Resettlement Action Plan under Uzbekistan Bukhara and Samarkand Sewerage Project

BVK/W/01 “Rehabilitation of Existing Sewers in Bukhara City”

1. Introduction

The Government of Uzbekistan estimates that a total of $180 million will be needed in Bukhara and Samarkand to rehabilitate and improve the overall wastewater services. TheGovernment intends to meet these needs by adopting a three phased investment program. The proposed sewerage project will finance only Phase I of the Government’s investment plans, giving priority to improving the efficiency and coverage of the sewerage system. The proposed project will focus primarily on rehabilitation of the existing sewer system and on energy efficiency improvements. Phase II and III of the Government’s program will include further rehabilitation works, expansion of sewer pipes and the rehabilitation of wastewater treatment

The project development general objectives (PDO) are to mitigate the environmental impact from wastewater pollution and improve the efficiency and sustainability of wastewater management in Bukhara and Samarkand. The specific project objective can be defined as follows:-

a. Minimize O&M cost to the level possible

- Improve energy efficiency of WWPSs.

- Even though energy cost is prone to increase once power supply at the WWTP becomes stable, strong efforts are required to minimize the then power requirements.

- Reduce the number of sewer break-downs

b. Reduce environmental pollution

- Increase connection rate to sewer system

- Improve process technology of WWTP

- Increase life-span of civil works & installations through rehabilitation / replacement

- Compliance with Uzbek WWTP effluent standards

This will be achieved through (a) rehabilitating select sections of the sewerage system that are deteriorated; (b) limited expansion of the sewerage system into currently unconnected central historical areas, (c) installing more energy-efficient equipment such as wastewater pumps and aeration systems at the wastewater treatment plants and pumping stations; and (d) improving the capacity of the water utilities (vodokanals) in the areas of management, communications and public outreach.

2. Project Components

BSSP consists of the four following components: (a) Physical Investment; (b) Institutional Strengthening and Capacity Building; (c) Feasibility Studies for Future Investments and ; (d) Project Management, below Table 1.1 indicates Bukhara project Costs by Component

RP803 v4

Table 1.1Bukhara Costs by Component

Component/Activity Unit/Detail IDA Financing

US$ Million

Borrower Financing

US$ Million

TotalUS$

Million

Part A Physical Investmenta. Rehabilitation /

replacement of existing sewers

32 km 16.61 3.32 19.93

b. Rehabilitation of existing wastewater pumping stations (WWPSS) 12 pcs 1.45 0.29 1.75

c. Expansion of sewer system 2.5 km 2.05 0.41 2.46d. Wastewater treatment plant

(WWTP): Rehabilitation of some equipment and civil works, enhancement of energy efficiency

Influent & effluent samplers

Flow measurement New fine screens New grit chambers New aeration system New return sludge pumps Rehabilitation of

laboratory

4.39 0.89 5.28

e. Operational equipment Equipment for sewer cleaning 1.11 0.28 1.39f. Engineering Consultant Final project definition, detailed

design, bidding documents, assistance during award of contracts, construction supervision, start-up assistance

2.52 0.50 3.02

Sub Total 28.14 5.70 33.84Part B Institutional Strengthening

and capacity Buildinga. Communication strategy - 0.07 0.01 0.07b. Staff training/TA - 0.12 0.02 0.14c. Pilot Supervisory Control

and Data Acquisition (SCADA) and System Database (MIS)

- 0.22 0.04 0.26

Sub Total 0.40 0.08 0.48Grand Total 28.54 5.78 34.32

PCU activities by ComponentPart C Feasibility Study for Future

Investmenta. Studies - 0.89 0.18 1.07

Part D Project Management

a. PCU Consultant, Auditing and Operating Costs

- 1.35 0.29 1.64

Grand Total 2.24 0.47 2.71

2.1 Component A. “Physical Investment”

a. Rehabilitating and Replacing Sewers; Rehabilitation/replacement of existing sewers: The 32 km of sewer lines suggested for rehabilitation/replacement in Bukhara were selected according to the age of the pipes and the number of operational problems that were experienced. The length, diameter and location of all

sewer sections have been selected on a preliminary basis; a final decision will be made once the engineering consultant has completed the sewer detailed design.

b. Rehabilitation of Existing Wastewater Pumping Stations/New WWPSs, In Bukhara, 14 out of 16 existing WWPSs have been earmarked for rehabilitation and a new two will be required for the extension area. The project will focus on replacing inefficient pumps and rehabilitating the civil structures, where urgently needed.

c. Extension of Sewer System,Extending the sewer system is not a major objective of this project. However, urgent improvements are needed in some areas. Thus, Bukhara will focus on small zones with acute needs (2.5 km), Apart from the environmental and health-related benefits of this component, it will also increase sewer coverage and generate additional revenue for the vodokanal

d. Main WWTPs in Bukhara, Rehabilitation of some equipment, civil works and enhancement of energy efficiency: The works suggested at Bukhara’s main WWTPs are (a) rehabilitation and (b) improving energy efficiency. The project focuses only on the most urgent needs. If a second WWTP rehabilitation stage tackles the problems of biological wastewater treatment and sludge treatment, the new works can still be used.

e. Operational equipment. The Vodokanal needs equipment to help them better manage emergency and routine situations in the sewerage system. At present, they use rather primitive, unhygienic practices for maintenance and trouble-shooting. Thus, the new equipment will be used to clean/maintain sewers. The physical investments will be supplemented by TA from the supplier. A list of purchases will be presented after the engineering consultant conducts an inventory and analyzes existing equipment and technical capacity.

f. Engineering consultant,This component would support a brief study to define the project’s scope and design assumptions, and update cost estimates. The study will be followed by detailed design work, activities to obtain permits, present tender documents, help with contract awards, supervise construction and provide start-up assistance.

2.2 Component B: Institutional Strengthening and Capacity Building

This component will help the Vodokanal improve their management and consumer orientation by training staff and launching better communication and public awareness campaigns. To achieve the former, the project will help the Vodokanal improve their skills to diagnose the condition of their infrastructure and conduct preventive maintenance. The project’s supervision consultants (PSCs) will train PCU branch staff to address deficiencies revealed by financial and technical audits. To improve transparency and accountability, the project will ensure that the PCU publishes the costs, deadlines, and main features of each construction contract. It will also help improve public hygiene practices and water conservation, educate the public about the (a) expected health and environmental benefits, and (b) need for regular tariffs to support the improved system. Public campaigns will also promote community support for improvements, and ways for consumers to secure better services. Consumer orientation training will help staff

respond better to user concerns/complaints and teach them to conduct periodic satisfaction surveys. Methods to handle complaints, O&M, accountability and corporate governance will also be strengthened. To meet these aims, the component will finance the following:

development of communications strategies and public awareness raising campaigns; staff training in utility management with an emphasis on improving the consumer

orientation establishment of a Pilot Supervisory Control and Data Acquisition System to enhance

responsiveness to emergencies and to routine maintenance.

2.3 Component C: Feasibility Studies for Future Investments This component will cover consultant studies for future GOU investments in the water supply/sanitation sectors; it will be managed by the central government, which will not limit its scope to Bukhara. It was included in the project to promote a comprehensive approach to the sector and provide sufficient funds for planning and preparing future investments. It is expected the Client will use the funds to conduct feasibility studies for a follow-up project, when needed. The component will be executed by the Uzkommunhizmat with support from the PCU.

2.4 Component D : Project Management

This component will finance the Project Coordination Unit (PCU), including its branches in Bukhara and Samarkand cities. Under this item, funds will also be provided for monitoring and evaluating (M&E) project activities: It will support technical, environmental and social monitoring (for example, periodic beneficiary assessments to determine consumer satisfaction, connection rates, and the effectiveness of public awareness campaigns).

2.5 Project activities that trigger the Resettlement Action Plan

RAP was prepared under Component A “Physical Investment” and according to OP/BP 4.12 (BVK/W/01 “Rehabilitation of Existing Sewers in Bukhara City”). This project is a sub project which is targeted to replace damaged sewerage pipes in order to reduce O&M cost and also eliminates the seepage of crude wastewater from those sewers into the ground. Such seepage causes pollution of soils, ground-water and surface waters. And also in order to expand the sewer system, reduce the number of on-site facilities and connect additional population to the sewer system.

The detailed design is already finished, and the main concept of the design is to construct the new pipe line beside the existing pipe taking into consideration the existing invert level for the point of connection, Based on the detailed design outputs the sub project consists of the three major components :-

Gravity line with 710 mm diameter and length 548.7 m lays under Afrosiyab street, gravity line with diameter 500 mm and length 1400 m lays under Yangiabad Street

Pressure line with diameter 315 mm and length 447 lays under Afrosiyab street Sewerage pumping station (named PS13) with area of 144 m2 located at Afrosiyab

street beside the petrol station brick fence and in the opposite side of the house holders. The pump station area consist of 12m х12m brick fence considered as the pumping station buffer area, diesel generator equipped with noise-attenuating device covered by shed, transformer substation building, sewerage lift station pumps covered by building and landscape features.

Sketches for the project components are indicated in Annex 1

The contract was awarded to UTESK” Ltd. (Russia) under the contract number №BVK/ W/01-2, and the construction work have already started.

The location of the Sewerage pump station was permitted to use by the Employer (Bukhara RPE “Suvokova”) based on decision No.1067 dd. August 24, 2010of Khokim of Bukhara city. Architectural Planning Assignment (APA) No.115 dated August 24, 2010 was approved by Chief Architect of Bukhara city with indication of red lines, in particular, location of PS-13 as indicated in Annex 2

The location of the pump station was occupied by householder without any authorized document, the householder surrounded the area by old chain link fence and planted inside the area seedling, young trees, shrubs, and also constructed brick storage building, and closed chicken house shelter. The pumping station construction will involve permanent loss for the plantation, brick storage building and closed chicken Shelter as it will be reconstructed near the pump station area by the BVK..

3. Legal Framework

According to Uzbekistan’s Land Code, all land is state property and permits for use are granted and monitored by the State through the rayon and oblast administrations. While agricultural land issues are handled under the Land Code, urban land issues are covered under the Civil Code, the Housing Code, and the Urban Construction Code.

3.1 Agricultural Land

The Land Code identifies several categories of land users eligible for compensation for losses/damages in connection with land acquisition:

Tenants - citizens who were allocated plots for individual housing construction and/or dehkan farming on the basis of life-long tenure

Lessees (leaseholders) - farmers, who were allocated plots for agricultural purposes, on the basis of a long-term lease

Owners - users of plots occupied by trade and services infrastructure, which are used as private property. Land occupied by trade and services infrastructure, however, may not be sold separately from the latter

Users - all other enterprises, organizations and institutions entitled to use non-agricultural land. This is the largest category, which includes private and public hospitals, schools, private enterprises and factories, among others.

Legislation envisages full compensation for damages to land users, including lost profits, in the following instances: (a) seizure, purchase or temporary occupation of land; (b) limitation of the rights of users; and (c) deterioration of land quality due to the effects of construction, servicing, and other activities that reduce the quantity/quality of agricultural products. Compensation for the loss of agricultural production is not provided if: (a) land is acquired to construct and service individual housing; (b) land is acquired to construct schools, boarding schools, orphanages, preschool and healthcare establishments; and (c) land was allocated for water management purposes and to construct irrigation and water related facilities.

According to national legislation, the following State organizations are responsible for implementing resettlement activities include: regional and district hokimiyats; regional land acquisition commissions; district departments of geocadastre; district evaluation commissions; district HGME; district departments of nature protection; district SES; and the district departments of fire supervision. The procedures, functions, and powers of organizations responsible for implementing and observing land acquisition for purposes other than agricultureand forestry, are established by the Resolution of the Cabinet of Ministers No. 248 of 27 May 1992, and outlined in the RPF.

3.2 Urban Land

In compliance with the Government’s Housing Code, the Cabinet of Ministers issued Resolution Number 97 in May 2006 describing procedures for compensating individuals and legal entities if the urban land they occupy or use must be acquired for State and public needs.

General Provisions. The following are the principles/procedures for acquiring all or part of a plot and compensating individuals and legal entities for the residential, manufacturing, or other special purpose buildings, facilities and agricultural plots take/demolished for government or public needs.

Acquisition o f a plot for public needs shall be carried out with landowner’s consent or upon agreement with the land-user/tenant, by a resolution of the hokim of a jurisdiction. This action is required by the Cabinet of Ministers.

If the landowner, land-user, or landholder disagrees with the resolution to withdraw a plot, it may be appealed in a court.

A resolution on the acquisition/demolition of residential, manufacturing, or other assets (buildings, facilities, and agricultural plots) shall be made according to the detailed plans to develop residential areas and neighborhoods in cities and settlements.

Unjustified demolition of buildings, facilities, or agricultural plots shall be prevented. Based on a Cabinet of Ministers’ resolution, the hokims of the rayon’s/towns shall adopt their

own resolutions on acquiring a plot and demolishing buildings, etc. The hokimiyats of the rayon’s/towns will notify owners of residential, manufacturing and other

buildings, etc. in writing and with a receipt about the resolution at least six months before the targeted demolition date. The notice will be supported by copies of the resolution.

Landowners may appeal the hokim’s resolution and the assessed value of building/land in the hokimiyats of the Oblasts as well as the court system.

The value of building/facilities constructed without proper authorization shall not be reimbursed.

If the lands are allocated to enterprises, institutions, or agencies, those entities will be responsible for compensating those displaced, as well as providing houses or apartments, and

temporary housing, and reimbursing them for all relocation costs, based on the decision of the rayon/town hokim.

The RPF describes procedures/terms for compensating individuals and legal entities for houses, buildings, and plantings that will be demolished due to the land acquisition for project implementation, as well as procedures and terms for moving and restoring the houses and other objects subject to demolition. However, the laws do not provide compensation for lost income or profits, in contrast to the Land Code, which authorizes compensation for lost farm income. Because the State owns all of the land, its use is granted by permits from local authorities on the basis o f a lease or other terms. Land use issues are fully covered by legislation and not by provisions of customary laws, traditional practices, or neighborhood relationships. Thus, those who use/occupy land without a lease or other type of official permit will not be entitled to legal compensation, and the State has the right to seize the land. Annex 3 indicates the entitlement matrix.

3.3 Review of the Consistency of Uzbek Legal Framework for Expropriation with OP 4.12 and Gap Filling Measures

The following describes the inconsistencies between the Uzbek legal framework and the World Bank policy. Wherever Uzbek laws and World Bank policies are not in agreement, the World Bank policies and principles agreed upon in this RPF will prevail within the scope of this project, regardless of the source of funding, or the specific investment will not be allowed to proceed.

Treatment of those without legal rights to use land. While World Bank OP 4.12 embodies the principle that a lack of legal land title does not disqualify people from resettlement assistance, under relevant Uzbek legislation, discrepancies with this principle arise. However, as mentioned above, within the scope of this project, informal users of land without title or lease who use the land will be entitled to rehabilitation assistance or some form of support.

Loss of Income. It should also be noted that in most cases less than 10-20% of an individual’s land holdings can be expected to be adversely affected by any land acquisition needed for the project; thus, no significant loss of income i s expected and impacts can be generally considered to be minor. While the Land Code allows the provision of compensation for lost agricultural income, there is no provision for loss of income from businesses under the Uzbek law. Therefore, under the project, income restoration assistance will be provided to people who lose a share of their holdings, and those who lose their business or source of livelihood. This will be in the form of “Rehabilitation Assistance” meaning assistance comprising job placement, job training, cash compensation, transition support, or other forms of support to assist displaced persons in their efforts to improve their livelihoods and standards of living or at least to restore them, in real terms, to pre-displacement levels or to levels prevailing prior to the beginning of project implementation, whichever is higher.

Loss of Structures. It is not expected that there will be any residential structures that will need to be acquired in the project site. However, in the event that there are other structures (barns, kiosks, small commercial buildings etc.,) that will need to be demolished, “depreciation” will not be considered in calculating the compensation payable for affected structures, if cash is being offered as compensation. Typically, alternative structures are offered as compensation.

4. The Resettlement Impact of Project Activities and Compensation

As already mentioned before the pumping station location was permitted to be used by the Employer (Bukhara RPE “Suvokova”) based on decision No.1067 dd. August 24, 2010 of Khokim of Bukhara city, but unfortunately the nearby householder was informed only verbally about the project.

Between the period of the detailed design and the project startup ( construction work), the land was occupied by householder citizen named Toychiev Nurjon living at address Sitora St., house #50 without authorized document. Based on the survey photos by the contractor and the detailed survey done by the local design institute through government company of UZGIITI. The components of the existing land plot occupied by the householder are described below:-

- Old chain link fence covering the area of 1200 m2 with old steel entrance gate, the fence length 88 m and height 2.5 m

- Brick Storage house with dimension 3.8 x 3.8 x 2.4 m with Corrugated Asbestos roof cover- Closed Steel shelter used as a chicken house with Corrugated Asbestos roof cover and

dimension 12.5 x 2.5 x 2.5 m & 4 x 4 x 2.5 m- Part of the fenced area is planted with shrubs, vegetation and trees; there is no accurate count

for the trees/vegetation area.

The actual land taken for constructing the pump station is 12 m x 12 m (144 m2), the location was adjusted in consultation with the household in order to minimize the loss of plantation during the construction of the pumping station, gravity/pressure lines and ancillary buildings.Based on the final agreed location of the pump station as indicated in Annex 4, we can describe the component effected in the occupied land area, as follows:-

- Part of the existing fence with approximate length of 30 m and entrance steel gate – the fence and the gate have already been dismantled by the contractor with the assistance of the householder worker and stored in the householder stores.

- Brick storage house and chicken shelter - storage house was demolished and the roof, doors, windows and chicken shelter have already been dismantled by the contractor with the assistance of the householder worker and stored in the householder stores.

- Plantation at the pump buffer area - there no accurate survey about the number of trees or the kind of the plantation.

Below Table 1.2 indicates the eligibility for compensation and/or assistance for impacts/losses for different types of assets and categories of project affected persons, applicable under the Project.

Table 1.2 Entitlement Matrix

Asset Impact Affected Parties Compensation EntitlementsLoss of Trees, vegetation and shrubs

Permanent loss Householder Cash compensation equivalent to gross income for 1 year (based on the averageof the prior 3 years); and either

Loss of building (hen shed & brick building)

Permanent loss Householder Provision of comparable alternative structures and for the value for all damages

As already mentioned the survey of the planted area was not carried out, based on the above table a cash compensation should be paid to the house holder. Since there was no accurate

measure of the trees and plants prior to commencement of civil works, the RAP will calculate compensation based on the maximum plantation as per agricultural rules for the given land. Photographs taken prior to commencement of civil works indicate that the few trees were approximately 3 years old. Together with a third party authorized organization (Bukhara City Beautification Department) the max number of plantation were defined to be 21 pieces of young plants and the amount of expense for three years gardening works including Pear, Peaches, Apple & Cherry is 315, 000 UZS as indicated in Annex 5. Detailed calculation of compensation.

The compensation for trees is calculated using the most valuable from the list of fruit trees submitted by the owner, such as cherry.

(a) Average production of a cherry at the age of 6 years = 5kg/year x 6 years = 30 kg

(b) Figure in (a) x number of trees (21) = 30 kg x 21 pcs = 630 kg (c ) Figure in (b) x 3 years which is time taken for trees to grow back = 630 kg x 3 years = 1890 kg (cost of 1 kg of cherries - 1200 soums = 2 268 000 soums)

(d) Labour and other costs for growing a cherries = 315 000 soums

(e) TOTAL for trees = (c) + (d) 2 268 000 + 315 000 = 2 583 000 soums

The brick storage building, Chicken steel shelter, fence, and entrance gate will be rebuilt by BVK (there is no cost measure) as per the final agreed site layout with the house holder as indicated in Annex 6, The project shall also undertake to ensure that the contractor will restore the land to its original condition and the Householder can proceed to cultivate on all the land around the pumping station after the construction is completed.It worth mentioning that the house holder agreed and stated that she does not need any temporary shelter or temporary storage to replace the demolished one during the period of construction as indicated in Annex 7

(f) Disturbance and inconvenience allowance = 10% of the tree compensation (c + d) = 258 300 soums

(g) TOTAL compensation to party = (e) + (f) = (g) = 2 583 000 + 258 300 = 2 841 300 soums

Annex 7 includes The signed copy by the house holder for the partly cash compensation.

5. Responsible agency

Once the final design estimate documentation of project investments is completed and accepted by the oblast and city administrations, and the scope of any land acquisition is determined, a specific RAP will be submitted to the World Bank for approval. The specific RAP should be implemented only after clearance by the World Bank. In addition, all compensation and other entitlements will need to be paid prior to proceeding with the civil works.BVK, PCU will be responsible for the application of the RPF, including commissioning and overseeing the census of affected persons, inventorying of assets, and preparing the abbreviated specific RAP in collaboration with local officials and with the participation of affected persons. The implementation of the specific RAP will begin only after approval by the Bank. The Borrower will be responsible for reimbursement of all costs related to preparation and implementation of the specific RAP.

6. Source of the Budget and Cost Estimate

The cost of compensation calculated as per this RAP will be included in the bill of quantities of the project. This will enable the contractor then to make the actual payment of compensation to each household in accordance with this RAP.

7. Resettlement Additional Measures

Affected persons will be consulted in the course of the preparation and implementation of a specific Resettlement Action Plan (RAP).

All households, regardless of their legal status, will be informed six to eight months prior to the construction works to ensure that they are fully aware of the planned project activities and the options they will have regarding how they will be compensated for the loss of their home, business, trees, and crops. The final designs for the sewerage pipelines will indicate the number and location of structures and land currently in use, and affected persons will be called to the hokimiyat to discuss procedures and entitlements.

All households will be informed about the expected Project activities at least six to eight months in advance, and will be instructed not to plant any trees in the rights of way of sewerage pipelines or other sewerage facilities.

Local authorities will agree not to require illegal occupants to pay any charges for demolishing a building or illegally planted tree.

Compensation will assist affected persons in restoring their pre-project incomes and standard of living following the implementation of the RAP.

Costs of transfer of property-purchase or swap-are waived or borne by the investor, including taxes, fees, documentation and court appeals.

Compensation will be fully provided before any civil works or demolition may begin..

8. Monitoring and Evaluation/Sequential Execution of Activities

BVK and PCU are the main responsible institutions for implementation of this Action Plan. No civil works will commence until the full compensation payment has been made to the household. The PCU Monitoring Specialist will verify that this payment has been made before allowing commencement of civil works. After execution of the construction works by the Contractor, the Monitoring Specialist and Independent Monitoring Consultant will submit a field based verified report on implementation of this Action Plan.

9. Grievance Procedure

During the land acquisition process, complaints regarding valuation, payment, support,and follow-up are inevitable. The procedures envisage participation ofall land users and their representatives in decision-making on the selection of the acquired land,on land acquisition, in preparation of land marking plans, etc., and on the extent of losses anddamages incurred. Decisions and certificates not agreed upon or endorsed by all participants(including users of land plots and users of neighboring plots) will have no legal effect. If persons legally entitled to use the plots subject to acquisition disagree with decisions of organizations and institutions in matters of compensations and other decisions, the following steps should be followed in order to submit their claims:-

Affected persons take their complaints to the Mahalla Committee Chairman who registers the complaint and attempts to resolve it. If the complaint is not resolved in one week, it is passed to the city hokimiyat level.

A designated person in the hokimiyat receives the complaint, registers it, and attempts to resolve it. If there is no resolution in two weeks, the person has the option to take the case to the civil court system.

While reports and grievance resolution will be handled by the hokimiyat, persons who feel that their grievances are not given adequate attention may also seek assistance from the PCU/BVK branches in presenting their concerns to the hokimiyat, or their case in the civil court system.

Contact details for PCU/BVK as follows:-Toychiev N. may apply to BVK Director, Mr. Kholmuradov I.R. PCU branch Head, Mr. Rajabov B.T. The address: Bukhara city, 111, Ibn Sino St.; and telephone numbers: 224-23-08, fax: 224-02-92, email: bukharavodokanal@gmail.com and pcu.bukhara@gmail.com).

10. Costs and Budget

Expenditures for the RAP in BSSP are estimated 2 841 300 UZS and will be financed by BVK. Its implementation is the responsibility of the Government of Uzbekistan. The PCU will closely follow up its implementation and the World Bank will also follow up on issues during supervision missions.

11. Disclosure

This RAP is a public document and will be available in English, Uzbek and Russian in the World Bank Info shop, at the World Bank office in Tashkent and at the project PCU offices in Tashkent and Bukhara.

Annex 1: Project Components

Figure 1 Piping Layout

Figure 2 Pump Layout

Annex 2: Chief Architect Approval for PS 13 Location

Annex 3: Entitlement Matrix

Annex 4: Modified Pump Layout

Annex 5: Bukhara City Beautification Department Conclusion

Annex 6: Final Modified Pump Layout

Annex 7: Toychiev Nurjon's receipt