hydrologic features are described as follows: • Spring floodwaters. Spring floodwaters in all watercourses in the region are the same. The flood begins during intense snowmelt. In the initial period, the water, gathering in the river channels, destroys the ice in them, and the runoff in the dry watercourses flows in a snow-covered channel. • Summertime. At the end of the spring flood, the territory of the most significant rivers has a long period dry spell. Most of the watercourses in the summer break into separate pools, separated from each other by dried-up streams. Small water courses dry up completely. 67 • Wintertime. In winter, almost all non-drying rivers in the region freeze over. There are more than 10 thou- sand km 2 of river basins. The period of freezing varies on average from 80 to 120 days. Only in some years, the flow of large rivers is preserved throughout the winter. • Snowfall. Melting of the snow cover in the territory of the Ulytau region occurs mainly during solar, less often mixed or advective types of weather, which is caused by the slow or intermittent development of the melting process at the beginning and the increased intensity at the end of the period. In the initial period, melted water was spent mainly on evaporation. Water discharge of snow and the entry of melt water into the channel is carried out at the end of the period of the most intense melting, after the air temperature in the daytime passes through zero. • Runoff Losses. Losses of water in the catchment consist of loss of evaporation from snow during its melting and water during its runoff on slopes and in streams, loss of runoff and rainwater due to infiltration into the soil and retention of water in micro depressions of the area. The project road alignment is being crossed by rivers in a number of places. Thus, care should be exercise as any contaminants discharged along the road may result to contamination of the rivers. Earthworks when not performed properly may result to soil and debris dropping into the river and increasing the turbidity of the water. Bridge Construction and Contractors camp can become sources of harmful effluents that can degrage water quality in terms of introduction of deleterious chemicals and elevation of turbidity and conse- quently harm aquatic organisms. Increase the water’s turbidity has a direct effect on the amount of sunlight available to aquatic plants. High levels of suspended materials can clog fish gills and, if they settle on the bottom of the waterbody, can smother fish eggs along with the bottom-dwelling insects, worms, snails and other organism. Turbid and chemical contaminated water flowing downstream may become unsuitable for usage by humans and farm animals resulting to potential illnesses. With respect to water quality, as per RSE "Kazhydromet", relevant to the project road, the results of the indicated that the Kara-Kengir, Sokir, Nura rivers near industrial enterprises and downstream have pollution. Away from roads and rivers, water may generally be contaminated with cattle waste products, fertilizers and household waste. In addition, the rivers Kara-Kengir, Nura, Sokyr, Shara- bainura belong to the 4-5 pollution classes - polluted and heavily polluted. In places where the road under consideration crosses watercourses, water quality observations are not carried out by RGP "Kazgidromet". In places where the road crosses rivers and far away from it, water bodies may be polluted by cattle products, fertilizers and household rubbish. The above information indicates that water quality in the rural areas is not contaminated and if ever, agricultural and household are sources of contamination. This means that with the road's construc- tion, water quality in the immediate vicinity can be exposed to possibly moderate risk of contamina- tion. The Contractor should follow the measures in the ESMP for water management to mitigate potential risks and impacts. Also, during operation, water quality will also be impacted moderately and can be confined in the immediate vicinity of the road corridor. Any contaminant discharged in the vicinity of the road should be cleaned up as soon as possible to eliminate the potential sources of pollution. 4.3.1.7 Groundwater Groundwater on basins is almost in all geological formations. According to the conditions of deposi- tion and character of circulation, they are divided into waters of Tertiary and Quaternary sediments and fissure waters. Waters of Tertiary and Quaternary sediments are mainly non-pressurized, 68 ground-type. Among them, alluvial deposits of the Nuri, Sarysu and their tributaries have the most practical value. Fracture waters are found in almost all rocks. The flow rate of the sources varies from 0.01 to 2-3 l/s, usually up to 10 l/s or more, depending on the degree of rock fracture. Groundwater is mostly non-pressurized and the main source of supply of all types of groundwater is melted snow water and spring rains. Replenishment of underground water reserves of alluvial deposits occurs mainly due to the filtration of surface runoff in the riverbed during the flood. Based on the information presented, the risk of water unavailability can be heightened to “moder- ate” to “substantial” in mid-summer. As measures, the Contractors should plan for water usage in perennial rivers and to situate their work camps with good accessible distance (but not too near to cause contamination) to perennial rivers. No boreholes water supplies were in the proximity of the project road which can be potentially contaminated during construction. 4.3.1.8 Ambient Air Quality and Noise Karagandy region and Ulytau region are among the most polluted territories of the Republic of Ka- zakhstan. The Karagandy-Jezqazgan highway passes through territories of about 45 settlements (cov- erage of 10-15 km from the highways), of different levels of industrial development. But the cities of Karagandy and Jezqazgan are persistently polluted. According to the State Institution “Department of Ecology for the Karagandy Region”, as of 2023, there were 332 enterprises operating in the Karagandy that discharged emissions into the environ- ment. Total emissions of pollutants from stationary sources amount to 585 thousand tons (2023). The main sources of pollution are the enterprises of Kazakhmys Corporation LLP, ArcelorMittal Temirtau JSC and KhMZ TEMK JSC, road transport, solid waste landfills, combined heat and power plant, foundry and mechanical plant, railway transport enterprise, motor transport enterprises, fur- nace (coal) heating of individual sectors, etc. Assessment of atmospheric air quality in the Republic of Kazakhstan over a long-term period for the last 5 years 2019-2023. A stable level of high air pollution is observed in the cities of Almaty, Kara- gandy, Astana, Jezqazgan, Temirtau. The main pollutants are as follows: Karagandy suspended par- ticles (dust), suspended particles PM-2.5, suspended particles PM-10, nitrogen oxide, nitrogen oxide and dioxide, ozone, hydrogen sulfide; Jezqazgan – suspended particles (dust), dioxide, oxide inside, ammonia. During construction, the risk of elevating the concentrations of suspended particles is “substantial”; however, this will be short term. The Contractor should comply with ESMP on suppressing dust by frequent water spraying, especially in summer months. Requirements for air and noise pollution become negative in their impact on humans. The messy mixture creates noise. Noise levels are measured in decibels (dBA). During construction, trucks, es- pecially those with diesel engines, have noise levels that are 15 dBA higher than cars. The noise level from road traffic, as well as all construction machinery and road traffic, taking into account the re- construction of roads, is very high and ranges from 75-90 dBA . Particularly loud noise comes from bulldozers, scrapers, pneumatic jackhammers, vibrators and other machines. The noise from scrap- ers when in operation is 83-85 dBA, when unloading a dump truck, it is 82-83 dBA, noise from rollers is around 76-78 dBA. For vehicles, the noise level varies depending on the speed and load. In traffic, 69 the noise level is affected by the traffic volume and which can also be affected by the pavement condition and level of deterioration. The level of transport noise is determined according to the standards SNiP II-12-77 “Noise Protec- tion”. The maximum permissible level of noise generated by vehicles two meters from buildings fac- ing noise sources, according to SNiP II-12-77 is 70 dBA. The maximum permissible noise level is es- tablished in areas adjacent to residential buildings, recreational areas and groups of residential areas, around schools, playgrounds of kindergartens, as follows: − for noise generated by a vehicle - 10 dBA. − for existing residential buildings - 5 dBA. − in the daytime from 7 to 23 hours - 10 dBA. − in the daytime from 7 to 23 hours - 10 dBA. According to GOST 12.1.003-83 “Noise”, noise level standards MPL are set at 70-80 dBA. Areas with noise levels above 80 dBA must be marked with safety signs. 4.3.1.9 Climate of Karagandy and Ulytau Regions The two regions' climatic conditions are characterized by diversity, which determines the vastness of the territory, the extent from north to south and even greater from west to east, and the rugged- ness of the relief. The climate is sharply continental and arid. A high degree of continentality is man- ifested in large annual and measured temperature measurements and in the instability of climatic indicators over time (from year to year). The average annual air temperature within the region ranges from 1.4 to 7.3°C, with its highest values typical for the southernmost regions – deserts. Summer in the territory is very hot, and in the south, it is sultry and long. Air temperatures in summer are sometimes predicted to reach 40-48 °C. Winter, on the contrary, is cold, frosts sometimes reach negative 40-45°C and even 50°C. On average, the duration of the ther- mal period (with an average daily air temperature above 0°) varies in the region from 200 (in the northeast) to 240 days (in the south). The extreme heat and cold in the area increase the risk of illness to workers. Too hot temperature results into several heat-related illnesses such as, heat rash, heat cramps, heat exhaustion or heat stroke; while too cold temperature increase the risk of contracting respiratory illnesses resulting to common colds, flus, etc. As people stay in indoors more often, allowing viruses to pass more easily from one person to another, and the cold, dry air may weaken body’s resistance. The Contractors should ensure that workers are adequately protected in extreme heat and cold. Medical personnel should be on standby for urgent care in case of emergency and provisions to shuttle ill persons to the nearest hospitals. During the cold periods of the year, as a rule in this regions, construction work is suspended from November to April due to freezing climatic features. However, this period may vary depending on the prevailing weather conditions in a particular year. 70 Figure 12: Average Temperature in the Study Area The annual amount of precipitation in the two regions varies from 130 mm or less to 310 mm or more. Precipitation during the thermal period (IV-X) in the northeastern region averages 200-270 mm, and in the desert zone only 65-80 mm. Precipitation The average annual amount of precipitation in the region is about 326 mm. By season, the amount of precipitation decreases unevenly: the greatest amount falls in the warm period of the year (May- September) 238 mm, the maximum in July. In this regard, liquid precipitation makes up 65% of its total volume, solid precipitation - about 25%, mixed - about 10%. Sustainable snow cover will be consumed in the second decade of November; in the third decade of March there will be a threat of snow cover. The average annual snow depth is about 22 cm, the number of days with snow cover is 140-160. Atmospheric droughts are observed in the long wind territory of the southeastern quarter. The average with drought can be 50–60 days (maximum 113 days). Figure 13: Average Monthly Precipitation in the Study Area 71 The above information on precipitation can guide the programming of construction activities to min- imize risks of over abstraction of from water sources as well as water contamination, which can be considered as “minor to moderate”. The various relevant measures in the ESMP should be adhered to by the Contractor. Air humidity The average annual absolute humidity is 4.8 mb (millibars). The lowest value for the absolute humid- ity value in January-February is 1.6-1.7 mb; the largest in July is 12.7 mb. The highest humidity deficit is observed in June-July - 12.2-12 mb. The lowest relative humidity occurs in the summer months (40-45%), the highest in winter. The average annual relative humidity in the nearby region is 69%. The lowest relative air humidity is in the summer months and is 40-45%, the highest is in the winter – 80 to 82%. Figure 14: Average Monthly Humidity in the Study Area Thunderstorms Thunderstorms over coastal areas are often accompanied by heavy winds, showers, and hail. The average number of days with thunderstorms per year is 19-25. Thunderstorms are most often ob- served in the summer (maximum in June-July 6-9 days), less often in the spring and autumn months (Table below). The average duration of a thunderstorm is 2-3 hours. Table 11: Average number of days with thunderstorms I II III IV IN VI VII VIII IX X XI XII - - - 0.6 3.6 8 4 1 0.02 - - - Hail Hail may occur in the warm season, sometimes in bands of several clusters of kilometers. This phe- nomenon is observed relatively rarely. The average number of days with grade 1-3 per month (Table below), in scientific studies can reach 4-6 days. 72 Table 12: Average number of days with hail I II III IV IN VI VII VIII IX X XI XII - - - 3 3 3 2 2 2 1 - - Fogs The number of days with fog reaches approximately 61 days a year. Increased fog formation is ob- served during the flowering period - December and early spring, in the summer months the number of days with light fog (Table below). Table 13: Average number of days with fog I II III IV IN VI VII VIII IX X XI XII 4 5 5 4 0.6 0.3 0.7 0.8 0.9 2 5 6 Visibility is compromised during presence of fog on the road; though based on the number of occur- rence, this can be considered “moderate”. This can result to vehicular accidents and road kill of ani- mals during construction and operation. Adequate measures to improve visibility and notices should be installed for general road safety. Snowstorms/Blizzards Snowstorms in this area occur frequently. The average number of days per year with a blizzard range from 20 to 50, sometimes more than 50. The highest frequency of occurrence in December and Jan- uary is 22-25 days. The frequency of snowstorms by month is given in Table below. Table 14: Average number of days per year with snowstorms I II III IV IN VI VII VIII IX X XI XII 22 18 19 9 2 - - - 1 5 11 25 Snowstorms can result to perilous conditions for motorists and with the frequency of occurrence, this can be considered as “substantial”. During construction, Contractors should take notice of severe snowstorms as vehicles and workers can get stranded for considerable time imperiling their welfare and lives. During operation, the same situation will be faced by motorists. It is important that suffi- cient notification be provided by KAZh to motorists for their safety and to execute timely road clo- sures and deploy rescue vehicles whenever the needs arise. Dust storms The city area is characterized by frequent occurrence of dust storms. The frequency of dust storms is 15-40 days a year. Dust storms impede visibility and can increase the risk of vehicular accidents. Depending on the intensity, the frequency of occurrence makes this risk “moderate”. Nevertheless, advisory measures should be established by KAZh. Climatic peculiarities of Karagandy region, for example, presence of winds, on the one hand, favour self-purification of the atmosphere, and on the other hand - transfer of pollutants to more distant distances. High and low temperatures, presence of precipitation, etc. also influence the distribution of pollutants. The Contractors are to be advised that Climatic conditions be taken into account when 73 carrying out works, and to provide appropriate PPE for the protection of workers along with securing the works from potential damage and preserving work quality. 4.3.1.10 Natural Hazards Seismic activity in the study corridor is not a major concern as the area has low seismicity. The earth- quake intensities of the ones that occurred are of low magnitude, which signifies that the area is low risk with regards to earthquakes. Among the weather events that cause natural hazards are snowstorms or blizzards. Such event took place in Karagandy on January 5, 2023, when snowstorm, blizzard, and gusty wind hit Karagandy Storm warning remains in effect for the region. According to the emergency situations department, 105 people, including 18 kids, have been rescued and evacuated; and 11 vehicles have been freed from the snow. There were 309 people, including 61 children, who were evacuated. Also, 91 vehicles have been freed from the snow. Recently, bad weather conditions in early February 2024 caused 52 road accidents, with three people seeking medical help. 5 An article was published on the internet 6 dated February 6, 2023, showing that almost the entire territory of Kazakhstan is in the zone of high risk of floods. As reported, “The expected volume of spring flood runoff on the flat rivers of Kazakhstan is based on the data of hydrometeorological ob- servations and measurements as of February 1, 2023. The main flood forecast will be made in March 2023. In the event of an increased temperature and heavy rains in February, high melt-rain floods may pass along the mountain rivers of the south, south-east and east of Kazakhstan”. The map shows that only two regions - Pavlodar region and Ulytau are in the zone of medium risk in case of heavy precipitation in the form of rain, and only one region - Mangistau region is in the zone of low risk. All other regions are in the high-risk zone. 5 https://en.inform.kz/news/bad-weather-causes-up-to-50-road-accidents-in-karaganda-843838/ 6 https://kaztag.info/en/news/almost-entire-territory-of-kazakhstan-is-in-the-zone-of-high-risk-of-floods 74 Figure 15: Country Flood Hazards The hazards of snowstorms should be considered during the construction period as well as in the operations which, based on incident cases presented, can be “substantial to high” in winter months. Contractors and KAZh should consider having safety provisions in their construction work and oper- ations correspondingly. In addition, with due regard to workers’ safety, suspension of work can be done under the discretion of the management of the Contractor with due consultation with the CSC and PMU. 4.3.2 Biodiversity and Biological Resources According to botanical and geographical zoning, the territory within the boundaries of the Karagandy and Ulytau regions is in the Eurasian steppe region. Within it, the project area encompasses a diverse range of flora and fauna, with specific species identified within and surrounding the project site. While a comprehensive list of plant and animal species is not provided for the larger Karagandy and Ulytau regions, the focus here is on the project area and its immediate surroundings. 4.3.2.1 Flora The flora within the project area includes a variety of plant species adapted to the local environment. Common species identified include: • Steppe Grasses: Such as feather grass (Stipa spp.), fescue (Festuca spp.), and wheatgrass (Agropyron spp.). • Shrubs: Including sagebrush (Artemisia spp.) and spiraea (Spiraea spp.). • Wildflowers: Such as tulips (Tulipa spp.), iris (Iris spp.), etc. These plant species are integral to the local ecosystem, providing habitat and food sources for vari- ous fauna. 75 4.3.2.2 Fauna The fauna within the project area comprises a diverse array of wildlife, including: • Mammals: Such as saiga antelope (Saiga tatarica), siberian roe deer (Capreolus pygargus), Corsac fox (Vulpes corsac), and various rodent species. • Birds: Including steppe eagles (Aquila nipalensis), larks (Alaudidae spp.), and steppe buz- zards (Buteo buteo). • Reptiles: Such as the steppe runner (Eremias arguta) and various snake species. • Invertebrates: Including butterflies, beetles, and other insects.\ • Ichthyofauna: The reservoirs of the territory under consideration belong to the Nura-Sarys basin, represented by: bream, pike, roach, tench, crucian carp, and perch These species are adapted to the unique habitats present within the project area and play essential roles in ecosystem functioning. A Biodiversity Management Plan (BMP) (Annex 5 of this report) was prepared for the project which extensively assessed the prevailing floral and faunal species along the project road as well as the protected areas along the project, specifically the Andasai Sanctuary clusters. In addition, a number of mitigation measures outlined in the BMP are included in the ESMP. Saiga in the Project Road Field Research Data The Association for the Conservation of Biodiversity of Kazakhstan (ACBK) conducted active field re- search under a government tender for aerial saiga monitoring. Data provided by the National Biodi- versity Specialist focused on saiga movement near the Jezqazgan-Karagandy Highway (A17). Field observations revealed saiga sightings during spring (March-April) and winter (December-Janu- ary), with 29 saiga crossings noted by State rangers and ACBK specialists in the past 5 years. The highway traverses the Betpak-Dala population's territory, estimated at 191,000 individuals in 2023. Analysis of migration data identified areas of significance for saiga migration, aiding in the planning of saiga crossings along the highway. This categorization of "high, medium, and low" importance guides the placement of crossings to minimize disruptions to saiga movement. Figure 16: Road Sections with Graded Importance for Saiga Crossings. 76 From 2009 to 2021, to study the Saiga migrations, 94 Saigas were tagged by satellite transmitters as shown in population below. Table 15: Number of Tagged Saigas in the Betpak-Dala Population Population 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 Betpak-Dala 1 population (set in 20 25 7 7 6 4 1 - 14 - - - 0 autumn) Number of active transmitters at the - 17 38 30 18 21 19 12 6 16 8 3 0 beginning of the year Number of active 1 transmitters at the 17 38 30 18 21 19 12 6 16 8 3 0 0 end of the year In different years, the number of simultaneously operating transmitters at the beginning and end of the year fluctuated, reaching a maximum of 38 units (2010-2011). Over 13 years, a huge amount of data was obtained from transmitters, which made it possible to obtain reliable information about the movements of the species. According to the monitoring data of the ACBK in the period 2009-2021, movements of tagged Saigas of the Betpak-Dala population were recorded around the southern half of the route segment under consideration (Figure below). Figure 17: Movement of tagged Saigas in the Betpak- Dala Population 77 In recent times, as a sample, for a period (April) 2019-2020, the occurrences of Saiga along of the project road A17 is depicted below. Figure 18: Observation of Saiga antelopes during an air survey (April) in the period from 2019 to 2020 The satellite transmitter data reveals limited Saiga movements near highways, with sporadic cross- ings noted south of the project road. Visual counts are unavailable, hindering accurate assessment of crossings. Four female Saigas attempted road crossings in February 2015 and 2020. Two traveled over 45 km along the road but failed to cross southward. Distances to the road ranged from 2-3 km to over 5 km for other approaches. Pedestrian crossings were not recorded, possibly due to car dis- turbances or visual barriers. All recorded approaches occurred before and after the 2015 peak Saiga population. As the popula- tion grows, more crossings are expected. A 2022 census and monitoring conducted by the Ohot- zooprom Republican State Enterprise, supported by the Association for the Conservation of Biodi- versity of Kazakhstan, surveyed the Ural, Ustyurt, and Betpak-Dala Saiga populations. The census utilized aircraft and lasted 200 flight hours, yielding results for the Betpak-Dala populations. 78 Figure 19: Observation of Betpak- Dala Saiga Population from 14 April to 1 May 2022 Saiga Population These results showed that over the last three years, with the wildlife protection measures taken, the trend in the Ural, Ustyurt, and Betpak-Dala saiga populations has remained steadily positive. Saiga numbers in the entire Kazakhstan have increased from 21,000 individuals (about the seating capacity of Madison Square Garden) in 2003 to 1,915,000 in 2023 (extrapolation), which exceeds the maxi- mum number of 1,200,000 saiga recorded during the Kazakh SSR period. Specifically, for the Betpak-Dala population in 2023 (extrapolation), the total aerial survey result was 1,150,000 individ- uals. Table 16: Areal Census for Saiga Populations (2023, extrapolation) 79 Based on the official saiga number provided by Ministry of Ecology and Natural resources of the RK 7, it presents also an estimate of 1.9 million Saigas for the entire Kazakhstan. Interestingly, the esti- mated rural populations of the Karagandy and Ulytau regions are 209,600 and 46,000 respectively. Computing the ratio between combined rural populations and with the 2023 estimated Tengiz-Kor- galzhyn saiga group (Betpak-Dala population), an estimate of 0.75 Saiga per rural person in both Karagandy and Ulytau regions. An estimate by the national biodiversity specialist on Betpak-Dala population at the vicinity of the project road is shown below, with around 285,150 individual Saigas which may have access to A17. The potential winter range is also depicted with certain portions may be crossing A17, where saigas may be crossing during their winter migration. Figure 20: Indicative Ranges Saiga Betpak-Dala Populations Based on telemetry data and satellite images, road sections that are important for ensuring the pas- sage of Saigas can be identified (Figure above). Previously, a general road section for crossings was allocated as a high category (212 km). But in the future, classes of different categories may be high- lighted with the corresponding recommendations. This significance will manifest itself as the popu- lation size increases and the potential range of population migrations increases. Thus, future obser- vations and studies are necessary, as well. 9 Ulytau - the epicenter of the nomadic steppe culture of civilization.https://visitkazakhstan.kz/en/guide/information/8/110/ 80 Figure 21: Importance of route sections (including potential ones) for Saiga crossings Infrastructure and Management Measures for Saiga Introduced by the Project Management measures to cushion the impacts on the Saiga population are being undertaken by the government. The proposed road project itself endeavors to provide sufficient consistent and com- plementary measures to protect the crossings of Saiga from the northern side of the road to the southern side. These measures were taken into consideration by the Ministry of Transport’s Com- mittee of Roads and KAZh in the project preparation stage. Accordingly, based on records from a Public Hearing with regards to the project was undertaken by KaZh – Karagandy Branch and the Zhanaarka District on 01 Dec 2022, 3:30 PM, at the cultural building in Zhanaarka Village. This was attended by engineers and ecologist of the designer (Kazdorproject LLP), representatives of sub-designer (Semdorproekt LLP), the interested public as well as the news- paper “Zhanaarka”. Discussed in the said Public Consultation, among others, were the main features of the proposed project, access of farmers from one side to another, as well as proposed locations of domestic as well as wild animal crossings. In addition, on 22 Feb 2023, the proposed schemes for wild animal crossings in accordance with the Commission Act of departure for inspection of the ter- ritory for the presence of wildlife migration routes were forwarded to ACBK for their approval. Ap- pended in the documents were Wildlife crossing plans, and Road improvement schemes. These two undertakings manifested due to consultations with the main stakeholders of the project with respect to the conservation of Saigas and biodiversity. Regarding the mitigation of road crossings for saigas, it is believed that “ecoducs” will not work for saigas because these animals live in open landscapes, are very wary of tall structures, and also mi- grate in a relatively broad range without specific crossing routes, which are therefore impossible to specify. It is possible that long - hundreds of meters long - overpasses (subways under the road) could be used by saigas if they fit into the natural terrain, but there is no evidence that these structures have been successful in reducing the barrier effect. Note that tunnel crossings, which are suitable for livestock and several wildlife species, do not apply to saigas at all. 81 Construction of crossings similar to those partially recommended for railways - i.e. sloping embank- ments - makes less sense for motorways. For railways, embankment gradients are often steep, and to mitigate this physical barrier effect for wildlife, saiga crossings have been constructed as gently sloping sections. However, this physical barrier effect is much less common on highways; thus, flat- tening of the road embankment slopes at designated Saiga Crossings would be a suitable option. The minimum requirements would be to flatten the embankment to the maximum (i.e. 1:10) on as many kilometer-long sections as possible, to completely remove any fencing, and to reduce vehicle speeds to 60 km/h on all key sections, with speed cameras. Sufficient flexibility should be considered during the operations of the road such that similar or new measures should be added whenever necessary. The proposed scheme of the road designers is shown in the ensuing figures, which consist of the following: 1. Mild/Flattened side slope for the embankment – The slope of the embankment will be graded to gentler slope around 1v:6h to even 1v:10h (compared to normal roadway em- bankment of 1v:4h) to allow easier movement for the wild animals. 2. Mesh Fencing – A large portions of the road will be having mesh fences on both sides, except at the animal (Saiga) crossings, which are around 2km gaps. Reinforced Mesh Fences shall be installed at the edges of the crossing gaps. 3. Traffic Signs – Signages, as part of the management measures, shall be installed at the start of the animal crossing to alert motorists of the crossing zones. The signages shall consist of: (i) Alert signage in Kazakh and Russian languages stating (in English) “CAUTION! Wildlife crossing is possible! Be careful and attentive! (ii) Signages plates for Saiga crossing, speed limit not exceeding 60kph and prohibi- tion for blowing horns, as this may shock the animals and cause panic and cha- otic dispersals. These measures shall be implemented by the Contractor under supervision of the CSC as part of the required civil works for the project. A schematic is shown below: 82 Figure 17: Profile at Saiga Crossings with Mildly-slope Embankment Figure 22: Plan view at Saiga Crossings 83 Figure 23: Profile of the Northern Road Lane at the Saiga Crossing Figure 24: Profile of the Southern Road Lane at the Saiga Crossing 84 Based on preliminary design work, the wildlife crossings for Saiga and other animals are summarized in the Table below. Table 17: Preliminary Routes of Crossing for Wild Animals During the Migration Period Road Sec- Length No. Chainage Locations Purpose tion (km) Ulytau Region 1 533-583 km 534-536 2 Saiga migration km 545-547 2 Routes km 573-575 2 km 580-582 2 2 583-633 km 590-594 4 Saiga migration km 597-599 2 Routes km 608-611 3 km 615-617 2 km 622-624 2 km 627-629 2 3 633-683 km 633-635 2 Saiga migration km 669-671 2 Routes km 677-679 2 4 683-733 km 689-692 2 Saiga migration km 720-723 3 Route 5 733-783 km 740-742 2 Saiga migration km 763-766 3 Routes km (773+100) -(777+485) to the bridge over Sarysu River 4.385 Karagandy Region 6 783-833 km 795-796, the Narbak River under the roadbed 1 Migration Routes km 807-809, the Aksu River under the roadbed 2 for Saiga, angali km 818-822 4 and roe deer km 824-827 3 7 833-883 km 836-840 4 Migraition Routes km 849-850 1 for Saiga, angali km 853, Sulu River under the Roadbed and roe deer km 857-864 7 km 875-876, Tekturmys Mountains 1 Trek to Km 880, Tekturmys Mountains The above wildlife crossings along A17 is depicted in a map below. 85 Figure 25: Locations of the Wildlife Crossings provided by the Project 4.3.3 Korgalzhyn State Nature Reserve Korgalzhyn State Nature Reserve is situated 160 km to the north-east of Astana city. It is a natural complex of fresh and saline waters with coastal territories which include unique landscapes charac- teristics of the dry steppe zone of Eurasia. This makes it an important wetland site for migratory water birds, with the Tengiz-Korgalzhyn lakes (part of the Biosphere Reserve) included in the Ramsar list of internationally important wetlands. Korgalzhyn State Nature Reserve is also one of the clusters of the UNESCO World Heritage site “Saryarka – Steppes and Lakes of Northern Kazakhstan”. Since the Korgalzhyn reserve is situated 215 km away from the A-17 Jezqazgan-Karagandy highway, it will not be affected by the project innervations. 4.3.4 The Karaagash State Nature Zoological Sanctuary The Karaagash State Nature Sanctuary (zoological)8 is a forest area in the north-west of the Zha- naarkа district, on the right bank of the source of the Terisbutak River. The distance from the south- ern boundary of the Sanctuary to the project area is around 36 km. Based on satellite tracking, aerial and ground monitoring data, no saigas have been recorded. The Karaagash Nature Sanctuary is lo- cated at the edge of the Betpak-Dala population's range and given its topography and vegetation (uplands and forested areas), this area is not suitable habitat for Saiga. Ungulate species on the territory of the sanctuary: Roe Deer (Capreólus capreólus), Wild Boar (Sus scrofa). Predators are represented by: Eurasian Wolf (Canis lupus), Red Fox (Vulpes vulpes), Corsac Fox (Vulpes corsac), Stoat (Mustela erminea), Steppe Polecat (Mustela eversmanni), European 9 Ulytau - the epicenter of the nomadic steppe culture of civilization.https://visitkazakhstan.kz/en/guide/information/8/110/ 86 Badger (Meles meles). Among other Mammals, there are: European hare (Lepus europaeus), Northen Molevole (Ellobius talpinus), Voles (Microtus spp.), Mice (Sicista), Jerboas (Dipodidae) in steppe open areas. Amphibians are represented by: Marsh Frog (Pelophylax ridibundus), and European Green Toad (Bufo viridis). Reptiles of the region: Sand Lizard (Lacerta agilis), Steppe-runner (Eremias ar- guta), Common Grass Snake (Natrix natrix), Eastern Steppe Viper (Vipera renardi). Figure 26: Map of the Karaagash State Nature Sanctuary With its sufficient distance from the earmarked road right of way (ROW), the Sanctuary will not be affected by the road upgrading project activities. 4.3.5 Andasai State Nature Zoological Sanctuary A state nature sanctuary is a specially protected nature territory with a customized or regulated re- gime of economic activity intended for the preservation and reproduction of one or more objects of the state nature reserve fund. State nature sanctuaries do not have the status of a legal entity and are under the protection of the state. Zoological sanctuaries are designed for the preservation and restoration of valuable, rare and endangered species of animals. Andasai State Nature Sanctuary (SNS) with a total area of 1,000,000 ha, has been established in 1966 and is located originally on the right bank of the Shu River, west of the village of Moyinkum (~400km), in the eastern part of the Betpak-Dala Desert, which is a continuation of the Caledonian structures of the Kazakh Shallow Basin - a complex of dense Paleozoic sedimentary and eruptive rocks. Expanded territory of Andasai SNS, is located on the territory of Ulytau and Karagandy regions, in the steppe zone, on the area of 2,415,806.40 hectares, on 6 clusters, within three (3) administrative dis- tricts: Zhanaarka, Ulytau districts and Jezqazgan City, as well as Shet district. (Figure 27). 87 Figure 27: Locations of Andasai Sanctuary Clusters Based on the information from the sanctuary passport and map, the road crosses two clusters of the sanctuary (clusters 3 and 4). In addition, cluster 1 is located 20 km south of the road and cluster 5 at 50 km southeast of the road respectively. For cluster №3 the road is located within the area of 88 km and for cluster №4 it is 44 km respectively. Environmental requirements for landowners and land users located on the territory of a specially protected natural territory, as it is indicated in the “Passport of the Sanctuary” (please refer to Annex 2 of the BMP): Conducting peasant (farm) farming, agriculture, on the territory of the specially protected natural territory is allowed exclusively on specially allocated plots with customized regime and regulated regime of economic activity in accordance with the current legislation of the Republic of Kazakhstan. Landowners and land users, on land plots for farming, agricultural land plots and in- dustrial land plots (hereinafter - Land plots) located in the territory of the specially protected natural territory shall be obliged to: 1. Apply production technologies corresponding to sanitary and ecological requirements, not to allow causing damage to the environment, deterioration of sanitary-epidemiological, radiation and ecological situation; 2. Comply with construction, environmental, sanitary-hygienic and other special require- ments (norms, rules, regulations); 3. Prevent pollution, littering, degradation and deterioration of soil fertility; 4. Not to allow burial (storage) of any types of waste (industrial, construction, household) outside the specially designated places; 5. Transport chemical and other hazardous materials only in special containers that prevent their release into the natural environment; 6. Conduct mandatory briefing of all employees of landowners and land users on observance of environmental requirements and legislation on specially protected natural territories, with a signature on its passing in a special journal; 88 7. Carry out enhanced control of fire safety; 8. Carry out plastering along the perimeter of Land plots, with regular renewal of mineralized strip (on industrial Land plots - also plastering of sanitary-protective and other zones, allo- cated in accordance with the current legislation of the Republic of Kazakhstan); 9. In case of causing damage to the objects of the state natural reserve fund on the territory of SPNA, carry out compensatory measures in the necessary volumes established by the state nature protection organizations, in coordination with the administration of SPNA; 10. Provide unimpeded access of employees of the PA administration, state service of wildlife protection and state inspectors of environmental protection to the territory of land plots for control over compliance with environmental legislation and environmental require- ments. In the process of conducting economic activities, Landowners and land users on land plots located on the territory of SPNA are prohibited: 11. Extraction of wildlife, harvesting (cutting, uprooting) of saxaul, destruction of vegetation and other actions that worsen the living conditions of animals, destruction and damage to dwellings and nests of animals, collection of eggs, removal of rare and endangered species of animals listed in the Red Book of the Republic of Kazakhstan. 12. Movement of motor vehicles outside the road network. 13. Extraction of minerals (solid, liquid and gaseous), construction materials (sand, clay, etc.) on the territory of the PA, creation of quarries without prior agreement with the admin- istration of the PA. 14. Storage of industrial and household waste outside of specially designated places that pre- vent the spread of waste (wind, precipitation), the location and equipment of such places must be agreed with the administration of the protected area. 15. Discharge of liquid waste and other pollutants outside the specially designated areas, pre- venting the entry of pollutants into the environment (soil, water sources). The organization in charge of the Andasai State Nature Sanctuary is the State Enterprise "Okhotzooprom", Committee of Forestry and Wildlife of the Ministry of Ecology and Natural Re- sources of the Republic of Kazakhstan. The TRACE Project shall conform to the above stipulated obligation guidelines and prohibitions dur- ing road rehabilitation works in the Andasai Sanctuary (Please refer to Annex 2 for the Passport of the Andasai Sanctuary in the Biodiversity Management Plan). 4.3.6 Cultural Heritage 4.3.6.1 Investigations of the Tangible Aspects Responsibility for the safety of monuments is provided for by the current legislation of the Republic of Kazakhstan. Violations of legislation on the protection of historical and cultural monuments entail established material, administrative and criminal liability. The Ministry of Culture and Information of the Republic of Kazakhstan is central executive body in the Government of Kazakhstan, that provides leadership in the fields of culture, internal political stability, interethnic harmony, the development of languages, state symbols, state social order, archiving and documentation, religious activities, physical culture and sports, gambling, as well as intersectoral coordination and state regulation. Henceforth, the ministry has the primary responsibility on any archaeological and historical findings in the project. 89 Recently, LLP "Center for Archaeological research" was conducted a research work within the frame- work of the project “Carrying out archaeological work to identify objects of historical and cultural heritage in the feasibility study development area “Reconstruction of the Kyzylorda -Pavlodar- Uspenka-Russian Border highway” (section “Jesqazgan -Karagandy” km 433-946).” After studying the bibliography and archival materials, at the second stage, the conclusions of archaeological examina- tions carried out by the “Archaeological Expedition” in 2021-2023 were considered. by order of de- sign companies in the reconstruction zone of the Kyzylorda -Pavlodar-Uspenka-Russian Border high- way (section Jesqazgan-Karagandy46)7. the Kyzylorda -Pavlodar-Uspenka-Russian Border highway km 533-583, km 633-683, km 905-925, there were mounds and petroglyphs located, according to the authors of the conclusions, however, these were outside the road reconstruction zone. In accordance with Art. 30 of the Law of the Republic of Kazakhstan dated December 26, 2019, No. 288-VI ZRK “On the protection and use of objects of historical and cultural heritage” at the detailed design stage it was necessary to carry out archaeological work to identify objects of historical and cultural heritage. The following were the findings: • Section 833 -905 km. Explanatory note. During examination No. AR-06/116-18 dated June 11, 2018, no archaeological monuments were identified within the land allocation for the road. • Section 783-833 km (1 start-up), Archaeological Expedition LLP carried out archaeological exam- ination No. AEC-347 dated 05/05/2022. The examination was carried out through a visual inspec- tion of the territory, deciphering images from space (Google Earth", service "Yandex.Maps") and analysis of data from the "State List of Historical and Cultural Monuments of Local Significance of the Karagandy Region" (Dated November 17, 2020, No. 73/01). During the examination, no IKN objects (archaeological monuments) were identified within the land allocation strip and within the boundaries of 5 quarries. • Section 733-783 km (1 start-up) archaeological examination carried out No. AEC-377 dated 10/12/2022. During the Examination, no IKN Objects (archaeological monuments) were identi- fied within the Land Right of Way. In accordance with the Law of the Republic of Kazakhstan dated December 26, 2019 “On the protec- tion and use of historical and cultural heritage objects” No. 288-VI ZRK, vigilance and caution must be exercised when carrying out work; If the remains of ancient structures, artifacts, bones and other signs of ancient material culture are discovered, it is necessary to stop all construction work and report the findings to the local executive body or Archaeological Expedition LLP. Within Ulytau region are considered areas of historical centre of Kazakh folk, as this is viewed as epicenter of the nomadic culture of steppe civilization. Areas in Ulytau were the most favorite place of khans of nomadic tribes. The headquarters of Zhoshy khan, elder son of great Chingishan, was located here. In Ulytau were erected mausoleums of Zhoshy Khan and Alash khan - one of the found- ers of Turkic tribes. There were buried here khan of the Golden Horde Tohtamysh, the great horde general, emir Edyge, whose names are perpetuated in the folklore of Altai, Ural, the Crimea, the Northern Caucasus and Uzbekistan. On the stone plate of Ulytau Mountains Altynshoky the great Tamerlan left memory about his staying here in springtime in 1391. The monuments, which keep in themselves Ulytau, belong to the Paleolithic and Neolithic epochs. The scientist-archeologists of history faculty of Buketov Karagandy State University discovered nu- merous stands of primitive people, their instruments of labour. On the bank of the river Karakengir 90 the largest workshop in Kazakhstan of the Paleolithic epoch was discovered. On the river valleys were brought to light monuments of bronze – settlements, ancient cemeteries.9 The Ulytau mountains, located in the geographical center of Kazakhstan; and not far from the village and mountains of Ulytau, back in 1992, the Monument to the Unity and Cohesion of the People of Kazakhstan was erected. Most recently, in 2021, the national natural park of the same name was created on the territory of the Ulytau region in the following stages: • First, in 1990, the Ulytau National Historical and Cultural Nature Reserve-Museum was opened here. The main purpose of which was: the protection of monuments and the historical landscape. • In 2012, specialists developed a natural-scientific justification for the creation of the Ulytau National Nature Reserve and the adjacent Ulytau-Arganata nature reserve. Fur- ther progress was delayed. • In 2016, in yurts at the foot of the sacred Aulietau, an off-site meeting of the Kazakh Geographical Society (QazacGeographi) was organized, with the participation of the Prime Minister of the Republic of Kazakhstan. After this event, work on the creation of a national park intensified. It was also decided to build a visitor center here. • Later, the International Tourism Forum "Ulytau-2019" was held near the sacred moun- tains, chaired by the President of the country K.K. Tokaev. The following are among the notable ethnographic and historical monuments of the Ulytau region: • Mount Aulie (around 140 km north of Jezqazgan along A16) is the highest point of Ulytau (1,133 meters), with a climb of about 500 meters. On the slopes of the mountain there are ancient burial places of seven Sufi saints. • Mausoleums of Zhoshykhan, Alash Khan and Dombauyl, located around 50 km north of Jezqazgan and A17 along the road to Kurmanbayeva. The tomb of Zhoshy Khan (Juchi) was erected on the burial site of the eldest son of the great Genghis Khan. The rectangu- lar building of Alash Khan's kumbez is characterized by the use of bricks and wood in its construction. Dombauyl with its yurt-like structure is no less interesting from an archi- tectural point of view. All three mausoleums are a real cultural, historical and literary heritage of the Kazakh steppes. • Petroglyphs of Terekty-Aulie, the age of which is more than three thousand years (the era of bronze and early iron). Drawings are strewn with flat stone granite remnants of great length. There are plots dedicated to hunting, wild animals, and also talking about the cult of worshiping the Sun. Petroglyphs of Terekty Aulie are located northeast of the Terekty necropolis, in the southern part of the low Terekti mountains, 11.5 kilometers north and slightly west of the Karagandy-Jezqazgan highway, 16.8 kilometers north and slightly west of the Terekty village, 81.6 kilometers northeast of the city of Jezqazgan. • Baskamyr settlement, dating from the late Middle Ages. This archaeological monument is 83 km to the northwest of Jezqazgan of the Ulytau region. On the small plain sur- rounded by hills at the confluence with the Zhezdy River of the river Taldysay. Archaeological findings in Karagandy Region. In July 2019, remains of a young couple buried face to face dated 4,000 years back were unearthed in Karagandy Region in central Kazakhstan by a group of archaeologists led by Igor Kukushkin from Saryarka Archaeological Institute in Karagandy. The val- uable findings were made in the Taldy River delta, which flows a hundred kilometers south of the 9 Ulytau - the epicenter of the nomadic steppe culture of civilization.https://visitkazakhstan.kz/en/guide/information/8/110/ 91 regional center. It is assumed that the Bronze Age couple were 16 or 17 years old when they died. Kukushkin supposes that they were from a 'noble family' thanks to the buried gold and jewelry arti- facts, ceramic pots, woman's two bracelets on each arm beads, remains of horses and knives found in the grave 10. None of the abovementioned features will be affected by the road construction as they are at a good distance away from the construction corridor. 4.3.6.2 Intangible Aspects The Karagandy Region is known in history primarily to the fact that its territory is the northern branch of the ancient Silk Road. Historically, this region was trading artery, a channel for economic and cul- tural exchange between Kazakhstan and other countries. In the 30's and 40's of the 20th century the region was the site of Stalin's deportation of repressed peoples. Here was stationed notorious Karlag. After II World War stationed in Spassk camp for Germanic, Japanese, Italian and Romanian prisoners of war, which is currently open Memorial to Victims of Stalinist totalitarianism. According to histori- ans, there are 5152 graves of prisoners of war of various nationalities. From its humble beginnings as a small coal mining settlement, Karagandy city has evolved into a bustling metropolis that serves as an important industrial and cultural hub in the country. In the 1980s, Kostenko mine was one of the largest mines of the QaragandyKaragandyin and is now the largest coal mining enterprise of ArcelorMittal Temirtau’s coal department. The name "Karagandy" is deri Karagandy"caragana" bushes (Caragana arborescens, Caragana frutex), which are abundant in the area. The city of Jezqazgan, the administrative center of the newly created Ulytau Region, is a large center of nonferrous metallurgy. The origin of the city’s name is directly connected with mining. Ancient mines of alloys of copper, tin, iron, gold, silver and the remains of their processing were found in this territory. The development of the world’s largest copper mine was a reason for the formation of the city name. The city name comes from the words “zhez” (copper) and "kazgan" "digging, excavation" (Kaimuldinova et al., 2014). None of the physical activities that the project will finance are envisaged to present any impacts on intangible cultural heritage. 4.3.7 Socio-Economic Conditions 4.3.7.1 Ulytau Region Ulytau is a newly created Oblast of Kazakhstan, with Jezkazgan as the administrative center, by virtue of a bill by Kazakh President Kassym-Jomart Tokayev that was enforced on 8 June 2022. The region's borders roughly correspond to the western half of the old Jezkazgan Region which was liquidated in 1997 and merged with Karagandy Region.11 The oblast consists of 2 districts and 3 cities of regional subordination (city administrations): (i) Zhanaarkinsky district; (iii) Ulytau district; (iii) Jezqazgan city; (iv) Karazhal city; and (v) Satpayev city. 10 https://en.wikipedia.org/wiki/Karaganda_Region 11 Wikipedia. https://en.wikipedia.org/wiki/Ulytau_Region 92 Jezqazgan city, west end of the project road, is situated on a reservoir of the Kenggir (Kara-Kengir) River. The city was established in 1938 with the exploitation of the rich local copper deposits in the area. In 1973 a large mining and metallurgical complex was constructed to the southeast to smelt the copper that until then had been sent elsewhere for processing. Its urban area includes the neigbouring mining town of Satpayev. 12. Being a mining city, technical skills and expertise for con- struction is available. Population The population of the Ulytau region as of January 1, 2024 is around to 221,600, consisting of 175,400 (79.2%) urban, and 46,200 (20.8%) rural residents. The natural population growth within January - December 2023 amounted to 2544 people a little less than that of the previous year (2590 people). In January- December 2023, 4421 newborns were registered, which is 3% less than in the correspond- ing period of 2022, the number of deaths was 1877 people, or 4.7% less. Living standards statistics Average per capita nominal monetary income of the population according to the assessment in III quarter of 2023 amounted to 261,261 tenge/month (~$572), lower than the country average of 360,500 tenge/month13 (~$768). Compared to the corresponding period in 2022, the increase was 13.9% in nominal and 0.5% in real money income. Labor market and remuneration The number of unemployed in the fourth quarter of 2023 amounted to 4,519 people. The unemploy- ment rate was 4.2% of the labor force. The number of persons registered with the employment au- thorities as unemployed at the end of January 2024 amounted to 1,991 people or 1.9 % of the labor force. This suggests that the project can tap on this labor resource whenever necessary and that there is high probability that people will fill in the labor needs of the project. The average monthly nominal wage accrued to employees (excluding small enterprises engaged in entrepreneurial activities) in the fourth quarter 2023 amounted to 554,275 tenge (~$1,214), an in- crease to the fourth quarter of 2022 amounted to 23.5%. The real wage index in the fourth quarter 2023 amounted to 111.3%. Trade The volume of retail trade in January 2024 amounted 7,074.3 million tenge (~$15.5M), or 103,6% more than the corresponding period in 2023. The volume of wholesale trade in January 2024 amounted to 5,910.3 million tenge, or 1,5% compared to the corresponding period in 2023. Accord- ing to preliminary data in January- December 2023, mutual trade with the EAEU countries amounted to 90.5 million US dollars and increased by 1.6 times compared to January- December 2023, including imports – 54.9 million US dollars (in 1.3 times more), exports – 35.6 million US dollars (in 2.3 times more). 12 Britannica. Retrieved Mar 07, 2024 from https://www.britannica.com/place/Kazakhstan 13 QazMonitor. Salary Trends in Kazakhstan across Regions and Industries in Q3 2023. Retrieved Mar 07, 2024 from https://qazmonitor.com/news/2376/salary-trends-in-kazakhstan-across-regions-and-industries-in-q3-2023https://qazmoni- tor.com/news/2376/salary-trends-in-kazakhstan-across-regions-and-industries-in-q3-2023 93 Economy The gross regional product for January-September 2023 amounted to 1,226,557.7 million tenge, and the index of real change compared to the corresponding period last year amounted to 96,5%. The volume of industrial production in January 2024 amounted to 89 000,7 million tenges in current prices, which is 6,2% less than in the corresponding period of 2023. In the mining and quarrying industry, production volumes increased by 6,9%, and in the manufacturing industry – more on 6,0%, in the supply of electricity, gas, steam, hot water, and air conditioning – less by 5,8%, in water supply, collection, waste treatment and disposal, pollution elimination activities increased by 25,4%. The volume of gross output (services) of agriculture, forestry, and fisheries in January 2024 amounted to 5162,4 million tenge, which is more than in January 2023 by 0,3%. The volume of construction work (services) in January 2024 amounted to 1986,4 million tenge, or 84,2% against January 2023. The volume of investments in fixed assets in January 2024 amounted to 10 458,1 million tenge, or 152,3% compared to the corresponding period of 2023. The volume of cargo turnover in January 2024 amounted to 1271,1 million t-km (taking into account the assessment of the volume of cargo turnover of individual entrepreneurs engaged in commercial transportation), or 96,8% compared to January 2023. The volume of passenger traffic – 87.8 million p-km, or 126,9% by January 2023. Enterprise statistics The number of registered legal entities as of February 1, 2024 amounted to 2977 units. The number of operating legal entities amounted to 2695 units, among which 2601 units are small enterprises. The number of registered small and medium–sized enterprises (legal entities) in the region amounted to 2018 units and increased by 0.7% compared to the corresponding date of the previous year. 4.3.7.2 Karagandy Region The original site of Karagandy is now labeled on city maps as the "Old Town" which existed since 1857, but almost nothing remains on that site. Karagandy was founded in 1931 and given the town status shortly after in 1934. In exploiting the rich coal deposits, the Soviets undermined the entire city, and the town had to be abandoned completely and moved several miles to the south. Karagandy is an industrial city, built to exploit nearby coal mines using the slave work of prisoners of labor camps. Nowadays, Karagandy is the fourth most inhabited city in Kazakhstan.14 As an industrial city, technical skills and expertise are available, and perhaps many firms are well versed in construction and heavy equipment operations. Population The population of the region as of January 1, 2024 amounted to 1,135.4 thousand people, including 926.2 thousand people (81,6%) – urban, 209.2 thousand people (18,4%) rural residents. In January- December 2023, the natural population growth amounted to 5688 people (in January-December 2022 – 5236 people). In January-December 2023, 16391 newborns were registered, which is 2.4% less than in the same period in 2022, the number of deaths is 10703 people, or 7.5% less. 14 International Town Institute. Karaganda (Karagandy), Kazakhstan, Asia. Retrieved Mar 07, 2024 from http://www.new- towninstitute.org/newtowndata/newtown.php?newtownId=234 94 Living standards statistics The average per capita nominal cash income of the population, according to estimates in the third quarter of 2023, amounted to 205,740 tenge. Compared to the corresponding period 2022 the in- crease was 20.7% for nominal and 6,7% for real money income. Labor market and remuneration The number of unemployed in the fourth quarter of 2023 amounted to 22.9 thousand people. The unemployment rate was 4.2% of the labor force. The number of persons registered with employment agencies as unemployed at the end of December 2023 amounted to 6,263 people, or 1.1% of the labor force. These data also suggest that the project can tap on this labor resource whenever neces- sary and that there is high probability that people will fill in the labor needs of the project. The average monthly nominal wage accrued to employees (excluding small businesses engaged in entrepreneurial activities) in the fourth quarter of 2023 amounted to 367,191 tenge, an compared of 15.6% by the fourth quarter of 2022. The real wage index in the fourth quarter of 2023 amounted to 103.8%. Price statistics The consumer price index in January 2024 compared to January 2023 was 111.3%. Prices for food products increased by 8.6%, non-food products – 10.4%, paid services for the population – by 15.7%. The prices of enterprises producing industrial products in January 2024 decreased by 2.8% compared to January of the previous year. Economy The gross regional product for January-September 2023 at current prices amounted to 5119584.3 million tenge, the index of real change compared to the corresponding period last year was 99.2%. In the structure of GRP, the share of production of goods amounted to 50.4%, services – 41.3%. The volume of industrial production in January 2024 amounted to 280828.7 million tenge in current prices, which is 6.1% more than in January 2023. In the mining industry, production volumes de- creased by 0.8%, in the supply of electricity, gas, steam, hot water and conditioned air, volumes, production volumes – 10%, in the manufacturing industry – 7.3%. In water supply, collection, pro- cessing and disposal of waste, activities for the elimination of pollution increased by 2.1%. The volume of gross output of products (services) of agriculture, forestry and fisheries in January 2024 amounted to 11663.9 million tenge, which is more than in January 2023 by 0.1%. The volume of construction work (services) in January 2024 amounted 5019.1 million tenge, or 129.3% by January 2023. The volume of cargo turnover in January 2024 amounted to 3145.7 million tkm (considering the vol- ume of cargo turnover of individual entrepreneurs engaged in commercial transportation), or 4.9% less than in January 2023. The volume of passenger traffic is 221.2 million pkm or 90.6% by January 2023. The volume of investments in fixed assets amounted In January 2024 to 38004.9 million tenge, or 101.9% by January 2023. 95 4.3.8 Gathered Data from Socio-economic Survey 4.3.8.1 Affected Land Plots During the socio-economic survey, it was found out that some land cadaster data are outdated. Therefore, it was decided that QAJ will send an official request to the departments of land relations to obtain updated data. At the time of writing this report, a request has been sent but no response has yet been received. It should also be noted that in the Ulytau region, land cadaster data were not available for the two sections with a total length of 50 km during the preparation of the RAP. The technical design con- sultants had not received this data from The Government for Citizens (NPCzem) or nor coordinates for obtaining such data during the preparation of the RAP. Table 18: Affected Land Plots Type of land use Karaganda Ulytau Farming 57 89 Commercial (private owners) 6 11 Residential 0 2 Various use by legal entities for vari- 36 11 ous activities, including commercial, service, mining activities15 Various use by State owned enter- 25 26 prises, including commercial, service, mining activities16 Total 124 139 Nevertheless, the socio-economic survey was conducted between February – March 2024 based on information received from the design consultants and regional branch of QAJ. The survey informs the general socio-economic profile of the affected population on a sampling basis and their affected assets. Further census shall be commissioned in the future following finalization of the technical designs and the RAP will be updated accordingly. 4.3.8.2 Profile of affected population To collect information on social and economic situation and life conditions of the affected house- holds, and to make further assessment of impact of land acquisition, secondary data has been ob- tained from the government agencies and QazAvtoJol (QAJ), as well as primary data through a social survey of 135 PAPs (covering 52% of the target population). Formal and informal interviews were 15 A legal entity is an organization that has separate property by right of ownership, economic management or operational manage- ment and is liable with this property for its obligations (JSC, LLP, commercial enterprises, etc.). Examples include JSC Qazaqtelecom, LLP TITEC, JSC Corporation Kazakhmys. 16 State-owned enterprises include: 1) based on the right of economic management; 2) based on the right of operational management (state enterprise). Depending on the type of state ownership, enterprises are subdivided into 1) enterprises under the Republican ownership, also known as Republican state enterprises; 2) communally owned enterprises, also known as communal state enterprises. 96 conducted in February-March 2024 using questionnaires in both Russian and Kazakh. Most of these project communities speak Kazakh or Russian and understand the other language 17. The above survey was carried out based on the preliminary list of affected property and people, provided by the design consultants. Focus Group Discussions (FGDs) and Key Informant Interviews (KIIs) were held to seek stakeholders’ feedback and consult the project communities about the pro- posed road project. 4.3.8.3 The number and size of affected households (Karagandy region) More than a half of households surveyed (52,7%) consist of 4-6 members, while 43,4% include 3 and less members, and 4,3% of families – 7-9 members. The average size of a household is 5 people. All 23 households surveyed have agreed to provide data on their households that has been analyzed. See the table below. Table 19: Size of Households Surveyed Size of Households Number Percent 3 and less 10 43,4 4–6 12 52,7 7 and more 1 4,3 Total 23 100 4.3.8.4 Age, family status and education level of head of affected households (Karagandy region) The average age of surveyed population (heads of households) is 55 years. The average age of affected population is 36,7 years. Age of the majority consists of 2 groups between 40 and 49 years (26%) and between age 50 and 59 (26%). However, the age of some households’ heads (22%) is or more than 60 years and 9% - 70 and more years. As for family status, the dominant majority (87%) of heads of household are married. At the same time, there is one unmarried head of the household, and one head of household is in a common-law relationship. There are 2 households headed by women, one is married and another is single. Regarding level of education, more than a half of households (60,8%) have high education, 23,9% - advanced education and 15,2% - secondary-level education. See Tables 6 and 7 below. Table 20:: Age of the Surveyed Heads of Households Men Women Total Age of Household Head Number Number Number % Under 30 1 0 1 4 30 – 39 3 0 3 13 40 – 49 6 0 6 26 50 – 59 5 1 6 26 60 – 69 4 1 5 22 17There are also people who are bilingual. It all depends on their ethnic background. People of Russian background speak Russian, and some understand Kazakh. People of Kazakh background speak Kazakh, but most of them are bilingual or at least understand Russian. 97 70 and older 2 0 2 9 Total 21 2 23 100 Average age = 55 Table 21:: Education of the Surveyed Heads of Households Education Men Women Total Number Number Number % High 16 12 28 60,8 Secondary professional 5 6 11 23,9 Secondary 6 1 7 15,2 Total 27 19 46 100 4.3.8.5 Ethnic Composition of Affected Population (Karagandy region) By ethnic composition, 18 out of total 23 households affected (78%) are Kazakhs, 2 household is Russian (9%) and 1 is German (4%) and 1 is Greek (4%) and 1 is Belarusian (4%). The survey did not observe groups with distinct cultures and/or social practices. All ethnic groups appear to be well integrated into the society. 4.3.8.6 Income of Households (Karagandy region) The sales of agricultural products, seasonal labor and business are the sources of income for most of the households affected. None of households are dependent on income from roadside trading or social support from the Government. Almost all households have more than 2 wage-earners. As for income, only 4% of households earn KZT 85,000 or less per month. The majority (30%) earns between KZT 150,000 and 236,000 and (26%) earns between KZT 500,000 and more per month. Other 17% of households have income KZT 350,000-5000,000 per month and 13% - KZT 236,000-350,000 per month and 9% of households have income KZT85,000-150,000. The World Bank defines Poverty as living on $1.90 per day per person and as of January 2024, the official minimum subsistence level in Kazakhstan is 43,407 KZT ($96=43 407/451,28 as January 2024) per capita. The minimum salary of the households surveyed is KZT 85,000 or $188 per month or $6.26 per day, which is more than minimum of $1.90 according to the World Bank and more than a minimum of 43 407 KZT according to Kazakhstan. Therefore, no poor households have been identified among the surveyed PAPs. Information that is more detailed is given further in Clause 4.4. (Impact on Vulnerable Groups/People) of this RAP. Average data pro- vided by 23 surveyed PAPs is presented in Table 24 below. Table 22: Monthly Income of the Surveyed Household (per household) Range of Income (in KZT) Number of HH % 85,000 and less 1 4 85,000 – 150,000 2 9 150,000 – 236,000 7 30 236,000 – 350,000 3 13 350,000- 500,000 4 17 500,000 and more 6 26 Total 23 100 98 In terms of the local populations, there are 12 settlements located close to the proposed corridor in the Karagandy region. The most densely populated settlement is Karagandy since it is the center of the region where economic activities are concentrated. Table 23: Settlements around the Road Corridor (Karagandy region) No. Name of settlement Total number of people 1 Karagandy 515,865 2 Saran 43,826 3 Yuzhnyi 2,403 4 Kulaigyr rural area 1,668 5 Michurin rural area 1,334 6 Topar 9,314 7 Dubovka rural area 3,993 8 Batyk 799 9 Akoy 715 10 Burmin 1,470 11 Krasnaya polyana 1,299 12 Karamuryn 301 In all the above villages, residents are engaged in different industrial specialization activities, animal agriculture, in particular the breeding of cattle, horses and small cattle, agricultural production in the area are crop production and vegetable production. 4.3.8.7 The number and size of affected households (Ulytau region) Almost a half of households surveyed (47%) consist of 4-6 members, while 33% include 3 and less members, and 20% of families – 7-9 members. The average size of a household is 4,6 people. All 15 households surveyed have agreed to provide data on their households that has been analyzed. See Table 26 below. Table 24: Size of Households Surveyed Size of Households Number Percent 3 and less 5 33 4–6 7 47 7 and more 3 20 Total 15 100 4.3.8.8 3.2.6. Age, family status and education level of head of affected households (Ulytau re- gion) The average age of surveyed household is 50 years. The average age of affected population is 48 years. Age of the majority is between 50 and 59 years (40%). Next largest group is age between 30 and 39 years (27%) and after that is age between 40 and 49 years (20%). Age of one households’ head (7%) is or more than 60 years and one households’ head 7% - 70 and more years. As for family status, the 99 dominant majority (93%) of heads of household are married. At the same time, one head of house- hold is a widow. Regarding level of education, more than a half of households (53%) have advanced education, 33% - high education and 13% - secondary-level education. See Tables 11 and 12 below. Table 25: Age of the Surveyed Heads of Households Men Women Total Age of Household Head Number Number Number % Under 30 0 0 0 0 30 – 39 3 1 4 27 40 – 49 3 0 3 20 50 – 59 5 1 6 40 60 – 69 1 0 1 7 70 and older 1 0 1 7 Total 13 2 15 100 Average age = 50 100 Table 26: Education of the Surveyed Heads of Households Men Women Total Education Number Number Number % High 4 1 5 33 Secondary professional 7 1 8 53 Secondary 2 0 2 13 Total 13 2 15 100 4.3.8.9 Ethnic Composition of Affected Population (Ulytau region) By ethnic composition, all 15 households affected (100%) are Kazakhs. There is no population with distinct culture or social life different from the majority of the community in the region. 4.3.8.10 Income of Households (Ulytau region) The sales of agricultural products, seasonal labor and business are the sources of income for most of the households affected. None of households are dependent on income from roadside trading or social support from the Government. Almost all households have more than 2 wage-earners. As for income, 13% of households earn KZT 85,000 or less per month. The majority of households (33%) earns between KZT 85,000 and 150,000 and 33% more earns between KZT 236,000- 350,000. Other 7% of households have income KZT 150,000-236,000 per month and 7% KZT 350,000-500,000 per month and 7% of households have income KZT 500,000 and more. The World Bank defines Poverty as living on $1.90 per day per person and as of January 2024, the official minimum subsistence level in Kazakhstan is 43 407 KZT ($96=43 407/451,28 as January 2024) per capita. The minimum salary of the households surveyed is KZT 85,000 or $188 per month or $6.26 per day, which is more than minimum of $1.90 according to the World Bank and more than a minimum of 43 407 KZT according to Kazakhstan. Therefore, no household falls below the official minimum subsistence level. Information that is more detailed is given further in Clause 4.4. (Impact on Vulnerable Groups/People) of this RAP. Average data provided by 15 sur- veyed PAPs is presented in the Table below. Table 27: Monthly Income of the Surveyed Household (per household) Range of Income (in KZT) Number of HH % 85,000 and less 2 13 85,000 – 150,000 5 33 150,000 – 236,000 1 7 236,000 – 350,000 5 33 350,000- 500,000 1 7 500,000 and more 1 7 Total 15 100 Ulytau is less populated in general compared to Karagandy. The main town hub is Zhezkazgan which hosts some of the industrial plants due to its mineral rich deposits. 101 Table 28. Settlements around the Road Corridor (Ulytau Region) No. Name of settlement Total number of people 1 Zhezkazgan 93,166 2 Kengyr 2756 3 Borsengyr 648 4 Sarysu 972 5 Tugusken 1882 6 Yeraliyev 1328 7 Aktubek 781 8 Atasu 887 In all the above villages, residents are engaged in different industrial specialization activities, animal agriculture, in particular the breeding of cattle, horses and small cattle, agricultural production in the area are crop production and vegetable production. 4.3.8.11 General Perceptions about the Proposed Road Project The community surveyed generally understood that the proposed construction project has potential benefits to improve local livelihoods due to improved infrastructure and connectivity to nearby town centers, including the capital Astana. The primary concerns raised during the public hearings held by designers and QAJ in 2022 and the socio-economic survey team include: • Increase in road traffic accidents: There is a fear of a potential rise in accidents, which could directly affect the safety and wellbeing of the local community. • Livestock on Roadway: Concerns about livestock entering the roadway could lead to loss of livestock and accidents, impacting the livelihoods of farmers. • Compensation for Land Acquisition: There is worry about the amount and fairness of com- pensation in case of land alienation. Inadequate compensation can significantly disrupt local incomes and living standards. • Construction Delays: Delays in the start and completion of road construction could prolong disruptions to local businesses and daily life, negatively affecting income and productivity. • Loss of Income: The potential for loss of income during the construction phase is a major concern, as businesses might face reduced access or temporary closure. • Based on all feedback received to this date there appears to be general social acceptance for the construction work and the required land acquisition. Key observations include: • Public Engagement: The population actively participated in public hearings, SES, consulta- tions, FGD and key informant interviews asking detailed questions about various aspects of the project. • Positive Attitude: All respondents exhibited a positive attitude towards the project, recogniz- ing its necessity and the positive impact it will have on the economic environment and travel time. Specific proposals were put forward by the population on several occasions during consultations and to ensure the project's success and minimize negative impacts on the local community, it is essential to address the following: • Traffic Management: - Develop and enforce efficient traffic management strategies during construction. - Ensure continuous car passage, and provide U-turns and overpasses for agricultural machinery to minimize disruptions. 102 - Use proper signage, alternative routes, and clear communication about construction schedules to manage traffic flow and reduce inconvenience. • Local Employment: - Prioritize hiring local residents for the project to lessen the economic impact of construction activities. This approach will foster community support and provide economic benefits directly to those most affected by the project. When survey and interviews were carried out in February-March 2024, not all HHs were available or contactable for interviewing for different reasons (bad weather conditions and livestock death) mainly in Ulytau region. The consultants were able to obtain contacts of people who could not be present at the time of the survey in order to conduct the survey remotely. However, not all of the contact numbers provided were up to date and people were also reluctant to answer questions over the phone to people they did not know and moreover many of them were busy saving their livestock at the time. However, their lands and names were included in the list of PAPs attached herewith. 4.3.8.12 Analysis of Social Risks Impacts Livelihoods and Vulnerable Groups: Land acquisition for the project is likely to result in significant impacts on livelihoods, particularly for those involved in agriculture and small businesses. The construction phase might lead to reduced access or temporary closure of businesses, directly affecting income. Specifically, 102 households in Ulytau region and 63 households in Karaganda region will be affected. Vulnerable groups, including low-income households and those with limited ability to find employ- ment, might face additional hardships. To mitigate these impacts, the project proposes compensa- tion mechanisms, including cash compensation at full replacement cost and prioritization of local employment to provide economic benefits directly to those most affected by the project. Community Understanding and Expectations: The community has generally exhibited a positive attitude towards the project, recognizing its potential to improve the economic environment and reduce travel time. Public consultations have been conducted actively, with the population proposing sev- eral measures to minimize negative impacts. However, there is a clear need for effective communi- cation regarding land acquisition processes and compensation to manage community expectations. Addressing traffic management, local employment, and the provision of alternative routes and clear communication about construction schedules are essential to maintaining community support. Physical Displacement: It is not feasible at this stage to specify exactly how many people will be physi- cally displaced and the potential impact on those people. But we can specify that 63 households and 36 legal entities in Karaganda region, and 102 households and 11 legal entities in Ulytau region will be affected. These households will receive various forms of compensation, including land-for-land swaps, cash compensation at full replacement cost, and rental allowances for temporary structures. Relocated households will also receive a transportation allowance and a transition allowance to cover household needs during the transition period (to be discussed with the Client). Potential Impacts: Vulnerable households, including those headed by women, elderly without support, or people with disabilities, will receive additional monetary compensation and priority in project- related employment to mitigate adverse effects on their livelihoods. 103 The comprehensive approach outlined in the RAP aims to align with both Kazakhstan’s legal frame- work and the World Bank’s ESS5 requirements, ensuring that all affected persons are adequately compensated and supported throughout the resettlement process. 4.3.8.13 Impact on Vulnerable Groups/People Kazakh citizens, Kandas, refugees, foreigners, and stateless persons who reside in the country and whose average per capita income does not exceed the poverty line are eligible to receive Targeted Social Assistance. The poverty line itself is correlated with the minimum subsistence level (MSL) and is approximately 70% of it. But its size is specified quarterly in each region and published in the media. In the country's budget for 2024, the subsistence minimum is 43,407 tenge, and the poverty line is set depending on the economic capacity of the state. Low-income families can compare their income with the published data and determine whether they can count on the TSA. It is assigned to each member of the family. Who is included in the family is listed in Article 120, paragraph 5 of the Social Code. TSA as cash assistance is provided in two types - unconditional and conditional. The Social Code (Art. 121) stipulates that unconditional TSA can be provided to such categories of the population: • Single citizens who have a limited ability to find employment (pensioners, disabled people of the first two groups). • Low-income families with either no able-bodied members or the only able-bodied person caring for a child under 3 years of age, for persons with disabilities. Under the rules adopted in 2023, median income is determined by dividing the total family income for the quarter by 3 (the number of months in the quarter) and by the number of family members. During social and economic research in the region, the work on identification of the poor and socially vulnerable households has been carried out. Among the affected households, no household has been considered as vulnerable which stipulates income below minimum subsistence level, 4 or more un- derage children, include a member with dissability, or the elderly left without family support. State targeted social assistance is a payment in monetary form, provided to a person or family with a monthly average per capita income below the poverty line, established in the regions, cities of re- publican significance, the capital, in accordance with paragraph 4 of Article 120 of the Code in the form of unconditional or conditional monetary assistance. Number of people who received Targeted Social Assistance in 2023: • Karaganda - 3994 people. • Saran - 220 persons • Abay district - 529 people • Shet district - 451 people • Data on Ulytau region were requested but not received. Further impact assessments concerning vulnerable groups will be refined as part of the census once the final designs are available. 104 4.4 Traffic Safety Road safety persists as a pressing concern in Kazakhstan, imposing a substantial economic and social toll. In 2022, road accidents caused 2,425 fatalities and over 19,000 injuries, costing approximately six percent of the country’s GDP. Despite its moderate motorization rate and substantial improve- ment over the past decade, Kazakhstan’s per capita fatality rates remain high, with a road traffic mortality rate of approximately 13 deaths per 100,000 population. This highlight significant chal- lenges in road safety that the country urgently needs to address, considering that three-quarters of deaths were of working people, leading to a loss of productivity and increased social costs. Despite the road's poor condition and the resulting extended journey times, the annual average daily traffic (AADT) remains at 5,500 vehicles per day, peaking at over 16,000 vehicles per day near the industrial city of Karagandy. This traffic volume underscores the road's critical importance, as resi- dents of Ulytau and Karagandy Oblasts have very limited alternatives to using it for travel between settlements and further afield to regional centers. Moreover, the road is of national significance as the most direct route between Astana and the southwest of the country. In 2022, 25 serious road traffic accidents were reported along the highway between Jezkazgan - Ka- ragandy. The severity of these accidents was extremely high, with 19 people killed and 44 injured. These rates are consistent with previous years, indicating no significant long-term trend toward re- ducing severe highway accidents. This contrasts with the national picture, where progress has been made over the preceding years. Nonetheless, road traffic accidents across Kazakhstan still resulted in 2,425 deaths and 19,135 injuries in 2022. Half the existing Jezkazgan - Karagandy road does not meet the minimum safety requirements for the existing road category. An iRAP assessment undertaken during project preparation identified 260 km of road where risks were unacceptably high, 180 km of which were classified as dangerous with the lowest iRAP 1-star rating. The risks identified by the International Road safety assessment Pro- gram (iRAP) study are reflected in the accident statistics. For the Jezkazgan - Karagandy road in 2020- 22, there were 89 accidents in which 50 people died and 133 were injured. Crashes involving colli- sions (49 percent), rollovers (33 percent), and pedestrian collisions (13 percent). Given that frequency of traffic accidents based on the existing historical data, road works along the corridor could have possibility to elevate the road safety-related risks, accidents if not properly man- aged during the Project implementation. The road safety and traffic managements arrangements (Road Safety and Traffic Management Plan) shall be incorporated by the Contractors as part of the C-ESMP prior to the start of civil works and shall be approved by the CSC. 5 ENVIRONMENTAL AND SOCIAL RISKS ASSESSMENTS AND MEASURES The project civil works activities will incorporate climate resilient design and engineering, to improve resilience to the impacts of climate change, which is expected to be rising ambient summer temper- atures, increase in the intensity and duration of precipitation with the potential for river and flash- flooding, and increased fire risk. The existing A17, which is to be upgraded and reconstructed, will provide better connectivity and access for local area traffic and in emergency situations, particularly between the major cities of Jezqazgan and Karagandy. 105 The prediction of the possible impacts and risks was carried out on parameters consistent with WB ESS primarily for the pre-construction, construction and operations phases (including also decom- missioning of auxiliary facilities). The impacts have been evaluated in respect to their nature of im- pact against likelihood of occurrence. The ensuing sections describe all the potential impacts during different phases of the project (i.e. pre-construction, construction and maintenance) on ecology/bi- odiversity, physio-chemical (water resources, land resources, agricultural resources, fisheries re- sources, ecosystem resources) and socio-economic environment in and around the project area. Dur- ing the construction phase, the impacts may be observed as temporary or short-term; while long- term impacts (e.g., potential disruption to migration routes, decimation of some species, etc.) may be observed during the operation phase of the A17 Highway. 5.1 Environmental and Social Assessment on the Project Activities The potential environmental and social risks and impacts have been identified and predicted for both negative and positive impacts in terms of environmental and social parameters for the pre-construc- tion, construction, decommissioning and operations/maintenance phase. Within the project phases, activities were identified and the relevance to each ESS is indicated by a “check” mark to form the Activity-ESS Matrix as shown Table 31 below. 106 Table 29: Activity – ESS Interaction Matrix Environmental and Social Impacts, Risks and Issues ESS1 ESS2 ESS3 ESS4 ESS5 ESS6 ESS8 ES As- La- Occu- Gen- So- Em- Soil Sedi- Water Air Nois Was Com- Land Con- Flor Fau An- Cul- sess- bour pa- der cial ploy- Qual- ment Re- Qual- e te munity Acqui- strain a na dasai tural Project Activities ment In- tional Based con- ment ity Qual- sources ity Leve Gen Health sition, ed Sanc- Re- flux Health Vio- flict & ity (Quality l era- and Reset- Ac- tuary source & lence Liveli- & Quan- tion Safety tle- cess (two s safety hood tity) ments clus- ters) Pre-construction and Construction Phase Relocation of utilities; √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ Establishment of auxiliary Facil- ities √ √ √ √ √ √ √ √ √ √ √ √ √ √ Drainage works (excavations for box or pipe culverts; laying of pipe culverts and concrete) √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ Earthworks (site clearance and grubbing; excavations; fill and compaction; material √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ transport) Construction of structures (ex- cavation and construction of bridges and box culverts; cast √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ in concrete) Embankment construction √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ Pavement construction √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ √ Road utilities, furniture and markings √ √ √ √ √ √ General work site clearance. √ √ √ √ √ √ √ √ √ √ √ √ Decommissioning Phase Decommissioning of auxiliary facilities √ √ √ √ √ √ √ √ √ Maintenance/Operations Phase Usage of Road by Vehicles √ √ √ √ √ √ √ √ √ √ 107 Environmental and Social Impacts, Risks and Issues ESS1 ESS2 ESS3 ESS4 ESS5 ESS6 ESS8 ES As- La- Occu- Gen- So- Em- Soil Sedi- Water Air Nois Was Com- Land Con- Flor Fau An- Cul- sess- bour pa- der cial ploy- Qual- ment Re- Qual- e te munity Acqui- strain a na dasai tural Project Activities ment In- tional Based con- ment ity Qual- sources ity Leve Gen Health sition, ed Sanc- Re- flux Health Vio- flict & ity (Quality l era- and Reset- Ac- tuary source & lence Liveli- & Quan- tion Safety tle- cess (two s safety hood tity) ments clus- ters) Road Repairs and Maintenance √ √ √ √ √ √ √ √ √ √ √ √ √ √ 108 Likewise, corresponding to the identified project activities, the impacts and level of severity can be identified to form the Activity and Impact Interaction Matrix in Table 32. This clearly indicates what are the anticipated impacts and for each activity for the various phases of the road project. Table 30: Activity – Impact Interaction Matrix Severity of Im- Project Activities Nature of Impact Particular Impact Generated pact Pre-Construction and Construction Phase Excavation and relocation of existing utili- Disturbance of terrain ties introduces disturbance to natural ter- Low 1. Relocation of utilities rain 2. Establishment of auxil- Air Quality Dust generation with soil excavation Low iary Facilities Noise Generation of Noise Low Health and Safety Hazards to Workers Moderate Community Safety Hazards to Communities Moderate Site clearance results to smothering of 3. Earthworks (site clear- Disturbance to flora vegetation which are habitats of faunal Moderate ance and grubbing; ex- (eventually fauna) species cavations; fill and com- Disruption to habitats migration routes paction; material transport) Earthwork disturbs soil and generates 4. Construction of struc- Air Quality Moderate dust tures (excavation and construction of bridges Soil Quality Lessening of soil fertility Low and box culverts; cast in Generation of noise from construction Noise Low concrete) activities Health and Safety Hazards to Workers Moderate Community Safety Hazards to Communities Moderate (Additional) 4. Construction of struc- tures (excavation and Water Contamination; increase in turbid- Water Quality Moderate construction of bridges ity and box culverts; cast in concrete) Site clearance results to smothering of Disturbance to flora vegetation which are habitats of faunal Moderate (eventually fauna) species Disruption to habitats of migrating routes Earthwork disturbs soil and generates Air Quality Moderate 5. Embankment construc- dust tion Soil Quality Lessening of soil fertility Low 6. Pavement construction Generation of noise from construction Noise Low activities Health and Safety Hazards to Workers Moderate Community Safety Hazards to Communities Moderate Water Contamination; increase in turbid- Water Quality Moderate ity 7. Road utilities, furniture Noise Generation of Noise Low and markings 8. General work site clear- Health and Safety Hazards to Workers Moderate ance. Community Safety Hazards to Communities Moderate 109 Severity of Im- Project Activities Nature of Impact Particular Impact Generated pact Decommissioning Phase Soil Quality Contamination on the Soil Moderate Site clearance results to smothering of 9. Decommissioning of Disturbance to flora vegetation which are habitats of faunal Moderate auxiliary facilities (eventually fauna) species by not reinstating the site/s Disruption to habitats Waste Management Generation of demolition waste Moderate Operations and Maintenance Phase Air Quality Emissions from vehicle Moderate 10. Usage of Road by Ve- Waste Management Generation of construction waste Moderate hicles Traffic disrupts migration routes of mi- Disturbance to fauna Moderate grating species Waste Management Generation of construction waste Moderate 11. Road Repairs and Maintenance Generation of Noise in the road repairs Noise Low and maintenance The ensuing discussion details the ES risks and impacts of the project according to the ESS to show how the project is assessed according to the WB ES requirements. 5.2 Impacts and Risks during Pre-construction and Construction Phase 5.2.1 E&S Risk and Impact Related to ESS1  Environmental and Social Assessment With reference to WB’s ESF, the project shall be subjected environmental and social assessment to ensure that projects are environmentally, and socially sound and sustainable and such undertaking shall be proportionate to the risks and impacts of the project. It will inform the design of the project and be used to identify mitigation measures and actions and to improve decision making.  Potential Impacts For the TRACE Project, the environmental and social risks and impacts to be considered for ES as- sessments include: • Environmental and worker health and safety relevant to road construction; • Community health and safety due to 17 road construction; • Climate change risks and impacts; • Along A17, any material threat to the protection, conservation, maintenance and restora- tion of natural habitats and biodiversity; and • Traversed by A17, ecosystem services and the use of living natural resources, such as fish- eries and forests. • Risks and impacts falling disproportionately on vulnerable individuals and groups; • Any prejudice or discrimination toward individuals or groups, particularly the host com- munities due to labor influx and construction related impacts. Access to development re- sources and project benefits, such as employment opportunities, particularly in the case of those who may be disadvantaged or vulnerable may be limited. • Labor influx risks which may result in crowding out of basic services, tension with the host community, increase in SEA/SH risks, etc. • Negative economic and social impacts relating to the involuntary taking of land or re- strictions on land use (e.g. affected properties by the four-laning of A17); 110 • Risks or impacts associated with land and natural resource tenure and use, including (as relevant) potential project impacts on restrictions on land use (mostly temporarily), which could impact farm access, food security and land values, and any corresponding risks re- lated to conflict or contestation over land and natural resources; • Risks to cultural heritage  Impact Assessment The impact assessment to Sub-Component 1.1 of the TRACE Project follows the approach and meth- odology outlined in this ESIA in accordance with WB ESSs. Risks and impacts on the natural (physical and biological) and social environmental features were identified and the levels of severity were ascertained based on the road construction activities.  Mitigation Measures The mitigation measures were drawn up corresponding on considered ES risks and impacts to gen- erally avoid, eliminate, mitigate the effects or compensate those who are affected. These corre- sponding measures are outlined in the considered ESSs in the ensuing subsections. 5.2.2 E&S Risk and Impact Related to ESS2  Project workers Project shall comprise the following types of workers, covering local or foreign workers depending on the Contractor’s discretion: • Direct workers: Direct workers will include the project managers and supervisors, who are employees of KAZh, deployed for the entire project. Generally, this will include project construction unit, technical unit, environmental and social management unit, support staff, etc. consistent with the institutional arrangements and practices of KAZh other road projects. • Contracted workers: This will consist of all the work force deployed by the Contractors and the Project Management Consultant (for all A17 packages) who are to be contracted workers. The Contractor(s) might further engage multiple subcontractors, who will also have their contracted workers who are locally or non-locally recruited depending on the needed skills and capacities. Influx of migrant labour from other district for construction works is have the risk of resulting in potential social conflicts, gender- based violence (GBV), etc. • Primary supplier workers: There will be primary suppliers who will provide goods and ma- terials i.e., construction material, security services, etc. outsourced through contractor(s). Such workers will support the project at different stages. 5.2.2.1 Labor Influx and Labor Conditions  Potential Impacts The estimated quantity of project employees is based on the experience gained from other road construction projects in Kazakhstan. It is estimated that the project will attract 2000 employees during the construction period depending on the scope of work and according to the work plans. During periods of winter downtime, this number will be reduced due to a reduction in the amount of work due to weather conditions to 450-500 personnel required to ensure winter maintenance of roads in both regions. 111 Other related issues would be increased risk of spreading of communicable diseases and increased rates of GBV. For some possibility of occurrence, issues may arise pertaining to unaccounted work- ing hours and lack of compensation for overtime work in Kazakhstan, which is violation of the Labour Code. Also, there may be risk of failure to pay individuals who do formal contracts.  Impact Assessment and Measures The project will attract potential available workforce from inside or outside the region and even from other countries. The impacts, risks and measures as described in the LMP is presented below. Table 31: Labor Impacts and Risks Worker Impacts/ Sub-Category Project Impacts/ Risks Mitigation Measures Risks Direct Workers Recruitment and Perception of unfair Community tensions – Project Human Resources policy and/or procedure selection i.e., recruitment and se- stop work practices that covers recruitment and selection processes how workers lection practices. that affect productiv- including at least: join the Road ity. - Selection criteria of each position; Project. - Method of recruitment; - Places of recruitment; - Transparency clauses; - Use of District Labor procedures. National employment strategy that is transparent, well communicated and implemented to: - Maximize work opportunities for local citizens and recruit in accordance with the geographic priorities determined by the Labor officer; and - Enhance local employees’ skills base through training and development programs. Recruitment of indi- Increased health and Human Resources and contracting policies and/or viduals who, by vir- safety risk to work- procedures that cover recruitment and selection tue of age, would be force, potential non- processes that specifically address issues associ- exposed to hazard- compliance with na- ated with child labor. ous situations and tional labor laws, and be subject to im- reputational risk to paired social devel- Project. opment. Conditions of Perceptions that Industrial action- work Human Resources policy and/or procedure that employment – wages, salaries and stoppages, absentee- describes at least the following: what people benefits are poor or ism, sit-ins, sabotage. - Contract arrangements and content; earn\benefits. that foreigners are - Equal pay for equal work; treated better and - How wage surveys will be conducted to assess receive better condi- local conditions and industry averages; and tions of employ- - Process for pay increases. ment. An effective employee complaints/ grievance pro- cess. Labor relations– Different cultures Conflict arises be- Cultural awareness programs during induction and cultural diver- meeting in the work- tween different cul- ‘lunch and learns’. sity. place – feelings of tures or tribes result- distrust and suspi- ing in tension, which Supervisors to undergo compulsory cultural aware- cion of other cultural could lead to violence ness training. groups. and work stoppages; A code of conduct to cover: Perception that and - Respect for different cultures one’s culture is not Foreign workers feel - Acknowledgement of cultural differences in re- respected or valued. threatened and leave, spect to diet, religious ceremonies and so forth resulting in skills gap - Non-discrimination and equal opportunity - Harassment, types and consequences 112 Worker Impacts/ Sub-Category Project Impacts/ Risks Mitigation Measures Risks - Community “do’s and don’ts”. Labor relations– Workers feel ag- Workers embark on Human Resources policy and/or procedure that conflict han- grieved and don’t various forms of in- contains at least: dling. know how to vent dustrial action. They - A worker grievance procedure; their grievances. take matters into their- A disciplinary procedure; Workers are not own hands, which re- - Workplace rules and regulations; sure of the rules and sults in violence and - A demobilization procedure; and regulations of the conflict that affects - Industrial action handling protocols. Contractor. workplace harmony. Workers to be informed of these procedures dur- ing induction training. Supervisors to undergo training on all these proce- dures. Female grievance officers (‘confidants’) are made available to female members of the workforce. Metrics with leading and lagging indicators to be kept in order to highlight labor relations areas in need of remedial action. Labor relations– Workers are not in- Industrial action due Effective communication and engagement mecha- worker engage- formed of activities to rumors or incorrect nisms including at least the following: ment mecha- or events that affect perceptions. - Worker committees nisms. them: Poor morale and an - Regular written communications that go to all - Workers are una- unproductive work- workers describing relevant operations activi- ble to communi- force ties cate collective is- - Use of notice boards sues that bother - Use of toolbox talks them; and - Ongoing supervisor-led communications - Rumors\ misin- - Workers have the right to form or join a work- formation ers’ organization such as a union. spreads that con- cerns workers. Project retrench-- Loss of work and Increase in lawless- Comprehensive retrenchment procedure and ment effects on associated re- ness of communities strategy, which includes: production activ- sentment to- posing security - Timing and number of workers to be retrenched ities. wards the pro- threats for operations. – a staggered approach ject. Decrease in morale of - A communications strategy to minimize misin- - Increased unem- existing workers, lead- formation and rumors. ployment. ing to loss of produc- - Alignment with community development activ- - Community and tivity. ities household-level Blockades and disrup- - complaints/grievance process to facilitate em- adjustments from tion to supply lines. ployee and contractor dispute resolution relat- cash-based to Damage to Project as- ing to retrenchment subsistence- sets resulting from - Personal viability training based livelihoods retribution. - Engagement and consultation of relevant stake- for many demobi- holders, including families of retrenched work- lized workers. ers. - Family and com- - Consistent application of retrenchment pack- munity impacts ages to minimize the risk of inequitable treat- generated ment. through loss of work by commu- nity/family mem- bers. Currently employed workers for road maintenance 113 Worker Impacts/ Sub-Category Project Impacts/ Risks Mitigation Measures Risks Loss of work of cur- Strike, intentional All existing workers for the period of the road re- rently employed by harm to project em- construction will be temporary involved for activi- Road Maintenance ployees and property ties of other Road Maintenance Departments Department (RMD), (RMD) within the region or oblast: about 40-50 workers - RMD-42, Topar village, Karaganda region, who provides - RMD – 44 Zhezkazgan, for Zhezkazgan-Esil-Pet- maintenance of ex- ropavlovsk road section, and RMD-43 Zhana- isting road and Arka, Zhairem-Karazhal-Atasu road section. about 10 pieces of equipment. Contractors and Contract Workers Labor and work- Perception of unfair Workers embark on- Operationalization of human resources man- ing conditions– recruitment and se- various forms of indus- agement manual; and contract work- lection practices. trial action. They take- Effective communication and engagement ers. matters into their own mechanisms. hands, which results in violence and conflict that affects project im- plementation and scheduling. Foreign workers. - They risk to un- Company reputation Where a contractor uses agencies to recruit for- National workers dermine locals would be affected eign\local workers, the contractor ensures that and take prefer- with implications of these agencies are reputable and legitimate. ential treatment. unfair labor practices Complete transparency on all fees paid to the - Foreign workers Contract workers are agencies to be required by the contractor and sub- are contracted disgruntled as they ject to approval by Contractor. through agencies believe they are being The contractor should aim to contract directly that are not repu- unfairly employed, re- with their workers and not use third party agen- table. sulting in industrial ac- cies. This means that workers will be paid by the - Perceptions by lo- tion and\or low contractor directly and not through an agency. cal workers that productivity. However, where this is not possible, the contrac- wages, salaries tor is to inform Resident Engineer in writing of the and benefits are deviation and the reasons for this and provide evi- poor and that for- dence that agencies have been approved as appli- eigners are cable. treated better The contractor ensures that all workers have writ- and receive bet- ten contracts of employment signed by both par- ter conditions of ties that cover all the terms and conditions of em- employment. ployment. Each party to the contract shall have an - Foreign workers original copy. Contracts will be drafted in the rele- need time to vant language and the contractor will ensure that adapt to the unfa- the worker understands the terms and conditions miliar surround- of employment. ings, working cul- ture, local laws and regulations, and other na- tional and local requirements. Foreign and na- The contractor is to provide Contracts of Employ- tional workers ment with terms and conditions, as a minimum, complying with RoK legislation. The terms and conditions should be equal to, or better than, sim- ilar work in similar projects in the country. 114 Worker Impacts/ Sub-Category Project Impacts/ Risks Mitigation Measures Risks Language and Com- - Risk: Foreign work- - Provide language training or interpreters to fa- munication Barriers: ers may have limited cilitate communication between foreign work- proficiency in the lo- ers and supervisors. cal language, leading - Use visual aids, symbols, and standardized to understanding and safety signs to convey important information. communication - Encourage open communication and create a breakdowns. supportive work environment where workers National workers may feel comfortable asking questions and seeking not be able to com- clarification. municate properly - with the foreign workers and it may result in misunder- standings Cultural Differences - Risk: Cultural differ- - Conduct cultural sensitivity training to raise and Work Practices ences in work prac- awareness of cultural differences and foster tices, attitudes to- mutual understanding among workers. wards safety, and hi- - Adapt safety training materials and procedures erarchy may impact to align with the cultural norms and preferences the effectiveness of of foreign workers. safety protocols - Encourage teamwork and collaboration among workers from different cultural backgrounds to promote a shared commitment to safety. Al- ways include national workers in such trainings. - - Risk: Foreign workers- Provide comprehensive orientation and training may be unfamiliar with on local health and safety regulations, including local health and safety rights and responsibilities under labor laws. regulations, increasing- Assign dedicated safety officers or supervisors the risk of non-compli- to oversee compliance and provide guidance to ance. foreign workers. National workers- Establish clear reporting mechanisms for safety needs to be included concerns or violations and ensure workers un- in this training as well. derstand their rights to report hazards or unsafe conditions - Legal and Regulatory - Foreign workers - Provide comprehensive training programs tai- Compliance: may lack specific skills lored to the needs of foreign and national work- or OHS and other RoK ers, covering equipment operation, hazard standards and re- recognition, and emergency procedures. quirements. - Offer mentorship and on-the-job training to help foreign and national workers gain practical experience and confidence in their roles. - Regularly assess the competency of foreign workers and provide additional training or sup- port as needed to address any gaps. - Proper training for workers on national stand- ards and requirements. OHS Training and - Risk: Foreign workers- Establish partnerships with local service provid- Skills Development may face challenges ers to ensure foreign workers have access to accessing support ser- healthcare facilities, counseling services, and le- Access to Support vices, such as gal assistance if needed. Services healthcare, counsel- - Provide information and resources in multiple ing, or legal assistance languages to help foreign workers navigate sup- port services effectively. 115 Worker Impacts/ Sub-Category Project Impacts/ Risks Mitigation Measures Risks - Designate a liaison or point of contact to assist foreign workers with accessing support services and addressing any issues or concerns. - Ensure translator, when required. Accommodation Worker accom- Accommodation is Workers have low mo- Build camps to the camp specifications for produc- modation build- considered sub- rale and perceive to tion accommodation (In accordance with the Or- ing specifica- standard which do not care about der of the Ministry of Public Health of Republic of tions (camps). leads to discontent their welfare, which in Kazakhstan dd July 26, 2022 # KP ДСМ-67). In ad- amongst the resi- turn affects motiva- dition, the benchmarks of the IFC Guidance Notes dents and concerns tion and productivity. on “Workers’ accommodation: processes and about perceived standards”, will be followed. In the event of new health risks. construction, the following Construction phase plans will be applied as necessary: - Minimum Health Requirements for Project Exe- cution; - Minimum Camp Specifications for Operations Accommodation; - Contractor’s Occupational Health and Safety Plan - Emergency Response Plan - Security Management Plan. Camp manage- Residents do not live Conflict escalates. If a contractor is used to manage camps, they ment practices. in harmony and the must have a proven track record. potential for conflict Implement an induction program to be attended rises. Residents do by all residents that covers at least the following: not know how to - Camp rules and regulations; complain or make a - Code of conduct grievance. - Camp grievance mechanism; - Camp disciplinary procedure; - Complaints system for food, dining, housekeep- ing and maintenance; - Camp committee system; - Community relations cultural awareness; and - Health, safety and security. Keep committee minutes, records of all training conducted, complaints, grievances and breaches of discipline. Use this information to track trends and for remedial action purposes. Implement a mechanism for dialogue with camp residents on key issues such as food, dining, housekeeping, recreational activities and camp rules and regulations. Undertake room allocations in an open and trans- parent manner using only employment seniority as a criterion. Keep separate but equal male and female accommodation. Implement appropriate levels of safety and secu- rity practices and ensure that only residents are allowed in the accommodation – as well as day workers such as cleaning and maintenance staff. 116 Worker Impacts/ Sub-Category Project Impacts/ Risks Mitigation Measures Risks Strict ingress and egress control is required to en- sure the security of the residents, particularly women. Procure camp supplies according to the opera- tions procurement and supply chain management practices. Do not procure from vendors if it may lead to higher prices for local communities or en- courage in-migration into the area. Food and dining - Food is not cul- Workers embark on Provide food that will ensure a balanced diet, is turally appropri- industrial action. culturally appropriate and has been approved by a ate. Incidents increase in qualified nutritionist. - Queues are long. the dining halls which Provide safe, potable water at all work sites, ac- - The dining experi- could escalate to vio- commodation, and dining and recreation areas. ence is a frustrat- lence. Provide the opportunity for feedback on food and ing one leading to Morale is low which dining by a comments or complaints system that is incidents in the leads to poor produc- easy for residents to use, as well as via regular dining hall be- tivity. meetings with worker nominated representatives. tween workers Complaints must be trended and tracked for re- and kitchen staff. medial action. Ensure that dining halls have adequate seating, condiments, cutlery and crockery, serving areas and catering staff so that the dining experience is an efficient and pleasant one. Dining times to be communicated to all residents and to fit in with work requirements. Ensure that kitchen staff comply with all RoK Pub- lic Health Act and related health regulations. Meet all the health, hygiene and food safety re- quirements described in the Minimum Health Specification Guidelines. Maintenance Equipment breaks Worker health, safety Provide an efficient system for routine and pre- down affecting ac- and general welfare ventive maintenance. commodation stand- are affected, which in Ensure that there are enough spare parts available ards. turn could affect the for all critical equipment. motivation and productivity of work- ers. Housekeeping The general appear- The overall camp ex- Ensure that camp grounds and common areas are ance of the camp perience is compro- routinely cleaned and organized with appropriate deteriorates making mised which in turn signage in place, and that grounds are maintained camp life unpleas- leaves workers de- (e.g., grassed areas are regularly mown). ant. moralized and unpro- Establish easily accessible, designated smoking ar- ductive. eas which are clearly highlighted and regularly cleaned. Recreation Workers spend most Tensions arise from Provide appropriate recreational facilities and ac- of their time in the the local communities tivities. These should be discussed with the camp camps and could be- as workers impact residents’ committee; and come disenchanted their activities in Ensure that equipment and facilities are kept and bored. They search of recreation. clean and well maintained. may want to leave An increase in alcohol the camps and go consumption and 117 Worker Impacts/ Sub-Category Project Impacts/ Risks Mitigation Measures Risks into the local towns prostitution could re- and villages in sult due to the influx search of recreation. of workers into local communities. Spiritual /Reli- Workers will want Tensions arise from Provide appropriate places of worship where resi- gion access to places of the local communities dents express a need for this in accordance with worship for their as workers impact cultural sensitivities, and assess transport arrange- chosen religion. their activities. ments on a case-by-case basis to such areas. They may leave the camps and go into the local towns and villages in search of an appropriate place of worship. Security Inconsistent and ag- Insufficient training Ensure that camp security personnel meet at least gressive behavior of and control of securitythe following requirements: security personnel personnel can lead to Have not been implicated in past abuses towards workers can the inappropriate use Are trained in appropriate conduct towards result in tensions of force, while pro- workers and community members including: and conflict in the tecting Project work- Exercising constraint and caution and understand workplace and a ers and assets, or in- how force may be used; perception of hu- appropriate behaviour Respecting human rights; man rights abuses. towards local popula- Behaving consistently; tions, resulting in hu-Knowing and abiding by applicable laws; and man rights claims. Fostering good community relations through their interaction and behavior towards the workforce and communities. Community rela- Communities are Workers are stopped Implement control measures to avoid and minimize tions. negatively impacted from going to work, the impacts of camp and living conditions on com- by camp activities: which affects produc- munities; and noise, waste, traffic, tivity. Limit foreign worker interaction with communities lighting and so forth. and provide cultural sensitivity awareness training This may result in to facilitate appropriate interaction with communi- negative actions to- ties. wards camp opera- tions such as road closures and the prevention of work- ers or suppliers from entering the worksite. Since workers can be provided some briefings prior to commencement of work to avoid, eliminate or resolve conflicts, the impacts (in terms of the “Labor Influx and Labor Conditions”) may be “mod- erate but the risk can be “substantial” when uncontrolled. 5.2.2.2 Occupational Health and Safety Hazard The labor risk for TRACE the project is elaborated in the Labor Management Procedures (LMP). The Contractor will be required to have a written contract with their workers materially consistent with 118 objective of ESS2, following procedures as specified in the World Bank’s Procurement Regulations and required by the Kazakhstan Labor Code and other related laws.  Origin of Impacts/Risks, Assessment and Measures The LMP presents the OHS concerns summarized in Table 34 below. Table 32: OHS Impacts/Risks and Mitigation Measures Activity Hazard Risk Mitigation Measures Mechanical Road con- Road Accident Injury Property • Install indicative marks and signs at the Road Bypass enter- struction area Loss ing and exit points, near the transport junctions and pass ways for herded animals • Equip the planned bypass with regulating pedestrian pass- ways, where relevant, Vehicle Speed (not more than 20 km/hr.) will be maintained. • Speed breakers will be provided. • Drink/smoke and drive will be strictly prohibited. • Safety sign board will be provided. Road con- Traffic acci- Injury / Property • Local environment: Assess whether the road construction struction area dents with Loss area is close to pastures or villages livestock • Animal behavior: Consider the behavior patterns of specific types of livestock in the area, such as grazing habits, move- ment patterns and tendencies to wander onto roads • Traffic flow: Analyze the volume and speed of traffic pass- ing through the construction zone, as well as any existing measures in place to control traffic (road signs, speed lim- its, etc.) • Fencing and Containment: Evaluate the effectiveness of ex- isting fencing or containment measures for keeping live- stock away from roads and construction zone (e.g. cattle race ) • Warning signs and Signals: Ensure that appropriate warning signs, signals, or barriers are in place to alert drivers to pres- ence of livestock and to slow down within construction zone. • Coordination with local Farmers/Akimats: Collaborate with local farmers and akimats to understand their livestock management practices and to develop strategies for mini- mizing the risk of accidents • Emergency Response: Develop protocols for responding to accidents involving livestock, including procedures for safely containing animals, notifying owners, and coordinat- ing with veterinary service if necessary • Public and Contractor Awareness: Educate drivers about the potential presence of livestock near construction zones through awareness campaigns, signage and communica- tion channels 119 Activity Hazard Risk Mitigation Measures WAME Workers may Injury, Fatality • Establish designated pedestrian walkways (WAME Plan) (Working be stuck by Property damage separate them from equipment operating areas Around Mo- moving vehi- • Use barriers or cones to delineate safe pedestrian paths bile Equip- cles or equip- ment) ment • Ensure all workers wear high-visibility clothing • Implement traffic control measures, including flaggers (where applicable) or traffic signs • Equip mobile equipment with audible backup alarms and flashing lights or establish audio warning signal system. Visibility Is- • Install proximity detection systems on mobile equipment to sues: Equip- alert operators of nearby workers ment opera- • Ensure equipment mirrors are properly adjusted to mini- tors may have mize blind spots limited visibil- ity, leading to • Assign spotters to assist equipment operators in maneuver- the risk of colli- ing safely (where acceptable). sion with workers Overturning or • Use high-visibility markings and flags on equipment to en- rollover: Mo- hance visibility bile equipment • Train equipment operators on safe operating practices, in- may overturn cluding proper load handling and stability consideration or roll over, posing a risk to • Conduct regular equipment inspections to identify mainte- nearby work- nance issues that could contribute to rollovers. ers Falling objects: • Use equipment with rollover protection structures (ROPS) Objects may and seat belts fall from mo- • Monitor ground conditions and avoid operating on unsta- bile equipment ble or steep terrain • Secure all tools, materials and equipment properly during transportation. Workers Train- • Use debris nets or toe boards on elevated equipment to ing and Aware- prevent objects falling ness: Lack of • Implement a clear communication protocol to warn work- awareness or ers when overhead work is being performed. training may increase the risk of acci- dents involving mobile equip- ment Emergency Re- • Provide comprehensive training to all workers on hazards sponse associated with mobile equipment and safe work practices • Conduct regular safety meetings to discuss specific risks and reinforce protocols • Encourage workers to report near misses and safety con- cerns promptly • Ensure all workers are trained in ER procedures, including how to summon help and provide first aid • Maintain clear access routes for emergency vehicles. 120 Activity Hazard Risk Mitigation Measures Improper illu- Decreased visi- Injury, fatality, • Implementing proper lighting standards: mination bility for work- property damage Location / Activity Light Intensity ers and driv- and potential le- - Emergency light, 10 lux ers, increased gal liabilities for - Outdoor non-working areas 20 lux likelihood of the construction - Simple orientation and temporary visits (machine storage, accidents due company garage, warehouse), 50 lux to poor visibil- - Workspace with occasional visual tasks only (corridors, ity stairways, lobby, elevator, auditorium, etc.), 100 lux - Medium precision work (simple assembly, rough machine works, welding, packing, etc.), 200 lux - Precision work (reading, moderately difficult assembly, sorting, checking, medium bench and machine works, etc.), offices, 500 lux - High precision work (difficult assembly, sewing, color in- spection, fine sorting etc.), 1,000 – 3,000 lux • regular inspections, and corrective measures Noise Exceeding of Hearing loss for • Control and evaluate duration and intensity of noise and permissible workers, disturb- compliance with noise regulations: level ance of nearby • No employee should be exposed to a noise level greater residents than 85 dB(A) for a duration of more than 8 hours per day without hearing protection. In addition, no unprotected ear should be exposed to a peak sound pressure level (instan- taneous) of more than 140 dB(C). · The use of hearing pro- tection should be enforced actively when the equivalent sound level over 8 hours reaches 85 dB(A), the peak sound levels reach 140 dB(C), or the average maximum sound level reaches 110dB(A). Hearing protective devices pro- vided should be capable of reducing sound levels at the ear to at least 85 dB(A). · Although hearing protection is pre- ferred for any period of noise exposure in excess of 85 dB(A), an equivalent level of protection can be obtained, but less easily managed, by limiting the duration of noise exposure. For every 3 dB(A) increase in sound levels, the ‘allowed’ exposure period or duration should be reduced by 50 percent.65 • Prior to the issuance of hearing protective devices as the final control mechanism, use of acoustic insulating materi- als, isolation of the noise source, and other engineering controls should be investigated and implemented, where feasible • Periodic medical hearing checks should be performed on workers exposed to high noise levels • Using quieter equipment, implementing noise barriers, scheduling noisy activities during off-peak hours • Provision of proper hearing protection PPE for workers Industrial Ve- vehicle speed, collisions, pedes- • traffic management plans, providing adequate signage and hicle Driving visibility, train- trian accidents, markings, establishing speed limits, and conducting regular and Site Traf- ing and com- and damage to safety training for drivers and workers. fic petence of property or infra- • Regular monitoring and review of traffic patterns and inci- drivers, site structure layout, and dents can help identify areas for improvement and prevent presence of accidents 121 Activity Hazard Risk Mitigation Measures pedestrians or • Training and licensing industrial vehicle operators in the other vehicles safe operation of specialized vehicles such as forklifts, in- cluding safe loading/unloading, load limits - Ensuring drivers undergo medical surveillance · - Ensuring moving equipment with restricted rear visibility is outfitted with audible back-up alarms · - Establishing rights-of-way, site speed limits, vehicle inspec- tion requirements, operating rules and procedures (e.g. prohibiting operation of forklifts with forks in down posi- tion), and control of traffic patterns or direction · - Restricting the circulation of delivery and private vehicles to defined routes and areas, giving preference to ‘one-way’ circulation, where appropriate Ergonomics, frequency, du- musculoskeletal • Rotation of tasks to minimize repetitive motions, providing repetitive ration, and disorders (MSDs), training on proper lifting and posture techniques, and en- motion force of repeti- repetitive strain couraging regular breaks and stretching exercises. Monitor- tive motions, injuries (RSIs), ing workers' health and soliciting feedback can help identify ergonomics of and decreased workstations, productivity due early signs of discomfort and prevent long-term injuries Use and individual to discomfort or of mechanical assists to eliminate or reduce exertions re- susceptibility fatigue quired to lift materials, hold tools and work objects, and re- factors such as quiring multi-person lifts if weights exceed thresholds. · age or existing - Selecting and designing tools that reduce force require- health condi- ments and holding times, and improve postures · tions - Providing user adjustable work stations · - Incorporating rest and stretch breaks into work processes, and conducting job rotation · - Implementing quality control and maintenance programs that reduce unnecessary forces and exertions · - Taking into consideration additional special conditions such as left-handed persons Working at falls, falling ob- Injury, fatality • Fall prevention and protection measures should be imple- Heights jects, and mented whenever a worker is exposed to the hazard of fall- structural in- ing more than 1,3 meters; stability • providing appropriate fall protection equipment like har- Drops nesses and guardrails, • inspecting and maintaining equipment regularly, • implementing safe work procedures, • conducting thorough training on working at heights and emergency procedures. • Regular monitoring and supervision are essential to ensure compliance with safety protocols and prevent accidents. Electrical Electrical Exposure to Burns due to elec- • Safety fencing will be provided to control the direct contact equipment electrical tric al accidents. of workers. shocks Shocks due to • Only authorized persons with adequate PPEs will permit to Scope of fire electric al acci- access the area. due to electri- dents. cal short cir- Damages to skin • Adequate fire protection system will be developed. cuits due to electrical • Good housekeeping practices will be done. Exposure to fire accidents. • Safety sign board will be provided. burns due to • Adequately rated and quick response circuit breakers, electrical sys- aided by reliable and selective digital or microprocessor tems 122 Activity Hazard Risk Mitigation Measures Property loss based electromagnetic protective relays would be incorpo- rated in the electrical system design for the proposed activ- ities. • Proper firefighting scheme for electrical failures eliminate these Hazards • Proper design of electrical equipment as per standards/ HAC and proper isolation to eliminate these Hazards. High-Risk Ac- Falling from Serious Injury Fa- • Authorized and trained persons will perform the job in par- tivities height DROPs tality Property ticular area. Electrical Loss • Preparation of “permit to work” (PTW), “standard operat- shock Explo- ing procedure” (SOP) Method Statement and Training man- sion Poisoning etc. uals. • Strict observance of safety requirements and following PTW /SOP steps. Hot works Fire: Hot work • Clear the work area of flammable materials and establish a can ignite designated hot work zone. flammable ma- • Provide fire-resistant barriers or blankets to shield nearby terials, such as combustible materials. fuel, vegeta- tion or con- • Keep fire extinguisher readily available and ensure workers struction de- are trained in their use. bris leading to • Monitor the work area fir signs of smoldering or ignition af- fires ter hot work is completed. Exposure to • Provide workers with appropriate respiratory protection, Fumes and such as respirators or masks, if ventilation alone cannot Gases: Hot control exposure levels work produces • Ensure adequate ventilation in the work area, either fumes and gases that can through natural ventilation or mechanical ventilation sys- pose respira- tems. tory hazards to workers Burns and • Require workers to wear appropriate PPE, including flame- thermal inju- resistant clothing, gloves and welding helmets ries: Workers • Establish safe work practices such as maintaining a safe dis- performing tance from hot surfaces and using welding screens to pro- hot work are at risk of burns tect nearby workers from sparks and thermal • Implement a hot work permitting system to ensure proper injuries from planning and hazard identification before starting work. contact with hot surfaces, sparks, or mol- ten metal 123 Activity Hazard Risk Mitigation Measures Extreme Heavy Rain Flooding • Monitor weather forecasts regularly and implement proac- weather con- and Flooding Soil erosion and tive measures, such as installing temporary drainage sys- dition: instability of tems and erosion control measures slopes • Ensure proper grading and compaction of soil to prevent Damage to equip- ment water accumulation and minimize runoff Safety hazards for • Suspend outdoor work during periods of heavy rain or workers flooding and provide alternative tasks indoors if possible • Have emergency response plans in place, including evacua- tion procedures and designated assembly areas in case of flash flooding. Snow and Ice Slippery condi- • Clear snow and ice from work areas, access roads, and tions Reduced vis- walkways using snowplows, shovels, and de-icing agents. ibility, • Provide workers with appropriate footwear, such as insu- Impair equipment lated boots with slip-resistant soles, and ensure they are operation, in- creasing the risk trained in safe walking and working practices in icy condi- of accidents and tions. injuries • Use caution signs, barricades, and flaggers to alert workers and motorists to hazardous conditions. • Limit outdoor work during severe weather conditions and prioritize essential tasks that can be performed safely. High winds Falling objects, • Secure loose materials, tools, and equipment to prevent structural dam- them from becoming airborne hazards. age, and equip- • Inspect temporary structures, scaffolding, and signage for ment overturn- stability and reinforce them as needed to withstand wind ing, leading to in- juries and prop- loads. erty damage • Temporarily suspend work at heights, such as crane opera- tions or elevated work platforms, during periods of high winds. • Provide wind-resistant shelters or designated safe areas for workers to take refuge during severe weather events. Extreme Tem- Heat stress, hypo- • Provide adequate rest breaks, hydration stations, and peratures thermia, frost- shaded areas for workers to cool down during hot weather. bite, dehydration, • Issue appropriate protective clothing, such as lightweight, and fatigue breathable fabrics in hot weather and insulated, moisture- among workers, impairing their wicking layers in cold weather. performance and • Implement a buddy system to monitor workers for signs of increasing the risk heat or cold-related illnesses and provide first aid as of accidents needed. • Adjust work schedules to avoid the hottest or coldest parts of the day and prioritize tasks that can be performed in cli- mate-controlled environments. • Regular monitoring of weather forecasts and proactive planning are essential components of effective risk man- agement. Hazardous Spill, ignition Intoxication, soil Identify Hazardous Materials: material han- containment • Determine the types and quantities of hazardous materials dling (stor- that will be used or encountered during road construction, age, such as fuels, asphalt, chemicals, and solvents. transport, 124 Activity Hazard Risk Mitigation Measures and use of • Obtain safety data sheets (SDS) or material safety data hazardous sheets (MSDS) for all hazardous materials to understand materials) their properties, hazards, and safe handling procedures. Assess Risks: • Evaluate the risks associated with the handling, storage, and disposal of hazardous materials, considering factors such as toxicity, flammability, reactivity, and potential for exposure. • Identify potential hazards to workers, nearby communities, and the environment, including risks of spills, leaks, fires, and explosions. Control Measures: • Implement engineering controls, administrative controls, and personal protective equipment (PPE) to mitigate risks and prevent accidents: • Engineering Controls: Use containment systems, ventila- tion, and spill containment measures to minimize the re- lease of hazardous materials into the environment. • Administrative Controls: Develop standard operating pro- cedures (SOPs) for the safe handling, storage, and disposal of hazardous materials. • Provide training to workers on hazard identification, emer- gency response, and proper handling techniques. Personal Protective Equipment (PPE): • Provide workers with appropriate PPE, such as gloves, gog- gles, respirators, and protective clothing, to minimize expo- sure to hazardous materials. Safe Handling and Storage: • Ensure that hazardous materials are stored, handled, and transported in accordance with applicable regulations and best practices: • Store hazardous materials in designated areas with appro- priate containment measures to prevent spills and leaks. • Use proper labeling, signage, and color-coding to identify hazardous materials and communicate associated risks. • Segregate incompatible materials to prevent chemical re- actions and minimize the risk of accidents. Emergency Response Preparedness: • Develop and implement emergency response plans to ad- dress spills, leaks, fires, or other incidents involving hazard- ous materials: • Establish procedures for reporting emergencies, evacuating the area, and notifying appropriate authorities. 125 Activity Hazard Risk Mitigation Measures • Provide training to workers on emergency response proce- dures and the use of spill containment and cleanup equip- ment. • Maintain emergency response supplies, such as spill kits, absorbents, and firefighting equipment, in accessible loca- tions. Environmental Protection: • Minimize the environmental impact of hazardous material handling by implementing pollution prevention measures: • Implement spill prevention and response measures to min- imize the release of hazardous materials into soil, water, or air. • Properly dispose of hazardous waste in accordance with ap- plicable regulations, using authorized disposal facilities and methods. Fire and Ex- flammable ma- Injury, property • Proper Storage and Handling: Store flammable materials plosions terials, fuel damage, intoxica- away from potential ignition sources and handle them ac- storage, hot tion, fatality cording to safety protocols. work activities • Clear Communication: Ensure all workers are aware of fire like welding, and ignition and explosion risks and are trained in emergency proce- sources such dures. as electrical • Fire Extinguishers: Have fire extinguishers readily available equipment or at the construction site and ensure workers are trained in vehicles their use. • Control Ignition Sources: Minimize the use of open flames and hot work, and implement measures to control sparks from equipment. • Ventilation: Provide adequate ventilation in confined spaces to prevent the buildup of flammable gases. • Emergency Response Plan: Develop a comprehensive emergency response plan that includes evacuation proce- dures, emergency contacts, and procedures for shutting down operations in case of a fire or explosion. • Regular Inspections: Conduct regular inspections of equip- ment, storage areas, and work sites to identify and address potential hazards. • Safe Work Practices: Enforce safe work practices, such as proper handling of fuels and chemicals, and ensure equip- ment is well-maintained to prevent leaks or malfunctions that could lead to fires or explosions • hot work permits, as per RoK High Risk activities regulation. • Regular inspections and drills help maintain preparedness and minimize the risk of fire and explosions The Contractor shall prepare an OHS Plan to be implemented or enforced at the worksite and to be complied with by project workers. The said OHSP shall form part of the C-ESMP, to be reviewed and checked by the Supervision Engineer. The Supervision Engineer and the PIU designated OHS staff 126 shall be responsible in overseeing the implementation of the OHS measures at the TRACE Project worksites. 5.2.2.3 Sexual Exploitation and Abuse/Sexual Harassment (SEA/SH)  Potential Impact The following probable impact is expected to occur if proper human resource management are not taken in project site and also in the host communities: • Wage discrimination between men & women • Women friendly sitting arrangement and drinking water, sanitary facilities, etc. may not be provided • “Eve-teasing” and sexual abuse • Women, particularly of weaker sections may be discouraged to speak and demand equi- table benefits due to cultural reasons. • Increased demand for sex work  Impact Assessment According to an internet source18, “Women in Kazakhstan face high rates of domestic abuse. Ac- cording to the Ministry of Internal Affairs, in 2023 police received 99,026 complaints related to fam- ily violence and courts sentenced 67,270 people with administrative sanctions.” It also cited that the new law signed by the President of Kazakhstan on April,15, 2024, to strengthen protections from violence for women and children, including domestic violence survivors, still falls short in key areas, as per Human Rights Watch. The said law fails “to explicitly make domestic violence a stand-alone offense in the criminal code or elsewhere”. Considering the project’s locations will include rural areas where there could be limited supervision capacity and given the generally high rates nationally with regards to GBV, the potential risks associated with SEA/SH are assessed as substantial.  Mitigation Measures Acknowledging the above risks, the project will require robust management at the site level in terms of SEA/SH preventative measures, through awareness campaigns, codes of conduct, GRM, as well as establishment of a referral mechanism in the event that such incidents occur. Specific measures shall be considered: • As a preventative measure, the project shall require contractors and their sub-contractors to establishing equal pay between male and female workers on the same job description (consistent with the GAP). • In bidding documents and contracts, the Contractor will be required to implement the La- bor Management Plan and Codes of Conduct and Action Plan to Prevent Gender Based Violence. • The Contractor must arrange for trainings on GBV/IEC campaign to be provided by a rec- ognized agency or NGO (e.g., “Woman Association for Rational Development” or any rec- ognized and credible women organization in Kazakhstan). A mapping of service providers shall be done as part of the updating of the ESMP during the early stage of project imple- mentation. 18 “Kazakhstan: New Law to Protect Women Improved, but Incomplete”. https://www.hrw.org/news/2024/04/23/kazakh- stan-new-law-protect-women-improved-incomplete#:~:text=Women%20in%20Kazakh- stan%20face%20high,67%2C270%20people%20with%20administrative%20sanctions. 127 • The contractor to ensure periodic awareness campaigns, as well as regular refresher train- ing on SEA/SH for workers, including workers employed by sub-contractors. • KAZh, with contractors and other stakeholders such as local government and SEA/SH ser- vice providers, will ensure that the project GRM and workers’ GRMs include protocols, training, and accountability mechanisms such that grievances related to SEA/SH can be accepted and handled adequate with due confidentiality and ethical standards as well as with adherence to the principles of protection to the survivors. 5.2.2.4 Social Tension  Potential Impact During the construction phase of project road, a large number of workers will be engaged and influx of construction workers will impact on the local environment. This influx of labour may affect the project area considerably in the terms of additional burden on food supplies and increase commod- ity prices, public infrastructure (e.g., health services, social amenities, etc.), utilities (i.e. water and electricity), housing and other related social services. The influx of workers to the community may cause impacts to community health and safety, especially an increase in prevalence of diseases. Also, the local community may experience sudden impacts on their usual affairs such as garbage, construction/demolition waste and waste water discharges. Understandably, as in other projects, it is notable that there is possibility of increase/emergence sexually transmitted diseases such as HIV/AIDS or STI normally associated by of influx of the workers.  Impact Assessment The risk can be considered as substantial considering the duration of construction phase and the number of potential labor influx risks in the area, and periodic water shortages during certain months as well as limited access to electricity in rural communities. The risks may elevate if the contractors fail to implement proper measures as well as alternative options to avoid crowding out of the existing resources (i.e., use of portable drinking water sources, electricity generators, etc.).  Mitigation Measures The measures for this “social conflict” issues include the following: • Workers from the local communities will be offered preferential employment as unskilled labor. • Workers will also be required (with informed consent) to undergo regular check-up to min- imize the risk of contracting and spreading HIV/AIDS and STI’s. • The Contractor shall produce and conduct an HIV-AIDS Information, Education and Con- sultation/Communication (IEC) campaign undertaken by a recognized service provider. • If ever, camps will be sited a good distance away from nearby settlement areas to avoid social conflicts. • Workers are to be provided with cultural awareness training if they are from an outside region. • Use of alternative sources to minimize crowding out of basic services. 128 5.2.2.5 Employment and Livelihoods The project's impact on employment and livelihood is considered positive during the short-term construction phase of the road since the project will create job opportunities for local people. Dur- ing the operations phase, local economy (agriculture, tourism, etc.) will have a boost with increased traffic and trade thereby improving local employment and livelihood opportunities on the local and regional levels. There could be temporary impacts on livelihoods as a result of land and asset expro- priation, but the scale of such impacts is considered insignificant based on the RAP. Access re- strictions on land use may be anticipated due to improper housekeeping by the contractors and hence, need to be avoided through proper supervision, as well as imposition of penalties in the event of non-compliances. 5.2.3 E&S Risk and Impact Related to ESS3 5.2.3.1 Soil Quality (Land Resources) The road upgrading works involves a large area of disturbed land (backfilling of new roadbed, service road, laying of utilities, organization of car parking areas, infrastructure (stops), contractor's camps, etc. These will be mechanical disturbance of soils (mixing of layers, disturbance of structure) and chemical disturbance (soils will be disturbed by deposition of pollutants from atmospheric air). In addition, soils in some sections along roads are already polluted with heavy metals and dust. Dark brown soils are more resistant to mechanical disturbance than saline soils. Acidified/polluted rain- fall (Karagandy and Jezqazgan territories) will change the soil cover properties. Any impact of fuel and lubricants on soils reduces their ability to absorb and retain moisture. The process of soil reme- diation is very long. From soil, the pollutants will enter plants, humans and animals. The most sensitive recipients for contamination will be agricultural lands, the ESIA indicates that the likelihood of such impacts is generally negligible since surrounding environments are not utilized fro income generation purposes. Certain clusters of the Andasai sanctuary may be polluted during the civil works, however, strict restrictions will be imposed for any construction activities as per the Passport of the Sanctuary and in line with the Biodversity Management Plan (BMP). The impact is assessed as low to moderate risk. The proposed reclamation/re-cultivation works will create conditions for the restoration of dis- turbed areas through preparing and implementing site-specific Borrow pit Management Plan and Site Restoration Plan for the disturbed lands.  Potential Impact The potential source of impact on soil quality and land resources during the construction phase activities includes: • Transportation and storage of fuels, construction materials and chemicals; • Storage, Transportation, and Disposal of Construction debris; • Establishment and operation of auxiliary facilities; • Solid and liquid waste disposal from construction camp.  Impact Assessment Among the impacts identified for this activity are the following: 129 •Contamination of the soil may result from improper handling, storage, and/or utilization, resulting to spillage of bitumen, cement, materials alien to the site or hazardous materi- als/substances. • Loss or decrease in soil fertility can occur due to stripping and improper storage of topsoil. • Inadvertent discharge of liquid waste to the environment. • Improper management of solid waste generated from construction camps. Considering the extent of the construction, the impacts are “moderate”, since any spill on land can be visible and mitigated more easily than spill in water bodies.  Mitigation Measures As mitigating measures for spillage, the contractor is to establish the following: • Prior to starting civil works, Contractor will prepare, consult on, and submit site-specific Soil Management Plan, Borrow Pit Management Plan, and Site Restoration Plan for all disturbed lands. The Plans shall be reviewed and approved by Construction Supervision Consultant and PIU’s ES staff. • Ensure safe storage of fuel and other hazardous substances. • Equipment/vehicle repair/maintenance and re-fueling areas will be confined to areas in construction sites designed to contain spilled lubricants and fuels. Such areas will be equipped with a concrete perimeter and drainage system leading to an oil/grease-water separator that will be regularly skimmed of oil to prevent spilled oil/grease being dis- charged to the ground surface; • Management and storage of fuel, waste oil, and hazardous substances will be planned in accordance with EHS General Guidelines on Hazardous Materials Management.19 This includes the use of appropriate secondary containment structures capable of containing the larger of 110 % of the largest tank or 25% of the combined tank volumes in areas with above-ground tanks with a total storage volume equal or greater than 1,000 liters. Fuel storage tanks need to be placed under roof and on concrete slabs with berms or dikes to contain spills in a secured covered area; • Segregate hazardous wastes (oily wastes, used batteries, fuel drums) and ensure that storage, transport and disposal will not cause pollution and will be undertaken con- sistent with national and local regulations; • Ensure all storage containers are in good condition with proper labelling; • Regularly check containers for leakage and undertake necessary repair or replacement; • Store hazardous materials above flood level; • Discharge of oil contaminated water will be prohibited; • Used oil and other residual toxic and hazardous materials will not be poured on the ground; • Used oil and other residual toxic and hazardous materials will be disposed of in an au- thorized facility off-site • Adequate precautions will be taken to prevent oil/lubricant/hydrocarbon contamina- tion of river channels; • Spill clean-up equipment (e.g., absorbent pads, etc.) specifically designed for petroleum products and other hazardous substances will be maintained on-site. Should any acci- dental spill occur, immediate clean-up will be undertaken, and all clean-up materials will be stored in a secure area for further disposal. Disposal of such will be undertaken 19 https://www.ifc.org/wps/wcm/connect/90231ba8-5bb3-40f4-9255-eaf723d89c32/1-5%2BHazardous%2BMateri- als%2BManagement.pdf?MOD=AJPERES&CVID=nPtgwmI 130 by a waste management company contracted by the Contractors. The waste manage- ment company must have the required licenses to transport and dispose of any hazard- ous waste before any such waste is removed from the site. The Contractors will keep copies of the company’s licenses and provide waste transfer manifests at their camp site for routine inspection by the engineer; • Spillage, if any, will be immediately cleared with utmost caution to leave no traces; • Spillage waste will be disposed at approved disposal sites; • All areas intended for storage of hazardous materials will be quarantined and provided with adequate facilities to combat emergency situations complying with all the applica- ble statutory stipulation; • The contractor will be required to display Material Safety Data Sheets (MSDS) in all work areas and to train workers in the safe use of these materials, including the provi- sion of protective equipment for handling these substances. • The contractor will designate the ESO in-charge of storage sites for hazardous materials and ensure they are properly trained to control access to these areas and entry. Entry will be allowed only under authorization. As mitigation measures for topsoil management issues, the contractor should: • Keep vehicular traffic to a minimum on the soils to be stripped. • Avoid where practical the inclusion of obviously poorer quality/fertility material such as sub-soil clay, saline material and material dominated with stones. • Stockpiles should be no deeper than 3 meters high to minimize problems with anaerobic conditions. • Protect and re-vegetate all stockpiles as soon as possible to minimize loss of soil quality. • Locate stockpiles in areas away from drainage lines or windy areas to minimize soil and wind erosion risk. • Ensure a good vegetative cover is maintained on stockpiles and on top-dressed areas until ground cover is well established by excluding stock and by controlling weed growth. • Designate each topsoil stockpile with appropriate signage (e.g., 'Topsoil Stockpile') to ensure the resource is identifiable to all contractor’s staff. The mitigation measures for liquid waste discharges consist of the following: • Wastewater sewers in any workers’ camps should be connected to septic tanks or wastewater treatment plants. • Accumulated septage in any portable toilets for workers should be hauled to be emptied in the septic tanks or wastewater treatment plant. • Silt contaminated water should be stored in containers to allow silt to settle for reuse; while the silt be mixed in natural soil when not contaminated. The mitigation measures for solid waste issues are: • Contractor should have a plan to avoid and minimize the generation of solid waste, which will be communicated to his work crew. • Waste materials should be segregated for ease of recycling and to maintain high eco- nomic value to the recyclers. • Contractors should provide sufficient containers/bins for solid waste generated. 131 • Ordinary solid waste generated should be contracted for collection by the operating col- lectors in the area for disposal. • Construction waste can be recycled to be handed over to recyclers. 5.2.3.2 Sediment Pollution  Potential Impact During construction, the disposal of excess cuts near waterbodies can cause turbidity issues in surface waters.  Impact Assessment During construction, excess soils deposited outside of the construction corridor and if they are dumped near bodies of water, the risks of these soils being transported by runoff water or even by wind action is considerable and can contaminate the water. Considering the extent of the construc- tion, the impacts are “Minor” and the risk to be “Low” as they are confined along the corridor and sites for auxiliary facilities. Aksu River Bridge Kudaimendi River Bridge Sherubai Nura Figure 28: Some Rivers Crossing A17  Mitigation Measures The measures for sedimentation consist of the following: During construction: • Avoid depositing excess soil from cuts near bodies of water. • All soil stockpiles need to be revegetated to prevent erosion. 5.2.3.3 Water Resources (Surface and Ground Water) and Quality Road rehabilitation activities will involve crossing of water barriers, burial of structures, and the need for water intake for production and drinking purposes. Water crossings during normal opera- tions will be associated with water pollution by suspended solids, possibly litter and material resi- dues (possibly fuel and lubricant stains from heavy machinery) and disturbance of the soil and veg- etation cover of the riparian area. Work in the riparian zone will be governed by the regulations for work in water protection zones and strips. Dust suppression, material moisturization and quarry operations will also require water for technical needs. 132 Water volumes and water intake locations will be determined at the early project implementation stage based on the detailed design. To organize water intake, it is necessary to obtain approval from the executive body. The volume of water intake should not negatively affect the water balance of the river. Water for domestic needs during operation of the contractor's camps will be brought from water pipelines of the nearest settlements or treated in the treatment facilities of the contractor's camps. Drinking water quality and water intake for drinking needs (if necessary) shall comply with the re- quirements of the Sanitary Rules ‘Sanitary and Epidemiological Requirements for water sources, places of water intake for household and drinking purposes, household and drinking water supply and places of cultural and domestic water use and safety of water bodies’, approved by the order of the Minister of National Economy of the Republic of Kazakhstan from 16 March 2015 №209. Water for drinking needs will be delivered bottled water of appropriate quality. Efficient water use is the main environmental protection measure. The depth of groundwater dis- posal varies from road section to road section. If surface water levels rise, the works may affect the quality of surface water. Impacts on the hydrogeological environment will be associated with the burial of structures, boring and piling, etc. The structure of the hydrogeological layer will be me- chanically altered. Impacts will be insignificant. Impacts on water resources during construction are assessed as moderate/moderate risk. Monitor- ing is required.  Potential Impact The expected possible sources of impact on surface and groundwater resources are as follows: Depletion of water during construction: • Withdrawal or abstraction of surface and groundwater for construction work and domestic purposes; Water Quality Issues during construction: • Improper site selection and improper management of solid and liquid waste from labour sheds; • Petroleum products and chemicals should be stored properly to avoid spillage and dis- charges into the environment. Prevent spills when re-fueling trucks and equipment. • Sewage from the construction work camps (toilets and washing facilities) and from drainage from cooking activities. • Liquid effluents will also arise from washing of construction equipment and vehicles; and • Inappropriate storage of construction waste, material storage that will lead to water quality impacts.  Impact Assessment Contamination of surface waters, particularly in rivers, can occur during construction of bridges and pavement over bridge structures with spills from bitumen, construction materials and petroleum products from heavy equipment and trucks. If the work camps are too close to the river, the risk of contamination from dischargers from the camps will be high; hence, a good distance between work camps and bodies of surface water should be maintained. In the same manner, groundwater is at risk of being contaminated by discharge from the camp if it is not contained or treated prior to discharge. Likewise, asphalt plants, cement plants and crushing plants will have discharges and spills that can contaminate groundwater. 133 Point discharges in worksites, camps and auxiliary facilities are localized. During the operations phase, vehicular accidents could cause localized spills along the A17. Hence overall, considering the long stretch of the road, the impact will be “Minor” and the risk is “Moderate” over the entire en- vironmental and social aspects.  Mitigation Measures The mitigating measures are to be as follows: Water resource conservation: • Come up with a water resource conservation program. Prior to starting civil works, Con- tractor will prepare, consult on, and submit site-specific Water Resources Management Plan. The Plan shall be reviewed and approved by Construction Supervision Consultant and PIU’s ES staff. • Ensure that abstraction of water for construction does not affect existing supplies for com- munities. Water Quality Protection: • Provide buffer and ensure that debris and petroleum products do not get into the water. • At fuel storage and refueling stations: Store fuels and re-fuel trucks and equipment properly to avoid spills. • Ensure availability of spill clean-up materials (e.g., absorbent pads, etc.) specifically de- signed for petroleum products and other hazardous substances where such materials are being stored; Spillage, if any, will be immediately cleared with utmost caution to leave no traces, Spillage waste will be disposed at approved disposal sites. • Wastewater from workers’ camps should be discharged in the septic tanks or waste treat- ment plant. • Use portable toilets in the worksites along the road. Accumulated septage in any portable toilets should be hauled septic tanks or waste treatment plant. • Silt contaminated washing water should be stored in containers to allow silt to settle. 5.2.3.4 Air Quality Road construction is associated with various works, including establishment of contractor camps, warehouses, quarrying, transport, operation of mini plants, etc. Emissions of pollutants into the environment will be associated with the transport and dumping of soil, operation of special ma- chines, machinery and equipment, etc. A large amount of dust will be emitted into the atmospheric air during earth works (such as levelling, planning, loading and unloading works) vehicle traffic on unpaved roads, quarry development, etc. Workshops for maintenance of special equipment (welding works, compressor, milling, painting works, etc. ), road laying works and infrastructure (bitumoavarka, diesel generator) will be the source of emissions of more than 20 pollutants into the atmosphere of different hazard categories (nitrogen oxides, soot, sulphur dioxide, hydrogen sulphide, carbon oxide, hydrocarbons, propane, benz/a/pyrene, white spirit, iron oxides, manganese and its compounds, fluoride compounds, di- methylbenzene, butyl acetate, alkanes, acetone, etc.). Machinery and transport will be a source of SO2, NOx, CO2, CO, PM 2.5 and PM10, of which NOx and CO2 are greenhouse gases.  Potential Impact During construction: 134 • From dust of earthworks such as levelling, grading, excavation works and movement of vehicles across dirt/unpaved roads and temporary access roads. • Debris and dust from construction of different infrastructures, and loading/ unloading of construction materials. • Exhaust emissions of SO2, NOx, CO2, CO, PM2.5 and PM10 from auxiliary facilities (asphalt plant, cement plant, crushers, others), construction equipment, trucks and other vehicles, during construction work.  Impact Assessment During summertime the area is arid and can experience extreme heat with limited precipitation. Hence, the risk for exacerbating issues on air quality, particularly dust is elevated. Because of this condition, though, in a lot of areas, the settlements villages are at considerable distances (except in areas near Karagandy City) the impact to workers and villages in summer months can moderate and localized due to vast extent of the construction site (and minimal in other seasons) and the risk “Substantial”. The following are the identified projected impacts on the air quality of the receiving environment: • Acute increase in levels of total suspended particulate matter (dust), SOx, NOx and CO); • Increase in incidences of upper respiratory diseases due to elevated levels of pollutants in the works areas and nearby settlement areas; • Increased incidences of accidents due to low visibility during dusty conditions in the work areas; • Nuisance to residents near haul roads due to increased traffic in the area.  Mitigation Measures The following mitigating measures are to be established by the contractor during the construction phase: • Before any civil works start, the Contractor will obtain measurements of air quality of their worksite to serve as baseline air parameters. The contractor will also prepare, consult upon, and disclose site-specific Air Quality Management Plan. The Plan shall be reviewed and ap- proved by Construction Supervision Engineer/Consultant and PIU’s ES staff. • Prohibiting open burning of solid wastes (plastic, paper, organic matters). • The contractor will be required to cover materials with tarpaulin or other suitable materials while in transit to avoid spillage of materials. • Earthen roads, particularly roads near residences and through the urban area, will be mois- tened during dry and dusty conditions. • Speed limits will be imposed on construction vehicles. • The contractor shall ensure that enough dust-suppression machinery is available, especially during dry seasons and regularly dust suppression activities are performed on exposed soil areas in the construction site (nearby settlements, borrow areas, access roads, camp roads). • Construction equipment and vehicles will be regularly maintained to control air emissions during vehicle operation. • The contractor will be required to regular watering of surrounding exposed soil. • The contractor will be required to cover temporary soil stockpiles, materials with tarpaulin or other suitable materials while in transit to avoid spillage of materials. • Provision of respirators/masks and personal protective equipment (PPE) construction work- ers to minimize inhalation of respirable suspended particulate matters. • Usage of Liquefied Petroleum Gas (LPG) or kerosene as fuel source in construction camps instead of wood. Tree cutting for fuel wood will be restricted. 135 • Installation of exhaust chimneys with adequate stack height for diesel generating sets. • Usage of diesel with low Sulphur for generator sets as well as other machineries. • Performance of periodic air quality monitoring during construction stage, and when com- plaints regarding air nuisance will be communicated. Should the monitored parameters be above the prescribed limit, suitable control measures will be applied. 5.2.3.5 Noise  Potential Impact During the construction phase, noise is expected trucks, heavy machinery, and auxiliary facilities when being operated. The generated noises are largely localized in active worksites and designated areas for auxiliary facilities. The normal traffic during operations will also generate noise propor- tional to the traffic volume.  Impact Assessment During the construction phase of road, noise level could be increased in active construction sites due to the usage of heavy equipment and truck traffic. Poor maintenance of equipment may cause very high noise levels. Likewise, incorrect loading, unloading, excavation and hauling techniques may lead to increased noise levels. In addition, the areas where auxiliary facilities will be set up will continuously generate noise when in operation. When the road, will be fully in use, vehicular traffic will generate noise and will increase with the volume of vehicles. Considering the location of noise generators to the villages, the impacts is considered “Minor” and the risk “Low”.  Mitigation Measures The measures to ensure that noise does adversely not affect the surrounding communities and wild- life include: • Prior to the start of any civil work, the Contractor will obtain measurements of noise level of the site to serve as baseline parameters, prepare and implement site-specific Noise Pollu- tion Management Plan. • Ambient noise levels should not exceed the prescribed limits at the worksite and to be con- trolled by the Contractor. • Temporary construction facilities such as labor camps, vehicle maintenance workshops and earth-moving equipment will be as far as possible from settlements and other sensitive ar- eas. • Silencers will be installed in construction equipment and machinery and maintained properly. • Protection devices such as ear plugs/ or earmuffs will be provided to the workers during the period of operating high noise generating machines. • Noise levels will be regularly measured to ensure the effectiveness of mitigation measures. • Construction activities, particularly operation of noise generating equipment, will be limited to the daytime between 0600H to 1800H only to avoid disturbance to nearby communities at night. Only in extreme instances will work beyond these hours be allowed. • Noise suppression devices will be installed in noise generating equipment. • Drivers will be required to minimize blowing of horns and to comply with speed limits. 136 5.2.3.6 Wastes Generation (domestic/construction solid hazardous/non-hazardous waste, wastewater) Activities on road construction, functioning of factories, maintenance of machinery and equipment and other production processes, as well as the provision of human life are accompanied by the for- mation of production and consumption wastes, hazardous (residues of paint and varnish products, contaminated containers, oily rags, lamps, batteries, etc.) and non-hazardous (municipal waste, construction waste, packaging residues, burned electrodes, structures, etc.). All wastes are classi- fied in accordance with the legislation of the Republic of Kazakhstan, stored under certain condi- tions and in designated places and removed by special (licensed) organizations for further disposal. A Waste Management Plan will be developed for all works and facilities. Discharge of waste to land and water bodies is prohibited. Domestic wastewater is generated by human activity, collected in special containers and transported to the nearest sewage treatment plant. Discharge of wastewater on the relief and into water bodies is prohibited. The following legislations need to be considered in dealing with solid waste management: • Waste Classifier of the Republic of Kazakhstan No. 314 dated 6.08.2021. - The generated waste will be separately collected in labelled containers with the name and hazard level, in a specially designated place with hard impermeable cover for waste accumulation in accord- ance with item 1 of Art. 320 EC RK. before their transfer to third-party specialized organiza- tions within the established terms according to the requirements of p.1, p.2, art. 320 of the EKR for further operations with them, including processing, recycling, disposal and burial. • Waste management and arrangement of the place for waste accumulation will be carried out taking into account the requirements of the Sanitary Rules "Sanitary and Epidemiological Requirements for the collection, use, application, neutralization, transportation, storage and disposal of production and consumption waste No. KR DSM-331/2020, approved by the Or- der of the Minister of Health of the Republic of Kazakhstan dated 25.12.2020. • Low-toxic and non-toxic construction materials will be used during construction to optimize construction processes and other activities leading to a reduction in waste generation and hazard. If necessary and possible, scrap metal scraps, leftover construction materials, con- tainers of construction materials, wood materials, etc. can be subsequently used as recep- tacles and containers, etc. (329 EC RK). • All wastes, including their generation and subsequent operations with them, will be tracked and controlled from the moment of their removal from the site until final acceptance at the site by a specialized waste management contractor (Art. 347 EC RK). The required mitigation measures for construction waste shall be considered by the Contructor and subcontractor as part of the C-ESMP (i.e. Construction Material and Waste Management Plan): • Scrap metal. Collected in marked containers at a specially equipped place and, as it accumu- lates, will be transferred to specialized organizations on a contractual basis. • Food waste. Collected in sealed marked containers with lids and transferred to specialized organizations. The period of waste storage in containers at the temperature of 0оС and be- low - not more than three days, at plus temperature - not more than a day. • Municipal waste is collected at the places of generation in marked containers and as it accu- mulates will be transferred to specialized organizations on a contractual basis. 137 • Paint and varnish materials residues will be collected in special containers and transferred to specialized organizations on a contractual basis as they are generated. • Construction waste will be collected in marked containers at a specially equipped place and will be transferred to specialized organizations on a contractual basis as it accumulates. • Used asphalt will be mixed with construction materials and reused for road construction. • Waste disposal (accumulation of more than 6 months) and waste burial is not foreseen. Sep- arate waste storage in sealed special containers with appropriate labelling will minimize the impact of waste on the environment. • Waste collection containers will be equipped with lids or coverable nets to prevent wind blowing, overfilling and precipitation. This measure will also limit the access of animals to the waste. • Waste removal and its transfer to third party organizations will be carried out by specialized transport (trailers with a crane-manipulator, truck with a covered body, truck with an iso- thermal body, truck with a manipulator for loading/unloading bunkers, etc.). • In compliance with the RK environmental legislation, the impact on the environment of the production infrastructure will be minimized. For Solid Waste: • Prior to start of civil works, Contractors should prepare a site-specific Waste Management Plan (as part of the C-ESMP) to avoid and minimize the generation of solid waste, approved by the CSC. • Waste materials should be segregated for ease of recycling and to maintain high economic value to the recyclers. • Contractors should provide sufficient containers/bins for solid waste generated. • Ordinary solid waste generated should be contracted for collection by the operating collec- tors in the area for disposal. For Inert Construction Waste: • Construction waste can be recycled to be handed over to recyclers. Usable materials can be given to the villages for their usage. For Hazardous Waste: • Materials should be handled carefully to avoid spills or discharges to the environment. • Storage procedure should conform to material data sheet. • Residues can be used for other purposes or given to the villages for their use. • Unused residues should be brought to approved facilities within the city or district town for proper disposal For Wastewater: • Wastewater sewers in any workers’ camps should be connected to the septic tanks or wastewater treatment plants. • Accumulated septage in any portable toilets for workers should be hauled to septic tanks or wastewater treatment plant. • Silt contaminated water should be stored in containers to allow silt to settle and the clarified water stored for reuse. 138 5.2.4 E&S risks and impacts relating to Community Health and Safety (ESS 4) 5.2.4.1 Community Health and Safety  Potential Impact During the construction phase, the communities or villages connected to the A17 road may be ex- posed to the health and safety risks from increased vehicular/ truck/ heavy equipment movements in the area, general road construction works, open excavation, erection of bridges, operation of auxiliary facilities, and usage of temporary access roads/detours. The works zones or critical areas, e.g., specific work sites for on-going/active works such as bridge construction, road sections, areas of excavation, steep embankments, areas exposed to natural hazards like flooding and slope col- lapse, areas for auxiliary facilities with machinery and heavy equipment, etc., are potential hazards to local folks and animals. In addition, the construction may introduce other safety issues in the community such as those pertaining to safety of structures, impacts on health and welfare, expo- sure to hazardous materials as also outlined in WB ESS 4.  Impact Assessment Work zones and critical areas with structures, machinery, chemicals, etc. pose hazards to local peo- ple, farm animals and even to wildlife. If people and animals can gain easy access to these areas and are unaware of the dangers, the risks of accidents can be “substantial”. However, currently as prac- tically the construction strip is along the same alignment necessitating road closure during construc- tion and the bypasses are more distant to human habitations, the impacts can be characterized as “minor”. Considering that a good stretch of the road are also farmlands and pasturelands, impact to to the community could be moderate. As mitigation and to prevent accidents the Contractor is to ensure that: • Prior to starting civil works, Contractor to develop and implement site-specific Road Safety and Traffic Management Plan in line with national road safety standards guide- lines during civil works. • Trucks, heavy equipment and other vehicles are maintained in a safe operating condition. • All drivers and machinery operators act responsibly. • All loads are to be secured and all loads with fugitive materials (e.g., excavated soil and sand) are to be covered with tarpaulins. • Any excavations at the site will be secured properly to avoid vehicular accidents. • Contractor to develop a work zone safety management strategy for the adjacent com- munities as part of Community Health and Safety Plan. • Installation of safety fencing, cordon and signages in critical spots along A17 and appro- priate speed limits and other necessary road safety and traffic management arrange- ments (barriers, fencing, signage; open excavation areas, trenches shall be restricted from public access). • Requiring suppliers that delivery vehicles transporting construction materials are main- tained in a safe operating condition, loads are to be secured and all loads with fugitive materials (e.g., excavated soil and sand) are to be covered with tarpaulins. • Contractor to ensure safety of community in any introduced structures, operation of machinery, equipment and vehicles, usage of hazardous materials and substances, etc., by proper cordoning, fencing, sheltering, signages, etc. to alert the local population of the potential hazards and dangers. 139 5.2.5 E&S risks and impacts relating to ESS 5 5.2.5.1 Land Acquisition, Resettlements on Land Use and Involuntary Resettlement With regards to land acquisition, the project is not expected to generate significant impacts. As per the RAP, in Karagandy Region the project affects 58 agricultural lands and 6 commercial lands, ma- jority of which are state owned. In Ulytau Region, the affected properties consist of 97 agricultural lands and 10 commercial lands, which are mixed legally acquired and state owned along with two land properties with businesses. There will be 153 PAPs adversely affected by the project. Most of them will lose part of their land and a few will lose some buildings in which they operate some business activities. The RAP sets out guidelines for prompt, fair compensation, and proper evalua- tion in line with the ESS5. No significant resettlement impacts are envisaged. The project may re- quire relocation of two business facilities operated by private owners. No households fall under the national poverty thresholds along the road corridor based on the so- cio-economic survey held during the ESIA development. However, further assessment on vulnera- bility, including project-induced vulnerability, particularly amongst people with underlying comor- bidities, people with disability, children who may use the existing road, need to be properly assessed during the updating of the ESIA and ESMP as well as during the preparation of C-ESMPs. The findings in the RAP for Karagandy Region show that there 58 agricultural lands and 6 commercial lands, majority of which are state owned. In Ulytau Region, the affected properties consist of 97 agricultural lands and 10 commercial lands, which are mixed legally acquired and state owned. There are two land properties earmarked for land acquisition with businesses located at approxi- mately km 946. One is where a small café “Daria” is located and the other is where gas station, mini market, car wash and café is operating with 3 registered owners. 5.2.5.2 Access Restrictions on Land Use  Potential Impact During construction phase, the general road construction will affect existing traffic. Local roads to villages will also be affected; thus, restricting access to private properties, public facilities, etc. Some detour roads will be inconvenient local as well as through traffic. Generally, these impacts affect properties and people’s access to their properties.  Impact Assessment During construction, there will be temporary impairment of access along the stretch of A17 and local access to villages and towns connected to A17. The impact of the construction on access is short-term and can be considered “Moderate”. Since the current traffic is light, in terms of risk it can be “Moderate” as the construction will entail certain delays. 140  Mitigation Measures: • The contractor will prepare and submit to the KAZh (as part also of ESS4), a Traffic Man- agement Plan (as part of the Construction C-ESMP) detailing diversions and manage- ment measures to be established during the civil works. Proper maintenance is neces- sary to ensure continuous unimpeded access of people to their properties. • For temporary detour, the Contractor to negotiate and seek permission from owner as obtain necessary local permits for detour. Detour roads should be maintained by the Contractor and reinstated to acceptable conditions after usage. • Provision of adequate protection to the public traffic near the work site, including ad- vance notice of commencement of works, installing safety barriers if required by the local executive powers. • Provisions of temporary access to private properties and proper protection and siting of construction sites (i.e., trenches, borrow pits, temporary material storage, etc.) to min- imize public safety risks. 5.2.6 E&S Risks and Impacts Related to ESS 6 5.2.6.1 Flora and Fauna The ESIA study included a comprehensive analysis on Saiga Tatarica habitats and their migration routes, protected areas, presence of endangered species. The studies were jointly conducted and consulted with public organizations, NGOs and other relevant stakeholders with interest and pro- fessional expertise in biodiversity. The biodiversity assessment conducted as part of the ESIA study did not identify significant risks and adverse impacts on biodiversity. It is envisaged that the project can meet the requirements of standards that relates to critical habitat in Paragraph 24 as well as Paragraphs 26-27 of ESS6. The findings of the assessment along with the mitigation measures are described in a Biodiversity Management Plan (BMP), a standalone document prepared as part of the ESMP.  Potential Impact The general construction activities and establishment and operations of auxiliary facilities will affect the extant floral and faunal species. Clearing ang grubbing will entail felling of trees and removal of indigenous plants which serve as food and habitats of faunal species. Noise will disturb nesting and roosting activities of fauna. Contamination and pollution of the environment may lead to decima- tion of both floral and faunal species in the affected areas. Based on the biodiversity assessment, the specific impacts are due to the following activities: A. For Flora: • Movement of construction equipment • Workers' activities • Demolition of green trees According to the green space inspection reports, the number of trees and shrubs will be cut down is summarized in the Table 23 below: 141 Table 33: Number of Trees and Shrubs to be cut down along the Alignment Species com- Number of trees cut position of Deforestation area, ha down, pcs. green spaces Section 833-883 km (833-851 km) Bush 16,876 Section 851-883 km Bush 15,783 Section 783-795 km Poplar 69 Elm 127 Bush 17239 Bush 16,876 Elm 3386 Poplar 3806 Bush 397 701 Reed 2640 Section 733-783 km (1 start km 755-783) Elm 1439 Bush 5002 Section 683-733 km (2nd start km 707-733) Elm 1400 Bush 300 Section 683-733 (1 launch 683-707) Elm 1200 Bush 600 Total 55,437 31,306 B. For Fauna Birds (Aves) • Demolition of green trees • Power lines • Lighting for construction sites and camps Reptiles (Reptilia) • Construction work (all) • Creation of temporary technological ditches and pits Mammals (Mammalia) • Road operation Fishes (Pisces) and Amphibians (Amphibia) • Water intake from rivers • Construction technological processes •  Impact Assessment The expected impacts on flora and fauna by the construction activities will as follows: • Clearing and grubbing will result to felling of trees, and other indigenous plants that are along the construction corridors; • The removal of vegetation affects food supplies, nesting and habitats of faunal species. 142 • Special concern will be impact on migration routes of Saiga that crosses the A17 and which primarily occur in autumn season. Construction activities will deter the migration and thus pose risk to survivability of the Saiga • Noise generated at the construction sites and auxiliary facilities may disturb of drive away avian species and some faunal species in the area. The impact of the construction on flora can be short-term as the species can be regenerated and thus, can be considered “Moderate”. For the fauna, after restorations of food supplies and habitats, the faunal species can continue to thrive; thus, can be considered to be “Moderate”. Noise disturb- ances are also short-term and can be minor. Overall, the impact to flora and fauna can be “Moder- ate” and the risk as well can be “Moderate”. For Biodiversity, the project activities, including construction and future road use, have the potential to significantly impact the identified flora and fauna within the project area: • Construction Phase: Habitat destruction, soil disturbance, and noise pollution associ- ated with construction activities can directly impact both flora and fauna. For example, clearing land for road construction can disrupt habitats and displace wildlife species. • Road Use: Increased road traffic can lead to habitat fragmentation, roadkill incidents involving wildlife, and heightened disturbance to sensitive species. Additionally, illegal activities such as poaching may increase due to improved accessibility to remote areas.  Mitigation Measures: For Flora: • The Contractor shall strictly follow the requirements and measures of the BMP. • Cutting of trees will be undertaken as per approved design and only upon approval of relevant authorities. The cutting of trees will be avoided as much as possible and dam- age to native vegetation minimized. • Whenever possible, trees will be balled and transplanted and supported until they sur- vive. Trees that have to be cut down will be replaced by at least ten (10) saplings. • Landscaping and planting of trees/vegetation will be implemented at the sites as per design. For Fauna: • Prohibition for workers to trap wildlife. • Construction activities should not disturb habitats and be scheduled to avoid nesting or roosting seasons. • Food and water supplies should be protected by the contractors from contamination and pollution. For Biodiversity: • Habitat Restoration: Implementing measures to restore habitats disrupted during con- struction, such as reforestation or replanting of native vegetation. • Wildlife Crossings: Incorporating wildlife crossings, such as underpasses or overpasses, into road design to facilitate safe passage for wildlife and reduce roadkill incidents. This are included in the civil works designed for the project. • Community Engagement: Engaging local communities in conservation efforts and rais- ing awareness about the importance of protecting local flora and fauna. Detailed measures are outlined in the Table below. 143 Table 34: Biodiversity Conservation Measures Kind of activity Mitigation measures Flora Movement of construction - Eliminate unauthorized passage of equipment through virgin lands, ensure equipment passage along specially designated field roads with strict adherence to the work schedule - Eliminate the spilling of fuels and lubricants and building materials at the con- struction site - Moistening of dusty surfaces of roads and warehouses of PSP and building materials Workers' activities - Prohibition of burning dry grass - Prohibition of collecting wild berries and mushrooms Demolition of green trees According to paragraph 52 of the Rules for the maintenance and protection of green spaces, improvement of the territory of cities and settlements of the Kara- gandy region, approved by the Decision of the X session of the Karagandy mas- likhat dated September 29, 2017 No. 222 - Upon receipt of permission to cut down trees, compensatory planting of restored trees is carried out tenfold at the expense of citizens and legal entities in whose interests the logging was car- ried out. Fauna Birds (Aves) Demolition of green trees - Carry out the demolition of tree plantings strictly before the settlement of nesting colonies by birds (rooks, raptors) - before the start of the nesting pe- riod. Avoid tree removal from April to August. - To replace the demolished 13 nests of birds of prey, install artificial nests at a safe distance from the construction site (500 meters from the road, but not less than 3-5 km from each other) in a 3-fold equivalent - for each demolished nest, 3 artificial nests. - Informing workers about the presence of breeding grounds for rare and en- dangered bird species on road sections. Power lines - Use of power line construction with suspended insulation. This type of fas- tening of insulators helps to increase the distance between current-carrying and grounded structural elements, which significantly reduces the risk of elec- tric shock to birds of different size groups. - The use of self-supporting insulated wire (SIP), covered with a special polymer sheath, provides the most reliable protection for birds when operating power lines. - To protect overhead insulators of power lines, it is recommended to use pol- ymer protective caps. The protective cap is used to protect the surface of the garland of power line insulators from contamination by bird droppings, paint- ing work, precipitation and mechanical impact. The use of protective caps made in the form of a wide cone made of composite materials increases the service life of the garland of pendant insulators and prevents emergency power outages by reducing the risk of short circuits. - The use of special bird-proof polymer insulators helps reduce the bird hazard of the structure. Lighting for construction sites Using strictly directional lighting on objects that need illumination and avoiding and camps the use of lamps that provide omnidirectional lighting, including “upwards”, which creates “stray illumination”. The use of specialized lenses for lighting fixtures that promote maximum light scattering over the entire surface. • The use of LED lamps for external lighting of the main designed objects. • Using infrared motion sensors to control lighting. • Usage "ground" lighting sources near office and residential buildings. It is recommended to develop a schedule for turning off “extra” lighting sources during the periods of spring and autumn bird migrations. The schedule should be 144 Kind of activity Mitigation measures based on the shutdown of those sources outdoor lighting that is not strictly nec- essary during the construction and operation of main facilities and related infra- structure - for example, architectural lighting fixtures for buildings, decorative lamps, festive illumination, etc. Reptiles (Reptilia) Construction work (all) - The work schedule must be coordinated in accordance with the breeding sea- son of reptiles - April-May. Creation of temporary techno- - If it is necessary to create temporary technological ditches, it is necessary to logical ditches and pits inspect them daily, removing reptiles that have fallen into them and transfer- ring them to a safe place Mammals (Mammalia) Road operation - Flat/smoothed side slope of the embankment – The slope of the embankment will be changed to a flatter slope of approximately 1:6 to even 1:10 (compared to a normal 1:4 roadway embankment) to facilitate the movement of wildlife - Mesh fencing – For large sections of the road, mesh fencing will be installed on both sides, except for animal crossings (saiga), the distance between which is approximately 2 km. Reinforced mesh barriers should be installed along the edges of passages. - Road signs – Signage, as part of management measures, should be installed at the start of animal crossings to alert motorists to crossing areas. Signage should consist of: (i) warning signs in Kazakh and Russian with the words “CAUTION! Possible crossing of wild animals! Be careful! (ii) Signs for crossing the saiga road, speed limit not exceeding 60 km/h and prohibition to the sound of horns, as this may shock the animals and cause panic and chaotic scattering Fishes (Pisces) and Amphibians (Amphibia) Water intake from rivers - Installation of fish protection devices - When choosing a water intake site, the following conditions should be con- sidered: 1. Do not place the water intake in areas of spawning grounds or wintering pits; 2. Limit water intake in feeding areas of juveniles and on their migration routes; 3. Limitation of water intake during twilight and night time. Construction technological pro- - Prohibition of washing equipment in water protection zones and river strips cesses - A ban on refueling fuels and lubricants, preventing spills during construction work. - Organization of timely removal of solid waste from construction crews. - Construction of temporary household premises outside water protection zones and strips - Prohibition of draining wastewater into riverbeds 5.2.6.2 Biodiversity and Protected Areas in the project area The road passes through declared two clusters of Andasai State Nature Sanctuary. It is essential that the “environmental requirements” as well as prohibitions of SPNA for land users (in this case the project players – KAZh & Contractors) be met as itemized in the previous section20.  Potential Impact Within the project's scope, the design and construction may generate potential impacts on biodi- versity of the project areas: 20 See section: 3.3.4.3 Andasai State Nature Zoological Sanctuary 145 • the project is located within the migration range of the southern part of the range of the Betpak-dala population of saiga, as well as argali, golden eagles, steppe eagle, im- perial eagle, bustard, little bustard. Argali species (Ovis ammon), golden eagle (Aqyila chrysaet os), steppe eagle (Aquila nipalensis) are included in the Red Book of the Repub- lic of Kazakhstan. Also, the saiga and argali species are included in the list of the Inter- national Union for Conservation of Nature (IUCN) with the status: - Saiga tatarica – NT (Near Threatened) - Argali (Ovis ammon) – NT (Near Threatened) • Expansion of the territory of the Andasai Sanctuary clusters within the A17 road – this introduces a number of restrictions to human activities and consequently to road con- struction.  Impact Assessment • Removal of natural habitats and their possible degradation - The habitats along the construction road are in areas of medium importance for wild animals. Those certain parts are transition corridors for wild (saiga) and domestic animals (cattle and small an- imals) are considered with areas of high importance. Since these areas are also generally subjected to anthropogenic influence, i.e., near villages and/or are pasture lands, wild- life tends to avoid them. Nevertheless, the presence of rare species of flora and fauna and Andasai sanctuary clusters along the road increases the risk associated with habitat degradation. Considering all the above facts, further seizure of territories for local pop- ulations of wild animals may be significant, but not so high. • Habitat fragmentation - Habitat fragmentation, the artificial delimitation of natural habitats through the construction of road for example, not only result in a reduction in the number of habitats (and therefore a reduction in biodiversity), but also to the isola- tion of the remaining fragments, which increases the risk of species extinction. This also causes the emergence and spread of eurytopic species that easily adapt to various eco- logical niches. Habitat fragmentation especially affects small or cautious mammal spe- cies, which lose the ability to move to adjacent territories during the breeding season. This risk can be assessed as low, since the removal of habitats itself will lead to the mi- gration of many species to adjacent territories. • Injury from collisions with objects - This risk concerns birds (waterfowl and semi- aquatic birds) to a greater extent as tall structures (e.g., power lines that will be relo- cated or built) pose a threat to nocturnal migrants due to conditions of poor visibility or in rainy weather with limited visibility. The risk of injury is increased by the fact that the work will be located in areas of bird migration routes (according to the migration route map). The risk of injury and death to animals can be defined as medium. • Exposure to constant lighting (light pollution) - To a greater extent this risk concerns birds as the construction sites and auxiliary facilities use lighting masts with lanterns for illuminations. The impacts can be described as two-fold: (i) Outside of migration seasons - constant and intense light pollution over large areas attracts many flying invertebrates, creating a rich food supply for insectivorous animals (hedgehogs, lizards, birds). (ii) Dur- ing the migration period - constant light sources of the yellow-red spectrum at night disorient nocturnal migrants This disrupts the natural course of migration, sometimes leading to serious consequences. The level of risk from light pollution requires further study, but at the present stage it can be assessed as low. • Death of wild animals on paved roads - Paved roads, especially highways, pose strong risk factor to many animals as they serve as an attraction for wildlife for several reasons: 146 (i) This are hunting grounds for birds and mammals for insects, amphibians and reptiles that bask there. (ii) Roads can also simply cross animal migration routes - in this case – saiga, argali, roe deer, which are animals with a large radius of individual activity. Such animals are most susceptible to death on roads during the period of migration associ- ated with reproduction. In some cases, collisions with motor vehicles most often kill young larks, attracted by the abundance of insects on the heated asphalt, as well as some birds of prey and corvids that pick up recently hit invertebrates and vertebrates on the road surface with no time to escape from fast-moving traffic. Among the mam- mals living in the territory, the risk group includes ground squirrels, jerboas, foxes, jack- als, and hedgehogs. Though assessed to low risk, with an increase in highway speed (up to 120 km/h), the risk of death on the road will proportionately increase. • Disturbance factor, noise pollution - Noise pollution from road construction repel and scares away animals away thereby decreasing the density of animals within production areas, which in positive sense minimizes the negative consequences of conflicts of in- terests between people and wildlife. However, considering that the auxiliary facilities and the road itself are located in an unurbanized area with high ecological significance for nesting rare birds, this risk can be assessed as high. • Electric shock on overhead power lines - Overhead power lines (OPL), which will be installed or relocated along the project road, are a pronounced and relatively well-stud- ied risk factor for birds. With faulty design of support, traverse, types of insulators and wires used; electric current voltage; territorial and biotopic location of OPL; orientation of the OPL relative to the routes of mass migrations of birds, etc., can lead to electric shock to birds when they come into contact with bare wires and grounded metal ele- ments of supports and traverses. This may occur as a result of contact with the body or nest-building material carried by the bird. Accordingly, the risk level is assessed as me- dium • New infrastructure and communications facilities – The introduction of new infrastruc- tures and facilities impede free movement creates a significant obstacle, thus forcing animals to develop new routes for daily movement, or leave their habitat territory that has become unsuitable. The impacts on the various animal groups are as follows: - For the birds - inevitable noise disturbance factor within a radius of about 1 km from the work sites. - For reptiles – destruction of habitats and egg laying in areas of direct quarrying, and pos- sibly imminent death to young animals. - Mammals - Representatives of a large group of rodents will be most susceptible to op- pression during highway construction. The development of trenches and dumps will en- tail the destruction of rodent burrows and will lead to disruption of their usual habitats. - Ichthyofauna – (i) disturbance factor - disturbance of the watercourse will be created directly in the riverbed. Construction equipment will generate noise and vibration and has a deterrent effect on fish. Pelagic fish, due to disturbances, will leave the discomfort zone. Bottom-dwelling fish species, will be more affected as their movement is limited. Thus, leading to reduction of both pelagic and benthic ichthyofauna. (ii) Transport of pollutants - can be a spill and wind or storm transport of fuel and lubricants and other pollutants from construction equipment and materials into the reservoir. Petroleum products can have a direct effect on fish through contact with the integument, gills and gastrointestinal tract, and indirectly through deterioration of the gas and hydro-chemical regime of the reservoir, degradation of the food supply. (iii) Destruction of the coastline and bottom of the reservoir – Destruction leads primarily to an increase in the turbidity 147 of the watercourse, destruction of coastal vegetation, disruption of the bottom bioceno- sis, and, as a consequence, disruption of trophic connections, possible spawning areas of fish are destroyed, death and suppression of plankton in the work, siltation of the site may occur below the construction site alignment. (iv) Water intake from the riverbed for technical needs and drainage - in the absence of a fish protection device and the death of fish in water intake structures. WB ESS 6 highlights meeting certain criteria with respect to “critical habitats” for projects such as no other viable alternatives within the region exist; compliance with national and international laws and not result to net reduction, or degradation of biodiversity nor of the critical species. In addition, any activities undertaken are consistent with the area’s legal protection status and management objectives (e.g. Andasai Sanctuaries obligations and prohibitions). This risk level for the above is assessed as medium.  Mitigation Measures: • Construction camps for workers, life activities of workers - Storage of waste in strictly designated and regulated areas - Ensure that wild animals do not meet household garbage and other waste that may pose a risk to their livelihoods. It is recommended to prevent animals from using various types of waste (especially plastic, oily rags, packaging materials used with chemicals, etc.) to build homes and nests. This event will reduce the level of “food dependence” of wild animals on objects of anthropogenic origin in the project area. For this it is recom- mended: - Use of specialized containers for solid waste, equipped with tight-fitting lids. - The use of specialized lockable containers for the collection and storage of industrial waste, incl. oiled rags. - Waste must be removed by specialized enterprises and placed only in specialized land- fills. - Prohibition of draining wastewater onto terrain and water bodies - Installation of dry toilets for workers. • Atmospheric pollution from stationary and mobile sources - It is necessary to achieve minimum volumes of inorganic dust emissions through abun- dant irrigation of field roads and dumps, especially during the dry period. - Provide hard surfaces to main roads. - Develop and implement safety systems when working with fuels and lubricants. • Workers' activities - It is recommended to develop internal regulations (internal regulations) to regulate the activities of personnel to reduce the impact on flora and fauna. The rules should include:  Information about the breeding places and habitats of rare species of flora and fauna  Measures to limit disturbance factors during the breeding and growing sea- sons of rare species  Restrictions on employee visits to bird habitats and rare species of flora and fauna during the seasons of their greatest environmental sensitivity. 148  Limiting personnel contact with nests and eggs, as well as actions that frighten birds.  Limiting the speed limit in nesting areas of rare bird species during seasons of environmental sensitivity.  Prohibition on travel in unauthorized places.  Information about the main and used field roads.  Compliance with design decisions when using temporary roads.  Measures to control noise and dust.  Information on using an effective outdoor lighting schedule during bird mi- gration periods.  Recommendations for handling household garbage and other waste.  Prohibition of all types of hunting and pursuit of animals.  Ban on feeding wild animals.  Measures taken in case of violation of these rules. • Requirements to be followed by Contractors at the extended clusters of the Andasai Sanc- tuary (please also refer to the BMP, Annex 5): - Land users’ obligations:  Apply production technologies corresponding to sanitary and ecological re- quirements, not to allow causing damage to the environment, deterioration of sanitary-epidemiological, radiation and ecological situation;  Comply with construction, environmental, sanitary-hygienic and other special requirements (norms, rules, regulations);  Prevent pollution, littering, degradation and deterioration of soil fertility;  Not to allow burial (storage) of any types of waste (industrial, construction, household) outside the specially designated places;  Transport chemical and other hazardous materials only in special containers that prevent their release into the natural environment;  Conduct mandatory briefing of all employees of landowners and land users on observance of environmental requirements and legislation on specially protected natural territories, with a signature on its passing in a special jour- nal;  Carry out enhanced control of fire safety;  Carry out plastering along the perimeter of Land plots, with regular renewal of mineralized strip (on industrial Land plots - also plastering of sanitary-pro- tective and other zones, allocated in accordance with the current legislation of the Republic of Kazakhstan);  In case of causing damage to the objects of the state natural reserve fund on the territory of SPNA, carry out compensatory measures in the necessary vol- umes established by the state nature protection organizations, in coordina- tion with the administration of SPNA;  Provide unimpeded access of employees of the PA administration, state ser- vice of wildlife protection and state inspectors of environmental protection to the territory of land plots for control over compliance with environmental legislation and environmental requirements. - Land users’ prohibitions: 149  Extraction of wildlife, harvesting (cutting, uprooting) of saxaul, destruction of vegetation and other actions that worsen the living conditions of animals, de- struction and damage to dwellings and nests of animals, collection of eggs, removal of rare and endangered species of animals listed in the Red Book of the Republic of Kazakhstan.  Movement of motor vehicles outside the road network;  Extraction of minerals (solid, liquid and gaseous), construction materials (sand, clay, etc.) on the territory of the PA, creation of quarries without prior agreement with the administration of the PA;  Storage of industrial and household waste outside of specially designated places that prevent the spread of waste (wind, precipitation), the location and equipment of such places must be agreed with the administration of the pro- tected area;  Discharge of liquid wastes and other pollutants outside the specially desig- nated areas, preventing the entry of pollutants into the environment (soil, water sources). 5.2.7 E&S Risks and Impacts Related to ESS 8 – Cultural Heritage  Origin of Impact and Assessment Archaeological and cultural sites are protected under the relevant legislations of the Republic of Kazakhstan. While there are no known archaeological or cultural sites within the project corridor boundaries, during works, it is possible that “chance discoveries” may be made. The contractor will be responsible for these finds and is to immediately stop work where the discovery has been made and advise the KAZh and implement “chance find”. The KAZh will arrange to have the site evaluated. Depending on the evaluation of the discovery, the contractor will be advised whether it is possible to resume work on the site. This will be the responsibility of the contractor. Considering that the presence of historical and archeological is remote, this can make the impact level minor and the risk “Minor”. Nevertheless, 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 of- ficials contacted, and works activities delayed or modified to account for such finds. Contractor in- cludes “Chance Finds” procedures as part of the Contractor’s C-ESMP and implement in case of chance finds/discoveries. The Chance Find Procedure typically involves the following steps (please refer to Annex XXX for Chance Finds Procedure): • Stop Work: When a chance find is made, work in the immediate area should be stopped to prevent any further disturbance to the find. • Notify Authorities: The relevant authorities, such as local heritage agencies or archaeolo- gists, should be notified immediately. They will assess the findings and determine the appro- priate course of action. • Documentation and Protection: The findings should be documented through photographs, sketches, and written descriptions. If necessary, the find should be protected from further damage or disturbance. • Evaluation: Experts will evaluate the find to determine its significance and whether further investigation or excavation is warranted. 150 • Decision-making: Based on the evaluation, a decision will be made regarding the next steps, which may include preservation in situ, excavation, or other measures to mitigate the impact on the find. • Reporting: A report detailing the find, its significance, and the actions taken should be pre- pared for the relevant authorities and stakeholders 5.3 Impacts and Risks during Demolition Phase  Potential Impacts During the demolition phase, the main activities that would potentially cause impacts in the previ- ous sites of auxiliary facilities (Borrow Pits / Quarries, plants and camps) are: (i) Removal of structures (ii) Clearing and cleaning up Under the TRACE project Subcomponent 1.1 and 1.2, the following potential risks and impacts are envisaged during the demolition phase for the auxiliary facilities. Table 35: Assessment of Impacts and Risks during Demolition Phase Nature of im- ESS Issues/ Impacts/Aspects pact Positive Likelihood Impact Risk or Negative ESS1 Need for Assessment of ES Impacts and Negative Likely Minoe Low Risk for the demolition phase Labour Influx and Working Conditions Negative None Occupational Health and Safety Hazard Negative Likely Minor Low ESS2 Gender Based Violence (GBV) Negative UnLikely Minor Low Social Conflict Negative Unlikely Employment Generation and Livelihood Positive Likely Moderate Moderate ESS3 Land Resources (Soil Quality) Negative Likely Moderate Low Sediment Quality Negative Likely Minor Low Water Resources (Surface and Ground Negative Likely Minor Low Water) and Quality Impact on Air Quality Negative Unlikely Minor Low Impact on Noise Quality Negative Likely Moderate Moderate Waste Management Negative Likely Moderate Moderate ESS4 Community Health and Safety Negative Likely Moderate Moderate ESS5 Land Acquisition, Resettlements Negative None Constrained Access Negative None ESS6 Flora Negative Likely Moderate Moderate Fauna Negative Likely Moderate Moderate Protected Areas & Biodiversity Negative Unlikely Minor Low ESS8 Cultural Heritage Negative Unlikely Minor Low Table 36: Potential Impacts/Risks during Demolition Phase with Measures Issues/ Im- ESS Impacts and Risks Measures pacts/Aspects Environmental The demolition phase will introduce so- Revisit ESIA and re-formulate ESMP consistent and Social Assess- cial and environmental risks and im- with WB ESSs and national requirements for ESS1 ment pacts that need to be identified and as- the operations and Maintenance. Reinstate- sessedempl ment plan must be reviewed and revised as necessary 151 Issues/ Im- ESS Impacts and Risks Measures pacts/Aspects Occupational The demolition work would use materi- Mitigate impacts due to exposure of workers ESS2 Health and Safety als and equipment which may be haz- to occupational hazards and issues Hazard ardous to workers Equip workers with sufficient PPE. Terrain disturb- In the demolition phase, soil will be dis- Terrain should be graded to conform with sur- ance and Soil turbed by various demolition work. roundings. Contamination Contaminants can be discharged into Prevent and eliminate any contaminants from the soil the site Water Quality Potential impacts to water bodies and During demolition, discharges to water bodies even groundwater resources or even to soil should be prevented or cleaned ESS3 up immediately when they occur. Impact on Noise Noise from equipment will be elevated Put sufficient signages for control of noise and Quality and can disturb wildlife speed limits In certain seasons, the migration of Saiga will be disrupted Waste Generation Demolition work can generate solid and Solid and liquid waste should be managed as liquid waste per approved plan ESS4 Community Demolition work will generate safety Install sufficient safety signages in decommis- Health and Safety concerns on communities sioned auxiliary facilities ESS6 Flora and Fauna Noise during demolition will affect Put sufficient signages for control of noise and fauna speed limits Contamination at the sites of auxiliary Prevent contamination facilities by the demolition work may affect Flora and Fauna 5.4 Potential Impacts and Risks during Maintenance/Operations Phase  Potential Impacts During the maintenance phase, the main activities that would potentially cause impacts on A17 are: (iii) Usage of Road by Vehicles for transport of people and goods; (iv) Road Repairs and Maintenance Under the TRACE project, the following potential risks and impacts are envisaged. The analysis was calibrated with the previous experiences on road projects in the country. Table 37: Assessment of Impacts and Risks during Operations and Maintenance Nature of im- ESS Issues/ Impacts/Aspects pact Positive Likelihood Impact Risk or Negative ESS1 Need for Assessment of ES Impacts and Negative Likely Moderate Moderate Risk for the Operations and Mainte- nance Phaes Labour Influx and Working Conditions Negative None Occupational Health and Safety Hazard Negative Likely Moderate Low ESS2 Gender Based Violence (GBV) Negative Likely Minor Low Social Conflict Negative Unlikely Employment Generation and Livelihood Positive Likely Moderate Moderate ESS3 Land Resources (Soil Quality) Negative Unlikely Minor Low Sediment Quality Negative Unlikely Minor Low Water Resources (Surface and Ground Negative Likely Minor Low Water) and Quality Impact on Air Quality Negative Likely Minor Low Impact on Noise Quality Negative Likely Moderate Moderate 152 Nature of im- ESS Issues/ Impacts/Aspects pact Positive Likelihood Impact Risk or Negative Waste Management Negative Likely Moderate Moderate ESS4 Community Health and Safety Negative Likely Moderate Moderate ESS5 Land Acquisition, Resettlements Negative None Constrained Access Negative None ESS6 Flora Negative Unlikely Minor Low Fauna Negative Likely Moderate Moderate Protected Areas & Biodiversity Negative Likely Moderate Moderate ESS8 Cultural Heritage Negative Unlikely Minor Low Table 38: Potential Impacts/Risks during Operations and Maintenance Phase with Measures Issues/ Im- ESS Impacts and Risks Measures pacts/Aspects Environmental The operations and maintenance Revisit ESIA and re-formulate ESMP consistent and Social Assess- (O&M) will introduce social and envi- with WB ESSs and national requirements for ESS1 ment ronmental risks and impacts that need the operations and Maintenance. to be identified and assessed Occupational The O&M work would employ use of Mitigate impacts due to exposure of workers Health and Safety materials and equipment which may be to occupational hazards and issues ESS2 Hazard hazardous to workers Equip workers with sufficient PPE. Provide Traffic Safety Management during op- erations Erosion and sedi- Throughout the operations, soil erosion All embankments need to be revegetated to mentation from the embankment side without prevent erosion. Other erosion control or co- erosion protection and contaminating vers should be installed in lieu of vegetative co- the nearby water body through runoff vers. Water Quality Vehicular accidents along A17 may oc- In case of accidents with spills, concerned cur and result into spills of fuels on the agencies should be equipped with clean-up road and to adjacent vicinities equipment and materials to immediately re- move petroleum product spill-age from the ac- ESS3 cident sites. Impact on Noise Noise from vehicles will be elevated Put sufficient signages for control of noise and Quality and can disturb wildlife; speed limits In certain seasons, the migration of Saiga will be disrupted Waste Generation People using the road may resort to Put signages prohibiting littering on the road throwing away garbage along the road Install garbage bins along to the road to be col- corridor lected regularly by maintenance unit for A17 ESS4 Community Elevated traffic will pose safety Risks to Install sufficient traffic and safety signages Health and Safety local population along the road during O&M O&M work will generate safety con- cerns on communities ESS6 Fauna Noise and pollution to Fauna will be in- Put sufficient signages for control of noise and troduced by the traffic speed limits Come up with regulation against contamina- tion and pollution along the road with suffi- cient enforcement mechanism Migration of species (Saiga) Maintain gentle side slope of the embankment Maintain Mesh fencing at wildlife crossings– Maintain Road signs Protected Areas Noise and pollution to protected areas Put sufficient signages for control of noise and & Biodiversity will be introduced by the traffic speed limits Come up with regulation against contamina- tion and pollution along the road with suffi- cient enforcement mechanism 153 Issues/ Im- ESS Impacts and Risks Measures pacts/Aspects During operations, obligations and prohibitions for Andasai Sanctuary should be observed 6 ANALYSIS OF ALTERNATIVES The ESIA study included analysis on alternatives based on technical, economic, financial, environ- mental, and social considerations to minimize adverse impacts on the local people, community, and their environment. Alternatives were compared in terms of potential environmental and social im- pacts; expected capital and recurrent costs for mitigation and/or management of impacts, viability and public safety, economic and social benefits of each option, and social acceptability. The analysis of alternative alignment and engineering measures was considered to avoid and/or minimize potential impacts (such as land acquisition impacts). The analysis considered comparison work undertaken for the feasibility stage. With regards to the project of four-laning the A17 from Jezqazgan to Karagandy as well as construc- tion of 40 km access roads and bridges, the analysis of alternatives considered the following aspects: • potential environmental and social impacts; • expected capital and recurrent costs for mitigation and/or management of impacts (includ- ing training and monitoring aspects), • technical viability • public safety; • economic and social benefits of each option, and • social acceptability. Table 39: Comparison of “Without” and “With” the Project Primary Aspect Sub-Aspect Condition “Without-Project” Condition “With-Project” - Old 2 lanes will be reconstructed; 2 - Current 2-lanes will be new lanes will be constructed Viability of up- maintained - Interchanges will be provided in Technical grading road in- - Bridges will be having nor- busy junctions and intersections frastructure mal maintenance repairs - Better road and design to maintain safe speed for vehicles - Job opportunities to local residents - Tourisms will develop - Local economy is con- - New industries will mushroom and strained by current infra- develop. economic and structure Economic - Current industries will thrive social benefits - Stagnant or stunted growth - Regional and national economy will due to current accessibility improve since the road will im- condition prove traffic of goods and people in the regional and national level - Considerable cost for civil works and land acquisition necessitating - Cost to the government will borrowing capital from interna- be for usual maintenance Financial Expenditures tional financial institutions and repairs of roads and - Cost of maintenance will be lower bridges - Potential to attract PPP for opera- tions and maintenance 154 Primary Aspect Sub-Aspect Condition “Without-Project” Condition “With-Project” - Construction activities will traduce short term impacts to the environ- ment, e.g., terrain modification for the new lanes, certain damages to - Presence of usual impacts existing terrestrial flora, construc- to environment, primarily tion-based emissions and dis- emissions and noise due to charges, etc. Environmental and traffic. Environment - During operations, higher traffic social considerations; - With increasing traffic, such due to higher capacities will have impacts will increase higher emissions and noise genera- - Difficulty in patrolling and tion enforcement - Better public safety and environ- mental enforcement due to better access. - - Impact on social environment (road accident, possibility of some social conflict, community health and - Current social situation will safety) caused by the construction occur work and operation of Road. Social - Development will be con- - Better transport infrastructure and strained by current accessibility to people. transport infrastructure - People will have speedier and more comfortable access to social ser- vices - Land acquisition will impact activi- ties of current land occupants, but - Land acquisition and reset- Resettlement compensation and other envisaged tlement would not occur. benefits will be provided to the af- fected people. - Issues on safety due to cur- - Safer road infrastructure as the rent road conditions road will be of better standard (up- - No measures for the safety grading from Cat. II to Cat. I-b) Public Safety of migrating faunal species - With safety provisions to migrating - Limited safety signages for faunal species and livestock cross- livestock crossings ings - New construction is being wel- Social accepta- - “No new construction” comed as indicated in focus group bility. seems to be tolerated discussions The Feasibility Study (FS) also came up with options for their analysis as described below. • First option (road on one roadbed): This option provides for one roadbed with 4 lanes, two in each direction to be reconstructed along the existing road with modification of horizontal curve radii as per current standard. During construction, temporary bypass roads, parallel to the reconstructed route, will be provide for public transport. • Second option (road on a separate roadbed): A separate routing of the roadbed will be pro- vided for opposite traffic directions with the installation of turning areas. This will result in two independent highways, which is safer for traffic due to the complete elimination of the glare of the headlights of oncoming cars and the absence of the likelihood of oncoming col- lisions. During reconstruction, a separate roadbed as a bypass road may be required thereby increasing the area of land allocated for the highway, volume of earthworks, volume of work during the construction of artificial structures, etc. This is the preferred option in the feasi- bility study, which is the scheme for the project road for the ESIA. 155 • The third option is the “Without the Project” scenario. The First and Second Options are shown below. Figure 29: Options Developed in the Feasibility Study Another option will be rehabilitation of the entire A17 but maintaining a 2-lane road with some improvements of local roads. This option will entail also certain disturbance to the physical and ecological environment as well as short-term environmental and social disturbances. Land acquisi- tion and resettlement will not occur or be minimal as the road will be within the current alignment. Also, no intersections or interchanges will be provided, and traffic and congestion may occur at certain junctions near the 2 cities. Safety concerns will not be addressed as the current road align- ments will be maintained. Other options that can be considered will be the introduction of certain factors of features in the road construction such as siting, design options, and potential use of construction approaches, which are briefly presented blow: • Siting – Location factors for the road may also entail entertaining potential road alignment options to avoid, minimize, mitigate or compensate impacts with due regard to economy and practical workability. Also, siting of auxiliary facilities or combining for example, quar- ries and crusher plants or integrating with concrete batching plant and asphalt can result better economics of scale and operations. Also, the environmental and social impacts can be minimized with such centralized facilities, thereby preventing, and avoiding impacts in critical areas, as compared to isolated auxiliary facilities. • Design options – primarily under the purview of the design engineers, should go beyond traditional design into more creative use of available materials to avoid or minimize im- portation, which can be more costly and redound to more environmental and social im- pacts. • Potential use of Construction Approaches – Contractors and designers may have prefer- ences to usual approaches in construction or other road features. However, innovative approaches can be introduced such as “nature-based solution” or “bioengineering” can be entertained. In the broad analysis of potential options, decision-makers should be guided also by an overall “least impact” option for potential combinations component options while rating of parameters such as environmental, social, economics, institutional, etc. 156 Based on the above presented options, the “With the Project” condition and with a separate road bed (FS Second Option) is more beneficial and contributive to the regional and the country’s pro- gress and development. The other considerations such as siting, design options, and the use of other construction approaches were incorporated in the initial designs. 7 DESIGN MEASURES Under the Project, the World Bank Group Environmental, Health, and Safety Guidelines (EHSGs) need to be followed by Client during the implementation. The design and construction practices are technical reference documents with general and industry-specific examples of Good International Industry Practice (GIIP) and are referred to in the World Bank’s Environmental and Social Frame- work. In these documents are the performance levels and measures that are normally acceptable to the World Bank Group, and that are generally considered to be achievable in new facilities at reasonable costs by existing technology. These will have to be incorporated by the detailed design and supervi- sion consultants for the project. Such general EHSGs contain information on cross-cutting environ- mental, health, and safety issues potentially applicable to road sectors as follows: 1. Environmental • Air Emissions and Ambient Air Quality • Energy Conservation • Wastewater and Ambient Water Quality • Water Conservation • Hazardous Materials Management • Waste Management • Noise • Contaminated Land 2. Occupational Health and Safety • General Facility Design and Operation • Communication and Training • Physical Hazards • Chemical Hazards • Biological Hazards • Radiological Hazards • Personal Protective Equipment (PPE) • Special Hazard Environments • Monitoring 3. Community Health and Safety • Water Quality and Availability • Structural Safety of Project Infrastructure • Life and Fire Safety (L&FS) • Traffic Safety • Transport of Hazardous Materials • Disease Prevention • Emergency Preparedness and Response 157 4. Construction and Decommissioning • Environment • Occupational Health and Safety • Community Health and Safety The EHSGs provisions are included in the ESMP. Contractor’s ESMP should also incorporate them for general compliance by project actors or participants. The above design engineers, with familiarity with international design practices, are cognizant with the above requirements to be incorporated not only in the design but in the technical specifications as well, covering provisions of OHS and EHSGs. As also mentioned by KAZh, the designers were cog- nizant of the snow-melt flooding and thus provided sufficient provisions in raising road levels be- yond maximum flood level; thus, having adequate factor of safety against climate change. In addi- tion, the design of wildlife crossing to allow safer passage for saiga and other wildlife can be consid- ered as tangible additional “design measures” that appropriately respond to environmental and ecological needs of the project. 158 8 ENVIRONMENTAL AND SOCIAL MANAGEMENT PLAN As per ESS1- Annex 1 par. 5, an Environmental and Social Management Plan (ESMP) is an instrument that details (a) the measures to be taken during the implementation and operation of a project to eliminate or offset adverse environmental and social impacts, or to reduce them to acceptable lev- els; and (b) the actions needed to implement these measures. ESS1- Annex 1 par. 14 also states that the (ESMP) consists of the set of mitigation, monitoring, and institutional measures to be taken during implementation and operation of a project to eliminate adverse environmental and social risks and impacts, offset them, or reduce them to acceptable levels. It also includes the measures and actions needed to implement these measures. The ESMP shall form part of the Bidding Docu- ments and subsequently be included in the Construction Civil Works Contract and be part of the Contractors’ obligation. Compliance shall be ensured by KAZh/PIU with the assistance of CSC. Following ESS1 and with linkages to other ESSs, an environmental and social risk and impact assess- ment was done based on existing information and field verification site inspection. Information to be obtained in the Feasibility Study and Detailed Engineering Design shall be used to update the ESMP before project tendering. The current ESMP has been devised to ensure proper response with the identified project impacts, which may arise during the construction and operation phase of the project road. Prior to the construction, the KAZh with the assistance of the Construction Supervision Consultant will do the following for the Project Road: • Establish baseline information on the existing environmental conditions and parameters for the specific road project; • Develop an environmental auditing protocol for the construction period as well as a detailed monitoring and management plan; • Provide guidance and formulate a report outline that will be used by the Contractor as a guide in the preparation of monthly environmental progress reports; and • Undertake regular and periodic monitoring of Contractor’s implementation of the mitigation measures during the construction stage, consistent with the monitoring program, and sub- mit to KAZh monthly monitoring reports. Special separate reports should be prepared in the event a significant environment related incident will arise. The KAZh will provide the WB a summary of the monitoring results on a quarterly basis. In addition, environmental and social management activities should form part of the Internal Mon- itoring System in accordance with the WB ESF-ESSs. The purpose of such a system is to track pro- gress of as well as changes in civil work activities as well as monitor effects and impact of the road construction and rehabilitation on the households and communities along the road. The KAZh will be responsible for the establishment of the monitoring system with the assistance of the Construc- tion Supervision Consultant and Contractor, whose scope will be specified in the terms of reference for the work contract. The current ESIA/ESMP will be included in the design, build, and maintenance contracts. Based on the final detailed designs, the ESIA/ESMP will be updated by the KAZh. The selected Contactor shall prepare site-specific Contractor’s ESMPs (C-ESMP) that shall be consulted on and approved by the Construction Supervision Consultant (CSC) and PIU’s E&S staff. 159 8.1 Environmental and Social Management Plan The table 42 shows the Environmental and Social Risks and Impacts and Mitigation Measures for the Jezqazgan – Karagandy road reconstruction on various stages – preconstruction, construction, and operation. These show mitigation activities, methods, and project agencies’ responsibility for im- plementation and monitoring of mitigation measures. Table 40: Environment and Social Risks and Impacts and Mitigation Measures for Sub-Component 1.1 and 1.2: Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Design and pre-construction phase - Waste management Soil, Water ESSs Decisions made in the Pre- Sites for the disposal of large volumes waste must be KAZH Monthly Manifest Part of Quality 1, 2, Construction Stage determined in the Pre-construction Stage. Specific records, Designer’s Contaminati 3, 4, regarding the sites and contract provisions ensure that construction camps contractor and Scope/Budget on 10 conditions (or lack of and other potential sources of secondary impacts are CSC reports, Avoidance conditions) imposed on properly sited and provided with drainage and site (Contractor’ waste generating aspects wastewater facilities. The following provisions are investigation s Camp) of the Project such as stipulated about: construction camps, and Construction Camp Wastewater Disposal and Site the disposal of solid waste Drainage Systems. The following conditions must apply generated by the Project and form part of the Technical Specifications: will have a significant effect • Explanations of Proposed Site Drainage Systems. on the impacts of the Locations likely to be subject to water quality Project. impacts or significant runoff (construction camps, staging areas, etc.) and an explanation of the proposed site drainage system must be indicated in subsequent C-ESMPs (after the Detailed Design). • Wastewater. Wastewater arising on the site must be collected, removed from the site via a suitable and properly designed temporary drainage system and disposed of at a location and in a manner that will cause neither pollution nor nuisance. The site plan required by C-ESMPs must indicate the system 160 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures proposed and the locations of related facilities in the site, including latrines, holding areas, etc. There must be no direct discharge of sanitary or wash water to surface water. Disposal of materials such as, but not limited to, lubricating oil and onto the ground or water bodies shall be prohibited. Liquid material storage containment areas must not drain directly to surface water. Liquid material storage containment areas equipped with drains must be valved, and the valve must be maintained locked in the closed position with supervisory control of the key. Lubricating and fuel oil spills must be cleaned up immediately and spill clean-up materials must be maintained at the storage area. • Drainage. The site plan must be devised to ensure that rain run-off from the construction sites is not deposited directly into any watercourse, stream, or canal and shall indicate the system proposed, including the locations of retention ponds and other facilities. There must be no direct discharge of sanitary wastewater, wash water, chemicals, spoil, waste oil or solid waste to surface water bodies. Fuel, lubricating oil and chemical spills must be contained and cleaned-up immediately. Accumulated cleaned-up material should be transported to appropriate and approved treatment facility for toxic and hazardous waste. Spill clean-up equipment must be maintained on site. • Locations of Fueling Operations and Liquid and Hazardous Material Storage Areas. The site plans must specify the locations for the storage of liquid materials and hazardous materials. The following 161 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures conditions to avoid adverse impacts due to improper fuel and chemical storage. • Fueling operations shall occur only within containment areas. • All fuel and chemical storage (if any) must be sited on an impervious base within a bund and secured by fencing. The storage area must be located away from any watercourse or wetlands. The base and bund walls must be impermeable and of sufficient capacity to contain 110 percent of the volume of tanks. • Filling and refueling must be strictly controlled and subject to formal procedures and will take place within areas surrounded by bunds to contain spills / leaks of potentially contaminating liquids. • All valves and trigger guns must be resistant to unauthorized interference and vandalism and be turned off and securely locked when not in use. • The contents of any tank or drum must be clearly marked. Measures shall be taken to ensure that no contaminated discharges enter any drain or watercourses. • Disposal of lubricating oil and other potentially hazardous liquids onto the ground or water bodies must be prohibited. • If accidental spills occur immediate clean-up must be undertaken, and all clean-up materials stored in a secure area for disposal to a site authorized to dispose of hazardous waste. • Locations relative to watercourses. The site plans must be devised to ensure that, insofar as possible, all temporary construction facilities must be 162 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures located at least 50 meters away from a water course, stream, or canal. Design and pre-construction phase - Transportation of Construction Materials and Wastes Routes for ESSs During the Pre-construction To minimize impacts to communities and natural KAZH Monthly Traffic Part of Transport 1, 2, phase, specifying locations, surroundings: Management Designer’s 3, 4, manner of transporting • Local road and community regulations should Plan reports, Scope/Budget 10 materials into the be adhered to when using local routes for manifest worksites – The design transport purposes for the project records engineer should establish (Subcomponent 1.1 and 1.2). clear guidelines for • Community consultations on the Traffic transporting construction Management Plans. materials Flooding – Drainage – Proper To ensure safe and functional drainage works, KAZH Monthly Contractor and Part of Drainage drainage design is consideration in the design phase will be given to CSC reports, Designer’s (Depressed important to maintain the the issue of drainage and culverts to ensure that site Scope/Budget spots) structural integrity of the drainage patterns are improved from the existing investigations road, and this would mean conditions and that increased run-off does not adaptable to worsening occur or result in flooding of areas previously weather condition. undisturbed. Flooding ESS1, Insufficient assessment of Hydrologic Study to be done as part of detailed KAZH During Detailed Part of 2, 4. climate change impacts design work– detailed study on the impacts of climate design designs, CSC Designer’s lead to undersized change to hydrology, capacity of waterway finalization reports (on Scope/Budget waterways and drainage infrastructure, flood elevations and drainage works. and prior technical works and which can result to audits) to localize flooding. approvals Service ESS1, Bridge Construction – Bridge To ensure safe and functional works: KAZH During Detailed Part of Quality – at 2, 4 structural design should be • The bridge rehabilitation and strengthening design designs, CSC Designer’s Bridge Sites made to provide sufficient works must be designed and constructed ac- finalization reports (on Scope/Budget service life. cording to the RoK construction norms СН РК and prior technical 3.03-12-2013. to audits) approvals 163 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • The design loading and design of all structural components must conform to the bridge de- sign standards provided in the Employer’s Special Requirements. • Finally, the bridge design and layout must be aesthetically pleasing and in harmony with the existing environment. Construction phase - Topography and Soils Materials ESS Impacts to sites for To mitigate potential risks and impacts to and/or those KAZH Monthly Site inspections Part of Sources 1,2, 3, resources such as gravel resulting from the area's geologic characteristics and Designer’s (Approved 4, 10 and suitable soil other resources, the Project must: Scope/Budget selected quarried/ excavated • Should the Contractor, decide to operate his own material materials will occur due to materials sources (quarries and borrow pits), adopt sources) extraction or exploitation contract provision specifying that the contractor of material sites and should present plan for the exploitation and transportation of materials reinstatement and obtain all necessary permits to the job site. pertaining to the operations of such materials sources (site-specific Site Preparation Plan, Borrow Pit Management Plan) • Adopt contract provisions specifying that only licensed facilities (quarries and borrow pits) in compliance with all applicable regulations and industry standards will be used as the sources of quarried materials. The contract documents must state that selection of the quarries requires the review and written approval of the Construction Supervision Consultant (CSC) to ensure that avoidable adverse impacts are minimized. • Adopt Contract provision requiring the Contractor to come up with material extraction plan that minimizes wastage and promote conservation of resources. 164 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • The use of materials from old pavement should be assessed and when proven to useful should be processed and reused in the pavement mixture. Construction phase - Noise and vibration Noise ESSs Noise Generation – work To minimize Noise: KAZH Monthly Site Part of Avoidance 1, 2, area will be the primary • Guidelines should be specified in Technical investigation, Designer’s prior to 3, 4, sources of noise Specification contractor and Scope/Budget Constructio 10 • Provide specifications for baseline measurement CSC reports n for Air Quality to be done by the Contractor in (Populated approved locations by the Supervision Consultant; along the and project • Contractor to prepare site-specific Noise road) Management Plan as part of the ESMP. Construction phase - Hydrology and water resources Water ESS1, Surface water To eliminate threat of surface water pollution: KAZH Monthly Contractor and Part of Quality – 3, 4, contamination: The • Prevent inappropriate siting inappropriate CSC reports, Designer’s surface and Contractor’s work siting of Contractor’s facilities (Contractor’s site Scope/Budget water 10 activities and facilities are Camp, equipment yard, asphalt and concrete investigations contaminat the primary source of batching plants, quarry/borrow pits), the ion contamination. Discharges Technical Specifications on siting them should (Contractor directly into the water or be prepared properly. ’s facility indirectly onto the ground • Prevent inappropriate siting of construction sites) that will finally find their equipment washing area, to prevent pathways into the river will discharge of generated from washing be the causes of wastewater to the nearby waster bodies or contamination. water channels. • Baseline measurement for Water Quality should be done by the Contractor in locations specified by the CS Consultant. • Contractor should provide layout plans for installation of or strategies for treatment for wastewater from his facilities. 165 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Construction phase – Materials Sources Materials ESSs Environmental and Social • Prior to opening of any quarry or rock crushing KAZH Monthly Permits and Part of Sources 1, 2, Impacts associated with facility, the Contractor will require approval from licences to Contractor’s (Approved 3, 4, use quarry materials and the relevant Agencies and the CSC to ensure that operate Scope/Budge quarry and 5, 10 borrow pits landowners are adequately compensated for land auxiliary t borrow use and that the sites are not located in an area facilities. sites) likely to cause significant detriment to the local Borrow pit and environment. quarry • Ministry of Ecology and Natural Resource (MENR of management RoK) provides licenses and permissions for the op- plan reports, eration of plants and use of material sources. site • Contractor and subcontractor to follow Borrow Pit investigation, Management Plan requirements from start to CSC reports finish. No quarries/borrow pits shall be operated without a site-specific Plan. Quarry development in protected areas is prohibited. • Extraction of minerals (solid, liquid and gaseous), construction materials (sand, clay, etc.) on the territory of the Andasai Sanctuary, creation of quarries without prior agreement with the administration of the Andasai Sanctuary is prohibited as per the Passport of the Andasai Sanctuary (please refer to annex 2 of the Biodiversity Management Plan (BMP)). Contractors/subcontractors shall ensure the following requirements are met and included in the Borrow Pit Management Plans and that quarries and crusher plants are: • Located at least 300 meters from any residential/settlement area and any sensitive 166 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures receptors (i.e., religious sites, schools, public bazaars, etc.) to prevent noise and dust impacts. • Located outside of agricultural land; and • Where possible, located these facilities in government owned lands. • Quarry and borrow pit area should be reinstated after the completion of the quarry use. • Initial state of the quarry area shall be documented for future reference during quarry reinstatement activities. If additional quarries are required after the beginning of the construction, an environmental permit shall be obtained from authorities, and a reinstatement (re- cultivation) plan shall be prepared by the contractor as per the RoK environmental laws and regulations. Hauling ESS1, Physical environmental Prior to commencement of construction, the actual Part of Routes 2, 3, Impacts associated with state of all haul routes (existing and planned) should Contractor’s (Routes 4, 10 haul route is expected, be assessed and photographed. Where required, Scope/Budge used) especially for placement of appropriately sited haul roads should be constructed t construction materials and and used to minimize soil compaction and loss of equipment agricultural land. The Contractor should be required to return all temporarily used haul roads/construction traffic routes to their original state. In cases where hauling roads pass through intensively used pastureland, protective animal fences need to be set up along such roads to prevent collisions with local livestock. Handling of ESS1, Contamination due to Spills As part of the site-specific Hazardous Material and KAZH Monthly Contractor and Part of Hazardous 2, 3, or Hazardous Materials – Waste Management Plan, the Contractor shall ensure CSC reports, Contractor’s Materials 4, 10 Improper handling of that: routine site Scope/Budge hazardous materials can inspections, t cause them to drop onto MSDSs. 167 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures (Camp or at the ground which can An agreement with the accredited company for waste fuel refilling result to soil transportation and disposal is in place. areas) contamination. Contractor to ensure putting fuel tanks, generators, hazardous waste containers, etc. on lipped concrete or other impervious platforms. • All fuel and chemical storage (if any) shall be contained and sited on an impervious base within bund and secured by fencing. The storage area shall be located away from any watercourse or wetlands. The base and bund walls shall be impermeable and of sufficient capacity to contain 110 percent of the volume of tanks. • The construction camp maintenance yard shall be constructed on impervious Layer with adequate drainage to collect spills; there shall be no vehicle maintenance activities on open ground. • Filling and refueling shall be strictly controlled and subject to formal procedures. Drip pans/trays shall be placed under all filling and fueling areas. Waste oils shall be stored and disposed of by a licensed contractor. • The contents of any tank or drum shall be clearly marked. Measures shall be taken to ensure that no contaminated discharges enter any soils. • No bitumen drums or containers, full or used, shall be stored on open ground. They shall only be stored on impervious Layer. • Areas using bitumen shall be constructed on impervious Layer to prevent seepage of oils into the soils. 168 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Ensure proper collection, treatment, and disposal of any soil accidently contaminated by oily or chemical waste. • Ensure that fire stations are available nearby and properly outfitted. Construction phase- Air quality Management Air Quality – ESS1, Generation of Dust – Spots • Before any civil works start, the Contractor will KAZH Daily, Contractor and Part of Dust 2, 3, cleared of vegetation, obtain measurements of air quality of their especially CSC reports, Contractor’s (Project and 4, 10 hauled embankments, worksite to serve as baseline air parameters. The during dry site Scope/Budge access excavations are exposed contractor will also prepare and implement site- seasons investigations t roads) and in dry season will be specific Air Quality Management Plan. The Plan sources of dust in the area shall be reviewed and approved by Construction On a and become an issue to the Supervision Consultant and PIU’s ES staff. regular environment and to the • Under the site-specific Air Quality Management basis local population. Plan, relevant measures to suppress dust are ensured; Contractor shall be watering of unpaved haulage and transport routes regularly as needed, particularly during the dry seasons. The Contractor shall ensure that the following dust suppression measures shall be instituted: • All trucks used for transporting materials to and from the site will be covered with canvas tarpau- lins, or other acceptable type cover (which shall be properly secured) to prevent debris and/or materi- als from falling from or being blown off the vehi- cle(s). • Areas of reclamation shall be completed, including final compaction, as quickly as possible consistent with good practice to limit the creation of wind- blown dust. 169 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Hard surfaces will be required in areas with regular movements of vehicles. Air Quality – ESS Emissions from dust of Under the site-specific Air Quality Management Plan, KAZH Monthly Contractor and Part of Emissions 1,2,3 earthworks such as all machinery and vehicles must be in good technical CSC reports, Contractor’s (project and and 4, levelling, grading, conditions. air quality Scope/Budget access 10 excavation works and • Use of modern technology and equipment with control instru- roads) movement of vehicles minimal emissions of pollutants. mental across dirt/unpaved roads • PPE measure-ments and temporary access • Taking into account adverse conditions as part of the roads. monitoring. Debris and dust from construction of different infrastructures, and loading/ unloading of construction materials. Air Quality – ESS Air quality impacts from Initial Air Quality measurements shall be undertaken KAZH Monthly Contractor and Part of Stationary 1,2,3 stationary sources – before commencement of construction works in the CSC reports, Contractor’s Sources and 4 Stationary sources like areas agreed with the Supervision Engineer Air quality Scope/Budget (Contractor’ asphalt and cement Locations for quarry sites, borrow pits, asphalt and control s Facilities batching plants will concrete batching plants must be approved by the instrumental and Plants) generate emissions which Engineer and relevant agencies during the measurements are unusual in the area and Preconstruction phase. as part of the degrade the pristine quality monitoring. of air in the surroundings. Facilities, including asphalt, concrete plants, crushing plants, warehouses, petrol stations, etc. have their own sanitary protection zones (SPZ), which should be adjusted by special calculations on the spread of pollutants in the surface layer of the atmosphere due to climatic conditions (wind, temperature and background pollution) in the developing area. 170 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures background pollution) in the developed as part of the design documentation (i.e., EIA and Section on the environmental protection). • Obtaining environmental permits to operate the plants. • Use of gas and dust filters • Plants should be located as far away as possible from populated areas, rivers and protected areas. • Develop an emergency response plan • Moisturization of materials • Dust suppression • Prioritze the use of environmentally friendly materials • Temporary hangars may be organized for repair work • Use of quality fuel • Development of technological schemes for carrying out works with minimal impact on the environment Efforts should be made to ensure that these facilities are as near to the Project Road as practical to avoid unnecessary trips and potential dust issues from vehicle movements during construction works. In addition, no quarry, borrow pit or asphalt plant shall be located within 300 meters of any residential/settlement area, protected area or sensitive receptor. (Indicative Cost: Part of Contractor’s Scope/Budget) 171 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Air Quality – ESS Exhaust emissions from the The Contractor shall ensure construction equipment is KAZH Monthly Contractor and Part of Exhaust 1,2,3 operation of construction maintained to a good standard and fitted with CSC monitoring Contractor’s Emissions and 4 machinery – the operation pollution control devices. reports, site Scope/Budget (Camp and of machinery generate investigations Work Sites) emissions that can harm Contractor shall also ensure that no furnaces, boilers the ecosystem and result in or other similar plant or equipment using any fuel that illnesses to local may produce air pollutants will be installed without population. prior written consent of the Supervision Engineer. Exhaust emissions of SO2, The equipment (including the pollution control NOx, CO2, CO, PM2.5 and devices) will be checked at regular intervals by the PM10 from auxiliary supervision engineer to ensure they are maintained in facilities (asphalt plant, working order and the inspection result will be cement plant, crushers, recorded by the Contractor & Engineer as part of others), construction environmental monitoring. In addition, the Contractor equipment, trucks and shall: other vehicles, during • Discourage of the idling of engines. construction work. • Prohibit of the use of equipment and machinery that causes excessive pollution (i.e., visible smoke) at project work sites. • Ensure material stockpiles are located in sheltered areas and be covered with tarpaulins or other such suitable covering to prevent material becoming airborne. Waste ESS1,2 Open burning of waste The Contractor shall ensure no burning of debris or KAZH Monthly Contractor and Managemen ,3,6,1 materials – Contractor’s other materials will occur on the Site without CSC monitoring t (Camp and 0 burning of materials on site permission of the Engineer. reports, site Work Sites) will contribute to fouling of The contractor shall be responsible for the following: investigations air in the area Prior to start of civil works, prepare, consult and im- plement the site-specific Waste Management Plan (WMP) that shall be approved by CSC. Provide refuse containers for different types of wastes at each worksite. 172 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Maintain all construction sites in a cleaner, tidy and safe condition and provide and maintain appropri- ate facilities as temporary storage of all wastes be- fore transportation and final disposal. • Train and instruct all personnel in waste manage- ment practices and procedures as a component of the environmental induction process; and collect and transport non-hazardous wastes to all ap- proved disposal sites. The sites for waste disposal shall be agreed with the local municipal authorities and Concerned Agencies. A specialized company shall be contracted to ensure collection of domestic and general waste from camps and temporary stor- age areas and transportation to landfills approved and licensed by the Concerned Agencies. Such dis- posal facilities appropriate for WB funded project should comply with local legislations on proper sit- ing (e.g., sufficient distance from residences, wa- terbodies, free from flooding, etc.) and operations (garbage provided periodically with soil cover, with signages and well-fenced to deter people and astray animals, allowing only residual wastes as much as possible, with sufficient operational super- vision of local authorities, etc.). These types of fa- cilities should be identified in the C-ESMP. Construction Phase – Impacts on Basic Services Service ESS1, During the construction • Alternative sources of energy to the extent KAZH Monthly Contractor and Part of disruptions 3, 4, works, community access feasible, such as generators. CSC reports, Contractor’s such as 10 to basic services such as site Scope/Budge electricity, water, electricity, investigations t water healthcare, etc. may be 173 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures resources, disrupted and labor influx • Provisions on efficient water use, including healthcare, may crowd out the current recycling with proper treatment, portable etc. carrying capacity of such drinking water supplies. services in the host • Provisions of on-site basic medical care and community. Potential referral care with local hospitals through prior conflicts with water agreement. stressed communities. Soil ESS 1, Contamination of the soil Contractors to ensure safe storage of fuel, and other KAZH Monthly Contractor and Part of contaminati 2,3,4, may result from improper hazardous substances. CSC reports, Contractor’s on 6, 10 handling, storage, and/or site Scope/Budget utilization, resulting to • Equipment/vehicle repair/maintenance and re- investigations spillage of bitumen, fueling areas will be confined to areas in construc- cement, materials alien to tion sites designed to contain spilled lubricants and the site or hazardous materials/substances. fuels. Such areas will be equipped with a concrete perimeter and drainage system leading to an The increase in rainfall due oil/grease-water separator that will be regularly to cli-mate change will skimmed of oil to prevent spilled oil/grease being increase the erosion of cut discharged to the ground surface. areas and de-vegetated • Management and storage of fuel, waste oil, and sites, destabilized fill hazardous substances will be planned in accord- embankments and weaken ance with EHS General Guidelines on Hazardous underlying structures. Materials Management. For the project road the potential geo-hazards • This includes the use of appropriate secondary con- consist of riverbank and tainment structures capable of containing the road edge erosion. larger of 110 % of the largest tank or 25% of the combined tank volumes in areas with above- Loss or decrease in soil ground tanks with a total storage volume equal or fertility can occur due to greater than 1,000 liters. Fuel storage tanks need to stripping and improper be placed under roof and on concrete slabs with storage of topsoil. berms or dikes to contain spills in a secured cov- ered area; 174 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Inadvertent discharge of • Segregate hazardous wastes (oily wastes, used bat- liquid waste to the teries, fuel drums) and ensure that storage, environment. transport and disposal will not cause pollution and will be undertaken consistent with national and lo- Improper management of solid waste generated from cal regulations; construction camps. • Ensure all storage containers are in good condition with proper labelling; • Regularly check containers for leakage and under- take necessary repair or replacement; • Store hazardous materials above flood level. • Discharge of oil contaminated water will be prohib- ited. • Used oil and other residual toxic and hazardous ma- terials will not be poured on the ground. • Used oil and other residual toxic and hazardous ma- terials will be disposed of in an authorized facility off-site. • Adequate precautions will be taken to prevent oil/lubricant/hydrocarbon contamination of river channels. • Spill clean-up equipment (e.g., absorbent pads, etc.) specifically designed for petroleum products and other hazardous substances will be maintained on-site. Should any accidental spills occur, the im- mediate clean-up will be undertaken, and all clean- up materials will be stored in a secure area for fur- ther disposal. Disposal of such will be undertaken by a waste management company contracted by the Contractors. The waste management company must have the required licenses to transport and 175 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures dispose any hazardous waste before any such waste is removed from the site. The Contractors will keep copies of the company’s licenses and pro- vide waste transfer manifests at their camp site for routine inspection by the engineer. • Spillage, if any, will be immediately cleared with ut- most caution to leave no traces. • Spillage waste will be disposed at approved dis- posal sites. • All areas intended for storage of hazardous materi- als will be quarantined and provided with adequate facilities to combat emergency situations comply- ing with all the applicable statutory stipulation. • The contractor will be required to display Material Safety Data Sheets (MSDS) in all work areas and to train workers in the safe use of these materials, in- cluding the provision of protective equipment for handling these substances. • The contractor will designate the ESO in-charge of storage sites for hazardous materials and ensure they are properly trained to control access to these areas and entry. Entry will be allowed only under authorization. Mitigation measures for topsoil management issues: • Keep vehicular traffic to a minimum on the soils to be stripped. • Avoid where practical the inclusion of obviously poorer quality/fertility material such as sub-soil 176 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures clay, saline material and material dominated with stones. • Stockpiles should be no deeper than 3 meters high to minimize problems with anaerobic conditions. • Protect and re-vegetate all stockpiles as soon as possible to minimize loss of soil quality. • Locate stockpiles in areas away from drainage lines or windy areas to minimize soil and wind erosion risk. • Ensure a good vegetative cover is maintained on stockpiles and on top-dressed areas until ground cover is well established by excluding stock and by controlling weed growth. • Designate each topsoil stockpile with appropriate signage (e.g., 'Topsoil Stockpile') to ensure the re- source is identifiable to all contractor’s staff. Mitigation measures for liquid waste discharges: • Wastewater sewers in any workers’ camps should be connected to the septic tanks or wastewater treatment plants. • Accumulated septage in any portable toilets for workers should be hauled to be emptied in the sep- tic tanks or wastewater treatment plant. • Silt contaminated water should be stored in con- tainers to allow silt to settle for reuse; while the silt be mixed in natural soil when not contaminated. The mitigation measures for solid waste issues are: 177 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Contractor should have a plan to avoid and mini- mize the generation of solid waste, which will be communicated to his work crew. • Waste materials should be segregated for ease of recycling and to maintain high economic value to the recyclers. • Contractors should provide sufficient contain- ers/bins for solid waste generated. • Ordinary solid waste generated should be con- tracted for collection by the operating collectors in the area for disposal. • Construction waste can be recycled to be handed over to recyclers. Reinstatement of the site will be necessary as part of the site-specific Site Restoration Plan (reinstatement of all disturbed lands). Construction Phase – Solid Waste Management (SWM) SWM ESS1 For the work sites and fa- Prior to start of civil works, the Contractor’s KAZH Monthly Contractor and Part of (Contractor’ ,2, 3 cilities, improper manage- site-specific Waste Management Plan with all CSC reports, Contractor’s s Facilities and ment of solid waste result details for disposing the wastes should to be site Scope/Budget and Plants/ 6 in contamination of the prepared and investigations routes & surroundings, water re- approved by supervision consultant; and imple- worksites) sources, and even biota in mented in all work facilities and sites. the vicinity. During transport of solid ESMP for waste management waste materials to dis- Production and consumption wastes: hazardous posal sites, droppings of (residues of paint and varnish products, con- solid waste will result to taminated containers, oily rags, lamps, batter- spot contamination and ies, etc.) and non-hazardous (municipal waste, construction waste, packaging residues, burned 178 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures possibly pollution of the electrodes, structures, etc.). All wastes are clas- natural surroundings. sified in accordance with the legislation of the When disposing solid Republic of Kazakhstan, stored under certain waste, inadvertent dump- conditions and in certain places and removed by ing and improper disposal special organisations for further disposal or bur- in unpermitted sites will ial. result in contamination of the environment’s land All wastes, according to their classification, will and water resources. be collected at separate sites/locations, tempo- During the entire con- rarily stored in accordance with RoK require- struction period, absence ments and transferred to specialized enter- of Solid Waste Manage- prises for further processing or landfilling. ment Plan will result in poor control of solid Dumping of waste on the ground surface or into waste generated by the the river, as well as incineration of waste is pro- project and its ancillary hibited. facilities, resulting in local contamination and poten- Proper SWM will include minimization of waste, tial pollution of the work sorting, reusing/recycling and proper disposal in sites and its vicinities. accordance to the regulations. Interaction with the local executive power on the use of local disposal facilities should be es- tablished. • Waste materials should be segregated for ease of recycling and to maintain high eco-nomic value to the recyclers. • Contractors should provide sufficient contain- ers/bins for solid waste generated. • Clearly mark the containers to segregate the differ- ent types of waste (MSW, Hazardous Waste, etc.). 179 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Ordinary solid waste generated should be con- tracted for collection by the operating collectors in the area for disposal. Construction phase - Demolition waste from existing pavement Improper ESS Soil erosion, water pollu- The existing asphalt pavement can be scrapped KAZH Monthly Contractor and Part of storage of 1,2, tion and runoff, access re- and milled, and the aggregates mixed with new CSC reports, Contractor’s construction 3, 4, striction on land use (i.e., batches of asphalt mix. site Scope/Budget wastes (i.e., 5, grazing), road safety. investigations removal of 6,10 The excess milled material from the asphalt lay- the existing Improper storage, man- ers of the existing road can be used in the pave- pavement) agement, and disposal of ment layers of the project after checking for construction waste compliance with the specified parameters. From an environmental point of view, recycling of old asphalt as a raw material for a new as- phalt mix is advantageous. Bitumen savings can also be achieved by reusing the old asphalt pavement. Temporary storage or stockpile of such materi- als should be discussed with local Akimats, KAZH, and communities. It is preferred to store these materials in vacant government land but NOT within the extended clusters of Andasai sanctuary or IBA’s or private property. Any contaminated substance, materials, soil, etc., should be transported by the Contractor to appropriate and approved disposal facility for proper treatment based on the agreement signed with an accredited company(ies) for waste transportation and further disposal. 180 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Water ESS Depletion of water - Prior to start of civil works, the Contractor shall KAZH Monthly Contractor and Part of quality – 1, 3, Withdrawal or abstraction of prepare a site-specific Water Management Plan. CSC reports, Contractor’s Natural 4, 6, surface and groundwater for and Lab. Scope/Budget Water 10 construction work and Water resource conservation: instrumental Quality domestic purposes. • Water resource conservation measures in all facilities, measurements (Water Depletion of water including rainwater collection, recycling with proper crossings resources and quality of treatment. along the water could also result in • Ensure that abstraction of water for construction do project tension with the community, not affect existing supplies for communities. road) and present community • Water volumes and locations of water intakes will be health and safety risks. determined at the project design stage. Potential impacts to surface water will be mainly during Approval of the executive body is required for the or- the bridge construction ganization of water intakes. The volume of water intake works. Water crossings should not negatively affect the water balance of the during normal operations river. will be associated with water pollution by suspended Water for domestic needs during operation of the solids, possibly litter and contractor's camps will be brought from water material residues (possibly pipelines of the nearest settlements or treated in fuel and lubricant stains the treatment facilities of the contractor's camps. from heavy machinery) and disturbance of the riparian Drinking water quality and water intake for drinking area. needs (if necessary) shall comply with the Pollution from highway requirements of the Sanitary Rules "Sanitary and runoff and potential spillage Epidemiological Requirements for water sources, of hazardous substances places of water intake for household and drinking resulting from traffic purposes, household and drinking water supply and accidents will have both places of cultural and domestic water use and short term and long term, safety of water bodies", approved by the order of cumulative water quality the Minister of National Economy of the Republic impacts on the wetlands. of Kazakhstan from 16 March 2015 №209. 181 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Construction activities can directly contaminate the Water for drinking needs will be delivered with irrigation canals, as well as appropriate quality, with periodic testing on water adjacent wetlands during safety. the bridge construction and consequently affect the Work in the riparian zone will be governed by the biological species in this regulations for work in water protection zones and area. strips. Dust suppression, material moistening, and quarry operations will require water for technical needs. Restoration works are to be envisaged: backfilling during the construction of supporting structures; cleaning of the riverbed and the flood plain from cluttering of the objects, extracting and hauling piles of scaffolding and temporary supports; dismantling of temporary facilities on the construction site and land reclamation, including borrow area and access roads; erosion control measures, such as sodding of embankments. Water quality monitoring to be undertaken before starting of bridge construction works and periodically during the construction. (Indicative Cost: Part of Contractor’s Scope/Budget) ESS Drainage – The site should During the construction phase the Contractor is KAZH Monthly Contractor and Part of 1, 3, be well maintained, and this required to construct, maintain, remove, and CSC’s reports, Contractor’s 4 includes establishing good reinstate as necessary temporary drainage works site Scope/Budget and drainage at work camps. and take all other precautions necessary for the investigations 10 This is important to maintain avoidance of damage by flooding and silt washed 182 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures livable condition and down from the Works the Contractor shall ensure sanitary place for workers. provision/or performance of the following: • Contractor should provide additional measures to catch debris from falling into the river. • As much as possible construction should be undertaken during the dry season to minimize the threat to water contamination. • Excavation methodologies should be done to minimize stockpiling near flowing water. • Temporary rock protection should be provided to prevent soil materials to be washed away. • Monthly monitoring of water quality should be done to determine the status of water quality. Monitoring parameters will be BOD, COD, Turbidity, Oil and Grease, Petroleum components at rivers. • When casting structural elements on site, spillage into the water should be prevented by installing proper measures to catch any spill. • Structural elements should be casted far from the river to prevent concrete mix from getting into the water. Water ESS Water Contamination issues The Contractor shall ensure the following KAZH Monthly Contractor and Part of Quality – 1, 2, at Construction Camps and conditions are met: CSC’s reports, Contractor’s Camps and 3, 4 Storage Areas - Waste water • Wastewater arising on the site shall be site Scope/Budget Facilities that will be generated at collected, removed from the site via a suitable investigations work camps due to a lot of and properly designed temporary drainage people staying whether system and disposed of at a location and in a short-term or long term will manner that will cause neither pollution nor contaminate the immediate nuisance. surroundings which can • There shall be no direct discharge of sanitary or harm both the man and wash water to surface water. Disposal of 183 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures ecosystem if no treatment is materials such as, but not limited to, lubricating provided prior to discharge. oil and onto the ground or water bodies shall be prohibited. • Prevent washing of construction equipment in the place other than designated washing area within the Camp, and which should be at considerable distance from any water body. • Washing water shall be collected from concrete platform via drains leading to sedimentation basin, where sediments will be allowed to settle, and the water clarified. Once the water is clarified, it shall be reused for washing. Sediments shall be collected and can be used for other construction purposes. Water ESS 1, Impacts related to Mitigation action of potential impacts related to KAZH Monthly Contractor and Part of Quality – 3, 4 wastewater and solid waste wastewater and solid waste disposal during CSC reports, Contractor’s Mitigation and disposal could occur in the construction requires strict application of all and Lab. Scope/Budget of 10 Construction Stage due to a conditions to the review of the ESMP by the CSC prior Instrumental Contaminati failure to properly plan or to approval and strict supervision during the course of measurements on implement the ESF the work. (Contractor’ required by the ESMP or s Camp) because of unanticipated Unannounced site inspections must be undertaken as circumstances or accidents. a routine part of supervision activities. Potential impact from improper disposal for The Contractor will be required to coordinate all waste materials from construction camp activities with neighboring land scrapping asphalt roadbed. uses. The Contractor shall also be responsible to Waste in Construction maintain and clean-up campsites and respect the Camps and other ancillary rights of local landowners. If located outside the Row, facilities – Waste generated written agreements with local landowners for when managed improperly temporary use of the property, including compensation negotiated with the landowners, will be 184 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures will contaminate the required and sites must be restored to a level surroundings. acceptable to the owner within predetermined time- period. Water ESS Spoil – unplanned dumping Under no circumstances shall the Contractor dump KAZH Monthly Contractor and Part of Quality – 1,3, of spoil may lead to excess materials on private lands without permission CSC reports, Contractor’s Mitigation 4,10 contamination of the river. of the owner and approval from the Engineer. In and Lab. Scope/Budget of Silt addition, excess spoil shall NOT be dumped or pushed Instrumental Contaminati into waterways at any location. measurements on (Indicative Cost: Part of Contractor’s Scope/Budget) (Waterways ) Water ESS 1, Contamination of Surface • Provide buffer and ensure that debris and petro- KAZH Monthly Contractor and Part of Quality – 2, 3 water and Groundwater re- leum products do not get into the water. CSC reports, Contractor’s Mitigation and 4 sources • At fuel storage and refueling stations: Store fuels and Lab. Scope/Budget of and re-fuel trucks and equipment properly to avoid Instrumental Hazardous measurements spills. Materials • Ensure availability of spill clean-up materials (e.g., Contaminati absorbent pads, etc.) specifically designed for pe- on (Camps and troleum products and other hazardous substances Worksites) where such materials are being stored; Spillage, if any, will be immediately cleared with utmost cau- tion to leave no traces, Spillage waste will be dis- posed at approved disposal sites. • Wastewater from workers’ camps should be dis- charged in the septic tanks or waste treatment plant. • Use portable toilets in the worksites along the road. Accumulated septage in any portable toilets should be hauled septic tanks or waste treatment plant. • Silt contaminated washing water should be stored in containers to allow silt to settle. 185 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Spill Prevention Plan should be prepared and im- plemented by Contractor prior to commencement of works. Hazardous chemicals and liquids (even solids) should be inside roofed and sufficiently sealed, bunded and containment works (shelters or sheds or buildings). Containers should be those recommended by manu- facturers and appropriate to safely contain materials that are corrosive, reactive or with low flash points. ESSs1, Hazardous Waste – Management, handling & storage protocols for haz- KAZH Monthly Contractor and Part of 3, 4 Improper management of ardous waste will be outlined in the Contractors Waste CSC reports, Contractor’s and hazardous waste will result Management Plan. Disposal locations of hazardous and Lab. Scope/Budget 10 in serious damage to the wastes should be agreed with the Concerned Agencies Instrumental environment. [mainly MENR, with Ministry of Health (for pro- measurements cessing), and Ministry of Emergency Situations]. The Contractor shall collect hydrocarbon wastes, including lube oils, for safe transport off-site for reuse, recycling, treatment or disposal at the temporary storage sites and further at the locations approved by mentioned Concerned Agencies or pass it to the licensed operator having environmental permit on operation of the haz- ardous wastes. Following the WBG General EHS Guidelines, an Environmental Response Plan (ERP) should be developed by the Contractor when handling hazardous material. 186 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Water ESSs1, Road and bridge debris Method Statements, as part of the C-ESMP, for KAZH Monthly Contractor and Part of Quality – 3, 4 during dismantling – removal, transport and stockpile storage should be CSC reports, Contractor’s Mitigation and Improper removal, provided by the contractor with assurance that no and Lab. Scope/Budget of Debris 10 transport, stock storage contamination will result from these activities. Permit Instrum-ental Contaminati and unplanned disposal will from relevant agencies for temporary stockpile and measure-ments on result in contamination of storage, as well as final disposal should be secured. (Camps and the natural surroundings. The sites should be inspected regularly to determine if Worksites) This impact is considered contamination is occurring outside storage or disposal slight to moderate. sites. Noise / ESS 1, Construction Noise and The Contractor shall ensure provision of the following: KAZH Monthly Contractor and (Indicative Vibration 2, 3 Vibration - Heavy Prior to start of any civil works, the Contractor will ob- CSC reports, Cost: Part of during and 4 equipment and trucks tain measurements of noise level of the site to serve Instrumental Contractor’s construction cause most of the noise in as baseline parameters. Noise and Scope/Budget (Work sites) the construction sites, • Ambient noise levels should not exceed the pre- Vibration ) especially when they are scribed limits at worksite and to be controlled by monitoring. out of proper maintenance. the Contractor. • Temporary construction facilities such as labour camps, vehicle maintenance workshop and earth moving equipment will be located as far as possible from settlements and other sensitive areas. • Silencers will be installed in construction equip- ment and machinery and maintained properly at all times. Contractors submit to the Engineer for review and ap- proval a Construction Noise and Vibration Manage- ment Plan detailing the procedures for noise and vi- bration monitoring and control. The plan will include the requirement for trial construction sections to de- termine the likely magnitude of noise and vibrations at defined distances from a noise and vibration source. 187 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures The maximum permissible vibration limit set at 0.25 inch/s must not be exceeded within the defined contour (7.5m from the road edge) where houses may be at potential risk of damages: • Where the results of the vibration monitoring, or from a trial construction section, show that the specified construction vibration limit is reached at a particular location, the Contractor would be directed by the Engineer to suspend the construction activities that generate the excessive vibration at such location, and with the approval of the Engineer take mitigative actions necessary to keep the construction vibration within the specified limit. • Such actions may include, alternative construction methods such as: (i) decrease of vibration emission from the particular equipment item; (ii) substitution of the particular equipment item at such location by other equipment capable of variable vibration control; (iii) use of smaller equipment; (iv) compaction without vibration rollers; (v) decreasing the thickness of material layers below the maximum thickness permissible under the specification; (vi) building wave barriers (trench or ditch) where appropriate; (vii) change the pavement type for example from flexible to rigid pavement, (viii) any other method of Contractor’s choice that may be used while ensuring compliance with the specification for the material that is being compacted. • Once work in a particular section of the road has been scheduled, nearby residents and property 188 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures owners should be notified about the specific times and dates that vibration generating activity will occur. • Use of low volume charges will reduce the potential for vibration induced damage to structures; and in the event of damage proven to be due to the contractor’s activities, owners of structures will be fully compensated. • Monthly Instrumental Vibration monitoring. Noise: • Source Controls, i.e., requirements that all exhaust systems will be maintained in good working order; properly designed engine enclosures and intake silencers will be employed; and regular equipment maintenance will be undertaken. • Site Controls, i.e., requirements that stationary equipment will be placed as far from sensitive land uses as practical; selected to minimize objectionable noise impacts; and provided with shielding mechanisms where possible. • Work near Sensitive Receptors shall be limited to short term activities. • Time and Activity Constraints, i.e., operations will be scheduled to coincide with periods when people would least likely be affected; work hours and workdays will be limited to less noise-sensitive times. Hours-of-work will be approved by the Engineer having due regard for possible noise disturbance to the local residents or other activities. 189 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Construction activities will be strictly prohibited between 10 PM and 6 AM near the residential areas. When operating close to sensitive areas such as residential, nursery, or medical facilities, the Contractor’s hours of working shall be limited to 7 AM to 6 PM. • Community Awareness, i.e., public notification of construction operations will incorporate noise considerations; methods to handle complaints will be specified. Sensitive receptors will be avoided as possible (i.e., aggregate crushers, operators, etc.). Disposal sites and haul routes will be coordinated with local officials. • Temporary noise barriers will be utilized for those areas where sensitive receptors are significantly affected during construction. Temporary barriers are typically constructed from plywood and should be at a minimum 2.50 m high to screen acoustic line-of-sight between the receiver and the noise source. Solid plywood site hoarding can often be effective as a temporary noise barrier; Construction noise barriers should be implemented if effective and practicable. This would be decided on a case-by-case basis. • Monthly Instrumental Noise Monitoring General ESS 1, Transportation of The Contractor shall ensure provision/ performance of KAZH Monthly Contractor and Part of Contaminati 3, 4 construction materials and the following: CSC reports, Contractor’s on – and 6 waste may result in the • Liquids transported to or from the sites should be site Scope/Budget Mitigation following: placed in sealed containment. investigations from • Droppings of materials • Soil, gravel and stone should be covered with tarp Droppings to be brought to the site or any material that can effectively prevent the and Spills dropping. 190 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures (Worksites) can become community • Drivers should abide by safe driving practices, and motorist hazards. especially through communities. • Droppings of waste will • Driver and Contractor’s personnel should ensure result to spot contami- that materials are being safely loaded, hauled and nation and possibly pol- unloaded. lution of the natural sur- • Emergency spillage and clean-up procedure should be drafted by the Contractor and approved by the roundings. CSC. • Spills from haul trucks (Indicative Cost: Part of Contractor’s Scope/Budget) can be source of ecolog- ical, biological, and soci- oeconomic harm in the area. • Dust from uncovered trucks can cause health problems to the people. Construction phase - Flora and Fauna Floral ESS 1, Preliminary assessments Contractor to refer to the Biodiversity Management KAZH Monthly Contractor and Part of Impacts 3 and did not indicate the Plan (BMP) for details. CSC reports, Contractor’s (Worksites) 6 presence of unique plant Instrumental Scope/Budget habitat within the area of • Movement of construction equipment Site influence. Most plants are • Eliminate unauthorized passage of equipment investigations ubiquitous native species, through virgin lands, ensure passage along specially which are highly tolerant of designated field roads with strict adherence to the grazing, compaction, and work schedule. other physical • Eliminate the spilling of fuels and lubricants and disturbances. building materials at the construction site. In the design it is important • Moistening of dusty surfaces of roads and ware- to avoid affecting trees, houses of PSP and building materials. vegetation, fauna species Workers' activities 191 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures and their natural habitats • Cutting of trees will be undertaken as per approved when possible. design and only upon approval of relevant authori- ties. The cutting of trees will be avoided as much as possible and damage to native vegetation mini- mized. • Whenever possible, trees will be balled and trans- planted and supported until they survive. Trees that have to be cut down will be replaced by at least ten (10) saplings. Landscaping and planting of trees/vegetation will be implemented at the sites as per design. • Eliminate unauthorized passage of equipment through virgin lands, ensure passage along specially designated field roads with strict adherence to the work schedule • Eliminate the spilling of fuels and lubricants and building materials at the construction site • Moistening of dusty surfaces of roads and ware- houses of PSP and building materials • Prohibition of burning dry grass • Prohibition of collecting wild berries and mush- rooms Cutting of green trees According to paragraph 52 of the Rules for the maintenance and protection of green spaces, improvement of the territory of cities and settlements of the Karagandy region, approved by the Decision of the X session of the Karagandy maslikhat dated September 29, 2017 No. 222 192 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Upon receipt of permission to cut down trees, compensatory planting of restored trees is carried out tenfold at the expense of citizens and legal entities in whose interests the logging was carried out. Impacts on ESS 1, Unavoidable impacts to •To exclude unauthorized passage of equipment KAZH Monthly Contractor and Please refer Flora 3 and area vegetation will occur through virgin lands, to ensure passage along specially CSC reports, to Table 12 of habitats 6 due to construction designated field roads with strict observance of the Site the BMP for activities. work schedule to prevent fragmentation of the investigations the (Worksites) territory approximate Possible loss of flora • Eliminate spills of fuel and lubricants and cost of The existing water bodies construction materials at the construction site environment (river, creeks, gullies, lakes, - Wetting of dusty surfaces of roads and warehouses al protection ponds, canals and ditches) of PSP and construction materials measures along the project road should be given special In points of abundant growth of rare species specified Estimated for consideration as they could in paragraph 3 of this plan, removal of the fertile soil restoration of be habitats of faunal layer to a depth of 20 cm shall be carried out manually green areas species. in June-July (after sowing seeds). The soil with seeds is in the BMP = transported to a safe distance to similar conditions, $571,120.50 During reconstruction, dumped and leveled by hand. It is NOT to be used wildlife may be affected again! In this way the plants will be transplanted to a through direct physical safe similar location. impact on their natural or secondary terrestrial and Please refer to the Biodiversity Management Plan for aquatic habitats, e.g., more details. during site clearance, construction of structures on watercourses and through noise and disturbance from moving machinery and workforce. 193 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Impacts on ESS1, The removal of vegetation Birds (Aves) Cost Fauna 2,3,6 affects food supplies, Estimated nesting, and habitats of Demolition of green trees from the faunal species. • Carry out the demolition of tree plantings strictly BMP: before the settlement of nesting colonies by birds Special concern will be (rooks, raptors) - before the start of the nesting pe- For Artificial impact to migration routes riod. Avoid tree removal from April to August. Nest = of Saiga that crosses the $3,104.40 • To replace the demolished 13 nests of birds of prey, A17, and which primarily install artificial nests at a safe distance from the occur in autumn season. For fish construction site (500 meters from the road, but Construction activities will protection deter the migration and not less than 3-5 km from each other) in a 3-fold devices = thus pose risk to equivalent - for each demolished nest, 3 artificial $3742,4 survivability of the Saiga. nests. • Informing workers about the presence of breeding Installation of Noise generated at the grounds for rare and endangered bird species on information construction sites and road sections. signs = auxiliary facilities may $2,232,10 disturb of drive away avian Power lines species and some faunal • Use of power line construction with suspended in- Educational species in the area sulation. This type of fastening of insulators helps outreach to increase the distance between current-carrying campaign = and grounded structural elements, which signifi- $669,60 cantly reduces the risk of electric shock to birds of different size groups. • The use of self-supporting insulated wire (SIP), cov- ered with a special polymer sheath, provides the most reliable protection for birds when operating power lines. • To protect overhead insulators of power lines, it is recommended to use polymer protective caps. The 194 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures protective cap is used to protect the surface of the garland of power line insulators from contamina- tion by bird droppings, painting work, precipitation, and mechanical impact. The use of protective caps made in the form of a wide cone made of compo- site materials increases the service life of the gar- land of pendant insulators and prevents emergency power outages by reducing the risk of short circuits. • The use of special bird-proof polymer insulators helps reduce the bird hazard of the structure. Lighting for construction sites and camps. • Using strictly directional lighting on objects that need illumination and avoiding the use of lamps that provide omnidirectional lighting, including “upwards”, which creates “stray illumination”. • The use of specialized lenses for lighting fixtures that promote maximum light scattering over the entire surface. • The use of LED lamps for external lighting of the main designed objects. • Using infrared motion sensors to control lighting. • Usage "ground" lighting sources near office and residential buildings. • It is recommended to develop a schedule for turn- ing off “extra” lighting sources during the periods of spring and autumn bird migrations. The schedule should be based on the shutdown of those sources outdoor lighting that is not strictly necessary during the construction and operation of main facilities 195 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures and related infrastructure - for example, architec- tural lighting fixtures for buildings, decorative lamps, festive illumination, etc. • Reptiles (Reptilia) Construction work (all) • The work schedule must be coordinated in accord- ance with the breeding season of reptiles - April- May. • Creation of temporary technological ditches and pits. • If it is necessary to create temporary technological ditches, it is necessary to inspect them daily, re- moving reptiles that have fallen into them and transferring them to a safe place. Mammals (Mammalia) Road operation • Flat/smoothed side slope of the embankment – The slope of the embankment will be changed to a flatter slope of approximately 1:6 to even 1:10 (compared to a normal 1:4 roadway embankment) to facilitate the movement of wildlife. • Mesh fencing – For large sections of the road, mesh fencing will be installed on both sides, with the ex- ception of animal crossings (saiga), the distance be- tween which is approximately 2 km. Reinforced mesh barriers should be installed along the edges of passages. • Road signs – Signage, as part of management measures, should be installed at the start of animal 196 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures crossings to alert motorists to crossing areas. Sign- age should consist of: (i) warning signs in Kazakh and Russian with the words “CAUTION! Possible crossing of wild animals! Be careful! (ii) Signs for crossing the saiga road, speed limit not exceeding 60 km/h and prohibition to the sound of horns, as this may shock the animals and cause panic and chaotic scattering. Fishes (Pisces) and Amphibians (Amphibia) Water intake from rivers • Installation of fish protection devices • When choosing a water intake site, the following conditions should be taken into account the follow- ing: i) Do not place the water intake in areas of spawning grounds or wintering pits; ii) Limit water intake in feeding areas of juveniles and on their mi- gration routes; iii) Limitation of water intake during twilight and night time. Construction technological processes • Prohibition of washing equipment in water protec- tion zones and river strips. • A ban on refueling fuels and lubricants, preventing spills during construction work. • Organization of timely removal of solid waste from construction crews. • Construction of temporary household premises outside water protection zones and strips. • Prohibition of draining wastewater into riverbeds 197 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures (Refer to BMP for details) Construction phase – State Nature Sanctuary Andasai Biodiversity ESS Construction activities at Construction camps for workers, life activities of Part of – Extended 1, 3 the vicinity of the state na- workers: Project’s Civil clusters of and ture sanctuaries can poten- • Storage of waste in strictly designated and regu- Works the Andasai 6 tially disturb species in the lated areas. Sanctuary area and affect habitats. • Ensure that wild animals do not meet household garbage and other waste that may pose a risk to Removal of natural habitats their livelihoods. It is recommended to prevent an- and their possible imals from using various types of waste (especially degradation - plastic, oily rags, packaging materials used with Habitat fragmentation - Injury from collisions with chemicals, etc.) to build homes and nests. objects - Exposure to constant This event will reduce the level of “food depend- lighting (light pollution) ence” of wild animals on objects of anthropogenic Death of wild animals on origin in the project area. For this it is recom- paved roads - mended: Disturbance factor, noise • Use of specialized containers for solid waste, pollution - equipped with tight-fitting lids. Electric shock on overhead • The use of specialized lockable containers for the power lines collection and storage of industrial waste, incl. New infrastructure and oiled rags. communications facilities • Waste must be removed by specialized enterprises and placed only in specialized landfills. • Prohibition of draining wastewater onto terrain and water bodies • Installation of dry toilets for workers Atmospheric pollution from stationary and mo- bile sources 198 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • It is necessary to achieve minimum volumes of in- organic dust emissions through abundant irrigation of field roads and dumps, especially during the dry period. • Provide hard surfaces to main roads. • Develop and implement safety systems when work- ing with fuels and lubricants. Workers' activities • It is recommended to develop internal regulations (internal regulations) to regulate the activities of personnel to reduce the impact on flora and fauna. The rules should include: • Information about the breeding places and habitats of rare species of flora and fauna. • Measures to limit disturbance factors during the breeding and growing seasons of rare species. • Restrictions on employee visits to bird habitats and rare species of flora and fauna during the seasons of their greatest environmental sensitivity. • Limiting personnel contact with nests and eggs, as well as actions that frighten birds. • Limiting the speed limit in nesting areas of rare bird species during seasons of environmental sensitiv- ity. • Prohibition on travel in unauthorized places. • Information about the main and used field roads. • Compliance with design decisions when using tem- porary roads. • Measures to control noise and dust. 199 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Information on using an effective outdoor lighting schedule during bird migration periods. • Recommendations for handling household garbage and other waste. • Prohibition of all types of hunting and pursuit of an- imals. • Ban on feeding wild animals. • Measures taken in case of violation of these rules. ENVIRONMENTAL REQUIREMENTS IN ANDASAI SNS THAT LAND USERS ARE OBLIGED TO: • Apply production technologies corresponding to sanitary and ecological requirements, not to allow causing damage to the environment, deterioration of sanitary-epidemiological, radiation and ecologi- cal situation; • Comply with construction, environmental, sani- tary-hygienic and other special requirements (norms, rules, regulations); • Prevent pollution, littering, degradation and dete- rioration of soil fertility; • Not to allow burial (storage) of any types of waste (industrial, construction, household) outside the specially designated places; • Transport chemical and other hazardous materials only in special containers that prevent their release into the natural environment; • Conduct mandatory briefing of all employees of landowners and land users on observance of envi- 200 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures ronmental requirements and legislation on spe- cially protected natural territories, with a signature on its passing in a special journal; • Carry out enhanced control of fire safety; • Carry out plastering along the perimeter of Land plots, with regular renewal of mineralized strip (on industrial Land plots - also plastering of sanitary- protective and other zones, allocated in accordance with the current legislation of the Republic of Ka- zakhstan); • In case of causing damage to the objects of the state natural reserve fund on the territory of SPNA, carry out compensatory measures in the necessary volumes established by the state nature protection organizations, in coordination with the administra- tion of SPNA; • Provide unimpeded access of employees of the PA administration, state service of wildlife protection and state inspectors of environmental protection to the territory of land plots for control over com- pliance with environmental legislation and environ- mental requirements. Land users on land plots located on the territory of Andasai clusters are prohibited: • Extraction of wildlife, harvesting (cutting, uproot- ing) of saxaul, destruction of vegetation and other actions that worsen the living conditions of ani- mals, destruction and damage to dwellings and nests of animals, collection of eggs, removal of rare 201 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures and endangered species of animals listed in the Red Book of the Republic of Kazakhstan. • Movement of motor vehicles outside the road net- work; • Extraction of minerals (solid, liquid and gaseous), construction materials (sand, clay, etc.) on the ter- ritory of the PA, creation of quarries without prior agreement with the administration of the PA; • Storage of industrial and household waste outside of specially designated places that prevent the spread of waste (wind, precipitation), the location and equipment of such places must be agreed with the administration of the protected area. • Discharge of liquid wastes and other pollutants out- side the specially designated areas, preventing the entry of pollutants into the environment (soil, wa- ter sources). Construction phase - Disruption of Traffic Disruptions During construction stage, Contractor shall prepare Traffic Management Plan to KAZH Monthly Contractor and Part of of Traffic the existing traffic flows avoid or mitigate all possible negative. But in general, CSC reports, Contractor’s (Along will be impeded by following mitigation measures will need to be Site Scope/Budget project road construction works on the adopted: investigations and road pavement, widening • providing advance information to the public Worksites) operations, and about planned reconstruction works. construction or • planning reconstruction activities to minimize reconstruction of drainage disruption and maintaining at least one open structures. In addition, lane where there is no viable alternative route. vehicles involved in • signing of temporary traffic diversions in close construction will increase coordination with local authorities. traffic flows. These will 202 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures result in congestion, delays • use of flagmen and temporary traffic lights to and increase in noise and control traffic flows at constricted sites, including exhaust emissions. In built safe crossing for pedestrians and up areas, the pedestrian • limiting, to the extent practicable, the movement traffic will need to be given of large trucks to off-peak traffic times. special attention to ensure (Indicative Cost: Part of Contractor’s Scope/Budget) safety of road user. Construction phase – Workers’ Health and Safety Work ESS 1, Health and Safety of work- • Provide adequate housing for all workers at the KAZH Monthly Contractor and Part of Conditions 2 and ers construction camps and establish clean canteen/ CSC reports (on Contractor’s 4 − Risk to health and lives if eating and cooking areas and other amenities in LMP Scope/Budget Sanitary work and living line with GIIPs. implementation conditions are not pro- • Portable lavatories (or at least pit latrines in re- , including any vided mote areas), male and female, shall be installed audits as and open defecation shall be prohibited and pre- applicable), vented by cleaning lavatories daily and by keeping Site lavatory facilities clean at all times. investigations • Provide separate hygienic sanitation facilities/ toi- lets and bathing areas with sufficient water supply for male and female workers. • Toilet facilities for women should be accessible from place of work. • Establish an internal workers’ grievance mecha- nism. ESS 1, Safety of Workers • Provide awareness campaigns to all workers re- KAZH Monthly Contractor and Part of 2, 4 Potential sexual exploita- garding SEA/SH CSC reports, Contractor’s tion and abuse/sexual har- • Ensure that SEA/SH complaints are handled appro- labour audits Scope/Budget assment (SEA/SH) risks for priately. workers or community • Provide sufficient information (leaflets, booklets, Site members etc.) regarding SEA/SH. investigations • Codes of Conduct 203 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Construction phase - Occupational Health and Safety Occupationa Occupational Health and Prior to start of the civil works, Contractor will prepare KAZH Monthly Contractor and Part of l Health safety of due to work-re- and implement site-specific Occupational Health and CSC reports, Contractor’s Safety lated activities: Safety Plan (OHS Plan) that shall be approved by the labour audits Scope/Budget Construction Supervision Consultant. − Potential injury due The Plan should consider the following requirements: Site works (e.g., falling in ex- investigations cavations, falling objects, Risk Assessment and Planning: accidents caused by pro- • Conduct Thorough Risk Assessments: Identify po- ject vehicles and equip- tential hazards and assess the risks associated ment, etc.) with various construction activities. − Potential injury due to • Develop Safety Plans: Create detailed safety operations of equipment plans that outline specific measures to mitigate − Environmental accidents identified risks. with potential hazards to human health Training and Education: • Provide Comprehensive Training: Ensure all workers receive training on safety protocols, equipment operation, and emergency proce- dures. • Conduct Regular Safety Briefings: Hold daily or weekly safety meetings to review procedures and address any safety concerns. Personal Protective Equipment (PPE): • Equip Workers with Proper PPE: Ensure all work- ers have access to and wear appropriate PPE. • Monitor and Enforce PPE Use: Regularly check that PPE is being used correctly and consistently. Safe Work Practices: 204 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures • Implement Safe Operating Procedures: Establish and enforce procedures for safely operating ma- chinery and equipment. • Ensure Proper Signage: Use clear and visible sign- age to warn of hazards, indicate safe pathways, and provide instructions. Traffic Management: • Develop a Traffic Control Plan: Outline how vehi- cle and pedestrian traffic and cattle pass will be managed to protect both workers and the public. • Use Barriers and Cones: Set up physical barriers, cones, and warning signs to delineate work zones and direct traffic flow. Health Monitoring and Support: • Conduct Health Screenings: Perform regular health checks to monitor workers for signs of fa- tigue, heat stress, or other health issues. • Provide Health and Wellness Programs: Offer programs that promote physical and mental well- being, including access to hydration, rest breaks, and stress management resources. Emergency Preparedness: • Develop Emergency Response Plans: Prepare for potential emergencies with clear response proce- dures, evacuation plans, and designated assem- bly points, including medical points and ambu- lance. • Equip Sites with First Aid Kits and Equipment: En- sure first aid kits and emergency equipment are 205 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures readily available and workers know how to use them. • Ensure agreement with nearest hospitals on pro- vision of medical treatment. • Regular Inspections and Maintenance. • Conduct Regular Safety Inspections: Perform rou- tine checks of the worksite, equipment, and ma- chinery to identify and rectify any safety issues. • Maintain Equipment: Ensure all machinery and tools are well-maintained and in safe working condition. Communication and Reporting: • Encourage Open Communication: Foster an envi- ronment where workers feel comfortable report- ing hazards and safety concerns without fear of retaliation. • Implement a Reporting System: Establish a sys- tem for reporting and documenting incidents, near-misses, and unsafe conditions. Compliance with Regulations • Adhere to Legal and Regulatory Standards: En- sure all safety measures comply with local, state, ESS OHS regulations and industry standards. • Stay Updated on Regulations: Regularly review and update safety practices to align with any changes in regulations. Health and ESS1, Main risks during the con- • Qualified OHS Specialist with the Contractor. KAZH Monthly Contractor and Safety of 2 struction stage may arise • Conduct health and safety trainings (i.e., construc- CSC reports, Workers (at from: tion related injuries, facility and equipment safety, labour audits 206 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures worksites − Failure to implement health and safety measures, prevention of Site and camps) measures to avoid acci- HIV/AIDS, and common diseases. investigations dents and injuries involv-• Provide sufficient fire protection implements at ing workers the work areas and at construction and workers − Infection of sexually camps. transmitted or other dis- • Provide first aid kits for workers. In addition, the eases by non-local work- contractor shall prepare emergency procedures ers; detailing arrangements with community health − Outbreaks of diseases center(s) or nearest hospital(s) to accommodate such as malaria, diarrhea, emergency cases from the work location. etc. In the labor force; • Provide workers with appropriate Personal Protec- − Inadequate sanitation in tive Equipment and enforce use. worker’s camp (discussed • Install sign boards, lighting system at the construc- in section on Worker’s tion sites, and facilities. Camp); • Strictly impose speed limits on construction vehi- − Pressures on existing cles. health systems at the lo- • Educate drivers on safe driving practices. cal level. • Barriers (i.e., temporary fence) shall be installed at construction areas for workers’ and public’s pro- tection. • Ensure that contractors have valid insurance that can appropriately cover compensations and medi- cal expenses in the event of injuries of workers, in- cluding third parties (e.g., residents in the commu- nities). • Provide sufficient lighting at night as well as warn- ing signs at construction sites. Construction phase – Workers’ Employment Rights Labor rights, ESS 2 Non-compliance with re- • Fair and non-discrimination measures to be ap- KAZH Monthly Contractor and Part of gender and gards to the terms and con- plied as part of the recruitment and HR policy CSC reports, Contractor’s non- ditions of employment: which should be uniformly applied to all parties labour audits, Scope/Budget discriminati supplying workers to the project. GRM records, 207 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures on (at Risks of not complying with • Periodic labor audits covering all workers, includ- site worksites labor code, paying workers ing those contracted by sub-contractors and for- investigations and camps) inadequate rates, discrimi- eign workers hired through intermediate agencies. nation of women, those • Workers’ grievance mechanisms, including peri- with disabilities, foreign odic consultations with the workers’ associations workers or other vulnerable if applicable or workers’ representatives. persons. SEA/SH ESS1, Risk of occurrence of GBV • The Contractor must arrange for trainings on KAZH Monthly Contractor and Part of Con- 2 and related issues occurring at SEA/SH, which may also cover prevention of vio- CSC reports, tractor’s 4 the workplace, risk of oc- lence against children campaign to be provided by labour audits, Scope/Budget currence SEA/SH incidences competent providers in cooperation with the au- GRM records, affecting the host commu- thorized agencies. site nity • The cost of the campaign shall be funded by the investigations Contractor and/or provisional sum if included in the bill-of quantity. The contractor shall ensure that at least one refresher for workers is con- ducted each month. • In collaboration with contractors and other stake- holders such as local government and SEA/SH ser- vice providers, will ensure that the project griev- ance redress mechanism (GRM) and workers’ GRMs include protocols, training, and accountabil- ity mechanisms as relevant to ensure that griev- ances related to SEA/SH can be accepted and han- dled adequate with due confidentiality, adhering to the principles of protection to the SEA/SH survi- vors and ethical standards. • Additional support could be provided by the con- tractors to the service providers (i.e., NGOs, safe houses, government departments) if available re- sources are limited and/or if additional capacity is 208 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures required to manage potential SEA/SH risks properly. • Internal GRM functions will be strengthened to en- sure timely, impartial, independent and fair inves- tigations for SEA and SH that should be safe, gen- der-sensitive, and appropriate to the context; and thus, maintaining neutrality and confidentiality be- fore and during deliberation of matters. Community ESS1, Community exposure to • Trucks, heavy equipment, and other vehicles are KAZH Monthly Contractor and Safety in 4, and health and safety risks from maintained in a safe operating condition. CSC reports, active work 10 increased vehicular/ truck/ • All drivers and machinery operators act responsi- GRM records, sites heavy equipment move- bly. site ments in the area, general • All loads are to be secured and all loads with fugi- investigations road construction works, tive materials (e.g., excavated soil and sand) are to open excavation, erection be covered with tarpaulins. of bridges, operation of • Any excavations at the site will be secured auxiliary facilities, and us- properly to avoid vehicular accidents. age of temporary access • Contractor to develop an Access and Circulation roads/detours. Management Plan for the adjacent communities. • Contractor to develop a Traffic Management Plan. • Installation of Signages in critical spots along A17 and appropriate speed limits • Requiring suppliers that delivery vehicles trans- porting construction materials are maintained in a safe operating condition, loads are to be secured and all loads with fugitive materials (e.g., exca- vated soil and sand) are to be covered with tar- paulins. (Indicative Cost: Part of Contractor’s Scope/Budget) 209 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures ESSs 1, Health and safety of com- General public should be forewarned prior to con- • KAZH Monthly Contractor and Part of Con- 4 and munities/residents due to struction. CSC reports, tractor’s 10 civil work activities. Disrup-• Sufficient safety signages should be installed in GRM records, Scope/Budget tion or elimination of usual conspicuous spots showing alternate access site common or public access to routes. investigations public places or buildings. • Provision of information materials (leaflets, book- lets, etc.) regarding safety. • Ensure provision of safety alternate access to the public prior to site construction. Construction phase - Community Relations Community ESSs 1, Risk of Project related com- • General public should be sufficiently informed KAZH Monthly Contractor and Part of Con- Grievance 4, and plaints and grievances unre- prior to construction about the project including CSC reports, tractor’s 10 solved: the process of GRM for their relevant concerns. GRM records, Scope/Budget − Potential complaints Relevant actions to prevent issues with the com- site from Project-Affected munity based on the consultations during the pro- investigations Persons due to construc- ject preparation must be considered as a preven- tion works, including tive measure. damage to property, ac- • Contractor will cooperate with the PIU and its CSC cess restrictions on land in the establishment of GRM and comply with all use. the requirements in resolving grievances. Job Influx of non-local labor: • Sustain community engagement on labor manage- KAZH Monthly Contractor and Part of Con- competition − Deprivation of job oppor- ment and establish a communication system with CSC reports, tractor’s (in the tunities to local popula- the host community to alert the project if there GRM records, Scope/Budget rayons) tion are emerging issues. site − Hostility with local resi- • Train the project’s workers on codes of conduct, as investigations dents, resulting in ten- well as provide cross-cultural awareness training sion. and the conduct with the local community. − Crowding out of basic • Reduce labor influx as much as possible promoting services, particularly ac- local recruitment. cess to water, electricity, • Prioritize local labor for skills that can be sourced and healthcare. locally. 210 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Construction phase – Preservation of Cultural Heritage Cultural ESS8, Risks related to potential Implementation of chance finds procedures and com- KAZH To be Contractor and Part of Con- Heritage 10 impacts on cultural heritage munication with the relevant authorities as required reported as CSC reports, tractor’s (Worksites) are considered insignificant. by Law (i.e., protection measures, excavation, dis- part of the GRM records, Scope/Budget No impacts on both known charge, community consultations, etc.). Preventive ar- monthly site tangible and intangible her- cheological investigations if needed for areas with reports. investigations itage based on the ESIA. known historical values prior to any excavation. There could be potential chance finds that need to be managed through a chance finds procedure as part of the ESMP. Construction phase - Decommissioning Work Sites Site The decommissioning of • The PIU will conduct the environmental and social KAZH To be Contractor and Part of Con- Reinstateme work camp sites requires audit to ensure the reinstatement works are reported as CSC reports, tractor’s nt particular attention. properly done by Contractors for all disturbed part of the GRM records, Scope/Budget (Within the The ESMP shall make a lands by the Project, including construction and monthly site construction particular reference to labor camp areas, maintenance yards, borrow pit reports. investigations corridor, prescribe good practices areas, temporary access roads, etc. camps and for the decommissioning of • To achieve proper decommissioning of all work facilities) work sites, both the sites, the Contractors will be obliged to present construction sites, the work their activities and solutions on the proper camp, storage, and execution of such tasks as outlined in the ESMP - stockpiling facilities, and Site Restoration Plan. the borrow pits. • The decommissioning of work camp sites requires particular attention. Tidy clearing of all sanitary and waste management facilities, grade the soil to natural ground levels, re-establishment of natural vegetation and waterways are the focal points as these are often a source of environmental pollution and a public eyesore. Options need to be explored which would allow the use of workers 211 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures dormitories, fuel station, workshops, drainage facilities etc. for other purposes as suggested by local leaders. Good landscaping is required to re- install former work camp sites into places where the local communities would meet the desired landscape aesthetics. OHS for ESS 1, OHS risks are not expected Adoption and implementation of OHS protocols as KAZH Quarterly Contractor and Part of Con- maintenanc 2 to be significant. However, part of the road maintenance guideline, which can CSC reports, tractor’s e workers. there could be potential include PPE, installation of traffic controls (i.e., site Scope/Budget OHS risks associated with signage, road barriers, lighting, etc.), avoid major road investigations operations of the works during peak hours. equipment as well as road safety. Community ESS 1, Potential road safety risks Ensuring proper housekeeping and repairs of road KAZH Quarterly Contractor and Part of Con- health and 4, 10 due to improper damages which could potentially create road safety CSC reports, tractor’s safety housekeeping, delayed risks. site Scope/Budget maintenance, lack of traffic investigations controls during works, etc. Water use ESS 3, Impact on water use Water use efficiency measures to be applied as part of KAZH Quarterly Contractor and Part of Con- 4 associated with the road maintenance guideline. CSC reports, tractor’s maintenance works, site Scope/Budget including dust suppression investigations during the works CO2 ESSs 1 Potential impacts associ- Regular maintenance of machines and equipment, use KAZH Quarterly Contractor and Part of Con- emissions and 6 ated with generation of of energy efficient equipment and vehicles to the ex- CSC reports, tractor’s from CO2 emissions during the tent feasible. site Scope/Budget maintenanc maintenance activities are investigations e equipment not expected to be signifi- cant. Nevertheless, abate- ment and prevention measures are still required. 212 Cost for Description of Risks and Responsibil Monitoring Means of ES aspects ESSs Required Mitigation Measures mitigation Impacts ity Frequency Verification measures Water ESSs1, Impacts related to Road maintenance guidelines shall incorporate KAZH Quarterly Contractor and Part of Con- Quality – 3, 4, wastewater and solid waste management of wastewater and solid waste disposal. CSC reports, tractor’s Mitigation and 1 disposal could extend into site Scope/Budget of General the maintenance due to investigations Contaminati improper discharges from on site facilities or because of unanticipated circumstances or accidents Flora and ESSs No significant adverse Maintenance works and the operation of vehicles KAZH Quarterly Contractor and Part of Con- Fauna 1, 6 impacts to flora and fauna (including noise controls) should follow the CSC reports, tractor’s Impact are expected in the requirements set forth in the BMP. Recording of site Scope/Budget (Water maintenance phase. accidents (species, locations) is recommended for investigations crossings further improvement of condition and for and implementation of additional mitigation measures. wetland) 213 8.2 ESMP Implementation Arrangements KAZh jointly with CSC’s E&S staff will support the following activities: (i) Establish communication and coordination with the Ministry of Environment and Natural Resources (MENR); (ii) Review, quality control, approval and submission to the World Bank of ESF instruments prepared for the Project, in- cluding site-specific ESMPs for the last-mile connectivity roads as well as C-ESMPs with prior approval by CSC and KAZh (iii) Ensure proper implementation of the ESMP requirements, RAP during the pro- ject implementation; (iv) Establish a GRM and support addressing complaints and feedback from pro- ject stakeholders and the public, including grievances regarding environmental and/or social impacts; (v) Supervise environmental protection and mitigation measures stipulated in the ESMPs; (vi) Monitor environmental and social impacts as part of the overall monitoring of ESMP, RAP, LMP, SEP imple- mentation; and (vii) Promptly notify the Bank within 48 hours of any incident or accident related or having an impact on the Project which has, or is likely to have, a significant adverse effect on environ- ment, affected communities, the public, or workers; (viii) Submit regularly monitoring reports on the environmental, social, health, and safety (ESHS) performance and analyze the efficiency of applied mitigation measures to minimize adverse E&S implications. Together with subproject implementers and beneficiaries, the Committee for Roads with its KAZh are responsible for implementation of the above activities. With regard to ESMP implementation, the hired Consultants will provide capacity building training to KAZh (including on, but not limited to, specific aspects of E&S risks; Occupational and Community Health and Safety; Specific aspects of environmental and social assessment (Screening and Scoping); Implementation progress and monitoring report on ESMP implementation compliance; Emergency preparedness and response; Implementation of LMP, its provisions, and labor complaints manage- ment; Stakeholder mapping, engagement, and GRM; Prevention of and response to SEA/SH sexual exploitation and abuse, and sexual harassment; Incident reporting and understanding of the World Bank’s reporting requirements on incidents and accidents, etc.). 8.3 Procurement Under the Design, Build and Maintenance (DBM) contracts, the management measures outlined in the ESMP will inform the ESHS requirements of bidding documents in accordance with the World Bank’s Standard Procurement Document (SPD) including: • Considerations of E&S as part of the detailed design outputs, which includes E&S mitigation hierarchy. • Submission of ESHS Management Strategies and Implementation Plans (MSIPs) required to manage the key ESHS risks of the project as part of the bid/proposal. • If applicable, provisional sums for ESHS outcomes included in the Bill of Quantities (BoQs). • Key ESHS personnel and qualifications required to implement ESHS requirements; and • ESHS reporting requirements. The ESMP includes standard ESHS provisions which will form part of the bidding documents. Draft bidding documents, including the TOR for expected works (ESHS requirements, personnel require- ments and qualifications) will be reviewed by the relevant E&S specialists within the KAZH and sub- mitted to the World Bank for review and no objection prior to announcement of Request for Expres- sion of Interest (EOI). 214 The following table provides key requirements that must be performed by KAZH E&S specialists who will be responsible for integrating key ESMP provisions and recommendations resulting from the ESMP in the overall procurement processes and contract implementation. Table 41: Actions for Integrating Environmental and Social Measures in Contracts Stage of Contrac- Actions by Environmental and Social Specialists and Procurement Specialists tual Process Before bidding • Ensure the team skills in the terms of reference clearly include key staff qualified and ex- perienced in managing similar projects, and demonstrated capacity to manage social and environmental issues, including issues pertaining to community health and safety, labor, and OHS in general. • If CSC is expected to be hired prior to the launch of the DBM contracts, ensure that the terms of reference clearly define the supervision engineer’s responsibilities regarding oversight of, and reporting on, E&S aspects as required in the ESMP. Preparation of bid- • Review contract conditions included in bidding documents to: ding documents - Ensure that the relevant mitigation measures in the ESMP and its associated instru- ments, particularly the LMP and SEP and other technical recommendations and gen- eral provisions in the ESMP are reflected in the contract. - Identify relevant provisions (workers, camps, child and forced labor, safety, grievance redress, etc.) regulating the contractor’s responsibility and identify any gaps, incon- sistencies or areas of concern that could be addressed through additional provisions in the “particular conditions of contract” and/or technical specifications. - Include a requirement that all workers sign ‘Codes of Conduct’ governing behavior and identifying sanctions. - Clearly identify that training programs on SEA/SH prevention, HIV/AIDS, implement- ing the Codes of Conduct, etc. will be undertaken by qualified service providers, or- ganized by the selected contractors. • Ensure the contract conditions clearly specify what type of penalty the contractor will face if the provisions of the ESHS provisions for contractors and C-ESMPs are not adhered to— including by sub-contractors. This may include direct incentives to contractors in the form of penalties for poor performance on social and environmental matters or specific Perfor- mance Securities for C-ESMP compliance. • Ensure bidding documents clarify the responsibilities of the contractor to prepare and ad- here to a C-ESMP based on the ESMP and that no civil works will commence until the C- ESMPs have been approved by the supervision engineer. The C-ESMPs will include, among others, the following mitigation plans: (a) Air Quality Management and Dust Suppression Plan (b) Noise and Vibration Management Plan (c) Construction Material and Waste Management Plan (d) Borrow Pit Management Plan (e) Site Drainage Plan (f) Occupational Health and Safety Plan (OHS) (g) Community Health and Safety Plan (h) Soil Management Plan (i) Spill Prevention Plan (j) Emergency Preparedness and Response Plan (please also refer to Annex 3) (k) Road Safety and Traffic Management Plan (l) Labor Camp Management Plan (m) Facility Layout Plans and Plants Operation Plan (n) Chance Finds Procedures (o) Site Restoration/reinstatement Plan (incl., all disturbed lands) 215 Stage of Contrac- Actions by Environmental and Social Specialists and Procurement Specialists tual Process (p) Other relevant plans. • Ensure the bidding documents detail how the contractor and supervision engineer will be required to monitor and report on the impacts on the local community, issues related to labor influx and workers’ camps. • Propose Key Performance Indicators (KPIs) for Contract Management, reflecting issues and risks specific to the contract and the monitoring plan. Bidding evaluation • Ensure that the procurement panel formed by the project’s proponent has sufficient ex- perience and expertise in ESHS review of the bid proposals in the similar sector. • Review and verify the recommended bidder that documents related to the ESHS require- ments and other relevant obligations of the contractor required to be submitted with the bid are sufficiently detailed and cover the contractual requirements. • Clarify with bidders on technical specifications and requirements for ESHS. • Ensure that the contractor meets the project’s OHS requirements for capability and expe- rience. After contract sign- • Prior to commencing works, the contractor submits site-specific C-ESMPs as above and ing potential labor data based on the labor force plan and their hiring strategy. Ensure that all contractual provisions on labor hiring by the selected contractors, including through intermediate agencies are consistent with the requirements set forth in the ESMP and LMP. These include specific management plans for: (i occupational health and safety; (ii) non-discrimination; (iii) grievance management; (iv) minimum age; (v) terms and condi- tions; (vi) codes of conduct and (vii) labor and working conditions. • Supervision engineer reviews and approves the C-ESMPs – with inputs from appropriate Government agencies—before any works start. • Set up a process for contract management that plans for regular meetings of the parties to monitor the contractor’s performance in all areas. • Ensure the C-ESMPs and mitigation plans are updated promptly and re-disclosed as ap- propriate to address new and emerging issues, including non-compliances and incidents and/or accidents. • Ensure that the following measures are fully documented for the World Bank’s review as per the project’s ESCP: • Training activities for workers on OHS, activities related to the Code of Conduct, etc. • Performance of recommended specific management plans. • FGRM reports. • KPIs (including the local community/stakeholder engagement plan, if applicable). 8.4 Contractor’s Site-specific Environmental and Social Management Plans (C-ESMP) The current ESIA/ESMP will be updated based on the final detailed designs and included in the Bidding documentation. Prior to commencement of civil works, the Contractor shall prepare site-specific En- vironmental and Social Management Plan (C-ESMP) for specific road section/Lot. The prepared C- ESMPs shall be reviewed and approved by the Construction Supervision Consultant (CSC) and PIU’s environmental and social staff. It is derived from the ESIA/ESMP and other ESF instruments devel- oped under the TRACE Project and is intended to be followed to minimize possible impacts associated with the Project activities. 216 Prior to start of the civil works at the discretion of the Construction Supervision Consultant (CSC), the following, but not limited to site-specific E&S Management Plans shall be prepared, consulted on and implemented throughout the project cycle: • Air Quality Management and Dust Suppression Plan • Noise and Vibration Management Plan • Construction Material and Waste Management Plan • Borrow Pit Management Plan • Site Drainage Plan • Occupational Health and Safety Plan (OHS) • Community Health and Safety Plan • Soil Management Plan • Spill Prevention Plan • Emergency Preparedness and Response Plan (please refer to Annex XXX) • Road Safety and Traffic Management Plan • Labor Camp Management Plan • Facility Layout Plans and Plants Operation Plan • Chance Finds Procedures • Site Restoration/reinstatement Plan (incl., all disturbed lands) • Other management plans, as relevant. Additional respective management plans may be required by the CSC during the actual construction. 8.5 Cost estimates for the ESMP implementation Most of the mitigation measures require the Contractors to adopt good site practices, which should be part of their normal construction contract, so there will be no additional costs to be included in the ESMP. Costs of mitigation measures, especially the wildlife (saiga, argali, etc.) crossings, are part of the contracted civil works. The cost for implementing the ESMP for Sub-Component 1.1 items from undertaking mitigation measures, monitoring of impacts and capacity building for KAZh personnel. The line items for mitiga- tion measures primarily planting trees as and providing green covers to embankment fills for the road pavement and bridges for erosion control such as sodding of embankment. For the monitoring as- pects, environmental and social specialist shall be engaged periodically to conduct periodic audits on compliance of the contractor as well as ES performance of the project. Parametric measurements of air quality, water quality and noise at specific points shall be conducted by the Contractor. Capacity building will mainly involve training on various topics relevant to ESIA/ESMP and ESF WB require- ments. The key budget items for the ESMP implementation should include, but not limited to the followings: • Monitoring activities (instrumental measurements on environmental parameters) • Dust suppression measures, noise pollution prevention, etc. • OHS considerations to Contractors/subcontractors. • Road safety and Traffic Management arrangements. • Training/toolbox activities on EHS and OHS aspects. • Compensatory tree planting activities. • Restoration of the disturbed lands by auxiliary facilities. 217 The additional environmental impacts that need to be mitigated in the overall implementation of the project will be on any affected trees should there be any need; and sodding or regreening of roadsides which will to provide natural covers to embankment works. These trees are mainly common trees such as ash, oak and maple. The detailed design on ant RP that will be done for Sub-Component 1.1 will identify individual trees to be cut. In order to have a higher degree of success for replacement of affected trees, ten (10) seedlings of the same or similar species is proposed to be planted. Accordingly, an estimated number of trees and cost for planting trees and regreening is shown below. Table 42: Budgetary Cost for Mitigation of Affected Trees and Regreening Work Item Quantity Cost per 1 unit (dollar) Total Cost (USD) A. Tree Planting 1.Poplar seedlings, pcs 38.750 1.79 69,196.4 2. Seedlings of Karagach (Elm), pcs 75.520 1.12 84,285.7 3.Acacia yellow (caragana), pcs 231.410 1.79 41,3232.1 B. Supplementary Planting Requirements 1.Humus, tons 250 11.16 2,790.2 2.Bormagnesium fertilizer, tons 905 1.79 1,616.1 Total Cost Estimate 571,120.5 8.6 ESMP Monitoring Plan Part of the requirement of the WB in accordance with ESS1 par. 15 (d) is to “Conduct monitoring and reporting on the environmental and social performance of the project against the ESSs. Further in ESS1 – Annex 1 par. 15 (b) states that “The ESMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the environmental and social assessment and the mitigation measures described in the ESMP. Specifically, the monitoring section of the ESMP provides (a) a specific description, and technical details, of monitoring measures, including the pa- rameters to be measured, methods to be used, sampling locations, frequency of measurements, de- tection 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.” In compliance to the stipulations, the objective of the environmental and social monitoring is to en- sure that all concerned agencies take the specified action to provide the required mitigation, to assess whether the action has adequately safeguarded the P-APs and the environment. Furthermore, it is to determine whether any additional measures may be necessary. Regular inspection of implemented measures by Civil Works Contractors will be conducted by the Construction Supervision Consultant, and overseen by the KAZh-PIU, as the Implementing Agency (IA). Monitoring during operation stage will later on be conducted by KAZh. 218 Table 43: Environment and Social Monitoring Plan Aspect Parameters to be monitored Location Methodology Timing and Frequency Institutional Re- sponsibility for Monitoring ES Compliance Report- Existence of Periodic ES Reports Inspection and Recording Contractor – Monthly to Quar- Contractor to sub- ing terly mit Reports to CSC – Quarterly and Biannually PIU/CSC CSC to review Re- port of Contractor CSC to prepare ES Compliance Reports PIU to review and record submissions Permits/Clearances Existences of permits from MENR for Inspection Before commencement of site Contractor to Per- borrow areas, asphalt plants, disposal works or installation of facilities form sites and tree cutting as well as clearance KAZh-PIU/CSC to from the MOH for establishment and op- check compliance eration of work camps. Contractor’s yard Solid waste handling and disposal facili- Contractor’s Camp Inspections, observations Unannounced inspections during Contractor to Per- ties construction. At least once a form Drainage conditions week KAZh-PIU/CSC to Sanitation facilities and sewage disposal check compliance Heath facilities Hazardous wastes management Equipment maintenance Storage and handling practices Contractor’s Camp Inspections, observations Unannounced inspections during Contractor to Per- and fuel storage areas Condition of storage facilities of fuel, lub- construction. At least once a form ricants and paints week KAZh-PIU/CSC to Spillage check compliance Drainage conditions Borrow areas and access Watercourses in the vicinity (obstruc- At site and access Inspections, observations, con- Unannounced inspections during Contractor to Per- roads tion, siltation, etc.) roads sultation with nearby commu- construction and after com- form Dust emission along access roads, partic- nities plaint. At least twice a week KAZh-PIU/CSC to ularly near settlements. check compliance 219 Aspect Parameters to be monitored Location Methodology Timing and Frequency Institutional Re- sponsibility for Monitoring Asphalt plant Surrounding Exhaust fumes At asphalt and ce- Inspections, observations, con- Unannounced inspections during Contractor to Per- ment batching plant sultation with nearby commu- construction and after com- form sites nities plaint. At least twice a week KAZh-PIU/CSC to check compliance Worker’s Safety Provision and use of appropriate person- Job sites Inspections; observations and Unannounced inspections during Contractor to Per- nel safety equipment; Holding periodic interviews construction. At least once a form EHS and OHS-related trainings (instruc- week KAZh-PIU/CSC to tions, toolbox talks) check compliance Air Quality The following parameters shall be meas- Populated area/ Near Obtain air samples from the Start of Project / before con- Contractor to Per- ured by the Contractor: TSP, Sulphur Di- villages/ Plant areas field and analysis in laboratory struction (for baseline) form oxide (SO2), Nitrogen Dioxide (NO2) and (or at specified sam- for air quality measurement Monthly and Quarterly during KAZh-PIU/CSC to Carbon Monoxide (CO). Other parame- pling points where construction in the particular check compliance ters maybe warranted as and when re- there are schools, are-as needed. End of Project quested by the Engineer. health care facilities, mosque or populated areas) Asphalt plant/ Ce- ment batching plant Noise The Contractor shall ensure that routine Populated area/ Near Noise meter gadget Monthly throughout construc- ESS/CSC noise monitoring is undertaken through- villages/ Plant areas tion. out the construction period. Parameters (or at specified sam- to be monitored to establish a baseline pling points where include: there are schools, Laeq 1h (dBA – Average Decibel) health care facilities, Average Daily Noise level mosque or populated areas) Asphalt plant/ Ce- ment batching plant 220 Aspect Parameters to be monitored Location Methodology Timing and Frequency Institutional Re- sponsibility for Monitoring Water Quality The following parameters shall be meas- Existing major water- Obtain water samples from the Start of Project / before con- Contractor to Per- ured by the Contractor: Biological Oxy- ways (canals & rivers) field and analysis in laboratory struction (for baseline) form gen Demand (BOD), Chemical Oxygen - one sample around for air quality measurement Monthly and quarterly during KAZh-PIU/CSC to Demand (COD), Total Suspended Solids 50 m upstream and construction in the particular ar- check compliance (TSS), Total Petroleum Hydrocarbons downstream of the eas. (TPH). Other parameters maybe war- bridge points End of Project ranted as and when requested by the En- Perennial water bod- gineer. ies/ wetland – less than 10m from bank of water bodies adja- cent to project road Community Safety Traffic safety arrangements, safe and Road Project sites and Received information from P- Monthly throughout construc- Contractor to Per- or/restricted access to general public, communities directly APs, key informants and stake- tion. form proper barriers/fencing of excavation and indirectly af- holders. KAZh-PIU/CSC to and work areas, safety, signage, GRM in- fected by the con- check compliance formation, community notifications, oc- struction works currence or absence of any incidents, SEA/SH complaints, etc. 221 8.6.1 Consultancy Budget on Monitoring Activities The cost for the environmental management and monitoring on the consultancy is estimated based on KAHz’s assumption that the entire project construction period is forty months for tentatively around five (5) contract Lots. This will include fees and other associated cost for management and monitoring of the construction sites and affected areas in the project road. In addition, the main Contractor shall undertake periodic parametric measurements as basis for action to improve their performance on the implementation of measures. Capacity Assessment and Needs The Kazavtozhol has been dealing with several international finance institutions (IFIs) such as WB, ADB, EBRD, etc. requiring the implementation Environmental and Social Safeguards. Years of experience of working with IFIs and through appointed project consultants have fa- miliarized KAZh the intricacies of the requirements. With the application of the previous WB’s Safeguards Policies and Operational Procedures through several similar road construction or rehabilitation projects a compliance system within the KAZh have involved with the personnel getting familiar with the guidelines and requirements. Based on past performance, KAZh has demonstrated a satisfactory commitment to complying with Environmental and Social Safe- guard of the WB as well as of other IFIs. However, the implementing agency did not have a previous experience in applying the ESF E&S standards. Prior to the commencement of the civil works, the KAZH shall organize capacity building ac- tivities to Project workers on the ESF requirements. These activities include on-the-job train- ing on relevant ESHS aspects under the project as required in the ESMP, LMP, SEP, RAP, and SEP. Thematic training activities can include but not limited to: • Implementing the ESMP, BMP, LMP, and SEP. • Monitoring E&S compliance and reporting. • Air quality, noise and pollution prevention, waste management, etc. • Biodiversity Conservation • Occupational Health and Safety • Community Health and Safety, which includes SEA/SH prevention and management, Traffic and Road Safety • Stakeholder engagement, which includes community consultations and GRM. • Reporting on ESHS performance metrics • Preparation of site-specific E&S management plans • Accident and incident reporting, investigation, and preparation of corrective action plans • ESSs relevant to TRACE. 9 CONSULTATION AND STAKEHOLDER ENGAGEMENT In conformity with the ESS10: Stakeholder Engagement and Information Disclosure and pre- vailing laws and regulations Kazakhstan pertaining to Stakeholder Engagements, public noti- fication and consultations for the Sub-Component 1.1 of TRACE are to be done by the KAZh. This will be undertaken through official notices to the residents in Karagandy and Jezqazgan, 222 and potential stakeholders. The outputs and outcomes of any public consultations shall be considered in the project preparation stage of TRACE. In accordance with TRACE, the Project's Stakeholder Engagement Plan, KAZh will conduct con- sultation activities and stakeholder engagement. The SEP provides ways to identify potential different stakeholders, to develop an approach for reaching each of the subgroups, to create a mechanism by which Project Affected Parties (PA-Ps) and Other Interested Parties (OIPs) can raise concerns, provide feedback, or make complaints, and to minimize and mitigate en- vironmental and social risks related to the proposed project. The overall objective of this Stakeholder Engagement Plan is to establish an organized program for stakeholder engage- ment, including public information disclosure and consultation, throughout the entire project cycle following the objectives outlined in ESS10 par. 3 as follows: • To establish a systematic approach to stakeholder engagement that will help Borrowers identify stakeholders and build and maintain a constructive relationship with them, in particular project-affected parties. • To assess the level of stakeholder interest and support for the project and to enable stakeholders’ views to be considered in project design and environmental and social performance. • To promote and provide means for effective and inclusive engagement with project- affected parties throughout the project life cycle on issues that could potentially affect them. • To ensure that appropriate project information on environmental and social risks and impacts is disclosed to stakeholders in a timely, understandable, accessible, and appropriate manner and format stakeholder engagement and Information Disclosure; and • To provide project-affected parties with accessible and inclusive means to raise issues and grievances and allow Borrowers to respond to and manage such grievance. In general, there are two kinds of stakeholders, affected and interested stakeholders – Pro- ject-Affected Parties and Other Interested Parties. The Project-Affected Parties (P-APs) are those that are affected or likely to be affected by the project and because of their circum- stances, may be disadvantaged or vulnerable. This group are likely to be adversely affected by the project impacts and/or more limited than others in their ability to take advantage of a project’s benefits (ESS10 pars. 5&11). The Other Interested Parties (OIPs) are those who may have an interest in the project and would have different concerns and priorities about project impacts, mitigation mechanisms and benefits, and who may require different, or separate, forms of engagement (ESS10 paras. 5&11). Both stakeholders were detailed in the SEP. For Sub-Component 1,1, the Jezqazgan – Karagandy road, these stakeholders can be identi- fied as those who will experience impacts due to the reconstruction of the main corridor. It will be the responsibility of KAZh and the CSC to update the SEP. More detail and analysis of project stakeholders, and suggested methods and timing for engagement, is provided in the SEP. 223 9.1 Consultations During Project Preparation As part of the Environmental and Social Safeguards requirements for the processing of the ESF documents, Public Consultations (PC) were conducted within the Rayons of Ulytau and Karagandy. In Ulytau, KAzh arranged the Public Consultation at the Akimat office in Jezqazgan on 24 June 2024 at 11:00AM; while in Karagandy, the Public Consultations were held on 26 June in the villages of Batyk (9:30-10:30am) and Akoy (12:00-3:00PM), Shet district. Hybrid in-person and online Public Consultations were organized where consultants pre- sented salient information about the project. Lively discussion ensued after the presentations wherein the stakeholders asked pertinent questions regarding environmental and social is- sues. The Consultants provided responses to these questions to the satisfaction of the stake- holders. The stakeholders also provided some recommendations that are worth considering by KAZh. The Minutes of the Public Consultations are found in the Annex 3. 9.2 Consultations During Project Implementation ESS10 par. 2 states: “Stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where properly designed and implemented, it supports the develop- ment of strong, constructive and responsive relationships that are important for successful management of a project’s environmental and social risks”. Henceforth, it is expected that consultations and information disclosure will be an ongoing process for the TRACE as detailed in the SEP. There will be ongoing local consultations with affected people, project workers, local authorities and vulnerable people, among others. Consultations will focus on the envi- ronmental and social impacts of the project, potential land acquisition impacts, livelihood res- toration plans, and trainings on Gender-Based Violence, Worker’s Code of Conduct, labor rights and available job opportunities, among others. Specific details, including details of stakeholders, methods of consultations and timings, are provided in the SEP. 9.3 Reporting Back to Stakeholders Reporting to stakeholder groups and evaluating the stakeholder process is considered vital to ensure that KAZh can respond to identified issues and change the schedule and nature of engagement activities to make them more effective. It is desirable that all issues must be resolved at all levels and professionally. For a clear and understandable review, everything should be used as informational and in the form of presentation. All interested parties should be informed of all stages and the solution of all problems. TRACE Communication and Community Coordinators (or the Environmental and Social Safe- guards) will report back to P-APs and other stakeholder groups, primarily through public meetings in project affected areas and/or Villages. Minutes of meetings will be shared during subsequent public meetings. Feedback received through the GRM will be responded to in writing and verbally, to the extent possible. SMS’ and phone calls will be used to respond to stakeholders whose telephone numbers are available. Key Project updates will be posted on 224 TRACE’s website. Social media (primarily through the Project website (or social media plat- form) for P-APs and other stakeholders will be developed by the KAZh with the assistance of the CSC. Through consultations, the stakeholders will be informed and feedbacks can be obtained. KAZH, with the support of CSC, will ensure that any project related meetings with the stake- holders will be recorded and any comments form part of the project documents when appli- cable. Any insights or ideas, or in particular, grievances from stakeholders will be logged ac- cordingly and followed through. TRACE Sub-Component 1.1 information will be disclosed to the public mainly through the fol- lowing: • Public/community meetings - Prior to other TRACE Sub-Component 1.1 related activities, at the time of disclosure of relevant project documentations, KAZh will arrange for a project briefing meeting on a national level, involving the stakeholder agencies. As the need arises, the briefing meeting can be done once at the start and another can be arranged if the need arises or if there will be major change in the project. Rayon, District/city authorities (Executive Powers) of Karagandy and Jezqazgan will organize meetings with community leaders, P-APs, and OIP. These meetings will be unrestricted but may prioritize on those vulnerable groups and in which the general public can raise concerns and provide comments. Depending on the level of interest on the TRACE, separate meeting for women and important sectors for a more focused discussion. These meetings can be scheduled on a semiannual basis. • Communication materials – TRACE Sub-Component 1.1 information will be disclosed to the public via a variety of means of conveying project information and updates via printed materials consisting of brochures, flyers, posters, etc. The communication materials will be produced by the KAZh and to be made available at the Executer Power office in Karagandy and Jezqazgan. A “Public Relations Kit” will be designed specifically and be made available both in print and online form. KAZh will also update its website (to be established) regularly (at least on a quarterly basis) with key project updates and reports on the project’s performance both in Kazakhstani and English. The website can also be utilized to provide information regarding the grievance mechanism for the project. • Mass/social media communication – A social safeguard specialist (from KAZh staff or an external consultant) will be engaged on during the project implementation of TRACE Sub-Component 1.1 in order to maintain close communication with stakeholders, including P-APs, community leaders. The social safeguard specialist, as the main Focal Point Person (FPP), will also be tasked for posting relevant information on the dedicated TRACE website, social media channels (Facebook, etc.) and on information boards throughout the project’s lifecycle. In addition, if necessary, the project may arrange for production of video materials (for video-sharing platform, e.g., YouTube) or documentary broadcast on TV/cable TV and which will entail description of the project, advance announcement of the forthcoming public events or commencement of specific Project activities. • Information Desks – During the initiation of the TRACE Sub-Component 1.1, an “Information Desks” in each Rayon (Karagandy & Jezqazgan) will be arranged with 225 Executive Powers to provide local residents with information on stakeholder engagement activities, project interventions, contact details of the Focal Point Person (FPP), etc. The FPP will set up these information desks in Rayon offices where they can meet and share information about the project with PAPs and other stakeholders. TRACE Sub-Component 1.1 brochures and fliers on various project related social and environmental issues will be made available at these information desks. • Stakeholders/ Beneficiaries /PAP Opinion/ Perception Surveys – At the start of the project, the TRACE will finance the design and a pilot of a Stakeholders/ Beneficiaries /PAP Opinion/ Perception Surveys regarding the TRACE to cover a good sample of the stakeholders of the project. Qualitative and quantitative metrics of the project will be taken and will serve as baseline information on the Stakeholders. A social safeguard consultant may be employed by the KAZh for this purpose. This can be cross-validated at some point in time during the implementation and prior to handing over of the project to KAZh. 10 GRIEVANCE REDRESS As per ESS10 C – Grievance Mechanism, the Borrower is expected to respond to concerns and grievances of project-affected parties related to the environmental and social performance of the project in a timely manner (ESS10 par. 26). The major considerations are as follows: (a) The grievance mechanism is expected to address concerns promptly and ef- fectively, in a transparent manner that is culturally appropriate and readily ac- cessible to all project-affected parties, at no cost and without retribution The mechanism, process or procedure will not prevent access to judicial or admin- istrative remedies The Borrower will inform the project-affected parties about the grievance process in the course of its community engagement activities, and will make publicly available a record documenting the responses to all grievances received; and (b) Handling of grievances will be done in a culturally appropriate manner and be discreet, objective, sensitive and responsive to the needs and concerns of the project-affected parties. The mechanism will also allow for anonymous com- plaints to be raised and addressed The Grievance Redress Mechanism (GRM) for TRACE, which can be adapted to Sub-Compo- nent 1.1, is described in detail in the LMP. 10.1 Grievance Redress Mechanisms The TRACE Grievance Redress Mechanism (GRM) in the SEP will be the same to what will be applied in the TRACE preliminary RAP, to resolve project issues during construction phase. Personnel and experts can be assigned to any or both GRM’s for practically and even con- sistency. For consistency this format shall be applied to Sub-Component 1.1. The GRM for road sector projects implemented by the Committee for Roads consists of two levels of griev- ances redressing: the Grievance Redress Committee (GRC) at the regional (oblast) and cen- 226 tral (Astana) levels. These levels operate in accordance with the Guidelines on Grievance Re- dress Mechanism on Environment and Social Safeguards in Road Sector Projects, which were approved by the Committee for Roads in August 2014 (GRM Guidelines). The GRC is com- posed of members who are appointed from CR, akimats, KAZH, CSC, and the Contractors. At both regional and national levels, the GRC is led by senior managers who are responsible for overseeing the entire operations of the GRM and ensuring its efficient and timely execution. Meanwhile, coordinators are accountable for engaging key stakeholders and overseeing the coordination of GRC activities at both regional and central levels The Steps to be followed to address grievance within the SEP framework consistent ESS10 requirements and usual arrangement of CoR/MoT: Step 1 Grievance Redressal Committee (GRC): Initially, the resolution of the grievance will be received through the Grievance Redressal Committee (GRC) at the regional level. The GRC shall consist of: (a) Representatives of KAZh regional branch (deputy director and a safeguards specialist or lawyer); (b) Consultants’ team representatives (safeguards specialist and public relations specialist); (c) Representatives of regional and district akimats (one from each Akimat located in the project area); (d) Representatives of the CSC (head / deputy head and protective measures specialist/public relations specialist); (e) Representatives of the Contractors (head / deputy head and safeguards specialist / community liaison specialist) Step 2 Grievance processing by GRC: Any inquiries or complains that have received clarifications and a decision at the time of submission will be promptly closed. The GRC at the regional level reviews cases that necessitate additional steps. The Regional GRC gathers twice a month meeting and holds special meetings as needed to address specific issues. It promptly reviews and discusses grievances within a period of ten working days and provides recommendations for their resolution to the concerned parties. The regional GRC coordinator offers relevant data to GRC members, compiles meeting minutes and progress reports, and ensures that actions and decisions are accurately recorded. Step 3 Grievance processing at the Central Level: In the event that the GRC is unable to resolve a grievance at the regional level, it will be transferred to the GRC at the central level for evaluation, accompanied by any relevant documentation. At the central level, the GRC (i) conducts monthly meetings, with the flexibility to schedule ad hoc meetings as required; and (ii) evaluates grievance cases and provides parties with settlement recommendations within a period of twenty working days. The central-level GRC Coordinator is responsible for disseminating pertinent information to GRC members, preparing progress reports and minutes of GRC meetings, and ensuring that actions and decisions are appropriately documented. Also, any individual can submit an electronic appeal to the state authorities on the e-otinish website https://eotinish.kz/kk. Step 4 Provision of Feedback: In the event that the grievance has been successfully resolved, the person who complained shall be formally notified of the resolution's outcome. The complaining party will be furnished with relevant details if the grievance remains unresolved by the GRC at the central level. This information will include the specific reasons for the case's unresolved status, along with a recommendation for further resolution through the RoK legal system. 227 GRM: Legal System. In accordance with RoK legislation, if a resolution cannot be reached following discussion and assistance from regional and central GRCs, or if the complainant re- mains dissatisfied with the grievance redress system, the case shall be referred to the court for resolution. Nonetheless, it should be emphasized that GRC management does not restrict a complainant's initial right to refer the case to court as part of the grievance redress proce- dure. Grievance Focal Points. PAPs and other stakeholders may visit, call, email to, or fax the GRC for the Karaganda and Ulytau region at the regional level. 10.2 Disclosure of the Grievance Process The public has been and will continue to be informed about the grievance redress procedure under this RAP through the distribution of information brochures and the installation of in- formation stands in rural district/regional akimats and the Executing Agency (or an EA repre- sentative at the regional level). During public consultations and unofficial meetings on pro- ject-site, representatives of the ESF Consultants team, NC QazAutoJol JSC, and/or an EA re- gional representative will also present the grievance redress mechanism. A brief overview of grievance redress will be included in the reports that the ESF Consultants team and EA/CR submit to the WB. Further details are explained in the SEP. 11 MONITORING AND REPORTING The environmental and social monitoring will be done to ensure proper response and mitiga- tion with the identified project risks and impacts, which may arise during the construction phase of the TRACE Sub-components. Prior to the construction, the KAZh ES staff with the assistance of the CSC will do the following: • Develop an environmental auditing protocol for the construction period as well as a detailed monitoring and reporting plan; • Provide guidance and formulate a report outline that will be used by the contractor as a guide in the preparation of periodic environmental and social progress reports; and • Undertake regular and periodic monitoring of contractor’s implementation of the mitigation measures during the construction stage, consistent with the monitoring program, and submit to KAZh quarterly monitoring reports. Special separate reports should be prepared in the event a significant environment related incident will arise. The KAZh will provide the WB a summary of the monitoring results on a quarterly basis. In addition, environmental management activities should form part of the Internal Monitoring System. The purpose of such system is to track progress of as well as changes in civil work activities as well as monitor effects and impact of the TRACE Sub-Component 1.1 on the Pro- 228 ject-Affected Parties and Other Interested Parties. The KAZh will be responsible for the es- tablishment of the monitoring system with the assistance of the CSC and the Civil Works Con- tractor, whose scope will be specified in the terms of reference for the work contract. 11.1 Internal Environmental and Social Monitoring by KAZh During TRACE Sub-Component 1.1 implementation, the KAZH’s ES staff will conduct monthly internal monitoring activities on the ESMPs to determine the effectiveness of the mitigation measures against the identified environmental and social risks and impacts. Monitoring re- ports will be reviewed by the project KAZh director and be submitted to the World Bank for their review. KAZh will be assisted by the CSC in the report preparation. During the road construction, the KAZh with the assistance of the CSC shall monitor the com- pliance of the Contractor in accordance with the ESMPs. Monthly and consolidating Quarterly reports shall be drafted for submission to KAZh, and to relevant agencies describing the status of implementation of environmental and social mitigation measures by the Contractors. In- cluded in the reports are additional mitigation measures that may need to be implemented, incidents of non-compliance with applicable environmental permits, complaints received from local residents, NGOs, etc. and ways and means by which, they were addressed or set- tled. It is also important that during the construction stage, any occupational health and safety (OHS), community or other incidents that may occur at the Project sites must be immediately reported to the WB without postponing that till a regular progress report is due. Towards this end, KAZh must include the requirement to promptly report on incidents into the contracts signed with the contractors of works and work supervision consultants. Once a notice on an incident arrives to the KAZh must be instantly communicated to the World Bank in writing with the inclusion of sufficient detail known at the moment of reporting. Following the occur- rence of an incident KAZh will undertake a root cause analysis to assess the causes for the incident and prepare a corrective action plan including remedial actions to be put in place to prevent further occurrence of such accidents as well as to mitigate and compensate for any consequences arising from the accident that has occurred. It is advisable that the CSC shall employ an expatriate environment specialist, social develop- ment specialist (with civil engineering/environmental management background, experienced in social/Gender issues at the development projects), as well as OHS and Road Safety Special- ists to assist the KAZh in the monitoring the progress of the construction on its environmental aspect in accordance with the ESSs. The CSC, through its environment and social specialist/s, shall provide hands-on training to the KAZh throughout various stages of the construction. The CSC shall also assist KAZh in preparing monitoring reports regarding the performance of the contractors in terms of compliance with the relevant national environmental regulations, quality standards and the implementation of environmental specifications in accordance with the contract provisions. The Terms of Reference (ToR) for the environmental specialist shall be drawn-up by the CSC for the TRACE. During project implementation, the KAZh will report to the World Bank every three (3) months on the progress of the E&S performance based on the monitoring reports submitted by the Contractor. 229 12 Annex 1: Environment & Social Screening for Sub-Component 1.2 Subcomponent 1.2, referred to as “Last-Mile Connectivity” will address reliable last-mile con- nectivity for the rural population and agricultural producers along the Jezqazgan-Karagandy corridor. Approximately 30 km of local roads and waterway crossing connecting communities with the Jezqazgan-Karagandy road will be paved and be made accessible to normal traffic. Overall, travel times will be reduced, roads be-come economically maintainable, and year- round access will be provided to the population. 12.1 Guidelines for Screening of Rural Roads und Subcomponent 1.2 Rural roads linked to Sub-Component 1.1 (Jezqazgan-Karagandy A17 road), shall be financed by the Bank after satisfying specified screening requirements established for eligibility pur- poses. The objectives of the screening process are to: a) determine eligibility for financing; and b) to identify key environmental and social risks and potential impacts and determine the appropriate E&S instrument for assessing and managing these risks. Based on these screening processes, decisions will be made by the E&S specialists in the PIU/KAZh with regards to the types and scope of the assessment and instrument required for each sub-project invest- ment/activity. The steps are described in the ensuing subsections. 12.1.1 Step 1: Rural Road Information and Eligibility Screening The rural road will be identified by PMU/KAZh with the support from Local Akimat and the CSC. Key information on the rural road will be provided in a "rural road concept report”, the format of which shall be decided by KAZh with CoR. This information will inform the E&S eli- gibility and technical screening process. 12.1.2 Step 2: Technical Screening and Instrument Determination A team of E&S Specialists within the PIU/KAZh and/or CSC will conduct E&S technical screen- ing using the sub-project screening tools (refer Sample Template), to assess environmental and social risks and potential impacts and determine E&S instrument requirements. Environmental and Social Risk Screening E&S risk screening will be conducted to determine the level of assessment and planning re- quired for the proposed rural road proportionate to the significance of associated risks and potential impacts. This will take into account: • the type, location, sensitivity and scale of the rural road Project; • the nature and magnitude of the potential ES risks and impacts; • the capacity of the responsible agency to manage such risks and impacts in a manner consistent with the ESSs; and • other areas of risk that may be relevant to the delivery of ES mitigation measures and outcomes, depending on the specific rural road project and the context in which it is being developed. 230 Due to the nature, location, function and purpose of rural roads, the project undertaking is generally considered to be at “Low to Moderate” risk levels. Within the framework of WB ESS, an Environmental and Social Impact Assessment (ESIA) needs to be prepared to specifically consist of: • Preparation of an Environmental and Social Impact Assessment and/or Environmental and Social Management Plan (ESMP) – for sub-component projects with moderate to E&S risks; OR • Adoption of a Code of Environmental and Social Practice (ESCOP or SPPL instrument) – for projects with low E&S risks. Table 44: Sub-Component 1.2 Project Risk Classification Risk Classifica- Description Instrument(s) tion High* Wide range of significant adverse risks and impacts on human populations or Not applicable the environment including i) long term, permanent and/or irreversible and im- Note: High risk sub- possible to avoid entirely due to the nature of the project; ii) high in magni- projects will not be tude and/or in spatial extent; iii) significant adverse cumulative impacts or permitted under the transboundary impacts; and iv) a high probability of serious adverse effects to TRACE Project. human health and/or the environment (e.g., due to accidents, toxic waste dis- posal, etc.) Some of the significant adverse ES risk and impacts of the Sub-Component Project cannot be mitigated or specific mitigation measures require complex and/or unproven mitigation, compensatory measures or technology, or so- phisticated social analysis and implementation. Substantial The Sub-Component Project may not be as complex as High-Risk Projects, its Environmental and ES scale and impact may be smaller (large to medium) and the location may Social Assessment not be in such a highly sensitive area, and some risks and impacts may be sig- (ESA) and Environ- nificant. This would take into account whether the potential risks and impacts mental and Social have the majority or all of the following characteristics: i) mostly temporary, Management Plan predictable and/or reversible and the nature of the Sub-Component Project (ESMP). does not preclude the possibility of avoiding or reversing them; ii) adverse so- cial impacts may give rise to a limited degree of social conflict, harm or risk to human security; iii) medium in magnitude and/or spatial extent; iv) there is medium to low probability of serious adverse effects to human health and/or the environment (e.g., due to accidents, toxic waste disposal, etc.), and there are known and reliable mechanisms available to prevent or minimize such in- cidents. Mitigatory and/or compensatory measures may be designed more readily and be more reliable than those of High-Risk Projects. Moderate Potential adverse risks and impacts on human populations and/or the environ- Environmental and ment are not likely to be significant. This is because the Sub-Component Pro- Social Assessment ject is not complex and/or large, does not involve activities that have a high (ESA) and Environ- potential for harming people or the environment, and is located away from mental and Social environmentally or socially sensitive areas. As such, the potential risks and im- Management Plan pacts and issues are likely to have the following characteristics: i) predictable (ESMP) and expected to be temporary and/or reversible; ii) low in magnitude; iii) site- specific, without likelihood of impacts beyond the actual footprint of the Pro- ject; and iv) low probability of serious adverse effects to human health and/or the environment (e.g., do not involve use or disposal of toxic materials, rou- tine safety precautions are expected to be sufficient to prevent accidents, etc.). The Project’s risks and impacts can be easily mitigated in a predictable man- ner. Low Potential adverse risks to and impacts on human populations and/or the envi- Code of Environmen- ronment are likely to be minimal or negligible. These Projects, with few or no tal and Social Practice 231 Risk Classifica- Description Instrument(s) tion adverse risks and impacts and issues, do not require further ES assessment fol- lowing the initial screening. * High risk projects are expected to be screened out during eligibility screening process. 12.1.3 Step 3: Preparation of Instruments Sub-Component project E&S instruments will be prepared in accordance with the RoK’s envi- ronmental and social permitting laws supplemented with any ESS requirements that the World Bank deems relevant. The relevant Environmental Agency and the Bank will review and clear the E&S instruments prepared by the subproject. 12.2 Environmental and Social Assessment Instruments The KAZH/PIU with support from the CSC will prepare the required environmental and social assessment instrument based on the result of the screening process and in parallel to the preparation of the Detailed Engineering Design (DED) of the sub-component project. The term ‘environmental and social assessment’ is a generic term that describes the process of analysis and planning used by the Borrower to ensure the environmental and social impacts and risks of a project are identified, avoided, minimized, reduced or mitigated. The KAZH and CSC will coordinate with the Local Environmental Department to conduct the ESIA which will take the form of an ESIA and/or ESMP. The environmental and social assess- ment will be closely integrated with the Sub-Component Project's economic, financial, insti- tutional, social, and technical analyses so that environmental and social considerations are taken into consideration in project selection, siting, and design decisions. Potential environmental and social impacts of sub-component projects will be assessed based on Sub-Component Project design (including operational parameters), baseline condi- tions and receptor sensitivity. Potential impacts will be characterized according to: • type (direct or indirect; positive or negative); • duration/temporal scope (permanent or temporary (short-term or long-term); • geographical extent (local, regional or national); and • significance (low, moderate, substantial or high). Proposed measures to avoid, reduce or mitigate potential adverse impacts/risks or to en- hance benefits will be specified for design, construction and operation phases. The breadth, depth and type of assessment will be commensurate with the nature, scale and complexity of the proposed sub-component project identified during technical screening. Public consulta- tion and disclosure activities will be integrated throughout the ESA/ESMP preparation pro- cess. 12.3 Environmental and Social Code of Practice (ESCOP or SPPL) The Rayon PMU will coordinate with the relevant contractors to use/prepare the ESCOP. CSC will mobilize relevant specialists to provide technical assistance and supervision of its appli- cation. Further, the Rayon PMU should prepare a Commitment Letter to carry out an Environ- mental Management and Monitoring (SPPL) for the sub-component project activity. 232 12.4 ES Screening Template A Template provided below to be used by the KAZh, Design Engineers, CSC and Contractors to screen potential environmental and social impacts of activities to be identified under Sub- component 1.2 of the Project. The Template is generic and might be further adjusted to re- flect the limited scale and types of activities. Road Section: Rayon/ District/ Village Date: Question Answer Action Re- World E&S Document Level of quired Bank Required Risk 21 ESS (example) (ex.) Will the works require any Yes No TBD If yes, need ESS5 RAP households to move structures to complete (include, houses, small shops, Land Acqui- rice bins etc.) back from the sition road and/or to cut them? Screening Checklist (see RAP) and follow guidelines in the RAP Will the works require the re- ESS1 RAP, ESMP moval of trees (fruit or other and 5 trees)? Are the works, located in or Check ESS8 ESMP near a cultural/heritage area? against Ineli- Or located near graves, temples gible/ Nega- or other sacred sites? tive list Are the works, located near or Check ESS6 ESMP in a protected area (or a buffer against Ineli- zone of a protected area)? gible/ Nega- tive list 21 High, Substantial, Moderate or Low 233 Question Answer Action Re- World E&S Document Level of quired Bank Required Risk 21 ESS (example) (ex.) Are there endangered flora or Check ESS1 ESMP fauna species in the area? against Ineli- and 6 gible/ Nega- tive list Will the works require new bor- ESS1 ESMP row pits or quarries to be opened up? Will the works be located near a ESS1 ESMP river, stream or waterway? Will the works result in in- ESS1 ESMP creases in, or changes to the and 4 type of, traffic using the road? Will any of the works require ESS1 ESMP the use of toxic chemicals, herb- and 3 icides, and/or explosives? Will the works increase noise ESS1 ESMP levels in the community (due to vehicles, works, etc.)? Would works required setting ESS4 ESMP up a worker’s camp? Otherwise, where are workers expected to live? Are works likely to cause signifi- ESS3 ESMP cant negative impacts to air and/or water quality? Would any public facilities, such ESS 4 ESMP as schools, hospitals or mosques be negatively affected by construction? Is an influx of workers, from ESS 2 ESMP outside the community, ex- and 4 pected? Would workers be local or foreigners? Would workers be expected to use health ser- vices of the community? Would they create pressures on exist- ing community services (water, electricity, health, recreation, others?) Is there a risk that children ESS 2 ESMP could be hired for project works? 234 Question Answer Action Re- World E&S Document Level of quired Bank Required Risk 21 ESS (example) (ex.) Is there a risk that HIV/AIDS and ESS 4 ESMP other sexually transmitted dis- eases may increase as a result of project works? Is there a risk that GBV and/or ESS 4 ESMP, Gender VAC may increase as a result of Action Plan project works? Is there a risk that traffic acci- ESS 4 ESMP, Road dents and death may increase Safety Plan as a result of the project? Is there a risk that women and ESS 4, ESMP, SEP and other vulnerable groups may 5, 7 RAP not benefit and/or be more ad- versely impacted by the pro- ject? Is there a risk that women may ESS 2 ESMP be under-paid when compared to men when working on the project construction? What is the likely number of ESS 1, ESMP construction workers needed? 2, 4 Is there a possibility of employ- ESS 2 ESMP ment in project works for the local community? Of these, how many jobs would be expected for women? Will skilled workers be available ESS 2 ESMP in local areas? Will international workers be needed? Other information that may be relevant about the road section: 12.5 Guidelines in Preparing an ESMP An ESMP shall be prepared for each of Lots in Sub-Component 1.2, consistent with the ESMP of Sub-Component 1.1 whenever applicable. The ESIA/ESMP for Sub-Component 1.2 shall use existing information available in Sub-Component 1.1 and the minimum shall cover discussions on the following: (a) Mitigation Measures The ESMP identifies measures and actions in accordance with the mitigation hierarchy that reduce potentially adverse environmental and social impacts to acceptable levels the plan will include compensatory measures, if applicable. 235 Specifically, the ESMP • identifies and summarizes all anticipated adverse environmental and social impacts (in- cluding those involving indigenous people or involuntary resettlement); • 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. • estimates any potential environmental and social impacts of these measures; and • considers, and is consistent with, other mitigation plans required for the project (e.g., for involuntary resettlement, indigenous peoples, or cultural heritage). (b) Monitoring The ESMP identifies monitoring objectives and specifies the type of monitoring, with linkages to the impacts assessed in the environmental and social assessment and the mitigation measures described in the ESMP. Specifically, the monitoring section of the ESMP provides: • a specific description, and technical details, of monitoring measures, including the param- eters to be measured, methods to be used, sampling locations, frequency of measure- ments, detection limits (where appropriate), and definition of thresholds that will signal the need for corrective actions; and • monitoring and reporting procedures to (i) ensure early detection of conditions that ne- cessitate particular mitigation measures, and (ii) furnish information on the progress and results of mitigation. (c) Institutional Arrangements Covering roles and responsibilities, coordination and reporting, oversight, use of third-party audit if needed. (d) Capacity Development and Training • To support timely and effective implementation of environmental and social project com- ponents and mitigation measures, the ESMP draws on the environmental and social as- sessment of the existence, role, and capability of responsible parties on site or at the agency and ministry level. • Specifically, the ESMP provides a specific description of institutional arrangements, iden- tifying which party is responsible for carrying out the mitigation and monitoring measures (e.g., for operation, supervision, enforcement, monitoring of implementation, remedial action, financing, reporting, and staff training). • To strengthen environmental and social management capability in the agencies responsi- ble for implementation, the ESMP recommends the establishment or expansion of the parties responsible, the training of staff and any additional measures that may be neces- sary to support implementation of mitigation measures and any other recommendations of the environmental and social assessment. (e) Implementation Schedule and Cost Estimates For all three aspects (mitigation, monitoring and capacity development), the ESMP provides (i) an implementation schedule for measures that must be carried out as part of the project, 236 showing phasing and coordination with overall project implementation plans; and (ii) the cap- ital and recurrent cost estimates and sources of funds for implementing the ESMP. These fig- ures are also integrated into the total project cost tables. An ESMP Matrix and Monitoring Plan of Sub-Component 1.2 has to be prepared utilizing the format below. Environmental and Social Management Plan (ESMP matrix) Construction Phase Responsibility Cost estimate Expected Period of Im- Proposed for Imple- Environ- plementing Activity Measure for menting Miti- mental Im- Mitigation Mitigation gation Meas- pact Measure ure 1. 2. … Operation Phase 1. 2. … Decommissioning 1. Monitoring Plan Construction Phase What Where How When By Whom parameter is to is the pa- is the parameter to is the parameter to be is the parameter be monitored? rameter to be monitored (what monitored (timing and to be monitored– be moni- should be measured frequency)? (responsibility)? tored? and how)? 1. 2. … Operation Phase 237 1. 2. … 238 13 Annex 2: Sample Chance Find Procedure A. Objectives of the Procedure The chance find procedure is a project-specific procedure that outlines actions required if previously unknown heritage resources, particularly archaeological resources, are encoun- tered during project construction or operation. A Chance Find Procedure, as described in IFC Performance Standard 8, is a process that prevents chance finds from being disturbed until an assessment by a competent specialist is made and actions consistent with the require- ments are implemented. B. Scope of the chance find procedure This procedure is applicable to all activities conducted by the personnel, including contractors, that have the potential to uncover a heritage item/site. The procedure details the actions to be taken when a previously unidentified and potential heritage item/site is found during con- struction activities. Procedure outlines the roles and responsibilities and the response times required from both project staff, and any relevant heritage authority. C. Procedure If any person discovers a physical cultural resource, such as (but not limited to) archaeological sites, historical sites, remains and objects, or a cemetery and/or individual graves during ex- cavation or construction, the following steps shall be taken: 1. Stop all works in the vicinity of the find, until a solution is found for the preservation of these artefacts, or advice from the relevant authorities is obtained; 2. Immediately notify a foreman. The foreman will then notify the Construction Manager who will in turn must contact the KAZh E&S Specialists; 3. Record details in Incident Report and take photos of the find; 4. Delineate the discovered site or area; secure the site to prevent any damage or loss of removable objects. In cases of removable antiquities or sensitive remains, a night guard shall be arranged until the responsible local authorities take over; 5. Preliminary evaluation of the findings by KAZh E&S Specialists; and if necessary, govern- ment archaeologists. The KAZh E&S Specialists; must make a rapid assessment of the site or find to determine its importance. Based on this assessment the appropriate strat- egy can be implemented. The significance and importance of the findings should be as- sessed according to the various criteria relevant to cultural heritage such as aesthetic, historic, scientific or research, social and economic values of the find; 6. Sites of minor significance (such as isolated or unclear features, and isolated finds) will be recorded immediately by the archaeologist, thus causing a minimum disruption to the work schedule of the Contractor. The results of all archaeological work must be reported to the Ministry/Agency, once completed. 7. In case of significant find the Agency/Ministry (Ministry of Culture, hereinafter referred to as Heritage team) will be informed immediately and in writing within 7 days from the find (ref. law on heritage protection). 8. The onsite archaeologist provides the Heritage team with photos, other information as relevant for identification and assessment of the significance of heritage items. 9. The Ministry must investigate the fact within 2 weeks from the date of notification and provide response in writing. 239 10. Decisions on how to handle the finding shall be taken by the responsible authorities. This could include changes in the layout (such as when finding an irremovable remain of cul- tural or archaeological importance) conservation, preservation, restoration and salvage; 11. Construction works could resume only after permission is granted from the responsible authorities. 12. In case no response received within the 2 weeks period mentioned above, this is consid- ered as authorization to proceed with suspended construction works. One of the main requirements of the procedure is record keeping. All finds must be regis- tered. Photolog, copies of communication with decision making authorities, conclusions and recommendations/guidance, implementation reports – kept. D. Induction/Training All personnel, especially those working on earth movements and excavations, are to be in- ducted on the identification of potential heritage items/sites and the relevant actions for them with regards to this procedure during the Project induction and regular toolbox talks. E. Additional information Management options for archaeological site • Site avoidance. If the boundaries of the site have been delineated attempt must be made to redesign the proposed development to avoid the site. (The fastest and most cost-effective management option) • Mitigation. If it is not feasible to avoid the site through redesign, it will be necessary to sample it using data collection program prior to its loss. This could include surface collection and/or excavation. (The most expensive and time-consuming management option.) • Site Protection. It may be possible to protect the site through the installation of bar- riers during the time of the development and/or possibly for a longer term. This could include the erection of high visibility fencing around the site or covering the site area with a geotextile and then capping it with fill. The exact prescription would be site- specific. Management of replicable and non-replicable heritage Different approaches for the finds apply to replicable and non-replicable heritage. Replicable heritage Where tangible cultural heritage that is replicable22 and not critical is encountered, mitigation measures will be applied. The mitigation hierarchy is as follows: • Avoidance; 22 Replicable cultural heritage is defined as tangible forms of cultural heritage that can themselves be moved to another location or that can be replaced by a similar structure or natural features to which the cultural values can be transferred by appropriate measures. Archaeological or historical sites may be considered replicable where the particular areas and cultural values they represent are well represented by other sites and/or structures. 240 • Minimization of adverse impacts and implementation of restoration measures, in situ; • Restoration of the functionality of the cultural heritage, in a different location; • Permanent removal of historical and archaeological artefacts and structures; • Compensation of loss - where minimization of adverse impacts and restoration not feasible. Non-replicable heritage Most cultural heritage is best protected by in situ preservation, since removal is likely to re- sult in irreparable damage or even destruction of the cultural heritage. Nonreplicable cultural heritage23 must not be removed unless all of the following conditions are met: • There are no technically or financially feasible alternatives to removal; • The overall benefits of the project conclusively outweigh the anticipated cultural her- itage loss from removal; and Any removal of cultural heritage must be conducted using the best available technique ad- vised by relevant authority and supervised by archaeologist. Human Remains Management Options The handling of human remains believed to be archaeological in nature requires communica- tion according to the same procedure described above. There are two possible courses of action: • Avoid. The development project is redesigned to completely avoid the found remains. An assessment should be made as to whether the remains may be affected by residual or accumulative impacts associated with the development, and properly addressed by a comprehensive management plan. • Exhumated. Exhumation of the remains in a manner considered appropriate by deci- sion makers. This will involve the predetermination of a site suitable for the reburial of the remains. Certain ceremonies or procedures may need to be followed before development activities can recommence in the area of the discovery. 23 Nonreplicable cultural heritage may relate to the social, economic, cultural, environmental, and climatic condi- tions of past peoples, their evolving ecologies, adaptive strategies, and early forms of environmental management, where the (i) cultural heritage is unique or relatively unique for the period it represents, or (ii) cultural heritage is unique or relatively unique in linking several periods in the same site. Examples of non-replicable cultural heritage may include an ancient city or temple, or a site unique in the period that it represents. 241 14 Annex 3: Incident Reporting Toolkit Introduction The E&S incident response procedure drafted to guide the PMU/PIU and the World Bank on how to respond to incidents in terms of internal reporting; where contractors and PMU and World Bank’s staff can seek additional support and the respective contractors; the roles of PMU/PIU and the World Bank in relation to on the ground remedies. This draft of the proce- dure was developed in alignment with Order of the Minister for Emergency Situations of the Republic of Kazakhstan dated August 17, 2021 № 404. Registered in the Ministry of Justice of the Republic of Kazakhstan on August 20, 2021 № 24052,the Republic of Kazakhstan (RoK) Labor Code dated 23 November 2015 # 414-V, Chapter 20 Work-related Incidents Investiga- tion and Recording, # 1055 of RoK Minister of Health and Social Development dated 28 De- cember 2015 “On Approving Forms of Documents on Work-related Incidents”. Order # 183 of RoK Minister of Health and Social Development dated 31 March, 2015 “On Approving Rules for Temporary Disability Expert Review, Issuance of Temporary Disability Statement” and the World Bank’s Safeguards Incident Reporting Toolkit (SIRT), which is an internal guideline for the World Bank’s staff in the event of incidents that occur as the result of the World Bank investments. An incident is defined as an accident, incident or negative event resulting from failure to com- ply with the Project’s ESS requirements, or conditions that occur as the result of unexpected or unforeseen risks or impacts during project implementation. Examples of such incidents in- clude: fatalities, serious accidents and injuries, social impacts from labor influx, sexual exploi- tation and abuse (SEA) or other forms of gender-based violence (GBV), major environmental contamination, child labor, loss of biodiversity or critical habitat, loss of physical cultural re- sources and loss of access to community resources. The procedure is concerned with acci- dents involving communities, construction workers, supervision consultants, suppliers, as well as PIU staff. Management and Reporting Process Internal and External Notifications Internal Notifications 1. Initial (verbal) Notification of incident should be done immediately according to emergency notifications procedure and hierarchy of command. 2. Written Notification should be done within 24 hours - Initial Incident or Near Miss Information Reports in electronic form. 2.1 Initial Incident Information Report - all events such as injury or illness, motor vehicle crash, fire/explosion, or property damage (except off-the-job incidents). This form shall be completed by assigned person within the organization within 24 hours from the time of an incident. Electronic English, Kazakh and/or Russian versions of the report shall be approved by an Incident Owner (Contractor’s PM/HSE Manager) and sent to PIU (cc Supervision Engineers), KazAvtoZhol/CoR. 2.2 Near Miss or Unsafe Condition Report - shall be completed within 24 hours from the time of an event by assigned person within the Contractor’s organization. 242 The completed report shall be sent to PIU (cc Supervision Engineers), KazAvto- Zhol, CoR. External Notification 1. Notification of RoK Government Agencies – Contractor’s PM/HSE Manager completes all reporting obligations to RoK government agencies upon receiving detailed infor- mation on an incident as per the established procedures for notifying RoK government agencies. 2. Notification of World Bank – PIU completes all reporting obligations to WB: - Initial (Verbal) Notification of incident should be done immediately. - Written Notification should be done not later than 48 hours. The overarching incident management and reporting process comprises six steps (see below). Details on activities for each step as well as the roles of the respective parties are provided in the Table below. The incident response procedure may not apply beyond initial reporting and review when the project is completed, and the constructed and/or rehabilitated assets are transferred to the legal owner and/or local governments. Any subsequent incidents after the transfer will not be considered as a project related incident. These incidents are clearly outside the control of the project and while they can be documented, are not considered as a project related inci- dent. Figure 1: Overarching Incident Management and Reporting Process (3) (1) Initial(verbal) (2) Classification: Notification(written Communication How serious? ) : Who? How? When? (6) Follow up: Is (5) Response: response Remedial actions? (4) Investigation: complete? Was it Preventive What happened? effective? Lessons measures? How and why? learnt? 243 Table 45: Incident Reporting Procedure Role of Relevant Parties Incident Reporting Stage Activities Tools PIU World Bank Incident occurs: Initial (ver- PIU to provide relevant infor- Inform the Bank, inform appropriate Ensure TTL is aware, advise Verbal/Written report bal) Communication mation to WB authorities in compliance with local PIU and/or government answering above ques- regulations, secure the safety of work- counterparts if not aware, tions through call, ers and public, and provide immediate and launch the SIRT process email, letter or social care media messaging ser- vices 2. Classify incident Incident classification within 24 Promptly provide information about TTL with support of E&S spe- Incident classification hours of receipt of the infor- the incident to the Bank cialists classifies incident(s) and communication mation; If it cannot be fully classi- to determine severity (see sub-appendix A.1) fied due to missing information, preliminary classification should be provided and confirmed as de- tails become available 3. Notification Communication process inter- PIU prepares incident report (within 24 Depending on the level of se- Incident Report (see nally within the PIU and relevant hours) and circulates internally within verity of the incident, take sub-appendix A.2) officers at the PUPR and the Bank MPWH and notifies the World Bank necessary actions to address Incident Classification according to level of severity of (through the Task Team Leader and En- the incident and inform the and communication the incident vironmental and Social Specialists as World Bank’s Senior Man- (see sub-appendix A.1) per-Classification and Notification agement if the incident is Guide. classified as Serious or Se- vere. 4. Investigation Field investigation to understand Provide information requested by the Join the field investigation facts on the ground; Bank within 10 days* and facilitate inci- and provide expertise re- dent site visit quired to conduct proper field investigations * If not possible justification to be pro- vided. Undertake root cause analysis (RCA) Support the PIU to carry out ToRs for consultant(s) with the Bank to understand and docu- RCA. An RCA or equivalent retained by PIU to un- ment the root cause(s) of the incident. analysis will be required for dertake RCA and other 244 Role of Relevant Parties Incident Reporting Stage Activities Tools PIU World Bank RCA should be completed as soon as all serious and severe inci- analyses (See sub-ap- possible, ideally within 10 days dents pendix A.3) PIU Manager communicates to the CD communicates to rele- Minister and/or DG as relevant vant Minister and/or DG (MPWH) orally and/or in writing to discuss findings of the RCA 5. Respond Develop Incident Corrective Ac- Agree on ICAP with Bank, including own Work with the PIU to design Example of the types tion Plan (ICAP) actions, responsibilities and timelines and agree an appropriate of measures that can for implementation, and PIU monitor- ICAP be included in an ICAP ing program are included in sub- appendix A.4 6. Follow-up ICAP implementation Implement ICAP and ensure that con- Monitor ICAP implementa- ICAP template (sub-ap- tractors and sub-contractors follow and tion and provide on-going pendix 10.4) implement key action items in the ICAP technical support if neces- sary Conduct internal documentation and TTL reflects incident in Im- ICAP template (sub-ap- provide sections in the E&S perfor- plementation Status Report pendix 1.4) mance report on the implementation of (or interim ISR); ISR section the ICAP relating to incident is re- viewed by Country Lawyer For Serious and Severe cases, conduct a Monitor ICAP implementa- third-party (independent) monitoring tion and provide on-going and supervision of the ICAP technical support if neces- sary 245 Sub-appendix A.1: Incident Classification and Communication Three levels of classification include indicative, serious and severe. Each of these classifications is briefly described as follows: Indicative - A relatively minor and small-scale incident or non-compliance that is limited in its imme- diate effects but may be indicative of wider-scale issues within a project that could lead to serious or severe incidents. These may be escalated to serious or severe incidents, when, for example, there is recurrence of the incident within a six-month period, increasing severity of impact of the incident, or inability or unwillingness of the contractors to rectify the condition within the agreed timeframe. Serious - An incident that is causing or will cause significant harm to the environment, workers, com- munities, or natural or cultural resources, is complex and/or costly to reverse and may result in some level of lasting damage or injury. This may include repeated non-compliance, injuries to workers that require off-site medical attention and result in lost time, improper treatment of vulnerable groups, inadequate consultation, consistent lack of OHS plans in a civil works environment, and medium- scale deforestation. These types of incidents require an urgent response. Severe - An incident or repeated pattern of non-compliance of sufficient seriousness that it may, in addition to the actual or potential harm caused, pose a corporate risk to the Bank. A severe incident is complex and expensive to remedy, and likely irreversible. A fatality is automatically classified as severe, as are large-scale deforestation, major contamination, forced or child labor, human rights abuses of community members by security forces or other project workers, including GBV, violent community protests against a project, kidnapping, and trafficking in endangered species. If documented circumstances and relevant discussions between the PIU, contractors, supervision engineer and within the Bank team confirm that the incident is Indicative, Serious, or Severe, then a one to two-page Incident Report (IR) (see sub-appendix A.2) should be prepared and issued by the PIU Manager/Director, which shall be then forwarded to the WB Task Team (through Task Team Leader) within 24 hours of receipt of the information, with the support of the Project’s E&S special- ist(s), for internal communication. 246 Figure 2: Classification and Communication of E&S Incident 247 Sub-appendix A.2: Template for Incident Report Following classification as either Indicative, Serious or Severe, the PIU Manager is responsible for issuing an Incident Report for distribution according to the classification and notification guide (see Figure 2). The incident report should be 1 – 2 pages and include, at a minimum, the following infor- mation: a. Country, name of project, name of PIU Manager and Environmental and Social Specialists in the PIU. b. Preliminary classification of the incident c. What was the incident? What actually happened? To what or to whom? d. Where and when did the incident occur? e. How did we find out about it and when? f. Are the basic facts of the incident clear and uncontested, or are there conflicting versions? g. What are those versions? h. What were the conditions or circumstances under which the incident occurred (if known at this stage? i. Is the incident still ongoing or is it contained? j. Is loss of life or severe harm involved? k. What measures have been or are being implemented? l. Has anyone in the PIU or other government agencies been informed? If so, how specifically? What has response to date been? 248 Sub-appendix A.3: Samples of Terms of References Sample 1: Terms of Reference for Consultant to Carry Out a Root Cause Analysis for a Workplace Accident Background The Project was approved by the Bank’s board in (…) and was effective in (…). Construction Works started on (…) and are currently ongoing. The Project closing date is (…). Environmental and Social Impact Assessments (ESIAs – or equivalent) (…) including Environmental and Social Management Plans (ESMPs – or equivalent) were prepared. All E&S documents included measures for mitigating Occupational Health and Safety (OHS) risks. The ESMP requires that work- ers should be trained to recognize potential hazards and use safe work practices (…). According to preliminary information, a serious accident occurred during Construction Works in one of the Project sites (…) on (…). By way of background, according to the verbal report communi- cated by the PIU, Description of event. The objectives of these TORs are to: 1) identify the root cause of the accident; 2) identify immedi- ate measures to be taken to improve the safety at the site and at other Project sites throughout the Project; and 3) identify effective preventive measures to be implemented to reduce OHS risks. Scope of work - Conduct a Root-Cause Analysis of the incident and identify the sequence of events and factual circumstances. The analysis should identify what failing(s) led to the accident, what safety measures were in place, and the risk information/training provided to workers on site. The level of supervision of unskilled labor should also be assessed. - Recommend actions to be taken to rectify the failure(s) that led to the incident. - Review the safety procedures at different sites and identify the health and safety measures to be taken to minimize the risks of future accidents both to workers and to local residents. Site visits should be carried out to a representative sample of construction sites, activities, regions and contractors as applicable. Health and safety representatives of the contractors and implementing agencies, as well as other technical counterparts as necessary should be interviewed to gain a comprehensive understanding about health and safety management. - Review the OHS measures in E&S instruments and plans in construction contracts and rec- ommend enhancements as needed. The assessment should identify what the existing proce- dures for safe performance of construction activities (excavation, scaffolding, working at heights, welding, etc.) are and should recommend appropriate procedures should the exist- ing ones have gaps. - Review the capacity of Contractors and supervision consultants to implement OHS standards. The assessment should review the training plans for skilled and unskilled labor for effective- ness and propose improvements to the training and communication program so that workers are adequately guided to safely perform their work. - Review the existing arrangements for recruiting labor and what type of insurance (life or in- juries and occupational health risks) and compensations are provided. - Review compliance to the Labor Law and other international treaties by contractors or sub- contractors. - Assess the sufficiency of the measures that the contractors take to minimize risk on the local communities and communicate with them. Recommend improvements as necessary. 249 Consultant Qualifications - Extensive experience in conducting social analysis and social impact assessment in the Pro- ject’s sector(s) and country/region. - Extensive experience in measurement and evaluation of development projects in the Pro- ject’s sector(s). Focus on social performance and demand-side indicators. - Established reputation and proven track record in carrying out activities related to OHS, labor, including forced or child labor. - Experience with the design and implementation of feedback mechanisms in development projects. - Robust quantitative and qualitative analysis capacity with strong quality control. Excellent track record on interviewing respondents in local communities, conducting surveys, random sampling, designing focus group discussions, etc. - Robust staffing, including familiarity with country context, fluency in local languages, inde- pendence and knowledge of international standards. - Extensive experience of collaborating with a diverse range of stakeholders involved in devel- opment projects (including governmental authorities, local and international civil society, in- ternational development agencies etc.) Outputs The consultant shall prepare the following outputs: - A root-cause incident investigation report for the accident, including the recommended measures to improve OHS conditions at the site - A diagnostic analysis of OHS measures and recommended measures for improvements Timing The draft incident investigation and OHS diagnostic analysis reports should be submitted within (…) days from commencement. The final report should be submitted within (…) days of receipt of com- ments on the draft. Confidentiality All documents provided to the consultant for carrying out this task should be considered confiden- tial except if otherwise indicated. 250 Sample 2: Terms of Reference - Legal Consultant (Labor) for an Incident or Accident Background The (…) Project was approved by the Bank’s board in (…) and was effective in (…). The Project De- velopment Objective is to (…). The Project consists of (…) in (…). construction works started on (…) and are currently ongoing. The Project’s closing date is (…). An Environmental and Social Impact Assessment (ESIA – or equivalent) including Environmental and Social Management Plans (ESMPs – or equivalent), was prepared for each location (adapt as neces- sary). All E&S documents include measures for preventing and reducing Occupational Health and Safety (OHS) risks. The ESMP requires (summarize relevant measures here). According to preliminary information, (summarize what is known about the incident/accident). Objectives and activities The objective of this consultancy is to provide an overview of the local legal context and institu- tions, as relevant to the incident or accident, as well as recommendations to ensure adequate, im- mediate responses as well as compensation and longer-term adjustments to the Project’s legal ar- rangements. The Legal Consultant will be part of a team of independent consultants (if applicable). The Legal Consultant will review documents, and conduct site visits, interviews, and any other activities and research deemed necessary. Key responsibilities of the Legal Consultant in relation to the incident or accident: - Identify key labor aspects and issues in the contracts between the PIU or implementing agency and the contractor, and between the contractor and the subcontractor(s), as applica- ble, and examine them against local laws. This must include, but should not be limited to, examining the employment agreements (nature of employment); wages; health; social, life and accident insurance for workers; age of workers; workers’ qualifications against the needed tasks; and the information and training provided to skilled and unskilled workers to enable them to carry out the various tasks. - Examine the contract between the PIU or implementing agency and the supervision engineer and identify any labor-related issues that the latter is mandated to follow up on. - Assess the adequacy of labor conditions of the workers and provide background information on local practices, laws and enforcement mechanisms (e.g., level of skills needed for the job, capacity for carrying out the job, contractual relationship, etc.) - Examine the sufficiency of the actions taken in response to the incident or accident and pro- vide background information on local practice in similar situations (e.g., provision of compen- sation). - Provide any immediate recommendation(s) as needed in response for the case. Key responsibilities in relation to the systematic analysis for the Project at large: - A systematic analysis should be conducted by the Legal Consultant for a representative sam- ple of the contracts (e.g., different locations, different sizes, public and private contractor) to cover the points 1 and 2 above. The consultant should also verify what is stipulated in the contracts against the actual practices on the ground using different sources. 251 - The consultant should provide analysis on the key findings, areas for improvement, and an action plan for the improvements to ensure that the contracts comply with the laws require- ments. Consultant Qualifications - Legal background particularly in labor and OHS legal frameworks; - Established reputation and proven track record in carrying out activities related to labor and OHS; - Experience with legal processes, contract management and the design and implementation of feedback mechanisms in development projects. - Robust quantitative and qualitative analysis capacity with strong quality control. Excellent track record on interviewing respondents in local communities, conducting surveys, random sampling, designing focus group discussions, etc. - Familiarity with country context, fluency in local languages, independence and knowledge of international standards. - Extensive experience of collaborating with a diverse range of stakeholders involved in devel- opment projects (including governmental authorities, local and international civil society, in- ternational development agencies etc.) Outputs The consultant shall prepare the following outputs: - Report covering the legal aspects of the incident or accident - Report covering the systematic legal analysis of the project at large Timing The draft incident or accident legal report should be submitted within (…) days from commence- ment. The final report should be submitted within (…) days of receipt of comments on the draft. The draft legal report covering the entire Project should be submitted within (…) weeks of com- mencement. The final report should be submitted within (…) weeks of receipt of comments. Confidentiality All documents provided to the consultant for carrying out this task should be considered as confi- dential except if otherwise indicated. 252 Sample 3: Terms of Reference for Independent Monitoring for Potential Forced or Child Labor Background The (…) Project was approved by the Bank’s board in (…) and was effective in (…). The Project De- velopment Objective is to (…). The Project consists of (…) in (…). construction works started on (…) and are currently ongoing. The Project’s closing date is (…). An Environmental and Social Impact Assessment (ESIA – or equivalent) and associated Environmen- tal and Social Management Plans (ESMPs – or equivalent) were prepared for Project Appraisal (adapt as necessary). All E&S documents include measures for preventing and reducing Environ- mental, Social and Occupational Health and Safety (OHS) risks, including the potential for forced adult, or child labor. The ESMP requires (summarize relevant measures here). Description of issue or allegation as applicable Independent monitoring will be used to improve the development outcome of the project by providing timely and results-oriented information about project implementation to the PMU and World Bank. The objective is to monitor the project (or portfolio of projects) by regularly monitor- ing any issues related to the potential use of child or forced adult labor (as defined by international conventions and national legislation). An independent firm or consultant will be engaged to periodically monitor any issues related to the potential use of child or forced adult labor in specific project areas. The consultant/firm will also design and manage a feedback system that will collect and scrutinize all reports on matters related to forced labor that might be associated with the project(s). The consultant or firm will prepare pe- riodic reports and assessments to track any potential evidence of the use of forced labor in connec- tion to the project(s) and provide recommendations on whether and how measures undertaken by the project(s) in this respect could be strengthened. Activities - Preparation phase: (i) description of project activities including work site, recruitment, human resources function for the relevant work sites or project areas under consideration; (ii) diag- nostic analysis of labor practices and recommended measures for improvement, including areas where forced adult or child labor practices may be of concern; (iii) develop detailed methodologies and materials that will be used to implement a monitoring program and gather feedback. - Site visits: (i) In collaboration with implementing agency(ies), identify possible areas where forced adult and/or child labor may be present; (ii) conduct announced site visits to gather feedback and any other evidence on the potential use of forced adult or child labor in specific project areas. - Periodic assessment of local context and conditions: (i) develop a methodology for random selection of sites that will be visited as part of each mission; (ii) conduct in-depth interviews with local stakeholders as part of each visit. - Design and management of a shared feedback mechanism: (i) design and manage a feedback mechanism on forced and child labor for the project(s) including update, processing of re- ports, investigation of reports and follow-up and (ii) design and lead awareness raising activ- ities both within the project team and with local stakeholders. - Analysis and reporting: (i) prepare detailed reports after each monitoring mission and (ii) pre- pare detailed periodic reports on the feedback mechanism process. The reports will be shared 253 with the World Bank and implementing agency/ies. After the correction of any factual errors the report will be completed and publicly disclosed, if applicable. The consultant/firm will develop the methodology for the implementation of this assignment in close consultation with the project teams and the implementing agency/ies. This will include a mechanism to distinguish between cases of forced labor and voluntary labor, and of child labor. It will rely on both quantitative and qualitative methods (e.g., surveys, questionnaires, focus groups, in-depth interviews, Information and Communications Technology (ICT)-enabled tools etc.), as ap- propriate, to gather feedback from project stakeholders who can contribute to the understanding of the potential use of forced or child labor in specific areas. The consultant/firm will also employ a blend of quantitative and qualitative analysis to evaluate the performance of the feedback mecha- nism. Consultant Qualifications - Extensive experience in conducting social analysis and social impact assessment in the Pro- ject’s sector(s) and country/region. - Extensive experience in measurement and evaluation of development projects in the Pro- ject’s sector(s). Focus on social performance and demand-side indicators. - Established reputation and proven track record in carrying out activities related to forced or child labor. - Experience with the design and implementation of feedback mechanisms in development projects. - Robust quantitative and qualitative analysis capacity with strong quality control. Excellent track record on interviewing respondents in local communities, conducting surveys, random sampling, designing focus group discussions, etc. - Robust staffing, including familiarity with country context, fluency in local languages, inde- pendence and knowledge of international standards. - Extensive experience of collaborating with a diverse range of stakeholders involved in devel- opment projects (including governmental authorities, local and international civil society, in- ternational development agencies etc.) Outputs The consultant shall prepare the following outputs: - A report that describes relevant project activities including work site, recruitment, human resources function for the relevant work sites or Project areas under consideration. - A diagnostic analysis of labor practices and recommended measures for improvement, in- cluding the potential for forced adult or child labor - An appropriate monitoring program for forced adult and child labor in the Project areas in- cluding a feedback mechanism - Regular reports based on feedback - Regular monitoring reports as requested by the Task Team Leader (TTL) Timing The draft reports should be submitted on the following timeline: (………). Confidentiality All documents provided to the consultant for carrying out this task should be considered confiden- tial except if otherwise indicated. 254 Sub-appendix A.4: Example Incident Corrective Action Plan (ICAP) Outline The contents of the ICAP are driven by the findings of the Root Cause Analysis (RCA), and are spe- cific to the type of incident, its location, severity, and incorporation of necessary measures to strengthen the Project’s institutional capacity to implement corrective and preventative measures. The ICAP will be implemented by the C-PMU/PIU for Serious and Severe incidents, with Bank super- vision and support. Table2: Possible Section for an ICAP Example ICAP Possible Actions Sections Immediate to Stop works, secure the site, provide medical care and counsel- near term ac- ing, pay compensation, remediate contamination, enforce tions anti-poaching, notify relevant authorities, design and imple- ment response mechanism etc. Medium Documentation, Streamline consolidate and review as necessary existing term/ongoing monitoring and ESHS/OHS monitoring and reporting tools, with a focus on in- actions reporting creased monitoring of leading indicators to increase effective- ness. Contractual Review bidding/contractual arrangements to determine if ex- agreements /en- isting language is adequate to ensure sufficient onsite pres- forcement ence of qualified and independent E&S professionals for ade- quate implementation of the heath safety plan and identify if any adjustments may be necessary for future agreements. Risk assessment, Update risk assessment and management plans to address: processes, proce- uate fire extinguishers placement dures and train- d also be reviewed, and safe work procedures developed for han- ing plans for and checking electric equipment and extension cords. managing risks ocedures should be developed for high risk activities with daily gn-off of competent health and safety officers or supervisors. Delayed Resettlement Compensation example – update risk assessment and management plans to address: • Based on the RCA determination of the reasons for the continued delays in payment of compensation, put in place an effective strategy for addressing them as necessary • Ensure that all outstanding and new claims are ap- propriately addressed • Determine whether there were impacts that have not previously been considered (livelihoods/loss of business income, vulnerable groups) for which compensation or assistance may be required • Ensure continuing consultation with Project-af- fected people and a well-functioning feedback and grievance redress mechanism (FGRM) • Monitor implementation and provide fortnightly progress reports 255 Example ICAP Possible Actions Sections • Recruit a separate expert to conduct an audit to confirm satisfactory implementation of the process above Competencies, Onsite staffing resources and organizational arrangements roles and respon- dedicated to E&S, health and safety by the implementer(s) sibilities: (e.g., construction company and the supervision consultant) should be reviewed considering the updated risk assessment and findings. This may include adjustments in terms of num- ber, competence, onsite presence, organization, communica- tion and reporting, so that project activities may comply with the EHSH/OHS plan requirements. High level moni- Once the monitoring and reporting system is consolidated, the toring and evalu- supervision consultant and PIU should be able to monitor lead- ation: ing indicators such as near-misses (e.g., a heavy load that falls near a worker), and deviations with high risk potential (e.g., absence of protective barriers, uninsured workers) based on daily observations by the contractor and the supervision con- sultant. 256 Sub-appendix A.5: Example of Response Mechanism following a Fatality This example was developed and agreed to by the PIU and Bank following a fatality on a Bank project: • Monthly site meetings attended by PIU and covering E&S updates • The supervision consultants’ monthly progress report will provide details on ESMP imple- mentation status as well as accidents and grievances • PIU will send to the Bank monthly progress reports within 1 week of receipt from the supervision consultants • Accidents and grievance log-books are placed in all construction sites • Any severe injury (requiring off-site medical care) or fatality incident shall be reported to the Bank within 24 hours with basic information and a detailed incident report including the following will be submitted within 10 working days: a. root cause analysis; and b. corrective action plan on i. Immediate mitigation measures in case of continuing danger (e.g. fencing, signboard, guards) ii. Compensation to the affected family based on a clear rational iii. Risk assessment and correct application of ESHS management procedures, and iv. Medium and long-term mitigation measures including enhancement of safety measures, audits, and additional training. 257 15 Annex 4: Public Consultation Outputs Transport Resilience and Connectivity Enhancement Project Public Consultations on Environmental and Social Framework (ESF) Documents I. GENERAL NOTES 1. Subject of Public Hearing/Consultation: Discussion of preliminary design solutions and environmental and social impact assessment for the project "Reconstruction of the highway "Kyzylorda-Pavlodar-Uspenka-Russian Federation border" (section "Jezqazgan-Karagandy" 433-946 km)". 2. Name of the authorized body in the field of environmental protection and local executive body (oblasts, cities of republican significance, capital city, districts, cities of regional and district significance) or Akim's office of corresponding administrative-territorial unit (vil- lages, settlements rural districts), to which the documents submitted for public hearings are addressed for public hearings/Public Consultation. - RGU Department of Ecology in the Ulytau region of the Committee for Environmental Regula- tion and Control of the Ministry of Ecology and Natural Resources of the Republic of Kazakh- stan - RGU Department of Ecology for Karaganda Region of the Committee for Environmental Regu- lation and Control of the Ministry of Ecology and Natural Resources of the Republic of Kazakh- stan - State Institution "Department of Natural Resources and Regulation of Nature Management of Karaganda Region" - State Institution "Department of Natural Resources and Regulation of Nature Management of Ulytau region". 3. Location of the proposed activity: The total length of the route together with the Jezqazgan bypass is 558 km. The project includes reconstruction of the road "Jezqazgan-Karaganda" (km 433-946) and will be implemented in the ter- ritory of two regions (Ulytau region and Karaganda region) and 11 districts. The road passes through 1 settlement and bypasses Jezqazgan city 4. Requisites and contact details of the initiator: Committee of Roads of the Ministry of Transport of the Republic of Kazakhstan, 010000, Astana city, Yesil district, 32/1 Kabanbay Batyr Ave, Transport Tower building Tel: 8 (7172) 79-98-05 − e-mail k.priemnaya@transport.gov.kz • KazAutoZhol Karaganda city, Republic Avenue 42 Tel: 8-7212-970156 e-mail: karaganda.info@qaj.kz • KazDorNII JSC 35/1, Zhekebatyr str., Astana city 258 Tel: +7 (7172) 72-98-17 / +7-727-246-33-67 5. Contact details of the authors of the reports on possible impacts or external experts in- volved in the preparation of strategic environmental assessment reports. of the authors of the reports on possible impacts, or external experts involved in the preparation of stra- tegic environmental assessment reports, or developers of documentation of the objects of state environmental expertise. state environmental expertise. • IP "Ecoland" Alimzhanova Venera Tel: +7 777 338 19 33 • Expert team from CoR on ESIA for World Bank: Team Leader: Samuel E. Sapuay E-mail: sesapuay@gmail.com 6. A copy of the letter of inquiry from the Initiator and a copy of the response letter from the local executive bodies of the administrative-territorial units (oblasts, regions). Execu- tive bodies of administrative-territorial units (oblasts, cities of republican significance, the capital), on coordination of conditions of holding of public hearings is attached to the present minutes of public hearings 7. The registration list of the participants of the public hearings is attached to the present minutes of public hearings. 8. Information on holding public hearings was disseminated in Kazakh and Russian lan- guages by the following means: − 1) in the Information System. − 2) on the official Internet resource of the local executive body (oblasts, cities of republican significance, capital) or the official Internet resource of the state body-developer 3) in mass media, including at least one newspaper, and through at least one TV or radio channel, distributed on the territory of the relevant administrative-territorial units (oblasts, cities of republican significance, the capital), fully or partially located within the affected territory, not later than twenty working days before the date of public hearings: ________________________________________________________ (name, number and date of publication of the announcement in the newspaper, with the scanned announcement attached: the scanned front page of the newspaper and the page with the announcement of public hearings) ________________________________________________________ (name of the TV or radio channel, date of the announcement: the electronic medium with video and audio recording of the announcement of public hearings on the TV or radio channel is subject to attachment (publication) to the minutes of public hear- ings) 4) in places accessible to the public concerned on the territory of the relevant administrative-territorial units (oblasts, cities, towns) of the relevant administrative- territorial units (oblasts, cities of republican significance, the capital, districts, cities of regional and regional villages, settlements, rural districts), in the number of __________ notices at the addresses_________________. 259 9. Decisions of the participants of public hearings: • Venera Alimzhanova was appointed as a secretary of the hearing. • Reporting time limit - 10 min 10. Information on all heard reports: Texts of reports on documents submitted for public hearings are attached to the present minutes of public hearings. • Speaker Tayzhanov Ertay Tayzhanov - representative of KazAutoZhol. Report on the technical characteristics of the Jezqazgan-Karaganda route (general information, de- sign features). • Speaker Alimzhanova Venera - IE "Ecoland", developer of the EIA project to the Fea- sibility Study. Information on environmental impact assessment for the construction of the Jezqazgan-Karaganda highway, general information on pollutants, risks, measures to reduce pollution was presented. • Speaker Senyak Evgeniya - biodiversity consultant for the ESIA project according to World Bank standards. Presented the results of preliminary analysis of project docu- mentation on environmental impacts and biodiversity components, as well as the developed Social and Environmental Management Plan (a set of mitigation measures) in accordance with ESS 1- ESS 10 standards of the World Bank. Report 13 pages, presentation 18 slides. • Speaker Vangai Anastasia - social consultant for the ESIA project according to World Bank standards. Presented the results of the preliminary analysis of project docu- mentation on the impact on the social environment, as well as developed Labor Man- agement Plan, Gender Action Plan, Social and Environmental Plan (a set of measures to reduce the burden) in accordance with ESS 1- ESS 10 standards of the World Bank. Report 20 pages, presentation 20 slides • Speaker Maksatova Kamilla - Social Consultant for the ESIA project according to World Bank standards. Presented the results of preliminary analysis of the project documentation on social impact, as well as developed Resettlement Action Plan, Stakeholder Action Plan in accordance with ESS 1- ESS 10 standards of the World Bank. Report 30 pages, presentation 33 slides. 11. A summary table, which is an integral part of the minutes of public hearings and contains all comments and proposals of interested state bodies and the public, submitted in writ- ing in accordance with paragraph 18 of these Rules or voiced during the public hearings; responses and comments of the Initiator on each comment and proposal. Comments and proposals clearly not related to the subject of public hearings, shall be entered into the table with the mark "not related to the subject of public hearings". 12. A summary table, which is an integral part of the minutes of public hearings and contains all comments and proposals of interested state bodies and the public, submitted in writ- ing in accordance with paragraph 18 of these Rules or voiced during the public hearings; responses and comments of the Initiator on each comment and proposal. Comments and proposals clearly not related to the subject of public hearings, shall be entered into the table with the mark "not related to the subject of public hearings". 260 13. Opinion of the participants of public hearings on the project and quality of the documents under consideration (with justification), reports heard for completeness and accessibility of their understanding, recommendations for their improvement: − Appealing the minutes of public hearings is possible in court and pre-trial procedure accord- ing to the Administrative Procedural and Procedural Code of the Republic of Kazakhstan. 14. Secretary of the public Consultation / hearing: • Alimzhanova V. - IE Ecoland II. OUTPUTS OF THE PUBLIC CONSULTATIONS A. Public Consultation No. 1 Venue: Jezqazgan city, Akimat Office, 39 A Garyshkerler str. Date & Time: 24 June 2024, 11.00 List of Attendees for PC 1 № NAME Organization/activity Form of presence 1 Vangay Anastasia Sociologist/Dongsung In person 2 Tayzhanov Ertay KazAutoZhol In person 3 Senyak Eugenia Biologist/ROO ASBC In person 4 Samuel E. Sapuay Dong Song Engg LTO In person 5 Fajar Djati World Bank In person 6 Zhuldyz Zhurumbetova World Bank In person 7 Amirbekov B.O. KazDorNII JSC In person 8 Sadiev O.T. Head of the ER Division of the De- In person partment of Ecology of Ulytau re- gion 9 Sailauov Sh.K. Jezqazgan City PT and AD Depart- In person ment". 10 Alimzhanova Venera IE Ecoland In person 11 Sekenov D.S. Local resident In person 12 Kamilla Maksakova Sociologist/Dong Sung Online 13 Salemgareev Albert Biologist ROO "ASBC" Online 14 Bektimirov R.D. KazAutoZhol of Karaganda region Online 15 Dragica Veselinovic Sociologist / Dong Sung Online 16 Madynova Altynshash - Online 17 Askarova Nargiza Translator / Dong Sung Online 1. Name of all administrative-territorial units affected by the proposed activity. Possible impact of the proposed activity: • Karagandy • Saran 2. Date, time, place of the public Hearing/ Consultations (date(s) and time of the of the public hear- ing open meeting): − June 24, 11.00-13.30, at the address: Jezqazgan city, akimat, 39 a Garyshkerler str. (building of the State Office of Jezqazgan Akim's Office). 3. Comments, Questions and Responses after the presentations: 261 No. of Comments and suggestions of the Responses to comments and sugges- Note items participants tions (withdrawn comment or sen- (surname, name and patronymic (if (surname, name and patronymic (if tence, "not relevant to the any) of the participant, position, name any) of the respondent, position, subject matter of the public of the organization represented) name of the organization repre- hearing") sented) 1 Sadiev O.T. Head of the ER Division of • Alimzhanova Ven- the Department of Ecology of Ulytau era: Oblast: 1. Acts are available, provided by Ka- 1. Are there Survey Acts on green raganda branch of KazAutoZhol, for spaces and how many trees are Karaganda region, the number of planned to be cut down? trees is accounted for. 2. What types of trees are planned to 2. Poplar, Karagach, shrub Karagana be cut down? 3. Eugenia Senyak: Some of the trees 3. Why are there no plans to replant are quite old (about 40-60 years trees? old), such trees are almost intoler- ant to transplanting, we recom- mend reimbursement in 10 times the amount per tree. 4. Opinion of the participants of public hearings on the project and quality of the documents under consideration (with justification), reports heard for completeness and accessibility of their under- standing, recommendations for their improvement: • O.T. Sadiev Head of the ER Division of the Department of Ecology of Ulytau Oblast: We ask to take into account all possible measures for preservation of tree planta- tions and to avoid felling if possible. 1. Public Hearing Chair: • Sailauov Sh.K. Specialist of the Jezqazgan City PT and AD Department". 262 B. Public Consultation No. 2 Venue: Shet district of Karagandy region, Batyk village, akimat building, 87 Zhansu- gurova str. Date & Time: 26 June 2024, 09.30 AM List of Attendees: № NAME Organization/activity Form of presence 1 Vangay Anastasia Sociologist/Dongsung Online 2 Tayzhanov Ertay KazAutoZhol In person 3 Senyak Eugenia Biologist/ROO ASBC Online 4 Samuel E. Sapuay Dong Song Engg LTO Online 5 Fajar Djati World Bank Online 6 Zhuldyz Zhurumbetova World Bank Online 7 Amirbekov B.O. KazDorNII JSC In person 8 Tleubekov Dastan Head of the Department of Ecol- Online ogy of Ulytau region 9 Daria Mironova Karaganda OTI LKhZhM Online 10 Alimzhanova Venera IP Ecoland In person 11 Kamilla Maksakova Sociologist/Dong Sung Online 12 Dragica Veselinovic Sociologist / Dong Sung Online 13 Madynova Altynshash - Online 14 Askarova Nargiza Translator / Dong Sung Online 1. Name of all administrative-territorial units affected by the proposed activity. Possible impact of the proposed activity: • Karaganda • Saran • Dubovka • Aktas • Abay • Karabas • Topar • Shet district (Yuzhny settlement, Akoi settlement, Batyk settlement) • Zhanaarka district (Zhanaarka, Atasu, Aktubek, Terekty settlements) • Jezqazgan 2. Date, time, place of the public hearing (date(s) and time of the of the public hearing open meeting): June 26 09.30-10.30, at the address: Shet district of Karaganda region, Batyk village, akimat build- ing, 87 Zhansugurova str. No. Comments and suggestions of the par- Responses to comments and sugges- Note of ticipants tions (withdrawn comment or sen- items (surname, name and patronymic (if any) (surname, name and patronymic (if tence, "not relevant to the of the participant, position, name of the any) of the respondent, position, name subject matter of the public organization represented) of the organization represented) hearing") 1 Daria Mironova OTI LHJM: • Evgeniya Senyak: 1. I would add that in addition to saigas, 1. Yes, we've included all of that in the there are also argali. And in addition to Biodiversity Management Plan, saiga crossings, signs (speed limit/wild- too. life crossing) are mandatory; no audible signals should be used. 263 No. Comments and suggestions of the par- Responses to comments and sugges- Note of ticipants tions (withdrawn comment or sen- items (surname, name and patronymic (if any) (surname, name and patronymic (if tence, "not relevant to the of the participant, position, name of the any) of the respondent, position, name subject matter of the public organization represented) of the organization represented) hearing") 2 Tleubekov Dastan Head of the Depart- • Alimzhanova Venera: ment of Ecology of Ulytau region: 1. Full resettlement data can be 1. What is the resettlement plan for? viewed on the Highways Committee Where can I see the data on the website in the published reports. plots under construction? 2. Yes, we'll take all recommendations 2. We recommend measures for dust into consideration. Thank you suppression (use of special means, as ordinary water is not effective); shrubs in 2 rows near settlements for wind and noise suppression; power lines should be safe for birds. All this should be considered in the project. 3. Opinion of the participants of public hearings on the project and quality of the documents under consideration (with justification), reports heard for completeness and accessibility of their under- standing, recommendations for their improvement: • Tleubekov Dastan Head of the Department of Ecology of Ulytau region: Please consider all recommendations to mitigate impacts on environmental conditions and fauna and flora C. Public Consultation No. 3 Venue: Shet district of Karaganda region, Akoy village, Akimat building on Chepurchenko street 19. Date & Time: 26 June 2024, 12.00 -15:00 List of Attendees for PC 3 № NAME Organization/activity Form of presence 1 Vangay Anastasia Sociologist/Dongsung Online 2 Tayzhanov Ertay KazAutoZhol In person 3 Senyak Eugenia Biologist/ROO ASBC Online 264 № NAME Organization/activity Form of presence 7 Amirbekov B.O. KazDorNII JSC In person 8 spokesman RGU "Nura-Sarysu Interregional Online Basin Fisheries Inspection". 9 Daria Mironova Karaganda OTI LKhZhM Online 10 Alimzhanova Venera IE Ecoland In person 11 Kamilla Maksakova Sociologist/Dong Sung Online 12 Dragica Veselinovic Sociologist / Dong Sung Online 13 Madynova Altynshash - Online 14 Askarova Nargiza Translator / Dong Sung Online 15 Locals In person 1. Name of all administrative-territorial units affected by the proposed activity. Possible impact of the proposed activity: • Karaganda • Saran • Dubovka settlement • Aktas township • Abay • Karabas • Topar • Shet district (Yuzhny settlement, Akoi settlement, Batyk settlement) • Zhanaarka district (Zhanaarka, Atasu, Aktubek, Terekty settlements) • Jezqazgan 2. Date, time, place of the public hearing (date(s) and time of the of the public hearing open meeting): June 26 09.30-12.00, at the address: Shet district of Karaganda region, Akoy village, Akimat building on Chepurchenko street 19. No. Comments and suggestions of the Responses to comments and sugges- Note of participants tions (withdrawn comment or sen- items (surname, name and patronymic (if (surname, name and patronymic (if tence, "not relevant to the any) of the participant, position, name any) of the respondent, position, subject matter of the public of the organization represented) name of the organization repre- hearing") sented) 1 • Questions from resi- • Amirbekov B.O. dents: KazDorNII: 1. What will be the land plot (sepa- 1. The land use will be separate: 2 rate or combined) lanes on one side and 2 lanes on 2 Whether there will be cattle drives the other, there will be some areas (that they are needed in principle with merged right-of-way near their settlement). 2. Livestock runs are foreseen by the 3 Will the route be the same as to project Astana? (In terms of technical pa- 3. Yes, the route will be the same as rameters and payment); to Astana, tolled, brought to cate- 4 When will construction start? gory 1b (Why do we have to wait so long 4. Construction is scheduled to start before it starts?) in 2026, need time to prepare pa- perwork, get funding, find contrac- tors, etc. 265 No. Comments and suggestions of the Responses to comments and sugges- Note of participants tions (withdrawn comment or sen- items (surname, name and patronymic (if (surname, name and patronymic (if tence, "not relevant to the any) of the participant, position, name any) of the respondent, position, subject matter of the public of the organization represented) name of the organization repre- hearing") sented) 2 • Daria Mironova OTI • Evgeniya Senyak: LHJM: 1. Yes, we've included all of that in the 1. I would add that in addition to Biodiversity Management Plan, too. saiga, there are other ungulates such as argali and roe deer, a hunted species. And in addition to saiga crossings, signs (speed limit/wildlife crossing) are manda- tory; no audible signals should be used. Fences should be installed ac- cording to all standards, preventing animals from entering the road 266 16 Annex 5: Biodiversity Management Plan (a separate standalone document) 267