Technical Assistance Consultant’s Report

This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views expressed herein may not be incorporated into the proposed project’s design.

PUBLIC Project Number: 53312-002 June 2021

Republic of Uzbekistan: Preparing the Surkhandarya Regional Road Project

(Financed by the Technical Assistance Special Fund) Volume 2 (Annexes)

Prepared by Development Business (UK) Ltd. United Kingdom

For Government of Republic of Uzbekistan Committee for Roads

Uzbekistan: TA-9847 UZB: Preparing the Surkhandarya Regional Road Project

DBUK

This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views expressed herein may not be incorporated into the proposed project’s design).

June 30, 2021

ADB TA No. 9847-UZB

PREPARING THE SURKHANDARYA REGIONAL

ROAD PROJECT (53312-002)

Funded by:

Asian Development Bank

Executing Agency:

Committee for Roads

FINAL REPORT

Prepared by: Development Business (UK) Ltd. United Kingdom

TA-9847 UZB (53312-002): Preparing for Surkhandarya Regional Road Project

Project Climate Risk Assessment and Management

I. Basic Project Information

Project Title: TA-9847 UZB: Preparing for Surkhandarya Regional Road Project Project Budget: $225,620,757 Location: Republic of Uzbekistan Sector: Transport Theme: Road Transport Brief Description: The proposed Surkhandarya Regional Road Project will enhance regional integration and inclusive economic growth in the Republic of Uzbekistan by improving efficiency and safer movement of goods and people on an approximately 106,4 kilometre (km) section from Darband to Boysun to Denav, The Project will upgrade the existing two-lane road, which is severely deteriorated. The upgrade will adhere to international standards with a 20-year service lifespan. The project road passes through terrain that varies from mountainous to flat. Currently the road is two-lane with little in-built safety features.

The road project adopted 2 types of cross-section – for the 2-lane road outside of settlementsand 4 and 6 lane road sections within the villages with road featuring 3.75-meter (m) traffic lanes with adjacent shoulders featuring a configuration of 0.75 m paved and 3.00 m unpaved. The road will be with the cement-concrete pavement and widening of the embankment designed in both one-sided and two-sided options. The project road alignment will mainly follow the existing road alignment in order to minimize land acquisition, with some adjustments to horizontal and vertical alignments to meet the required standards and adapt to the Climate Change.

The scope of construction work includes earthwork, pavement with reinforced concrete surfacing, bridges, drainage structures, roadside improvements including rest areas and safety engineering features such as road signs and markings, traffic barriers, pedestrian crossings, and road lighting. The journey time between Darband to Denav will fall from the current 3 hours to 1.5 hours, with average design speed of 90 km/hr.

II. Summary of Climate Change Finance

Project Financing Climate Finance Source Amount $ Adaption Mitigation Asian Development Bank Ordinary Capital Resources (regular loan) 191, 465,796 18,000,000 5,000,000 Ordinary Capital Resources (concessional loan) Co-Financing Government of Uzbekistan 34, 154,961 300,000 400,000 Total 225, 620,757 18 300,000 5,400,000

III. Summary of Climate Risk Screening and Assessment

A. Sensitivity of project component(s) to Climate/weather conditions and sea level

The increased temperature, flooding and erosion relating to extreme precipitation events in combination with melting of the Gissar ridge ice-capes may adversely affect the road

Annex 1

infrastructure if not designed and maintained adequately. Uzbekistan is land locked country with no seashore available.

1. Construction of road foundation-change in precipitation and water level may affect the road foundations layers.

2. Construction of a road pavement- due to increase in difference between maximal and minimal temperatures for concrete pavement and extreme maximal temperatures for asphalt pavement.

3. Construction of new bridges- the floods and mud & earth streams caused by the extreme precipitation events may affect the bridge foundations.

4. Construction of new culverts and drainage pipes- more intense floods in combination with mud-floods currying significant amount of rocky material may block the drainage structures and lead to overflowing through pavement, erosion as well siltation of surrounding areas due to insufficient capacity of culverts and drains.

B. Climate Risk Screening The Project is located in the Surkhandarya region and characterized by the variety of climate conditions which can be aggravated by the Climate Change. The project runs through the foothills of Boysuntau ridge the southwester branch of Gissar range having elevation of 4,000 m above sea level and above with hydrological and hydrogeological cycles depending on ice-capes melting and precipitation. The mountainous and rolling sections of the project are vulnerable to floods, erosion and gully formation, while the road sections with dominantly flat terrain (R 100) may be prone to settling and salinization. The UN Global Risk Platform confirmed medium to low vulnerability of the location area to the natural hazards including the droughts, landslides and mudflows.

In accordance with recommendations of CWRD Guidance Note on Climate Change Assessments for CWRD Projects (table 1) the studies forecast sensitivity to the following climate change variables:

Maximum and minimum daily surface temperatures and difference between the maximal and minimal temperature during a day.

Number of hot (>35°C) and frost days Increase in maximal daily precipitation

1) Increase of mean and extreme temperatures may accelerate the deterioration of the

road layers and cause rutting of asphalt sections of pavement, subgrade and base. In addition, the summer heat stress may result in temperature related curling(and associated stresses), moisture warping and concrete “blows up” due to excessive slab expansion,

2) The future increase in a number of very hot days and heat waves may lead to concerns with pavement integrity

3) The increase of extreme 1 day precipitation in combination with accelerated melting of ice-caps are likely to increase the frequency and magnitude of floods, mudflows and mudslide events affecting bridges, culverts and pavements due to erosion and inadequacy of drainage system and will influence the design flows used to design drainage capacity. Increase in intensity and frequency of maximum 1 day precipitation will also accelerate the natural erosion processes such as gully formation in vicinity of the road. Increase of water saturation of loess-like sediments in some project section can cause the settling and erosion of road and structures. This will mainly affect the floodplain of the Darband River and other streams and rivers within the R105 section due to topography and soil properties. which has a hydrological regime that is particularly influenced by snow and glacier melting (low to medium risk);

Climate Risk Classification: Medium

C. Climate risk and adaption assessment A climate risk assessment and management was conducted during project preparation on the basis of the modelling prepared during the preparation of the Initial (1999), Second (2007) and Third (2016) National Communications for United Nations Framework Convention on Climate Change. Afterwards with simulation of CIMP5 the findings were verified with downscaling to the project area. The key results from these scenario include:

(i) In Surkhandarya region the mean temperature will increase: in the spring around 0.5-2.0 degrees C, in summer up to 1.5-2.5° C, in autumn on up to 0.5-2.0° C, in winter up to 1.5-3.5° C. for period from 2041-2060 compared to the baseline from 1986 to 2005. The maximal temperature may increase in range from 1.5 to 3.0°C and minimal temperature from 1,5 to 2.0°C.

(ii) On average, within the territory of the Uzbekistan, the duration of the frost-free period will increase by 8-15 days. The dates of the temperature transition will occur 5-10 earlier days in spring, and in autumn this transition will occur 5-15 days later. The effective air temperature will increase in 5-10 %1. Downscaled information on these parameters is not available.

(iii) The 1 day maximum precipitation- is very important indicator as the most the project area is prone to mud-flows and landslides. Usually in the region they are triggered by extreme continuous raining events due to combination of geomorphological, geological and hydrological factors. Depending on the project location it anticipated to increase by 2-5mm/day over period from 2041 to 2060 compared to base-line period from 1986-2005. The relative increase will be about 10%, while annual precipitation volume for Uzbekistan and the adjacent mountain territory is expected to be 100% to 120% of the historical average.

The adaptations conducted during the design stage are: selection of concrete cement pavement due to higher resilience to the climate change for the most of the project alignment; (ii) enhancement of embankments to protect against flooding; widening of culverts and bridges to avoid backwater; and (iv) erosion control measures. D. Climate Risk Screening Tools and/or procedures used {Specify the tool and/or procedure used.} KINMI Climate Change Explorer with CMIP5-Climate Model Inter-comparison Project ADB Preliminary Climate Risk Screening Check-list UNEP Preview Data Platform World Bank Group Climate Change Portal

IV. Climate Risk Management Response within the Project Adaption activity2 Target Climate Risk Estimated

Adaption Costs ($ million)

Adaption Finance Justification

Adaptation of Design to accommodate for future flood events. The measure

Extended drainage system with larger culvert sizes to reduce the risk of

0,1 Higher capacity and improved drainage systems will prevent clogging of drains from storm debris,

1 The Initial National Communication of Uzbekistan under the UNFCCC. 2 Adaptation activity is subject to acceptance by the Executing Agency

includes the bridges and culverts crossing irrigation channels of the Project. The proposed culvert outlet diameters will be increased from 0.5 to 1.0 m;

road over-flooding and water ponding along the roads.

flooding due to higher water volume, and formation of salt residues on the pavement. Estimated is based on experience in earlier projects.

Appling of rigid cement-concrete pavement

The rigid cement concrete pavement was selected to better resist the rise of mean and extreme temperatures

183 The projected increase in temperature was one of the factors for the pavement upgrading from asphalt to concrete. The concrete is not susceptible to softening and rutting due to high temperatures as it asphalt pavement. Cement concrete surfaces reflect more heat from sun radiation and ensure lower surface temperatures in summer compared to asphalt, concrete pavements. The cost reflects the estimated difference between the cement concrete and concrete bitumen pavement.

Providing of larger temperature joints

The road design considers wider expansion joints with soft wood boards at designed interval.

0,1 This type of joints allows for a higher expansion than the common compression joints, cut only in the upper part of the concrete cement slabs.

Providing of additional slope protection, riprap, gabions and retaining walls.

Erosion relating to extreme rain events

0,1 The additional structure will ensure the road safety and significantly reduce maintenance cost.

V. Climate Mitigation Plans within the Project Mitigation Activity

Estimated GHG Emissions Reduction (tCO2e/year)a

Estimated Mitigation Costs ($ million)

Mitigation Activity

Introducing of overloading control (WIM) for

(47,736)4 5 The introduction of overloading control will reduce the CO2 emissions by the heavy trucks as

3 This amount represent approximate additional cost to build road with C/C pavement in comparison to A/C pavement for the entire project road. 4 The rough estimate with assumption that weight control of heavy trucks will decrease the consumption of fuel by 10%

heavy trucks due to weight control they will try to avoid overloading. It is estimated that reduction of diesel fuel for this transport category will be reduced by 10% compared to pre-loading control period

Planting of over 18,500 of trees and shrubs

The trees within ten years will sequestrate (1,200)5

0,4 The trees and shrubs will sequestrate significant amount of CO2 emissions the main reason of global warming but also serves as efficient measure to control erosion processes as adaption benefit.

Climate Change Adaption Report _________________________________________________________________________ TA No. 9847-UZB Road Project: 53312-002 5 EPA Climate Change Calculator: https://www3.epa.gov/carbon-footprint-calculator/

March 2021

Preparing the Surkhandarya Regional Road Project Prepared by DBUK for ADB and Committee for Roads under Ministry of Transport of Uzbekistan. This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and ADB and the Government cannot be held liable for its contents. (For project preparatory technical assistance: All the views expressed herein may not be incorporated into the proposed project’s design).

TA-9847 UZB: Preparing the Surkhandarya Regional Road Project

Table of Contents Glossary .............................................................................................................................. 10

1. Introduction .................................................................................................................. 12

2. Legislation and administrative network for Management of Climate Change in Uzbekistan ................................................................................................................... 13

3. Observed climate trends in Uzbekistan ........................................................................ 13

4. Future Climate Change Projections .............................................................................. 15

5. Vulnerability to Climate Change ................................................................................... 16

6. Analysis of the sensitive climate variables .................................................................... 20

7. Main Features and Vulnerability of the Project to Climate Change ............................... 25

8. Climate Risk Assessment ............................................................................................. 30

9. Adaptation Measures ................................................................................................... 32

10. Project Impact to Climate Change and Mitigation ......................................................... 33

10.1 Cost estimate for Adaptation Measures .........................................................34

10.2 Proposed Mitigation Measures in the Project Operation Phase ...................35

Tables Table 1 Summary of national emissions in 2008 for each species and total annual emissions in Central Asia from 2000 to 2008 ........................................................................................19

Table 2. The range of the projected relative change in 1 day maximum precipitation (%) for period from 2041 to 2060 compared to 1986-2005 ...............................................................25

Table 3. The main project features .......................................................................................27

Table 4 Climate Change Risk Assessment Matrix ................................................................30

Table 5. Climate Change Risk Assessment ..........................................................................30

Table 6 Estimated Cost for Adaption Measures ....................................................................35

Figures Figure 1 The main climate parameters of Uzbekistan ...........................................................14

Figure 2 Distribution of the median (P50mm) of total precipitation for the cold half of the year .............................................................................................................................................15

Figure 3. Projected change in average annual temperatures by 2039 as compared with 1960-1991 Source: Initial National Communication of Uzbekistan. ......................................17

Figure 4. Expected increase in the number of days with temperature higher than 25°C for Uzbekistan regions. Source: Initial National Communications under UNFCCC ....................18

Figure 5. Rise of maximal temperatures according to CMIP5 simulation for RCP 4.5 scenario .............................................................................................................................................21

Figure 6. .Results of CIMP5 simulation for rise of mean annual temperature under RCP4.5 scenario ...............................................................................................................................22

Figure 7.Comparison of historical mean temperatures and projected rise under RCP4.5 and RCP 8.5 scenario .................................................................................................................22

Figure 8 Relative rise of precipitation by CIMP5 ..................................................................23

Figure 9. Projected increase in the number of days with precipitation of over 20mm/days ....24

Figure 10. Historical and future annual Rx 1 day for Uzbekistan projected by the CMIP5 ensemble under RCP4.5 and RCP-8.5 scenarios .................................................................25

Figure 11. The various types of topography along the project road ......................................26

Figure 12. The Comparison of monthly precipitation for Baysun and Denav .........................28

Figure 13. The Comparison of monthly precipitation for Baysun and Denav .........................29

Figure 14. Average water discharge at the mouth of Khalkajar (Altinsay) river for 2014-2099. (source: CAWATERinfo) .......................................................................................................29

Annexes Ann. 1 Climate Risk Screening ...................................................................................37

Ann. 2 Summary of Potential Impacts on Climate ........... Error! Bookmark not defined. Ann. 3 References ........................................................................................................38

Abbreviations ADB - Asian Development Bank CCA- Climate Change Assessment CMIP- Coupled Model Intercomparison Project DMCs- Developing Member Countries GCM- General Circulation Model GISS- Goddard Institute for Space Studies GHG- Greenhouse Gases ICT- Information and Communication Technologies ITS- Intelligent Transport System IPCC- Intergovernmental Panel on Climate Change km- kilometer RCP- Representative Concentration Pathway NASA- National Aeronautic and Space Administration TRTA- Transaction Preparatory Technical Assistance UKMO- Meteorological Agency of the United Kingdom UNFCCC- United Nations Framework Convention on Climate Change

Glossary

Adaption - Adjustment in natural or human systems in response to actual or expected climatic stimuli or their effects, which moderates harm or exploits beneficial opportunities. Climate- Climate in a narrow sense is usually defined as the average weather, or more rigorously, as the statistical description in terms of the mean and variability of relevant quantities over a period of time ranging from months to thousands or millions of years. The classical period for averaging these variables is 30 years, as defined by the World Meteorological Organization. The relevant quantities are most often surface variables such as temperature, precipitation, and wind. Climate in a wider sense is the state, including a statistical description, of the climate system Climate change - Climate change refers to a change in climate over time, whether due to natural variability or as a result of human activity. The United Nations Framework Convention on Climate Change, in its Article 1, defines climate change as “a change of climate which is attributed directly or indirectly to human activity that alters the composition of the global atmosphere and which is in addition to natural climate variability observed over comparable time periods.” Climate change impacts- The effects of climate change on natural and human systems. Depending on the state of adaptation, one can distinguish between potential impacts and residual impacts: Potential impacts. All impacts that may occur given a projected change in climate, without considering adaptation. Residual impacts. The impacts of climate change that would occur after adaptation has taken place. Climate projection- A climate prediction (or climate forecast) is the result of an attempt to estimate the actual evolution of the climate in the future (e.g., at seasonal, inter-annual, or long-term timescales). Climate projection- The calculated response of the climate system to emissions or concentration scenarios of greenhouse gases, often based on simulations by climate models. Climate projections critically depend on the emissions scenarios used and therefore on highly uncertain assumptions of future socioeconomic and technological development. Climate variability- Climate variability refers to variations in the mean state and other statistics (such as standard deviations, the occurrence of extremes, etc.) of the climate on all spatial and temporal scales beyond those of individual weather events. Variability may be due to natural internal processes within the climate system (internal variability) or to variations in natural or anthropogenic external forcing (external variability). Downscaling- Downscaling is a method that derives local- to regional-scale (10 to 100 kilometres) information from larger-scale models or data analyses. The running of the climate projections models normally results in obtaining of climate variables averaged for the larger area then the targeted project site. For this reason we need downscaling. There are two main methods: dynamical downscaling and empirical/statistical downscaling. The dynamical method uses the output of regional climate models, global models with variable spatial resolution, or high-resolution global models. The empirical/statistical methods develop statistical relationships that link large-scale atmospheric variables with local and regional climate variables. Extreme weather event- Event that is rare at a particular place and time of year. Definitions of “rare” vary, but an extreme weather event would normally be as rare or rarer than the 10th or 90th percentile of the observed probability density function. Impact assessment - The practice of identifying and evaluating, in monetary and/or nonmonetary terms, the effects of climate change on natural and human systems. Climate projections are used to first identify how the climate is changing, and then the impact of those

changes on systems such as river basin dynamics are assessed, through hydrologic modelling, for example. Sensitivity- Sensitivity is the degree to which a system is affected, either adversely or beneficially, by climate variability or climate change. The effect may be direct (e.g., a change in crop yield in response to a change in the mean, range, or variability of temperature) or indirect (e.g., damages caused by an increase in the frequency of coastal flooding due to sea level rise). Vulnerability- Refers to the degree to which a system is susceptible to, and unable to cope with, adverse effects of climate change, including climate variability and extremes. Vulnerability is a function of the character, magnitude, and rate of climate change and variation to which a system is exposed; its sensitivity; and its adaptive capacity Vulnerability assessment- A vulnerability assessment attempts to identify the root causes for a system’s vulnerability to climate changes.

1. Introduction

1. This is a Climate Change Impact Assessment and Adaption report for the preparing of Surkhandarya Regional Roads Project (UZB- 53312-002). The proposed Surkhandarya Regional Road Project will enhance regional integration and inclusive economic growth in the Republic of Uzbekistan by improving efficiency and safer movement of goods and people on an approximately 106,4 km section from Darband to Boysun to Denav, The Project will upgrade the existing two-lane road, which is severely deteriorated. The upgrade will adhere to international standards with a 20-year service lifespan. The project road passes through terrain that varies from mountainous to flat. Currently the road is two-lane with little in-built safety features.

2. The Climate Change is one of the growing global challenges hindering the development that directly threatens the Infrastructure. For this reason, the improvement of the climate resilience of the Project design solutions is one the Project tasks. Implementation of this task requires an assessment of the climate change trends in relation to the project located in Surkhandarya region of Uzbekistan.

3. The problem of global warming and associated Climate Change is resulting from the additional GHG concentrations brought into the atmosphere by human activities. Greenhouse gases exist naturally in the earth’s atmosphere and their presence allows the earth to remain warm enough to support life. For explanation of climate change scientists have identified two primary drivers that are first the increase in GHG emissions, due to combustion of fossil fuels and other human activities and second the decrease in carbon absorption and release of GHG from forest cleaning, agriculture and related activities including domestic livestock.

4. According to the IPCC (Intergovernmental Panel on Climate Change) the global atmospheric concentration of CO2 and other GHG has increased markedly since 1750 and now far exceed pre-industrial values. Since the increase of global GHG emissions is continuing despite climate change related efforts, limiting the temperature increase within 2°C is becoming a rather challenging task. A further increase of global temperature may have negative consequences for the environment, economy and health of the population.

5. The Republic Uzbekistan is a signatory of the UN Framework Convention on Climate Change and made significant efforts in the studies of the climate change tendencies in the country and integration of climate change issues into National Strategies and Plans. The country prepared and disclosed three National Communications under the UN Framework Convention on the Climate Change (UNFCCC). The data provided in these reports were broadly used for this study. Conducting a climate change risk assessment serves as basis for development of the appropriate and feasible adaptation options stipulated as one of the tasks in the Project Terms of Reference (ToR).

6. The Government of Uzbekistan has requested transaction preparatory technical assistance (TPTA) from the Asian Development Bank (ADB) to identify, formulate and prepare a loan and/or grant for road, which forms part of CAREC (Central Asia Regional Project. The Project comprises rehabilitation of 106.4km.The project will also improve road safety through provision of funding for safe urban areas

7. The ADB policy principles require to: Assess potential transboundary and global impacts, including climate change. In accordance with long-term strategic framework of ADB, Strategy 2020, and its climate change strategy. ADB is seeking to assist its Developing Members Countries (DMCs) to enhance the climate resilience of vulnerable sectors—such as transport,

agriculture, energy, water, and health—by “climate proofing” investments in these sectors to ensure their intended outcomes are not compromised by climate change.

8. The main purpose of the Climate Change Assessment (CCA) technical document is to review both project impacts to the climate, and potential impacts of climate change to the project facilities. One of the main objectives is to propose adaptation measures based on site conditions and risks identified. The Climate Change Assessment covers climate risks for the project and recommendations for project design. The ultimate idea is therefore to (1) ensure that climate change considerations have been factored in the engineering design, and (2) estimate the additional costs for proposed adaptation measures.

9. Climate Change is one of the serious global challenges which can impede development and threatens the safety of the existent and planned Infrastructure. Adverse natural climate conditions significantly restrain the country’s transport sector. In plain and piedmont areas, high temperatures in the summer months cause loss of road strength properties and deformation of road pavements. Storm rainfalls and mud floods covering a significant territory wash out tens of kilometers of roadbeds and damage many facilities. The improvement of the transport Infrastructure is one of the main priorities of the Republic of Uzbekistan.

2. Legislation and administrative network for Management of Climate Change in Uzbekistan

10. Adverse natural climate conditions significantly restrain the country’s transport sector. In plain and piedmont areas, high temperatures in the summer months cause loss of road strength properties and deformation of road pavements. Storm rainfalls and mud floods covering a significant territory wash roadbeds and damage many facilities.

11. The United Nations Framework Convention for Climate Change (UNFCCC) serves as basis for International Actions to combat Climate Change. In order to address climate change issues Uzbekistan joined UNFCCC in 1993 as a non-Annex I Party and ratified the Kyoto Protocol in 1999. The country as a party of Convention follows a policy of the reducing of GHG in the key sectors of economy including transport.

12. As a part of its obligations under UNFCCC Uzbekistan in 1999 accomplished Initial National Communication and submitted in the 5th Conference of Parties in Bonn. The document included data on the initial inventory of GHG, assessment of the Climate Change Trends and review of the possible adaption measures. The Second National Communication was presented in 2008 and Third National Communication in 2016 respectively.

13. The Government delegated functions related to UNFCCC implementation in Uzbekistan to the Centre of Hydrometeorology under the Cabinet of Ministers. More than twenty Government and Non-Government Organizations are involved in this activity.

14. The National Authority for Clean Development Mechanism under the Kyoto Protocol in Uzbekistan was created at the Ministry of Economy and an Interdepartmental Council was formed. Legal acts on Clean Development Mechanism related projects development and approval of CDM on the National level were developed and endorsed.

3. Observed climate trends in Uzbekistan

15. The Climate of Uzbekistan is arid continental. The average July temperature on the plains’ territory varies from 26° C in the North to 30° C in the South, and the maximum temperature

reaches 45 – 47° C. The average January temperature falls to as low as 0° C in the South and to -8° C in the North; the minimum temperature during some years reaches -38° C (the Ustyurt Plateau). The majority of country’s area is attributed to the moderate climate zone. The southern part of the country is located in the subtropical arid zone.

16. Uzbekistan’s climate is strongly influenced by its location in the northern band between the subtropical and temperate zones. High solar radiation, coupled with the unique features of its surface and air circulation patterns, form a continental-type climate. This climate is characterized by seasonal and day-to-night fluctuations in temperature, long, hot, and dry summers, humid springs, and irregular winters. Depending on the location, average July temperatures vary from 26° C in the North, to 30° C in the South, with the peak temperature around 45-47° C. Average January temperatures are –8° C in the North, and 0° C in the South, with the lowest temperature being –38 (°on the Usturt Plateau).

17. Precipitation primarily occurs during the winter-spring period. Annual precipitation amounts to 80 – 200 mm on the plains, 300 – 400 mm in the foothills area and 600 – 800 mm on the eastern and south-eastern slopes of the mountain ridges. Depending on altitude the various sections of the project road run through the areas with total precipitation ranging from less than 200mm to over 400mm.

18. The following figures 1and 2 show the main recorded climate variables for Uzbekistan.

Figure 1 The main climate parameters of Uzbekistan

Figure 2 Distribution of the median (P50mm) of total precipitation for the cold half of the year

4. Future Climate Change Projections

19. This section based on the climate change projection results prepared in the National Communications reports prepared for implementation of UNFCCC in Uzbekistan from 1998 to 2016. According to National Aeronautics and Space Administration of the United States (NASA), Central Asia is one of the regions that have experienced a pronounced warming of its climate since 19506. Therefore, not only Uzbekistan, but also the other countries of Central Asia are experiencing the impact of climate change in the form of increased temperatures, melting of glaciers and transformation of river flows.

20. In order to assess vulnerability of the environment and separate sectors of the economy to potential climate changes and to develop adaptation strategies, a series of climate scenarios for Uzbekistan and the adjacent mountain territory were developed, applying empirical-statistical and analog approaches as well as the data of a general circulation model. The studies have been conducted within the preparing of the National Communication Reports under the UNFCCC country’s obligations.

21. The assessment approach constructs a composite scenario on the basis of integrating the outcomes of the atmosphere and ocean general circulation models (GCM) and historical analogs. The estimates of possible climate changes using this approach if emissions in CO2 equivalent were doubled equal 2.0 – 3.0°C in winter and 1.5°C in summer by 2030. Possible annual temperature changes are estimated at 1.0 – 3.0°C. The historical baseline values for these parameters are not available in the report. .

22. The second approach constructs regional scenarios on the basis of statistical dependence between the average annual air temperature observed in Uzbekistan and the adjacent mountain territory and the global temperature. Global temperature forecast were made by using the results of the Model for Assessing the Greenhouse Gases Impacts and Climate Change (MAGICC) for a wide variety of greenhouse gases emissions (IPCC, IS92a-IS92f). Under emissions scenarios IS92a, a rise in the average annual temperature of 1.0 –2.5°C is anticipated in Uzbekistan by 2030. For the same period the annual precipitation volume for

6 Third National Communication on Climate Change, under the United Nations Framework Convention on Climate Change 2016

Uzbekistan and the adjacent mountain territory is expected to be 100% to 120% of the historical average values Climate change scenarios were developed from GCM data assuming that CO2 concentration in the atmosphere doubles.

23. According to the CCCM and UKMO models, annual temperature increases of 5.2 – 6.9°C relative to the base norm are anticipated and under the GFDL and GISS models: 3.4 – 4.6°C temperature increases are expected by 2030. Comparison of the simulated temperature forecasts (the control model runs) with real temperatures indicates that these scenarios somewhat overestimate the anticipated climate warming. The expected amount of precipitation in Uzbekistan and on the adjacent mountain territory under the CCCM model equals 89 – 100% of the base norm, under the UKMO model: 90 – 106% of the base norm, under the GFDL model: 104 – 114% of the base norm, and under the GISS model: 113 – 140% compared to historical data.7

5. Vulnerability to Climate Change

24. The assessment of climate change vulnerability for Uzbekistan and the search to identify possible strategies adaptations are based on the International Panel on Climate Change (IPCC) recommendations, regional policies and expert estimates. In accordance with the findings of the National Communications of Uzbekistan on UNFCCC the Climate Change is expected to cause the following changes in the country.

25. As a result of climate warming, the boundary between the semi-arid and temperate climatic zones will shift to the North by 150 – 200 km, and the altitudinal climatic zones will shift upwards by 150 – 200 m. Duration of the frost-free period will increase by 8 – 15 days. Temperatures will increase by 5 – 10%. Expected temperature increases in the Central Kyzylkum region of 1.5 – 2.0°C will lead to a “vegetation” winter regime replacing the current winter regime8

26. The observed temperature trends in Uzbekistan in general match to the global anomalies (Figure.3). The Climate Change significantly affects the state of glaciers which form most of Uzbekistan’s rivers flow.

27. Mountain glaciers in Uzbekistan are located in the upper reaches of Pskem, Kashkadarya and Surkhandarya river basin. Based on the inventory for 2010, there are 613 glaciers within these river basins with the total area of 158.19 km2. Out of this number, 411 glaciers with the total area of 99.69 km2 are located within the boundaries of Uzbekistan. The total volume of ice in glaciers is 3.554 km3 , or 3.021 km 3 of water equivalent (with ice density of 0.85g/cm3 ). The total volume of ice in glaciers located within territory of Uzbekistan equals to 2.106 km3, or 1.790 km3 in water equivalent. Decrease in area of glaciers over period from 1957 to 2010, was observed in all three river basins: Pskem, Kashkadaraya and Surkhandarya. Decrease in glaciations area in these river basins was around 50.12 km2 or 24.1% from the initial glacier area (in 1957). Decrease in glacier area on the territory of Uzbekistan for the same period was 41.63 km2 or 29,5% from the initial glacier area9.

7 Initial National Communication on Climate Change under the UNFCCC 8 Initial National Communication (Executive Summary) 9 Report on Grant from StateCommitteeon Science and Technology “Assessment of Current Conditions of Glaciation in Mountains of Uzbekistan”, NIGMI, Uzhydromet, Tashkent 2014. Sourced from TNC 2016.

Figure 3. Projected change in average annual temperatures by 2039 as compared with 1960-

1991 Source: Initial National Communication of Uzbekistan.

28. Glaciers are considered as one of the most valuable natural resource. Glaciers melt during the hottest period of summer decreasing deficiency of rivers flow in the period of maximum water consumption for irrigation, when supply of seasonal snow in mountains is already depleted. Climate warming impact on the upper watersheds of the Amudarya river basin (Pamir, Gissar-Alay, Hindu Kush) and Syrdarya river basin (Tien Shan) corresponds to the global trends, i.e. there is a general recession of glaciers: small size glaciers disappear, and large ones break down. Small glaciers with area less than 1 km2 share of which is 80% from the total number of glaciers in this region, degrade most rapidly.

29. Increase in the recurrence of hazardous and extreme hydro- meteorological phenomena (high temperatures, heavy precipitation, drought, growth of water deficiency are additional factors of the vulnerability to the different sectors of economics including transport

30. Due to the increased intensity of rains, loss of soil and erosion processes the sediment load of rivers will increase. This will result in further sedimentation of irrigation channels, reservoir pumping stations, and reservoirs. The current efficiency of irrigation systems is low and may be further aggravated by the water problem.

31. Due to potential decrease of flow in the zone of formation and increase in water consumption, the risk of droughts will increase in many sectors, especially in the lower reaches of the rivers. It is expected that the increase in the amount of mudflows will achieve 19-24% in comparison with the current situation by 2030-2050 and 12-13% by 2080. The reduction of flow by 2080 compared to previous period is projected due to expected shrinking of the glaciation area, which is a main contributor to water flows.

32. There is a potential of increase in duration of periods with high mudflow risk. Outburst risk lakes. Warming in the mountainous zone will lead to increase of altitudinal limit of lakes; the

probability of lake outbursts will increase. Generally, there is a probability of increase of mountain lakes outburst risks.

Figure 4. Expected increase in the number of days with temperature higher than 25°C for Uzbekistan regions. Source: Initial National Communications under UNFCCC

33. The main measures of the Government of Uzbekistan are focused on economic growth, welfare of the population, poverty reduction, diversification of economy, means of communication, and political stability. Altogether these measures provide the basis for developing climate change resilience. In average, according to scenarios, the avalanche risk in Uzbekistan will decrease approximately by 1.2-1.3 times less by 2030-2050 and over 2 times less by 2080. Probability of destructions will insignificantly decrease (2-14% by 2050 in comparison with the current period). The consultancies with design engineers and local residents confirmed low or no snow avalanche hazard in the project area.

34. In accordance with TNC the transport is one of the most significant sources of GHG after thermal and electric power sector. Functioning of transport complex is accompanied by generation of CO2, CO, CH4, N2O, and NOx emissions.

35. On the other side the adverse natural climate conditions significantly restrain the country’s transport sector. In plain and piedmont areas, high temperatures in the summer months cause loss of road strength properties and deformation of road pavements. Storm rainfalls and mud floods wash out roadbeds and damage many facilities.

36. Globally, the number of motor vehicles is increasing every year. This trend is also true for Uzbekistan. The share of road transport in freight turnover is 37%. The total number of the motor vehicles in Uzbekistan exceeds 1.1 million.

37. New road infrastructure such as tunnels and improved roads in rolling and mountainous areas have considerably reduced travel times and consequently fuel consumption, which in turn has led to reduced emissions and increased road safety as well as improved transport communication between the regions and remote districts of the country.

Table 1 Summary of national emissions in 2008 for each species and total annual emissions in Central Asia from 2000 to 2008

Country SO2 NOax CO NMVOC PM10 PM2.5 BC OC NH3 CH4 N2O COb

2 Kazakhstan 1409 756 2885 522 439 220 12 28 41 3980 8 208 Kyrgyzstan 34 50 300 41 69 31 2 3 13 77 1 7 Uzbekistan 15 36 194 29 24 14 1 1 15 82 1 4 Turkmenistan 57 248 371 232 60 28 2 3 14 1470 5 48 Uzbekistan 560 300 860 307 374 165 3 11 55 1491 10 128

a Gg-NO2 yr−1. b Tg yr−1.

38. In principal there are two options to reduce GHG emissions in transport systems. One refers to emission reduction as a result of technological innovations. The other one refers to possible future shifting from high to low emission transport systems, meaning from private to public transport and from road transport to transport by train.

39. Emission reduction as a result of technological innovations has very high potential. In Europe in recent decades, the volume of road travel has greatly increased, while the emission of harmful air pollutants has been cut. Technological innovations have made this progress possible as “today’s vehicles are more fuel efficient and employ far more sophisticated emissions-control technologies than those on the roads in the 1970s10. Examples of existing and emerging technologies that may help to reduce GHG emission further in the future comprise Gas/Electric Hybrid engines, Plug In Hybrids, Biofuel Engines and others. A suitable legislative framework provides the necessary incentives to develop those technological innovations and to make them competitive. This applies to all transport systems (road, train and air transport).

40. For the purpose of cutting down its GHG emission rates from the transport sector in Uzbekistan it is proposed that the country orientate itself towards the pertinent legislative framework and guidelines of the European Union or other developed countries, taken into consideration economic constraints.

41. The main strategy of adaption to climate change being at the same time the mitigation strategy, is more rational use of energy resources in the climate change conditions. Relevant sector normative documents, construction norms and rules, comprising climatic information, should be updated regularly with use of advanced methodological approaches and standards.

42. Institutional and technical measures for increasing energy efficiency/reducing the GHGs emissions in the transport sector include: gradual introduction of the standards on fuel consumption and CO2 emissions; priority development of urban transport, including restrictive measures; further change-over of automobile transport to run on liquefied and compressed natural gas; public transport traffic optimization in large cities of Uzbekistan. TNC reports significant reduction of GHG emissions in the transport section due to growth of natural gas share in transport and energy sector.

43. Road vehicles is the main type of transportation for passengers and goods in Uzbekistan: passenger turnover is 78% and freight turnover is 83%. Motor transport is the major consumer

10 AASHTO (2008): Primer on Transportation and Climate Change (April 2008). American Association of State Highway and Transportation Officials

of liquid hydrocarbon; a very low percentage of vehicles operate on diesel fuel (6.1%), and on compressed and condensed gas (2.3%).

44. In 2012, carbon dioxide emissions from transport made up 70% of total emissions which is 3 times higher than 15 years ago. Between 2008 and 2012, the annual number of imported vehicles varied from 34,000 to 94,000 with an average of 50,000 vehicles per year. These are mainly secondhand vehicles from Baltic and Eastern European countries and vehicles constitute the largest share (25%) of goods imported to the country. According to expert assessments, the number of vehicles will rapidly increase and might double in 5 years and as a result emissions of GHG and harmful substances will also increase. In view of this, the gas and transport sector, as well as infrastructure will require more attention whilst roads need to be constantly modernized and the streets greened.

45. The increase of passenger and cargo turnover in automobile transport in Uzbekistan was promoted by active development of an extensive transport network in 1990-2005. In 2006 the network of highways with solid covering has made 51.6 thousand km, railway roads – 5.7 thousand km.

46. The network of highways in Uzbekistan takes a leading place by the indicator of development among the CIS countries and now provides current requirement for transportations of cargoes and passengers in the country.

47. For the last 15 years automobilization of the population is observed as a result of which private automobile passenger transportation amounts more than 70%, the passenger turnover of private transportations is 78.3%. The automobile transport in Uzbekistan consumes 79.1% of liquid hydrocarbon raw materials (gasoline). The majority of existing motor transport does not meet modern requirements for resource saving and international environmental standards because of technological gap, and it is a significant source of atmospheric air pollution and GHG emissions in Uzbekistan. The road transport and infrastructure plays a leading role in economic development and livelihood activities.

48. As already described above the vulnerability of Surkhandarya’s transport system to climate change phenomena is considered as medium11. Main hazards are expected to occur as a result of increase of single heavy precipitation events which will result in increased surface water runoff and increase of flooding of the country’s major rivers and streams. Instability of slopes due to increased surface runoff and erosion on inclined surfaces is another major issue. This is of particular importance as soils in Uzbekistan are to a large extend loess sediments and highly susceptible to land sliding and erosion.

6. Analysis of the sensitive climate variables

49. For the purpose of this project above conclusions were confirmed with the CMIP5 dataset by analysis of the key climate variables between the default 20-year reference period (1986-2005) and default future period (2041-2060). CMIP-5 protocol provides the downscaled integrated results derived from the many of climate projection models. The simulations were conducted for Representative Concentration Pathways RCP4.5 and RCP8.5 for mean surface temperatures, minimum and maximum daily temperatures, total precipitation and as most important variable -1 day maximal precipitation.

11 Third National Communication on UNFCCC. 2016. Navoi, Djizak, Bukhara, Surkhandarya, Namangan, Kashkadarya and Tashkent provinces are attributed to the medium vulnerable territories to climate change;

50. Representative Concentration Pathway (RCP) 4.512 is a scenario assuming that due Internationally supported actions to limit GHG emissions they will reach a peak by 2040 and strongly decline by 2080. The application of the RCP4.5 provides a common platform for climate models to explore the climate system response to stabilizing the anthropogenic components of radiative forcing.

51. RCP8.5 is a scenario assuming that increasing greenhouse gas emissions will continue as usual, leading to higher greenhouse gas concentration levels

52. For example, simulation with RCP 4.5 scenario13 indicates the rise of maximal annual temperature depending on location within the project road fall in the ranges from 1.5 to 2.0°C and from 2.0 to 3.0°C for period from 2041 to 2060 compared to basis period from 1986 to 2005 (Figure 6). The mean annual temperature is projected to rise by 1.0-1,5°C(Figure.5) and the total mean precipitation will rise up to 10% (Figure. 6).

Figure 5. Rise of maximal temperatures according to CMIP5 simulation for RCP 4.5 scenario

12 https://link.springer.com/article/10.1007/s10584-011-0151-4.

Figure 6. .Results of CIMP5 simulation for rise of mean annual temperature under RCP4.5 scenario

Figure 7.Comparison of historical mean temperatures and projected rise under RCP4.5 and

RCP 8.5 scenario

53. The modelling shows the significant difference in growth of mean temperatures between the RCP4.5 and RCP8.5 scenarios (Figure.7) indicating the dependence of Uzbekistan from the

success of the planned reduction of GHGs emissions. RCP 8.5 projections confirm also the growth of minimal and maximal daily temperatures.

Figure 8 Relative rise of precipitation by CIMP5

54. . The 1 day maximum precipitation is one of the most important climatic variables frequently used for the flood risk and recommended by CWRD for the Climate Change Risk Assessment of Highway Projects. This is especially important for the R105 sections of the project area as extreme rain cases in combination with geomorphological and geological factors can trigger mud-floods, accelerate erosion and result in the damage of the design structures and road pavement.

Figure 9. Projected increase in the number of days with precipitation of over 20mm/days

55. The analysis of the historical data confirms the increasing trends in the intensity and frequency of extreme rain events globally and in the continental scale (Westra, Alexander, Zwiers,2019). CIMP5 simulation indicates the increase of number of days with precipitation equal or over 20mm by 2 days per year or up to 50% for 2040-2060 compared to historical period from 2086-2005 (Figure 9).

56. Hatching indicates regions where the magnitude of the change of the 20-year mean is less than one standard deviation of model-estimated present-day natural variability of 20-year mean differences. In general the hatching indicates areas where the projected changes are within the range of historical variability. It can be interpreted as some indication of the strength of the future anomalies from present-day climate, when compared to the strength of present day internal variability. It either means that the change is relatively small or that there is little agreement between models on the sign of the change. It is only presented as a guide to assessing the strength of change.14

57. The figure 10 shows the difference between historical 1 day maximum precipitation and projected RCP 4.5 and RCP 8.5 scenarios.

14 KNMI Climate Change Atlas. Retrieved from: KNMI Climate Explorer: help

Figure 10. Historical and future annual Rx 1 day for Uzbekistan projected by the CMIP5 ensemble under RCP4.5 and RCP-8.5 scenarios

58. In addition to natural variability the application of various models is a significant source of uncertainty of projected variables. The assessment by percentiles provides the possibility to explore the total uncertainty resulting from natural variability and model spread. The 50% map shows the median change across all models.

Table 2. The range of the projected relative change in 1 day maximum precipitation (%) for period from 2041 to 2060 compared to 1986-2005

Scenario Mean Ensemble Percentile 5% 25% 50%(median) 75% 95%

RCP 4.5 0-10 0-(-10) 0-10 0-10 10-20 20-30 RCP 8,5 10-20 0-(-10) 0-10 10-20 10-20 30-40

59. The values of 5% and 95% percentile for the project area are least probable as they are supported only few models and may not be taken into account for adjustment of design of drainage structure to climate change scenarios.

7. Main Features and Vulnerability of the Project to Climate Change

60. The road project adopted 2 types of cross-section – for the 2-lane road outside of settlements and 4 and 6 lane road sections within the villages with road featuring 3.75-meter (m) traffic lanes with adjacent shoulders featuring a configuration of 0.75 m paved and 3.00 m unpaved. The road will be with the cement-concrete pavement and widening of the embankment designed in both one-sided and two-sided options. The project road alignment will mainly follow the existing road alignment in order to minimize land acquisition, with some adjustments to horizontal and vertical alignments to meet the required standards and adapt to the Climate Change. 61. The scope of construction work includes earthwork, pavement with reinforced concrete surfacing, bridges, drainage structures, roadside improvements including rest areas and safety engineering features such as road signs and markings, traffic barriers, pedestrian crossings,

and road lighting. The journey time between Darband to Denav will fall from the current 3 hours to 1.5 hours, with average design speed of 90 km/hr.

62. Administratively the Project road is located in Surkhandarya region of Uzbekistan and traverses through four districts, namely Boysun, Kumkurgan, Altynsay and Denau. It comprises the sections of the existent roads 4R105 and R100. The 4R105 road starts from the junction with the km 1333 of M39 highway and ends at the junction with km 128 of 4R100 Road. The Project covers the sections from Km 5 to km 70 which starting from the village of Darband of Boysun district. The start-point of the project route – PK 0+00 corresponds to km 5 of the 4R105 road.

63. After the village of Tangimush (Boysun District) the Project alignment follows the sections of the (R100) Road Manguzar-Jarkurgan-.Bandikhon-Altynsay-Denau (Km128-174). Project road forms the connection between the M39 and M41 motorways, which are part of the international transport corridors. It is an important road that provides access to the Northern, Northeastern and Southern directions.

64. From the beginning the route of the Project road is winding through the foothills mainly southwest and then turns northeast following the existent R100. The mountainous and hilly terrains feature the road sections located within the Boysun district while the road sections located in Kumkurgan, Altynsay and Denav districts traverse mainly flat, well-developed agricultural and urban areas (Figure 11).

Figure 11. The various types of topography along the project road

65. The Road alignment crosses numerous permanent and intermittent drains and gullies requiring the construction of various drainage structures including 24 of bridges, 55 of culverts, retaining walls and slope protection.

66. The road will be rehabilitated to meet an international roughness index of 3m/km. The journey time between Darband to Denau will fall from the current 3 hours to 1.5 hours, with average design speeds of 90 km/hr. The improved road will provide Uzbekistan with a higher standard link to ports in Pakistan. At the national level it will improve domestic connectivity along the road corridor

67. The road project adopted 3 types of cross-section – for the 2-lane road, 3-lane road and 4-lane road sections. Widening of the embankment is designed in both one-sided and two-sided options.

The proposed concrete cement pavement consists of the following components: 1. Monolithic cement-concrete pavement B30 (M-400) (on sulphate-resistant cement)

according to GOST 26633-2012, h= 27 cm; Layer of non-woven geotextile with a density of at least 450 g/m

2. Top layer of the base of crushed stone-gravel-sand mixture treated with cement corresponding to M-75 according to RST Uz 23558-94, h= 20 cm; for some sections of the road h-18 cm is taken.

3. Middle layer of the base of a gravel-sand mixture with the addition of 30% crushed stone C-3 according to GOST 107-09, h= 20 cm;

4. Lower layer base of gravel-sand mixture C-3 according to GOST 107-09, h= 33 cm; 5. Soil on the road subgrade

Project also comprises 14 of animal passes and 3 rest areas, with appropriate utilities.

68. The road sections with flat and rolling terrain in some locations may be prone to sagging, however in general are fairly stable and do not need special attention regarding slope instability, except for the drainage management. Few sections of the road in the mountainous/hilly area of the project is to be newly aligned to achieve a satisfactory allowable longitudinal gradient which at present is higher than allowable in existing road. Due to the nature of topography the new alignment consists of high embankments over narrow valleys and steep cuts to maintain an allowable road gradient. Based on the above described soil characteristics of the Project area utmost care need to be taken not to dump cut material over the valley slope and disturb the fragile slopes, unless a retaining structure is provided beforehand at the bottom of the valley.

Table 3. The main project features

Section No

Chainage Description Dominate terrain

1 Km 0- 32+500 R105 (5+37.5)

Section from the Derbend village to Dashtigaz

Mountainous and rolling terrain at the south-western slopes of Baysantau village

2 Km32+500-65+000 R105 (37.5-70)

From Dashtigaz to Kagantau

Mountainous and rolling terrain

3 Km 65.0 -74.0 4R100( 128-137)

From Kagantau to Mirshabe

Slightly rolling to flat terrain

4 Km 74.0-99.0 4R100(137-174) Km 99.0+106.4 R100(162-174)

Agricultural, densely populated area.

Mainly flat, partially rolling

69. Also in some rolling sections of Project area the prevailing sediments are loess formations which consist of fine silty sand. These soils are firm and stable when dry, and can be stable even when cut vertical, but are readily collapsible and erodible when saturated with water. Therefore the road’s drainage system is of major concern.

70. In order to prevent gully erosion the final valley slope attained shall be covered with fast surface covering (spreading) grass or turf. Any concentrated water flow over any valley slope

must be avoided. Hill slopes for the hilly road shall be cut to almost vertical as dry soil slopes are fairly stable.

71. All these are normal geomorphic processes under the given topographical and geological conditions but they might aggravate with climate change.

72. In accordance with meteorological data used for the road design the average annual temperature is +12.2°C. The absolute minimum is -20.5° C, and the absolute maximum is + 43.8°C. The average maximum of the hottest month is +33.9°C and the average minimum of the coldest month is -0.4°C. The maximum daily temperature amplitude is 21.8° C in January and 28.1° C in July. The average minimum relative humidity is 54% in the coldest month and 29% in the hottest month. The number of days with a maximum temperature of 34.0 °C is above >110 days.

73. The graphs below (Figure 9,10) shows significant difference in precipitation in the flat and mountainous areas of the project road. Therefore, the higher flood risks are indicated for the crossed side tributaries of Surkandarya river as these streams are prone to mud-flows and intense erosion during extreme rain events. There are historical evidences of disastrous mudflows on a number of seasonal streams, which are dry or contain little of water during the dry season. It is anticipated that climate change may increase the frequency and impact of such events.

Figure 12. The Comparison of monthly precipitation for Baysun and Denav

Weather stations in 2016

53.9

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Figure 13. The Comparison of monthly precipitation for Baysun and Denav

Weather stations in 2017

74. The Project alignment crosses numerous permanent and intermittent drains flowing from the slopes of Baysantau, the southwest branch of Gissar range. They include: (1) Tudasay,(2) Tashkuprikay, (3) Shurasay,(4) Ajarsay, (5) Darasay, (6) Khalkadjar and many smaller (mainly intermittent) drains without geographic names. The largest drain is a Khalkajar (Altinsay) river crossing R100 road section in Altinsay district. Khalkadjar joins Surkhandarya 20km south downstream from the crossing with the Project alignment. Figure 11 presents the main hydrographic parameters of Khaladjar River. The shown periods of peak and low flow are indicative for water bodies crossing the project road.

Figure 14. Average water discharge at the mouth of Khalkajar (Altinsay) river for 2014-2099.

(source: CAWATERinfo)15

75. The climate change and associated observed shrinking of glaciers may significantly change hydrological regime of Surkhandarya and Sherabad rivers. The climate change may lead to

15 http://www.cawater-info.net/surkhandarya/hydrology_e.htm

47.5

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alternation of the existent water uptake pattern, and therefore increase the pressure on deteriorated structures of irrigation and drainage system

76. Information drawn from the UNEP's Global Risk Data Platform regarding climate change and associated natural hazards show the following picture for the Project area. The risk of landslides in the Project area based on UNEP’s Global Risk Platform from low to moderate.

77. Because there is an extensive irrigation system connected to the Sherabad and Surkhandarya Rivers also the irrigation channels would be affected in case of flooding. The silting of existent drainage can increase leading to waterlogging and triggering of floating properties of soils. Climate parameters (precipitation, temperature and carbon dioxide levels) changes can affect the demand for water as well as supply. Increased water use efficiency attributable to higher carbon dioxide levels, this may tend to increase frequency of water application as temperature rises. These two impacts tend to offset one another: increased temperatures increase evapotranspiration demand, while elevated CO2 decreases it for a given temperature and humidity. The temperature impact is expected to dominate in most settings.

78. Regarding the Project road the susceptible receptors are therefore the bridges and culverts which are related to the associated irrigation system.

79. Above described vulnerability of the project to climate change induced hazards have been identified to be low or medium risks. The analysis of impacts has been according to the description in the following chapter.

8. Climate Risk Assessment

80. Based on the Project design and by considering the vulnerability of the Project area as described in the previous chapter the climate change risk assessment for the Project road was conducted. The significance of identified climate change related hazards is ranked as very low, low, medium, high and very high respectively.

81. The risk is evaluated according to its estimated frequency and impact, as shown in the table below.

Table 4 Climate Change Risk Assessment Matrix

Impact

Low Medium High

Fre

qu

en

cy

Low Very low risk Low risk Medium risk

Medium Low risk Medium risk Hig risk

High Medium risk High risk Very high risk

82. The risk assessment includes the identified potential hazards alongside the Project road that are due to climate change. The result of the assessment is depicted in the following table.

Table 5. Climate Change Risk Assessment

Issue / Location Potential Hazard Significance

Remedial Measures

The road along or crossing of rivers,

Risk of flooding due to more severe single

Low to medium

Consideration of changes in the

streams and channels. precipitation events16 in conjunction with temperature rise and snow melting. Mudflows / Historical data available on mudflows on the crossings

hydrological regime in bridge and culvert design. structures •Raising embankment height to avoid over-flooding •Realigning natural water courses •Update design for drainage systems

Project road traversing mountainous section with steep slopes

Rockfalls, mudflows Low to medium

Additional slope protection. Slope stability studies in an attempt to minimize landslides and mudflows as a result of increased precipitation Measures to enhance slope stability and prevent and rock fall

As above Avalanches Low No historical evidences of occurrences of snow avalanches in the project area is available.

Traversing the rolling sections composed by loess-like soils

Instability of slopes due excessive wetting of sediments.

Low to medium

Application of geotextile

Gully erosion and possible landslide due to heavy precipitation events

Low to medium

Erosion protection measures at susceptible locations

The road pavement throughout the whole alignment

Increased temperatures and heat waves will result in pavement deformation and deterioration.

Medium in low lying sections of the Project road

•Improved pavement material specifications. Advanced construction technology

Strong winds / flat areas Reduced driving safety Very low No additional measures required

Drought Increased erosion rates on slopes due decline of vegetation and its soil fixing root systems

low Planting of drought resistant plants

83. These potential adaption options have been assessed and specific recommendations for adaption measures to be included in the project have been selected.

84. The main hazard future climate change poses to the Project refers to increased risk of flooding due to more severe single precipitation events in conjunction with temperature rise and snow melting. In addition during dry periods in summer heat stress may emerge. In the mountainous section erosion on slopes and landslides are potential hazards. In summary the main hazards occurring in the Project Area of Influence are:

16 CMIP5 simulation for extreme rain events

(i) River floods and water logging in spring, due to more intense rainfall. This will mainly affect the side stream flowing from Baysuntau and the associated irrigation system. The hydrological regime that is particularly influenced by snow and glacier melting.

(ii) Gully erosion and landslides in the mountainous section of the Project road where quaternary loess sediments prevail.

(iii) Heat stress in the summer, especially within lower altitudes. This refers particularly to the low lying areas comprising 4R100 sections (Lot 3).

(iv) Mudslides related to more intense rainfall in the spring. Geologically the study area belongs to the southern slopes of Baysuntou range. Prevailing sediments are of late Mesozoic and early Cenozoic age. The prevailing sediments are soft and mostly unconsolidated. This makes the slopes susceptible to landslides, particularly in sections with high relief energy (mountainous part of the road).

85. A typical feature of the crossed natural water bodies is their pronounced seasonality in the hydrological flow.

86. The future increase in a number of very hot days and heat waves may lead to concerns with pavement integrity. Increase of mean and extreme temperatures may accelerate the deterioration of the road layers and cause rutting of asphalt sections of pavement, subgrade and base. In addition, the summer heat stress may result in temperature related curling(and associated stresses), moisture warping and concrete “blows up” due to excessive slab expansion.

9. Adaptation Measures

87. Project design is based on the assessment of the project site including the climate conditions. The assessment of the projected climate change resulted in several proposals related to the project planning, design and implementation.

88. The adaptations conducted during the design stage are: selection of concrete cement pavement due to higher resilience to the climate change for the most of the project alignment; (ii) enhancement of embankments to protect against flooding; widening of culverts and bridges to avoid backwater; and (iv) erosion control measures.

89. Two main pavement alternatives have been considered for the project implementation; asphalt vs concrete. Both options have their advantages and disadvantages. Concrete is more durable than asphalt and may outlast asphalt lifespan by 2-4 times, less prone to dips and ruts and therefore more suitable to handle higher truck traffic, and more resistant to freeze-thaw cycle damages. The preference to use concrete was mainly based on durability, ability to handle heavier loads that characterizes the existing and projected traffic, and being more resistant to freeze-thaw cycles which is typical climate in the project area. The concrete pavement was selected for implementation of the project road based on the environmental and technical advantages and policy of GUz.

90. The better climate change resilience as one of the key factors in acceptance of the cement concrete pavement for this project.

91. Under the projected conditions of the increase of mean and extreme temperatures asphalt pavement tends to soften and become oily. In the warm and dry climate asphalt is prone to block cracking ravelling, fatigue cracking and formation of potholes.17 Despite the higher estimated construction costs for cement concrete in terms of the predicted increase of 17 FHWA-HIF-15-015. 2015. Climate Change Adaption for Pavements.

temperature the road maintenance cost during the lifespan of the cement concrete road expected be much lower compared to asphalt pavement.

92. However, the rigid cement concrete pavement selected for this project is also potentially vulnerable to temperature-related curling (and associated stresses), moisture warping and concrete pavement “blow ups” due to excessive slab expansion.

93. As a mitigation the following required:

(i) Greater consideration of concrete coefficient of thermal expansion and drying shrinkage

(ii) Incorporation of design elements to reduce damage from thermal effects including shorter joint spacing, thicker slabs, less rigid support, and enhanced load transfer

(iii) Use shorter joint spacing in new design − Keep joints clean and in extreme cases, install expansion joints in existing pavements.

It should be noted that in the time-scale of pavement lifespan (20-40 years) the climate change is sufficiently slow and properly justified adaption measures yet to be developed.

94. More extreme rainfall events may result in increased need for surface drainage capacity to prevent flooding including :

(iv) Increase ditch and culvert capacity (v) More frequent use of elevated pavement section (vi) Ensure adequacy of design, installation, and maintenance of sub-drainage

95. Road structures and road furniture also cause indirect emissions, the amount of which depends on the materials used. In general, steel has a high emission factor that, however, varies according to the steel production (recycling, origin of electricity etc.). When it comes to structures like bridges, the structure type has greater impact for a given material; the more complicated the structure type, the higher the relative emissions. Materials used for barriers should also be evaluated. The use of wooden barriers instead of steel or concrete ones is preferable from GHG emissions point of view, where possible. 18

96. Project planning also includes the consideration of logistics in order to avoid any unnecessary transportation. Local materials will be utilized when possible to minimize transportation needs. The Construction Material Investigation of the project includes identification and assessments of material sources in the vicinity of the road, as well as data on existing borrow areas and quarries. 10. Project Impact to Climate Change and Mitigation

97. The GHG emissions during the construction phase is not considered to be significant. The most GHG emissions during the construction phase relate to work of construction equipment and transportation of materials. Efficient road vehicles should be used for transportation to minimize direct vehicle emissions. The planning of logistics need also consider minimum obstruction to the existing traffic, so as to avoid unnecessary delays and thus emissions. Main issues related to earthworks are listed below.19

18 The World Bank. Greenhouse Gas Emissions Mitigation in Road Construction and Rehabilitation: A Toolkit for Developing Countries. 2011. 19 The World Bank. Greenhouse Gas Emissions Mitigation in Road Construction and Rehabilitation: A Toolkit for Developing Countries. 2011.

98. Earthworks:

Excavation in hard soil generates two to three times more GHG than in ordinary soil. The use of drilling rigs rather than light drillers is twice as productive, but produces 35%

more GHG per cubic meter of rock excavated. Productivity of labor intensive methods is 250 times lower, while involving three times

more labor. If labor emissions are considered to be neutral, this is a significant reduction in emissions. However, health and safety aspects need to be considered.

99. It will be ensured that the contractor maintains and services construction equipment to keep it in proper technical condition to control emissions. Such equipment should be subject to regular inspections. Contractor shall also avoid equipment running idle.

100. The removal of vegetation and cutting down of trees will be reduced to the minimum. The impact will be mitigated by replanting of trees, which also contributes to carbon sequestration and slope stabilization is needed also to avoid erosion. The restoration of vegetation on the slopes includes; selection of the fast-growing local types of flora; immediate re-vegetation of all slopes and banks, if not covered with gabions, and placement of fiber material to allow for seeds to sprout with account to local climate.

101. As a mitigation measure over 18,000 trees will be planted in the project road, to fully compensate the cutting of trees for the road widening.

102. Recycling of materials generally improves resource efficiency and reduces emissions. This can be quite significant with regard to materials like steel, but also other materials like wood should be re-used or recycled whenever possible. The contractor should also make and follow a waste management plan and avoid any open burning of waste. The waste management plan is one of the site specific EMPs which is considered in the IEE report.

103. The impacts of pavement roughness on vehicle GHG emissions can be quite significant, as improvements in pavement roughness can decrease fuel consumption. Proper construction techniques are therefore important to ensure low roughness.

10.1 Cost estimate for Adaptation Measures

104. The finally identified adaptation measures for the Surkhandaraya Road Project focus on the designed dimensions of the drainage structures and proper design of road embankments and pavement The climate trends of the last decades which are reflecting climate change impacts have been factored into the assessment.

105. Additional measures that are going to be implemented are for purpose of erosion prevention consist of provision of interceptor ditches above the top of vulnerable cut slopes inclusive lining with geotextile filter and stone riprap protection, to reduce risk of slope failures and landslides and development of erosion gullies in important slopes.

106. Through the improved drainage system and adequately dimensioned culverts it is ensured that the Project road will not be subject to any significant damages caused by future climate change.

107. Based on the trends of climate change which is described in this report a share of approximately 8.1% of the costs were allocated to climate chance costs. The total costs for climate change adaptation measures are estimated to be $18,300,000

108. Costs for re-vegetation and tree planting which also have positive climatic effects is $400,000 is considered as mitigation measure with obvious adaption benefits. The following table provides

Table 6 Estimated Cost for Adaption Measures

Adaption activity20 Target Climate Risk Estimated Adaption Costs ($)

Adaption Finance Justification

Adaptation of Design to accommodate for future flood events. The measure includes the bridges and culverts crossing irrigation channels of the Project. The proposed culvert outlet diameters will be increased from 0.5 to 1.0 m;

Extended drainage system with larger culvert sizes to reduce the risk of road over-flooding and water ponding along the roads.

100,000 Higher capacity and improved drainage systems will prevent clogging of drains from storm debris, flooding due to higher water volume, and formation of salt residues on the pavement. Estimated is based on experience in earlier projects.

Appling of rigid cement-concrete pavement

The projected increase in temperature, including the mean, minimum and maximum daily surface temperatures, was one of the factors for the pavement upgrading from asphalt to concrete. The rigid cement concrete pavement was selected to better resist the rise of mean and extreme temperatures

18,000,00021 . Cement concrete surfaces reflect more heat from sun radiation and ensure lower surface temperatures in summer compared to asphalt, concrete pavements. The cost reflects the estimated difference between the cement concrete and concrete bitumen pavement.

Providing of larger temperature joints

The road design considers wider expansion joints with soft wood boards at designed interval.

100,000 This type of joints allows for a higher expansion than the common compression joints, cut only in the upper part of the concrete cement slabs.

Providing of additional slope protection, riprap, gabions and retaining walls.

Erosion relating to extreme rain events

100,000 The additional structure will ensure the road safety and significantly reduce maintenance cost.

10.2 Proposed Mitigation Measures in the Project Operation Phase

109. Project operation phase activities on emission mitigation mainly focus on the maintenance of the road so as to ensure safe and unobstructed traffic. The road roughness has impacts on the emissions, therefore a good maintenance contributes to minimizing emissions. Maintenance works should be done by using energy efficient vehicles and equipment and by causing minimum interference to the traffic. The works should be scheduled to off-peak times

20 Adaptation activity is subject to acceptance by the Executing Agency 21 This amount represent approximate additional cost to build road with C/C pavement in comparison to A/C pavement for the entire project road.

and hours. Operation of Weigh in Move (WIM) stations is also expected to be efficient mitigation measure.

110. The introduction of overloading control will reduce the CO2 emissions by the heavy trucks as due to weight control they will try to avoid overloading. It is estimated that reduction of diesel fuel for this transport category will be reduced by 10% compared to pre-loading control period. Combusting of diesel fuel is expected to remain the main source of GHG from the project road operation during the project road lifespan.

111. Estimate of the reduction of GHG emissions due to operation of WIM based on the projected mean traffic intensity on the road for the period from 2020 to 2040. The emissions of Carbon Dioxide (CO2) absolutely dominate among the GHG emissions. According to EPA22 that combustion of 1l of diesel generates about 2,689 gram of CO2, while the combustion of 1L of gasoline converting to 2,337gram of CO2. It is assumed that about 7% of the vehicles will be heavy trucks, subject to weight control.

112. In the long run, it should also be considered, if public transportation could be promoted. The modal shift from private cars to public transportation would contribute to emission mitigation, especially if energy efficient vehicle fleet was taken into use.

113. The trees and shrubs will sequestrate significant amount of CO2 emissions the main reason of global warming but also serves as efficient measure to control erosion processes as adaption benefit.

22 United States Environmental Protection Agency. An official web-site of the USA government https://www.epa.gov/energy/greenhouse-gases-equivalencies-calculator-calculations-and-references

Ann. 1 Checklist for Preliminary Climate Risk Screening

Country/Project Title: Uzbekistan /Road Project Sector: Transport Subsector: Road

Screening Questions Score Remarks

Location and Design of project

Is siting and/or routing of the project (or its components) likely to be affected by climate conditions including extreme weather related events such as floods, droughts, storms, landslides?

0 Project area is in an area with low risk of landslide and flooding.23

Would the project design (e.g. the clearance for bridges) need to consider any hydro-meteorological parameters (e.g., peak river flow, reliable water level, peak wind speed etc)?

0

Materials and Maintenance

Would weather, current and likely future climate conditions (e.g. prevailing humidity level, temperature contrast between hot summer days and cold winter days, exposure to wind and humidity hydro-meteorological parameters likely affect the selection of project inputs over the life of project outputs (e.g. construction material)?

1 Average annual temperature and the magnitude and frequency of extreme temperature events is expected to increase, which may affect performance of road materials.24

Would weather, current and likely future climate conditions, and related extreme events likely affect the maintenance (scheduling and cost) of project output(s)?

0 Appropriate project design and rehabilitation of road infrastructure can mitigate risks (e.g., floods,) due to extreme events.

Performance of project outputs

Would weather/climate conditions and related extreme events likely affect the performance (e.g. annual traffic volume) of project output(s) (e.g. road, road asset management system and safety) throughout their design life time?

1

Options for answers and corresponding score are provided below:

Response Score Not Likely 0 Likely 1 Very Likely 2

Responses when added that provide a score of 0 will be considered low risk project. If adding all responses will result to a score of 1-4 and that no score of 2 was given to any single response, the project will be assigned a medium risk category. A total score of 5 or more (which include providing a score of 1 in all responses) or a 2 in any single response, will be categorized as high risk project. Result of Initial Screening (Low, Medium, High): Medium

Ann. 2 Summary of Potential Impacts on Climate

23 UNEP PREVIEW Global Risk Data Platform 24 2 Punkari et al. 2014. Climate change and sustainable water management in Central Asia. Working Paper. Manila:ADB.

##

Potential impacts on the climatic conditions

Nature of impact

Magnitude of impacts

Management Plan

Project Phase

Low

Medium

High

1 Overall impacts Indirect/Local/ irreversible

X No visible impact

Construction and Operation

2 Due to vehicles and mechanisms emissions

Indirect/Local/ irreversible

X No visible impact

Construction

3 Due to traffic increase

Direct/Local/ irreversible

X Proper emission control and monitoring is required

Operation

4 Impacts on the climatic conditions due to removal of trees to be done

Direct/Local/ Reversible

X Compensatory afforestation

Construction and Operation

5 Impact on air quality during the construction period due to increase in the dust emission

Direct/Local/ irreversible

X Watering at construction site, limited bare soils, maintenance of project vehicles etc.

Construction

6 Improper debris and waste removal/accumulation

Direct/Local/ Reversible

X Proper planning for debris removal from project sites to be stored temporarily/used for site reclamation

Design and Construction

Ann. 3 Reference

1. ADB .2010 Evaluation Study: Reducing Carbon Emissions from Transport Projects. 2. ADB. Guidelines for Climate Proofing Investment in the Transport Sector. Road

Infrastructure Projects. 3. ADB. 2013. CWRD Guidance Note on Climate Change Assessments for CWRD Projects

Climate Diagnostics to Adjust Climate-Related Design Variables and Secondary Analysis. December 2019.

4. Climate Analysis Indicators Tool of the World Resources Institute. http://cait.wri.org 5. Climate Change Adaption for Pavements. FHWA-HIF-15-015. August 2015Conference

of European Directors of Roads. Adaption to Climate Change. January 2012. 6. Emissions of air pollutants and greenhouse gases over Asian regions during 2000–

2008: Regional Emission inventory in ASia (REAS) version 2. J. Kurokawa, T. Ohara, T. Morikawa, S. Hanayama, G. Janssens-Maenhout, T. Fukui, K. Kawashima, and H. Akimoto.

7. Seth Westra, Liza.V. Alexander, Francis W. Zwiers. 2013. Global Increasing Trends in Annual Maximum daily precipitation. Journal of Climate. Volume 26.

8. UNECE, 2018. Assessment: Drainage Basin of the Aral Sea and Other Transboundary Surface Waters in Central Asia.

9. United Nations Risk Data Platform (Internet Data Source). 10. US Department of Transportation/Federal Highway Administration. 2015. TeckBrief:

Climate Change Adaption for Pavements 11. World Bank. Greenhouse Gas Emissions Mitigation in Road Construction and

Rehabilitation: A Toolkit for Developing Countries. World Bank, 2011. 12. The World Bank Group Climate Change Knowledge Portal. Assessed from:

http://sdwebx.worldbank.org/climateportal/ (Internet Data Source). 13. World Bank. 2010, Greenhouse Gas Emissions Mitigation in Road Construction and

Rehabilitation: A Toolkit for Developing Countries. Executive Summary 14. World Bank, 2009. Adapting to Climate Change in Europe and Central Asia. 15. World Bank Group Climate Change Portal; https://climateknowledgeportal.worldbank.org

Page 40

Road Safety Audit Report

Reconstruction of Roads 4P-105 km 5-70 and 4P-100 km 128 - 174

1. Introduction

The Central Asia Regional Economic Cooperation (CAREC) countries committed to road safety at the 14th CAREC Ministerial Conference in Mongolia in September 2015. More recently the CAREC Road Safety Strategy 2017–2030 was endorsed by ministers from all CAREC countries during the 15th Ministerial Conference in Pakistan in October 2016. The strategy supports and encourages governments and road authorities to plan, design, construct, and maintain roads with road safety as a key and specific objective.

Among others, CAREC members endorsed the road safety audit process as an integral part of the planning, design, and construction of road projects within the CAREC program. Road authorities within the CAREC program are encouraged to implement road safety audit, and to build up expertise in this field. The audit of the project section "Organization and Road Safety" was carried out in accordance with the requirements of the CAREC Road Safety Guidelines 1 "ROAD TRAFFIC SAFETY AUDIT" March 2018

The first and most important objective of road safety audit is to minimize the risk of crashes, and to minimize the severity of any crashes that may occur on a new road project.

Secondary objectives of the audit process include the following: • Minimize the risk of crashes occurring on adjacent roads.• Recognize the importance of safety in road design so that the needs andperceptions of road users are met.• Reduce the long-term costs of a new road project. Unsafe designs can lead tocrashes, and crashes impose huge costs on communities. They can be difficult andexpensive to correct later.• Improve the awareness of safe road engineering principles by all involved in theprocess of planning, design, construction, and maintenance of roads.• Advance the awareness of providing safe road schemes for non-motorized aswell as motorized road users.

A road safety audit is a recognition that road engineers need to do more to ensure safety in their new road projects.

This audit stage occurs on completion of the detailed road design (final), but before the preparation of contract documents. Typical considerations include geometric layout, signs and line markings, signals, lighting, intersection details, safe roadsides, and provision for vulnerable road users. Attention to detail at this design stage can do much to reduce the costs and disturbance associated with last-minute changes that may otherwise be brought about with a preopening audit.

Annex 2

International experience has shown that design stage audits provide safer roads for lower cost. Audits of designs have proven benefits and generally lower remedial costs. It is critical to the successful implementation of the road safety audit process in the CAREC program that all road authorities recognize road safety audit is vastly more effective when carried out early in the road design process. While it is important to comply with standards, simply complying with the relevant design standards, to the exclusion of truly looking at the design job at hand, will not necessarily create a safe road network. An audit should never be seen as a check that standards have been met. Instead, every road safety audit should be approached as an assessment of how future road users will use the new road and whether or not these road users may face safety issues when using the new road, whether driving, walking, or riding. In other words, the audit team’s job is then to put itself into the shoes of future road users and assess how safety on the new road will work for them. The identified benefits of conducting road safety audits include: • reduction of operating costs for a road project; • reducing the risk of using the road network; • developing safer road networks (an important contribution to achieving crash reduction targets); • development of better understanding and documentation of road safety; • increased level of importance of road safety; • Continuous improvements in safety standards and procedures, and a clearer consideration of the safety needs of vulnerable road users. Experience shows that total reliance on standards is no guarantee of a safe road. There are many road and traffic situations for which no standards apply, and there are some situations that need more than a standard or traditional treatment. Situations such as these call for judgment by all parties, and this is one reason the process of road safety audit is both interesting and challenging, requiring the varied skills of a diverse team of experts to apply it successfully.

2. Description of the project

The projected route of the 4P105 "Darband-Boysun-Elbayon" highway at the section km 5-70 is located in the Baysun district of the Surkhandarya region. The route runs in the direction from the North-Western part of the region to the North-Eastern part. The area under consideration is located in the south-east of Uzbekistan, where lowlands form the southern part of the Turan plain. The relief of the territory of the route is of the accumulative type, covering depressions and a wide strip of foothill plains, the surface of which is characterized by a calm, even relief with a slight rise.

4Р105

4Р105

0

70

5

Ташкент

Терм

ез

4Р100

4Р100БАЙСУН

Денов

4Р100

С у рха н д а р ь и н с ка я о б л а ст ь

Душ

анбе

Терм

ез

Section of the road 4R105 "k. Darband.-g. Boysun-k.Elbayon "is connected by the M39 and M41 highways, which are part of international transport corridors such as E-40, AN-63 Traseka-27, Traseka-28 and is an important section providing access to the northern and north-eastern and southern direction. For the beginning of the route of the projected section, PK 0 + 00 was taken, corresponding to km 5 of the 4P105 highway "to Darband. - Boysun town - Elbayon town" in the Darband settlement of Baysun district of the Surkhandarya region of the Republic of Uzbekistan. The end of the route is located at PK 625 + 20 in the village of Tangimush, Baysun district and corresponds to km 70 of the above road. The route of the projected road mainly runs within the existing one, with the exception of a few sections laid in a new direction. The route of the projected road 4R-100 "k. Manguzar - Zharkurgan town - Bandikhon town - Oltinsoy town - Denov town, uch. km 128 - 174. The project site is located at km 126 of the existing road and passes through the non-irrigated lands of the flat relief of the Kumkurgan, Altynsai and Denav districts of the Surkhandarya region. From km 126, the project route was laid along a new direction for 10 km and adjoins the existing road at km 137. On the section from km 137 - 162, option 2 was adopted (km 137 of the existing road - adjacent to km 0 of the 4R-100V Khazrabog highway. From km 162, the route of the road was chosen according to the option of km 0-3 of the 4R-100V Khazrabog highway, 4R- 100G, km 0-3 and the existing road 4R-100, km 162-171. The end of the route was adopted in the area of the junction under construction at different levels.

The project provides for three types of cross-sections:

3. Comments on Detailed Designs regarding Traffic Safety The design of the road section, including road safety and traffic management was carried out in accordance with the requirements of regulatory documents in force in the Republic of Uzbekistan:

SHNK 2.05.02-07 Highways Design. SHNK 3.06.03-08 Highways. GOST 23457-86 Technical means of traffic management GOST 25459-82 Reinforced concrete supports for road signs GOST 10807-78 * Road signs GOST 13508-74 Road markings MKN 37-2007 Instructions on traffic management and fencing of road works MKN 23-2008 Guidelines for road marking MKN 43-2008 Instructions for the design of rigid road pavements MKN 44-2008 Instructions for the design of rigid road pavements Ts 15229984-03: 2015 Barrier-type metal road fences SHNK 2.05.03 -12 "Bridges and pipes" SHNK 2.05.02-07 Highways. SHNK 2.07.01-03 Urban planning. Planning and development of urban and rural settlements. SHNK2.05.03-12 “Bridges and pipes”. To ensure the safety of road transport, the project provides for the installation of road signs and a roadside furniture. Installation of road signs is provided in accordance with GOST 10807-78 "Road signs" and GOST 23457-86 "Technical means of traffic management". The project provides for the construction of a double-sided barrier metal fence, type DD-N3 * W3 * A * K - No. 16 (with a step of 2 m) on the dividing strip. At pedestrian crossings, the project provides for the installation of reinforced concrete slabs PTP 2x1.5x0.14m. Outside settlements, on the roadsides, with embankments up to 2 meters high, reinforced concrete signal posts of the SS-160 brand are installed; for embankments more than 2 meters in height, a metal barrier fence of the DO-H2 * W5 * A * K type is installed (with a step of 2 m).

3.1. Route plan and longitudinal profile of the 4P105 "Darband-Boysun-Elbayon" highway in the section km 5 -70

1. On the plans for the arrangement on the site from PK 0 + 04 to PK 0 + 94, it is necessary to install a metal barrier on both sides within the radius curve of 150 m. The small radius of the curve in the plan does not allow the safe movement of the vehicle at the design speed; it is possible for a vehicle moving at high speed to leave the carriageway. The risk is high. One-sided metal energy-absorbing barriers with a rack spacing of 1 - 2 m are installed on the outside of the curves in plan with a radius of less than 600 m of roads of categories I and II. Barrier one-sided metal energy-absorbing fences with a rack spacing of 3-4 m are installed on the inside of the curves in the plan with a radius of less than 600 m of roads of I and II categories. It is also necessary to set up a metal barrier fence within a curve of a radius of 400 m from PK 7 to PK 9 and from PK 13 + 60 to PK 16 + 60 within a composite curve with radii of 800 - 225 m. On an area with a large longitudinal slope from PK 17 to PK 21 + 40, a barrier must be provided on both sides. In this case, an additional lane for the rise for freight transport

should be located to the left of the axis of the track. In the alignment plan drawing, the additional lane is located to the right of the alignment centerline.

A metal barrier fence must be provided from PK 24 to PK 40 within the radius curves less than 600 m. The small radius of the curve in the plan does not allow the safe movement of the vehicle at the design speed; it is possible for a vehicle moving at high speed to leave the carriageway. The risk is high. On sections C PK 43 to PK 44 + 20, from PK 45 to PK 54, the longitudinal slope is more than 4%. As a rule, loaded trucks moving uphill have a lower speed compared to the main stream speed. In order to prevent the formation of congestion and a collision with an oncoming vehicle when overtaking uphill, additional lanes are arranged. In these areas, it is necessary to add an additional lane uphill on the right, where the longitudinal slope exceeds 4%. (Additional lanes of the carriageway for freight traffic in the upward direction with a mixed composition of the traffic flow should be provided on sections of roads of category II, with a traffic intensity of more than 4000 PCU / day (achieved in the first five years of operation) also of category III with a longitudinal slope more than 30 ‰ and a section length over 1 km, and with a slope of more than 40 ‰ - with a section length over 0.5 km). On the section from PK 160 + 50 to PK 161 + 60, it is necessary to place metal barriers on the left side of the outside of the curve to prevent the car from leaving the road. From PK 248 + 60 to PK 257, it is necessary to arrange an additional lane for lifting for freight traffic to the left of the axis of the track. Longitudinal slope more than 4%. As a rule, loaded trucks moving uphill have a lower speed compared to the main stream speed. In order to prevent the formation of congestion and a collision with an oncoming vehicle when overtaking uphill, additional lanes are arranged. (Additional lanes of the carriageway for freight traffic in the upward direction with a mixed composition of the traffic flow should be provided on sections of roads of category II, with a traffic intensity of more than 4000 PCU / day (achieved in the first five years of operation) and also category III with a longitudinal slope more than 30 ‰ and a section length over 1 km, and with a slope of more than 40 ‰ - with a section length over 0.5 km).

2. Place for turning PK 3-PK3 + 50. The type of U-turn adopted in the draft provides for a U-

turn from the extreme left lane at PK 3 + 00 with the intersection of two oncoming traffic lanes, entering the "pocket" and entering the extreme right lane at PK 3 + 50. This type of U-turn will interfere with oncoming traffic when the vehicle is turning and entering the lane. It would be advisable to design the place for the U-turn as "drop-shaped", i.e. make a U-turn from the leftmost lane to the leftmost lane of the return traffic. In this case, widening of the dividing strip on both sides of the axis is required.

3. At the exits to the Derbend railway station on PK 10 + 71 and PK 22 + 65, it is necessary to arrange additional transitional speed lanes on the right side. In Table 2.11 of the Explanatory Note, correct the direction of the exit to PK 22 + 65 from left to right. 3. At the exit to the left to the residential development at PK 48 + 67, it is also necessary to

arrange a transitional speed lane on the left along the route or to provide for the arrangement of stop lanes 2.5 m wide.

5. At the exit to the right on PK 61 + 31, it is also necessary to arrange a transitional speed lane on the left along the route or stop lanes.

6. The place for a U-turn on PK 232 + 20-232 + 65 provides for a U-turn from the extreme left lane, crossing two lanes of oncoming traffic. Applying a different type of turn, for example, a drop-shaped one with a widening of the roadbed on both sides, as well as widening the dividing strip, will entail the transfer of power lines passing to the left along the route, as well as the occupation of household plots. In this case, it is possible to agree with the adopted design decision, while there is a possibility of creating an emergency at this site. The risk is high. 7. At the ramps located on the PK PK 257 + 57, 259 + 79 and 262 + 03 there is device needed transitional speed lanes or stopping lanes 2.5 m wide. 8. The same is true at the exit to the right at PK 265 + 52. 9. At the exit to the left to the sanatorium "Omonkhona" at PK 278 + 35, it is necessary to provide for a transitional speed lane. 10. At the ramps to the right to the residential area at PKKK 303 + 38 and 307 + 24, it is necessary to provide for the arrangement of transitional speed lanes or the arrangement of stop lanes 2.5 m wide. 11. At the ramps to the right to the residential area at PKKK 312 + 06, 312 + 84 and 313 + 09, it is necessary to provide for the arrangement of transitional speed lanes or the arrangement of stop lanes 2.5 m wide. 12. At the exit to the left on PK 321 + 12, it is necessary to provide for a transitional speed lane or a stop lane with a width of 2.5 m. 13. On the plans of the route from km 37.5-70, change the name of the warning columns to signal columns. 14. At the junction to the right in the village. Dashtigoz on PC 321 + 66, it is necessary to provide for a transitional speed lane or a stop lane with a width of 2.5 m. 15. At the exit to the right at PK 325 + 23, it is necessary to provide for a transitional speed lane or a stop lane with a width of 2.5 m. 16.At the ramps to the left to residential buildings at PK 361 + 23 and PK 362 + 18, it is necessary to provide for the device of transitional speed lanes or the device for stopping lanes 2.5 m wide. 17. At the junction to the right on PK 376 + 95, provide for a transitional speed lane or a stop lane with a width of 2.5 m (this exit is not indicated in Table 2.13). 18. At the exit to the left at PK 395 + 67, provide for a transitional speed lane or a stop lane with a width of 2.5 m. 19. At the junction to the right at PK 406 + 30, provide for a transitional speed lane or a stop lane with a width of 2.5 m. 20. At the junction to the right on PK 413 + 06, provide for a transitional speed lane or a stop lane with a width of 2.5 m.

21. At exits to the left, PK 417 + 67, PK 419 + 23, PK 428 + 64 and at the exit to the right PK 424 + 25, it is necessary to provide for the device of transitional speed lanes or the device of stopping lanes 2.5 m wide. 22. On the PK 586 + 60 section, it is necessary to set up safety islands for the allocation of transit lanes; at the junction on the right, a transition-speed lane is required. 23. At the exit to the left at PK 596 + 80, provide for the device of a transitional speed lane. 24. At exits to the right on PK 599 + 80 and to the left on PK 603 + 35, it is necessary to provide for the device of transition-speed lanes or the device for stopping lanes 2.5 m wide. 25. At the exit to the right at PK 606 + 17, provide for a transitional speed lane or a stop lane with a width of 2.5 m. At the exit and abutment at PK 607 + 85 and PK 611 + 35, it is necessary to provide for a transitional speed lane.

The notes are summarized in table1.

Km

Road Safety Issue Ris

k Recommendations

Responses

Gen

eral

There are no metal barriers in the areas described in paragraph 1 above.

Hig

h

One-sided metal energy-absorbing barriers with a rack spacing of 1 - 2 m are installed on the outside of the curves in plan with a radius of less than 600 m of roads of categories I and II. Barrier one-sided metal energy-absorbing fences with a rack spacing of 3-4 m are installed on the inside of the curves in the plan with a radius of less than 600 m of roads of I and II categories.

Made in accordance with GOST 26804-2012

Gen

eral

There are no additional lanes of the carriageway for freight traffic in the upward direction with a mixed composition of the traffic flow (clause 1 of the comments)

Hig

h

Additional lanes of the carriageway for freight traffic in the upward direction with a mixed composition of the traffic flow should be provided on sections of roads of category II, with a traffic intensity of more than 4000 PCU / day (achieved in the first five years of operation) and also category III with a longitudinal slope more than 30 ‰ and a section length over 1 km, and with a slope of more than 40 ‰ - with a section length over 0.5 km

Remarks accepted and corrected

Gen

eral

he type of U-turn adopted in the project provides for a U-turn from the extreme left lane with the intersection of two lanes of oncoming traffic, entering the "pocket" and entering the far right lane. This type of U-turn will interfere with oncoming traffic when the car turns and leaves the lane. See clauses 2, 6.

Hig

h

It would be advisable, where possible, to design the place for the U-turn as "drop-shaped", i.e. make a U-turn from the leftmost lane to the leftmost lane of return traffic. In this case, widening of the dividing strip will be required on both sides of the axis.

According to the requirement of the traffic police and experts, the type of reversal was revised and agreed with the traffic police

G

ener

al

There are no acceleration and braking lanes at exits and junctions. See items 3-5, 7-12, 14-24 of remarks

M

ediu

m

It is desirable to arrange transitional speed lanes along the route or to provide for the arrangement of stop lanes 2.5 m wide due to the shoulders.

No comments were made, decisions are made by the regional road service. The draft remarks were taken into account and corrected

G

ener

al

Pedestrian crossings in settlements

Hig

h

Pedestrian countdown timers can help create a more pedestrian-friendly environment by giving pedestrians more information about the time they must wait and the time remaining to cross the road. They tell pedestrians how many seconds they have left to cross the road before a solid signal comes on. Pedestrian Controlled Traffic Lights (PTS) are traffic lights with buttons that pedestrians press to register their intention to cross the road. They create gaps in the movement of vehicles in order to give pedestrians time to cross the carriageway. Accident Reduction Ratio (KSA) thanks to HIU is 25% - compared to no intersection

Comments are not accepted, according to the terms of reference, this section studies the traffic police and make the best decision.

3.2. Horizontal Plan of the route of the highway 4R-100 "k. Manguzar - Zharkurgan town - Bandikhon town - Oltinsoy town - Denov town, km 128 - 174

3.2.1. Section km 128-137

1. At exits to the right on PK 5 + 06, PK 7 + 70, PK 11 + 90, it is desirable to arrange transitional speed lanes or stop lanes 2.5 m wide. 2. On the section from PK 18 + 80 to PK PK 22 + 80 within the radius curve of 400 m, it is necessary to provide for the device of a barrier metal fence. 3. At the junctions of PK 27 + 40, it is necessary to provide for the device of transition-speed lanes on both sides of the main road. 4. At the section of exits to PK 29 + 50, PK 31, PK 31 + 90, PK 35 + 26, PK 37 + 22, it is necessary to provide for a transitional speed lane or a stop lane 2.5 m wide. 5. On the section from PK 53 to PK 53 + 18 and from PK 53 + 54 to PK 55 + 50, at the approaches to the bridge and embankment above 3 m, it is necessary to provide for a metal barrier fence. 6. At the sections of exits to PK 55 + 67, PK 55 + 95, PK 67 + 82, it is desirable to arrange transitional speed lanes or stop lanes 2.5 m wide. 7. In the area from PK 68 + 60 to PK 69 + 60, it is necessary to provide for the device of a barrier metal fence. 8. At the section of the exit to PK 79, it is desirable to provide a transition lane from PK 79 to PK 80. 9. At the exit to the left at PK 90 + 38, provide for a transitional speed lane or a stop lane with a width of 2.5 m. 10. On the embankment section from PK 102 + 70 to PK 104 + 70, a barrier metal fence is required.

The notes are summarized in the Table 2.

Km

Road safety issue R

isk

Recommendations

Response

Gen

eral

There are no acceleration and braking lanes at the ramps and junctions. See items 1, 3-4, 6,8-9 of remarks Med

ium

It is desirable to set up crossing-speed lanes along the route or to provide for the device of stop lanes 2.5 m wide due to the shoulders.

Remarks accepted and corrected

G

ener

al

There are no metal barriers in the areas described in paragraph 2 above.

H

igh

One-sided metal energy-absorbing barriers with a rack spacing of 1 - 2 m are installed on the outside of the curves in plan with a radius of less than 600 m of roads of categories I and II. Barrier one-sided metal energy-absorbing fences with a rack spacing of 3-4 m are installed on the inside of the curves in the plan with a radius of less than 600 m of roads of I and II categories.

Remarks are accepted according to GOST 26804-2012

Gen

eral

On the section from PK 53 to PK 53 + 18 and from PK 53 + 54 to PK 55 + 50, there are no barriers at the approaches to the bridge and embankments above 3 m.

Hig

h

t is necessary to provide for the device of a barrier metal fence.

Remarks are accepted according to GOST 26804-2012

G

ener

al

Pedestrian crossings in settlements

Hig

h

Pedestrian countdown timers can help create a more pedestrian-friendly environment by giving pedestrians more information about the time they must wait and the time remaining to cross the road. They tell pedestrians how many seconds they have left to cross the road before a solid signal comes on. Pedestrian Controlled Traffic Lights (PTS) are traffic lights with buttons that pedestrians press to register their intention to cross the road. They create gaps in the movement of vehicles in order to give pedestrians time to cross the carriageway. Accident Reduction Ratio (KSA) thanks to HIU is 25% - compared to no intersection

Comments are not accepted, according to the terms of reference, this section studies the traffic police and make the best decision.

3.2.2. Section km 137 – 162 1. At the exits PK 119 + 10, PK 120 + 50, PK 121 + 38, it is necessary to mark pedestrian crossings with markings. The same is the case at the other ramps and junctions. 2. Not indicated on the plans for the location of bus stops. Show the alignment plan in the drawing. 3. Places for a U-turn on PK 140 + 60 and PK 144 + 40; PK 167 + 60 and PK 176 + 40. The project provides for a U-turn from the extreme left lane with the intersection of two opposite traffic lanes. In this case, there is a possibility of creating an emergency for vehicles moving in

the opposite direction. It would be advisable to make the reversal space in the form of a "drop-shaped" with widening of the dividing strip and the placement of one additional strip on each side for the reversal. In this case, the U-turn will be carried out from the additional left lane to the leftmost lane without creating any significant obstacles for cars moving in the opposite direction. It is advisable to move the place for the U-turn on PK 144 + 40 and PK 167 + 60, since the presence of exits to the left on PK 144 + 85 and PK 167 + 78 negatively affects road safety. 4. The scheme of traffic organization in the section from PK 150 to PK 153 should be revised. The issue of left-turn exits at PK 150 + 60, PK 151 + 35, PK 152 + 50 has not been resolved. You can consider the option of arranging a circular elongated regulated interchange at one level, placing it at the junction on the PK 153. In this case, you can solve the issue of left-turn exits. The arrangement of a roundabout at one level, of course, will require the demolition of some buildings and the alienation of the territory, but will ensure the safety of road traffic on this section. 5. The place for turning on PK 176 + 40, PK 185, PK 200 + 75 and PK 207 + 90 could be made drop-shaped in order to ensure traffic safety. The absence of any development makes it possible to apply this type of reversal in these areas. The presence of an exit to PK 207 + 75 near the turning point will also have a negative impact on road safety. 6. At the exit to the left on PK 201 + 41, it is desirable to arrange a transitional speed lane or a stopping lane 2.5 m wide. 7. At the exit to the right at PK 215 + 65, it is necessary to increase the radius of curvature to ensure smoothness. 8. In order to ensure traffic safety in places for turning on PK 220 + 60, PK 230 + 20, 254 + 90, 282 + 50, PK 302 306 + 30, 333 + 60, it is desirable to increase the width of the dividing strip. 9. At the exit to the right on PK 261 + 95, the radii of curvature are not entered. 10. Drawings are not completed. Pedestrian crossings are not shown at all ramps and junctions.

The notes are summarized in table 3.

Km

Road Safety Issue Ris

k Recommendations

Responses

PK P

K 11

9 +

10, 1

20 +

50

, 121

+ 3

8

There are no road markings at pedestrian crossings, exits and junctions.

H

igh

It is necessary to mark pedestrian crossings with markings. The same is the case at the other exits and junctions.

Comments are accepted. GOST 13508-74

Gen

eral

Places for the placement of bus stops are not indicated on the plans, paragraph 2 of comments

You must specify. Comments are not accepted, the bus stop is coordinated with the district and regional architect

Gen

eral

The type of U-turn adopted in the project provides for a U-turn from the extreme left lane with the intersection of two lanes of oncoming traffic, entering the "pocket" and entering the far right lane. This type of U-turn will interfere with oncoming traffic when the car turns and leaves the lane. See clause 5.

Hig

h

t would be advisable, where possible, to design the place for the U-turn as "drop-shaped", i.e. make a U-turn from the leftmost lane to the leftmost lane of return traffic. In this case, widening of the dividing strip will be required on both sides of the axis.

According to the requirement of the traffic police and experts, the type of turn has been revised and agreed with the traffic police.

Gen

eral

At the exit to the left on PK 201 + 41, there is no speed transition strip. M

ediu

m

It is desirable to arrange transitional speed lanes along the route or to provide for the arrangement of stop lanes 2.5 m wide due to the shoulders.

Comments are accepted.

PK 2

15+6

5

At the congress to the right, a small radius of rounding was adopted, paragraph 7 of comments

Med

ium

t is necessary to increase the radius of curvature to ensure smoothness.

Comments are not accepted, the radii are accepted according to SHNK02.05.02-07

PKPK

220

+60,

230

+20,

254

+90,

28

2+50

, 302

306

+30,

333

+60

Insufficient width of the dividing strip, n 8 comments

H

igh

In order to ensure traffic safety in places for turning, it is advisable to increase the width of the median strip

Comments are not accepted, Typical diameter is agreed by all interested organizations

G

ener

al

Pedestrian crossings in settlements

Hig

h

Pedestrian countdown timers can help create a more pedestrian-friendly environment by giving pedestrians more information about the time they must wait and the time remaining to cross the road. They tell pedestrians how many seconds they have left to cross the road before a solid signal comes on. Pedestrian Controlled Traffic Lights (PTS) are traffic lights with buttons that pedestrians press to register their intention to cross the road. They create gaps in the movement of vehicles in order to give pedestrians time to cross the carriageway. Accident Reduction Ratio (KSA) thanks to HIU is 25% - compared to no intersection

Comments are not accepted, according to the terms of reference, this section studies the traffic police and make the best decision.

3.2.3. Section km 162 – 174 1. In places for turning on PK 352 + 90 it is desirable to provide for widening of the dividing strip. 2. It is necessary to provide a place for a U-turn at the end of the Khazarbog settlement to enable the movement of vehicles in the direction of Tashkent (at PK 363 + 60). 3. At exits to the right at PK 373 + 30 and to the left at PK 373 + 40, it is necessary to provide for the device of transitional speed lanes on both sides of the main road. 4. On PK 387 + 20, 394 + 60, 396 + 80 at the turning points, it is necessary to provide for a widening of the dividing strip. 5. At the exit to the left at PK 389 + 45 and exits to the right at PK 426 + 93, PK 430 + 50, it is necessary to provide for a transitional speed lane or a stop lane with a width of 2.5 m. Also, the device of transition speed lanes or the device of stopping lanes 2.5 m wide must be provided at the ramps and junctions at PK 432 + 45 and PK 432 + 52, PK 435 + 95. 6. The two-level interchange at PK 414 does not provide a reverse U-turn, either towards Tashkent or towards Dushanbe.

The notes are summarized in table 4.

Km

Road Safety Issue Ris

k Recommendations

Response

Gen

eral

nsufficient width of the dividing strip in the places for turning, pp. 1, 4 comments.

Hig

h

It is advisable to provide for widening of the dividing strip in places for turning.

Remarks are not accepted, the spread was developed according to standard albums

PK 3

63+6

0 There is no place for a U-turn, n 2 comments.

Hig

h

It is necessary to provide a place for a U-turn at the end of the Khazarbog settlement to enable the movement of vehicles in the direction of Tashkent

Comments are not accepted. Situation scheme agreed with the traffic police

Gen

eral

here are no acceleration and braking lanes at exits and junctions. See items 3, 5 comments

Hig

h

is desirable to arrange transitional speed lanes along the route or to provide for the arrangement of stop lanes 2.5 m wide due to the shoulders.

Comments are not accepted. Situation scheme agreed with the traffic police

PK 4

14

The two-level interchange does not provide for the reverse direction, both in the direction to Tashkent and in the direction to Dushanbe.

M

ediu

m

Revise the design solution Comments are not accepted. Situation scheme agreed with the traffic police

G

ener

al

Pedestrian crossings in settlements

Hig

h

Pedestrian countdown timers can help create a more pedestrian-friendly environment by giving pedestrians more information about the time they must wait and the time remaining to cross the road. They tell pedestrians how many seconds they have left to cross the road before a solid signal comes on. Pedestrian Controlled Traffic Lights (PTS) are traffic lights with buttons that pedestrians press to register their intention to cross the road. They create gaps in the movement of vehicles in order to give pedestrians time to cross the carriageway. Accident Reduction Ratio (KSA) thanks to HIU is 25% - compared to no intersection

Comments are not accepted, according to the terms of reference, this section studies the traffic police and makes the best decision

4. General Comments and suggestions

In addition to the above comments, the following is suggested: 1. Outside settlements on the roadside, with embankments up to 2 m high, it is planned to install reinforced concrete signal posts of the SS-160 brand. It is proposed to replace them with plastic ones, which are more durable, retain their elastic properties when colliding with cars, are safer and have an attractive appearance. Reinforced concrete posts of road signs can be replaced with metal ones.

2. The average daily traffic volume with the coefficient of conversion to a passenger car (PCU) was determined in accordance with the requirements of SHNK 2.05.02-07. The average daily traffic volume converted to a passenger car units on the road 4P 105 at the section of km 5-70 is 10,005 PCU/Day, and on the 4 P100 road is 8,474 PCU/Day (without correction of error, and with the correction is 16,948), which at present corresponds to requirements of the technical category II road. In the year 2026, according to studies of the “Yul-loiha Burosi” design institute, traffic volume at the road 4R100 should reach 14,219 PCU/Day. Therefore, it will be necessary upgrading the road into the technical category “I” in 2026, which will require additional funding for reconstruction (widening the embankment, culverts and bridges, constructing 4 traffic lane dual carriageway road). In the year 2031 (or in 2020, if to trust to corrections made during face-to-face interviews with Design engineers), according to studies of the “Yul-loiha Burosi” design institute, traffic volume at the road 4R105 should pass the threshold of 14,000 PCU/Day. Therefore, it will be necessary upgrading the road into the technical category “I” in 2031 (or in 2020), which will require additional funding for reconstruction (widening the road embankment and bridges, constructing 4 traffic lane dual carriageway road). It is strongly recommended to perform road safety audit in the year when daily traffic volume passed the threshold of 14,000 PCU/Day, and implement urgent measures to improve road safety and reduce the accident rate. Particular attention will have to be given to winter maintenance of the road.

May 2021 Page 1 of 6

Surkhandarya Regional Road Project – Due Diligence Executive Summary Report - Bridges Project Number: TA 9847-UZB

Consultant: Development Business (UK) Ltd. United Kingdom

Date: 13/05/2021

Project Name Preparation of the Surkhandarya Regional Road Project - Due Diligence

Project Number: TA 9847-UZB

Client: Asian Development Bank

Executing Agency: Committee for Roads, Ministry of Transport, Uzbekistan

Authored by: Walid Azzi Reviewed by: Approved by:

Position: Bridge/ Structural Engineer

Position: Position:

Date: 13th May 2021 Date: Date:

Annex 3

May 2021 Page 2 of 6

Revision History

Revision No. Purpose Author Reviewer Approver Date

May 2021 Page 3 of 6

Contents

Executive Summary ......................................................................................................................... 4

Appendix A: Interim Report ............................................................................................................ 5

Appendix B: Tender Documents Review Report ........................................................................... 6

May 2021 Page 4 of 6

Executive Summary This report provides a detailed account of the due diligence related to the Bridges design on the Surkhandarya

Regional Road Project upgrade in Uzbekistan undertaken by DBUK. It includes a summary of the Interim Report

prepared in June 2020 and the Complete Tender Documents Review report prepared in November 2020. These two

reports and their appendices are included in this report as Appendix A and Appendix B.

Of critical importance, two major challenges have been encountered in undertaking the Due Diligence:

- Logistics difficulties due to travel restrictions imposed by governments across the World due to the Covid-19

Pandemic; and

- The fact that all design documentation, including drawings, has been produced using the Uzbek Language

As a result of the above facts, direct communication with the Design Institute was not possible.

As such, translation tools available on the internet have been used in an attempt to identify the salient bridge design

features. A typical bridge, 4R105 at 425+00, was used as a benchmark. As all bridges are similar in construction

form, it is considered that reviewing this particular bridge provides good indication on the design principles.

The review of all complete tender documents undertaken in November provided detailed findings and raised queries

on the bridge design. It expanded on the Interim Report findings aligned with more detailed information received. Of

particular importance, the report raised queries on the design of substructures and foundations. Without receiving

clarification on the issues raised, it would not be prudent to reach any conclusion on the adequacy of the design.

However, this does not imply that alarming issues have been raised.

To date, no feedback has been received on any comments raised in both reports.

Appendix A includes the Interim Report prepared in June 2020.

Appendix B includes the Tender Documents Review Report prepared in November 2020

May 2021 Page 5 of 6

Appendix A: Interim Report

June 2020 Page 2 of 25

Revision History

Revision No. Purpose Author Reviewer Approver Date

June 2020 Page 3 of 25

Contents

Executive Summary ......................................................................................................................... 5

1 Introduction .............................................................................................................................. 6

2 Available Design Information .................................................................................................. 6 2.1 Design Calculations ................................................................................................................ 7 2.2 Drawings ................................................................................................................................ 7

3 Bridge Design Review Methodology ....................................................................................... 8

4 Review Findings ....................................................................................................................... 8 4.1 Description of the Bridge Structures ....................................................................................... 8 4.2 Articulation .............................................................................................................................. 9 4.3 Superstructure Form ............................................................................................................. 10 4.4 Substructure Form ................................................................................................................ 11 4.5 Foundations and Scour Protection ........................................................................................ 12 4.6 Safety Barriers ...................................................................................................................... 14 4.7 Bearings ............................................................................................................................... 15 4.8 Expansion Joints .................................................................................................................. 16 4.9 Transition Slab...................................................................................................................... 16 4.10 Constructability ..................................................................................................................... 17

5 Discussion .............................................................................................................................. 20 5.1 Hazards ................................................................................................................................ 20 5.2 Durability .............................................................................................................................. 20 5.3 Superstructure Form ............................................................................................................. 20 5.4 Safety Barriers ...................................................................................................................... 21 5.5 Bearings ............................................................................................................................... 21 5.6 Expansion Joints .................................................................................................................. 22 5.7 Transition Slabs .................................................................................................................... 22

6 Conclusions and Way Forward ............................................................................................. 22

Appendix A ..................................................................................................................................... 24 Summary of Available Bridge Drawings ............................................................................................ 24

Appendix B ..................................................................................................................................... 25 Sample Bridge 4R105 at 425+00 Translated Drawings .................................................................... 25

Figures Figure 1 Single - Span Bridge ................................................................................................................................ 9 Figure 2 Three - Span Bridge ................................................................................................................................. 9 Figure 3 Voided Twin Beam Deck ........................................................................................................................ 10 Figure 4 Voided Twin Beam Deck and T Beam Deck .......................................................................................... 10 Figure 5 Typical Abutment on Embankment ........................................................................................................ 11 Figure 6 Typical Pier Cross-Section ..................................................................................................................... 12 Figure 7 Typical Foundation Plan showing Circular Columns and Rectangular Piles ......................................... 13 Figure 8 Typical Foundation Elevation ................................................................................................................. 14

June 2020 Page 4 of 25

Figure 9 Precast Concrete Safety Barrier ............................................................................................................ 15 Figure 10 Bearing at Abutment and Pier .............................................................................................................. 15 Figure 11 Buried Expansion Joint ........................................................................................................................ 16 Figure 12 Transition Slab ..................................................................................................................................... 17 Figure 13 Construction Stage 1 ............................................................................................................................ 18 Figure 14 Construction Stage 2 ............................................................................................................................ 18 Figure 15 Construction Stage 3 ............................................................................................................................ 19 Figure 16 Construction Stage 4 ............................................................................................................................ 19

Tables Table 1: Bridges Summary on Stretch 4R100 ........................................................................................................ 7 Table 2: Bridges Summary on Stretch 4R105 ........................................................................................................ 7

June 2020 Page 5 of 25

Executive Summary This section of the Interim Report, which constitutes the second deliverable after the Inception Report, provides

preliminary findings on the Bridge Design Review as part of the Due Diligence undertaken by Development Business

UK (DBUK) on the Surkhandarya Regional Road Project upgrade in Uzbekistan.

This report provides a description of the project’s objectives and initial findings of the technical Due Diligence

undertaken to date and related to the design of bridges along the stretch of the road between Derbent and Denau.

This report identifies gaps in the available information and proposes remedial measures to enable DBUK successfully

complete the Due Diligence. Of critical importance, the report highlights the fact that all design documentation,

including drawings, has been produced using the Uzbek Language. As such, translation tools available on the

internet have been used in an attempt to identify the salient bridge design features. A typical bridge, 4R105 at

425+00, was used as a benchmark. As all bridges are similar in construction form, it is considered that reviewing this

particular bridge provides good indication on the design principles.

Finally, it should be borne in mind that this report has been written amid the Global Health Crisis caused by the

Covid-19 Pandemic. This report was written prior to undertaking any site visit. It should therefore be read in the

context of these circumstances.

June 2020 Page 6 of 25

1 Introduction The Government of Uzbekistan has requested the Asian Development Bank (ADB) to provide technical assistance

support for preparing the Surkhandarya Regional Road Project (SRRP). The project road, between Derbent and

Denau, is about 111 km long in the South-East of Uzbekistan. The proposed project will upgrade the existing two-

lane road which is severely deteriorated to two-lane international standard suitable for a 20-year service life.

The technical design of the road, including replacement of several substantial bridges, is being prepared by the

Government’s Design Institute, to prevailing standards used for the country’s highway network. The Institute will

prepare drawings, schedules of quantities and costs, and technical specifications. It is anticipated that the design

and other documents will be completed in 2020.

Through the proposed technical assistance, ADB has engaged Development Business UK (DBUK) to assist the

Government with developing the designs and other documentation required to enable ADB to process financing for

the proposed project.

The Government Agency responsible for the project is the Committee for Roads (CR).

The project includes the construction of twenty-four new bridges and two new flyovers. Not all drawings have been

supplied. This report provides preliminary findings of the Design Review of the Bridge structures available so far.

2 Available Design Information

Upon commencement of this task, it became apparent that a major hindrance towards the successful undertaking of

the Due Diligence task on the Surkhandarya Regional Road Project lies in the fact that all documentation produced

by the Design Institute is written in the Uzbek Language. This has caused a major challenge in the review process.

In an attempt to overcome that setback, translation tools available on the internet have been used. A typical bridge

structure was chosen as a representative of the bridges and the major notes on the drawings have been translated

into English. The chosen bridge is 4R105 at 425+00. This bridge was chosen as it is the longest comprising three

spans and it is aligned on a skew.

It must be noted though that translation tools do not translate technical information such as the terminology used in

Bridge Engineering. As such, the translated sections should be read with caution and not taken as being completely

true interpretation of the Designer’s intent.

The translated set of bridge drawings is included in Appendix B.

June 2020 Page 7 of 25

2.1 Design Calculations No design reports nor calculations have been made available for review.

2.2 Drawings Drawings pertinent to nine bridges only have been made available. Six bridges belong to the 4R100 stretch and three

bridges belong to 4R105 stretch. These nine bridges are identified in Tables 1 and 2 below.

Table 1: Bridges Summary on Stretch 4R100

Bridge Name Overall Length (m) Width (m) Number of spans Span Configuration

Bridge 4R100 1 of 6 134 + 75

36 24.75 3 9-18-9

Bridge 4R100 2 of 6 151 + 74

15 24.75 1 15

Bridge 4R100 3 of 6 163 + 60

36 24.75 3 9-18-9

Bridge 4R100 4 of 6 178 + 30

9 24.75 1 9

Bridge 4R100 5 of 6 198 + 56

12 24.75 1 12

Bridge 4R100 6 of 6 252 + 15

54 30.75 3 18-18-18

Table 2: Bridges Summary on Stretch 4R105

Bridge Name Overall Length (m) Width (m) Number of spans Span Configuration

Bridge 4R105 at PK 425 + 00

54 14.10 3 18-18-18

Bridge 4R105 at PK 591 + 80

42 15.50 3 12-18-12

Bridge 4R105 at PK 623 + 60

30 22.10 3 6-18-6

June 2020 Page 8 of 25

3 Bridge Design Review Methodology Normally, and upon commencement of a bridge design project, it is expected that a Design Basis report or Design

Criteria report is produced. Such reports generally record the agreed basis and criteria for the detailed design. A

Design Basis report typically covers the selection of bridge type, the materials for its construction and methods of

analysis and design to be adopted. Based on the furnished information on this project, no such reports have been

made available for review by DBUK.

Without that information in place, it would be challenging to ascertain that the design of the bridges has addressed

the codes requirements. Nevertheless, the design review of the bridges has been progressed based on the

assumption that the design was undertaken in accordance with established codes and standards used in

Uzbekistan.

The bridge design review will consider design decisions made in relation to the robustness and durability of the

structures. Safety in construction and buildability of the bridges will also be considered as these are of paramount

importance.

These principles will be analysed and compared with best practice adopted in worldwide bridge designs.

4 Review Findings

4.1 Description of the Bridge Structures All bridges are designed with concrete as the main structural material. Bridges are either designed as a single span

or three spans. All spans are simply supported with no structural continuity between the beams.

At their end supports, all bridges are supported on reinforced concrete abutments at the top of the embankment.

Side slopes of 1V to 1H are provided in front of the abutments. An approach transition slab is provided at each

abutment.

The intermediate piers comprise a reinforced concrete pier beam supported on discrete columns. Columns are

reinforced concrete with permanent steel casing.

All substructures are founded on precast concrete piles.

Figures 1 and 2 below show a typical single span bridge and three-span bridge respectively.

June 2020 Page 9 of 25

Figure 1 Single - Span Bridge

Figure 2 Three - Span Bridge

4.2 Articulation All spans on all bridges are simply supported with no continuity provided. At intermediate piers, a back-to-back

bearing arrangement has been adopted. It is not clear however how longitudinal and transverse fixity is being

provided. The deck slab is continuous between expansion joints at each abutment.

June 2020 Page 10 of 25

4.3 Superstructure Form All bridges superstructure consists of precast beams topped by cast-insitu deck slab. The type of precast beams

varies with the span length. Figures 3 and 4 below show the cross section of two different bridges.

Figure 3 Voided Twin Beam Deck

Figure 4 Voided Twin Beam Deck and T Beam Deck

However, what is worth noting, is there does not appear to be any shear links joining the precast units with the deck

slab. As such, no Composite Action would be achieved.

June 2020 Page 11 of 25

4.4 Substructure Form

All substructures for all bridges consist of reinforced concrete elements. The abutments are supported on piles at the

top of the embankment while the piers comprise a portal frame with a cross head beam. Figures 5 and 6 below show

a typical abutment in longitudinal section and a typical pier in cross section respectively.

Figure 5 Typical Abutment on Embankment

June 2020 Page 12 of 25

Figure 6 Typical Pier Cross-Section

4.5 Foundations and Scour Protection

All substructures for all bridges are supported on driven precast concrete piles rectangular in cross section. Figures

7 and 8 below depict typical foundation layout. Based on drawings, there does not appear to be scour protection

measures.

June 2020 Page 13 of 25

Figure 7 Typical Foundation Plan showing Circular Columns and Rectangular Piles

June 2020 Page 14 of 25

Figure 8 Typical Foundation Elevation

4.6 Safety Barriers

In order to protect errant vehicles from falling off the bridge deck, safety barriers are proposed at the edge of the

carriageway. Based on the drawings, it could be deduced that these barriers are precast units. It appears however

that the barriers are not mechanically connected to the bridge structure. A single layer of reinforcement seems to join

the barrier with a concrete stitch. If this is the case, then this would imply that the barrier relies on its own weight to

withstand collision loads. This safety aspect would need to be reviewed in detail. Figure 9 below shows the precast

concrete safety barrier and the single layer of reinforcement on each side.

June 2020 Page 15 of 25

Figure 9 Precast Concrete Safety Barrier

4.7 Bearings

All bridges are articulated on bearings which allow rotation and some movement. The type of proposed bearing is

not clear though.

Figures 10 below shows bearings at the abutment and pier.

Figure 10 Bearing at Abutment and Pier

June 2020 Page 16 of 25

4.8 Expansion Joints

Buried Expansion Joints are provided at each abutment to allow bridge movement under thermal variations and other

actions.

Figure 11 Buried Expansion Joint

4.9 Transition Slab

Behind each abutment, a transition slab is being provided. However, and unlike usual practice, the transition slab is

supported on a hard end at its back.

June 2020 Page 17 of 25

Figure 12 Transition Slab

4.10 Constructability

By virtue of utilising precast members, bridges have been designed for ease of construction. Section 5.3 below

explains in detail the construction operations of the superstructure. The entire bridge construction sequence is

simplified in Figures 13 to 16 below.

June 2020 Page 18 of 25

Figure 13 Construction Stage 1

Figure 14 Construction Stage 2

June 2020 Page 19 of 25

Figure 15 Construction Stage 3

Figure 16 Construction Stage 4

June 2020 Page 20 of 25

5 Discussion As mentioned above, a major setback for undertaking the Due Diligence task is the fact that all documents have been

produced in the Uzbek Language. Without those documents being available in English, it will not be possible to

completely grasp the design philosophy and undertake a comprehensive review.

However, and based on preliminary review, it is considered that the following areas of the design are worth further

investigation.

5.1 Hazards

Over the past few decades, and as a result of climate change and deforestation of large areas, risks of sudden and

severe floods have exponentially increased. This phenomenon, encountered in a number of Asian countries, has led

to the collapse of a number of bridges with resulting loss of lives and severe disruption to the economy. It is therefore

considered imperative that robust scour protection measures are designed and constructed, taking into consideration

future impact of climate change.

In addition, seismic risks are quite high in Uzbekistan. Based on the drawings, there does not appear to be special

measures taken to reduce risks of collapse in an event of an earthquake.

5.2 Durability In order to design and construct climate resilient bridges, durability considerations must be addressed. Due to the

lack of information presented in English, it was not possible to review that part of the design.

5.3 Superstructure Form

The span length of all bridges on the SRRP project varies between 6 and 18m. For this span range, a number of

viable structural solutions could be adopted. Considerations such as cost, aesthetics, efficiency, ease of construction,

reduced maintenance, possibility for future widening and provision for utilities are all factors that need to be assessed

when making decisions on the superstructure form.

Considering all the above factors, it is concluded that utilising a precast beam-and-slab arrangement as proposed by

the Design Institute provides the best solution that caters for all these requirements. Precast beams are produced in

the controlled environment of the casting yard. Therefore, high quality products could be achieved.

It is understood that standard beams had been developed in Uzbekistan for standard span lengths. In the absence

of clear information on those beams and loading that they have been designed to, it would not be possible to verify

that the correct beam sizes have been utilised for the correct span length.

June 2020 Page 21 of 25

Beam and slab arrangements are one of the most common forms of concrete bridge deck and utilise precast beams

with cast-in-situ deck slab. This type is well suited for small or medium span bridges where the beam weights are

small enough to use readily available cranes and for projects where repetition in the construction gives cost savings

such as on the Surkhandarya Regional Road Project.

The main advantage of this method of construction is eliminating the need to erect the falsework from the ground.

This is very relevant when constructing bridges over waterways. As a consequence, this construction method carries

the major advantage of reducing safety risks associated with working at heights by virtue of providing a safe working

platform. Other advantages of utilising precast beams include economies from repetition and rapid construction. The

disadvantages normally include the need for good access to site and for heavy-lifting equipment. However, and for

the size of the beams required for this project, the beams weight would not cause any significant hurdle. It is

considered manageable and within standard lifting equipment capabilities for all major bridgeworks contractors.

However, it is usual to design a beam and slab bridge as Composite Action. The currently proposed design does not

appear to have considered Composite Action between the precast beams and the in-situ slab. Composite Action is

ensured by means of providing shear links (reinforcement) protruded from the webs of the beams.

The beams are precast in a yard and once erected in position, the deck slab is cast-in-situ. After hardening of the

deck slab, Composite Action then takes place for all subsequent loading. Slippage between the top slab and the

beam under any subsequent loading is prevented by the shear links. Composite Action provides the additional benefit

of increasing the superstructure strength and stiffness.

It is therefore considered beneficial to consider designing the superstructure as a Composite Section utilising both

precast beams and cast-in-situ slab.

5.4 Safety Barriers As mentioned in Section 4.5 above, the safety barriers appear to be resting on the deck. This suggests that they

mostly rely on their sheer weight to contain an errant vehicle.

As already discussed above, and in the absence of a Design Basis report, it would not be possible to validate this

design.

5.5 Bearings For the span range of the SRRP project, it is expected that elastomeric bearings would be utilised. However, there

is no information on the type of bearing nor on the loads or movements that they need to be designed for. Providing

this information in a tabular form is recommended.

June 2020 Page 22 of 25

5.6 Expansion Joints It appears from the drawings that buried joints are utilised on the bridges. This would be acceptable for the span

range of the SRRP project, however, the successful behaviour of the buried expansion joints grossly depends on

workmanship during construction. Problems such as cracks along the joint which would lead to breaking up the

surfacing and leakage are commonly encountered with buried joints. in addition, future replacement of buried joints

would be grossly disruptive to traffic. It is therefore crucial to ensure proper workmanship during construction of the

joints.

5.7 Transition Slabs As mentioned in Section 4.9 above, transition slabs are supported on hard spots. This seems to defeat the object of

their behaviour, in that, by virtue of being supported on softer material, they tend to rotate with settlement hence

eliminating vertical movement which would cause deterioration to the surfacing material and cause it to crack.

It is recommended that this detail needs to be further investigated.

6 Conclusions and Way Forward In order to move forward efficiently and in a productive manner, it is considered of paramount importance to establish

good communication lines and to obtain all design information, reports and drawings, written in English.

In the meantime, it is recommended that the Design Institute investigates areas outlined in Section 5 of this report.

June 2020 Page 23 of 25

Appendices

June 2020 Page 24 of 25

Appendix A Summary of Available Bridge Drawings

Appendix A - Bridges and Culverts

The bridges and culverts in design sections are presented in Table below:

Bridges and Culverts in design sections

S. No.

PK Location

Names watercourses and roads

Length of Bridge, м. Condition Design Solution Remarks

1 71+55 (12+100 ) Construction of an overpass at the junction with highway 4 R 105 b

54,8 New overpass The construction of the new overpass Based on design decisions

2 88+80 (13+900) Construction of new bridge across Sai 42,8

Replaced a single-point B-95 tube crossing with a new bridge.

The construction of the new overpass

Based on design decisions. Smaller capacity of flowing water and mudflows.

3 103+42,57 (15+450) Construction of new bridge across Sai 42,8

Replaced a single-point B-95 tube crossing with a new bridge.

The construction of the new overpass

Based on design decisions. Smaller capacity of flowing water and mudflows.

4 137+84,8 (18+840) Construction of new bridge across TudaSai 18,7 New bridge Construction of a new bridge

Based on the design decisions, the road runs into a new direction.

5 188+74,86 (25+300 ) RCC bridge across rIver Khangarsai 78,9 Not satisfactory

Demolition of the bridge and construction of a new RCC bridge

Based on the design decisions

6 198+24,80 (26+900) Construction of new bridge across Shursai 42,8 Not satisfactory

Demolition of the bridge and construction of a new RCC bridge

Based on design solutions and diagnostic materials.

7 266+33,05 (33+300) RCC bridge across rIver Inkabadsai 54,6 Satisfactory

The existing bridge to the support is completely demolished, the superstructure plates are re-mounted on new rubber support posts, etc

Based on design solutions and diagnostic materials.

S. No.

PK Location

Names watercourses and roads

Length of Bridge, м. Condition Design Solution Remarks

8 425+00 (49+62) Existing RCC bridge across rIver Sarkamishsai

40,0 Unsatisfactory Demolition of the bridge and construction of a new RCC bridge

Based on design solutions and diagnostic materials.

9 440+80 (51+22) Existing RCC bridge across rIver Sarkamishsai

42,0 RCC bridge constructed in 2016, in good condition

The bridge does not need repair

Based on design solutions and diagnostic materials.

10 591+80 (66+26) New bridge across river Tangimushsai 42,8 Not existing Construction of a new RCC

bridge Based on design solutions

11 623+60 (69+40)

Steel bridge across the Sai 18,7 Unsatisfactory

Demolition of the bridge and construction of a new RCC bridge

Based on design solutions and diagnostic materials.

Total: Bridges and overpasses: Nos. / RM

11/478,90

1. Comments on the integrity of implementation of projects of bridges and overpasses:

(i) On the Road 4R105, drawings of bridges and overpasses on the following pickets are

missing:

a. Bridge at 71+55 , b. Bridge at 88+80, c. Bridge at 103+42.57, d. Bridge at 137+84, e. Bridge at 188+74, f. Bridge at 198+24.80, g. Bridge at 266+33.05, and h. Bridge at 440+80

(ii) Need to specify the location of bridges by their pickets :

a. Bridge on PC134+80, b. Bridge on PC152+40, c. Bridge on PC163+60, d. Bridge on PC178+25, e. Bridge on PC198+50, f. Bridge on PC252+20

(iii) on the Road 4R100 road at km 162-174-there are not enough drawings of bridges and

overpasses in the following picket lines :

a. Bridge on PK3+32, b. Bridge on PK12+48.3, c. Bridge on Yangi PK62+28, d. Bridge widening at Kassai

PK69+49, e. Overpass PK72+54, f. Bridge widening of PK76+41, g. Bridge widening of PK94+45

(iv) On the Road 4R100 at km 128 - 137 - not enough drawings on:

a. Bridge on PC 53+42,31, b. Bridge on PC 71+00 and c. Bridge on PC 78+20.

(v) On the 4R100 road at km 137-162 - drawings are missing at:

a. Bridge on PK217+85; and b. Bridge on PK302+10

(vi) Further, on 4R100 locations of bridges should be clarified by the PK:

a. Bridge on PK134+80; b. Bridge on PK152+40; c. Bridge on PK163+60; d. Bridge on PK178+25; e. Bridge on PK198+50; and f. Bridge at PK 252+20

These comments are significant. Electronic versions of the above documents should be completed in a timely manner.

1.1.1 Culverts, Cattle Crossings, Engineering Structures

2. Reinforced concrete pipes of different diameters, on the main route are provided in the

Table in the next page.

3. This project for the reconstruction of roads and pipes will be implemented in accordance with the normative documents and state standards of the Republic of Uzbekistan in the field of road construction design that meet the durability of these structures and protection during the passage of water runoff, which contributes to the main function and operation of the road with the lowest cost.

Reinforced concrete pipes of different diameters, on the main route

S. No.

PK position on the road center line

Existing Проектни

Rem

arks

Length ( м )

Size ( м ) Material Length

( м ) Size ( м ) Material

1 2 3 4 5 6 7 8 9

1 359+31,19 19,92 0,70 RCC 25 1,2 RCC

2 366+13,39 21,27 1,20 RCC кол 30 1,2 RCC

3 374+32,64 - - - 25 1,2 RCC

4 375+83,44 - - - 25 1,2 RCC

5 390+65,54 35,30 0,80 RCC 30 1,2 RCC

6 395+20,02 25,68 1,20 RCC кол 25 1,2 RCC

7 407+50,47 30,38 1,2 RCC 25 1,2 RCC

8 431+51,24 22,81 1,0 RCC 25 1,2 RCC

9 432+77,76 20,71 1,4 RCC 25 1,2 RCC

10 448+40,00 16,11 0,7 RCC 30 1,2 RCC

11 451+30,30 31,19 0,6 RCC 40 1,2 RCC

12 454+80 20,51 1,0 RCC 25 1,2 RCC

13 466+65 41,00 1,00 RCC - - -

14 470+52 - - - 45 1,2 RCC

15 480+57 39,13 1,0 RCC 40 1,2 RCC

16 482+51,18 20,57 1,0 RCC - - -

17 484+00 - - - 40 1,2 RCC

18 489+42,08 - - - 30 1,2 RCC

19 495+65,25 20,62 1,0 RCC 25 1,2 RCC

20 498+10 20,20 1,25 RCC - - -

21 505+26,98 20,63 1,25 RCC 25 1,2 RCC

22 507+65 20,67 1,25 RCC 25 1,2 RCC

23 509+80,00 20,67 1,25 RCC 35 1,2 RCC

24 524+43 25,77 1,00 RCC - - -

25 526+90 46,23 1,00 RCC - - -

26 529+25 35,87 1,00 RCC - - -

27 541+57,01 26,15 1,00 RCC - - -

28 574+85 20,61 1,00 RCC 30 1,2 RCC

29 590+80 11,63 0,30 асб 40 0,4 асб

30 597+30,21 15,05 RCC 30 1,0 RCC

31 607+44,01 15,32 0,70 RCC 25 1,0 RCC

32 465+43 18,00 2х2,5*2 RCC 22 2х2,5*2 RCC

33 571+42 22,00 2х2,5*2 RCC 24 4х2,5 RCC

34 610+26 - - - 30 4х2,5 RCC

Total: Culverts

1 Pipe Culvert dia. 400 мм RCC 40,0

2 Pipe Culvert dia. 1000 мм RCC 55,0

3 Pipe Culvert dia. 1200 мм RCC 600,0

4 Box Culvert 2,0х2,5*2 24,0

5 Box Culvert 4,0х2,5 54,0

6 Notes: The design provides for additional work on widening of culverts using self-supporting culverts PK466 + 65, PK482 + 51.18, PK498 + 10, PK524 + 43, PK526 + 90, PK529 + 25, PK541 + 57.01.

4. The project does not provide calculations of capacity for these water pass and the information on to what standard these structures are designed. There is no calculation of the basin for the last 50 years and analysis of the precipitation level for this region. Also, no cattle crossings are presented.

5. The proposed sites for cattle crossings are: S. No. Name of the highway Location,

км-км Zone

1 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 2 км Boysun Tumani " Temirdaboza"

MPI

2 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 9 км Boysun Tumani "Dakhanajhom"

MPI

3 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 13 км Boysun Tumani "Tuda" MPI

4 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 20 км Boysun Tumani "Tuda" MPI

5 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 24 км Boysun Tumani "Bibishirin" MPI

6 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 29 км Boysun Tumani "Shursai" MPI

7 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 33 км Boysun Tumani "Inkabod" MPI

8 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 38 км Boysun Tumani "Inkabod" MPI

9 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 44 км Boysun Tumani "Dashtigoz" MPI

10 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 48 км Boysun Tumani "Dashtigoz" MPI

11 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 54 км Bandikhon Tumani "Obikor" MPI

12 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 58 км Bandikhon Tumani "Obikor" MPI

13 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 64 км

Bandikhon Tumani "Obikor" MPI

14 4R-105 "Darband K. - Boysun K. - Elbayon" Highway 68 км

Bandikhon Tumani "Obikor" MPI

1.1.2 Small Artificial Structures

6. The small artificial structures in the road 4R105 are shown in the table below: Reconstruction of Highway 4R105 "K Darband - g.Boysun - K.Elbayon” in the section of km 5-70 S. No. PK+ d, м L, м Material Remarks 1 2+35 1,2 35,35 RCC 2 5+83 1,2 27,96 RCC 3 7+06 1,2 25,43 RCC 4 8+43 1,2 27,96 RCC 5 10+46 1,2 35,35 RCC 6 11+85 1,2 35,35 RCC 7 15+87 1,2 35,35 RCC 8 18+20 1,2 25,43 RCC 9 20+54 1,2 25,43 RCC 10 25+32 1,2 25,43 RCC

11 34+94 2x2 30,47 RCC 12 39+48 1,2 25,43 RCC 13 45+30 2x2 30,47 RCC 14 70+51 1,2 50,26 RCC 15 73+58 1,2 35,35 RCC 16 73+62 1,2 45,44 RCC 17 77+68 1,2 35,35 RCC 18 83+53 1,2 35,35 RCC 19 96+95 1,2 35,35 RCC 20 132+60 1,2 25,43 RCC 21 134+79 1,2 25,43 RCC 22 139+94 1,2 20,61 RCC 23 140+53 1,2 27,96 RCC 24 146+00 1,2 38,08 RCC 25 147+15 1,2 22,90 RCC 26 155+80 2x2 179,89 RCC 27 163+82 1,2 27,96 RCC 28 165+00 1,2 25,43 RCC 29 171+93 2x2 22,54 RCC 30 177+84 1,2 35,35 RCC 31 178+78 1,2 45,44 RCC 32 195+50 1,2 45,44 RCC 33 220+40 1,2 38,08 RCC 34 256+32 1,2 45,44 RCC 35 259+92 1,2 25,43 RCC 36 277+00 1,2 38,08 RCC 37 307+64 1,2 35,35 RCC 38 359+31 1,2 20,0 RCC 39 366+14 1,2 30 RCC 40 374+62 1,2 25 RCC 41 390+65 1,0 35 RCC 42 395+26 1,2 30 RCC 43 407+33 1,2 35 RCC 44 429+16 1,2 25 RCC 45 430+41 1,2 25 RCC 46 446+05 1,2 25 RCC 47 449+01 1,2 25 RCC 48 452+40 1,2 20 RCC 49 478+20 1,2 35 RCC 50 481+40 1,2 40 RCC 51 487+00 1,2 25 RCC 52 493+26 1,2 25 RCC 53 495+72 1,2 25 RCC 54 502+89 1,2 25 RCC 55 505+25 1,2 25 RCC 56 507+40 1,2 25 RCC 57 522+05 1,2 30 RCC 58 524+49 1,2 50 RCC

59 526+86 1,2 40 RCC 60 539+20 1,2 30 RCC 61 572+47 1,2 30 RCC 62 592+83 1,2 20 RCC 63 594+91 1,2 20 RCC 64 605+10 1,2 25 RCC

7. The small culverts under the project of reconstruction of the highway 4R100 "K.Manguzar-g.Zharkurgan-K.Bandion-G.Denov” on the section km 128-174 (km 137-162), The beginning of the route PK 0+00 i.e., 128 km Highway 4R100 S. No.

PK+ d,м L,м Material Remarks

1 26,84 0,6 14,6 RCC The beginning of the

route PK 0+00 i.e.

128 km Highway

4R100

2 27+20 1,0 20,5 RCC 3 35+80 1,0 27,4 RCC 4 44+15 1,0 17,2 RCC 5 55+90 0,6 20,1 RCC 6 71+02 2,5 16,5 RCC 7 76+12 1,5 21 RCC 8 94+17 1,0 19,3 RCC 9 97+63 1,0 16,4 RCC The beginning of the route PK 0+00 i.e., 162 km Highway 4R100 S. No.

PK+ d,м L,м Material Remarks

1 0+77 1,0 29,6 RCC The beginning of the

route PK 0+00 i.e.

162 km Highway

4R100

2 2+09 1,0 32,4 RCC 3 3+47 1,0 18,5 RCC 4 4+98 1,0 16,5 RCC 5 7+67 1,0 15,7 RCC 6 10+66 1,0 15,9 RCC 7 13+52 0,5 20,9 RCC 8 20+55 0,6 15,3 RCC 9 40+64 1,0 15,5 RCC 10 51+45 1,0 25,1 RCC 11 56+07 1,0 13 RCC 12 65+84 1,0 15,2 RCC 13 90+05 2x2 49,2 RCC 14 93+59 1,0 13,6 RCC

8. 9. After the review the following recommendations are made:

(i) Pipes on PC 26+84, d=0.6 m, l=14.6 m; PC 55+90, d=0.6 m, l=20.1 m; PC

13+52, d=0.5 m, l=20.9 m; PC 20+55, d=0.6 m, l=15.3 m;

(ii) On highways, pipes with a hole of at least 0.75 m are usually used.

(iii) For ease of operation, we recommend pipes with a hole of at least 1.0 m. If the length of the pipe is less than 20 m and if the length is longer than at least 1.25 m PC 35+80, l=27.4 m; PC 0+77, l=29.6 m; PC 2+09, l=32.4 m; PC 51+45, l=25.1 m;

(iv) 3. The project does not have a hydrological and hydraulic justification for the design of small culverts.

June 2020 Page 25 of 25

Appendix B Sample Bridge 4R105 at 425+00 Translated Drawings

РЕЖА

350

125 125 50 50 20 20

СМ 8 - 35 Т3

Оралик таянч замини

α=66°sinα=0,9135

131

289

33 125

30

7941

20

7886 20

70

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

131

289

33125

30

79

41

20

78 86

20

70

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

150/sin 66°

1588

Оралик таянч ригели

1588

2х115

20

350

125 125 50 50 20 20

СМ 8 - 35 Т3

Оралик таянч замини

154

20

тем

пера

тура

чок

и

Яхлит мустахкамлашбетони охири

тем

пера

тура

чок

и

Эслатмалар1. Кўприкнинг умумий кўриниши қидирув гуруҳи томонидан олиб борилган қидирув ишларимаълумотлари асосида тузилди.2. Оралиқ қурилмасининг темир бетон плиталари 384/43 - сонли намунавий лойиҳа бўйича қабулқилинди.3. Барча темир бетон конструкциялар Қўйлиқ КТБК заводида тайёрланади.4. Чизмадаги барча ўлчамлар "см" да, баландлик белгилари эса "м" да берилган.5. Кўприкнинг барча конструкцияларининг тупроқ билан туташувчи юзалари, 2 марта қайноқ битумбилан қопланиши шарт.6. Барча яхлит темир бетон қисмлар сульфат тузларига чидамли цемент билан тайёрланиши лозим.7. Қозиқлар қуйидаги шартларга жавоб бериши лозим Т -3, В-30, F-200, W-6

Қозиклар СНИП-III-9-74 бўйича аниқланадиган хисобий қайтариш ҳосил бўлгунча қоқилиши шарт.

I - IКайнок а/б коплама h = 7 смХимоя бетони В 25 h = 4 смНам тусгич катлами h = 1 см

Темир бетон плитаПН - 18.99.78

1160 20753075 3020

5 5

БК 3.55.75

ПТМ - 3.68.8

50

20

70

СМ 14.35.Т3

20

20 % 20 %773,623

Текисловчи бетон М200 h = 3 см

773,623

20

10 х 135 х sin66°50 х sin66° 50 х sin66°

1450 / sin66°

40

50

218

110

20

1152

20

218

1588

20

14

90

о 102о 102 о 102

150

10

750

269 269

Оралик таянч замини

СМ 8-35Т3

796

159

Оралик таянч устуни

II - IIКайнок а/б коплама h = 7 смХимоя бетони В 25 h = 4 смНам тусгич катлами h = 1 см

Темир бетон плитаПН - 18.99.78

1160 20753075 3020

5 5

БК 3.55.75

ПТМ - 3.68.8 20 % 20 %773,497

Текисловчи бетон М200 h = 3 см

температура чоки

температура чоки

температура чоки

температура чоки

температура чоки

температура чоки

тем

пера

тура

чок

и

Яхл

ит м

уста

хкам

лаш

бето

ни о

хири

Яхлит мустахкамлашбетони охири

Яхлит мустахкамлашбетони охири

Йигма ва яхлит конструкциялар хамда махсулотлар хусусиятлари жадвали

Белгиланиши Меъёрий хужжати Номланиши Ўлчовбирлиги

МиқдориЎл. бирл.оғирлиги

тнОралик курилмаси ва қатнов қисми

ПН18.99.78-А-IV-1 т.п. 3.503.1-12 UZ.1-12 Оралик курилмаси т/б плиталари дона 42 17,5

БК.3.55.75 TSh 14-27:2006 Ғилдирак қайтаргич тўсиқлар дона 36 0,65

ПТМ 3.68.8 TSh 14-27:2006 Пиёдалар йўлкаси блоклари дона 36 0,46

СПО-12 TSh 14-13:2003 Йиғма т/б устунчалар дона 42 0,075

БПО-14 TSh 14-13:2003 Йиғма т/б панжаралар дона 72 0,13

РОСЧП 150х350х40 Резинали чузилма таянчиклар 15х35х4 дона/кг 168/957,6 -

F 200, W-6Текисловчи қатлам цементли қоришма М 200(деформация чоклари ости хисобга олинмаган)h=3см

м2/м3 672/20,16 -

Полиизол ТПП - 3 Нам тусгич катлами 6,5А-I тур 20х20 м2/тн 672/1,428 -

F 200, W-6Химоя бетони (деформация чоклари остихисобга олинмаган) В25 h=4см м2/м3 513,20/20,52 -

Таянчлар

СМ8.35.Т3 А400 TSh 14-08:2002Куприк оралик таянчлари замини учунпризматик т/б козиклар дона 54 2,5

СМ14.35.Т3 А400 TSh 14-08:2002 Қирғоқ таянчлари учун призматик т/б қозиқлар дона 44 4,4

Қирғоқ таянч ости бетон таглиги h=10 см16,31х1,9х0,1 дона/м3 2/6,20 -

Бетон ГОСТ 26633-12 Кирғоқ таянчлар В 25 дона/м3 2/36,4 -

Бетон ГОСТ 26633-12 Оралик таянч ригелини В 25 дона/м3 2/43,1 -

Бетон ГОСТ 26633-91 Оралиқ таянч яхлит темир бетон замини В 25 дона/м3 2/153,36 -

Бетон ГОСТ 26633-12 Оралик таянч устуни В 25 дона 6 -

Оралиқ таянч яхлит темир бетон замини остибетон таглиги h=10 см (16,28 х 3,9 х 0,1) дона/м3 2/12,70 -

Киргок билан туташиш кисми

ПП Индивидуал чизма Яхлит т/б парапет плитаси дона 4 -

ПП 4.99.30-18 TSh 14-27:2006 Ўтиш плитаси дона 28 2,82

Бетон ГОСТ 26633-12 Яхлит темир бетондан ётик таянч дона/м3 2/12,76 -

3 БДО-3.83 TSh 14-10:2002 I-тоифали тусиклар дона 24 1,70

2х115 2х115 2х115290 290

335 400

Белгилар

Масофалар

I

I

Утиш плитаси

СМ 14-35Т3

400

5 78

5531Купр

икбо

ши

Купр

икох

ири

773,554

772,133

758,256

Чакик тошдантушама h=30 см

772

771

770

769

768

767

766

765

764

763

774

773

775

762

С -2С - 1

5 51800 18001800

754,521

2-со

нта

янч

772,624

50

14

80/sin66°

4-со

нта

янч

ПН-18.99.78

СМ 14-35Т3

150/sin66°

1-со

нта

янч

1 : 1

760

761

796

150

10

750

СМ 8 - 35Т3

763,521

762,021

90

14

754,647

150/sin 66°

о 102

125/sin 66°

СМ 8 - 35Т3

763,647

762,147

771,607

125/sin 66° 50/sin 66°50/sin 66°

Бетон таглик

II

II

Оралик таянч замини

Оралик таянч устуни

Оралик таянч ригели

Фасад(Белгилар куприк уки буйича берилган)

771,481

ПН-18.99.78ПН-18.99.78

Бойсун

773,743

758,633

Суянчик (зуб)

10

100

771,756

796

90

14

773,617 773,491773,366

Денов

759

758

20/sin66° 20/sin66°

80/sin66°

1 : 1

Суянчик (зуб)

150/sin 66°

о 102

3-со

нта

янч

0,4

10,0

Супес корчневыепросадочные

Насыпной слой

772

771

770

769

768

767

766

765

764

763

774

773

775

762

760

761

759

758

3,0

9,0

757

756

Гравийно - галечник из обломковосадочно-метаморфических иизверженных пород ссуглинистым заполнениеммаловлажный.

757

756

754

Супес корчневыепросадочные

Насыпной слой

Гравийно - галечник из обломковосадочно-метаморфических иизверженных пород ссуглинистым заполнениеммаловлажный.

0,4

10,0

3,0

9,0

755

764,2

12

765,6

35

1,37

763,9

45

1,87

764,7

84

9,66

765,1

49

0,44

765,5

62

0,4

766,1

38

2,6

767,0

27

1,62

767,8

77

0,38

769,0

52

0,71

764,2

48

7,17

764,3

70

1,48

764,3

80

0,77

764,4

48

5,21

764,5

34

0,8

768,2

66

2,71

768,6

33

1,30

1781 1805 1781

159

154

2х115

2х115

295

295

773,743

772,133

758,633

771,607

773,617773,497

754,647

763,647

762,147

2

OOO

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21

Общий вид моста

Искусственные сооружения -мост

1. Чизмада барча улчамлар "см" да берилган.

1160 20753075 3020

5 5

БК 3.55.75

ПТМ - 3.68.85

02

0

70

20

20 % 20 %

201450 / sin66°

"А" тугуни

Майда донали асфальтобетон 7,0 см

6,5 АI-200

6,5 АI-200

Химоя бетони В 25 h=4 см

тур билан

Ёпиштирма нам тусгич h=1,0 см

Текисловчи катлам М 200h = 3,0 см

Текисловчи катлам М 200h=3,0 см

Ёпиштирма нам тусгичh=1,0 см

Пиёдалар йулагиблоки-8,0 смКум-цемент коришмаси h=3,0 см

3075

40

ПТМ 3.68.8

20

БК-3.55.758

5

30

520

9,5

1

15,517,5

"А" тугуни

5

135,5 30

Резина прокладка

66°

ПН-18 устидаги 20х20 катакли имоя бетонарматура тўри

79 х 20 = 15801620

2020

52 х

20

= 10

4035

35

1110

1

2

1215

кенг

лиги

буй

ича

узунлиги буйичаα=66°

sinα=0,9135

3

OOO

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21

Конструкция проезжей части

Киргок таянч хусусиятлар жадвали

№ Номланиши Ул бирл1 дона

таянчдагисони

Огирлигикг

Жамикуприккиргок

таянчларига

1 Т/б козиклар СМ 14.35-Т3 дона 22 4400 44/193600

2 Яхлит т/б таянч м3 18,20 36,4

3 Таянч ва қозиқлар изоляцияси 449,0 898,0м2

131

289

33

125

I - I

12

2 52

50

20

2020

14

10х146=1460

2220/sin66°=22

1544

1588

Таянч сарровининг режаси

Таянч сарровининг олд куриниши

30

79

41

2020

20

78

86

64 64

1588

2222

Ён канот

79 41 125

Суянчик12

2

20

55

40

32

20

205 5

3535 80

I

I

4

OOO

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21

Искусственные сооружения- моста

Эслатмалар1. Таянч арматураси 486-сон намунавийлойиха асосида тузилган.2. Ён пардевор ва канотлар арматураси143/144-сонли намунавий лойиха асосидатузилган.3. Чизмадаги барча улчамлар "см" даберилган.4. Хажмлар 1-та таянч учун берилган.5. Ишчи арматураларини 25% дан ортиккавшарлаш ман этилади.6. Таянч юзаси 2 марта кайнок битум б-н копланади

II

III - III

131

1 - сон тур

5 - сон тур

289

33

125

I - I

25"А" - бугин

С-23-Рэ пайвандлов усулининг куриниши L арм = 11,7 м

"А" - бугинда арматураларни узаро бириктириш учунпайвандлаш чоки назарда тутилган.

11 о

о 6,5 А-I Lур = 234 5

42

,5

74,5

62,562,5

74,5

42

,5

54

,5

54

,5

62,5

74,5

42

,5

54

,5

4 - сон тур Ён канот

II

III

12

2 52

50

20

2027

20

IV - IV

2 - сон тур

18

5 - сон тур

23

44

÷58

22

3х16

92

÷10

6

5 х 20=100

22

2х22

,5

23

45

α=66°sinα=0,9135cosα=0,4067

II - II

2

57

х 20

5

"А" бугин

5

22

2

1

Нишаблик тури

Нишаблик тури

о 18 А-III1678

1

о 18 А-III 1578

2

10

40

10

40

"А" бугин

"А" бугин

1 - сон тур6

7

30

79

45

100

66°

V - V

21

Ён канот

79 41 125

26

27

Суянчик

5

12

2

20

55

40

32

20

22 2 2 2 2 2 2

11 1 1 1 1 1 1

Суянчик12

2

20

55

40

32

20

79 61 125

25

50

Ён канот

20

20 2022

25

24

6х10

=60

5

70

100х10=1000 551010

14 II

III

10х146=1460

2220/sin66°=22

1544

1588

Таянч сарровининг режаси

Таянч сарровининг олд куриниши

30

79

41

2020

VI

VI

V

V

78х20=1560

1588

20

12

2 52

50

20

20

5 518

1588 67

4

4 - сон тўр 4 - сон тўр

3 - сон тўр

41

1544

1588

12 16

3х16

44

÷58

92

÷10

6

8

9

11

2

3х17

16

45

10 11

2 - сон тўр

7 х 22 = 154

9

12

12

2

60

32

20

12 55

55

78

86

8

11

2

3х17

16

45

3 - сон тўр

7 х 22 = 154

12

2

60

32

20

12 55

55

13

14

15

14

16

17

13

21

26

27

5

о 12 А-III L = 365

28

40

монтаж арматураси

142,5

142,5

42,5

54,5

42

,5

54

,5

о 6,5 А-I L = 194

4

Монтаж арматураси

Элементга пулат сарфи жадвали,кг

12

2

55

х 20

51

2

21

55 х 23 = 115515

2 х

205

5

50

20

19

5 5

205 5

5

64 64

1588

14

18

3

Ø 16 А-III 2078

3

46

50

50

10

40

40

46

50

50

40

46

50

50

40

46

50

50

40

46

50

50

40

46

50

50

40

46

5050

40

46

50

50

40

46

50

50

40

46

50

50

79

10

40

79

78х20=1560

1578

18

2222

78х20=1560

2222

40

3535 80

3535 80

1 11 1 1 1 1 1

33

22 22 2 2 2 2

33

5

OOO

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21

Армирование насадкибереговых опор

Искусственные сооружения -мост

ЭСЛАТМАЛАР

1. Ригел, устунлар хамда яхлит заминлар 863 намунавий лойиханикуллаган холда арматураланди.2. Яхлит темир-бетон заминлар бетони, сульфат тузларига чидамлибулган цемент билан тайёрланиши керак.3. Чизмада барча улчамлар "см" да, берилган.

Оралик таянчлар учун иш хажмлари

т/р Номланиши Улч. бирл.

Сони

1 та таянчга Куприкка

1. Яхлит темир-бетон ригел дона 1 2

Бетон В25 м3 21,55 43,10

Жами металл тн 3,763 7,527

Шу жумладан: Арматура А-I тн 0,380 0,760

Арматура А-III тн 3,365 6,73

Богловчи сим кг 18,72 37,44

2Кундаланг кесими 1020 мм булган металлкувурни кобик сифатида урнатиш δ 6мм дона/тн 3/4,838 6/9,676

3 Яхлит темир-бетон устунларини куйиш дона 3 6

Бетон В25 м3 18,75 37,5

Жами металл тн 4,762 9,52

Шу жумладан: Арматура А-I тн 0,474 0,948

Арматура А-III тн 4,263 8,526

богловчи сим кг 23,7 47,4

4. Яхлит темир-бетон замин бетонини куйиш дона 1 2

Бетон В25 м3 76,68 153,36

Жами металл тн 3,763 7,526

Шу жумладан: Арматура А-I тн 0,165 0,330

Арматура А-III тн 3,58 7,16

богловчи сим кг 18,72 37,44

15

0

Диаметри 102 см ли металлкувур колип сифатидаурнатилади ва жойидаколдирилади.

525 525

796

75

0

15882020

40

50

11

0

20

Оралик таянч ригелининг умумий куриниши

40

50

218

11

0

20

20

1152

20

218

1588

20

14

90

20

I

I

о 102

269 269

Оралик таянч замини

154 1542х115

796

15

01

0750

90

14

150/sin 66°

о 102

21070 70

125

390

125 5050 2020

Оралик таянч замини

295

Букилишчизиги

Букилишчизиги

55

137

137

55

3Д δ= 10 мм250 х 200

Симм

етри

яук

и

20

20

1588

20 20

150

1588/21588/2

РЕЖА

Замин

Ригел

295 2х1152х115

6Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

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21

б ий вид армирование ригелапромежуточных опор

Искусственные сооружения -мостРД

Оралик таянч ригелининг умумий куриниши

40

50

Эслатмалар

1. Ригел арматураси 863-сонли намунавий лойихагаасосан кабул килинди.2. Барча улчамлар "см" да берилган.

218

11

0

20

I - I

20

1152

20

90

14

150

2

218

1588

20

14

90

r=30

1578/2

11 о 22 А-III L=1636

1r=7,5

29

4 о 20 А-III L=1715

3

84,2

84,2

59

,5

59,5

106

46,7

46,7

30

,0

30,0

300

86,286,2

14

,2

85,0

2 о 20 А-III L=1721

4

r=30

82,7

58,5

58,5

82,7

208

Сим

мет

рия

уки

200

58,4

58,4

41

,3

41,3

128,6

22,1

126,7

128,6

r=30

81,3

57,5

57,5

81,3

3 о 20 А-III L=1728

5

100

310

70,0

49,5

49,5

70,0

171,3

31

168,5

171,3

226

1152/2

11 о 22 А-III L=1604

6

4 о 12 А-III Lур=1454

7

11 о 22 А-III L=1578

2

1330/2 дан 1578/2 гача

1578/2

90

27,5

25

26,5

2 2 21 1 1 1

5 510 х 14 = 140150

3

II - II

51

45

90

10

7

III - III

IV - IV

7

Нишаблик тури

14 х 10=140

114 х 10 = 1140

15 о 6,5 А-IL=1140

121140

115 о 6,5 А-IL =140

13

14

0

51

8

9

10 10 х 14140

Кр - 1

46

56

83

93

204

о 6,

5 А-

I

L=

27

8

10

46

56

43÷

93

120

о 6,

5 А-

I

Lур

=228

11

33÷

83

10

Белбоглар

20 20

110

Нишабликтури

21

21

21

21

21

21

21

433 3 5 5 54

2 2 2 21 1 1 1

21

21

21

21

21

21

21

3433 3 5 5 54

27,5

25

26

,5

5 510 х 14 = 140150

7 7

6 6 6 6 6 6 6 6 6 6 6

2 2 2 21 1 1 1

21

21

21

21

21

21

21

5 510 х 14 = 140150

55

50

6 6 6 6 6 6 6 6 6 6 63433 34

40

5

11

Элементга пулат сарфи жадвали,кг

Ø Ø Ø Ø Ø Ø Ø

I

I

185 13 х 15 = 195 38 х 15 = 570

218

12/2

1152 / 2

269 525

Кр - 1

6

белбогларораси 15 см

721

10

90

14

5,5

4N3

2N4

2N5

2N5

2N4

4N3 4N

3

2N4

2N5

11

1588 / 2 = 794

5050

100 100

150 150

50

100

150

20 1548 / 2 = 774

20

40

50

90

VI

VI

III

III

II

II

84,2

84,2

59,5

59,5

150

r=30

r=30

r=30

100

50

82,7

58,5

58,5

81,3

57,5

57,5

82,7

81,3

С-23-Рэ пайвандлов усулининг куриниши L арм = 11,7 м

Бугинда арматураларни узаро бириктириш учунпайвандлаш чоки назарда тутилган.

11 о

6 6 6 6 6 6 6 6 6 6 6

7Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .СOOO

"Йўл лойиҳа бюроси"

РазработалГИП

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21

Конструкция армирование промежуточныхопорный ригеля

Искусственные сооружения -мост РД

Ётик таянчнинг олд куриниши

Ётик таянчнинг режаси

о 6,5 А-I L = 170

43

42

32

53

43

42

32

53

6х10=605 5

70

40

50

55

III - III

3

70

40

15

712 55

1 - сон тур

6 45

15

60

7

4 х 15

55

5

6060

15

3

43

63

о 12 А-III L = 212

8

43

63

Элементга пулат сарфи жадвали,кг

Эслатмалар

1. Чизмадаги барча ўлчамлар "см" даберилган.2.Ҳажмлар 1-та Ётиқ таянч учун берилган.3.Ётиқ таянчлар ва ўтиш плиталари(28 та)изоляция юзаси 55,30 м2

α=66°sinα=0,9135

1 1 1 1 1 11

2 2 2 2 2 2

I - I

II

II - II

II

I I

50

20

70

20 %20 %

14

1588

III

III

22 22

22

707

7

1544

20 %20 %

407

0

55

20

5 539

Нишаблик тури125 5

50 х 30 = 1500

2

1

2

3

56х

105

50 х 30 = 15001588

5 5

1о 14 А-III1678

10

40

10

40

2о 18 А-III1578

5

4

5х10

=50

55

60

113х10=1130 55

1140

70

1588

3939

66°

14

39

22

125 5

1

2

8

Армирование лежная опоры

Ҳасанов .Т.МҲасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

РазработалГИП

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21Искусственные сооружения -мост РД

Эслатмалар1. Яхлит темир бетон замин арматураси 863-сонли намунавийлойихани куллаган холда ишлаб чикилди.2. С-2 турида козиклар урни жойида кесилди.3. Барча улчамлар "см" да берилган.4. Яхлит темир бетон замин бетони сульфат тузларига чидамлицемент билан тайёрланиши шарт.5. Яхлит темир бетон замин юзаси 2 марта кайнок битум биланкопланади.6. Сталь 25Г 2С (35ГС); Ст 3сп27. Оралиқ таянч яхлит темир бетон замини ости бетон таглиги h=10

см 16,28 х 3,9 х 0,1 = 6,358.Ҳажмлар 1 дона яхлит темир бетон замини учун берилган.

90

21070 70

Кр - 1

С- 1

3`

3

I - I

50 125 125 50

350

90

60

150

10

С-1

62 х 10 = 620 33

626

99

66 208 66

102

102

99

70

11

2

о 90

11,8

3Д улчамлари "мм" да берилган

3`

3

10

140

150

55

II II

С-2

100

90

Кр - 1Кр - 1

90

269 525

154115 295

1588

I

II - II C-1

103 х 15 = 15455 16,5 16,540

Букилишчизиги

3Д δ= 10 мм250 х 200

8

6

5Букилишчизиги

50

50

125

125

55

34 х

10

= 34

0

350

V

220

200

10

10

40

50 50150

40

ГОСТ 14098-85

50 50150

250

50

100

200

220

200

10

10

40

50 50100

40

В - В А - А

3Д -1

50

ВВА

А

12 12

о12

10

V - Бугин

Козикларнинг сукулиш кисми

35

7 7

35

25 55

27,5 27,5

6 х

65,8

5,8

15

5

60º 60º

6 х

65,8

5,8

15

5

5

55

IIIIII

III - III

Элементга пулат сарфи жадвали,кг

Ø Ø Ø Ø Ø Ø

1 дона заминга арматура хусусиятлари жадвали

Элемент маркаси Урни Куриниши ёки киркимиАрматурадиаметри

мм

Узунлиги см

Сонидона

Умумийузунлиги

(м)

Огирлиги кг.

1 пм.огирлиги Хаммаси

С-1 (1 дона)1 1578 о 12 А-III 1578 63 994,14 0,888 882,8

2 626 о 12 А-III 626 106 663,56 0,888 589,24

Кр-1 (3 дона)

3 200 о 32 А-III 200 36 72 6,31 454,32

3` 250 о 32 А-III 260 36 93,6 6,31 590,6

4 о 10 А-I 295 27 79,65 0,616 49,06

С-2 (бир дона)

5 о 12 А-III 1581 35 553,35 0,888 491,37

6 о 12 А-III 343 106 363,58 0,888 322,86

Айрим чивиклар 7 о 6,5 А-I Lур=236 189 446,04 0,26 115,97

Монтажарматураси

8 340 о 18 А-III 340 9 30,6 2,0 61,2

9 616 о 18 А-III 616 9 55,44 2,0 110,88

10 140 о 18 А-III 140 27 37,8 2,0 75,6

12,5

5

1,516,5 16,5

1,5103х15=1545

34х1

0=34

01,5

1,5

6

400 ÷ 870

360 ÷ 720

360 ÷

780

400 ÷

820115

525

137

137

55

I

Маркаси васони

Ашёлар Улчамларимм

Калинли-ги мм

1 дона3Д учун

сони

1 донадеталь

огирлигикг

Огирлиги кг1 та 3Д

учун1 дона

заминга

3 ДПулатварак

40х40 10 4 0,133 0,532 6,38

200х250 10 1 4,15 4,15 49,80

Арм.12А-III 220 12 4 0,195 0,78 9,36

Кр - 1

90

269

115 115 115 115

С- 1

295154

2

2

6

90

Кр - 1

58

х 15

= 1

20125

250

200

3

3`

4

2020

40 5

40

40

2020

9Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

Проверил

Cтадия Лист Листов

21Искусственные сооружения -мост

ромежуточное основание монолитноежеле обетонное армирование пола

РД

1. Устунча арматура жойлаштириш инв. N863 намунавий лойихагаасосан кабул килинди.

2. Чизмада барча улчамлар "см"да берилган.

3. Устун бетонини жойида куйиш учун колип сифатида d=1020 ммли, δ мм.ли металл кувурлар урнатилади ва бу кувурлар доимийколдирилади.

Бир устунга ишлатиладиган арматура руйхати

Элемент маркаси Урни Эскиз ёки кесимиАрматурадиаметри

мм

Узунлигисм Сони

Умумийузунлиги

(м)

Огирлиги кг.

1 п.м.огирлиги Хаммаси

Алохидаарматуралар

1 о32 А-III 871 24 209,04 6,31 1319

2 о 10 А-I 310 52 161,2 0,616 99,3

3 о 28 А-III 290 6 17,4 4,83 84,04

4 о 32 А-I 205 4 8,2 6,31 51,74

5 о 20 А-I 30 10 3,0 2,466 7,398

6 о 18 А-III 90 10 9,0 2,0 18,0

Устуннинг хусусиятлари

Элемент маркаси Бетонмаркаси Бетон хажми Огирлиги (тн) Таркиб пулат

(кг/м3)

УстунВ 25

6,25 15,625 254W - 4

F 200

93,6

87,2

15 65

R

1о32 A-III

о 100

1,6

5

45

43,450

2

11,811,8

I - I

белбог2

монтажарматураси

6

о 100

II - II

мустахкамлик халкаси3

796

о 100

90 55

1

Устуннинг уки буйлаб кесими

II

51 х

15

= 76

515,5

15,5

II

I I

5

871

5 о 20 A- I

L = 30

5 о 20 A- IL = 30

5йуналтирувчиарматура

75

о 32 А-III

о 10 А-Iбелбоглар хар 15 см.да

2 о 28 А-IIIмустахкамлик халкаси3

3,23,2

65

15

R=7,5

о 32 А-I L = 205

4

Элементга пулат сарфи жадвали,кг

1. Монтаж арматураси жадвалда курсатилган.( Ø 18 А-III 18,0 кг ).

Кутаришилгаги

750

10Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

Проверил

Cтадия Лист Листов

21

Армирование лежная опоры

Искусственные сооружения -мостРД

т/р НомланишиУлч.бирл.

Сони

Ораликтаянч учун Куприкка

1

Темир-бетон заминнинг ён томон атрофдеворларини кайнок битум билан 2марта коплаш

м2 101,02 202,04

Эслатмалар1. Химоя варианти КМК 2.03.11.96 2.30 банди буйича ишлабчикилди.2. Улчамлар "см" да берилган.3. Яхлит темир-бетон заминнинг ён томон атроф деворлар 2 мартакайнок битум билан копланади.

90

60

150

1

350/sin 66°

210/sin 66° 70/sin 66°70/sin 66°

11Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

ПроверилИзоляция житкий битумом

Cтадия Лист Листов

21Искусственные сооружения -мост

РД

Чизмада улчамлар см.да берилган

100

БК ва ПТМ БК ва катновяхлитлаш чоки

Деформациячоки

60

1533/2

181,2

Куприк ук чизиги

Деформацияланиш чоки буйича иш хажмлари

Ишларнинг номланиши№Ўлч. бирл.

Киргоктаянчда Куприкка

1Деформацияланиш чокининг узунлиги

19,85м 39,70

2Ёпма чок металл вараги

186,99кг 373,98 200хlх6мм l=19,85 м 1м=9,42 кг

3Металл ковурга

16,28кг100х50х6мм 1м да 4 донадан 1м=2,36кг

4Чок усти яхлит т/б плитаси

0,75м³ Бетон В25 (15,33-1,655х2)х1,6х0,04

32,56

1,50

5Ёпма чок арматура тури

89,47∅=6,5, яч. 100х100мм 178,94кг

6 Полиизол 1,6х15,33х1,1 нахлест х2 53,96 107,92м²

7 Битум мастикаси, g=1,6т/м³ 5,39 10,78

8 Текисловчи катлам цементли коришма

кг1м2 га 0,8 кг

19,45 38,90Полиизолдан 2 кават компенсатор м² 0,49х19,85х2

9

15,33х 1,6 х 0,030,74 1,48м³

14х1+13х0,45

10 Пиёдалар йулаги ости яхлит бетони 0,043 0,086м³ h=4 см 0,6х1,812х0,04

т.б. таянч

т.б. плита

45

10

0

14

00

/2

Киргок таянч устидаги деформацияланиш чоки

Йул тушамасиУтиш плитаси

Оралик курилмаси

№2№3

№4 №5

№9

№7 №6

10 10

20 33

5

60 100

10

1. Плита ва чок устини тозалаш, текисловчи катламни куриш.2. Ковургали ёпма чок металл варакларини урнатиш (2,3).3. Металл варакларни битумли мастика билан коплаш(7).4. Полиизол тушаш - 2кават (6)5. Асосий катнов кисми нам тусгич катламини тушаш.6. Арматура турини урнатиш (5) ва ёпма чок яхлит бетон плитасини тушаш(4).7. Асосий катнов кисми химоя бетон катламини тушаш.8. Ёпма чок яхлит т/б плитасини хозирлаш ва катнов кисми химоя бетони катламини хозирлаш ишлари деформацияланиш чокида бир вактда бажарилади.

Деформацияланиш чокини куриш технологияси

3 х 20

2

50

,6

20

50

,6

0,6

20

5

100

10

3

А

А

20

Асфальтобетон, б=7см Чок усти яхлит т/б плитаси В 25 б=4см, арм. тури ∅ 6,5мм, яч.10х10смНам тусгич катлами, б=1смПолиизолПулат варакТекисловчи катлам М200 h= 3 см.

Асфальтобетон, б=7см Химоя бетон катлами, б=4см В 25 арм. тури ∅ 6,5мм, яч.20х20смНам тусгич катлами, б=1см

Оралик курилмаси

1

Текисловчи катлам М200h= 3 см.

Бир томон деформация чоки арматура тури

В

В

А - А

20

В - В

1170,6

/2

16

5,5

α=66°sinα=0,9135

20 20

0,6

М 200

Пиёдалар йулаги устидаги деформацияланиш чоки

Нам тусгич катлами, б=1смНам тусгич катлами, б=1смПолиизолПулат варак

Текисловчи бетон катлами h=3см М200

№2№3

№10

№9

№7 №6

10 10

20 33

50

60

Пиёдалар йулаги ости ях.бет. h=4 смПиёдалар йулаги блоки, h=8смКум цемент коришмаси, h=3смНам тусгич катлами, б=1см

Пиёдалар йулаги блоки, h=8смКум цемент коришмаси, h=3см

Текисловчи бетон, h=3см М200

1

Асфальтобетон, б=7см

Йул тушамаси

ПП 4.99.30-18

ПП 4.99.30-18

Утиш плитаси Оралик курилмаси

ПП 4.99.30-18

ПП 4.99.30-18

170

1110

110 х 10 = 1100 55

12,5

13х

10=

130

12,5

155

12,5

Оралик курилмаси

12Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

Проверил

Cтадия Лист Листов

21

Берегавой промежуточныхдеформационных

швов

Искусственные сооружения -мостРД

1.Чизмада улчамлар см.да берилган

100

БК ва ПТМ БК ва катновяхлитлаш чоки

Деформациячоки

100

Куприк ук чизиги

14

00

/2

1. Плита ва чок устини тозалаш, текисловчи катламни куриш.2. Ковургали ёпма чок металл варакларини урнатиш (2,3).3. Металл варакларни битумли мастика билан коплаш(7).4. Полиизол тушаш - 2кават (6)5. Асосий катнов кисми нам тусгич катламини тушаш.6. Арматура турини урнатиш (5) ва ёпма чок яхлит бетон плитасини тушаш(4).7. Асосий катнов кисми химоя бетон катламини тушаш.8. Ёпма чок яхлит т/б плитасини хозирлаш ва катнов кисми химоя бетони катламини хозирлаш ишлари деформацияланиш чокида бир вактда бажарилади.

Деформацияланиш чокини куриш технологияси

3 х 20

2

50

,6

20

50

,60,6

20

5

100

10

3

А

А

20

Бир томон деформация чоки арматура тури

В

В

А - А

20

В - В

16

5,5

20 20

0,6

Оралик таянч устидаги деформацияланиш чоки

Оралик курилмаси№2№3

№4 №5

№9

№7 №6

10 10

20 33

5

100

10

Асфальтобетон, б=7см Химоя бетон катлами, б=4см В 25 арм. тури ∅ 6,5мм, яч.20х20смНам тусгич катлами, б=1смТекисловчи катлам, h=3см М200 Оралик курилмаси

100

Оралик курилмаси

10

Асфальтобетон, б=7см Химоя бетон катлами, б=4см В 25 арм. тури ∅ 6,5мм, яч.10х10смНам тусгич катлами, б=1смТекисловчи катлам, h=3см М200 Оралик курилмаси

Деформацияланиш чоки буйича иш хажмлари

Ишларнинг номланиши№Улч. бирл.

Ораликтаянчда Куприкка

1Деформацияланиш чокининг узунлиги м

2Ёпма чок металл вараги кг

3Металл ковурга кг100х50х6мм 1м да 4 донадан 1м=2,36кг

4Чок усти яхлит т/б плитаси

0,96м³ 1,92

5Ёпма чок арматура тури

113,42∅=6,5, яч. 100х100мм 226,84кг

6 67,45 134,90м²

7 Битум мастикаси, g=1,6т/м³

8 Текисловчи катлам бетони

кг1м2 га 0,8 кг

Полиизолдан 2 кават компенсатор м² 9

0,92 1,84м³

14х1+13х0,45

Полиизол 2,0х15,33х1,1 нахлест х2

15,33х2,0х0,03

0,49х19,85х2

19,85 39,70

16,28 32,56

Бетон В25 (15,33-1,655х2)х2,0х0,04

5,39 10,78

19,45 38,90

Бир томон деформация чоки арматура тури

213

55

12,5

17х

10=

170

12,5

195

12,5

1533/2

181,2

1170,6

/2

т.б. таянч

т.б. плита

45

10

0

186,99 373,98 200хlх6мм l=19,85 м 1м=9,42 кг

α=66°sinα=0,9135

1110

110 х 10 = 1100

13Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

Проверил

Cтадия Лист Листов

21

Конструкция промежуточныхдеформационных

швов

Искусственные сооружения -мостРД

I-I

Тешик 60

7

300

223

46

31

90

80

500

4000/2

II

С2

С1

7

С1

940

К2Юкоридаги арматуралар режаси

270

220

25

25

6

3

530

3960/2

5х150=75012х100=1200

916

148

240

140

240

148

1

60 170 7х250

2-вазият

100

6 А-I 100

4-вазият

100

12А-III

100

926

940

III-IIТешик 60

300

35

30

80

55

100

Очик жойига

45 453х120 3х120140

20 20950

С1

К1

С2

IС2 тури

3960/2

170

60

7х25

0

4

153 240 140 240 153

3

R=40

180

20 А-I 71522

300

300

Г=40

Г=40

60

150

Вазият

Бетон тоифаси В 27,5 ГОСТ 26633-91Совукка чидамлилиги F-200

Сув утказмаслилиги W-6

Бшлангич мустахкамлилиги 80%Бетон хажми 1.13 м3Огирлиги 2.8 тнАрматура ГОСТ 5181-82 буйича кабул килинганА-III тоифали арматура пулати маркаси 25Г2С (35ГС)А-I тоифали арматура пулати маркаси

Сим

мет

рия

уки

К - 2

С1 тури

2

7

916

II

Арматура терилмаси

Турлар вакаркаслар № №

Вазият

№ №

Арматуратоифаси вакундалангкесими улч.

1 тачивикнинг узунлиги мм

Махсулотга

Сони(дона)

Огирлиги Улчами бирлиги

Жами

С1(1дона)

С2(1дона)

К2(4дона)

Халка(2дона)

1

2

3

4

3

5

6

7

6,5 А-I

6,5 А-I

22 А-III

12 А-III

22 А-III

12 А-I

6,5 А-I

20 А-I

3960

1116

3960

1126

3960

3960

270

1522

4

17

4

17

4

4

140

2

1,03

0,29

11.8

1.0

11.80

3.52

0,07

3.76

4.93

47.2

17.0

47.2

14.1

9,8

7.5

4,12

Бирта элементга пулат сарфи, кг

Элементмаркаси

Арматура махсулотлари

Арматура тоифаси

А-I А-III

ГОСТ 5181-82

Хам-маси

ПСЧ6,5 12 20 Жами 22 12 Жами

18,85 14.1 7.5 40,45 94.4 17.0 111.4 152,61

Богловчи сим - 0.5% - 0.8кг

Ø Ø Ø Ø Ø

14Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .СOOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

Проверил

Cтадия Лист Листов

21

Армирование переходныхплит

Искусственные сооружения -мостРД

1.23 3.24

НомиТаъмирлаш ишлари Тезлик чекланганлиги

5.31.1

белги

5.32.2

Номи

Айланиб утиш схемасиАйланиш йуналиши

сонисони4 6

2

3

3

белги

1. Йул ишлари бажариладиган жойда ва айланиб утиш жойларида харакатни ташкил килиш учун вактинчалик йул белгиларидан фойдаланишда"Йул белгилари" ГОСТ 10807 Н га амал килган холда урнатилади.2. Йул белгилари ва чегаралар иш бошлашдан олдин урнатилади. Аввало йул белгилари, кейин эса чегара тусиклар урнатилади.3. Йул белгилари иш бажариладиган жойдан анчагина узокликда харакат кисмининг транспорт келадиган томонига урнатилади.4. Коидага асосан вактинчалик йул белгилари кучма устунчаларга остки чеккаси ёки кушимча жадвалчаси ер сатхидан ёки копламасидан энг камида10 см. баландликда ва коплама сатхига нисбатан энг камида 7 градус бурчак остида урнатилиши керак.

3.1 Кириш такикланган 2 5.32.3 Айланиш йуналиши

Бурилишнинг йуналиши1.31.2

1.31.3

1

Бурилишнинг йуналиши 1

150

350

3.24

Эслатма: Ушбу варака ВСН 179-73 га МШН 24-2005 асосан ишлаб чикилган

3.24

5050

250

2

2

200

30

300

50

70

3.24

100

5.31.1

1.23

1.23

5.32.3

5.32.2

Автомобил йулининг таъмирланаётган кисмида катнов кисмидан харакатни тулик тухтатиб, бошкаайланиб утиш йулидан харакатни ташкил килишда йул белгиларини жойлаштириш

СХЕМАСИ

Йулнинг таъмирланаётганкисми

5.32.2

5.32.2

5.32.3

5.31.1

1.31.2

1.31.33.1

3.1

150

250

250

3.24

50

50

3030

3.24

3.24

50

70

350

300

200

100

1.23

1.23

5.32.3

15Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .СOOO

"Йўл лойиҳа бюроси"

РазработалГИП

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ПроверилОбустройсва безопастност движения

Cтадия Лист Листов

21Искусственные сооружения -мост

РД

Ўтиш плитасининг таянч орқа деворига бирикиш қисми

ПП4.99.30-18

3 кават рубероиднибитум билан ёпиштирибтайёрланган таглик

Таянч орқа девори

515

Таянч

ПН 18.99.78

Парапет арматурасиIII

5

125

5 х 235

1

2

2

1

10 10

20

55

5 х

20120

III

III - III

Очкич

Очқ

ичда

ги а

рмат

ура

чиқи

қлар

и

Иш хажмлари жадвали

т/р Ишнинг номи Улч.бирл. Сони

1 Йигма т/б утиш плитаси ПП4.99.30-18 дона 28

Бетон В 27,5 м3 31,64

2 Утиш плиталарини яхлитлаш бетони В 27,5 м3 1,42

3 Ётиқ таянч остига ҚША дан тўшама м3 17,14

4 Яхлит темир бетондан ётик таянч дона 2

Бетон В 25 м3 12,76

Металл - Арматура А-I т 0,167

Металл - Арматура А-III т 0,810

5 Таянч остига бетон таглик В 15 (16,31х1,9х0,1х2) м3 6,20

6 Яхлит темир бетондан парапет дона 4

Бетон В 22,5 м3 1,2

Металл - Арматура А-III/ А- I т 0,024/0,007

7 Йул тушамаси

8Майда донали асфальтобетон h = 7 см(14-(0,64х2))х10,23+(21,77х0,75х2) м2 162,78

9 Текисловчи катлам h ур= 15 см (4-0,6)х15,33х2 м2/тн 104,24/36,16

10Ётиқ таянч ва ўтиш плиталари ёнини 2 марта битумбилан бўяш м2 55,30

11Ўтиш плиталари остига ҚШАдан 10см тўшама15,76х3,1х2х0,1 м3 9,77

12Қиргок таянчлар, ўтиш плитаси ва ётиқ таянчларўрнини қазиш м3 288,11

13Қиргок таянчлар, ўтиш плитаси ва ётиқ таянчларорқасини ҚША билан тўлғазиш м3 136,12

ЖамиБетон м3 53,22

Шу жумладан йиғма темир бетон м3 31,64

Яхлит темир бетон таркибидаги металл м3/т 53,22/1,01

Арматура А-I т 0,174

Арматура А-III т 0,834

1. Чизмани чизишда 3.503 - 41 намунавий лойихадан фойдаланилди.2. Чизмада барча улчамлар "см" да берилган.

35

10

15

20

Ўтиш плитасиПП 4 - 99.30.18

II - II

1:1

7 см майда донали а/б қоплама

Яхлит т/б.данётик таянч

1150/2 Симм

етри

яук

и

Ўртача 15 см текисловчикатламЎтиш плиталари ПП4.99.30-18

40

22

30

50

40

7

Парапет арматурасининг хусусиятлар жадвали

т/рАрматурадиаметрива синфи

СониУмумийузунлиги

м

Умумийогирлиги

кг

БетонМ-300 м3

1 о 12 А - III 6 6,6 5,86

0,32 о 6,5А - I 6 6,9 1,79

Хаммаси 7,65

I-I Ўтиш плитаси устидаги йўл тўшамаси конструкцияси

400

II

II

22

30

50

40

Иссик асфальтобетон катлами h=7 см Iмаркали Б типли ГОСТ 9128-97 га асосанТекисловчи катлам h уртача = 15 см

Утиш плитаси ПП4.99.30-18

КША дантушама

ПН-18.99.78

15

30

7

10 см КША дантушама

100

3 БДО-3.83

Цементлиқоришма М 200

Яхлит т/б.данётиқ таянч

30

Ўтиш плитасининг ётиқ таянчга бирикиш қисми

50

1

14

40/sin66°40/sin66°10/sin66° 10/sin66°

70/sin66°190/sin66°

150/sin66°20/sin66°20/sin66°

1450/2 sin66°10/sin66°

40/sin66°

40/sin66°

190/sin66°

10/sin66° 10/sin66°90/sin66°40/sin66°

1450/sin 66°

98/sin 66°12 х (98+2)/sin 66°

Ўтиш плитасини ётиқ таянчга бириктириш режаси

Яхлит т/б.данётиқ таянч

98/sin 66°

70

ПП-4.99.30-18

16Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

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Конструкция сопряжениямоста с насыпью

Искусственные сооружения -мост РД

Кўприкни меъморий жиҳозлаш Парапет тахтасини бўяш

Панжараларни бўяш

I-даражали йўл тўсиқларни бўяш

Эслатма1. Кўприк жиҳозларининг чизмада бўялмай қолган жойлар оқ рангда бўялиши керак.

2. Кўприкнинг тикка қисмларини белгилаш, уларнингжойлашган ўрнига қараб, қуйидагича бўлади.

Ғилдирак қайтаргични бўяш

300045°

750

45

45

80

80

100

500 500 500

3БДО-3,83

750

80

45

17Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .СOOO

"Йўл лойиҳа бюроси"

РазработалГИП

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Благаустройство моста

Искусственные сооружения -мостРД

Кўндаланг қисми ёғочдан бўлган тўсиқ

45°

1. Тўсувчи манбалар қурилиш жойларига ҳаракат хавфсизлигини таъмин-

лашда зарурий қисмлардан ҳисобланади.

2. Тўсиқлар ёруғлик тарқатувчи фонарларни осишга мўлжалланган мосла-

маларга эга бўлиши керак.

3. Кўчириб ўрнатилувчи тўсиқлар одатда йўлни бутунлай ёки ярмини ёпиш учун иш бораётган жойдан 5-10 м узоқликда, йўлнинг ўтиш қисмига кўн-

даланг қўйилади.

4. Бу варақ VSN - 179-73 асосида ишланган.

Эслатма

Эслатма

Кўндаланг қисмининг олд томони навбат биланкелувчи қизил ва оқ рангга бўялади. Буёқлар250 мм кенгликда 45 бурчак остида бўлиши керак.Орқа томони эса кулранг бўёқ билан бўялади.

1. Кўндаланг қисми (ёғоч)2. Тик қисми (ёғоч)3. Таянч (темир-бетон)

500

500

1000

250 250

250 250 2

50

1500

3

1

Енгиллаштирилган панжарали тўсиқ

100

50

1000

150

150

850 400

150

1. Кўндаланг қисми 60 х 30 мм

2. Тик қисми 50х 50 мм

3. Панжара 40 х 20 мм

4. Темирдан тайёрланган бурчаклар 6 х 30 х 40 мм (қора жойлари қизил билан оқ жойлари сариқ билан бўялади)

5. Ёғочдан қилинган чиллик 50 х 50 мм

370

220

220

40

4 5

500

60

350

100 70

1

40

50

50

50

500

2

18

Деревянный ограждения

Ҳасанов .Т.МҲасанов .Т.Х

Исмаилова .СOOO

"Йўл лойиҳа бюроси"

РазработалГИП

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21

Искусственные сооружения -мостРД

4. Панжара тўсиқларини ўрнатиш.

2. Таянч сарровларни куйиш

3. Утиш плиталари ва оралик курилма плиталарини урнатиш.

1. Т/б қозиқлар ўрни пармаланиб қозиқлар қоқилади.

5. Бетон бутунлай қуригач, уларнинг юзаси 2 марта битум биланқопланади.

6. Таянчлар орқаси КША билан кўмилади.

50

14

ПН-18.99.78

ПН-18.99.78ПН-18.99.78

10

ПН -12.99.63

50

14

ПН-18.99.78ПН-18.99.78

ПН-18.99.78

10

Копёр

3. Таянчлар ости қазилиб, улар остига 10 см бетон тўшамахозирланади.

4. Қозиқлар боши кесилиб, арматура тўрлари ўрнатилади ва қирғоқтаянчлари бетони қуйилади.

Таянчларни куришда бажариладиган ишлар

1. Қозиқларни сирти 2 марта қайнок битум билан қопланади.

2. Қозиқлар ўрни пармаланиб, қозиқлар ўрнатилади ва қоқилади.

19Ҳасанов .Т.М

Ҳасанов .Т.Х

Исмаилова .СOOO

"Йўл лойиҳа бюроси"

РазработалГИП

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21

План стройплощодки и технология моста

Искусственные сооружения -мост РД

335 400

Белгилар

Масофалар

РЕЖА

I

I

Утиш плитаси

СМ 14-35Т3

400

5 78

5531Купр

икбо

ши

Купр

икох

ири

773,50

772,15

758,23

Чакик тошдантушама h=30 см

772

771

770

769

768

767

766

765

764

763

774

773

775

762

С -2С - 1

5 51800 18001800

754,51

2-со

нта

янч

772,57

50

14

80/sin66°

4-со

нта

янч

ПН-18.99.78

СМ 14-35Т3

150/sin66°

1-со

нта

янч

1 : 1

760

761

796

150

10

750

СМ 8 - 35Т3

763,51

762,01

90

14

350

125 125 50 50 20 20

СМ 8 - 35 Т3

754,65

150/sin 66°

о 102

125/sin 66°

СМ 8 - 35Т3

763,65

762,15

771,61

125/sin 66° 50/sin 66°50/sin 66°

Бетон таглик

II

II

Оралик таянч замини

Оралик таянч замини

Оралик таянч устуни

Оралик таянч ригели

α=66°sinα=0,9135

Фасад(Белгилар куприк уки буйича берилган)

131

289

33 125

30

7941

20

7886 20

70

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

131

289

33125

30

79

41

20

78 86

20

70

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

150/sin 66°

1588

Оралик таянч ригели

1588

20

350

125 125 50 50 20 20

СМ 8 - 35 Т3

Оралик таянч замини

20

771,47

ПН-18.99.78ПН-18.99.78

Бойсун

773,76

758,65

Суянчик (зуб)

10

100

771,73

796

90

14

773,62 773,48773,34

тем

пера

тура

чок

и

Яхлит мустахкамлашбетони охири

тем

пера

тура

чок

и

Денов

температура чоки

температура чоки

температура чоки

температура чоки

температура чоки

температура чоки

тем

пера

тура

чок

и

Яхл

ит м

уста

хкам

лаш

бето

ни о

хири

Яхлит мустахкамлашбетони охири

Яхлит мустахкамлашбетони охири

759

758

20/sin66° 20/sin66°

80/sin66°

1 : 1

Суянчик (зуб)

150/sin 66°

о 102

3-со

нта

янч

0,4

10,0

Супес корчневыепросадочные

Насыпной слой

772

771

770

769

768

767

766

765

764

763

774

773

775

762

760

761

759

758

3,0

9,0

757

756

Гравийно - галечник из обломковосадочно-метаморфических иизверженных пород ссуглинистым заполнениеммаловлажный.

757

756

754

Супес корчневыепросадочные

Насыпной слой

Гравийно - галечник из обломковосадочно-метаморфических иизверженных пород ссуглинистым заполнениеммаловлажный.

0,4

10,0

3,0

9,0

755

764,2

12

765,6

35

1,37

763,9

45

1,87

764,7

84

9,66

765,1

49

0,44

765,5

62

0,4

766,1

38

2,6

767,0

27

1,62

767,8

77

0,38

769,0

52

0,71

764,2

48

7,17

764,3

70

1,48

764,3

80

0,77

764,4

48

5,21

764,5

34

0,8

768,2

66

2,71

768,6

33

1,30

772

771

770

769

768

767

766

765

764

763

774

773

775

772,29

771,87

772

771

770

769

768

767

766

765

764

763

774

773

775

Эслатмалар1. Температура чоки узунлиги 123,4 м. Чокларга эни 100ммкалинлиги 20 мм доскадан 0,25 м3 урнатилади ва 0,22 тнбитум мастикаси билан тулдирилади.2. Нишабликлар копламасини оралик курилмасиурнатилмасдан олдин куриб битирилади.3. Чизмада барча улчамлар "см" да берилган, баландликбелгилари "м" да берилган.

Суянчик

36

29

1 пм 0,23 м3

50

21

50

14

II - II

I - I

869100

763,46

50

883

869 100

50

883

Яхлит бетондан кобикдиаметри 6,5 А-I

20х20 см тур биланh=14 см

ШКА дантушама h=10 см

763,04

1234

1234

Суянчик (зуб)

530

1592

I

I

I

I

Яхлит бетондан кобикдиаметри 6,5 А-I

20х20 см тур биланh=14 см

Яхлит бетондан кобикдиаметри 6,5 А-I

20х20 см тур биланh=14 см

1588

530

1592

Яхлит бетондан кобикдиаметри 6,5 А-I

20х20 см тур биланh=14 см

Суянчик (зуб)

Яхлит бетондан кобикдиаметри 6,5 А-I

20х20 см тур биланh=14 см

II

II

I IIIII

II

II

66°

1781 1805 1781

20

крипление берега

Ҳасанов .Т.МҲасанов .Т.Х

Исмаилова .С OOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

Проверил

Cтадия Лист Листов

21Искусственные сооружения -мост РД

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

ПП-4.99.30.18

температура чоки

температура чоки

температура чоки

тем

пера

тура

чок

и

Яхлит мустахкамлашбетони охири

Яхлит мустахкамлашбетони охири

Чизмада барча ўлчамлар см да берилган.

2 - сектор арматура тўри

7

6

5

4

8

26 х 20 = 520

26 х 20 = 52010

78 х

20

= 15

60

= 1

60

8 х 20

12

11

10

= 1

60

8 х 20

10

4х20

10

100

10

4х20

10

100

4 - сектор арматура тўри

19

19

1 - сектор

2 - сектор

3 - сектор

3 - сектор

2 - сектор

1 - сектор

4 - сектор

530

530

1592

1588

1592

25 х 20 = 500

15

60 х

20

= 12

00

1515

530

1234

1 - сектор арматура тўри

1

2

17

17

3 - сектор арматура тўри

15

60 х 20 = 12001234

1717

38 х

20

= 76

0794

17

17

9

10

15

60 х 20 = 12001234

1717

15

1234

60 х

20

= 12

0017

17

3

13

14

о 6,5 А-I L = 184

14

54,5

24,5

42,5

40,5

Суянчик (зуб) арматураси

Ўрамлар ораси 15см

22

36

50

14

29

50

21

772

771

770

769

768

767

766

765

764

763

774

773

775

772,29

I - I

869100

763,46

50

883

1234

I I

I

I

I

I

21

Армированная сетка береговойконуса

Ҳасанов .Т.МҲасанов .Т.Х

Исмаилова .СOOO

"Йўл лойиҳа бюроси"

РазработалГИП

Должн. Фамилия Подпись Дата

Проверил

Чертёж армирование берегавой конуса Cтадия Лист Листов

21РД

January 2021 Page 6 of 6

Appendix B: Tender Documents Review Report

TA-9487 Surkhandarya Regional Road Project

Bridges Tender Documents Review – 17th November 2020

Executive Summary

This section of the Review Report provides detailed findings on the Bridge Design Review as part of the Due Diligence undertaken by

Development Business UK (DBUK) on the Surkhandarya Regional Road Project upgrade in Uzbekistan.

This report constitutes an update of the Interim Report and discusses more in depth the findings of the design review aligned with more detailed

information received. Of particular importance, the report raised queries on the design of substructures and foundations. Without receiving

clarification on the issues raised, it would not be prudent to reach any conclusion on the adequacy of the design. However, this does not imply

that alarming issues have been raised.

Finally, it should be borne in mind that this report has been written amid the Global Health Crisis caused by the Covid-19 Pandemic. This report

was written prior to undertaking any site visit. It should therefore be read in the context of these circumstances.

Introduction

This report covers the review of the proposed Tender Documents for the Bridges on the TA-9487 Surkhandarya Regional Road Project.

Documents reviewed are:

A. Drawings

B. Tender Documents

Specifications

Bills of Quantities

A. Drawings Review

The design review of the provided Bridges Tender Drawings revealed the following observations:

Notes:

i. All drawings have been provided either in the Uzbek language or in Russian. No English translation was made available.

ii. The review does not cover the reinforcement drawings and other details.

Comments provided herewith are new comments and do not repeat comments made previously as part of the Interim report.

Lot/ Package 1 drawings: (4 bridges)

The folder contains different project disciplines drawings such as Bridges, Lighting, Layouts, Road vertical and horizontal alignments etc.

The Bridges folder contains 4 different folders, each folder represents a bridge. All drawings are in PDF.

Beside the drawings, each folder contains some of the following A4 documents:

- BoQ

- List of drawings

- Piles installation sheet

- Explanatory notes

- Tables

The common observations for all bridges are as follows:

1- The overall structural form and arrangement for the bridges superstructure remain the same as previously received in August 2020.

2- The vehicular barrier details have changed. August 2020 drawings showed concrete barrier for Lot/ Package 1 while the current drawings

replaced it by steel elements.

3- The construction sequence remained the same as per August 2020 drawings.

4- The bridges fixity in the longitudinal and transverse directions are not shown.

Old Concrete Barrier – August 2020 New Steel Barrier – November 2020

Each bridge individual comments and observations are as follows: Book_2 Overpass at a traffic intersection pipe type PK 71 + 55.50

1- The start and end abutment supports and foundation are different from the arrangement submitted in August 2020.

2- The intermediate supports and foundation are different from the arrangement submitted in August 2020.

Observations: - The picture shows the new

arrangement of the abutments and intermediate supports.

- The drawings indicate that the posts between the capping beam and the pile caps are precast.

- The precast posts have a cross section of 350x350mm with an average of 7.5m height. The posts appear to be slender. Comments:

- How have buckling checks been undertaken? How was the effective length been determined?

- What is the design philosophy to accommodate the bridge horizontal forces (longitudinal and transverse)? How will these loads reach the foundations?

Observation: The posts are connected to the pile cap through a socket (male and female connection). There is no indication of reinforcement connection. Comments: What is the design intent? Is it full fixity with bending moment connection? If so, how would it be achieved with the current arrangement? The main concern is the stability of the structure.

Book_3 Bridge on PC 88 + 80 Tudasoy 1 and Book_4 Bridge on PC 103 + 42.57 Tudasoy 2

Both Book 3 and Book 4 share the same comments and observations.

1- The start and end abutment supports are different from the arrangement submitted in August 2020.

2- The intermediate supports are different from the arrangement submitted in August 2020.

Observations: - The picture shows the new

arrangement of the abutments and intermediate supports.

- The drawings indicate that the posts below the capping beams are precast.

- The precast posts have a cross section of 350x350mm.

- The total height of the posts is 8m at the start and end abutments and 12m at the intermediate supports.

- There is no pile cap or any type of foundation below the posts. Comments:

- What is the design philosophy of the foundation?. How will the vertical and horizontal loads be supported by the soil?

- How have buckling checks been undertaken? How was the effective length been determined?

- The abutments posts are fully embedded in the soil. The intermediate support posts are mostly exposed with only 2 to 3m of the posts underground. Is this length enough to provide fixity for horizontal forces and to generate enough friction with the soil to transfer the loads? What is the design

philosophy for the soil structure interaction?

Book_8 Bridge on PC 266 + 33.05 Padangsai

1- The start and end abutment supports are different from the arrangement submitted in August 2020.

2- The intermediate supports are different from the arrangement submitted in August 2020.

- The picture shows the new arrangement of the abutments and intermediate supports.

Observation: - The current supports show a middle

pier with a cantilevered capping beam on both sides. Comment:

- What is design intent and philosophy behind that choice especially that the pile cap occupies the full width of the bridge (meaning the is no obstacle below the bridge)?

Lot/ Package 2 drawings: (3 Bridges)

The folder contains different project disciplines drawings such as Bridges, Lighting, Layouts, Road vertical and horizontal alignments etc.

The Bridges folder contains 3 different folders, each folder represents a bridge. All drawings are in PDF.

The folders only contain drawings. No additional files or supporting documents as submitted for Lot/ Package 1 are provided.

The common observations for all bridges are as follows:

1- The overall structural form and arrangement for the bridges superstructure remained the same as received earlier in August 2020.

2- The vehicular barrier details remained the same as August 2020 submission. The drawings still show the concrete barrier.

3- The construction sequence remained the same as per August 2020 drawings.

4- The bridges fixity locations are not shown.

5- The drawings have the same comments and observations noted in August 2020, nothing changed.

- The standard arrangement for Lot/ Package 2.

- The standard arrangement for Lot/ Package 2.

Lot/ Package 3 drawings:

The folder contains different project disciplines drawings such as Bridges, Lighting, Layouts, Road vertical and horizontal alignments etc.

The folder contains 3 main folders where each contains different number of bridges. The 3 folders are as follows:

- ‘128-137’ : The folder contains the drawings for 3 bridges. All are PDF. - ‘137-162’ : The folder contains the drawings for 6 bridges. All are CAD files. - ‘162-172’ : The folder contains the drawings for 7 bridges. All are PDF.

The folders only contain drawings. No additional files or supporting documents as submitted for Lot/ Package 1 are provided.

The common observations for all are as follows:

1- The vehicular barrier details remained the same as August 2020 submission. The drawings still show the concrete barrier.

2- The construction sequence remained the same as per August 2020 drawings. This is applicable for the bridge drawings that show the

construction sequence.

3- The bridges fixity locations are not shown.

Folder 128-137:

1- Bridge on PK53 + 42.31 2- Bridge on PK71 + 00 3- Bridge on PK78 + 20

Each folder contains only one Bridge GA drawing in PDF. The drawing lacks the bridge members details or reinforcement. Bridge on PK78 + 20 PDF only shows the bridge cross section and nothing else.

The information provided is barely enough for a preliminary design level and not Tender level.

The superstructure arrangement is consistent with the other packages regarding the structural form.

The drawing for Bridge on PK53 + 42.31 shows the soil profile at the start and end of the bridge, this is unusual in comparison to the other packages.

1- Bridge on PK53 + 42.31

Bridge on PK53 + 42.31

Observations: - 3 span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the vehicular

concrete barrier.

Bridge on PK53 + 42.31

Observations: - The substructure consists of capping

beams supported on posts. The posts start directly below the capping beams and end underground.

- The size of the posts is not shown. - There is no pile cap or any type of

foundation below the posts. Comments: What is the design philosophy of the foundation? How are the vertical and horizontal loads resisted by the soil?

- The posts are relatively slender, buckling checks need to be reviewed.

2- Bridge on PK71 + 00

Bridge on PK71 + 00

Observations: - Single span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the vehicular

concrete barrier.

Bridge on PK71 + 00

Observations: - The substructure consists of the

capping beams supported on posts. The posts start directly below the capping beams and end underground.

- The size of the posts is not shown.

3- Bridge on PK78 + 20

Bridge on PK78 + 20

- This picture is the only available information on the drawings.

Bridge on PK78 + 20

- These are the only available information on the drawing.

- The drawing shows a vehicular concrete barrier.

Folder 137-162:

1- PK 134+75 2- PK 151+74 3- PK 163+60 4- PK 178+30 5- PK 198+56 6- PK 252+15

Each folder represents a bridge and contains between 14 to 20 CAD files each. No PDFs are provided.

The superstructure arrangement is consistent with the other packages regarding the structural form.

1- PK 134+75

PK 134+75

- 3 spans bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows a vehicular

concrete barrier.

PK 134+75

Observations: - The substructure consists of the

capping beams supported on posts. The posts start directly below the capping beams and end underground.

- There is no pile cap or any type of foundation below the posts. Comments: What is the design philosophy of the foundation? How are the vertical and horizontal loads supported by the soil?

2- PK 151+74

PK 151+74

Observations: Single span bridge.

- The superstructure arrangement is consistent with the other packages.

- The drawing shows a vehicular concrete barrier.

PK 151+74

Observations: - The substructure consists of capping

beams supported on posts. The posts start directly below the capping beams and end underground.

3- PK 163+60

PK 163+60

Observations: - 3 spans bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows a vehicular

concrete barrier. - The abutments posts are fully

embedded in the soil. The intermediate support posts are exposed with an embedment depth of only 3 to 4m. Comments: Is this enough length to generate friction with the soil to transfer the loads? What is the design philosophy for the soil structure interaction?

PK 163+60

Observations: - The substructure consists of capping

beams supported on posts. The posts start directly below the capping beams and end underground.

- There is no pile cap or any type of foundation below the posts. Comments: What is the design philosophy of the foundation? How are vertical and horizontal loads resisted by the soil?

4- PK 178+30

PK 178+30

Observations: - Single span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows a vehicular

concrete barrier.

PK 178+30

Observations: - The substructure consists of capping

beams supported on posts. The posts start directly below the capping beams and end underground.

5- PK 198+56

PK 198+56

Observations: - Single span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows a vehicular

concrete barrier.

PK 198+56

Observations: - The substructure consists of capping

beams supported on posts. The posts start directly below the capping beams and end underground.

6- PK 252+15

PK 252+15

Observations: - 3 span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows a vehicular

concrete barrier. - The abutments posts are fully

embedded in the soil. The intermediate support posts are exposed, with embedment depth of

only 5 to 6m. Is this enough length to generate friction with the soil to transfer the loads? Comments:

- What is the design philosophy for the soil structure interaction?

PK 252+15

Observations: - The substructure consists of capping

beams supported on posts. The posts start directly below the capping beams and end underground.

- There is no pile cap or any type of foundation below the posts. Comments:

- What is the design philosophy of the foundation?. How will the vertical and horizontal loads be resisted the soil?.

Note: The majority of the above comments are applicable to all of the six bridges. The comments can be grouped as an overall structural review comments.

Folder 162-172:

1- PK 62+30 2- PK 344+74,78

3- PK 353+91 4- PK 410+92,5 5- PK 413+96,52 6- PK 417+84,73 7- PK 435+85,39

Each folder represents a bridge and contains between 16 to 47 PDF files.

The superstructure arrangement is consistent with the other packages regarding the structural form.

Most of the bridges show a new steel vehicular barrier in the cross section replacing the concrete barrier.

The drawings arrangements, fonts and texts are different from the rest of Lot/ Package 3 and the other packages.

1- PK 62+30

PK 62+30

Observations: - Single span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows a vehicular

concrete barrier.

PK 62+30

Observations: - The substructure consists of the

capping beams supported on posts. The posts start directly below the capping beams and end underground.

2- PK 344+74,78

PK 344+74,78

Observations: - Single span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the new steel

vehicular barrier. - The abutments have shallow

foundation.

3- PK 353+91

PK 353+91

Observations: - Single span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the new steel

vehicular barrier. - The abutments have shallow

foundation.

4- PK 410+92,5

PK 410+92,5

Observations: - 3 spans bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the new steel

vehicular barrier.

PK 410+92,5

Observations: - The cross section shows three

independent pier systems. - It is not clear why the pier pile caps

are not on the same level. All are located in the same channel. Comments:

- Is this an extension to an existing bridge?

PK 410+92,5

Comments: - Are the capping beams monolithically

connected or not? Has differential settlement between the piers been considered in the design?

5- PK 413+96,52

PK 413+96,52

Observations: - 2 spans bridge. 24m each. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the new steel

vehicular barrier.

PK 413+96,52

Observations: - The bridge crosses over another

highway. Comments:

- Was collision force considered in the design of the piers?

PK 413+96,52

Observations: - The bridge has full height abutments

with wing walls. Both are supported on pile caps.

6- PK 417+84,73

PK 417+84,73

Observations: - 5 spans bridge. 18m each. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the new steel

vehicular barrier.

PK 417+84,73

Observations: - The cross section shows two

independent pier systems. - It is not clear why the pier pile caps

are not on the same level. All are located in the same channel. Comments:

- Is this an extension to an existing bridge?

PK 417+84,73

Comments: - Are the capping beams monolithically

connected or not? - Has differential settlement between

the piers been considered in the design?

PK 417+84,73

Observations: - The posts are connected to the pile

cap through a socket (male and female connection). There is no indication of reinforcement connection. Comments:

- What is the design intent? Is it full fixity with bending moment connection? If so, how would it be achieved with the current arrangement? The main concern is the stability of the structure.

PK 417+84,73

Observations: - The bridge has different arrangement

for the expansion joint than the other bridges. it is not clear why this is the case.

7- PK 435+85,39

PK 435+85,39

Observations: - Single span bridge. - The superstructure arrangement is

consistent with the other packages. - The drawing shows the new steel

vehicular barrier. - The abutments have shallow

foundation.

General observations on the Drawings

From the drawings arrangements, style and level of detailing, it seems that there are different designers involved in the project with lack of

coordination between them. A more comprehensive review could be undertaken if drawings had been provided in English.

The majority of the comments are on the substructure arrangement and stability. It appears that the presented substructure arrangements are

widely used/ common practice in Uzbekistan.

B. Tender Documents Review

The provided information contains seven different PDFs named as follows:

- Standard Specifications comments SGH 07.04.2019

- BOQ 4Р105 - 1 лот (2)

- BOQ 4Р105 - 2 лот (2)

- BOQ 4Р100 - 3 лот (2)

- 13.08.2020. SpecialSpecs 4Р105 км5-37,5, 1 лот.

- 15_08_20_лот_2_SpecialSpecs_4Р105_км_37,5_70,_2_лот_ (2)

- 07.08.2020. SpecialSpecs 4Р100 км 128-174, 3-ЛОТ

The content of all documents is written in both English and Uzbek languages. This review covers only items related to Bridges construction.

Specifications Review

The PDF called ‘Standard Specifications comments SGH 07.04.2019’ covers the overall Standard Construction Specifications for the entire

project.

The content of this document closely follows the AASHTO Guide Specifications for Highway Construction, 2008. Also, in preparing this document,

the relevant experience of developed and developing countries, as well as already existing in Uzbekistan experience of preparing Specifications

for road projects funded by the ADB, have been widely used. Lessons learned by consulting companies that conduct ADB financed project

Construction Supervision activities using contract specifications, have also been taken into account. (This statement is taken from the document’s

introduction, which is clearly developed throughout).

Division 1100 Concrete and Bridges of the Standard Specifications is the relevant part to bridges. The division contains twenty subsections. At

the end of each subsection, a table shows the relevant items in the BoQ that fall under that particular subsection with the corresponding measuring

units.

The other six PDFs names and titles indicate that the project is divided into three packages. Thus, the folder contains three different BoQs and

three different Special Specifications.

The packages identified are as follows:

First package is for the Reconstruction of Road 4R-105 "v.Darband - c.Boysun- v. Elboyon" on a site km 5-70 (km 5-37,5) (LOT -1)

Second package is for the Reconstruction of Road 4R-105 "v.Darband - c.Boysun- v. Elboyon" on a site km 5-70 (km 37,5-70) (LOT -2)

Third package is for the Reconstruction of Road 4R-100 "v.Manguzar-c.Janqurgan-v. Bandikhon-v.Oltinsoy-c.Denov" on a site km 128-174 (LOT-

3)

Bills of Quantities Review

Each BoQ covers the corresponding project package items. The BoQ sections maintained the same reference numbers and descriptions as the

Standard Specifications subsections. Each of the BoQ items has a corresponding subsection in the Standard Specifications.

Each package Special Specifications amends some of the BoQ items and measuring units tables located at the end of the Standard Specifications

subsections.

Overall the documents are consistent with each other. Checking the quantities and that all the project items are covered in the BoQ and other

similar checks are not covered by this review. The full comprehensive review of the BoQ can only be carried out when the final translated detailed

drawings become available.

However, it should be noted that the recently provided BoQ (2nd November 2020) contains some discrepancies as follows:

- For all BoQs, the measuring units for some items under subsection '100 PRELIMINARY ITEMS' have been changed. (Items 104.02, 105.02,

108.02, 109.02, 110.011, 110.021, 110.031, 111.011, 111.021, 113.01 and 114.01 measuring units have changed from LS to become per month).

Item 102 has changed from being a provisional Sum to become N/A.

- For all BoQs, Items 113.01 and 114.01 have been added under section 113 and 114 respectively. This is to match the special specs arrangement

and naming.

- Only for Lot/ Package 1 BoQ, subsection '500 DRAINAGE WORKS' is missing from the document. It is believed that this may be an omission

by mistake during packaging of the document as none of the other item volumes (especially earthwork) got impacted or changed due to removing

the drainage subsection.

All the calculated volumes for all subsections remained the same as submitted in August 2020. Subsection 100 volumes is kept empty in both submissions.

I. Introduction, Overloading Vehicle Control Strategy in Uzbekistan

1. Uzbekistan is currently undergoing major road sector reform. Substantial and furtherincrease of exports requires a good road infrastructure as well as Information andCommunication Technology (ICT) development for fast and qualitative delivery of goodsand vehicle tracking. In order to implement the road sector reform, Uzbekistangovernment road agency needs to develop its regulatory framework and strategy bydeveloping the existing ICT technologies, perhaps to 4G or 5G by partnering with forinstant, private sector and design collaborative private public partnership and anindependent dedicated organization.

2. The prominent transport strategy in Uzbekistan is to increase travelling efficiency andestablished a modern ICT road management system by applying innovativetechnologies, on all roads to install fully automated weigh bridges to control and notifyearly deterioration of road pavements caused by excessive loads.

3. Overloading vehicle control facilities has been proposed in Surkhandarya regional withthe intention to prevent pavement failure due to overloaded truck. The purpose is toestablish a road management system for freight management and to control and notifyearly deterioration of road pavements caused by excessive loads1. The truck informationwill be displayed on CR web portal that provides all information relevant to CR and shallhave links to the existing overloading vehicle control information system and freightmanagement, (TOLLGO & PLATON) at KAMCIK tunnel at A373, Traffic Control Centre.

4. The key objective of monitoring the status on Surkhandarya regional road networks areto measure; i) the effectiveness in managing all overloading vehicle traffic both on nightand days as options to extend the residual life of pavement by restricting overloadedtruck or introducing penalties as part of offsetting the maintenance cost, ii) connectivitybetween vehicle and control offices at A373, and, iii) measuring the trends of truck in 24hours of a day so that traffic pattern could be analysed and improvement could beinitiated to minimize the problems.

5. A well-integrated WIM system is inevitable for Uzbekistan transport environment sincethe road network is one of the key aspects of trading for the country. Uzbekistan’stransport sector can be safer, more efficient, and more sustainable by applying ICT toall modes of passenger and freight transport by adding innovative applications andequipment to the existing telecommunication infrastructure and it is predominant that allgovernment agencies to share all available resources and infrastructure for optimize usein sustaining the technology.

6. In this project, IT based road management system will not be developed. Thetransmission of the recorded data for the overloaded truck to the back-end office at A373shall be via the existing mobile radio communication networks to the existing TrafficOperation Centre on A373. The monitoring tasks are performed by radio devices that areplaced on opposite sides of a road. This approach is suitable for isolated and remotearea in Surkhandarya but subject to the signal strength of the existing telecommunicationprovider. However, CR is advised to undertake a radio signal strength survey within thearea prior to physical installation.

1 7th International Conference on Weigh in Motion-ICWIM7, at FOZ do Iguacu, PAVEMENT DAMAGE -BRAZILIAN ROAD DETERIORATION TEST USING WIM

Annex 4

II. Current Condition at Surkhandarya Regional Road Network

7. State Committee for Roads in Uzbekistan is committed to improve the performance of urban and rural transport by providing innovative services relating to different modes of transport and traffic management and enable various users to be better informed and make safer, more coordinated, and smarter use of transport networks. Recent advances in telecommunications, internet services, and sensing technologies offer the possibility of innovations, which include connected vehicles, traffic data collection, and traffic information provision through smartphones, INTERACTIVE Web Portal and Mobile APP.

8. However, on Surkhandarya regional road, ICT infrastructure was not visibly efficient within the area with poor mobile communication network especially at KM 37.5, KM 70 and KM 137 to162. Extreme weather, such as fog, rain and heavy snow, causes some potential danger to the drivers due to hilly area and pot holes on existing pavement. The profound challenge in this project is to provide, an efficient and effective traffic communication network that have sufficient bandwidth to connect to all roadside detectors and support real time video feeds since the route is isolated from existing settlements

9. At some road section at KM 137 to KM 174, the earth of slope and ground conditions is

seen wet and soft with old type of bridges, that would lead to bridge failures if overloaded truck is allowed to passing through, and the falling rocks on the existing hilly area is affecting the road security. Also, there are several dangerous hilly loops and sharp corners that drivers should be reminded a real time road condition whilst cruising at constant speed in order to prevent fatigue driving and over-speeding.

10. Regional roads in Uzbekistan are unknowingly covered by WIM technology, except

CCTV to monitor the location of main junctions in the main cities. Slow Speed Weigh in Motion Weighing system operated at A373 are visibly being operated offline and not fully automated with traffic enforcement capability. Only main roads in main cities especially in Tashkent have emergency telephony communication system whilst regional roads have no emergency telephony communication system. However, there are two existing freight management systems called, Platon (Russian Technology) and TOLL2GO (German Technology) deployed for monitoring truck movement.

11. The present road is also visibly seen darkening when driving on night, street lights are

only visibly seen at settlement area or busy junctions and present street lighting is very poorly presented. The existing road conditions are full with pot holes and at some sections are in bad condition due to high usage of overweigh trucks. It is recommended that full enforcement for high speed over-height & overweight Weigh in Motion (WIM) for initial pre-screening at both entry points of 4R 100 and 4R105 and full Slow Speed weigh station at designated area complete with a new building for enforcement team are to be proposed in this pilot scheme.

II. Overloading Vehicle Control with WIM Technology – the benefit

12. A fully automated High Speed and Slow Speed Weigh in Motion will increase effectiveness of enforcement actions by detection and issuance of summons in a transparent, accurate and continuous manner where Enforcement Officers do not have to manually record the offenses at the side of the road all the time and able to operate 24 X 7 X 360, day and night, in all weather conditions.

13. The proposed system will enhance the integrity of enforcement with no interaction with offenders and corrupt elements in the streets and is a direct trigger for the purpose of teaching/shaping our drivers to adhere to road traffic regulations.

14. The proposed automatic system also cannot be denied or disputed in court by the

offender. It facilitates prosecution by providing evidence that is acceptable to the court and the system collects statistics of traffic violation data by a single or a combination of criteria, such as time segment (or violation time), administrative area (or violation location), violation type (weight, width and height), license plate number and photograph.

III- Key Technical Parameter

15. The key objective for WIM concept design are as follows:

Expected Results

Features

Proposed Method

Remarks

Outcome Truck surveillance improved

Information observed at TOC on A373, KAMCIK Tunnel

All applicable in-pavement sensors for weighing, speed, photo and data recorded for truck monitoring.

Data to share with all stakeholders with automatic response alert to the police

Able to produce statistical results /overweigh alert, truck type, height, width and class

Electronic database and standard overloading system shall be proposed and complied with CR standard

Weighing system only at mainline. An amended motion for the current legislation of Cabinet of Ministers decree №337 dated May 28, 2019) Weigh Station with enforcement officers space building, is required prior to installation

Output 1 WIM Developed

Modern vehicle overloading system shall be deployed

Standard Design with fully automated system shall be proposed for WIM

Police to be equipped with mobile equipment and internet facilities for enforcement Provide internet facility at WIM and enforcement mechanism for police

The WIM system will not utilize the existing system for the control and payment of freight as requested by CR Real time monitoring to be made available at Traffic Control Centre on A373

2 WIM and SSWIM supplied with ASTM 1318-02. Fully automated system required.

WIM- Quartz ASTM 1318, type 3/4

Proposed location at 2 area- and KM (2 & 4) & KM (172 & 174)

IV. Constraint for Smart Road in Uzbekistan

16. Overloading Vehicle Control System - Design and Guidelines Design Manuals for WIM in Uzbekistan is not yet established, that may include traffic information/control, communication network operation/management. If new road is constructed or rehabilitated continues without proper installation guidelines, unconformity and lack of coordination among different road sections will become apparent and would lead to mismanagement within the road organisations and a waste of the system implementation, operation cost and inconvenience to the public.

17. A totally planned communication network is necessary to provide control of all WIM services all over the country; otherwise, a number of small-scale WIM centres are likely to be built depending on the section-by-section of road construction. Such an immethodical communication network and small centres will bring complicated data exchange and profitless costs.2

V. WIM Design Overview for Surkhandarya Regional Road Network 18. Outline of WIM system proposed in this project,

VI. METHODOLOGY, DESIGN PARAMETERS & STANDARD USED 2 Master plan for North South Expressway, Vietnam, May 2010 by JICA

Particulars WIM Components Deliverables Position/Location Freight Management

RFID tracking for freight with travel time measurement

Freight tracking Options to integrate with existing Platon and TOLL2GO

Data Processing at existing TOC on A373

Traffic Operation Centre

Collect, monitor and display traffic information on CR website

Integration of existing system at KAMCIK TOC

a. Large Monitor Display b. Control terminal c. Integrated software platform with OPEN System customized to CR, source codes to be handed over to CR

d. Data collection via mobile data services with power backup

Existing Radio Base Station. Contractor to survey the signal strength and apply for radio base station

UPS, Generator and solar power for 24 hrs backup

Communication Highway Radio for police services

2-way communication, CR and police

Utilise existing telecommunication provider

Enforcement Overloading control system

Vehicle information ASTM 1318-02

Static/Slow speed Weigh & WIM

Vehicle speed detection with tracking

Image and number plate detection

Both directions, refer to TII publication, April 2019, Requirement for WIM

19. The report was produced based on findings during field visits3. Interviews with other stakeholders especially with the Design Institute (DI), police and maintenance on site shall be conducted separately or as when it is necessary due to global pandemic COVID 19 restrictions. In addition, the approaches for preparing the concept of overloading vehicle control facility includes the following: i. Field visit – Site Investigation or walk thru and based on the existing WIM

services and facilities available at a particular time of visit. (ADB Mission Nov 2019)

ii. Descriptive method, based on visual monitoring of existing WIM equipment on A373 and current description of current condition and applying appropriate tools based on international practice;

iii. Critical analysis, interviewing on-site maintenance staff and road administrators

as it expresses evaluation of situation and opinion.

iv. Suggestions on placement by Design Institute (DI).

20. The overloading vehicle control concept designed on Surkhardarya road is designed in accordance with the following standards. Relevant international and national standards amongst that includes:

i. British Standards BS 7671:2008 “"Requirements for electrical installations"; ii. Design Manual for Road & Bridges – UK Highway Agency iii. Australian Main Road – Australia iv. Ashghal, Qatar ITS Deployment Guidelines – Ver 2.2 v. ASTM 1318 – Type III and IV, Weigh in Motion for Enforcement vi. OIML R 134, 2009, Low Speed Weigh in Motion vii. COST 323 – Weigh in Motion of Road Vehicle, European WIM specification

version 3.0 viii. Government Decree 237, dated 25th April 2017, Approval of general technical

regulation on safety wheeled transport allowed for use ix. Government degree 342, dated 24th December 2011, measures for safeguarding

and organizing road safety. x. Transport Infrastructure Ireland Publication, April 2019, Requirement for Weigh

in Motion

VII. DEMARCATION DRAWINGS PROVIDED BY DI 21. The Design Institute (DI) has provided the consultant sets of drawings as in Table 2,

below; the list of general layout drawings, preliminary concept with road alignment and pavement details, however, there were no specific design for ICT infrastructure nor vehicle overloading control system:

No Drawing title WIM CIVIL 1 General 1.1 Location Map No Yes 1.2 Overall Layout plan – road alignment No Yes 1.3 General layout for rest area No No 1.4 General Building Layout and Parking area No No 1.5 Road design & cross section No Yes 2.0 Road side Equipment Plan 2.1 Traffic Monitoring System No No

3 ADB Mission, November 2019 with ADB Senior Transport Specialist, Mr Pawan Karki, Senior Asset

Management Specialist, Dr Michael Anyala and Key Expert appointed by ADB

No Drawing title WIM CIVIL 2.2 AID/ANPR camera No No 2.3 CCTV layout No No 2.4 Roadside Weather Information System No No 2.5 Weigh in Motion/Weigh Station No No 2.6 Variable Message Sign No No 2.7 Communication equipment No No 3.0 Building Drawing 3.1 Traffic operation center No No 3.2 Weigh station No No

3.3 Parking area No No

Table 1: List of Drawings for ITS provided by DI 22. However, the Design Institute (DI) has provided the consultant the information on the

road sections, where weigh in motion (WIM) system is planned (as per Table 3); i) KM5 – KM70 section of 4P-105 Darband – Boysun – Elbayon route and; ii) 128 – 174 km section of 4P – 100 Manguzar – Jarqurgon – Bandixon –

Oltinsoy – Denov route:

Table 2; List of WIM Locations and Rest Area Proposed

Proposed ITS Location (Route)

CH,

KM

Road type Territory Carriageway

Rest Area

4p-105 Darband – Boysun - Elbayon

8 x Boysun district “Daxnoijom” Settlement

4p-105 Darband – Boysun - Elbayon

12 x Boysun district “Tuda” Settlement

4p-105 Darband – Boysun - Elbayon

22 x x Boysun district “Bibishirin” Settlement

4p-105 Darband – Boysun - Elbayon

50 x Boysun district “Dashtig’oz” Settlement

4p-105 Darband – Boysun - Elbayon

58 x x Bandixon district “Obikor” Settlement

4p-100 Manguzar – Jarqurgon – Bandixon – Oltinsoy – Denov

137 X Oltinsoy district “Mustakillik 10 yilligi” Settlement

20. From Table 3, Design Institute (DI) has provided locations for the first entrance of road

section, 4P-105, KM 5-KM70 and 4P 100, KM 128 – KM 174. Three rest areas have been proposed and based on the plan provided. However, DI did not submit the detail design for WIM components and all applicable arrangement for detail review. It is inevitable that WIM road sensors location is uniformly positioned as per international standard design precisely fit for purpose otherwise an effective overloading status and monitoring image along the road could be delivered to road users and CR. Due to insufficient document provided to our end, the consultant will come up with a tentative WIM plan and deliverables that is applicable to Surkhandarya regional road.

21. The regional road, the design is for 2 roads, 4R 105, i) KM 5 to KM 38, ii) KM 38 to KM

70, and 4R 100, iii) KM 128 to KM 137, iv) KM 137 to KM 162 and, v) KM 162 to KM 178

22. The designed lane configuration for this project are as follows: However, all drawings are in Russian Language and the KM marker post could not be observed in the drawings.

23. The Highway lanes/Interchange/Junction are indicated below; - KM No of Lanes per

direction Reference: Lighting Post Proposed Rest

Area (DI) Civil works

Start Ends 5 2 0 2 1 2 16 2 16 19 3 19 22 KM 22 2 22 24 1 24 26 3 26 28 38 1 28 30,1 38.5 1 30,1 57,1 2 57,1 58,1 KM 58 70 3 58,1 62,1 Highway lanes/Interchange/Junction

KM No of Lanes per direction

Reference: Drawing running number by DI

Rest Area (DI)

Civil works

Start Ends 128 2 O6yc1 1 O6yc1 1 06yc2 1 06yc3 2 06yc3 pedestrian crossing 1 06yc3 1 06yc4 2 06yc4 2 06yc5 1 06yc5 1 06yc6 1 06yc7 1 06yc8 1 06yc9 2 06yc9 2 06yc10

137 2 06yc11 KM 137 Pedestrian crossing

3 BG1 T junction, intersection connecting KM137, Pedestrian crossing with Traffic light

3 BG2 2 BG2 2 BG3 2 BG4 3 BG4 3 BG5 2 BG5 2 BG6 3 BG6

KM No of Lanes per direction

Reference: Drawing running number by DI

Rest Area (DI)

Civil works

Start Ends 3 BG7 2 BG7 2 BG8 Pedestrian crossing 2 BG9 162 2 BG10 2 1 1 1 2 1 2 2 Pedestrian crossing 1 2 1 3 1 4 2 4 2 5 Pedestrian crossing 2 6 2 7 Interchange 2 8 174 1 8

44. In summary, the length of each road (each direction) is estimated as follows;

Road Marker Road type 3 Lanes, KM 2 lanes, KM 1 lane, KM KM 5 to KM 70 4R105 2 30 33 KM 128 to KM 137 4R100 1 9 0 KM 137 to KM 162 4R100 2 21 2 KM 162 to KM 174 4R100 0 8 4

TOTAL (KM) 5 68 39

VIII. WIM SPECIFICATION AND GUIDELINES

21. Wide range of WIM application at present, ONLY a suitable solution that is applicable to Uzbekistan is proposed. The technologies that support WIM is described hereunder, will be used for integrated WIM system in Uzbekistan for Surkhandarya regional road: -

ICT Infrastructure – Mobile Radio/Wireless.

i. Wireless Network Similar to technology commonly used for wireless internet access, wireless network allows rapid communication between vehicle and roadside, but have a range of only a few hundred meters. However, this range can be extended by each successive vehicle or roadside node.

ii. Mobile Network This application can transmit information over standard third or fourth generation mobile telephone networks. Advantages of mobile networks include wide availability in towns and along major roads. However, additional network capacity maybe required it vehicle are fitted with this technology since it may be too slow

Provision of truck guidance and alert system

Fix Sign board to alert and notify lorry driver of the WIM facility and communication system for CR response team with the existing Traffic Operation center on A373

Vehicle Overloading Control with high speed Weigh in Motion. WIM shall be established at both start points at 4R105 and 4R100 and site location could be adjusted with site conditions. WIM must conform to ASTM 1318. Applicable system should be Quartz type for high speed WIM and bending plates for Slow Speed WIM or equivalent based with commercial standard, coupled with peripheral equipment handling the following information.

I. Off scale sensor installed on either side to align the vehicle path for correct

data recording II. Over-height detector: pole mounted receiver/transmitter on the instrumentation

side of the travel lane and a pole mounted reflector on the opposite side of the lane. Infrared beam is transmitted across the travel lane and reflected back across the receiver. When passing vehicle breaks the beam, the information is displayed on console

III. Traffic control system: traffic control of vehicle within the facility IV. Vehicle identification: using camera features V. Automatic license plate reader: the automatic license plate reader using high-

resolution high-speed camera and image recognition software can be detected and read the license plate passing over the facility

VI. Overview camera: camera to record the overall facility day & night with remote display to be used for driver information

VII. Loop detector to sense the presence of a vehicle VIII. All activities to be controlled by software to record and transmit data to A373

VIII. INTEGRATION WITH EXISTING TRAFFIC CONTROL CENTER ON A 373-KAMCIK 22. This WIM project is aimed to ensure safe and smooth traffic through execution of Traffic

Operation Center (TOC) at KAMCIK tunnel on A 373, that collects information required for WIM, then disseminate all related information to the concerned stakeholders and road users, 24 hours a day, 365 days a year.

23. Traffic Control Center (TOC) on A373 also monitors and control all traffic situation and have large display or multiple screen that monitor all images on the A373 and Surkhandarya road (at WIM facility ONLY) simultaneously, the typical arrangement of the large display is at,

I. center: one shows road traffic condition, II. upper and lower ones show images of CCTV at WIM only, and

III. right and left side one show displaying situation of VMS at WIM facility, enlarged image of emergent events, and others.

24. The design of WIM features in this project is detailed as follows: -

I. Concept of truck data collection via WIM, data is collected with reference to

installed sensors on roads and transmit it to Traffic Operation Center via installed mobile data. The Traffic Control Center at A373 processes/analyses collected

information and under integrated management deliver truck users with real time information via CR Web Portal.

II. Cooperation with stakeholders is assumed to, i) Traffic Police handles ALL overweigh vehicle; and ii) CR maintenance team handles all CCTV surveillance at the WIM facility.

III. Role of traffic police, early detection of overweigh by WIM should be channeled to Traffic Police with CR assistance on A373.

IV. Role of CR, assessing WIM facility and prioritize the methods of reporting by establishing a suitable work flow and guidelines on day to day quick response to overweigh and to provide stakeholders useful truck information. All detection of overweigh and its processing method shall be discussed during detail design stage with all stakeholders.

24. The concept of event management at the control center are: -

I. The location and link of CCTV/ANPR at WIM facility on main lines and

designated location is as follows. Each CCTV/ANPR at each WIM facility is set in each direction by the scope

of CCTV and monitored at TOC on A373. If one camera/sensors at each WIM/SSWIM detects an overweight, it will

correspond to the police and data will be kept and share at all weigh facilities.

II. Any detection from all WIM at the TOC, the release of data or image to the police via mobile equipment in police cars in Surkhandarya regional road, and should be confirmed by traffic control staffs at TOC on A373.

25. Coordination with Police; police patrol car in Surkhandarya will be equipped with

mobile enforcement car. It includes all necessary beacon and connection to the Traffic Operation Centre at TOC on A373. Full enforcement functionality with mobile office at the back with various payments means in the car as in Figure 2.

Figure 2: Enforcement vehicle with mobile equipment: Source, Police in Czech Republic

XII. OVERLOADING VEHICLE CONTROL – LAYOUT DESIGN

22. Considering collection of penalty at weigh station, Weigh in Motion should be installed at both entrance of two (2) roads, one each at the start on 4R105 and 4R 100 respectively. As all traffic data are stored electronically on A373 including the penalty details, time, date and photographic image, all the information will be displayed on CR Web Portal for traffic monitoring and shall have links for providing the information as required by CR. The proposed layout plan for the systems are shown in Figure 3 below. Source: JICA Master plan for Vietnam, May 2010: For guidelines only,

Figure 3: Overloading control for both WIM and Static Weigh station, the configuration and layout plan

23. A fully automated WIM will be installed in this project that will increase effectiveness of enforcement actions by detection and issuance of summons in a transparent, accurate and continuous manner where Enforcement Officers do not have to manually record the offenses at the side of the road all the time and able to operate 24 X 7 X 360, day and night, in all weather conditions.

24. The proposed system will enhance the integrity of enforcement with no interaction with offenders and corrupt elements in the streets and is a direct trigger for the purpose of teaching/shaping our drivers to adhere to road traffic regulations. Studies by Taylor in New York State (Proceedings of the Traffic Technology International Conference (2000 Annual Review), January 2000; pp. 234–237(USA) showed that the percentage of overloaded vehicles was reduced from 30% to 2% after the enforcement level was increased.

X. OVERLOADING VEHICLE CONTROL - SITUATION IN UZBEKISTAN

25. CR Requirement4 is static weighing with high accuracy, (a relative error of 1%), however, the effectiveness of enforcement control is small. CR is predicted needs at least one hour to control one vehicle at the roadside and during one working day just six vehicles can be controlled. An alternative approach to weight control of vehicles is to use the Weigh-in-Motion system (WIM). Road sensors of such systems are embedded directly in the pavement of the road, perpendicular to the direction of the traffic flow. WIM systems allow for the weighing of vehicles in motion without the need to stop them, and makes the control effective since each vehicle passing over the WIM site is weighed.

26. In this design, the use on concrete pavement is recommended on the location of WIM is installed. The accuracy of Weigh-in-Motion sensors in the flexible (asphalt) pavements depends on pavement temperature and vehicle speeds. Weigh sensors embedded directly into asphalt pavements have greater temperature variations than the sensors embedded in concrete pavements because asphalt material becomes soft in hot weather however, alternatively, quartz and bending plate WIM sensors (embedded in pavement) are insensitive to temperature, this method will be used at the location asphalt is used for road pavement in this project.

27. The error for asphalt pavement others than quartz sensor reaches as much as 15% for axle load and 5% for gross vehicle weight (GVW). This is the reason why WIM systems are not currently in use for direct enforcement of overloaded vehicles. Another problem is that there are no relevant legal regulations allowing such application of WIM systems5. However, in Uzbekistan, a pilot project for WIM systems are proposed in output 3, A373 for preselection and identification of potentially overloaded vehicles to direct them to control on certified, static scales.

28. Below, the recommended specification for both static and WIM suitable for this project

System Weigh in Motion System

Technical requirement

Measure the load of each vehicle axles Maximum load axle allowed, not more than 20 tons, depending on transport policy in Uzbekistan Vehicle speed <80 km/hr Determine the speed, distance of axles, no of axles and total weight of vehicle Allows setting up and changing the threshold for the overloaded axles, group of axles and vehicles Automatically detect overloaded by axle weight and the total weight of the vehicle System controls traffic alerts overloaded vehicle to police Data connection with all WIM facility in Uzbekistan Accuracy, < 10% for weigh axle, 3 % speed, 0.2 km for the distance axle

Source: VITRANSS 2 Study team

29. The proposed procedures for overloading control are6: -

4 Cabinet of Ministers decree №337 dated May 28, 2019) Weigh Station with enforcement officers space

building 5 7th international conference on Weigh in Motion-ICWIM7, at Foz do Iguacu, PAVEMENT DAMAGE -

BRAZILIAN ROAD DETERIORATION TEST USING WIM 6 JICA Vietnam proposal, 2010

I. Truck pass WIM station, system will record, weigh, photo, plate number, no of axles and distance of axles and transmit all data to exisitng TOC at A373

II. If the vehicle is overloaded as above, the automatic system will send alert to traffic centers and display the message to the driver via VMS, the vehicle will be issued automatic summons and the enforcement team, (CR and police) shall be guiding the truck out of the facility.

III. If the vehicle is not overloaded, it will continue without stopping

XII Proposed both High Speed WIM and Slow Speed WIM Location on Surkhandarya Regional Road

30. In the preparation for Slow Speed WIM facility at proposed area, new building is constructed with the followings condition

No Item WIM project Civil works

1

Weigh Station at entrance of 4R 105 KM 4 and 4R 100 KM 170

Office accessories and seating arrangement including office space for traffic enforcement officer and CR maintenance staff

Basic electricity with UPS and generator/solar panel. Weigh monitoring, patrol vehicle movement and environment observation

Computer system for data storage and internet facility for data transfer and email for staffs including telephony system

Compound Lighting facility including CCTV Telephony system Other facility needed

31. The proposed location for both Slow speed and high speed WIM are as the followings:

i) M39 Joining KM 0 Derbent, KM 2 & KM 172

(KM 5 – KM 15) – 4R 105

WIM KM 2 SSWIM KM 4

Direction of Traffic

No of Lane or

Location Equipment

Type Item Location ITS project Civil works Quantity

Entrance KM 2

Weigh in Motion with enforcement

ASTM 1318, Type III, Quartz Sensor

KM 2 High Speed Weigh in Motion

In pavement sensor with poles or gantry

1

ii) 4R100, KM 172, High Speed WIM

WIM – KM 172

Slow Speed Weigh in Motion, KM 170

Lane or Location

Equipment Type Item Location ITS project Civil works Quantity

KM 172 Weigh in Motion

ASTM 1318, Type III, Quartz sensor

KM 172 In pavement sensor with poles or gantry

ASTM 1318, Type III, Quartz sensor

1

8.0 MAINTENANCE DURING DEFECT LIABILITY PERIOD

30. After completion of the WIM facility, the Operation & Maintenance (O&M) works will be essential to ensure that the facility and system equipment continue to function as designed. The equipment SHOULD be maintained through a periodic inspection program. The operation & maintenance is conducted using two methods; i) internal staffs employed by CR to undertake the works or, ii) outsourcing to a nominated contractor for servicing in case of breakdown for reactive and predictive maintenance.

31. Prior to executing the operation and maintenance activities, Service level agreement (SLA) on the execution of maintenance services during Defect Liability Period (DLP) need to be determined. The reference to the activities shall be the asset register/inventory. Each asset shall be designated a code and all details on the assets including the asset codes shall be stored in a specified format agreed hereinafter and performance test is measured based on the asset performance.

32. DLP will commence from a time of Taking over Certificate (TOC) /Site Acceptance Test (SAT) issuance and will run for a period of ONE year (12 months).

33. Maintenance, repair and replacement of all hardware, software, peripherals and sub components shall be the responsibility of the installer during DLP without any cost to CR. Corrective of all defective materials and workmanship in the installation will be carried out as required by CR within this period. The installer shall provide 24 x 7 on-site support during the DLP and shall adhere to the maintenance of all WIM Equipment,

SSWIM KM 170 Flat ground

SSWIM KM 170 Flat ground

Periodic Preventive Maintenance of equipment, Timely Corrective Maintenance, Software Maintenance, Remote Software support for the System.

XIV. TECHNICAL DOCUMENTATION

34. Operation and Maintenance Manuals, the installer shall provide all the necessary manual and drawings for every system that shall be covered in this proposed scope of works.

35. Reporting Management and reports, a reporting mechanism will be implemented for effective monitoring, retrieving and digesting information, which will be used as a tool for improvement of the existing facilities and resources. An overview report of the overall status and performance of the facilities in the region will be generated. It will also include recommendations and comments to improve the system performance. These reports will be table in the technical committee meeting, which will be held periodically to discuss and resolve common issues.

36. Monthly Meeting, in addition to the regular technical meetings, a management meeting will be held to present the monthly management report of the previous month, resolve any operational conflict, resolve any designing out of the system/improvement, to check on maintenance standards and recommend for improvement and resolve any issue pertaining to operational matters.

11.0 ROUTINE MAINTENANCE DURING DLP

37. Scheduled downtime / Routine maintenance is defined as a period of time when system will remain unavailable for conducting necessary preventive maintenance and urgent repairs. The maximum scheduled downtime for any site shall be 4 hours, per mainline equipment per month.

38. The objective of electronic equipment maintenance shall be to ensure reliability, to enhance its economic life and to improve its efficiency. Routine maintenance consists of a fixed set of checks, measurements, cleaning and calibration.

39. These activities shall be based on Equipment suppliers’ specifications and general maintenance practices that include but not limited to: • Checking the condition of components, e.g. check connections for signs of

deterioration. • Check voltage levels: Power supply levels are crucial to the effective operation of

electronic equipment. Borderline levels could lead to intermittent faults and damage to components.

• Voltage level changes are caused by the deterioration of capacitors, transformers and semiconductor components.

• Certain measurements can also be performed to check the status of elements of the system, i.e. impedance and isolation tests.

• Mechanical components need routine cleaning and lubrication to ensure their effective operation.

Draft Report On The Review Of The Pavement Design

A.1 Project Alignment & Ground Condition

1. A feasibility study report on "Reconstruction of highways 4R105" Darband k.-Boysun

sh.-Elbaen k. " on the section km 5-70 and "Reconstruction of the highway 4R-100" k.

Manguzar - Zharkurgan - k. Bandikhon - k. Oltinsoy - Denov " on the section km 128-

174. was provided to the Consultants

2. The report was prepared by the Design Institute in Tashkent. An overview of the ground

condition along the project alignment is shown below.

A.1.1 Highway 4R105 (section km 5 – km 70)

A.1.1.1 LOT-1 (section km 5-37.5)

• The main engineering geological layer along the project alignment includes loess-

like loams, sandy loams, pebble soils, limestones, sandstones, and

conglomerates. The subgrade soil is mostly composed of varying layers of Loess,

sandy loam and pebble mixed soils. While sections from km 5 to Km 7.3 and Km

18.2 to km 23.5 have predominantly soils with pebbles, sandy aggregates

including gravel and boulders; and sections from km 7.3 to km 9.3, km 9.4 to km

11.7 and km 23.7 to km 23.8 and also km 32.8 to km 33.0 have different

weathered rock types exposed.

• The soils in the study area, as per KMK 2.05.02-95, are slightly saline, but they

are non-aggressive to slightly aggressive to concrete based on Portland cement

as per GOST 10178-85 * and not aggressive to reinforced concrete structures

• The groundwater level has been found below 3m from the ground during

November 2019. It is mainly fed by the infiltration and seepage of rainwater as

well as irrigation water.

A.1.1.2 LOT-2 (section km 37.5 - 70 of the highway 4R105)

• In lithological terms, the road section is composed of soils consisting of loess-like

sandy loam sands and pebble soils

• The soils in the study area, as per KMK 2.05.02-95, are slightly saline.

• Soils are non-aggressive to slightly aggressive to concrete based on Portland

cement as per GOST 10178-85 * and not aggressive to reinforced concrete

structures

• The groundwater level has been found below 3m from the ground during

November 2019. It is mainly fed by the infiltration and seepage of rainwater as

well as irrigation water.

Annex 5

A.1.2 Highway 4P-100 LOT-3 (section km 128-174)

A.1.2.1 Lot 3 (section km 128-137)

• In lithological terms, the road section is composed of clay and sandy coarsely

detrital soils to a depth of up to 12.0 m All along the stretch, the soil in the depth

of 0 to 0.4m is generally mixed with household garbage/waste and has to be

removed for the road construction. In the depth of 0.4-12.0 m the soil mostly

brown sandy loam, moist, semi-hard to soft-plastic consistency.

• The soils in the study area, as per KMK 2.05.02-95, are not saline.

• Soils are non-aggressive to slightly aggressive to concrete based on Portland

cement as per GOST 10178-85 * and not aggressive to reinforced concrete

structures

• The groundwater level has been found below 3m from the ground during

November 2019. It is mainly fed by the infiltration and seepage of rainwater as

well as irrigation water.

A.1.2.2 Lot 3 (section km 137-162)

• In lithological terms, the road section is composed of soils consisting of brown

loess-like sandy loam sands and pebble soils to a depth of up to 10m.

• All along the road alignment, the soil in the depth of 0.5 to 10m is fill soil generally

mixed with household garbage/waste and has to be removed for the road

construction. In the depth from 0.5-10.0 m, loess-like sandy loam, with interlayers

of brown loam, low-moisture, of solid /stiff to plastic consistency occurs above the

groundwater level.

• The soils in the study area, as per KMK 2.05.02-95, are slightly saline, but not

aggressive to concrete.

• The groundwater level has been found below 10m from the ground during

November 2019.

A.1.2.3 Lot 3 (section km 162-174)

• In lithological terms, the section of the road is composed of soils of the Quaternary

age, consisting of fine-grained sand, loess-like sandy loam with interlayers and

lenses of clay, sand, gravel with a thickness between 3 to 10m. The highway route

passes through alluvial-flood plains

• The soils in the study area, as per KMK 2.05.02-95, are slightly saline, but not

aggressive to concrete.

• The groundwater level has been found to vary from 3m to 10m according to the

previous record.

A.1.3 Conclusions on engineering and geological conditions

• The subgrade soil is mostly composed of loess-like sandy loam sands and pebble

mixed soils and clayey soil layer at a few places.

• The soils are generally slightly saline but not aggressive to concrete (mild at some

locations).

• The groundwater level is at depth of 3m or more from the ground.

• The subgrade soil has the following characteristics

o Modulus of elasticity E ranges from 50 to 54 MPA

o The angle of internal friction φ = 21o to 25o

o Cohesion C =0.010 to 0.024 MPA

3. The above-ground conditions seem to be derived from earlier existing reports, then

again there seems to a lack of field tests and laboratory tests to verify the listed soil

properties and sources in the submitted documents. There is an absence of any

information about the strength and stability of the subgrade and base layers to shear.

4. A comprehensive investigation of the construction material comprising of field works and

laboratory works was not available.

A.1.4 Conclusion

5. The existing pavement in the Lot 1, Lot 2, and Lot 3 shall be replaced by completely new

cement concrete pavement for the main highway and be asphalt pavement structures

for the side roads and approach roads as per the design of Design Institute (DI). Though

cost-wise, asphalt pavements are cheaper for a standard installation, concrete roads are

highly durable and more environmentally friendly as compared to asphalt roads and less

likely to have potholes. The surface of the concrete is also better at preventing

automobile skidding, keeping drivers and their families safe.

6. The submitted documents still contain numerous errors that were pointed out earlier. A

list of some of those errors is included in the “Appendix List of Errors”.

A.2 Design Parameters

7. The design standards employed in Uzbekistan for rigid pavements is MKN 44-2008

along with periodic addendums/ supplements. For the design of non-rigid pavements is

MKN 46-2013. The latter guideline determines how the pavement structure has to be

calculated depending on the road category, the number of lanes, the permissible axle

load, the climatic zone, and the forecast AADT. Further, it determines the minimum

thickness of the cement concrete surface layer and the distance of transverse and lateral

joints, at which dowels/anchors are placed. According to the traffic forecast for a 25-year

design life and based on a 130kN axle load, the minimum thickness of the cement

concrete surface layer accounts for 27 cm. The pavement design considers a 130kN

axle load. For carriageway widths for Category 2 road with two single lanes, of 7.5m

width (2X3.75m) and Category 1 with two double lanes of 15m width (4X3.75m) at

populated areas.

8. Traffic intensity, units/day, in the first year of road pavement service is also characterized

by the masses of different vehicles, they should be given in the initial data and justified.

9. The estimated number of calculated days in a year, corresponding to a certain state of

deformability of the structure, “Trdg” has been taken as 365, but it has to be justified as

per Table-1 of Appendix G according to MKN 44-2008. Incorrect estimation of the above-

mentioned values may lead to the incorrect total number (ΣN) of repeated loadings

during the design service life, this in turn will affect the calculation of the required

concrete layer thickness in respect to the concrete fatigue coefficient as given by the

formula Ky = 1,08×(ΣNp)-0,063

10. The report does not provide any calculation regarding expansion and contraction of the

top concrete layer, for which regular transverse and lateral joints have to be provided.

The calculation determines the distance between the joints, the number of dowels & tie

bars. Drawings and diagrams of the typical cross-sections at the joints with the location

of the pins used are absent.

A.2.1 Proposed Pavement Structure

11. As far as the design is concerned, the pavement design has taken into account

prevailing local Standards and Guidelines including the rigid pavement design

guidelines MKN 44-2008. From the design solution point, the pavement type chosen is

in general a new cement concrete pavement except for side roads, access roads, and

the parking at rest areas, which will get a new asphalt concrete pavement.

12. Wherever there is existing bituminous pavement, it shall be cold-milled or scarified and

recycled. Material obtained from the removal of the existing pavement will be used as

material for the gravel shoulders.

13. Typical cross-section drawings with details for each type of pavements are however

absent in the design report.

14. As per the design documentation prepared by DI the following new Rigid pavement

structure will be applied throughout the whole length of the project road:

(i) cement concrete pavement with 27 cm thickness from sulfate resistant concrete

mixture, by type M-400 (GOST 26633-12);

(ii) non-woven geotextile (debonding layer);

(iii) dry lean concrete base course layer M-75 with 18 cm thickness from gravel sand

mixture treated with sulfate-resistant cement (according to GOST 23558-94);

(iv) sub-base (middle) course with thickness 20 cm crushed stone, with up to 30% of

fine crushed stone; sub-base course with thickness 33 cm from gravel sand

mixture (according to GOST 25607-09 & GOST 3344)

15. Asphalt concrete pavements will be applied for side roads and approach roads and rest

areas. No separate traffic forecast is available for them. The pavement structure shall

be as follows:

(i) 5 cm wearing course of fine graded, HMA type B class 1 (according to GOST 9128-

2009);

(i) 7 cm bituminous binder of coarse graded, HMA

(ii) 7 cm bituminous of coarse graded, highly porous asphalt class 1 (according to

GOST 9128-2009);

(iii) sub-base course (middle) with thickness 16 cm crushed stone, with up to 30% of

fine crushed stone; sub-base course with thickness 25 cm from gravel sand

mixture; (according to GOST 23735-14);

16. The pavement structure of merging, stopping, and turning lanes shall be identical to the

adjacent pavement of the carriageway.

17. Strengthening of unpaved shoulders with 15 cm thickness shall be constructed by using

gravel (aggregate) and sand mixture.

A.2.2 Calculations

18. Calculations of the proposed rigid pavement structure for Highway 4P-105 section km 5

to km 70 and Highway 4P-100 section km 128 to km 174 were submitted for the review

from the Tashkent Design Institute. They were prepared according to the rigid pavement

design guidelines MKN 44-2008 while using only two soil characteristics for the whole

lengths. There is no separate calculation for the subbase layers where the ground types

are different. Pavement calculations were limited to determining the thickness of the

concrete slab only which is not sufficient in any pavement structure calculation.

19. There seems to be an absence of check on flexural and corner stresses, the dowel and

tie bar calculations are missing as well. However, a verification on the flexural and corner

stress using AASHTO Guideline shows safe conditions for both stresses.

20. The Traffic ESALs for the period of service of 25 years has been taken as approximately

1.58 million for both the roads 4P-105 and 4P-100 though the traffic counts are different.

21. The design was checked and verified using other International methods such as

AASHTO and IRC using the same data and available soil parameters, and the thickness

of the different layers of the pavement structures was found to be adequate and safe.

22. In the absence of submission of any on flexural and corner stresses as well as the dowel

and tie bar calculations, a verification on the flexural and corner stresses was performed

following Rigid pavement Design based on AASHTO and was found to shows safe

conditions for both stresses.

23. Though there is a mention in the report about the transverse expansion and compression joints and the report indicates that the distances between the joints and the thickness of the gaskets were determined by calculation, but no such calculations were performed.

24. In absence of any information on the parameters regarding expansion, compression,

and construction joints as well as calculations for dowels and tie bars, a check on Dowels

and Tie bars was conducted for a pavement thickness of 27cm with slab widths of 3.75m

and transverse expansion joints at a distance of 4.5m A suggested dowel parameters

and tie bar parameters are given for a guide to the contractor, however, the contractor

should verify again with available field and lab parameters.

i. Diameter of Dowel bar – 3.2cm

ii. Spacing between bars c/c – 30cm

iii. Number of Bars in a slab – 12

iv. Length of each bar – 50cm,

Likewise, for Tie bars

v. Diameter of Tie bar – 1.2cm

vi. Length of Tie bar – 58 cm

vii. Spacing between Tie bars c/c 42cm

25. In the absence of any calculation submission for Flexible pavement, the pavement

structure for the flexible pavement section as suggested in the report was verified using

Flexible Pavement Calculation Structural Design Guidelines for Flexible Pavements

AASHTO using a structure coefficient for each unit layer of a unit thickness of 1 in. No

ADT for the side roads is available.

A.2.3 Design Life

26. The design guideline for the calculation of rigid pavements in force in the Republic of

Uzbekistan, MKN 44-2008, determines a minimum design life period of 25 years for

cement concrete road pavements. This is in line with the present international practice.

A properly constructed cement concrete pavement should serve for a minimum period

of 25 to 30 years.

A.3 Comparison with common Practice and Conclusion

27. Jointed plain concrete pavement (JPCP) is widely used in road construction for heavy-

duty roads all over the world. The construction technology used in Uzbekistan is similar

to the common practice in Canada. The slabs are continuously cast employing special

pavers without reinforcement and dowels and anchors are placed at the locations of

foreseen transverse and lateral joints. However, some technological lag behinds may

be notices at the quality of the finish of the concrete surface. Immediately behind the

paver, the surface gets the desired finish by grinding /smoothing and a few hours later,

when the concrete is strong enough, transverse and lateral joints are cut. Transverse

joints shall have a depth of 25 to 30% of the slab thickness and lateral joints between

40 and 45% of the slab thickness. The surface is cured to prevent uncontrolled cracks

due to creeping and shrinkage.

28. Rigid Pavement Design - Based on AASHTO Supplemental Guide determines the

thickness of pavement structures depending on the design life load (18Kips ESALs over

Initial Performance period - 1.6mil ESAL). Based on the traffic data provided by TDI and

considering a design life of 25 years, initial serviceability 4.5; Terminal Serviceability of

2.5, and Reliability of 95% the proposed cement concrete pavement structure is as

follows:

• Cement concrete surface layer, thickness 10.14 inches (25.8 cm)

• Dry lean concrete base course layer, thickness 7 inches (18 cm)

• Gravel / crushed stone sub-base, thickness 20 inches (53 cm)

29. The total thickness of the above-shown pavement structures accounts for 96.8 cm,

whilst the proposed one from DI accounts for 98 cm. Thus, it can be assessed, that the

pavement design for the project road with proposed new cement pavement is in general

adequate for the assumed subgrade condition.

30. It was noted, that the required strength of the dry lean concrete base course layer shall

correspond to M75 or B5 according to GOST 26633-12. In international practice various

values for the strength of the Cement Treated Base are used, e.g. in Germany, the

required compressive strength for this layer is given as 15 N/mm2 for a cylinder sample,

thus being 20 N/mm2 for cube samples. AustRoads suggest a minimum compressive

strength of 5 MPa with an additional upper limit to shrinkage strain. FHWA limits the

strength to between 750 to 1200 psi or 5 to 8.3 MPa. Therefore, the layer strength is

assessed to be in the common range and the pavement structure calculations of DI

based on the given value result in a sufficient performance during the design life period

31. An unwoven geotextile layer is placed between the dry lean concrete base course layer

and the cement concrete pavement as a separator. This is in line with best international

practice. The specifications for the project shall determine the requirements for the

geotextile to be used.

32. Flexible Pavement Design - Based on AASHTO Guide determines the thickness of

pavement structures depending on the structural number required for the particular

traffic load. The proposed pavement structure gives a structural number of 4.71 which

is adequate for proposed side roads and access/approach roads.

A.3.1 Deviation from Standard

33. The proposed design values of the geometric design standards are usually intended to

guide the design rather than to be considered as rigid minima. It should be realized that

information and values presented in the design guidelines are considered as a ‘design

standard’, but more appropriately described as good engineering practice that should be strived to achieve. But the justification for the construction of a particular road will

always be based on a detailed technical and economic appraisal, and relaxations of

standards may be essential to achieve an acceptable level of return on investment.

However, the safety implication of a substandard road section needs serious

consideration

A.4 Recent Advancements and Recommendations:

34. There has been recent advancement in the research and implementation of

technologies around the developed world to increase the life span of concrete pavement.

Some of the recommended prominent methods are described below:

35. Two-lift construction: Countries like Austria, Belgium, the Netherlands, and Germany

use a two-lift construction technology to build concrete pavements with good friction and

low noise characteristics, economize on the use of aggregates, and use reclaimed

paving materials. In two-lift construction, a relatively exposed aggregate surface lift

containing high-quality aggregates is placed atop a lift containing virgin aggregates of

lesser quality or reclaimed aggregate from concrete or asphalt pavements, resulting in

materials cost savings.

36. Catalog design: The catalog design method is a simple procedure for selecting an initial

pavement structure. Most European countries have routinely used design catalogs to

select pavement thicknesses and some other pavement features. The design features

and thicknesses in the catalogs reflect long-term experience with the local climate,

materials, and traffic levels. These experiences are validated through analysis by expert

teams using mechanistic principles through laboratory testing and field observations to

validate the cross-sections in the design catalogs. The designs are defined and refined

about every 5 years. The use of a catalog for selecting pavement thicknesses and other

pavement design features offers advantages of consistency and simplicity. As the

Catalog design is not itself a design procedure, but rather a medium for identifying

appropriate pavement design features for use in pavement analysis, the quickest form

of developing a catalog design is simply to incorporate the standard designs that have

shown good, consistent, long-term performance. A design features matrix is another part

of the catalog concept that identifies alternatives for features (e.g., base types) and

provides information on such items as the cost, performance, and feasibility of

constructing the feature to allow an agency to make an informed decision on whether to

include it in a design.

37. Deep, high-quality foundations: The unbound granular materials used for concrete

pavement subbases in Europe are generally better-quality materials (better graded,

better draining although not open-graded, and with lower fines content) than the

materials typically used as select fill and granular subbase elsewhere. Recycled

concrete is commonly used in the base material of pavements after it is fractionated as

a part of the grading. Cement-treated bases are also in wide use in several countries,

with an asphalt or geotextile interlayer as a separator. Also, it was noted that intelligent

compaction is used in Austria. Germany uses a plate load test for quality assurance of

layer compaction equipment. Attention to mix design components: One key to long-

lasting concrete pavements in Europe appears to be the great attention to cement and

concrete mixture properties. The mixtures produce strong, dense, and durable concrete,

despite the apparent widespread presence of reactive aggregates in western Europe.

The flexural strength noted in the top lift was about 1,000 pounds per square inch (7

megapascals), much higher than the typical flexural strength target in the United States.

The careful consideration of cementitious materials used in the mix is one area that

could yield benefits for the United Stat

38. Thick Separation Layer: A key detail recently introduced in Germany for cement-

treated bases is the use of a thick geotextile interlayer to prevent the concrete slab from

bonding to the cement-treated base. This geotextile material is thicker than the materials

commonly used for layer separation purposes in other countries. It is sufficiently porous

that mortar from the fresh concrete permeates the geotextile, which provides a good

mechanical bond of the geotextile to the concrete layer while achieving separation from

the base layer. This geotextile may provide a suitable alternative to the asphalt interlayer

used in many countries. The required concrete thickness for the cement-treated base

alternative was increased from 10.2 to 10.6 in (26 to 27 cm) when the design was

changed from one with a bonded base to one with a base separated from the slab by a

geotextile. In the other countries visited, the typical interlayer between a concrete slab

and a cement-treated base is a layer of hot-mix asphalt concrete.

39. Low-noise Concrete Pavement Surface: The concern about noise pollution as an

environmental issue is evident in densely populated, traffic-congested Europe. The

solution to concrete pavement noise popular in some European countries is exposed

aggregate surfacing, in which exceptionally high-quality, durable aggregates are used

in the top course of the concrete slab, and a process of set retardation and abrasion is

used to produce an exposed aggregate surface with good low-noise properties. Exposed

aggregate has also other benefits, such as good friction and durability. Great attention

is given to aggregate selection, quality, and gradation, especially for the top layer, in

countries using two-course construction. In the United Kingdom, concrete pavement is

overlaid with asphalt to reduce noise. Favorable noise levels are also be achieved by

specific pavement texturing techniques such as a. Tined textures [a. Transverse - i.

Uniformly spaced ii. Randomly spaced; b. Longitudinal (uniformly spaced)]; b. Drag

textures [a. Artificial turf b. Burlap c. Broom] and c. Diamond grinding (for both new

concrete pavement surfaces and surface restoration).

40. Maintenance techniques: In most of the countries, there is little or no need to do

maintenance of concrete pavements. Most often, Joint resealing is conducted only in a

sporadic manner, if at all. One widely used maintenance technique is a thin asphalt

overlay to correct rutting caused by studded tires or mitigate tire-pavement noise. Only

in Canada, diamond grinding is used to improve smoothness on bare concrete

pavements as and when necessary to improve the ride quality.

A.5 APPENDIX – List of Errors

List of Errors in the submitted - The feasibility study "Reconstruction of highways 4P105

(Darband-town. Boysun-k. Elbaen) on the section km 5-70 (Lot-1 & Lot-2) and 4P100

(Manguzar-town. Zharkurgan, Bandikhon, Oltinsoy-town of Denov) on the section km

128-174 (Lot-3; 3sections), are as follows:

1. In section 2 - "Basic parameters of the project" in all 3-Lots there are errors in the

designation of the corresponding parameters of bridges and overpasses: in table 2.17, the

vehicle loads A14 NK-120 instead of A14, NK-100 are incorrectly indicated; in the table.

2.19 and 2.21, data on the main parameters of structures are not provided.

2. In section 2, subsection "Constructive features of a cement-concrete road", the description

provides information about the transverse expansion and compression joints and indicates

that the distances between the joints and the thickness of the gaskets were determined

by calculation, although, in reality, such calculations were not performed. Pavement

calculations were limited to determining the thickness of the concrete slab only, despite

our previous remarks made.

3. The design specifications for the reconstruction of the 4p-105 highway "Darband town -

Boysun town - Elbaen town" on section km 5 - 37.5 (Lot-1 & Lot-2) have the following

corrections and additions:

• "State Specifications" - the reference to the main regulatory standard is missing -

SHNK 2.05.03 -12 - ShNK 2.05.03-12;

• "State Specifications" - a reference to the main regulatory standard - Bridges and

Pipes - KMK 3.06.04-14 was mistakenly given;

• "Changes to Paragraph 605" - Construction of Geotextile or Moisture-Proof Plastic

Membrane Interlayer - This material is not a plastic Membrane, but a Geotextile

Interlayer Geotextile Membrane;

• In the “8. Road dresses"- - waterproofing layer made of rolled geotextile

(propylene) material - must be - semi-propylene;

4. The design specifications for the reconstruction of the 4R-100 highway "k.Manguzar-

Zharuron-k.Bandikhon-k.Oltinsoy-g. Denov" on the section km 128-174 (Lot-3) have the

following corrections and additions:

• "State Specifications" - the reference to the main regulatory standard is missing -

SHNK 2.05.03 -12 - ShNK 2.05.03-12;

• "State Specifications" - a reference to the main regulatory standard - Bridges and

Pipes - KMK 3.06.04-14 was mistakenly given;

• In section “8. Road dresses”- a waterproofing layer made of rolled geotextile

(propylene) material - must be - semi-propylene;

• In section “10. Traffic interchanges and junctions (exits) "there is an error in the

number of traffic junctions.

5. There are several typing errors, such as the modulus of elasticity of the concrete of the

pavement slab is incorrectly indicated - E = 330,000 MPa (ten times more). The calculated

value of Ku is not 0.43; fpol is not 0.35, etc.

INTERNAL. This information is accessible to ADB Management and staff. It may be shared outside ADB with appropriate permission.

Initial Environmental Examination Uzbekistan: Surkhandarya Regional Road Project

(Available at: https://www.adb.org/projects/documents/uzb-53312-001-iee-2)

Annex 6

INTERNAL. This information is accessible to ADB Management and staff. It may be shared outside ADB with appropriate permission.

Uzbekistan: Surkhandarya Regional Road Project Land Acquisition and Resettlement Plan

(Available at: https://www.adb.org/projects/documents/uzb-53312-001-rp)

Annex 7

Poverty and Social Assessment Report

Document Stage: Revised draft Project Number: 53312-002-UZB Date: June 2021

Uzbekistan: Preparing the Surkhandarya Regional Road Project

Prepared by the Committee for Roads Under Ministry of Transport of the Republic of Uzbekistan

The Poverty and Social Analysis is a document of the borrower. The views expressed herein do not necessarily represent those of ADB’s Board of Directors, Management, or staff, and may be preliminary in nature. In preparing any country program or strategy, financing any project, or by making any designation of or reference to a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

Annex 8

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ABBREVIATIONS ADB – Asian Development BankCAREC – Central Asia Regional Economic CooperationCoR – Committee for RoadsDBUK - Development Business UK Ltd.EA – Executing AgencyFGD – Focus Group DiscussionGDP – Gross Domestic ProductIA – Implementing AgencyMoT – Ministry of TransportNGO – Non-Governmental OrganisationTRTA - The Transaction Technical AssistanceUZS – Uzbekistan Som (currency)

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CONTENTS

1. PROPOSED PROJECT .......................................................................................................... 41.1 PROJECT OBJECTIVES AND SCOPE ................................................................................................................... 4

1.2 PROJECT ROAD DESCRIPTION ........................................................................................................................... 4

1.3 PROJECT BENEFITS AND IMPACTS ..................................................................................................................... 5

2. STATISTICAL OVERVIEW .................................................................................................... 7

3. OBJECTIVES AND METHODOLOGY OF POVERTY AND SOCIAL ASSESSMENT23

3.1 DATA COLLECTION........................................................................................................................................... 23

3.2 SELECTION OF INDICATORS ............................................................................................................................. 23

3.3 SAMPLING DESIGN ........................................................................................................................................... 24

3.4 PROCESS FOR DATA COLLECTION AND ANALYSIS .......................................................................................... 24

3.5 SECONDARY INFORMATION .............................................................................................................................. 26

4. FINDINGS OF THE SOCIO ECONOMIC SURVEY ........................................................ 274.1 INTRODUCTION .................................................................................................................................................. 27

4.2 DEMOGRAPHIC DATA AND ETHNICITY OF RESPONDENTS ................................................................................. 27

4.3 EDUCATION AND OCCUPATION ......................................................................................................................... 28

4.4 INCOME AND EXPENDITURES ............................................................................................................................ 30

4.5 PROPERTY AND ASSET OWNERSHIP ................................................................................................................. 34

4.6 AWARENESS AND PERCEPTIONS ABOUT THE PROJECT ................................................................................... 36

4.7 ROAD USE FEATURES ....................................................................................................................................... 37

5. GENDER PERSPECTIVE .................................................................................................... 415.1 BACKGROUND ................................................................................................................................................... 41

5.2 GENDER ANALYSIS METHODOLOGY ................................................................................................................ 42

5.3 SURVEY FINDINGS ............................................................................................................................................ 42

6. POVERTY PROFILING ........................................................................................................ 466.1 BACKGROUND ................................................................................................................................................... 46

6.2 SURVEY FINDINGS............................................................................................................................................. 48

7. FINDINGS OF THE DISCUSSIONS IN FOCUS GROUPS ............................................ 50

8. KEY INFORMANT INTERVIEWS ....................................................................................... 598.1 CONSULTATIONS IN THE PROJECT AREA ......................................................................................................... 59

8.2 DETAILS OF CONSULTATIONS ........................................................................................................................... 59

9. SALIENT FINDINGS ............................................................................................................. 74

ANNEXES ................................................................................................................................... 76

ANNEX 1. LIST OF MEETINGS .............................................................................................. 76

ANNEX 2. CENSUS AND SOCIO-ECONOMIC SURVEY QUESTIONNAIRE ................ 78

ANNEX 3. QUESTIONS FOR DISCUSSION IN FOCUS GROUPS ................................. 88

ANNEX 4. QUESTIONS FOR DISCUSSION WITH KEY INFORMANTS ........................ 93

ANNEX 5. LISTS OF PARTICIPANTS OF FOCUS GROUP DISCUSSIONS ................. 96

ANNEX 6. LIST OF PARTICIPANTS OF GROUP DISCUSSION ................................... 111

ANNEX 7. PHOTOGRAPHS .................................................................................................. 112

ANNEX 8. LIST OF REFERENCES CONSULTED ............................................................ 121

ANNEX 9. SPRSS .................................................................................................................... 123

ANNEX 10. GENDER ACTION PLAN .................................................................................. 126

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1. PROPOSED PROJECT

1.1 Project Objectives and Scope 1. The proposed Surkhandarya Regional Road Project (Project) aims to upgrade the existentsignificantly deteriorated 106.4 km two-lane road between Derbent and Denau to two-laneinternational standard road suitable for a 20-year service life. The actual design contains the roadsections with 2, 3, 4 and 6 traffic lanes. The project road links the following roads: the CentralAsia Regional Economic Cooperation (CAREC) 3b corridor; the road from Russian Federation toMiddle East; the road to South Asia via Dushanbe; and CAREC 6b corridor from Europe to MiddleEast and South Asia via Dushanbe. The project will lead to enhanced regional cooperation andinclusive economic growth in Uzbekistan, particularly in the Surkhandarya oblast and will improvequality and efficiency of road transport service.

1.2 Project Road Description 2. Administratively, the road is located in Surkhandarya region of Uzbekistan and traversesthrough four districts, namely Baysun, Bandikhan, Altynsay and Denau. The Project Roadcomprises the sections of the existent roads 4R105 and 4R100. The 4R105 road starts from thejunction with km 1333 of M39 highway and ends at km 128 of 4R100 Road at the junction withM41 road. The location of the proposed project is demonstrated on the Figure 1 below. The projectroad does not include the section from km 0 to km 5 of the road 4R105.

Figure 1: Location of the project road

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3. The Transaction Technical Assistance (TRTA) for the preparation of the Project wasinitiated, and Development Business UK Ltd. (DBUK) was engaged on 25 February 2020 as aconsultant to assist the Government of the Republic of Uzbekistan (RoU) with developing theproject preparation documentation required to enable Asian Development Bank (ADB) to processfinancing for the proposed Project.

4. The width of the existing project road is on average 12-15 m. The height of the highwayembankment varies from 0.5 to 2.5 m. The road conditions investigation detected the followingtypes of pavement deterioration: (i) disintegration (ravelling, potholes), (ii) cracking (fatigue, block,edge, longitudinal, transfers cracks, etc.); (ii) distortion (rutting, showing, patch failures, etc.);Therefore, the current road is not able to safely accommodate even existent traffic rates.Considering the rapid development of Surkhandarya region and importance of the road as part ofinternational corridor the forecasts indicate significant increase of the traffic by 2020 thatnecessitates the fastest upgrade of the road to the required conditions.

5. The road will be rehabilitated to meet an international roughness index of 3 m/km. Trafficcontrol and safety facilities are incorporated into the design solutions. The journey time betweenDerbend to Denau will fall from the current 3 hours to 1.5 hours, with average design speeds of100 km/hr. The improved road will provide Uzbekistan with a higher standard link to Tajikistan. Atthe national level it will improve domestic connectivity along the road corridor.

6. In addition, the Project will install the Weigh in Motion stations in two locations nearby theDerbend and Denau in order to ensure vehicle overloading control and prevent pre-maturepavement failure. The advanced systems designed to weigh vehicles at normal operational speedallows the real-time classification of vehicles by type, measure its weight, and process, sort,analyze, and transmit recorded data for enforcement.

7. The Executing Agency (EA) responsible for the project is the Committee for Roads (CoR),working under the Ministry of Transport (MoT). Due to reforms in recent years in Uzbekistan, theCoR has been entrusted to the MoT as per the Decree of the President of the Republic ofUzbekistan “On measures for the sustainable accomplishment of the system of state control inthe sphere of transport” (No. UP-5647 dated 1 February 2019). In accordance with the Decree ofthe President of the Republic of Uzbekistan No. PP-4545 dated 9 December 2019, the RepublicanRoad Fund was transformed into Avtoyulinvest Agency which will be the Implementing Agency(IA) for the proposed project. As the MoT is responsible for implementation of a unified technicalpolicy in the field of roads, ensuring a comprehensive solution to the issues of financing, design,construction, repair and maintenance of roads, it coordinates Avtoyulinvest Agency’s functions.

1.3 Project Benefits and Impacts 8. Road network is a key element of the economy of the Republic of Uzbekistan. Its effectivefunctioning and sustainable development are important for its economic growth, integrity andnational security, as well as to improve living standards and livelihoods. Roads are an essentialpart of the transport infrastructure. The share of road transport accounts for 90.3 percent of thevolume of freight traffic. Also, there is a steady increase in long-distance journeys. The primaryeconomic benefits of the investment program are cost savings from vehicle operation, reductionin travel time, and lower transaction costs related to transportation. Other benefits are: i)establishment of the road linking international transport corridors), ii) improvements in roadtransport efficiency, iii) increase in freight and passenger transport due to improvements in thequality of roads, iv) less road crashes due to improvements in road safety.

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9. The settlements in the project area that are located away from the project road would haveimproved connectivity with major trading, educational and administrative centres (both at districtand regional level). Further, the improved road will reduce the travel time to the residents of thesettlements along this road, to work place, hospitals, markets and educational institutions. Betterconnectivity to the districts’ and regional centres and to the border of Tajikistan will lead toindustrial growth along the project road that will result in employment generation. However, forimproving the road the project will require 74,998.4 sq.m. of land under private use (includingdemolition of structures and uprooting of trees), resulting in negative impact on 169 households(172 land plots).

10. The project will create temporary employment opportunities during construction works(approximate initial estimated number of jobs is 2500). In addition, it is also expected that about60-70 jobs will be created during operation phase of the road and will be involved in maintenanceworks. The personnel to be engaged for both the road construction and maintenance will betrained in accordance with the technical specifications.

2. STATISTICAL OVERVIEW

2.1 Administrative

11. The Republic of Uzbekistan is situated between the rivers Amu Darya and Syr Darya, andcovers an area of 448.9 thousand sq. km. The length of the territory of the Republic from west toeast is 1425 km from north to south is 930 km. The territory in the north and north-east of theRepublic of Uzbekistan borders with Kazakhstan, in the east and south-east with Kyrgyzstan andTajikistan in the west with Turkmenistan, in the south with Afghanistan. The total length of thecountry border is 6221 km. The long border with Afghanistan is 137 km, with Kazakhstan is 2203km, with Kyrgyzstan is 1099 km, with Tajikistan is 1161 km and Turkmenistan is 1621 km.

Figure 2: Physical map of the Republic of Uzbekistan

12. The Republic of Uzbekistan for administrative purpose is divided into 12 provinces andthe Republic of Karakalpakstan, which represents about a third of the country in land area in thenorthern part of Uzbekistan. Due to its location within a series of endorheic basins, none of itsrivers lead to the sea with the two largest emptying into the Aral Sea. Uzbekistan has a continentalclimate, with a relatively short winter season and a long growing season with adequate waterresources for most part of the country. The average summer temperature tends to be about 40C(104F), while the average winter low temperature is around -23C (-9F).

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13. The population of the republic is 34,695,5531 people and the key details on the area, number of districts, communities, population)2 by region are presented in the table 1 below. Table 1: Administrative area and population by region

Administrative area

Area (thousand

sq.km.)

Districts Total - cities

Total population, thousand

people

Urban population, thousand

people

Rural population, thousand

people Republic of Uzbekistan 448.97 172 120 34558.9 17487.5 17071.4

Republic of Karakaplakstan 166.59 16 12 1923.8 942.1 981.7

Andijan 4.30 14 11 3188.2 1665.9 1522.3 Bukhara 40.22 11 11 1946.9 715.5 1231.4 Djizzak 21.21 12 6 1410.6 659.9 750.7 Kashkadarya 28.57 13 12 3334.5 1433 1901.5 Navoi 111.09 8 7 1013.8 495.7 518.1 Namangan 7.44 11 8 2867.4 1852.9 1014.5 Samarkand 16.77 14 11 3947.4 1458.6 2488.8 Surkhandarya 20.1 14 8 2681 971.4 1709.6 Syrdarya 4.28 8 5 861.1 366.9 494.2 Tashkent 15.25 15 16 2994 1469.6 1524.4 Fergana 6.76 15 9 3819.9 2152 1667.9 Khorezn 6.05 10 3 1893.1 626.8 1266.3 Tashkent city 0.34 11 1 2677.2 2677.2 0

14. Surkhandarya region is located in the extreme south-east of the country. Established on March 6, 1941, it borders Kashkadarya region of Uzbekistan internally, as well as Turkmenistan, Afghanistan and Tajikistan externally. The highest point of the region, and also Uzbekistan, is Khazrati Sulton peak reaching 4,643 m in Gissar Range. Total area covered by the region is 20,100 km² and comprises 4.47 % of the total territory of the country. The administrative-territorial structure of Surkhandarya region consists of 14 districts: the Angor, Bandikhon, Baysun, Denau, Jarkurghon, Kizirik, Kumkurghon, Muzrabot, Altinsay, Sariosiyo, Sherobod, Shurchi, Termez, Uzun. The proposed 106.4 km long Surkhandarya Regional Road passes through the Baysun, Denau, Bandikhon and Altinsay districts of the Surkhandarya region.

15. The map of the Sukhandarya region with its 14 districts is presented in the Figure 2 below.

1 The State Committee of the Republic of Uzbekistan on Statistics; data as of April 1, 2021; https://stat.uz (accessed in May 2021) 2 The State Committee of the Republic of Uzbekistan on Statistics; data as of January 1, 2020; https://stat.uz (accessed in May 2021)

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Figure 3: Map of Surkhandarya region and districts

16. The key details on the area, number of districts, communities, population by region3 arepresented in the table 2 below.

3 Main criteria of Surkandarya region for January – December 2020 provided by Khokimyat of Surkhandarya Region, the electronic files were provided to TRTA consultants

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Table 2: Administrative area details by districts

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

1 Date of establishment of region/district

6 March 1941 29 September 1926

30 November 2020

23 November 1981

29 September 1926

2 Area (thousand km²)

20.1 3.25 68.4 0.57 0.819

3 Administrative centre

Termez Baysun Bandikhon Altinsoy Denau

4 Boundaries Kashkandarya region (85.3 km), as well as Afghanistan (143 km), Turkmenistan (93.3 km), Tajikistan (343.1 km)

Kashkandarya region (80 km), and Sherobod (50 km), Kizirik (30 km), Bandikhon (56.8 km), Kumkurgan (52 km), Altynsay (42 km), Sariosiyo districts (130 km)

Baysun (56.8 km), Sherobod (23.8 km), Kizirik (22.8 km), Kumkurgan (70.2 km), Jarkurgan (10.5 km) districts

Shurchi (45 km), Kumkurgan (56.8 km), Denau (58.5 km), Baysun (37.3 km) districts

Shurchi (9.2 km), Altynsay (41.1 km), Sariosiyo (49.2 km), Uzun (30.3 km), Kumkurgan (26.0 km) districts

5 Main specialization

Agriculture (dekhan farming, horticulture, husbandry, gardening), light industry and textile, production of construction materials, coal mining and processing.

Production of construction materials (district has large reserves of coal, cement, gypsum, anhydride, clay, decorative stones), pharmaceutical industry, ecotourism

Growing and processing of agricultural products, animal husbandry, horticulture

Production of wine (vineyard cluster) and processing of horticultural products, basalt and construction materials (raw materials for sand-crushed stone)

Textile and knitwear industry, production of products from silk, processing of vegetables and fruits, production of leather footwear

17. The population is estimated at 2,681,000 (beginning of 2021 data), with 63.8% of population living in rural areas and 36.2% of urban residents. Population of 4 districts where the project road is located comprises 28.6% of the total population of the region. The regional capital is Termez with population of 179,572 (data from January 1, 2021). Other towns include Denau, Boysun, Jarkurghon, Kumkurghon, Shargun, Sherabad, Shurchi and Sariosiyo.

18. Fourteen (14) % of the total population of the region lives in Denau district, which is the second smallest by territory among four project districts. Denau is followed by Altynsay district, which is home to 6% of population (smallest by territory), Baysun district with a population of 4.4% and Bandikhan district (largest by territory) with a population of 2.9% of the total population of the Surkhandarya region. In total, 28.6% of the total population of region lives in the four districts where project road is located. Administrative and demographic key details for Surkhandarya

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region and 4 project districts4 are presented in the tables 3 and 4 below. Table 3: Administrative and demographic details by districts

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

1 Population, thousand people 2,680.8 117.5 76.5 180.2 392.2

1.1 Share of men in population, thousand people 1,354.7 60.2 38.9 92.5 200.2

1.2 Share of women in population, thousand people

1,326.1 57.3 37.6 87.7 192.0

2.1 Share of women in the total population, %5 49.5 48.8 49.2 48.7 49.0

2.2 Share of men in the total population, %6 50.5 51.2 50.8 51.3 51.0

3 Urban population, thousand people 971.2 48.6 13.9 71.9 136.6

3.1 Share of men in urban population, thousand people

488.4 24.6 7.4 36.5 71.9

3.2 Share of women in urban population, thousand people

482.8 24.0 6.5 35.4 64.7

4 Rural population, thousand people 1,709.6 68.8 62.5 108.1 253.0

4.1 Share of men in rural population, thousand people

866.3 35.5 31.4 56.0 128.4

4.2 Share of women in rural population, thousand people

843.3 33.3 31.1 52.1 124.6

5 Share of project districts population in the total population of region %

- 4.4 2.9 14.6 6.7

6 Population density (number of people per 1 km²) 133.4 36.6 113.2 316.0 344.1

7 Cities of district subordination 7 1 None None 1

8 Town (small rural towns) 114 4 3 1 11 9 Number of makhalla

gatherings of citizens 721 39 22 54 103

10 Number of households 461,300 21,862 14,600 28,674 63,397 11 Number of families 629,000 27,169 17,700 39,876 98,443

4 Surkhandarya Regional Department of the State Committee of Statistics of the Republic of Uzbekistan: https://www.surxonstat.uz (accessed in May 2021) 5 The State Committee of the Republic of Uzbekistan on Statistics; data as of January 1, 2020, https://stat.uz (accessed in May 2021) 6 The State Committee of the Republic of Uzbekistan on Statistics; data as of January 1, 2020, https://stat.uz (accessed in May 2021)

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Table 4: Number of permanent population in Surkhandarya region and project districts by age

Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

Total 2680800 117500 76512 180162 392239 0-2 205597 8840 6022 14262 30830 3-5 185069 8219 5611 12597 26982 6-7 113605 5250 3263 7359 16691 8-15 394195 18254 10736 25402 63673 16-17 82101 3995 2487 5017 11817 18-19 84025 4007 2495 6044 11569 20-24 236668 10302 7477 17851 31933 25-29 261497 11369 8061 19559 37366 30-34 239357 10376 6851 16726 35429 35-39 195801 9245 5254 12420 29730 40-49 285447 12569 7623 17262 40447 50-59 215441 7842 5741 14186 29562 60-69 125526 5007 3209 7707 18076 70-74 27008 963 746 1690 3823 75-79 14037 285 569 1012 2008 80-84 8943 562 213 622 1268 85 and over 6483 415 154 446 1035

19. Life expectancy in the country according to the estimates for 1 January 2020 is 75.1 years,including 77.4 years for women, 72.8 for men.7 This indicator for the Surkhandarya region(available for 2019) is 75 years old, including women - 77.3 years old, men - 72.9 years old.8

20. Project road passes through the 24 makhallas (with a total of 78,427 residents), which areimmediately located along the road. The project road provides connectivity to major settlementsof Denau, Derbent, Baysun and Altynsay. From these settlements Denau, Baysun, Altynsay arenot located immediately along the project road, which passes through the settlement of Derbent.In its most part the project road passes along uninhabited barren land and mountainous terrain.

Table 5: List of makhallas located along the project road

№ District Name of makhalla Total population in makhalla

Number of families in makhalla

1. Baysun Darband 3855 790 2. Babishirin 3468 962 3. Mustakillik 4086 1032 4. Shursoy 4915 1176 5. Boshrabot (Rabot) 4621 1175 6. Gaza 4087 1078

7 State Committee of the Republic of Uzbekistan on Statistics; data as of January 1, 2020; https://stat.uz/ru/ofitsialnaya-statistika/demography; (accessed in May 2021) 8 State Committee of the Republic of Uzbekistan on Statistics; Main criteria of Surkhandarya region for January – December 2019; https://www.surxonstat.uz (accessed in May 2021)

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№ District Name of makhalla Total population in makhalla

Number of families in makhalla

7. Bandikhon Obikor 2862 640 8. Altynsay Batosh 3444 955 9. Mustakillikni 10 yilligi (10-th year

of Independence)3531 815

10. Guliston 2889 726 11. Yangikurilish 3449 786 12. Ipok 4152 965 13. Khalkobod 2805 768 14. Ekraz 3612 750 15. Mirshodi 2755 710 16. Yakka tut 3937 995 17. Shakarkamish 3319 636 18. Okarbulok 3374 895 19. Shokhcha 2668 615 20. Navruz 3085 688 21. Makhalla named after Ali Butayev 2913 605 22. Bibizaynab 4600 1200 23. Denau Kuzichokli 3926 958 24. Tasmasoy 5710 1574

21. Ethnic composition. With respect to the ethnic composition it shall be noted that the vastmajority (84.5%) of the population of the region are Uzbeks followed by Tajiks (12.4%). However,in Baysun district, Tajiks represent significant share in population (42.3%) and while they possessgood knowledge of Uzbek language this is also a Persian-speaking area (along with Samarkandand Bukhara ) where most Tajiks of Uzbekistan are concentrated.

Table 6: Main ethnic groups in the project area

№ Ethnicity, % of total population of region

Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

1. Uzbek 84.5 57.3 97 94.1 84.1 2. Tajik 12.4 42.3 2 5.3 14.5 3. Turkmen 1.2 0.1 0.1 0.1 - 4. Russian 0.8 - - - - 5 Kirgiz - - - - 0.1 6. Other nationalities 1.1 0.3 0.9 0.5 1.3

22. Macroeconomic indicators. Gross regional product in Surkhandarya region amounts to24,003.6 bln UZS and its share in the republican GDP equals to 4.3%. The Gross regional productin Surkhandarya region per capita comprises 9,040,600 UZS. The key macroeconomic indicatorsin the republic and Surkhandarya region9 are summarized in the table below.

9 Main Characteristics of the Socio-Economic Development of the Republic of Uzbekistan for January – December 2020, www.stat.uz (accessed in May 2021)

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Table 7: Key macroeconomic indicators of Republic of Uzbekistan and Surkhandarya region

Criteria Republic of Uzbekistan Surkhandarya region bln UZS share in

republic, % bln UZS share in

GRP, % share in republic

GDP, % Gross Regional Product, including

580,203.2 100 24,003.6 100 4.3

Agriculture, forestry, fisheries 151,251.0 26.1 11,736.8 48.9 7.8 Industry 152,728.0 26.3 1,823.3 7.6 1.2 Construction 37,488.5 6.5 2,048.5 8.5 5.5 Trade, accommodation, catering services

37,194.4 6.4 1,956.8 8.2 5.3

Transportation, storage, communication

38,531.5 6.6 1,035.6 4.3 2.7

Other services 118,637.6 20.4 4,701.0 19.6 4.0 Net taxes on products 44,372.2 7.6 701.6 2.9 1.6

23. As can be seen from the table, the main contribution of the region falls on the sector of economy - agriculture, forestry and fisheries (7.8% in 2020). This is due to the geographic location of the region, access to the irrigation system of the Amu Darya River, as well as climatic features and early spring, which make it possible to harvest agricultural products three times a year. The next economy sectors with largest contribution to republican GDP are construction (5.5%) and Trade, accommodation and catering services (5.3%). The summary of key macroeconomic indicators in the regions and four project districts (Source: Statistical Bulletin of the Regional Department on Statistics for January – December 2020, the electronic copy was provided to consultant) is provided in the table below. Table 8: Key macroeconomic indicators of project districts and their input into region

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

Bln UZS share in republic GDP, %

Bln UZS share in region, %

Bln UZS share in region, %

Bln UZS share in region, %

Bln UZS share in region, %

1 Industrial products

5,515.9 1.5 98.4 1.8 6.2 0.1 113.4 2.1 869.4 15.7

2 Consumer goods

2,032.4 2.1 65.0 3.2 2.9 0.1 74.5 3.7 314.1 15.5

3 Agriculture, forestry, fisheries

19,921.7 7.7 981.4 4.9 658.9 3.3 958.4 4.8 3,088.8 15.5

4 Fixed capital investments

9,923.0 4.9 3,296.2 33.2 50.6 0.5 258.7 2.6 627.5 6.3

5 Construction 4,690.6 5.3 309.1 6.6 35.7 0.8 96.7 2.1 345.4 7.4 6 Retail 12,352.6 6.3 510.8 4.1 64.2 0.5 519.2 4.2 2,976.9 24.1 7 Services 7,919.7 3.6 204.2 2.6 64.5 0.8 266.7 3.4 1,625.4 20.5 8 Foreign trade

turnover (thousand USD)

421,713.8 1.2 9,448.6 2.3 3,255.5 0.8 11,839.7 2.8 79,497.5 18.9

9 Export (thousand USD)

218,289.2 1.4 6,062.0 2.8 577.2 0.3 9,116.7 4.1 42,237.8 19.3

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№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

Bln UZS share in republic GDP, %

Bln UZS share in region, %

Bln UZS share in region, %

Bln UZS share in region, %

Bln UZS share in region, %

10 Import (thousand USD)

203,424.6 0.9 3,386.3 1.7 2,678.2 1.3 2,723.0 1.3 31,259.7 15.4

24. Employment. Approximately 73.9% of the republic’s population (71.4% in Surkhandaryaregion) were economically active in 2020 (calculated as the ratio of economically active populationto the working-age population). In 2020, the employment rate in the republic was 66.1%,calculated as the ratio of the employed population to the working-age population. This indicatorfor the Surkhandarya region was 63.6%.10

25. The unemployment rate in 2019, according to the Ministry of Employment and LaborRelations of the Republic of Uzbekistan, amounted to 10.5% of the economically activepopulation. Compared to last year's figures, the present figure is 1.4% higher. The highestunemployment rate was recorded in Kashkadarya and Surkhandarya regions (about 11.1%). Andin the metropolitan area it is the lowest - 8%.11

26. The number of labor resources in 2020 showed an increase of 1.1%, and the number ofeconomically active population increased by 1.03% compared to 2019. It should be noted andnoted a sharp decrease in the number of voluntarily unemployed persons by 8.9%.

27. As to the migration, the number of people traveling abroad for labor activity in 2020compared to 2019 decreased by 12.6% in the republic and by 10.9% in Surkhandarya region.

28. The main indicators on population employment and labour resources in Surkhandaryaregion and four districts for 2020 are summarized in the table below.12

Table 9: Population employment and labour resources for 2020

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

1 Number of labour resources

1,475,200 66,029 43,886 98,467 209,600

2 Economically active population,

1,128,600 49,264 31,455 77,203 153,400

3 Economically inactive population

346,600 16,765 12,431 21,264 56,200

4 Employed population 999,300 42,532 27,176 69,798 135,900 4.1 incl. in official sector 339,300 12,994 5,626 21,500 37,200 4.2 incl. in informal sector 660,000 29,358 19,964 48.269 98,600 5 Those who left country

for employment purposes

112,500 2,218 1,586 13,513 14, 689

10 Statistical Bulletin of the District Department on Statistics for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report. 11 Statistical Bulletin of the District Department on Statistics for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report. 12 Statistical Bulletin of the District Department on Statistics for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report.

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№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

6 In need of employment

129,300 4,581 3,085 3,326 16,100

7 Unemployment rate, % 11.5 9.3 13.6 9.6 11.4 8 Minimum wage

(excluding the agri-culture sector and small businesses)

2,087,100 1,863,500 1,958,500 1,697,200 1,884,600

29. Distribution of employed men and women by employment sectors in the country and inSurkhandarya region for 2019 is summarized in the table below.13

Table 10: Distribution of employees by employment sectors for 2019

№ Criteria Republic of Uzbekistan Surkhandarya region Men Women Men Women

1 Total 58.6 41.4 65.1 34.9 2 Agriculture, forestry

and fisheries 56.8 43.2 51.4 48.6

3 Industry 56.0 44.0 69.9 30.1 4 Construction 93.8 6.2 96.0 4.0 5 Other 53.4 46.6 31.3 68.7

30. Income and social assistance. The poverty rate for Uzbekistan comprised 11% in 201914

(more recent data is not available). The poverty rate in Surkhandarya was estimated at 14.5% in2019.15

31. The total income of the population in 2020 in the country amounted to 11,728.8 thousandUZS, including 9,536.0 thousand UZS in Surkhandarya region. For comparison, the minimumlevel of this indicator is observed in the Fergana region (8,728.1 thousand UZS) and the maximumin Tashkent (23,563.1 thousand UZS). As to the structure of total income - 71.5% comes fromeconomic / labor activities, 3% from property, 25.5% from transfers (remittances).16

32. Average monthly salary in Surkhandarya in 2020 comprised 2,087,100 UZS. The highestaverage monthly salaries of employees for 2020 was registered in the areas of operations withfinance and insurance (4,089,700 USZ), industry, transport, construction, information andcommunication, and services (2,089,200– 2,938,000 UZS). The lowest average monthly salariesof employees for 2020 was registered in education and healthcare (under 2,000,000 UZS).

13 The State Committee of the Republic of Uzbekistan on Statistics; https://gender.stat.uz/ru/osnovnye-pokazateli/trud/zanyatost-naseleniya/1375-raspredelenie-chislennosti-zanyatykh-po-vidam-ekonomicheskoj-deyatelnosti-po-polu-v-srednem-za-2019-god (accessed in June 2021) 14ADB. Poverty Data: Uzbekistan; https://www.adb.org/countries/uzbekistan/poverty#:~:text=Poverty%20Data%3A%20Uzbekistan,day%20in%202019%20is%207.3%25. (accessed in May 2021) 15 The State Committee of the Republic of Uzbekistan on Statistics; The Global Goals for Sustainable Development; http://nsdg.stat.uz (accessed in May 2021) 16 The State Committee of the Republic of Uzbekistan on Statistics; Social-Economic Conditions in Uzbekistan; https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1377&Itemid=1000000000000 (accessed in May 2021)

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Average monthly wage of employees by type of economic activity in republic and Surkhandarya region for 2020 is presented in the table below.17

Table 11: Average monthly wages of employees by type of economic activity, in thousands UZS for 2020

Sector of economy Average monthly salary in republic, thousand UZS

Average monthly salary in Surkhandarya region, thousand UZS

% with respect to the republican numbers

1 Industry 3,682.9 2,626.7 71.3 2 Construction 3,212.3 2,920.3 90.9 3 Trade 2,748.1 2,142.9 78.0 4 Transportation and storage 3,405.3 2,938.4 86.3 5 Information and communication 4,368.8 2,530.5 57.9 6 Finance and insurance 6,230.6 4,089.7 65.6 7 Education 1,979.7 1,873.4 94.6 8 Healthcare and social services 1,808.5 1,783.6 98.6 9 Other services 2,672.4 2,089.2 78.2 Average monthly salary, thousand UZS

2,667.6 2,087.1 78.2

33. It shall be noted that the average monthly wage includes allowances, benefits, incentivepayments, compensation payments and wages for unworked hours, as well as withholding tax onincome and payments to labour union from individuals.

34. In the meantime, the minimum monthly wage was increased from February 1, 2021 andwas established at amount of 747,300 UZS.18

35. In 2020 (considering COVID-19 pandemic situation) the Government undertook the stepsto identify the vulnerable groups that need social support. The families living beyond the povertyline and in need of social assistance (most vulnerable from social perspective) were included inthe Iron notebook (such families usually do not own dwelling, they are unemployed and/or haveno source of income for extended periods, families with disable or chronically ill breadwinners,families with disables children, etc.). The vulnerability is often linked with high unemployment levelamong women and youth, thus the Women Notebook and Youth Notebook were established tohelp them to improve their living situation and become less vulnerable. For identified vulnerablewomen the assistance include loans for professional/specialized education, loans to startbusiness, allowance for repair in the house is in poor shape, etc. For youth the measures includedsupport in education, support in payment for studies in case there are few students in the family,starting up of a business activity, purchase of equipment required for work, etc.). The notebookswere created by the special multi-profile commissions, which were established based on thedecision of local authorities to ensure impartiality of the process (avoid corruption) and inclusionof the people who are indeed vulnerable. Summary information on vulnerable groups in

17 The State Committee of the Republic of Uzbekistan on Statistics; Social-Economic Conditions in Uzbekistan, https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1377&Itemid=1000000000000 (accessed in May 2021) 18 Decree of the President of the Republic of Uzbekistan on Measures to Ensure Implementation of the Law of the Republic of Uzbekistan on State Budget of the Republic of Uzbekistan for 2021; https://lex.uz/ru/docs/5193210 (accessed in May 2021)

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accordance with the records in Iron, Women and Youth notebooks in Surkhandarya region and four project districts is provided in the table below.19

Table 12: Vulnerable groups in accordance with the records in Iron, Women and Youth notebooks

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

1. “Iron notebook” (list of families in need of financial support)1.1 Total number of

families 629,000 27,169 17,700 39,876 98,443 1.2 Number of families

included in the list 52,496 2,590 1,067 3,842 8,893 1.3 Number of members

of families 231,561 11,462 4,409 17,396 39,833 2. Women notebook (list of women in need of social assistance)2.1. Women included in

the list 395,428 1,821 760 25,197 5,088

3. Youth notebook (list of young people in need of social assistance)3.1. Youth included in the

notebook 421,663 2,780 2,074 24,976 no data

36. In the meantime, the minimum monthly wage was increased from February 1, 2021 andwas established at amount of 747,300 UZS.20

37. In total 3,878,400 people received pension in 2019 in average amount of 733,200 UZS. InSurkhandarya region the number of people receiving pensions comprised 266,200 (6.8% ofpopulation) with the average pension amount of 673,800 UZS.21

38. Healthcare. According to the data provided by the Surkhandarya Healthcare department22,as of January 1, 2021 there are 63 medical institutions in Surkhandarya region, including 4medical complexes, 33 rural family polyclinics, 13 rural medical stations, 4 centralized polyclinics,70 private medical institutions. Total number of 63 medical institutions in Surkhadarya regioninclude 11 in Baysun, 12 in Bandikhon, 16 in Altynsoy and 24 in Denau districts. A total of 813doctors and 4,802 support healthcare workers are employed in medical institutions inSurkhandarya district. The region is equipped with 59 ambulances, including 9 in Baysun, 6 inBandikhon, 14 in Altynsoy and 30 in Denau. No information on prevalent diseases was availablein the statistical sources or provided by the responsible agencies. As to the number of COVIDcases, according to the official telegram channel of the Ministry of Healthcare23 as of June 18,2021, the number of COVID-19 cases in Surkhandarya is 1667, out of which the number ofrecovered persons comprised 1393 (Surkhandarya has the lowest recovery rate in the country,comprising 84% of infected).

19 Surkhandarya regional khokimyat; Passport (Main) Indicators of Surkhandarya region for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report 20 Decree of the President of the Republic of Uzbekistan on Measures to Ensure Implementation of the Law of the Republic of Uzbekistan on State Budget of the Republic of Uzbekistan for 2021; https://lex.uz/ru/docs/5193210 (accessed in May 2021) 21 State Committee of the Republic of Uzbekistan on Statistics; data as of January 1, 2020; https://www.stat.uz/uz/ (accessed in May 2021) 22 Copy of communication with Surkhandarya Healthcare department will be shared with this report. Consultant requested the data and the information was provided by telegram. 23 Official telegram channel of the Ministry of Healthcare of the Republic of Uzbekistan; https://t.me.ssvuz (accessed in June 2021)

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39. Information on HIV cases was provided by the NGO active in the project area (NGO“Barqaror hayot” works with HIV-positive people in the project area), which received it from HIVAIDS centre in Surkhandarya region. Data is available as of 1 January 2020, and according tothe provided information in total 2162 HIV-positive persons were residing in Surkahandaryaregion. During last 5 years (2015-2019), 1297 new cases were revealed (including 568 women),out of which the vast majority (1045 cases or over 80% of total number of cases) were infectedvia sexual transmission.

40. Education. There are educational institutions in Surkhandarya district (as of September 1,2020), including 1125 kindergartens with 98.7 thousand children, 934 secondary schools with504.3 thousand pupils, 59 secondary vocational education institutions (colleges, technicalschools, vocational schools) with 9.7 thousand students, and 6 higher education institutions with23.5 thousand students (higher education institutions include Termez State University, DenauInstitute of Entrepreneurship and Pedagogy, as well as branches of four institutions located inTashkent, namely: Termez branch of Tashkent State Technical University, Termez branch of theTashkent State Agrarian University, Termez branch of Tashkent State Pedagogical University,and Termez branch of the Tashkent Medical Academy). The details on educational institutions inSurkhandarya region and in project districts are summarized in the table below ( data providedas of the beginning of the 2020-2021 academic year, source website of the regional statisticsdepartment).

Table 13: Educational institutions in Surkhandarya region and in project districts

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

1 Number of kindergartens 1,125 61 5 (not in project area) no data 144

2 Number of places in kindergartens

no data 3070 450 (278 children) no data no data

3 Number of children in kindergartens

98757 4410 320 no data 9,296

4 The level of coverage of the population with preschool education,%

41,5 41,1% 4,5% no data 26,6%

5 The number of secondary schools 934 65 31 69 102

6 Number of teachers 44930 2,189 1,236 3,428 5,263 7 Number of schoolchildren 504318 25,102 12,278 33,006 74,089 8 Number of institutions of

secondary vocational education (college, technical school, vocational schools)

59 3 1 3 7

9 Number of students in in vocational schools, colleges 9,700 445 - 8,250 1,250

10 Number of teachers in vocational schools, colleges (without part-time jobs)

1,091 59 - 69 136

11 Number of universities 6 - - - 1 12 Number of students (B.Sc. and

M.Sc. programs) 23,577 4,003

13 Number of teachers 815 - - - 142

41. Transport. Currently, Uzbekistan has a huge transport potential and unique opportunitiesto meet the country's needs in the movement of both goods and passengers in all directions and

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all possible modes of transport. In the transport sector, as of January 1, 2021, 17,301 enterprises and organizations are operating. Compared to the same period in 2020, their number increased by 1,941, and the growth of 12.6% was observed in transport sector. In January-December 2020, 1,378.8 million tons of freight were transported by all types of transport, which is 104.5% compared to January-December 2019.. A significant part of the total volume of freight transportation is moved by road transport - 90.3%, transportation by other modes of transport accounts for 9.7%. In January-December 2020, the freight turnover of road transport amounted to 16,061.1 million t-km and, compared to the same period in 2019, it increased by 181.8 million t-km, or 1.1%.24

42. In the structure of passenger transportation by mode of transport, automobile transportprevails, the share of which is 99.1% of the total volume in 2020. The transportation of passengersin 2020 by all types of transport, compared to the same period in 2019, decreased by 13.0% andamounted to 5,240.4 million people. Passenger turnover amounted to 116.7 billion passenger-kilometers and decreased by 16.7%.25

43. The summary of the freight and passenger transportation in the republic and inSurkhandarya region for 2020 is presented in the table below. 26

44. It shall be noted that the project road is mostly used for the freight transportation (includingagricultural products) and commute of located residents mostly to district centers. There is no in-community public transport in the project area, with except of Altynsay where the public bussystem operates. As to the travel between the communities in the area, there are buses travellingfrom Denau to Altynsay with one-way fare is 1,000 UZS (source: discussion in focus groups #7).There is also daily bus commuting between Tashkent and Denau (trip take about 12 hours andcost 87,000 UZS)27.

Table 14: Main criteria in transport sector (republic and Surkhandarya region)

№ Criteria Republic of Uzbekistan Surkhandarya region in unit of measure

in % in unit of measure

in % of republic level

criteria 1 Freight turnover, mln ton-km 69,128.2 100.0 887.4 1.3 1.1 incl. by road 16,061.1 23.2 887.4 5.5 1.2 incl. private companies no data no data 342.2 no data 1.3 share in the total volume of

freight turnover,% no data no data 38.6 no data

2 Freight transportation, mln. tons 1,378.8 100.0 71.8 5.2 2.1 incl. by road, mln. tons 1,245.6 90.3 71.8 5.8

24 State Committee of the Republic of Uzbekistan on Statistics; https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1369&Itemid=1000000000000 (accessed in May 2021) 25 State Committee of the Republic of Uzbekistan on Statistics; https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1369&Itemid=1000000000000 (accessed in May 2021) 26 Statistical Bulletin of the District Department on Statistics for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report 27 Ministry of Transport of the Republic of Uzbekistan. Schedule of inter-city buses travelling from “Tashkent” station; https://mintrans.uz/ru/useful-articles/toshkent-avtovokzalidan-qatnovchi-shaharlararo-avtobus-yo-nalishlari-jadvali (accessed in May 2021)

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№ Criteria Republic of Uzbekistan Surkhandarya region in unit of measure

in % in unit of measure

in % of republic level

criteria 3 Passenger turnover, mln

passengers-km 116,690.5 100.0 5,112.1 4.4

3.1 incl. by auto transport 111,595.9 95.6 5,112.1 4.6 3.2 incl. by private car no data no data 4,215.0 no data 3.3 share in the total passenger

turnover, % no data no data 82.5 no data

4. passengers carried by transport, mln. people

5,240.4 100.0 212.8 4.1

4.1 incl. by auto transport 5,192.9 99.1 212.8 4.1 45. Accidents. During January – December 2020 the number of transport accidents in Surkhandarya region comprised 308, which is by 119 accidents less than the number for 2019 (427 accidents). Number of the injured in the transport accidents comprised 263 in 2020, which is by 101 person less than the number of injured in the transport accidents in 2019 (364 persons).28

46. Access to utilities. Surkhandarya region and project area districts is fully supplied with electric power. Drinking water is available at around 60.6% of households in the settlements in Surkhandarya region (the provision of drinking water among project districts is highest in Baysun – 64% of households, and lowest in Bandikhon – 42.2% of households). As to the sewerage, it is absent in the project area, however the system is being currently build in Denau. With respect to the gas supply, it shall be noted that majority of the households in the settlements in Surkhandarya region (80.9%) are provided with natural gas (the supply of natural gas among project districts is highest in Altynsay – 95.5% of households, and lowest in Denau – 70.2% of households).29

47. The households in the settlements which are not connected to the natural gas supply infrastructure are using the liquid gas. During the discussion in focus groups, the participants noted that each household has two gas tanks, which every month are being taken for the refill by JSC KhududGazTaminot – Territorial department on gas supply under the Ministry of Energy; one refill of each tank costs 24,000 UZS).

48. Business entities. In Surkhandarya region 26,615 legal entities (business enterprises) were operating in 2020, including 7,213 in trade, 4,312 in industry, 3,745 in agriculture and forestry, 2,571 in construction, 1,672 in food and accommodation services, 864 in transportation and storage, 390 in healthcare and social services, 298 in information and communication, and 5500 other entities. The summary is provided in the table below. 30

28 State Committee of the Republic of Uzbekistan on Statistics; https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1369&Itemid=1000000000000 (accessed in may 2021) 29 Surkhandarya regional khokimyat; Passport (Main) Indicators of Surkhandarya region for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report 30 Statistical Bulletin of the District Department on Statistics for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report

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Table 15: Share of legal entities by sectors of economy

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

1 Agriculture and forestry31

3,745 874 68 143 483

2 Industry 4,312 253 51 199 544 3 Construction 2,571 147 42 57 151 4 Trade 7,213 254 139 300 1,042 5 Transportation and

storage 864 27 8 31 130

6 Food and accommodation services

1,672 91 15 44 244

7 Information and communication

298 16 5 9 38

8 Healthcare and social services

390 17 1 11 54

9 Other 5,500 279 114 293 583 Total 26,615 1,958 437 1,118 3269

49. With respect to the agricultural production, the share of the producers by organizational/legal form in presented in the table below.32 The number of the farms as of January 1, 2021 in Surkhandarya region comprised 5,698.33 Table 16: Agricultural producers by organizational and legal form

№ Criteria Surkhandarya region

Baysun district

Bandikhon district

Altynsay district

Denau district

Dekhan farms, % 71.3 90.9 77.3 60.9 66.7 Farms, % 24.1 8.9 22.3 37.2 31.3 Enterprises involved in agriculture, %

4.6 0.2 0.4 1.9 2.0

31 Excluding dekhan farms and farms 32 Statistical Bulletin of the District Department on Statistics for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report 33 Surkhandarya regional khokimyat; Passport (Main) Indicators of Surkhandarya region for January – December 2020. Electronic copy of the Bulletin was provided to TRTA Consultant and will be shared with this report

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3. OBJECTIVES AND METHODOLOGY OF POVERTY AND SOCIAL ASSESSMENT

3.1 Data Collection 50. Data was collected in order to obtain a broad range of information about the characteristicsof the target area, relevant for the project, including:

i. specific socio-economic features of the project area (including socio-economic profile ofwomen in the project area, their social and economic issues);

ii. presence of ethnic minorities within the project area, and their access to transportservices;

iii. presence of poor and low-income families within the project area, and their access totransport services;

iv. gender specific concerns related to the access to road and transport services;v. possible socio-economic benefits of the project, primarily for vulnerable groups of the

population;vi. development of a participation strategy and the identification of participatory mechanisms

and consultations.

3.2 Selection of Indicators 51. The indicators are clustered into the following groups:

i. Demographic – size, composition and structure of the surveyed HHs; age, gender andethnic identity of the members of the surveyed HHs, etc.;

ii. Education and employment – level of education attained, employment sectors andstatus of employment, economic activity, secondary employment of members ofsurveyed HHs, etc.;

iii. Living standards and quality of life – size and structure of income and of expenditures,poverty rate, etc.;

iv. Access to social infrastructure – availability of healthcare services, access toeducation institutions, workplaces, social infrastructure facilities and markets, etc.;

v. Access and use of the transport services – frequency of use, major destinations, typeof transport means, and associated costs;

vi. Gender and equality – gender perceptions and equality in decision making process.

52. All indicators developed were collected in such a way that they could be analyzed usingseveral variables, including but not limited to the following:

i. gender of the head of HH;ii. ethnic identity of the head of HH;iii. size of the HH;iv. poor/non-poor HHs;v. income and expenditures;vi. access to social infrastructure establishments.

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3.3 Sampling Design

53. Considering the COVID-19 limitations preventing international team to mobilize inUzbekistan in second half of 2020 and 2021, as well as limited opportunities for local team tocarry out socio-economic survey in field, the census and socio-economic survey questionnaireswere combined and completed for project affected people (including both individuals and legalentities located along the project road), as it would allow to minimize the exposure of the fieldteam to risk while collecting information necessary for preparation of PSA. It shall be noted thatinitially khokimyats identified 147 affected plots and provided the list with respective names onMarch 23, 2021, however during the census and SES carried out between April 1-12, 2021, atotal of 25 additional APs were revealed by the survey team and the questionnaires werecompleted for them as well. Thus, out of total 172 land plots owned/used by 169 HHs, the socio-economic survey was carried out covering 168 HHs. The number of 168 HHs was more thansample size required to obtain the statistically significant results. According to the data providedby the district khokimyats the total number of population in 24 makhallas located along the projectroad is 78,427. The sample size needed to be representative of a given population (CL 95% andCI 9) was defined to be 11834.

54. There were also 12 Focus Group Discussions (FGD) carried out during 7-10 April, 2021with the assistance of khokimyats and makhallas in all 4 districts (Baysun, Bandikhon, Altynsoyand Denau) to learn concerns and opinion of local residents who are not APs, where the projectroad is located. The participants of the FGDs were selected among the residents of the projectarea to represent variety of occupations and social conditions (kindergarten teachers, schoolteachers, lecturers, entrepreneurs, nurses, artisans, social workers, farmers, retired, unemployed,housewives, single mothers, wives of labour migrants, etc.), representatives of roadsidebusinesses, officials of local governments at regional / community / settlement levels. Participantsof FGDs were selected and invited by respective makhallas located in the project area.

55. Over 20 structured interviews with key informants and stakeholders were also carried out.The selection of the key informants were conducted to allow for collecting additional statisticalinformation regarding Surkhandarya region and project districts, identify concerns andrecommendation of various groups active in the project area and along the project road. Keyinformants interviewed included representatives of state authorities (including khokimyats ofSurkhandarya regions, Baysun, Bandikhon, Altynsoy and Denau districts, project area makhallas,Centers for Promotion of Employment of the Population, Agency for Youth Affairs, MedicalAssociations, ) mostly to collect statistical information, data on poor and vulnerable groups, issuesand concerns that population of the Surkhandarya and project districts have, as well asrepresentatives of road-side businesses, civil society organizations and non-governmentalorganizations, automobile enterprise. In addition, a discussion was held with officials of theExecutive Agency - Committee of Roads (list of the persons / organizations visited and peoplemet is available in Annex I).

3.4 Process for Data Collection and Analysis 56. Both quantitative and qualitative methods of data collection were used for the PSA. Thisincluded a review and analysis of available information about the project area (using official

34 http://www.surveysystem.com/sscalc.htm

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statistics in the first instance), additional statistical information collected at district and regional level, findings from the survey, outcome of the focus group discussions, interviews with key informants and group discussions.

57. The field phase was carried out in April 2021, and included socio-economic survey,discussion in focus groups, public consultations, and interviews (some of interviews and werecarried out between October 2020 – May 2021). During the pre-field phase, a questionnaire wasdesigned for the census and socio-economic survey. The procedures for the socio-economicsurvey were refined. The questionnaire for the census and socio-economic survey is provided inAnnex 2.

58. The field study consisted of several phases. Prior to conducting the field study, a pilotstudy was carried out to pre-test, adjust and finalize the research tools – particularly thequestionnaires and instructions for interviewing. The questionnaire was translated to Russian andUzbek languages. The compliance of the questionnaire with the study objectives was verified atfollowing levels:

i. at the level of the questionnaire, i.e., to what extent the questionnaire makes itpossible to collect the required information; whether the information contained in thedifferent sections of the questionnaires is contradictory, and whether some indicatorsare duplicated, etc.;

ii. at the level of the sections of the questionnaire, i.e., to what extent the indicators ineach section of the questionnaire are necessary and sufficient for obtaining therequired information;

iii. at the level of questions, i.e., to what extent the questions are clearly worded; whetherambiguous answers can be given to a question, whether alternative interpretationsof the questions and proposed answer options are probable, whether the answeroptions for closed questions exhaust all possible options and to what extent, etc.;

iv. in parallel with these, the correctness of the questions and answer options and thejustification for skipping respective questions was checked.

59. A remote training session was held for field staff, including the 9 interviewers. Team leaderresponsible for survey process supervision, questionnaires and data analysis also attended thetraining. During the training the discussion on the socio-economic questionnaire was held, lookingat every question and possible answer option. Interviewers were asked to practice interviewingeach other.

60. The survey covered a total of 168 HHs in Altynsoy, Baysun, Bandikhon and Denau districtsof Surkhandarya region. The survey was implemented by 9 interviewers using a face-to-facemethod at the home of the respondents and public places (for some of the interviews therespondents requested to carry out interview at a public place). The refusal rate among therespondents was extremely low and comprised 0.6% (only one person refused to participate inthe survey). Most respondents were aware about the project and willingly shared the informationregarding the HH income and expenditures, transport issues, gender perceptions, etc. The qualityof interviewers’ work in the field was monitored by the team leader and then the questionnaireswere digitized (by another 3 members of the team) and shared with verification consultant.

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61. The verification consultant remotely checked every questionnaire using the followingtechniques:

i. all questionnaires were checked with respect to completeness and correctness;ii. skipped answers were recorded;iii. inconsistencies and contradictory answers were then identified; andiv. unclear responses in open questions were clarifiedv. final set of verified questionnaires was provided to database preparation team.

62. The data collected was entered into MS-Excel database (the work was managed by oneof the Social Development Specialists (international consultant) and the softcopy of the databaseis available with the project team.

63. During preparation of this PSA 12 FGDs and about 20 interviews with representatives ofkey groups of stakeholders were conducted. FGD’s and interviews were used to achieve a betterunderstanding of the nature of problems in the area of availability and quality of the transportservices, and for the development of strategies for coping with the current problems related to theuse of the road. FGD’s and interviews have been analyzed and incorporated into this report. Thelist of questions discussed during the FGDs are presented in Annex 3, while the list of questionsasked during the interviews with key informants is provided in Annex 4. The lists of the FGDparticipants are available in Annex 5. The List of participants of the separate group discussionwith representatives of local businesses is provided in Annex 6. Photographs made duringdiscussions, interviews, FGDs and survey are provided in Annex 7.

3.5 Secondary Information 64. The data of the State Committee of the Republic of Uzbekistan on Statistics, as well asstatistical data collected from Surkhandarya region khokimyats, as well as khokimyats of Baysun,Bandikhon, Altynsoy and Denau districts was used as the base source of secondary information.During the preparatory phase, a brief review of relevant official statistics was carried out basedon selected indicators (where possible, gender disaggregated data was collected), specifically:

i. administrative data;ii. demographic statistics;iii. data on economy, poverty, social protection, etc.;iv. data on productive and social infrastructure establishments (enterprises,

organizations, educational establishments, and medical institutions);v. information on access to utilities;vi. data publicly available from the various international projects and assessments.

65. The list of references and web-sited consulted during preparation of this PSA report isprovided in Annex 8.

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4. FINDINGS OF THE SOCIO ECONOMIC SURVEY

4.1 Introduction 66. This chapter presents an analysis of the findings of the socio-economic survey undertakenduring the course of preparation of this PSA and Land Acquisition and Resettlement Plan (LARP)for Surkhandarya Regional Road Project. The purpose of this analysis is to develop socio-economic profiles of the project-area population. The survey was carried out amongst 168affected households (HH) spread across proposed project area (24 makhallas) between 1-12April 2021.

Table 17: The number of respondents by region and gender

District Total

respondents, number

Male respondents,

number

Male respondent,

%

Female respondents,

number

Female respondents,

% Baysun 55 44 80.0 11 20.0 Bandikhon 15 12 80.0 3 20.0 Altynsay 49 36 73.5 13 26.5 Denau 49 39 79.6 10 20.4 Total 168 131 78.0 37 22.0 Source: Socio-economic survey and analysis, April 2021

4.2 Demographic data and ethnicity of respondents 67. About fifty three (52.8) percent of the members of the respondent households are maleand the rest (47.2%) are female; the sex ratio is 892. Twenty two (22.0) percent of the householdsare headed by women. See the table below.

Table 18: HHs with men and women heads and members

Gender Head of HH Members of HH

people % people % Male 131 78.0 541 52.8 Female 37 22.0 483 47.2 Total 168 100.0 1024 100

Source: Socio-economic survey and analysis, April 2021

68. About twenty seven (26.8) percent of the members of surveyed household are above 60years old, followed by 27.4 percent in the age group of 44 to 55 years, 23.8 percent in the agegroup of 56 to 60 years, 20.2 percent in the age group of 36 to 45 years, and 1.8 percent belongingto age group of 19 to 35 years. The 19 to 45 age group than can involve itself actively in economicactivity constitute only 22.0 percent. Vast majority (78.0%) of the respondents belong to over 46years old group. The age group of the heads of households (both for men and women) is givenin the table below.

Table 19: Age group of respondents (heads of HHs)

Age Male Female All

people % people % people % Up to 18 0 0 0 0 0 0

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Age Male Female All

people % people % people % 19 to 35 0 0 3 8.1 3 1.8 36 to 45 31 23.7 3 8.1 34 20.2 46 to 55* 38 29.0 8 21.6 46 27.4 56 to 60* 32 24.4 8 21.6 40 23.8 Above 60 30 22.9 15 40.5 45 26.8 Total 131 100 37 100 168 100

*Note: pension age for women 55, for men 60Source: Socio-economic survey and analysis, April 2021

69. Only 1 household (0.6%) is composed by one member. About six (6.3) percent of thehouseholds have a small family of two-three members. Four to six member households constitute32.1 percent, six to eight member households constitute 37.6 percent, and households with 8 andmore members constitute 21.4 percent. The average size of a family is 6.21. This survey confirmsthe presence of large families (6 and more members) that account for 59 percent. The distributionof the households by their size is presented in the table below.

Table 20: Size of household

Number of members of HH

Number of HHs HH %

1 1 0.6 2-3 10 6.3 4-6 51 32.1 6-8 63 37.6 Above 8 34 21.4 Average size of HH = 6.21

Source: Socio-economic survey and analysis, April 2021

70. Over three-quarters (76.2%) of the surveyed households’ heads are Uzbek, followed by23.8 percent Tajiks. No respondents belonging to other ethnicity were found in surveyedhouseholds. See the table below.

Table 21: Ethnicity of respondent

Ethnicity Head of HH

people % Uzbek 128 76.2 Tajik 40 23.8 Other 0 0 Total 168 100

Source: Socio-economic survey and analysis, April 2021

4.3 Education and occupation 71. A total of 53.6 percent of the members of the surveyed households’ heads have completedgeneral secondary education, followed by 25.0 percent who have completed specializedsecondary vocational education, and 20.8% who have completed higher education institutions. In

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the meantime, 0.6% of surveyed households’ heads are currently enrolled in studying in lyceum/college. Majority of women (70.3%) and large group of men (48.9%) have completed secondary education only. Among those who received specialized secondary or vocational education, and completed higher educational institutions, the number of men is higher that number of women. The details are provided in the table below.

Table 22: Education of respondent

Age Male Female All

people % people % people % 1. Did not complete school (have no schoolcertificate) 0 0 0 0 0 0

2. General secondary education 64 48.8 26 70.3 90 53.6 3. Completed specialized secondary, vocationaleducation 36 27.5 6 16.2 42 25.0

4. Completed higher education, etc. 30 22.9 5 13.5 35 20.8 5. Preschool child 0 0 0 0 0 0 6. Child under 16 years old, who neither attendeducational establishments, nor have employment 0 0 0 0 0 0

7. School student 0 0 0 0 0 0 8. Student of lyceum, college 1 0.8 0 0 1 0.6 9. Student of higher educational establishment (fulltime course student) 0 0 0 0 0 0

Total 131 100 37 100 168 100 Source: Socio-economic survey and analysis, April 2021

72. About eight (7.7) percent of the members of the sample households surveyed areemployed in public sector enterprises, followed by 4.8 percent who are working in private sector.The largest group is represented by private entrepreneurs (41.1%), while unregistered businessescomprise 7.7 percent. The number of economically inactive respondents is 38.7 percent, whichincludes students, elderly and women who are not into any economic activity and considerthemselves as not in workforce. See the table below.

Table 23: Occupation of respondent

Occupation Male Female All

people % people % people % Employment in public sector 9 6.9 4 10.8 13 7.7 Employment in private sector 6 4.6 2 5.4 8 4.8 Private entrepreneur 60 45.8 9 24.3 69 41.1 Unregistered entrepreneur 6 4.6 7 18.9 13 7.7 Not in workforce 50 38.2 15 40.5 65 38.7 Total 131 100 37 100 168 100

Source: Socio-economic survey and analysis, April 2021

73. Among those surveyed, only 3 heads of households have second job. See the table below.

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Table 24: Additional job of respondent (HH head)

Additional job Male Female All

people % people % people % Have additional job 3 2.3 0 0 3 1.8 Do not have additional job 128 97.7 37 100 165 98.2 Total 131 100 37 100 168 100

Source: Socio-economic survey and analysis, April 2021

74. A total of 3.0% of respondents mentioned that they have a household member employedoutside of Surkhandarya region (in another regions of Uzbekistan), another 14.3 of respondentsreported about having a household member that is employed in CIS counties and only 0.6% ofrespondents had a member of the household working in another country (out of CIS).

Table 25: HH members working outside of Surkhandarya region

Workplace location Number % in total number of respondents

Other locations in Uzbekistan 5 3.0

CIS countries 24 14.3

Other countries 1 0.6

Total 30 - Source: Socio-economic survey and analysis, April 2021

4.4 Income and expenditures 75. Only one of the surveyed households (0.6%) reported a monthly income in amount equalor less to minimum monthly wage (747,300 UZS), which is considered as income threshold forpoverty. None of the households generate monthly income within the range 737,300 UZS -1,000,000 UZS. Among households with higher income, 35.1% percent of the householdsreported a monthly family income ranging between 2,000,001 and 4,000,000 UZS, the sameincome was reported by households with income over 6,000,000 UZS, followed by 22.0 percenthouseholds who reported a monthly family income ranging between 4,000,001 and 6,000,000UZS, 7.1 percent households reported an income ranging between 1,000,001 and 2,000,000UZS. The average monthly family income reported by the households was 2,730,218.8 UZS. Theaverage income of the households headed by men (2,361,218 UZS) is lower than that of thewomen-headed ones (3.099.218 UZS). In the meantime, it shall be emphasised that many of therespondents did not provide “actual” income from remittances during the interview (many wereunwilling to share the information.

76. Moreover, the many of the surveyed households involved in cultivation sell their producein bulk after the harvest (usually 3 harvests are collected in the region during the agriculturalseason), and during the year are gradually spending their income from selling the agriculturalproduce. Considering that the survey was carried out in April (before the agricultural seasonstarted) and asked for the income numbers for the month of March, it shall be expected that theactual average monthly income of the households is higher that the number defined by the survey.

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Table 26: Monthly HH income

Income in UZS Male Female All

people % people % people % Up to 747,300 0 0 1 2.7 1 0.6 747,301 to 1,000,000 0 0 0 0 0 0 1,000,001 to 2,000,000 9 6.9 3 8.1 12 7.1 2,000,001 to 4,000,000 46 35.1 13 35.2 59 35.1 4,000,001 to 6,000,000 27 20.6 10 27.0 37 22.0 Above 6,000,000 49 37.4 10 27.0 59 35.1 Total 131 100.0 37 100.0 168 100 Average monthly family income = 2,730,218.8

Source: Socio-economic survey and analysis, April 2021

77. The vast majority (79.2%) of households have more than one earning member, of which35.1 percent of the households have 2 income earning members, 27.4 percent have 3 incomeearning members and 16.7 percent of the households have 4 and more income earners. In themeantime, 20.8 percent of the households have only one breadwinner. Details are provided inthe table below.

Table 27: HH members who generate income

Number of HH members that generate income people %

1 person 35 20.8 2 members 59 35.1 3 members 46 27.4 4 and more members 28 16.7

Source: Socio-economic survey and analysis, April 2021

78. The respondents were asked about major sources of their family income. Considering thatin the vast majority of the households the income is generated by two and more members (andoften from various sources), the answers provided by the heads of surveyed households wereanalyzed. Most of the families (22.1%) are generating income from trade business, followed byfamilies generating income from pensions (19.0%), salary (18.1%) and agriculture (17.8%). Partof the households rely on remittances (9.1%) and allowances (8.5%) as a source of income. Itshall be noted that during the survey many of the respondents mentioned about limitedopportunities for labour migration and family support (remittances) after closure of borders in 2020due to COVID-19 pandemic limitations. Small part of the households rely on renting of vehicles /machinery, renting of land or assets, collection of wild plants, and hunting and fishing. Distributionof the main sources of income of households are summarised in the table below.

Table 28: Source of HH income35

Source of Income Answers % of HHs Answers from male

headed HHs

% of HHs Answers from female headed HHs

% of HHs

Trade/Business 73 22.1 62 84.9 11 15.1

35 This is a multiple response question.

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Source of Income Answers % of HHs Answers from male

headed HHs

% of HHs Answers from female headed HHs

% of HHs

Pension 63 19.0 42 66.7 21 33.3

Salary 60 18.1 46 76.7 14 23.3

Agriculture (cultivation, horticulture and livestock) 59 17.8 55 93.2 4 6.8

Remittances 30 9.1 26 86.7 4 13.3

Allowance 28 8.5 17 60.7 11 39.3

Household products 11 3.3 9 81.8 2 18.2

Renting vehicles / machinery 3 0.9 3 100.0 0 0.0

Rent of land or real assets 2 0.6 1 50.0 1 50.0

Wild plants collecting 2 0.6 2 100.0 0 0.0

Hunting, fishing 0 0.0 0 0.0 0 0.0

Total 339 100 263 - 68 -

Source: Socio-economic survey and analysis, April 2021

79. Further, the respondents were asked if their family income differ between summer andwinter seasons, and 41.7 percent reported that their income levels are higher in summer, 32.7percent of the respondents mentioned that their income remains the same throughout the yearand is not affected by the season, while 25.6 percent stated that their income is higher during thewinter. See the table below.

Table 29: Change in HH income during the year

Change in income Male Female All

people % people % people % Higher in summer 59 45.0 12 29.7 70 41.7

Higher in winter 31 23.7 13 32.5 43 25.6

Same all year round 41 31.3 15 37.8 55 32.7

Source: Socio-economic survey and analysis, April 2021

80. Only one of the surveyed households (0.6%) reported a monthly expenditure in amountequal or less to minimum monthly wage (747,300 UZS). In the meantime another 2 households(1.2%) spend above 737,300 UZS, however under 1,000,000 UZS. Among households withhigher expenditure, 42.9 % reported a monthly family expenditure 2,000,001 and 4,000,000 UZS,28.6 percent households reported a monthly family expenditure above 6,000,000 UZS, 16.1percent of households reported a monthly family expenditure ranging between 4,000,001 and6,000,000 UZS, and 10.7 percent of households reported a monthly family expenditure rangingbetween 1,000,001 and 2,000,000 UZS. The average monthly household expenditure reportedby the households is 4,930,950.52 UZS. The average expenditure of the households headed bymen (5,111,823.00 UZS) is higher than that of the women-headed ones (4,750,078.00 UZS).

Table 30: Monthly HH expenditure

Expenditure in UZS Male Female All

people % people % people % Up to 747,300 0 0 1 2.7 1 0.6 747,301 to 1,000,000 1 0.8 1 2.7 2 1.2

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Expenditure in UZS Male Female All

people % people % people % 1,000,001 to 2,000,000 15 11.5 3 8.1 18 10.7 2,000,001 to 4,000,000 59 45.0 13 35.2 72 42.8 4,000,001 to 6,000,000 19 14.5 8 21.6 27 16.1 Above 6,000,000 37 28.2 11 29.7 48 28.6 Total 131 100 37 100 168 100 Average monthly family expenditure = 4,930,950.52 UZS

Source: Socio-economic survey and analysis, April 2021 81. The average monthly household expenditure is higher than average monthly household income, since many of the respondents did not provide “actual” income from remittances during the interview (many were unwilling to share the information. Moreover, as was noted earlier, the many of the surveyed households involved in cultivation sell their produce in bulk after the harvest, and during the year are gradually spending their income from selling the agricultural produce. The table providing comparison of average income and average expenditures is presented below. Table 31: Comparison of average income of expenditure of HHs

Criteria Average for men-headed HHs, in UZS

Average for women-headed HHs, in UZS

Average for all HHs, in UZS

Income 2,361,218.00 3,099,218.00 2,730,218.80 Expenditures 5,111,823.00 4,750,078 .00 4,930,950.52

Source: Socio-economic survey and analysis, April 2021 82. The respondents were asked about major sources of their household expenditures. In terms of the amount of average monthly expenditures, it shall be noted that the largest payments are made with the purpose of loan repayment (2,881,256.40 UZS), followed by food (1,697,305.40 UZS), education (954,986.80 UZS), fuel (667,131.10 UZS), clothing (576,655.80 UZS), medicine (522,789.10 UZS). Smaller share in monthly expenses is comprised by heating, transport expended, alcohol and smoking, electricity, entertainment, etc. Most number of families are spending on food, electricity, telephone, water, gas, clothing, medicine, transport, house and other utilities. The major items of expenditure for HHs (items on which most of the HHs spend) include food, utilities, phone, clothing, medical/health). Distribution of the expenditures by amount and number of responses is summarised in the table below. Table 32: Main items of HH expenditure36

Item of expenditure Amount Number % Payment of loan/credit 2,881,256.40 41 24.26 Food 1,697,305.40 168 100 Education 954,986.80 78 46.15 Gasoline, fuel 667,131.10 62 36.69 Clothing 576,655.80 156 92.31 Medical/health 522,789.10 148 87.57 Heating 443,571.40 23 13.61 Transport expenses 323,679.40 132 78.11

36 This is a multiple response question.

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Item of expenditure Amount Number % Alcohol 320,000.00 3 1.78 Smoking 289,333.30 6 3.55 Electricity 229,347.30 168 100 Entertainment 205,000.00 4 2.37 Household appliances/utensils 186,220.90 88 52.07 Telephone 144,713.40 159 94.08 House and other utilities 137,738.30 108 63.91 Gas 119,564.10 158 93.49 Maintenance cost / rent of equipment 112,500.00 0 0 Water 96,206.50 158 93.49 Other (if any) 4,225,000.00 6 3.55

Source: Socio-economic survey and analysis, April 2021 83. Twenty four percent of the households reported of indebtedness and vast majority of respondents had borrowed from formal banking institutions. Amongst those who had borrowed, 95 percent had borrowed from bank, while 2.5 percent had borrowed from state and another 2.5 percent had borrowed from private person. See table below. Table 33: Number of HHs that have borrowings in 2020

Borrowed from: Number % State 1 2.5 Bank 38 95 Private person 1 2.5 Other 0 0 Total 40 100

Source: Socio-economic survey and analysis, April 2021 4.5 Property and asset ownership 84. The information on ownership and use of property and other assets was collected from respondents. Based on the answers provided by respondents, it appears that the vast majority of the households (98.5%) have the title to land, and only 2 of the surveyed households (1.5%) informally use the land. In the meantime, all of the households have the title documents for their property. See tables below. Table 34: Title for land

Title Male Female All

people % people % people % Have 129 98.5 37 100 166 98.8 Do not have 2 1.5 0 0 2 1.2 Total 131 100 37 100 168 100

Source: Socio-economic survey and analysis, April 2021

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Table 35: Title for house/structure

Title Male Female All

people % people % people % Have 131 100 37 100 168 100 Do not have 0 0 0 0 0 0 Total 131 100 37 100 168 100

Source: Socio-economic survey and analysis, April 2021 85. Thirty two households (19%) reported of cultivating their land plots (or the part of the land plot) and provided details of extent of land used for cultivation. Among those who cultivate, 76.2 percent cultivate in just 500 sq.m of land, followed by 23.8 percent who cultivate in an area ranging between 501 and 1000 sq.m. None of the households cultivate the area over 1000 sq.m. The cultivators mostly grow vegetables and fruits. Table 36: Area of land used for cultivation

Area, ha Male Female All

people % people % people % up to 0.05 24 75.0 8 80.0 32 76.2 0.051 – 0.1 8 25.0 2 20.0 10 23.8 0.101 and over 0 0 0 0 0 0 Total 32 100.0 10 100.0 42 100

Source: Socio-economic survey and analysis, April 2021 86. A total of 82 surveyed households reported about owning/operating a business. Most of the households (84.1%) own/operate registered business, while for 15.6 percent the business is unregistered. See table below. Table 37: HHs that own/operate business

Business Male Female All

number % number % number % Registered business - all 60 90.9 9 100 69 84.1

Public food 2 1.7 1 11.1 3 2.4 Store 49 41.9 5 55.6 54 42.9 bakery 9 7.7 0 0 9 7.1 Car service 11 9.4 0 0 11 8.7 workshop 5 4.3 0 0 5 4.0 greenhouse 6 5.1 0 0 6 4.8 warehouse 11 9.4 0 0 11 8.7 Barber shop 1 0.9 0 0 1 0.8 farm 1 0.9 0 0 1 0.8 Auto refueling 2 1.7 0 0 2 1.6 canopy 8 6.8 1 11.1 9 7.1 And other 12 10.3 2 22.2 14 11.1

Unregistered business - all 6 8.1 7 0 13 15.6

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Business Male Female All

number % number % number % Public food 0 0 1 14.3 1 14.3 Store 2 33.3 0 0 2 33.3 bakery 1 16.7 2 28.6 3 45.3 Car service 0 0 1 14.3 1 14.3 canopy 1 16.7 1 14.3 2 31.0 And other 2 33.3 2 28.6 4 61.9

Total 66 100 16 100 82 100 Source: Socio-economic survey and analysis, April 2021

Table 38: HHs that own/operate business and have employees

Employees involved in business

No of businesses owned / operated by men

No of businesses owned / operated by women

No of businesses

Permanent employees 40 8 48 Temporary employees 26 8 34

Source: Socio-economic survey and analysis, April 2021

4.6 Awareness and perceptions about the project 87. All of the surveyed households were aware about the proposed project and thought thatafter completion of the project works they will have improved road infrastructure, access to reliableand safe and speedy transportation system, better access to work and markets/shops, betteraccess to healthcare and social infrastructure and education, improved environmental conditionsin the project area.

88. When asked about their expectations on livelihood assistance the majority (86.9%) ofsurveyed respondents (84.7% of men and 94.6% of women respondents) reported that theyexpect employment during road construction. Significant number (61.3%) of respondents in thecategory other mentioned about the importance of receiving timely and decent compensation fortheir affected assets, provision of social assistance, provision of land plot for cultivation andbusiness, creation of jobs for unemployed. In the meantime, 20.2 percent of respondentsemphasised the importance of skill training.

Table 39: Livelihood assistance expected by HHs from the project

Livelihood assistance Male Female All

answers % of HH answers % of HH answers % of HH Employment during road construction 111 84.7 35 94.6 146 86.9

Skill training 23 17.6 11 29.7 34 20.2 Others 82 62.6 21 56.8 103 61.3 Don’t expect anything 1 0.8 1 2.7 2 1.2

Source: Socio-economic survey and analysis, April 2021

89. The households were asked to list three most important impacts they perceive to occurduring construction of the project road. Based on the analysis of the answers provided by therespondents it was revealed that all of the surveyed households expect increase in noise duringthe road construction. Ninety (90) percent of the households expect impacts from dust generation

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and 81 percent expect vibration during the road construction works. In the meantime 73 percent of respondents also expect increase in noise level due to increased traffic after finishing the road construction. About half of the respondents also think the project will have an impact of flora and fauna and will cause an influx of new people in project area, who do not always share the values of local population. The summary of the answers provided and percent of the household that have chosen each of the answers is provided in the table below.

Table 40: Impacts expected by HHs during construction of the road

Criteria answers % of HH Increase in noise during road construction 168 100 Dust generation during construction works 152 90 Vibration during road construction 136 81 Increase in noise level due to increased traffic after finishing the road construction

123 73

Impact on flora and fauna 82 49 Influx of new people in project area, who do not always share the values of local population

79 47

Temporary disruption of irrigation network 71 42 Possible competition for water sources 59 35

Source: Socio-economic survey and analysis, April 2021

90. When asked about suggestions to mitigate the impacts, the respondents mentionedprovision of land plot to continue business activity, timely compensation on incurred losses,provision of support in construction of new houses (including labour for construction) or provisionof ready house, organizing the convenient and reliable transportation system, increase in numberof transport means and their travel frequency, building convenient bus stops and rest areas (withlighting), support in getting loans and establishing family businesses, installation of road signslimiting the travel speed inside the residential areas. Some respondents also noted that theirhouses are old and some of the walls are cracked, and expressed their concerns about structurestability due to vibrations to be caused by construction works, as well as suggested to considerbuilding the road in a sufficient distance from the houses.

4.7 Road use features 91. All of the surveyed households reported that they travel out of their settlement either forgoing to college/university or policlinic/hospital or work or market. Amongst those who reportedof traveling outside their place of living, 69 percent reported of using public buses or taxi forcommute, followed by 16.6 percent who commute by walk, 13.9 percent reported of using theirprivate cars, and only 0.5 percent using cycle.

Table 41: Mode of commuting

Mode of commuting Male Female All

people % people % people % Public transport, taxi 398 67,2 124 75,2 522 69.0 Private car 98 16,6 7 4,2 105 13.9 Cycle 3 0,5 1 0,6 4 0.5 Walking 93 15,7 33 20 126 16.6 Total 592 100 165 100 757 100

Source: Socio-economic survey and analysis, April 2021

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92. The respondent households were asked to indicate the mode of travel for the variousfamily needs. The responses provided by households were analyzed. Majority of the householdsthat have children attending kindergarten or school reported that the children go to school by walk.Most of the households having college going students reported that they go by public transport /taxi. As to the medical institutions, most of the households commutes there by public transport/taxi, while some travel by private cars or walk. With respect to the workplaces and markets,majority of commuters use public transport/taxi and private cars. Some of the respondentsmentioned that they commute to the workplaces and markets by walk. Only in few householdsmembers cycle to destinations. Distribution of the answers provided by surveyed householdssummarized in the table below.

Table 42: Purpose vs. mode of commuting

Purpose vs. mode of commuting

Public transport,

taxi Private car Cycle Walking

School or kindergarten 42 3 0 69 College / university 20 3 0 2 Policlinic 112 25 0 19 Hospital 135 1 1 5 Workplace 76 21 2 21 Market or trade 129 26 1 10

Source: Socio-economic survey and analysis, April 2021

93. The surveyed households were also asked to indicate the frequency of commute to eachof the typical destinations. Based on the analysis of the responses provided by households, it wasrevealed that the members of surveyed households attend the schools, kindergartens andworkplaces on daily basis (on weekdays). The markets are the most visited locations on weeklybasis, while policlinics and hospitals are mostly visited on monthly basis. Some of the studentstravel to educational institutions on daily basis, in cases when institutions are located in district orregional center they usually travel on weekly basis, and for universities located in capital thefrequency of travel is on monthly basis. The answers provided by surveyed households aresummarized in the table below.

Table 43: Destination vs frequency of commuting (number of answers)

Frequency vs. mode of commuting Everyday Every week Every

month Less than

every month School or kindergarten 114 0 0 0 College / university 10 6 9 0 Polyclinic 1 29 120 15 Hospital 1 19 128 19 Workplace 104 5 9 2 Market or trade 18 143 2 3

Source: Socio-economic survey and analysis, April 2021

94. The surveyed households were also asked to indicate the distance, cost and time spentto reach each of the typical destinations. The answers provided by surveyed households aresummarized in the table below.

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Table 44: Average expenditures by destinations by HH members (number of answers)

Destination Average distance for the one way

trip, km

Average money spent (each time one-way, in UZS)

Average time spent (one-way, in

minutes) School or kindergarten

1.9 1,003.9 11.4

College/ University 51.4 49,351.4 49.7 Polyclinic 6.9 2,985.1 13.6 Hospital 10.1 4,552.7 21.4 Workplace 5.7 3,875.0 15.8 Market 10.6 3,876.1 22.9

Source: Socio-economic survey and analysis, April 2021

95. The sample households were asked to indicate if there was a seasonal impact on factorsof transport such as, frequency of travel, time spent in travelling and cost incurred intransportation. Analysis of the responses provided by the surveyed households reveal that forvast majority of the households frequency of transportation, time spend of the road, and cost ofcommute is higher on winter. The smaller group of the households finds that the transportationfrequency, duration and cost does not change during the year, and the remaining answersindicate increase of criteria during the summer. See the table below.

Table 45: Seasonal fluctuations in transport use by HH members (number of answers)

Transportation criteria Increases in summer

Increases in winter

Doesn’t change

Frequency of transportation 11 142 15 Time spent on road 1 156 11 Cost of transportation 6 154 8

Source: Socio-economic survey and analysis, April 2021

96. The respondents were asked to give their opinion on the main issues associated with thetravel through the project road. Thirty (30.3) percent of the respondents reported that the roadcondition is poor, followed by 15 percent who expressed their concern regarding High cost oftransportation fees, and 14.2 percent noting about reduced comfort due to noise and dust.

97. The other issues that were raised by the respondents include, lack of lighting on bus stopsand rest areas (6.2%), long time spend on travel (6.2%), safety of transportation means, qualityof service (5.8%), high cost of benzine and gas (5%), absence of speed limiting signs (5%),absence of pedestrian crossings (4.6%).

98. The improvements proposed under this project will address their concern on the quality ofthe road, travel comfort and durations, lack of lighting, absence of toilets (among “other”), safetyof transportation means, speed limiting signs and pedestrian crossings. The proposed projectincludes three rest areas.

Table 46: Main issues associated with travel

Main problems associated with travel

Male Female All answers % answers % answers %

Road is in poor shape 113 29.6 38 32.5 151 30.3

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Main problems associated with travel

Male Female All answers % answers % answers %

Trip takes long time 21 5.5 10 8.5 31 6.2 Lack of public transport 15 3.9 1 0.9 16 3.2 Buses/minibuses are overcrowded 3 0.8 2 1.7 5 1.0 Long waiting time between two buses /

minibuses 14 3.6 2 1.7 16 3.2

Safety of transportation means, quality of service 24 6.3 5 4.3 29 5.8

Lack of lighting on bus stops, rest areas 23 6.0 34 29.1 57 11.4

High cost of transportation fee 55 14.4 20 17.1 75 15.0 High cost of benzine and gas 20 5.2 5 4.3 25 5.0 Reduced comfort due to noise, dust,

etc. 55 14.4 16 13.7 71 14.2

Absence of speed limiting signs 19 5.0 6 5.1 25 5.0 Absence of pedestrian crossings 19 5.0 4 3.4 23 4.6 Other 1 0.3 37 31.6 38 7.6 Total 382 100 117 100 499 100

Source: Socio-economic survey and analysis, April 2021

99. The respondents were asked who within the family uses the road more, whether it is themen or the women or children, and 79.2 percent of respondents reported that the road is moreoften used by men, and 20.2 percent of households respondent that the road is used equally byeveryone in the family. Only 0.6 percent of surveyed households reported that the road is moreused by men and children.

Table 47: Main road user in the family

Most frequent road user Male Female All

people % people % people % Everyone have to go nearly equally 26 29.8 8 21.6 34 20.2 Men have to go more often 104 79.4 29 78.4 133 79.2 Women have to go more often 0 0 0 0 0 0 Children have to go more often 0 0 0 0 0 0 Women and children have to go more often 0 0 0 0 0 0 Men and children 1 0.8 0 0 1 0.6 Total 131 100 31 100 168 100

Source: Socio-economic survey and analysis, April 2021

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5. GENDER PERSPECTIVE

100. The Government of Uzbekistan emphasized the role of gender mainstreaming and achieved a degree of progress in promoting gender equality and empowering women. The adopted “Development Strategy of Uzbekistan for 2017–2021” became the basis for carrying out reforms, developing policies, programs and implementing projects aimed at achieving gender equality and improving the status of women37. The last 2 years, the government is opening up on gender-related issues as evidenced by several resolutions of the President of Uzbekistan38 focused on the measures to achieve gender equality and improving the women life. Another development was a creation of the ‘Commission for the Protection of Gender Equality of Women’39 under the Parliament to support the implementation of the government policies related to family and gender equality by developing recommendations, monitoring the implementation of national and international norms, conducting studies, preparing proposals for the Parliament, conducting preliminary review of laws, and considering appeals from individuals and legal entities. In August 2019 two laws on (i) “Guarantees of equal rights and opportunities for men and women”; (ii) “Protection of Women from Harassment and Violence” were approved by the Government. In addition, National Development Strategy for 2017-2021 and Decree of President of Uzbekistan on “Additional measures for ensuring further economic development and enhancing the efficiency of economic policy” were adopted in January 2019. These documents emphasize the structural reforms in 2019-2021 to: (i) remove restrictions on women's participation in all sectors of the economy; (ii) improve the targeting of government programs to increase women's participation in the economy; and (iii) conduct campaigns to promote the culture of professional leadership and entrepreneurship among women. 5.1 Background 101. Women in Republic of Uzbekistan account for 49.7% of the population, thereby making them a sizeable proportion of the Republic’s population. In the 40+ age group the number of women is higher than that of men, and the number of women in 40+ age group accounts for 30.3% of the overall women population. The sex ratio in the Republic of Uzbekistan is 989 (for 2019, data as of 1 January 2020). The crude birth rate of female in the year 2019 in the Republic of Uzbekistan was 23.2 and was lower than that of male crude birth rate (24.8) and the overall population average of around 24.0. Interestingly the infant mortality rate (IMR) of female child in the year 2019 in the Republic of Uzbekistan was 7.9, better than that of infant mortality rate of male child (10.5) and the overall infant mortality rate of 9.3 (11.3 for urban and 7.5 for rural areas). Similarly, the child mortality rate (CMR) in the year 2019 in the Republic of Uzbekistan was 12.4, and in Surkhandarya region was 13.8.40 The maternal mortality rate (MMR) is high with 18.5 deaths per 100,000 live births in the year 2019 (as of 1 January 2020).41

37 The strategy identifies priorities for increasing the socio-political activity of women, strengthening their role in government and society, the active participation of women in peacebuilding processes, increasing economic independence and ensuring the employment of women and young people, especially those living in rural areas. 38 Presidential Decree No. 5325 of 2 February 2018 "On Measures to Improve Fundamentally the Activities in the Sphere of Supporting Women and Strengthening the Institution of the Family"; Presidential Decree of 27 June 2018, No. PP-3808 "On Approving the Concept of Strengthening the Family Institute in the Republic of Uzbekistan" with the Presidential Decree of 2 July 2018, No. PP-3827; Presidential Decree “On measures for further strengthening the warranties of the labor rights and support to women’ entrepreneurship activity” (from March, 7, 2019 г.,№ PD-4235). 39 Presidential Decree, March 2019, “On measures to further strengthen the guarantees of labor rights and support women's entrepreneurship”. 40 The State Committee of the Republic of Uzbekistan on Statistics, 2019. 2019 Population statistics. 41 The State Committee of the Republic of Uzbekistan on Statistics. 2020. https://gender.stat.uz/ru/osnovnye-pokazateli/demografiya/smertnost/1057-materinskaya-smertnost

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102. With respect to early marriages, it shall be noted that 3 cases of women married at the age of 16 were recorded in Uzbekistan (including 1 case in Surkhandarya region) in 2019, while the number of women married at the age of 17 comprised 2,998 for Uzbekistan (including 237 for Surkhandarya region) in 2019.42

103. During the course of the socio economic survey, information was gathered on gender specific roles, gender status, needs and problems of women in the 24 makhallas located in Baysun, Bandikhon, Altynsay and Denau districts of Surkhandarya region. In addition 12 focus groups discussions (including those in female-only groups) were held in project area, along with the consultations with female representatives of roadside businesses, and NGOs dealing with gender issues. The wider objective was to assess the status and role of women and gender disparities prevalent in the society. 5.2 Gender Analysis Methodology 104. Consultations were undertaken during the socio economic study with the women belonging to different socio-economic groups. Socio-economic survey was carried out and gender disaggregated data was collected and compiled (outcomes are presented in Section 4). Details of discussions in Focus Groups (including female-only groups), as well as summary of consultations female groups, NGOs dealing with gender issues is provided in Section 7. 5.3 Survey Findings 105. All 37 female participants of the survey were aware about proposed road project and reported that due to the project they expect to have improved road infrastructure, access to reliable and safe and speedy transportation system, better access to work and markets/shops, better access to healthcare and social infrastructure and education, improved environmental conditions in the project area.

106. The women account for 47.2 percent of the members of the households surveyed and 22.0 percent households are headed by women (Table 18). With respect to the age, the majority of women respondents (62.1%) are over 56 years old, which is the age of retirement (Table 19). Proportion of women respondents with secondary education is higher compared the men respondents (Table 22). The proportion of women employed in public sector is higher (11.4%) compared to other type of occupation such as individual entrepreneurs (8.6%) and self-employed in agriculture sector (0.8%). There aren’t any women in the category of registered/unregistered businesses owners. (Table 23). None of the women respondents have an additional job. (Table 24). 107. There are significantly more unemployed women (65.7%) than men (42%). In the meantime none of the unemployed women were officially registered as unemployed, and among men only 2 respondents (1.2%) were officially registered as unemployed. Moreover, vast majority of women (57.1 %) is unemployed and do not seek for job. (Table 23).

108. Most of the women-led households (89.2%) are earning an income exceeding 2,000,001 UZS per month, while 7.1% of women-households are earning an income between 1,000,001 –

42 The State Committee of the Republic of Uzbekistan on Statistics. https://stat.uz/ru/ofitsialnaya-statistika/demography (accessed in May 2021)

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2,000,000 UZS and only one household comprised of single elder woman earns an amount equal or less than the minimum monthly wage (747,300 UZS). (Table 26).

109. With respect to the expenditures most of the women-led households (87.8%) are spendingover 2,000,001 UZS per month, while for 12.2% of women-households the monthly expendituresvary between 747,301 – 2,000,000 UZS and only one household comprised of single elder womanspends an amount equal or less than the minimum monthly wage (747,300 UZS). (Table 30).

110. All of the surveyed women respondents reported about having their title documents bothfor the land plot and house/structures. (Tables 34 and 35).

111. Amongst 37 surveyed women-led households only 15 (40.5%) reported of having anaccess to the car in their households. In the meantime, only one woman-led household (2.7%)reported of a woman having a car of her own. The rest (56.8%) reported that women neither ownnor have access to the family car.

Table 48: Car ownership

Car ownership women-led HHs % in women-led HHs Women has a car of her own 1 2.7 Women has access to family car (driven by women) 0 0.0 Women has access to family car (driven by men) 15 40.5 Family does not have a car 21 56.8 Total 37 100

Source: Socio-economic survey and analysis, April 2021

112. Employed women respondents were asked about their employment status and interestand availability for having an additional job. The table below presents the results for 9 employedwomen respondents.

Table 49: Employment status and interest for additional job among employed women

Interest in additional employment women-led HHs % in women-led HHs Yes, interested 8 88.9 No, not interested 1 11.1 Undecided 0 0 Total 9 100

Source: Socio-economic survey and analysis, April 2021

113. In the meantime, the unemployed women respondents were asked about their interest inemployment. Only 27.6 percent of the women respondents were interesting in employment. Suchlow number can be justified with the age of the women respondents, most of which are retired.The table below presents the results for 29 employed women respondents.

Table 50: Interest in employment among unemployed women

Interest in employment Number of women-led HHs

% in women-led HHs

Yes, interested 8 27.6 No, not interested 18 65.5

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Interest in employment Number of women-led HHs

% in women-led HHs

Undecided 2 6.9 Total 29 100

Source: Socio-economic survey and analysis, April 2021

114. With respect to undergoing the training for potential livelihood improvement, most of thewomen respondents (59.4%) reported about their interest in training and skills development, while24.3 percent were not interested and 16.2 percent of women were undecided. The results aresummarized in the table below.

Table 51: Interest in training among women

Interest in training Number of women-led HHs

% in women-led HHs

Yes, interested 22 59.5 No, not interested 9 24.3 Undecided 6 16.2 Total 37 100

Source: Socio-economic survey and analysis, April 2021

115. With respect to the training it shall be also noted, that some of the elder womenrespondents mentioned about interest of their female household members (mostly daughters-in-law) in undergoing the training as well. The requested training topics are listed by their popularity:seamstress classes, nursing, cooking (including baking and canning), business (opening ofbusiness), gardening, child education. Some respondents also requested computer knowledgeclasses and Arabic language classes. Few also asked for assistance of a lawyer, phycologist andgynecologist.

116. The women in the households were asked to indicate the facility that they would want theproject to consider to make their travel safe and comfortable. When asked to provide theirsuggestions, all of the of respondents requested separate toilets on the bus stops/shelters androadside rest areas, majority of the households (91.9 % for both suggestions) requested thatlighting is provided on bus stops/shelters and rest areas, as well as medical stations with thenurse are available in rest areas. In addition, 73 percent of the women respondents requestedthat the mother and a child facility is available in rest areas (the facility / room will be used to feedand change the baby during the travel), and about 35% suggested to install the changing tablesin the toilets.

Table 52: Additional suggestions for comfortable and safe travel

Features Number of women-led HHs

% in women-led HHs

Separate toilers in bus stops/shelters and rest areas 37 100 Lighting in bus stops/shelters and rest areas 34 91.9 Medical station with a nurse in rest areas 34 91.9 Mother and child facility in rest areas 27 73.0 Availability of a changing table in the toilets 13 35.1

Source: Socio-economic survey and analysis, April 2021

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117. There were also single requests made regarding installation of the cameras on the busstops and rest areas to ensure safety, availability of the hot and cold water in the toilets,installation of special signs and road bumps nearby the schools.

118. The women respondents in the surveyed households were asked if they are involved inthe decisions of the family on various issues. While majority of women respondents noted thatthey participate in decisions regarding landuse, bank credits, land selling or leasing, purchasingof equipment and appliances, a significant number of women respondent also noted that they areoften not involved in decision making regarding distribution of household income (45.9%) andworkforce hiring (35.1%). The responses provided by women respondents are summarized in thetable below.

Table 53: Presence of opportunities for women to participate in decision making

Criteria Involved in decision-making

Not involved in decision-making

answers % of women-led HHs

answers % of women-led HHs

Landuse 33 89.2 5 13.5 Bankcredits 32 86.5 6 16.2 Land selling or leasing 31 83.8 7 18.9 Workforce hiring 25 67.6 13 35.1 Household income distribution 21 56.8 17 45.9 Purchasing equipment, appliances 30 81.1 8 21.6

Source: Socio-economic survey and analysis, April 2021

119. Those who provided an answer reporting about their limited opportunities to participate inthe decision-making process were requested to share the reasons causing this situation. Most ofthe answers mentioned that women are occupied with children and household chores and aredecision makers or are involved in decision-making with respect to caring for and educating thechildren and running the house. In other areas they mostly rely on their husbands, fathers andsons to make a decision (most of which are made in consultation with the female members ofhousehold). In the meantime, some of the women respondents also emphasized that thetraditional mindset with which they are living requires women to respect men and their decisions.

120. Respondents were also requested to suggest measures that can improve the participationof women in decision-making. The followings were mentioned: support in obtaining low-interestloans and training on how to get them, creation of jobs so as women can work and make decisionon how to spend their earnings, training courses of highly demanded specializations, interestsgroups and courses on leisure activities that women can attend (embroidery, etc.).

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6. POVERTY PROFILING

121. In 2017, the country adopted the "Strategy of Actions for the Further Development of theRepublic of Uzbekistan in 2017-2021", the third priority area "development of the social sector"includes tasks for the development and modernization of road transport infrastructure. 43 Anotherimportant document is the Decree of the President of the Republic of Uzbekistan "On Measuresto Radically Update State Policy in the Field of Economic Development and Poverty Reduction",which was adopted in order to introduce in the country a system for implementing an optimal statepolicy for reducing poverty through effective macroeconomic policy, as well as ensuring stableeconomic growth and improvement of the business environment. 44 By October 1, 2020, theMinistry of Economy and Poverty Reduction, together with other ministries and departments,should develop: Concept of socio-economic development until 2030; Industry DevelopmentStrategy until 2030; Poverty Reduction Program; Draft decree on the introduction of a minimumconsumer basket and a living wage in all regions of the country from 2021.

122. In connection with the impact of the COVID-19 pandemic and the introduced quarantinemeasures in Uzbekistan, in July-August 2020, a Presidential Decree "On Additional Measures toProvide Material Support to the Population Groups in Need of Assistance and Social ProtectionDuring the Coronavirus Pandemic" and a Presidential Resolution "On Additional Measures forSocial Support of the Population." In order to ensure the targeting of social assistance tovulnerable groups of the population in the context of makhalla gatherings of citizens, lists of thosein need of material assistance and support - "Iron Notebook" were formed. The introduction of thisprinciple of distribution of aid indirectly made it possible to determine the number of families livingin poverty and needy.

123. In total, in order to reduce the impact of the pandemic on vulnerable groups of thepopulation and strengthen support for low-income families, the government allocated 588.7(+100) bln UZS from the country's Anti-Crisis Fund. 45 The first tranche to support familiesamounted to 200 bln UZS, including allocation in amount of 15 bln UZS for the Surkhandaryaregion. 46

6.1 Background 124. The proportion of population living below the national poverty line in the Republic ofUzbekistan has reduced from 12.8 in the year 2015 to 11.0 in the year 2019 and is presented inthe graph below. 47, 48

125. Uzbekistan was one of only three economies in the Europe and Central Asia region thatmaintained positive economic growth in 2020. Despite the severe impact of the COVID-19 crisis,

43 President Decree “On strategic action on further development of the Republic of Uzbekistan”. https://www.lex.uz/docs/3107042 (accessed in May 2021) 44 President Decree “On measures for cardinal updating of state policy in the sphere of economic development and poverty reduction”. https://lex.uz/ru/docs/4778531 (accessed in May 2021) 45 Ministry of Finance. Official telegram channel. https://web.telegram.org/#/im?p=@minfinuzb (accessed in May 2021) 46 Gazera.uz. Families in need will receive material assistance.https://www.gazeta.uz/ru/2020/07/30/financial-support/ (accessed in May 2021) 47 Economic Research and Regional Cooperation Department, Asian Development Bank 48 The State Committee of the Republic of Uzbekistan on Statistics. The Global Goals for Sustainable Development. http://nsdg.stat.uz (accessed in May 2021)

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reforms implemented in the early phase of the transition to a market economy supported growth in 2020.49

Figure 4: Proportion of Population Living below Poverty Line

126. Uzbekistan’s Human Development Index (HDI) value for 2019 is 0.720— which put thecountry in the high human development category—positioning it at 106 out of 189 countries andterritories. Between 2000 and 2019, Uzbekistan’s HDI value increased from 0.599 to 0.720, anincrease of 20.2 percent50.

127. In 2020, GDP growth slowed down to 1.6% in comparison with 5.8% in 2019 and 5.4% in2018. In 2020, GDP per capita in current prices amounted to 16,949.1 thousand UZS (or, inequivalent, - 1,685.5 USD51) and, compared to 2019, decreased by 0.3%.52

Table 54: Gross Domestic Product

Year GDP GDP, per capita Bln UZS Growth % UZS Growth %

2018 406,648.5 5.4% 12,339.1 3.6% 2019 510,117.2 5.8% 15,190.9 3.8% 2020 580,203.2 1.6% 16,949.1 - 0.3%

128. In 2020 the Gross Regional Product (GRP) in Surkhandarya region grew by 4.4%compared to 2019, and amounted to 24,003.6 billion UZS. The GRP for 2019 in in Surkhandaryaregion amounted to 21,573.7 billion UZS. Growth of GRP was substantiated by the growth ratesin agriculture, forestry and fisheries - 105.6% (share in GRP amounted to 50.4%), industry -113.9% (7.8%), construction - 107.1% ( 8.8%). In the meantime, the decrease was observed inthe service sector and the contribution amounted to 99.8% compared to the level of 2019 (theshare of this industry in the GRP structure is 33.0%). GRP per capita amounted to 9,040.6thousand UZS and increased by 2.2%.53

49 The World bank in Uzbekistan. https://www.worldbank.org/en/country/uzbekistan/overview (accessed in May 2021) 50 Briefing note for countries on the 2020 Human Development Report – Uzbekistan. UNDP 51 In 2020, the official average exchange rate of 1 USD was 10,055.8 UZD, in 2019 - 8,839.0 UZS 52 The State Committee of the Republic of Uzbekistan on Statistics https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1364&Itemid=1000000000000 (accessed in May 2021) 53 The State Committee of the Republic of Uzbekistan on Statistics https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1364&Itemid=1000000000000 (accessed in May 2021)

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Table 55: Gross Regional Product for Surkhandarya Region

Year GDP GDP, per capita Bln UZS Growth % UZS Growth %

2018 17,802.0 4.7% 7,002.9 2.5% 2019 21,573.7 3.7% 8,299.2 1.5% 2020 24,003.6 4.4% 9,040.6 2.2%

129. It can be seen that the growth in GDP has direct bearing on the poverty levels. Between 2016 and 2019, the GDP has been growing and correspondingly the proportion of poor has been falling. In 2020, GDP decreased (mostly due to pandemic limitations), however to offset the impacts of decreasing GDP on poverty, the government considered number of social assistance measures. 6.2 Survey findings 130. The surveyed households were categorized as low income families and other families (non-low income families). The families with the monthly income below or equal to the amount of minimal monthly wage adopted in February 2021 in the Republic of Uzbekistan. Only 0.6 percent of surveyed households (only one household) qualify under the low income category. The size of the household categorized by income is given in the table below. Table 56: Size of household by income

Number of members of HH

Low income HHs: income under 747,300 UZS

Other HHs: income above 747,300 UZS

HH % HH % 1 1 0.6 0 0 2-3 0 0 12 7.1 4-6 0 0 80 47.6 7-8 0 0 41 24.4 Above 8 0 0 35 20.8

Source: Socio-economic survey and analysis, April 2021 131. In general, the educational attainment among low income families is poor compared to the non-low income families. However, considering that only one household was low income among the surveyed, it can be seen from the table below that secondary vocational education is highest educational attainment among both low and non-low income families. The educational attainment of the members of surveyed households categorized by income is given below.

Table 57: Education by income

Education

Low income HHs: income under 747,300

UZS

Other HHs: income above 747,300

UZS people % people %

Did not complete school (have no school certificate) 0 0 0 0

Secondary education 1 0.6 90 53.6 Completed specialized secondary, vocational education 0 0 42 25.0

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Education

Low income HHs: income under 747,300

UZS

Other HHs: income above 747,300

UZS people % people %

Completed higher education, etc. 0 0 34 20.2 Preschool child 0 0 0 0 Child under 16 years old, who neither attend educational establishments, nor have employment

0 0 0 0

School student 0 0 1 0.6 Student of lyceum, college 0 0 1 0.6 Student of higher educational establishment (full time course student) 0 0 0 0

Source: Socio-economic survey and analysis, April 2021 132. In general, it is accepted that families with low income have fewer opportunities of being employed mostly due to the poor educational attainment. From the table presented below on occupation by income, it is evident that the situation in this case is different and the only household with income equal of below the monthly minimum wage is unemployed. The elder lady, who is the only member of that household, is not employed and is not looking for employment as she is retired. It shall be noted, that during the survey it was noticed that not many women showed interest in taking up economic activities. There is a need to create awareness and get the women involved in viable enterprises for improving their livelihoods. Table 58: Occupation by income

Occupation

Low income HHs: income under 747,300

UZS

Other HHs: income above 747,300

UZS people % people %

Employment in public sector 0 0 13 7.7 Employment in private sector 0 0 8 4.8 Private entrepreneur 0 0 69 41.1 Unregistered entrepreneur 0 0 13 7.7 Not in workforce 1 0.6 64 38.1 Total 1 0.6 167 99.4

Source: Socio-economic survey and analysis, April 2021

133. When asked about receiving social allowances the representatives of 28 surveyed households (16.7 %) reported relying of the social assistance. Among these households 82.1% were headed by men and 17.9 % were women-headed households.

Table 59: HH getting social assistance by gender of HH head

Receive social assistance Male Female All

people % people % people % Yes 23 17.6 5 13.5 28 16.7 No 108 82.4 32 86.5 140 83.3 Total 131 100 37 100 168 100

Source: Socio-economic survey and analysis, April 2021

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7. FINDINGS OF THE DISCUSSIONS IN FOCUS GROUPS

134. Discussions in Focus Groups were held in Baysun, Altynsay, Bandikhon and Denaydistricts between 7-10 April 2021. The Focus Group Discussions (FGD) were carried out inparallel with census/SES survey of affected persons, and public consultations held in variouscommunities of Surkhandarya region. Participants of FGDs were selected and invited byrespective district authorities and makhallas located in the project area (the list of affectedproperty owners was not provided to district authorities and makhallas) to learn concerns andopinion of local residents (predominantly not APs), where the project road is located. Theparticipants of the FGDs were selected among the residents of the project area to representvariety of occupations and social conditions (kindergarten teachers, school teachers, lecturers,entrepreneurs, nurses, artisans, social workers, farmers, retired, unemployed, housewives, singlemothers, wives of labour migrants, etc.), representatives of roadside businesses, officials of localgovernments at regional / community / settlement levels.

135. In each district FGDs were carried out in female only and mixed/male only groups (thelatter depended on number of female participant who attended the discussion in focus group). Intotal 12 FGDs were held with attendance of 145 participants - residents of the project area. Detailson each focus group participants, location and date of discussion is summarised in the tablebelow.;

Table 60: FGD Summary

District FGD female only FGD mixed/male only Date Total number of FGDs

Baysun FGD 1(10 participants)

FGD 3(10 participants)

FGD 2(15 participants)

FGD 4(13 participants)

7 April 2021 4

Altynsay FGD 8(11 participants)

FGD 5(17 participants,including 1 female)

FGD 6(11 participants,including 6 female)

FGD 7(12 participants,including 2 female)

8 April 2021 4

Bandikhon FGD 10(9 participants)

FGD 9(15 participants)

9 April 2021 2

Denau FGD 11(10 participants)

FGD 12(12 participants)

10 April 2021 2

Total 50 participants 94 participants 12

136. Vast majority (92%) of the FGD participants was aware of proposed road project, including86.0% of participants of female-only group and 94.7% of mixed group. Among those unawareabout the Surkhandarya Regional Road Project the participants of female only group comprised14.0% and participants of the mixed group accounted for 5% only.

137. A total of 97.3% of participants (including all participants of the mixed group) expect tohave the better access to transportation services as a result of project implementation. Only 2.7%of participants (all from female only group) mentioned that they do not anticipate to have better

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access to transportation or does not have expectations from the project. In addition 87.6% of participants (including all participants of the mixed group) expect that their property cost will increase by 2-2.5 times after implementation of the road project (this was justified with better opportunities for roadside business). A total of 6.9% participants of female-only group does not anticipate any change in the property costs, while remaining 5.5% of participants of female-only group were not sure about the possible changes.

138. Analysis of FGD outcomes did not indicate any strong correlation between gender andbenefits expected as a result of the project implementation. For this question the FGD participantswere asked to choose only three most important options for them and score them respectivelywith 5,4,3 (where 5 is most important, 4 is second important, and 3 is third important). During theFGD discussion overwhelming majority of the mixed group mentioned that as a result of theproject they expect to be provided with reliable road infrastructure and transport system, followedby expectation of having better access to work and healthcare infrastructure. In the meantime theparticipants of female only group considered provision of reliable road infrastructure and transportsystem, better access to work, and better access to health care infrastructure as almost equallyimportant, followed by provision of better access to education. While choosing the “other” optionthe participants noted better access to state institutions, development of tourism, agriculture, tradeservices, roadside businesses, as well as savings in family budget due to improved state of theroad (less car repairs and lower taxi fares). Distribution of the preferences for mixed and female-only FGDs are presented in the figure below.

1 - Reliable road infrastructure and transport system; 2 - Better access to education; 3 - Better access to work; 4 - Better access to markets/ shops; 5 - Better access to

health care infrastructure; 6 - Better access to entertainment places; 7 - Better access to airport/railway; 8 - Other

Figure 5: Opinion of FGD participants on project benefits

139. The clear gender pattern was identified during the analysis of responses received onpossible project impacts that concern the participants of FGDs. For this question the FGDparticipants were asked to choose only two most important options for them and score themrespectively with 5 and 3 (where 5 is most important and 3 is the second most important). Themajor concerns for women are associated with exposure to dust during construction works,temporary disruption of local irrigation networks, and safety considerations associated withincreased speed during operation. Main concerns of the women were associated with theagricultural production on their household plots (which can be gravely impacted by dust and lackof water during construction), as well as children safety when communing to/from school. Theywere also concerned with the possible increase in cases of trafficking and illegal labor migration.When asked about other possible concerns women noted the impact of vibration on their houses,especially when heavy trucks will use the renovated road, as well as expressed concerns withloss of income due to the closure of the roadside businesses where they work (some of the

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businesses will be affected by land acquisition and resettlement impacts of the project). Few women noted about possible increase in crime and drug traffic cases. 140. In the meantime, participants of the mixed FGDs prioritized other concerns (that were proposed by them and prioritized over those included in the initial list), including adverse impacts on the environment, increased traffic, availability and convenience of the locations of road crossings and u-turns. Further, similarly to female-only FGDs, the safety considerations associated with increased speed during operation, temporary disruption of local irrigation networks and lack of irrigation water were mentioned. 141. It shall also be noted that all the participants emphasized that they are concerned if their property will be affected by the proposed project, including possible impacts on their land plots, dwellings and businesses, as well as if compensation payments in case their land plots are affected by the project will be provided. Distribution of the concerns among mixed and female-only FGDs are presented in the figure below.

1- Disruption of normal movement during construction works; 2 - Exposure to noise

during construction works; 3 - Exposure to dust during construction works; 4 - Safety considerations associated with increased speed during operation; 5 - Increase in cases

of trafficking and illegal labor migration; 6 - Influx of new people who do not always share the values of local communities; 7 - Temporary disruption of local irrigation networks,

lack of irrigation water; 8 – Other Figure 6: Opinion of FGD participants on concerns related to project

142. Analysis of the results of the discussions in focus groups revealed the differences in the priorities for transport sector improvements that were identified by men and women respondents. The FGD participants were asked to choose three most important options for them from the list and score them respectively with 5,4,3 (from most important to third most important). While the first three answers (improvement of traffic safety, improvement of the transport waiting areas and stops, and increased frequency of public transport services) were same in both groups, however women paid more attention to the needs of increased coverage of transport services and route improvements (to get to the destination directly or with minimum number of transfers), as well as raised the issues of lighting the road and installing the traffic lights next to the educational institutions (covered in the “other” option). In the meantime, in contrary to the female-only group, the mixed group was also interested in improved road maintenance. It shall be also noted that improvement of traffic safety was the most preferred option overall, that scored almost twice higher compared to any other options offered in the list and proposed by participants. Priority directions for investments emphasized by participants of mixed and female-only groups are demonstrated in the figure below.

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1-Rehabilitation of existing roads; 2- Construction of new roads; 3 – Improvement of the transport

waiting areas and stops; 4 – Increased frequency of public transport services; 5 – Increased

coverage of transport services / route improvements; 6 – Improved road maintenance

services; 7 – Improvement of traffic safety; 8 - Other Figure 7: Priority directions for transport sector improvements

143. No differences in the FGD responses and no clear gender pattern was revealed when theparticipants responded to the questions of the frequency, distance, cost and time of travel to maindestinations, such as schools, colleges/universities, healthcare institutions, workplaces, markets,district/regional centres, etc. via the project road. It shall be noted that no public transport isavailable in the project area (except Altynsay district), and people mostly use private cars (non-official taxi cars without license) to commute. None of participants mentioned about usingmotorcycle or bicycle. The answers differed by districts, depending on proximity of socialinfrastructure and distance of makhalla from district centre.

144. Kindergartens / schools are the only destination where people mostly walk to on a dailybasis (only few exception when they travel to school by car); distance to school varies between1.5-4km and one way journey takes between 10-30 mins. With respect to the journey tocolleges/universities, most students travel by private cars. Distance to secondary specialized andhigher education institutions located in Denau or Termez is 100-125km, most of the studentstravel on weekly basis, the travel takes about 1.5 hours and costs about 50,000 UZS. Some ofthe students also travel to universities located in Tashkent city, usually on monthly basis or less.The travel takes around 12 hours and costs about 150,000 UZS.

145. As to the travel to hospitals/medical institutions, it shall be noted that both men and womentravel equally, usually every month and by private cars (some travel every week). The cost of thetrip varies between 3,000 – 15,000 UZS and the journey takes 30-90 minutes (in one case theperson walks to the hospital in 10 mins).

146. With respect to the travel to work, most of participants travel on daily basis and by privatecars to a distance of 1-8km and spend 3,000-15,000 of one-way journey which takes up to 20-30minutes. In few cases participants travel to work by private cars on weekly basis, as the workplaceis located at a distance of 120-200km, and it takes them 2.5-4 hours and costs 40,000 – 70,000USZ to get there. Only in once case a participant walks to the workplace located at a distance of1 km and spends 10 minutes to commute.

147. When asked about travelling to markets, it appeared that men travel to markets more oftenthat women (mostly every day/week, while women travel every week/month). Most local marketsare situated at a distance of up to 15km, and it takes 4,000 UZS and 30 minutes of travel byprivate car to make the journey. Participants also travel 35-45km to the markets located in districtcentres (less frequently though, every week or month). It shall be noted that some of the markets

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(clothing, houseware, etc.) are operating only once a week and the residents of the nearby areas are travelling to the market location on that day. They get there by private cars, and the one-way journey costs about 15,000-20,000 UZS and up to 1.5 hours.

148. Participants (mostly men) also visit the state institutions and banks located in district and regional centres. Such travels are carried out on as need basis and by private cars, usually every week or month. The travel distance is under 35km and the journey takes up to 1.5 hours and costs up to 15,000 UZS.

149. In addition, it shall be noted that some of the participants involved in trade services are frequently using the road for transportation of their goods, mostly to district and regional centres, as well as to capital Tashkent. Some of the participants are also travelling through project road to visit their relatives residing in other district of Surkhandarya region and in Uzbekistan.

150. When asked about experience on travelling via project road, vast majority of the FGD participants mentioned that they use the road more often during the summer, while the same travel usually takes more time and is more costly during the winter. Only the female-only FGD in Denau district mentioned that they spend more time for travel in summer, which was explained with traffic jams due to increased traffic in summer.

151. The gender pattern was identified during the analysis of responses received for the question, where men and women were requested to identify major problems associated with project road use. The FGD participants were asked to choose three most serious problems score them respectively with 5,4,3 (from most to least grave problem). The major problems for the men and women were the poor quality of the project road, absence of the public transportation and high cost of the travel. However for the other problems, while men mostly noted the high cost of fuel, and lower travel comfort due to dust and noise, the women mostly were concerned with over crowdedness of the public transportation means (in Altynsay), lack of lighting at stops, as well as among “other” category mentioned the issue of absence of pedestrian walkways, the need to install the traffic lights especially next to the educational institutions, possible increase in number of traffic accidents due to the increased driving speed. Distribution of the main problems associated by project road use identified by participants of mixed and female-only groups are demonstrated in the figure below.

1 - Road is in poor condition; 2 - Journey takes a long time; 3 - Lack of public transport (impassable roads /

lack of transport routes, lack of vehicles); 4 - Buses / minibuses are overcrowded; 5 - Long wait for the next

bus / minibus; 6 - Safety of waiting at a bus stop, vehicles, quality of services; 7 - Lack of lighting at stops,

recreation areas; 8 - High fare for transportation; 9 - High prices for gasoline and gas;

10 - Decreased comfort levels due to noise, dust, etc.; 11 - Other

Figure 8: Main problems associated with project road use

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152. As to the most frequent road users among their households, the 44.1% of participantsnoted that the road is equally used by men and children, the 40.7% of participants mentioned thatthe men are the most frequent users of the road, while only for 15.2% of participants the allmembers of household are equally commuting via the road (the numbers were similar in bothfemale only and mixed groups).

153. Next question asked to FGD participants referred to the main issues that on their opinionshall be addressed in the proposed road project.

154. When asked about main issues to be resolved as a part of the project (FGD participantswere asked to choose two most important issues for them from the list and score themrespectively), the most popular answers in both groups were the establishment of the pedestriancrossings and installation of the speed limiting signs in the sections of the road passingthrough/nearby communities. The third answer in both female-only and mixed groups wasprovision of access to irrigation and other infrastructure. Female-only group also noted importanceof provision of the access to the land plots located on both sides of the road, while mixed group(among other) emphasized the importance of training on driving rules and installation of trafficcameras and speed radars. Distribution of the main issues to be resolved as a part of the projectidentified by participants of mixed and female-only groups are demonstrated in the figure below.

1 - Pedestrian crossings; 2 - Appropriate cattle / animal walkways / crossings;

3 - Providing access to settlements and roadside facilities; 4 - Providing access to land plots

located on both sides of the road; 5 - Providing access to irrigation and other infrastructure;

6 - Availability of recreation areas along the road; 7 - Availability of public transport stops along the road;

8 - Availability of speed limit signs on road sections along settlements; 9 - Other

Figure 9: Main issues to be discussed as a part of the project

155. As to the sources for the income, no differences among the sources of income wererevealed between the female-only and mixed groups. The summary of the of the participantswere requested to provide all the sources of income. The income generated on the plot wasconsidered as primary source of income for 83% of FGD participants. A total of 58% equallyemphasized the importance of the income from wages, business activity, as well as incomegenerated from livestock breeding (the latter was mentioned among “other”). About 33% ofparticipants also rely on seasonal work, pensions and remittances. They also noted thatconsidering COVID-19 pandemic limitation, many migrant workers were not able to travel for workand thus amount of remittances was significantly reduced.

156. The clear gender pattern was identified during the analysis of responses received onwomen wages. Each group discussed the issue and came up with joint opinion which wasconsidered during calculation. While all female-only FGDs noted that women receive less wage

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for the same work, the vast majority of the mixed FGD participants mentioned that the wages are equal. One of the mixed groups that mentioned about difference in wages, only noted that women get about 10,000 UZS less than men for the same work. The female-only groups noted that the wage for daily work for men is 70,000-80,000 UZS, while for women it comprises 35,000 – 50,000 UZS (however the men are usually hired for more physically demanding work compared to women). Opinions of FGD participants on whether the women and men receive same wages is summarized on the figure below.

Figure 10: Opinion on whether women and men receive same wage

157. Analysis of FGD outcomes did not indicate any strong correlation between gender and opinions on activities that women spend most time on. For this question the FGD participants were asked to choose only three most time-consuming options for them and score them respectively with 5,4,3 (where 5 is most time consuming, 4 is second, and 3 is third most time consuming). During the FGD discussion the first three priorities indicated by mixed groups included baby care and provision of support to schoolchildren with preparation of their homework, cooking and cleaning/laundry. Work on household plot and delivery of water from source were also mentioned by mixed group (delivery of water was never mentioned by the female-only groups). In the meantime, the female-only group as the most time consuming activities mentioned cooking, baby care and homework preparation for schoolchildren, and cleaning/laundry. The representatives of female only group also noted about the work on household plot. Distribution of the activities on which women spend most time on for mixed and female-only FGDs are presented in the figure below.

1 – Baby care, helping schoolchildren with homework; 2 – Cooking; 3 – Cleaning, laundry;

4 – Taking care of livestock / poultry; 5 – Work on the household plot; 6 – Business;

7 – Formal work (for wage); 8 – Delivery of water from sources; 9 - Other

Figure 11: Activities women spend most time on

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158. Gender equality in decision-making process was evaluated by the FGD participants. FGD participants were asked whether the women in their area are provided the same opportunities for participation in land use; bank loans, business activities, sale of real estate or lease of land, hiring workers, distribution of household income, purchase of equipment / appliances, employment, mobility of movement, etc. Each group discussed the issue and came up with joint opinion which was used during calculation.

159. Only 20% female-only FGDs responded believe that women have equal rights and opportunities to take and influence the decision-making regarding bank loans, business activity and purchase of the equipment and appliances. In the meantime, only 14.2% of mixes group provided the feedback the women have equal rights and opportunities with respect to the purchase of the equipment and appliances, and mobility.

160. Majority of female-only groups concluded that women have limited rights and opportunities in decision-making, especially with respect to the distribution of household income, purchase of equipment and appliances, as well as in mobility and business activity. In the meantime majority of mixed FGDs believed that women lack equality in the decisions related to getting the bank loans, purchasing of equipment and appliances and mobility, as well as business activity, distribution and household income and employment. Interestingly, the majority of opinions provided by female-only and mixed FGDs matched. See the figure below.

1 – Land use; 2 – Bank loans; 3 – Business; 4 – Sale of property or lease of land;

5 – Hiring workers; 6 – Distribution of household income; 7 – Purchase of equipment / appliances;

8 – Employment; 9 – Mobility; 10 – Other

Figure 12: Gender equality in decision-making process – lack of involvement of women in decision-making

161. Those who answered that they have limited opportunities to participate in the decision-making process noted various closely related reasons causing this situation. Some of the answers include the statements that man usually is the owner of the property, so he is the one who decides; woman’ earnings/income less than men’s one; most of the equipment and machinery technically designed for the men and thus require physical strength (women also lack technical knowledge to use the equipment), religious reasons, national mindset, traditions requiring women to respect for men, acceptance of the higher status of men in society, agreements between men and women, difficulties in getting a loan, lack of resources available for women to start business, fear to operate business and get bankrupt, lower education level of women, load of work to be done at home and to care for the cattle.

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162. Participants also noted number of the actions that are in need to support women to become more active in economic and social life. Among the others, few should be noted in this analysis: opening of kindergartens and schools, provision of quality education to women (such as setting quotas for women education, creation of training courses for young women in order to prepare them for admission to universities, specialized courses for women), creation of jobs (mostly in agriculture and crafts), implementation of programs to promote women entrepreneurs, provision of additional support to single mothers, and necessity to pay more attention to gender sensitivity among people, as well as improvement of the general culture and attitude toward gender issues.

163. Both female-only and mixed FGD participants agreed that women should receive additional support if their land plots are acquired for the proposed road project. In particular, they mentioned that the women should be allocated with a plot (preferably in irrigated area), a decent compensation allowing to rebuilt/recover the lost property and the source of income shall be provided, no-interest or low-interest loans shall be provided (including for housing construction, provision of support to most vulnerable households, creation of special jobs for women.

164. The last question discussed with FGDs participants referred to use of child labour. Only in three cases the use of child labour was mentioned. Participants of one of the mixed FGDs mentioned that in their community boys over 15 years are working on household plots of the neighbours (mostly cleaning manure) for 30,000 – 40,000 UZS per day. A participant of one of the female-only FGDs mentioned that she is aware of rare cases in their community when children from poor families are working on household plots. During the discussion in another female-only FGD one of the participants also mentioned about 15-16 years old boys who are earning extra money on weekends. With respect to this the participants of almost all FGDs during the discussion emphasized the importance of opening kindergartens, schools, sport facilities and parks to organize proper education and leisure of children.

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8. KEY INFORMANT INTERVIEWS

8.1 Consultations in the Project Area 165. The key informants for the interviews were selected in project area and includedrepresentatives of state authorities (including khokimyats of Surkhandarya regions, Baysun,Bandikhon, Altinsoy and Denau districts, project area makhallas, Centers for Promotion ofEmployment of the Population, Agency for Youth Affairs, Medical Associations, ) mostly to collectstatistical information, data on poor and vulnerable groups, issues and concerns that populationof the Surkhandarya and project districts have, as well as representatives of road-sidebusinesses, civil society organizations and non-governmental organizations, automobileenterprise. In addition, a discussion was held with the representatives of the EA - StateCommittee of Roads under the Ministry of Transport. The selection of the key informants werecarried out to allow for collecting additional statistical information regarding Surkhandarya regionand project districts, identify concerns and recommendation of various groups active in the projectarea and along the project road. The brief summary of each discussion and interview held isprovided further in this section of the report.

8.2 Details of Consultations 166. The brief summary of each discussion and interview held is provided further in this sectionof the report.

8.2.1 NGO "Taskin" 167. Interview was held with the head of NGO “Taskin” on 30 September 2020 in their office inDenau. The organization is involved in provision of social and education assistance to womenand girls. A journalist for a local newspaper Chakhaniyon published in Denau district) also tookpart during the interview.

168. During the interview the head of NGO noted that the quality of the roads are poor andbecause of that the access to medical institutions and services located in district / regional centresand in Tashkent is limited. In addition, the cost of passenger transport is very expensive even forregional travel within the country (Tashkent, Samarkand, Bukhara). He mentioned that highdensity of population and underdeveloped industrial complex create gender segregation in thelabour market, thus women are more engaged in the healthcare and education sectors, as wellas in trade and services. Rural women in Denau are mostly involved in cultivation of the householdplots or are employed in seasonal farming. Among the issues that women in the area face(including those coming to NGO for assistance), high unemployment rate among women,relatively high incidence of cancer, limited access of girls to higher education institutions werenoted. During 2020 in connection with COVID-19 pandemic and lockdown, the rate of womenrequesting financial assistance from local government agencies surged, along with the cases ofdomestic violence. Among the reasons the cessation of remittances from the husbands / sons(usually working abroad as labor migrants), their return to the country, and the lack of jobs for themale population and their stay at house were noted.

169. Head of the NGO was not aware about Surkhandarya Regional Road project, howevernoted, that improvement of the project road will have very limited impact on the majority of thefemale population living in the project area, considering their low mobility. In the meantime thepoor quality of the road currently affects many aspects of the socio-economic life of the population:

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prices for consumer goods (food, basic necessities, clothes / shoes, etc.), the availability of taxi services (due to poor road quality, taxi drivers include the cost of car repairs in the fare), opportunities for employment in the region (travel to work), as well as the environmental situation in rural communities along the road. Poor state of the road and high cost for transportation services limit the opportunities for women and girls to maintain traditional family ties and visit their relatives.

170. With respect to women road users, it was stated that only few women importing goods from Tashkent and other countries actively use the road. The abolition of the visa regime between Uzbekistan and Tajikistan made it possible to provide the market with better quality consumer goods at an affordable price. It also had a positive effect on the growth of incomes of catering courts, where mostly women are engaged as waiters and dishwashers. However, the border was closed as a part of COVID-19 pandemic limitations. Frequent users of the road also include the women with complex and/or chronic diseases who need consultation or specialized treatment in the larger cities. The road is also used by the residents of the project area to access the large consumer goods market in Denau district.

171. With respect to expected benefits, it was mentioned that implementation of the proposed road project will allow to develop service roadside infrastructure (increase the number of food courts), improve the safety of road users and decrease the risk of road accidents, as well as will create favorable conditions for the sale of agricultural products by both farm and dekhkan farms. From gender perspective the better road will improve conditions for women entrepreneurs, increase their mobility and access to education and apprenticeship. Moreover, the ecological situation will improve, especially in the summer, when the "Afghan" (warm wind) is blowing.

172. In terms of adverse impacts from the proposed project, the head of NGO mentioned potential increase in trafficking since the road is located close to the border, as well as possible increase in HIV cases due to influx of workers during construction of the road and increase in passer-by traffic during the road operation. Awareness among the area residents on these issues were proposed. Recommendations also included possible involvement of socially vulnerable groups, especially women in the project works (even for temporary employment), which will allow them to generate additional income in the nearby their places of residence.

8.2.2 NGO "Barqaror Hayot " 173. Interview was held with the head of NGO “Barqaror hayot” (Sustainable life) on 17 April 2021 (the discussion was carried out via videoconference). The organization is located in Termez involved in provision of support to migrant workers, repatriates and people with HIV, including provision of assistance with employment and housing. NGO in cooperating with a number of international organizations.

174. The head of the NGO was aware about the project and mentioned that while the road reconstruction will be very beneficial for the region’s economic development, the resettlement and demolition of properties is a major issue and proper compensation shall be calculated and provided. She noted that in project area there are many cases when few families (even up to 5-6) are living in the same house, and this shall be considered during resettlements. She also pointed out the importance of NGO involvement in the resettlement process as local administration if not always supportive to residents. NGO can provide support during resettlement process, helping people to make sure that they have received proper title documents, ensure that spouses are also included in the compensation agreements and title documents (since men are usually the owners of the property and can leave women out), confirm that another plot is provided

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in lieu of the acquired one. They can even ensure provision of psychological support and consultations to the people affected during resettlement, since for many moving away from the places they lived for all of their life is not easy. Moreover, NGOs shall be involved in programs for provision of support to vulnerable families to ensure the transparency of the process and ensure that indeed vulnerable groups receive assistance.

175. With respect to the project road, the respondent noted that women in the project are havelimited mobility, however are often employed in roadside businesses (cafes, shops), some evensell agricultural produce. If case the businesses they work will be closed due to construction ofthe road, women can be allocated with the new area for establishment of market, where they cansell produce, food, crafts. Women will benefit if such markets are organizes near rest areas alongthe road, as they will have access to toilets, possibly electricity, as well as the cars can safelystop and passengers can rest and buy from local residents. It would also be useful if, for example,50% of the selling stalls are allocated to women entrepreneurs.

176. Several suggestions were made with an aim to improve the livelihood of the residents ofthe project area, such as involvement of the local residents during construction works. Manyworking migrants experienced in construction were leaving to Russia for seasonal work (someare even organized into the construction groups), however considering the existing travellimitations these people are staying in Uzbekistan and can be involved in construction works. Theskills of such workers will be used for the benefit of their motherland, and their employment willalso improve the situation with migration of workers from the project area. In addition, whilewomen are not conventionally engaged during construction, nevertheless there are types of worksfor which women can be employed (particular preference shall be given to women from vulnerablehouseholds).

177. For the residents of the area (especially for women) who are willing to start the familybusiness, the NGO is experienced in and ready provide support with preparation of businessplans, and support them during application to banks for credit, as well as provide training onfinancial literacy (understanding the family budget, the business budget, calculate expenses, etc.),as these activities shall support local residents to improve their livelihood. Some of theinternational organizations active in Uzbekistan may also consider the programs on provision oflow-interest credits for local families who establish small businesses.

178. Issues related to violence, trafficking and HIV are also very important. NGO is workingwith HIV-positive people, who are indeed very vulnerable and often not socially accepted.Awareness and training in the area would be beneficial to increase local population knowledgeand understanding of the issue. According to the data collected by NGO, most of the HIV casesin Surkhandarya occur from sexual contacts. This might be an issue if influx of workers will takeplace during road construction works. NGO can organize awareness campaign in the project areato ensure that residents are well informed about the HIV and trafficking risks. Attention shall alsobe paid to abuse and domestic violence, as number of cases significantly increased in 2020.

8.2.3 Rehabilitation centre for women and girls, victims of gender-based violence 179. Head of the rehabilitation center for women and girls, victims of gender-based violencelocated in Altynsay district was interviewed on 30 September 2020. B. The center providessupport services and temporary shelter services to women and girls.

180. The respondent mentioned that the quality of the road is unacceptable and is the causeof high taxi fares. For example, one-way fare to Tashkent is 200-250 thousand UZS (about $ 20-

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25) and the trip takes 10-11 hours. The wives of the taxi drivers' complain about the need to allocate funds from the family budget for permanent car repairs. Seriously ill people need to spend a lot of money on car rental in order to ger to medical centres in Tashkent and Samarkand.

181. The local women are mainly employed in the agriculture (seasonal work), since the region is one of the main suppliers of fruits, vegetables and potatoes. Due to favorable climatic conditions (early spring) and sufficient water resources, the population can collect up to 4 harvests during one year. The district is also one of the main suppliers of meat for the population of the Surkhandarya region. Seasonal engagement of women in agricultural activities most probably caused the establishment of a female labor market - the female mardikar bazaar - in the mountain village of Khuzhasoat in Altysay region. Women from nearby areas were seeking employment in housework, gardening, care after elderly / sick family members, help to clean after family events (house cleaning and dishwashing). Usual daily fee of mardikar varied between 50,000 – 100,000. As of 2021 the separate mardikars bazaars ceased their work and were joined into larger groups with informal women leaders who regulate the operations of the group. The leaders of the groups receive the requests for work and forward them to relevant members of the group. The leader of the group ensures that the women work in the conditions free of harassment and abuse, and, in additions, women usually work in groups to increase their safety. Such mardikar groups have their internal rules, which the women members have to follow (for example, rules also include that members shall restrain from the personal relationships with clients). The client pays both to the leader of the group (who helped to hire workers) and to the women workers (doing the work) directly.

182. The unemployment rate is quite high in the region among both male and female population. Due to the reforms carried out in the agricultural sector of Uzbekistan, access to land has become limited. Farmers mechanized the work, and many workers were laid off. In addition, before the pandemic the men were leaving for work in Russia, however their income in 2020 drastically decreased. The respondent mentioned that the situation of women living in the mountainous areas of the Altansay region is particularly concerning. This is due to limited water resources, stony soil and the inability to engage in traditional farming the level of unemployment is high. In addition, women and girls in the area have limited access to professional courses and education.

183. The respondent learned about the proposed project during the interview, however noted that the improved road will first of all benefit the taxi drivers, as well as chronically ill people and their relatives (as they often travel to/from hospitals and medical institutions located in larger cities; incidence of cancer is high in the area). Women in the area have limited mobility and are mostly involved in housekeeping. They use the road only from time to time, when traveling to markets in Denau, visiting other regions and/or Tashkent. There’s another road that passes through Shurchi district, which is used to travel to regional centre – Termez. Among women, the frequent road users include seasonal workers, women-mardikars, as well as women engaged in trade services. In addition, women are working in the roadside shops/cafes located along the project road, as well as are involved in roadside trade.

184. Improved road will lead to overall improvement of wellbeing of population and decrease in number of traffic accidents, as well as provide additional employment and ensure better access to medical services. Moreover, women and girls will have better access to education (specialized and higher). In the meantime, it was recommended to consider establishment of the rest areas along the road with toilets (especially those transporting sick residents to capital or regional centres will benefit from this). Special attention shall be paid to the sections of the road located

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nearby the schools – here speed limiting sighs shall be placed to avoid/minimise accidents. Where needed pedestrian crossing shall be located next to the schools and schoolchildren shall be informed on locations of crossings.

185. Unlike other regions of Uzbekistan (for example, in the Jizzakh region), where internationalhighways are located, in the project area services of commercial sex workers are limited and notvery apparent, however this situation may change after reconstruction of the roads, since it willlead to increase in traffic through the road connecting international highways. The head of thecentre didn’t wanted to share information about number and issues with which women applied fortheir support and shelter.

8.2.4 Group discussion with women in Baysun 186. Group discussion was held with 11 female representatives of makhalla committees inBaysun on October 2, 2020 (list of participants is provided in Annex 6). There are no alternativeroads in the area and local residents have to use this road irrespective of its bad quality. There isa railroad connection available, however local residents prefer to travel by car. Baysun district islocated in the beginning of the Derbent – Denau road and the poor condition of the road limits themobility of the residents. Considering that Baysun district is mountainous and water resourcesare very limited, the women population is mostly unemployed. Due scarce water resources thecattle breeding is not developed, which leads to higher prices for dairy products, this limiting theiravailability for local households and impacts the health of residents, including women and girls.In rural areas where water is available, the women are engaged in gardening. Only a small partof women and girls are employed in government institutions; they are mostly self-employed intrade and services. In the regional center, women artisans are crafting clothing for nationalcelebrations / events.

187. Relatively recently ethno-tourism began to develop in the Baysun district, hotels andhostels were built, but their ability to create jobs is very low. Baysun region is also famous for itsmountain sanatorium "Omonkhona" with a source of water containing chemical elements usefulfor the intestinal tract. Households in the district have set up guest houses for people who travelto the source for treatment. However, due to the pandemic, the sanatorium and the source itselfare closed, and the villagers were left without the source of income.

188. The sources of income for many households were remittances from Russia and Korea,but due to the coronavirus pandemic, transfers decreased, many men returned from labormigration. In contrary to other nearby districts, in Baysun the number of women – labour migrantsin increasing, mostly they leave to work in Russia and Turkey. Sometimes women are involvedas seasonal workers during the fruit harvest. The main issue for women and girls is unemploymentand they need the support from government to resolve this issue. Another issue is the access ofgirls to higher education, since despite the availability of only limited financial resources, manyparents would like to see their girls educated. Besides, not many specialized courses are availablein the area, which would allow to master the specializations demanded in the labour market, suchas agriculture sector related work (cultivating), crafts (making artisan crafts, such as traditionalclothing), sewing, tourism (establishment and management of small family hotels, bed-and-breakfast establishments, etc).

189. Participants were not aware of the proposed project, however after learning about it theymentioned the proposed project road’s importance for the region. In their opinion, the men willbenefit from the project through establishment of car service stations along the road. In the

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roadside businesses women work at cafes and carry out heavy/dirty work (cleaners, dishwashers, cook assistants etc.) mostly for negligible pay.

190. Women mostly use the road to travel to markets in Denau, Angor, as the prices compared to Baysun market are lower and the goods are more diverse (clothing, household appliances, kitchenware, they also buy items for their dowry). Frequency of such market visits is usually once per two months. Some student women also use the road to travel to their universities, including those located in Termez and Denau. The road is used by few women engaged in trade, however their number is very small (traditionally women in the project area are not encouraged to organize their own business).

191. Improvement of the road will have a positive impact on the economic and social development of the region and its population by creating better conditions for thriving of the roadside services, tourism sector. ADB may consider to support projects aimed at creating jobs for women, especially for women living nearby the projeсt road (for example, a mini-factory for the production of silk/atlas can be established as there are good specialists in the area with professional skills). The road can contribute to tourism development and utilization of region’s potential, since Baysun lies on the Silk Road. A technical school, training the specialists in the field of tourism, was recently opened in the district center, and development of tourism potential will allow them to find a job. The local artisans will have better access to markets, this will lead to development of the export-oriented handicrafts, such as suzane embroidery.

192. The project should also provide facilities for road users and tourists, for example, such as toilets, safe viewing platforms (there are a lot of scenic spots along the route with views of the canyons), public catering facilities where sanitary and hygienic standards are observed, as well as signs to nearby mosques. In is expected that the rehabilitated road will improve the safety of road users – drivers, passengers and pedestrian. Better road will also ensure improved access to products, and especially dairy products, which is important for the region. The road will help to attract innovative solutions for the cultivation, processing and marketing of horticultural products (canning, drying), walnut plantations, as well as in the processing of sheep skin. 8.2.5 Handicraft center in Baysun 193. Discussion was held with the head of the Handicraft Center in Boysun district on 17 February 2021. The center was created with the support of UNESCO as part of a project for the preservation of tangible and intangible heritage in the Surkhandarya region. In the center, coarse thread fabric (alacha) and carpets are woven. The production process is based on the mentor-apprentice principle. Up to 15 girls work in the center every day, and many craftswomen work from home. When asked about the marketing of products, the girls noted that the products are sold mainly during local festivals, artisan exhibitions held in the cities of Uzbekistan, as well as at exhibitions in other countries. In Baysun district there are two brand shops, one of which was opened along the Derbent-Denau road. Due to the pandemic and a sharp decline in the tourist flow, shops are currently not functioning. To overcome these difficulties, the centre is looking for a designer to help with creating the new samples of artisanal goods using natural materials and dyes and considering the demands of the foreign buyers in order to create export-oriented products and start an online shop. 8.2.6 Series of discussions with women selling agricultural produce along the project road 194. Discussions were held with about 7 women selling fruits and vegetables along the project site. Most of interviews were carried out in Baysun and Altynsoy districts during September – October 2020. The outcomes of the discussions with individual women are summarised below.

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195. During the discussion it was revealed that the trade is carried out mainly by women, while involvement of men is limited to physical movement of the produce to the point of sale. The roadside market operates seasonally, the season starts from early spring (April) and extends to late autumn (November). Year-round operation is impossible due to the market set up: most of the kiosks are just covered with reed roof and not all of them have power supply (in Altynsoy kiosks are gathered under same roof). In Baysun the metallic containers were repurposed to work as shops. As noted by many women, inspectors of electrical networks do not allow connecting their kiosks to the power sources without special permission. The on-site storage of agricultural products is also limited. For these reasons, women trade during daytime and only during warm season. While many women sell the produce grown in their household plots, some of them are resellers (they buy the produce from farms at lower cost and sell with relatively higher prices). Most of the households do not have the opportunity to store produce for a long time, and the services of refrigerators are high. For this reason, the produce is sold at seasonal prices and does not provide a high income for both producers and/or sellers. 196. The average daily income generated by women during agricultural season varies between 100,000 – 300,000 UZS up to 300 thousand UZS per day, at other times the income can be up to 70 thousand UZS per day. In rural areas women also are involved as seasonal agricultural workers for a daily fee of 35,000 – 45,000 UZS. 197. With respect to the project road, most of the women noted that they only commute to their selling points. One of the reasons of limited mobility is the absence of well-established public transport (bus) system on the project road. The high fare for taxi services also limits their mobility, as high level of transport expenses is not encouraged in local households.

198. Women mostly were pleased to hear about road reconstruction project. They expected an increase in number of the roads users after completion of construction works, which will lead to development of better roadside services along the road, thus creating additional opportunities for their employment/self-employment. They shared that reconstructed road will also provide preconditions for the development of historical and religious tourism in their area.

199. Interviewed women mentioned, that the project can help to reduce the poverty in the area by reducing the transportation costs and improving access for women and girls to educational institutions, markets and medical institutions, as well as by improving access to employment opportunities. Women also mentioned about the importance of traffic safety once the new road becomes operational.

200. Another important recommendation made by the interviewed women, will be the construction of convenient and comfortable (warm in winter and protected from dust and heat in summer) points of sale for agricultural produce grown on their household plots. It would be very beneficial if such small markets are arranged in a compliance with construction requirements (uniform facade, etc.) at a locations with connections to the existing electric and water supply infrastructure, and have parking area for cars (so as drivers and passengers can safely stop for shopping). In addition, they emphasized the benefit from possible program on issuance of micro-loans for the construction of roadside sale points (kiosks) for women and girls involved in roadside trade.

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8.2.7 Center for Assistance to Employment of the Population of Baysun District 201. Discussion was held with the Director of the Center for Assistance to Employment of the Population of Baysun District on April 7, 2021.

202. Local residents are mostly involved in animal husbandry (cattle breeding), cultivation of wheat on the non-irrigated lands, as well as trade along the road. The major concerns of the local population are associated with high unemployment rate (even for educated professionals), especially among the women. There are no large enterprises operational in the area that could have employed large number of local residents. 203. A mono-center for the training and retraining of professional skills (with 3 months of training) is established in the area and issues the certificate recognized by 29 countries. The centre is ready to provide training on some simple skills among the residents of the area to prepare them for potential employment within the framework of the project. Men can be trained in construction, while women can be provided with cooking and landscaping training.

204. Several projects are planned to be implemented in the area, especially in construction sector and tourism. In total 800 bln UZS were allocated and 200 jobs will be created (hotels, sanatoriums). A project on collection of medicinal plants is also envisaged.

8.2.8 Committee of Roads 205. Discussion was held with the group of representatives of the Committee of Roads via videoconference on May 17, 2021.

206. Total number of employees in the CoR is 32,137, including 2,374 women (7.4%). Considering the road sector and most projects associated with construction, men constitute majority of the CoR employees. However, HR reported that women are also involved in the CoR, both in headquarters in Tashkent and in regions. Most of the women work for HR department and accountancy, however there are also women involved in technical work, especially in design institutes (in some of them about 60% of staff are women, they are high level professional earning decent wage). In the CoR headquarters, at the management level out of 20 departments only one (5%) is led by a woman (HR department).

207. When asked about equal employment opportunities, the HR noted about provision of equal pay irrespective of the gender of professional (this is also stipulated by the national legislation). It shall be noted that a Labour Union is established and protects interests of the employees, including availability of special clothing, PPE and cleaning agents to the relevant workers, provision of payments in cases stipulated by national labour legislation (e.g. childcare leave, etc.). Labour Union communicate requests of employees to CoR management and relevant budgetary allocations are being made to respond to needs.

208. During construction it is expected that mostly men will be involved, considering that implementation of construction works requires physical strength, use of heavy and specialized large size equipment, as well as endurance in working on open air (handling burning asphalt during hot summers). CoR representatives mentioned that they are interested in involving women, however heavy physical work carried out in shifts and away from their houses is not attractive for women. Thus, the construction activities related to the earth works and installation of pavement are all done by men, however, some support works (such as cooking in the construction camp, medical checkup, paperwork, etc.) are carried out predominantly by women. In addition, under the CoR separate organizations dealing with landscaping (greening) and cleaning of the road

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area, painting the road markings and guardrails are established. These organizations mostly engage women for implementation of works. Appropriate work conditions are established to support women workers – they are being delivered to the worksite (often located away from settlements) by bus, rest areas for their break time are established and food is served. Women rather prefer an employment closer to their homes, so as they can also allocate time for household chores and caring for children. Even when setting quotes on certain ratio of men and women employees to be involved in construction works, in practice mostly men apply.

209. With respect to the gender policy, the participants of the discussion representing CoRmentioned about the Strategy of Development of Transport Sector – a gender policy documentthat was drafted but not agreed yet. It will be approved following its review by the Cabinet ofMinisters. The document was developed with support of ADB and once it is agreed, the CoR willwork in accordance with that document. Deputy Director and Chief Engineer of the CoR (thesecond position in the CoR) is responsible for the implementation of the gender related policydocument. When asked about capacity building needs, the CoR management requested thetraining of employees in technical topics.

210. With respect to the Surkhandarya regional road project, the representatives of CoRmentioned that reconstruction of the road will be very important for development of the region andfor improvement of the livelihoods of project area residents. The reconstructed road will allow forquicker and safer transportation of passengers and freight. It will promote well-being of projectarea population by ensuring better mobility, and providing better access to the markets for localresidents to sell their products. For the CoR the priority while considering the projects is given thethose that bring benefits to local population.

211. With respect to the land acquisition and resettlement impacts and grievance redress, CoRrepresentatives mentioned that in accordance with the Urban Construction Code (former Decreeof the Cabinet of Ministers No 197 was added to the Urban Construction Code), the red lines shallbe provided by local khokimyats, and this is sensitive issue when the property is affected. TheADB policy allows for provision of decent compensation and usually the grievances lodged by theaffected people are limited. There were few cases of grievances associated with clarification ofrecipient of compensations, for example, when the owner rented the structure to another personfor business and there was an issue on eligible recipient of compensation. Vast majority of thegrievances submitted to CoR (roughly 99%) is related to the poor conditions of the roadinfrastructure and are submitted by local road users.

212. When asked about internal grievances, the respondents replies that the employeesusually discuss the issue with their supervisor and agree on resolution (there’s no practice ofcomplaining to HR or lodging a written complain). When asked to women participant if there’sanything in CoR conditions that can be improved, she mentioned about CoR office in Tashkent isunder renovation and women’s toilet is closed for repair and the women have to share the toiletwith men. The respondent also note that she understands that this inconvenience is temporaryand there are no issues to complain.

213. Between January – December 2020 a total number of 803 grievances was lodged, ofwhich 348 were forwarded from Virtual Reception of the President of the Republic of Uzbekistan,36 from the Virtual Reception of the Prime Minister of the Republic of Uzbekistan, 6 from theVirtual Reception of the General Prosecutor's Office of the Republic of Uzbekistan, 413 appealsand complaints from other ministries and departments, individuals and legal entities. 305 weresatisfied, 432 were clarified, 64 were transferred to other state bodies, and 2 appeals were

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anonymous. The most common reason for grievances are the quality of roads, including inter-regional roads, and internal roads. 214. With respect to the elements incorporated in the designs to address gender issues – those according to the CoR include bus stops, road safety elements, rest areas with separate toilets. For the rest area they usually apply the typical rest area design that includes parking area, toilets, room for mother and child, designated area for religious service (namaz). In addition, such elements as truck scales, scanners, cameras, these will allow to enforce better control of the freight movement through the project road and help CoR and police to ensure efficient work and precent drug traffic. 215. As to the specifics of Surkhandarya region that shall be taken into account during project implementation, the respondents noted about climate conditions in project area, particularly noting very hot and humid summers. Climatic conditions shall be considered while establishing the construction camps and organizing work sites. Rest room is recommended to be provided for the workers to spend the hottest hours of the day (wind directions and phenomena of “afghan” winds shall be taken into about), longer break shall be provided, medical support at the work site shall be available (including that for treating the sunburns). In addition the food menu and clothing shall be provided with considerations of Surkhandarya climatic conditions. 8.2.9 Baysun District Medical Association 216. Deputy head of the Baysun District Medical Association was interviewed on April 7, 2021. He mentioned that local medical infrastructure includes 6 rural family polyclinics, a central multidisciplinary hospital (at a distance of 3 km from the project road); as well as a rural family polyclinic with ambulances in the Sairob makhalla (5-6 km from the road). There are no laboratories for HIV testing in the district, however there’s a HIV /AIDS centre in the city of Termez (including a laboratory for testing). The central hospital’s staff also includes a doctor specialized in STIs.

217. With respect to the project road the respondent mentioned about very poor quality of the road, which leads to higher risk of road accidents and injuries. He also mentioned about a risk of increasing STI cases in case of influx of construction workers in the project area. He suggested to carry out HIV/AIDS, STIs and reproductive health awareness campaign in the communities along the road alignment. Regular testing of the construction workers was also recommended to ensure that the risk is properly managed. 8.2.10 Automobile enterprise No. 110 in Baysun district 218. The interview with the Director of the Automobile enterprise No. 110 in Baysun district was held on April 7, 2021. He mentioned that the project road requires major reconstruction, the bridges do not meet the requirements. The high risk of accidents due to traffic violations was emphasized. The organization is an association of taxi drivers, and they pay 25,000 – 30,000 UZS per day for a license (about 420,000 UZS per month). The road is mostly used for inter-district and inter-regional transportation. Due to the high costs of car repairs, the cost for taxi services is also high, which affects the prices of consumer goods (food, clothing, etc.). Moreover, due to the poor asphalt pavement of the road, it is not possible to start public transportation services (regular buses), as it will not be economically viable (the income will not cover the cost of bus repairs).

219. The respondent proposed that local authorities shall make a decision on the provision of benefits and subsidies to the company when commencing public transportation services. Creation

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of conditions for the legalization of border trade with Tajikistan and Afghanistan, legalization of trade will also support further development of the region. The construction of a gas processing plant in the region (with 7,000 jobs) is an advantage and will lead to increase in freight and passenger movement. Another solution included provision of support to roadside businesses that will operate along the road, such as food courts, cafes, shops, other services (especially those operated by women).

220. During the construction of the road, provide for the construction of campgrounds, as theycan be a source of jobs for the local population, especially women (cate).

8.2.11 Department for support of makhalla and family in Baysun district 221. Discussion was held in the Department for support of makhalla and family in Baysundistrict, particularly with the deputy head of the department on women's issues, adviser to thekhokim of the district on April 7, 2021.

222. During the interview the respondent noted that the employment of women in Baysundistrict has its specifics. Part of the population lives in mountainous areas, where they areengaged in sheep and goat breeding, gardening, whole another part lives in the district center,where women are engaged in handicrafts and small trade. The district is famous since ancienttimes for the work of artisans in suzane embroidery, carpet weaving, and manufacturing of alachafabric.

223. The government, within the framework of the "Women's Notebook" program, offersdifferent types of loans to create sources of income, but women lack financial literacy, whichaffects their opportunities of receiving a loan and starting their own business. A total of 1,821women are included in the "Women's Notebook" of the district, of which 57% are in need ofemployment, the remaining 43% are women who need legal, psychological and materialassistance, and/or have health problems. Professional training courses were organized for 143women, mainly in handicrafts and sewing. For girls / women under the age of 30, computer literacycourses are offered. This vocational training programs are carried out jointly with the regionalemployment center, and the center issues a one-time scholarship in the amount of 567,000 UZS(this scholarship covers expenses of two-month training program). During first half of 2021, a total143 women benefited from this scholarship. Monitoring of the progress of course graduates infinding employment is also carried out by the employment center.

224. At the district level, another source of limited income is the Omonkhona sanatoriumfamous for its natural water source rich in silicic acid, iron and aluminum. Guest houses havebeen created in the vicinity of the water source providing employment and serving as a source ofincome for some local residents.

225. The respondent mentioned that the regional government pays special attention to genderissues, as more and more women are asking for social support. One of the criteria for assessingthe effectiveness of sector leaders is the number of women included in the women's notebookand the work carried out to take them out of that list.

226. Among major social issues in the district the following was mentioned: high unemploymentrate among women, low income level of the population due to limited economic opportunities inthe region, including a shortage of water resources that impacts the quality and volume of

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agricultural production. With respect to the project road, frequent traffic accidents (including those involving schoolchildren) due to poor quality of the pavement were mentioned.

227. When asked about suggestions, provision of support to businesses (food courts, small markets, handicrafts center) was mentioned, along with the implementation of the financial literacy projects in order to educate local residents and reduce their fear for obtaining a loan and starting a business. Strengthening the capacity of district specialists working with women in terms of providing legal and social advice, training and guidance in business planning and operation was also recommended. In addition, training in new water-saving technologies in agriculture, organization of consultations with agronomists on cultivation of high value crops will also be very beneficial for district population. 8.2.12 Department for support of the makhalla and family of Altynsay district 228. Discussion was held in the Department for support of makhalla and family in Altynsay district, particularly with the deputy head of the department on women's issues, adviser to the khokim of the district on April 8, 2021.

229. Women and men residing in the district are mostly employed in the agricultural sector, as Altynsay district is an agrarian region of the Surkhandarya region. The population mainly receives income from agricultural products and animal husbandry. Limited areas of irrigated land are mainly allocated for large-scale farming. During the agricultural season, the products are sold at low prices due to the surplus of production. The infrastructure for storage of agricultural produce (mostly vegetables and fruits) grown by the households is not developed.

230. Total number of women included in the. “Women Notebook” of district is 1,370 people. The age of women in the notebook is 30 years and over. More than 700 women are in need of a jobs, loans, training. There are women who will be provided with social assistance, health services (examination, treatment and medicine). Loans offered to women are mostly provided for poultry, rabbit and fish farming, beekeeping, sewing, greenhouses. 231. Main social issues in the district include lack of permanent jobs for both men and women, underdevelopment of entrepreneurship. The income of women depends mostly on the products grown in the household plots. Women are also engaged for a seasonal work in dekhkan farms. In addition, women are often employed in the transport sector as landscaping workers. During the implementation of the project, priority shall be given for them to carry out landscaping work, as women lack skills and strength to be involved in immediate construction works.

232. Respondent noted that the project will have an impact on the mobility of the population. The project road is mainly used by men. Before quarantine, the road allowed visiting relatives in Tajikistan, however due to COVID-19 limitations the border is currently closed. Among positive impacts of the project reduction of accidents due to improved road pavement was mentioned. Establishment of sidewalks and signs limiting the speed will strengthen the positive project impacts further. The respondent doesn’t expect that reconstruction of the road will lead to increased risks associated with human and drug trafficking, increase in number of HIV/AIDS and/or STI cases, since the population of the area strongly adheres to traditions and customs.

233. The suggestions aimed at improvement of the social situation of the local population included provision of training aimed at improving skills in processing, canning and drying agricultural products grown on household plots, sales in markets/shops located along the road.

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234. In addition, for those affected by the land acquisition for the project, decent compensationshall be paid for affected property and a new land plot shall be allocated. Once the project isapproved, public consultations shall be carried out, so as local population is well aware of theproject activities and impacts.

8.2.13 Medical Association of Bandikhon district 235. Head of the Medical Association of Bandikhon district was consulted on April 9, 2021. Hementioned that the population of Bandikhon district lives far from the project road, therefore, therisks of sexual exploitation, HIV/AIDS, STIs are relatively low. The incidence rate is alsoinfluenced by religious practices, which can act as a deterrent to the growth of STI cases. STIcases are determined in laboratories operating at the multidisciplinary central district hospital. HIVtests are taken at the regional HIV/AIDS center located in Termez. Currently, there are 13 HIV-infected people in the district, all of them are registered and monitored.

236. Main problems in their sector include lack of financial, technical, human resources forproviding timely emergency medical services to victims of the road accidents registered in thesection of the road that passes within the administrative area of Bandikhon district, sinceambulances are located at a distance of 18 km from the project road. In case of an accident, theambulance will reach the accident site in 20-25 minutes. The standards used in health servicestake into account only the size of the population, they do not take into account the distance,remoteness of settlements or quality of road pavement. In the meantime, the Tangimushch familymedical center is located next to the road, however it does not have an ambulance at its disposal.

237. It was emphasized that design and construction of the project road shall be carried outtaking into account all road safety requirements. The local population shall be informed onHIV/AIDS and STIs risks through an awareness campaign. Renovation of the inner-district roadconnecting the district centers of Baysun and Bandikhon is also importance for provision of timelymedical serviced. Suggestions also included possibility of designating the provision of firstmedical aid to a rural medical station, however the station is operational only at daytime (they donot work at night due to the work schedule).

8.2.14 Bandikhon Branch of the Agency for Youth Affairs 238. Discussion with the head of the Bandikhon Branch of the Agency for Youth Affairs wascarried out on April 9, 2021. As a result of the study of vulnerability among the youth of the district2,080 persons (age of 18-30) were registered in the “Youth Notebook”. Of these, 890 peopleexpressed a desire to be engaged in entrepreneurship, and 642 people reported about theirwillingness to be involved in agriculture. A total of 230 people have higher and secondaryvocational education, but cannot find a job. The rest are in need of the social assistance.

239. Low rate of employment among youth (including women) is one of the most pressingproblems. The region's economy is focused on cotton growing, grain growing, and silkwormbreeding. There are only limited number of jobs in these areas of agriculture. The use ofhousehold plots is affected by the lack of irrigated water. To develop entrepreneurial skills, 74young people were assigned to acting entrepreneurs on the basis of the “apprentice-mentor”principle. In addition, young people have access to vocational courses in secondary vocationalcolleges and vocational schools.

240. The following solutions were mentioned among suggestions: creation of a health clinic foryoung women, establishment of a recreation area and development of ecotourism (developmentof eco-routes), WI-FI zones with access to electronic services, as well as development of carpet

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weaving skills among young women as a traditional craft with export attractiveness. Construction of the project road and opening of a railway station in the Bandikhan district center will also increase mobility of youth and their access to education and labour market.

8.2.15 Center for Assistance to Employment of the Population of Denau district 241. Discussion with the deputy head of the Center for Assistance to Employment of the Population of Denau District was carried out on April 10, 2021. With respect to the employment the respondent mentioned that dekhans farms, livestock breeding farms, and small businesses are well developed in the district. In Denau, there is a textile factory "Denau-textiles" with 400 workplaces, 330 of which are considered as social jobs. A mono-center "Ishga Markhamat" (welcome to work) has been created in employment center, and offers professional courses in sewing, computer skills, confectionery, hairdressing (both for male and female styles), carpet weaving, welding, plumbing, car mechanics. The unemployment rate is distributed approximately equally among youth and middle-aged groups. The main problems of the district from employment perspective include high density of population and limited number of employment opportunities.

242. With respect to the employment of women in district, it was mentioned that employment center helps to hire seasonal workers for 3 months (for works such as cleaning, landscaping and greening of makhalla territory and streets), with the wage of 826,514 UZS (excluding income taxes). In addition, depending on the demand of farmers and enterprises, women work in agricultural sector and at a local brick factory (stacking bricks). In the construction industry, women are mostly occupied in office jobs, as well as engaged in landscaping works along the roads. In the course of the proposed road project, women can be involved as cooks, nurses, as well as engaged in landscaping works. Local men can be hired as unskilled labour jobs during implementation of the road construction. Moreover, the mono-center can train both women and men to allow them to develop skills necessary for their involvement in road construction project.

243. Other suggestions included provision of the assistance to women entrepreneur with starting their business (such as food courts, household services, sewing, camping / hotels / guest houses, car service stations, etc.).

8.2.16 Makhalla and Family Support Department in Denau district 244. The Chief Specialist of the Makhalla and Family Support Department of Denau District was interviewed on April 10, 2021. Denau district is the most densely populated district in Surkhandarya region. The district is divided into 106 makhalla citizens' gatherings. The “Women's Notebook” includes 5,088 women. Excessive religiosity of the population is a limiting factor for the women to access education opportunities and labour market. Many women (who belong to vulnerable groups) are in need of financial assistance to purchase cheap social housing. Employment opportunities are very limited, especially for young women and girls.

245. Establishment of road-side food court (similar to the bakeries located at the entrance of Denau) will improve social situation in the area and provide employment opportunities for both men and women. An improved road will allow women to sell products not only in Denau, but in the surrounding areas.

246. Local population of the area is also engaged in cultivation of seedlings of fruit and ornamental trees and will largely benefit from provision of training and assistance in expanding the range of seedlings and growing new varieties of trees.

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8.2.17 Other data collection meetings 247. Few other meetings were held with the representatives of the local authorities mostly withthe purpose of data collection on the regional and district levels. The list of the meetings carriedout is presented in Annex 1.

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9. SALIENT FINDINGS

248. Twenty-two percent of the households are headed by women. The 19 to 45 age groupthan can involve itself actively in economic activity constitute only 16.2 percent. The average sizeof a family is 6.21. Between men and women, most of women completed general secondaryeducation only, while more men have completed specialized secondary or higher education. Itshall be noted that while the general secondary education is mandatory, the majority of womencannot continue education, which limits their future opportunities for decent jobs and income.Number of economically inactive women is slightly higher than that of men. Among those who areemployed (90 out of 168 persons), 17.8 percent are employed outside their place of living.

249. The average monthly family income reported by the households was 2,730,218.8 UZSand the average monthly family expenditure reported by the households was 5,930,950.5 UZS.The average monthly household expenditure is higher than average monthly household income,since many of the respondents did not provide “actual” income from remittances during theinterview (many were unwilling to share the information. Moreover, as was noted earlier, the manyof the surveyed households involved in cultivation sell their produce in bulk after the harvest, andduring the year are gradually spending their income from selling the agricultural produce.

250. Twenty four (24) percent of the households reported of indebtedness and majority hadborrowed from formal banking institutions. The cultivators mostly grow vegetables and fruits andthe produce is mostly consumed at home, while some of it is sold.

251. About eighteen (17.8) percent of the households reported that a family member hadmigrated seeking livelihood opportunities. In the meantime many respondents noted that due tothe border after COVID-19 pandemic limitations were enforced, the migration reduced. Theproposed road project is expected to increase trade resulting in increased productivity andemployment opportunity for the local community. Further, as part of the gender action plan, it hasbeen proposed to provide skills training to the people in the makhallas located along the projectroad, which will equip the trained persons in the community in finding suitable jobs and also enablethem to get higher payments in the place of employment. Vast majority of households (86.9%)expressed their interest is being employed during the road construction, and 20.2 percentrequested a training and skills development to improve their chances in labour market.

252. Thirty (30.3) percent of the respondents reported that the road condition is poor, followedby 5 percent who expressed their concern regarding high cost of transportation fees, and 14.2percent noting about reduced comfort due to noise and dust. The improvements proposed underthis project will address their concern on the quality of the road.

253. Lack of lighting on bus stops and rest areas, extended ravel time, lack of safety oftransportation means, high cost of fuel, absence of speed limiting signs, absence of pedestriancrossings, lack of toilets and lack of facilities for women travelling with children were indicated asissues in the present road. The proposed project includes three rest areas where the road userswill be able make use of the toilets, facility for women with children. It was also proposed toestablish shops that would sell food and other necessities to the road users in the rest areas.

254. Considering that a number of pedestrian crossing will be located on the project road, andin some places the road is located close to the schools, it was proposed to implement road safetyawareness campaign including both schoolchildren and community residents.

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255. Information on HIV cases was provided by the NGO active in the project area. NGO workswith HIV-positive population and received the data from HIV AIDS centre in Surkhandarya region.Considering that number of HIV/AIDS cases in the region increased by 1,297 cases during 2015-2019, which comprise 60% increase, the project has proposed HIV/AIDS and STIs awarenesscampaign in project area (24 makhallas located along the project road, and especially in the areaswhere construction camps will be located by Construction Contractor).

256. The women were asked if they would be interested in undergoing training for livelihoodand 59.5 percent of the women reported that they would be interested in undergoing training. Therequested training topics are listed by their popularity: seamstress classes, nursing, cooking,business (opening of business), gardening, child education. The women consider the followinginterventions would make their travel safe and comfortable: provision of separate toilets forwomen in bus stops / shelters and rest, bus stops and rest areas with lighting, medical station inrest areas, mother and child facility in rest areas, availability of a changing table in the toilets.

257. The proportion of population living below the national poverty line54 in the Republic ofUzbekistan has reduced from 12.8 in the year 2015 to 11.0 in the year 2019.55, 56 Uzbekistan wasone of only three economies in the Europe and Central Asia region that maintained positiveeconomic growth in 2020. Despite the severe impact of the COVID-19 crisis, reformsimplemented in the early phase of the transition to a market economy supported growth in 2020.57

In 2020, GDP growth slowed down to 1.6% in comparison with 5.8% in 2019 and 5.4% in 2018.

258. Only 0.6 percent of the surveyed households (one household) qualify under the lowincome category in the project area. The only household with the income equal or less that747,300 UZS (minimum wage) is composed of a single member – an elderly retired woman.

259. While majority of women respondents noted that they participate in decisions regardinglanduse, bank credits, land selling or leasing, purchasing of equipment and appliances, asignificant number of women respondent also noted that they are often not involved in decisionmaking regarding distribution of household income (45.9%) and workforce hiring (35.1%). Amongthe measures suggested by women to improve their participation in decision-making, thefollowings were mentioned: support in obtaining low-interest loans and training on how to getthem, creation of jobs so as women can work and make decision on how to spend their earnings,training courses of highly demanded specializations.

54 Source: Economic Research and Regional Cooperation Department, Asian Development Bank 55 Source: Economic Research and Regional Cooperation Department, Asian Development Bank 56 http://nsdg.stat.uz 57 https://www.worldbank.org/en/country/uzbekistan/overview

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ANNEXES

ANNEX 1. LIST OF MEETINGS

№ Date of interview Location Organization Position and Name

1 30 September 2020

Denau NGO “Taskin” Head of NGO, Gulzoda Avazova

2 17 April 2021 zoom NGO “Barqaror hayot” Head of NGO, Oliya Ilmuradova

3 30 September 2020

Altynsay Rehabilitation centre for women and girls, victims of gender-based violence

Head of the centre, Maksuda Makhmatkulova

4 2 October 2020 Baysun Women group discussion in Baysun

11 female representatives of makhallas

5 17 February 2021 Baysun Handicraft center in Boysun district

Head of the centre, artisan Ali Aripov

6 7 April 2021 Baysun Center for the Promotion of Employment of the Population of Baysun

Director, Sherzod Khalilov

7 7 April 2021 Baysun Baysun District Medical Association

Deputy Head, Saidullo Dzhumaev

8 7 April 2021 Baysun Automobile enterprise No. 110, Baysun district

Director, Khairullo Karimov

9 7 April 2021 Baysun Department of Statistics of Baysun region

Anvar Saidov

10 7 April 2021 Baysun Department for support of makhalla and family of Baysun district

Deputy head of the department for women's issues, consultant to the khokim of the district, Intizor Yakhshieva

11 8 April 2021 Altynsay Department for support of the makhalla and family of Altynsay region

Deputy head of the department for women's issues, consultant to the khokim of the district, Munira Mardanova

12 9 April 2021 Bakdikhon Makhalla and family support department

Deputy head of the department, Kudrat Eshmatov

13 9 April 2021 Bakdikhon Medical Association of Bakdikhon district

Head of the Association , Bahriddin Norkulov

14 9 April 2021 Bakdikhon Center for Assistance to Employment of the Population of Bakdikhon District

Saidov Sh.

15 9 April 2021 Bakdikhon Agency for Youth Affairs Bakdikhon Branch

Head, Oybek Eshonkulov;

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16 Bakdikhon Makhalla and family support department

Chief specialist in support of women in need of social protection, Sardor Juraev

17 9 April 2021 Bakdikhon Department of Statistics of the Bandikhon region

Head of department, Fakhriddin Khodzhanov

18 10 April 2021 Denau Center for the Promotion of Employment of the Population of Denau District

Deputy Head Nozim Halimov

19 10 April 2021 Denau Denau District Makhalla and Family Support Department

Chief Specialist, Farogat Urunova

20 10 April 2021 Denau Denau District Medical Association

Deputy Head for Maternity and Childhood Protection, Mamlakat Tudaeva

21 17 May 2021 zoom Committee of Roads Head of Department on Investment Projects, Rustam Khalikov; Head of HR Department, Malokhat Azimova Head of Training, Doniyor Musaev

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ANNEX 2. CENSUS AND SOCIO-ECONOMIC SURVEY QUESTIONNAIRE

SURKHANDARYA REGIONAL ROAD PROJECT, UZBEKISTAN CENSUS AND SOCIO-ECONOMIC QUESTIONNAIRE

Questionnaire ID: |__|__| - |__|__|__| Interviewers initials / Questionnaire number

Hello! We’re carrying out census and socio-economic survey amongst the persons to be affected by the land acquisition required for the project. The main goal of our interviews is to study the situation in the project area, as well as the perception of population about the proposed project. Your answers and comments will be used for social assessment. Any information you will provide to us will be used to make general conclusions only.

A. QUESTIONNAIRE PASSPORTA1. Place of the survey: A2. Date of the survey: 2021 A3. Name and position of the interviewer:

B. INFORMATION ABOUT RESPONDENT AND HIS/HER HOUSEHOLDB1. Full name of household head: B2. Sex: Male: [ 1 ] Female [ 2 ] B3. Oblast B4. Rayon B5. Massiv B6. Community town village B7. Address, phone/telegram: B8. Information on household members: Before we start our this section, I would like to explain the exact meaning of the word “household”, which we are going to use often during our conversation. I mean that household is made of people who live permanently in your house and share your household expenditures, at least those related to nutrition. Let us talk about your household. Please start from yourself (household head should be the first in the table) and name all members of your household, including small children, and also those who live in your house and share his or her income and expenditures with your household.

INTERVIEWER: FILL THE TABLE STARTING FROM THE RESPONDENT

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Ord

er N

o

Nam

e

Gen

der:

1– m

ale

2

– fe

mal

e

Age

(as

at th

e la

st b

irthd

ay);

child

ren

unde

r 1 Y

EAR

OLD

= 0

EDUCATION

Adults 1 – did not complete school (have no school certificate) 2 –secondary education 3 – completed specialized secondary, vocational education (vocational technical school, specialized vocational technical school, technical college, lyceum, college) 4 – completed higher education, postgraduate education, etc.

Children, schoolchildren and students 5- preschool child 6 – child under 16 years old, who neither attend educationalestablishments, nor have employment 7-school student 8- student of lyceum, college 9 – student of higher educationalestablishment (full time course student)

Basic occupation 1– preschool child 2 – school student 3 – child under 16 years old, who neither attend educational establishments, nor have employment 4 – student of lyceum, college 5 – student of higher education or postgraduate student (full time students)

Permanent employment (including those who are on childcare leave): 6 – in budget-funded organization or institution (healthcare, education, administration, enforcement institutions, etc.) 7 – in the private or state-owned enterprises (transport, construction, industry, telecommunications, etc.)

Owning private business: 8 – Patented entrepreneurship 9 – Registered as legal entity 10 – Unregistered business

Self-employed 11 – Self employed in trade and commerce 12 – Self employed in agriculture

Unemployed 13 – Officially registered as an unemployed person 14 – Unregistered unemployed, seeking employment and ready to accept employment immediately

Other categories 15 – Unemployed and do not seek employment for any reason 16 – Retired 17 – Disabled and registered with social security authorities (18 years and older) 18 – Disabled and registered with social security authorities (under 18 years)

Additional job/ employment

1– have 2 – do not have

A1. 1 A2. A3. A4. A5. A6.

1

2

3

4

5

6

7

8

9

10

C. IMPACT ON PROPERTYC1. What are potential impacts on your household due to the project? (mark with x)

No Description of Impact Temporary (T) / Permanent (P)

Full (F) / Partial (N)

1 Loss of land: 1.1 residential 1.2 commercial 1.3 agricultural

2 Loss of structure: 2.1 house 2.2 secondary structures (shed, garage, etc.) 2.3 commercial structures

3 Loss of business, livelihood or income4 Loss of crops or trees

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C2. Please provide details on your affected land plot No Cadaster number or identification number

in the list of affected properties Total area Affected area Measurement

unit sq.m. (1), ha (2)

1 2 3

C3. ( Only for owners of structures) Please provide details on your affected structures

No Type of structure, purpose of use Size, sq.m. Materials Year of construction

1 2 3 4 5

C4. ( Only for owners of cultivated plots) Please provide details on your affected structures

No Name of culture Affected cultivated area, ha

Average yield from cultivated

area, kg

Market cost for 1 kg, UZS

Did you cultivate

your affected

plot in 2021 1 2 3 4 5

C5. ( Only for owners of perennial plants) Please provide details on your affected perennial plants

Type of plant/tree Number Age Yield from 1 unit per

season in kg (for producture trees)

Cost to grow will productive age (for productive

trees) Non-productive trees and perennial plants Sub-total Productive trees and perennial plants

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Sub-Total Total

C6. What are your rights to the land plot/property affected by project? 1. Private ownership 2. Long-term lease for 49 years paid unpaid from state from private 3. Short-term lease for ___ years paid unpaid from state from private 4. Other (please specify):

Do you have title documents / lease agreement Yes No

C7. Number of years you use this land plot/property:

C8. If you lease the land plot/property from a private person, provide the following information on the owner of the land?

Owner’s full name:

Address: Phone number/telegram:

C9. Other land/property owned by your household (not affected by project)? (mark with x)

No Description of Asset Yes (Y) / No (N) Location 1 Land plot:

1.1 residential 1.2 commercial 1.3 agricultural

2 Structure: 2.1 house 2.2 secondary structure (residential/agricultural) 2.3 commercial structure

3 Business

C10. Only for business owners, otherwise skip to D1. Business activity

Name of business Type of business Type of registration Is this main occupation (1) or additional activity (2)?

Monthly income from this activity, in UZS

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C11. For business activity on the affected land/property: Do you employ workers for your activities on the land plot/property to be affected due to project? (tick appropriate box)

1. Yes (permanentworkers)

2. Yes(temporary workers)

3. No 4. Other(specify)

C12. If you have hired workers, please fill in the table below for each of them: No Work being done by hired worker T – temporary

P-permanent Age Gender

M (1) F (2)

Presende of work contract Yes (1) No (2)

Worker’s monthly income, in UZS

1 2 3 4 5

D. SOCIO-ECONOMIC DATAD1. Other assets owned by your family

Asset Quantity Real estate Car Trading and Business Other

D2. Family members who generate income (specify all of them including retired) Member’s name (father, mother, son,

daughter etc.) Income source: salary -1,

pension-2, other income -3 (mention) Monthly income, in UZS

D3. Information on family expenditures (monthly, for January 2021): Item of Expenditure Amount in UZX

1. Food2. Clothing3. Gas4. Electricity5. Water6. Heating7. House and other utilities8. Gasoline, fuel9. Medical/health10. Education11. Household appliances/utensils12. Telephone13. Transport expenses

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14. Payment of loan/credit 15. Maintenance cost / rent of equipment 16. Smoking 17. Alcohol 18. Entertainment 19. Other (if any)

TOTAL

D4. Information on family income (for month of January 2021)

Source of Income Amount in UZS 1. Salary 2. Trade/Business 3. Allowance 4. Pension 5. Renting vehicles/machinery 6. Interest (bank deposit, money lending) 7. Rent of land or real assets 8. Household products 9. Agriculture 10. Hunting 11. Fishing 12. Wild plants collecting 13. Other (specify)

TOTAL

D5. Does your household income level vary during the year? Answer # [ ]

higher in summer 1 higher in winter 2 same all year round 3

D6. Are there members of your family who work in locations outside Surkhandarya oblast?

1. Yes: 2. No:

If “Yes”, please fill in the following:

Name Type of work (agriculture,

industry, construction, trade and business, other.)

Location of work (other regions in Uzbekistan, CIS, foreign countries (specify where)

Frequency and duration of work (shift team, permanent,

years?)

Remittances, in UZS

Monthly income of

this member, in UZS

D7. Please indicate your family borrowings during 2020

No

Name of borrowing family member

Name of source 1 – state, 2 – bank,

3 – private person, 4 – other (mention)

Why the loan is taken?

Amount taken, UZS

Amount returned, UZS

Balance, UZS

1

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2 3 4 5

TOTAL

D8. What ethnicity do you consider yourself belonging to? 1 Uzbek 2 Tajik 3 Kazakh 4 Karakalpak 5 Jewish 6 Russian 7 Ukrainian 8 Other (please mention)

D9. Do you consider yourself as disadvantaged because of ethnicity? (in case the answer to D8 is different from “Uzbek”) 1. Yes: 2.No:

D10. Do you consider yourself as disadvantaged because of low income? 1. Yes: 2.No:

D11. Do you/your household get social assistance/allowance? 1. Yes: 2.No:

E. USE OF PROJECT ROAD

E1. Please provide us with the following information about the transport use. Purpose of travel Type of transportation:

A – public transport B – private car C – bicycle D – motocycle E – none (walking)

Distance (one way – in km)

How often: A – Everyday B – Every week C –Every month D – less than

every months

How much you spend for one way trip (UZS)

How much time you spend for one way trip in minutes

School or kindergarten College/ University Policlinic Hospital Work Market or trade agricultural product Other (specify):

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C2. Is there seasonal fluctuation in transportation use? Summer Winter Doesn’t change

1 Increase in Frequency 1 1 1 2 Increase Time 2 2 2 3 Increase costs 3 3 3

C3. What are the main problems associated with your travel? Please select top three answers:

Numbers [ ], [ ] and [ ] Road is in poor shape 1 Trip takes long time 2 Lack of public transport (unavailability of routes/luck of the

transport means) 3

Buses/minibuses are overcrowded 4 Long waiting time between two buses/minibuses 5 Safety of transportation means, quality of service 6 Lack of lighting on bus stops, rest areas 7 High cost of transportation tarifs 8 High cost of benzine and gas 9 Reduced comfort due to noise, dust, etc. 10 Absence of speed limiting signs 11 Absence of pedestrian crossings 12 Others (Specify): 13

C4. Who has to drive/use public transport more often than others? Only one option is allowed Number – [ ]

1 Everyone have to go nearly equally 1 2 Men have to go more often 2 3 Women have to go more often 3 4 Children have to go more often 4 5 Women and children have to go more often 5 6 Men and children 6

F PROJECT PERCEPTIONS F1. The Government of Uzbekistan is planning to implement the Project. Have you heard about Surkhandarya Regional Road Project?

1. Yes: 2. No:

F2. Do you think if your household will get better access to the transport services when the works are completed?

1. Yes: 2. No: 3. Do not know:

F3. What opportunities and livelihood assistance do you expect from the project to help restore your livelihood?

1. Employment during road construction2. Skill training (specify kind of training)3. Others (specify)

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4. Don’t expect anything

F4. What do you think are the advantages that you and your family would get due to construction of the road?

1 Improved road infrastructure 1 2 Reliable, safe and speed transportation system 2 3 Better access to work, markets/shops 3 4 Better access to healthcare, social infrastructure, education 4 5 Improved environmental conditions in the project area 5

F5. What do you think are the disadvantages that you and your family would face due to construction of the road?

Increase in noise during road construction 1 Increase in noise level due to increased traffic after finishing the road construction

2

Vibration during road construction 3 Dust generation during construction works 4 Temporary disruption of irrigation network 5 Possible competition for water sources 6 Influx of new people in project area, who do not always share the values of local population

7

Impact on flora and fauna 8

F6. What are your suggestions to minimize the losses or adverse impacts (if any) due to project and improve beneficial outcomes?

F7 – F9 - Questions for women–heads of households or family members of the respondent F7. Do you think that women in your city have sufficient opportunities to participate in decision making in:

Yes No Limited 1. Landuse 1 2 3 2. Bankcredits 1 2 3 3. Land selling or renting 1 2 3 4. Workforce hiring 1 2 3 5. Household income distribution 1 2 3 6. Purchasing equipment, appliances 1 2 3 7. Other (specify) 1 2 3

For respondents who think that there are limited opportunities for women in F7 F8. What do you think are the possible reasons why there are limited opportunities for women to participate in decision making in their family and society?

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For respondents who think that there are limited opportunities for women in F7 F9. What do you think are the possible measures to be undertaken to improve the opportunities for women to participate in decision making in their family and society?

Thank you very much for your participation in the survey!

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ANNEX 3. QUESTIONS FOR DISCUSSION IN FOCUS GROUPS

SURKHANDARYA REGIONAL ROAD PROJECT

QUESTIONS FOR DISCUSSION IN FOCUS GROUPS (original questionnaire is developed in Russian language and translated to Uzbek)

1. The Government of Uzbekistan is planning to implement the Project. Have you heardabout Surkhandarya Regional Road Project?

2. Do you think if your household will get better access to the transport services whenthe works are completed?

3. What do you think, whether the cost of property located nearby the project road willincrease as a result of road improvement?

4. What do you think are the advantages that you and your family would get due toconstruction of the road? (complete the table choosing three most important lines and assign5, 4, 3 scores respectively, include total score)

# Criteria Score 1 Improved road infrastructure and transportation system 2 Better access to education 3 Better access to work, markets/shops 4 Better access markets/shops 5 Better access to healthcare infrastructure 6 Better access to entertainment 7 Better access to railroad / airports 8 Other, please specify

5. What do you think are the possible impacts of the project that concern you? (completethe table choosing two most important lines and assign 5, 3 scores respectively, include totalscore)

# Criteria Score 1 Disruption of normal movement during construction works 2 Noise impact during construction works 3 Dust impact during construction works 4 Safety issues related to increase of speed during the

operation 5 Increase in trafficking and illegal migration cases 6 Influx of new people in project area, who do not always

share the values of local population 7 Temporary disruption of irrigation network, lack of irrigation

water 8 Other, please specify

6. What do you think are the most important issue to pay attention to in transport sector(complete the table choosing three most important lines and assign 5, 4, 3 scores respectively,include total score)

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# Criteria Score 1 Rehabilitation of existing roads 2 Construction of new roads 3 Improvement of comfort for passengers in transport

stations and bus stops 4 Increase in frequency of service of public transportation 5 Increase in service coverage of public transportation /

improvement of routes 6 Improvement of road maintenance services 7 Improvement of road safety 8 Other, please specify

7. Please provide us with the following information about the project road use (completethe table, include average numbers)

Purpose of travel Type of transportation:

A – public transport

B – private car C – bicycle D – motocycle E – none

(walking)

Distance (one way – in km)

How often: A –

Everyday B – Every

week C –Every

month D – less than

every months

How much you spend for one way trip (UZS)

How much time you spend for one way trip in minutes

School or kindergarten

College/ University Policlinic Hospital Work Market or trade agricultural product Other (specify):

8. Is there seasonal fluctuation in transportation use?

Criteria Summer Winter Doesn’t change 1 Increase in Frequency 2 Increase Time 3 Increase costs

9. What are the main problems associated with your travel?(complete the table choosing three most important lines and assign 5, 4, 3 scores respectively,

include total score)

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# Criteria Score 1 Road is in poor shape 2 Trip takes long time 3 Lack of public transport (unavailability of routes/luck of the

transport means) 4 Buses/minibuses are overcrowded 5 Long waiting time between two buses/minibuses 6 Safety of transportation means, quality of service 7 Lack of lighting on bus stops, rest areas 8 High cost of transportation tariffs 9 High cost of benzine and gas 10 Reduced comfort due to noise, dust, etc. 11 Other (specify):

10. Who has to drive/use public transport more often than others?(complete the table, only one agreed answer shall be provided)

1 Everyone have to go nearly equally 2 Men have to go more often 3 Women have to go more often 4 Children have to go more often 5 Women and children have to go more often 6 Men and children

11. What do you think what are the main questions to be considered and resolved as apart of the project? (complete the table choosing two most important lines and assign 5, 3scores respectively, include total score)

# Criteria Score 1 Establishment of pedestrian crossings 2 Establishment of cattle passes 3 Provision of access to communities and roadside

businesses 4 Provision of access to land plots located on both sides

of the roads 5 Provision of access to irrigation and other infrastructure 6 Establishment of rest areas along the road 7 Establishment of public transport stops along the road 8 Establishment of speed limiting signs in the road

sections passing along the communities 9 Other (specify)

12. What are the main livelihood means existing for residents of your community?(complete the table, include most important answers)

# Criteria Score 1 Wage 2 Income from business

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3 Income from household plot 4 Seasonal work 5 Allowance 6 Pension 7 Alimony 8 Money transfer by relatived 9 Other (specify)

13. Do women receive wages on an equal basis with men for the same type of work?

14. What do you think women spend more time on?(complete the table, include most important answers)

# Criteria Score 1 Baby care, help with home assignments of schoolchildren 2 Cooking 3 Cleaning, laundry 4 Cattle care 5 Work on household plot 6 Work for business 7 Official work 8 Delivery of water from sources 9 Other (specify)

15. Do you think that women in your city have sufficient opportunities to participate indecision making in:

Decision making in: Yes No Limited 8. Landuse9. Bankcredits10. Doing business11. Sell of property or rent of land12. Workforce hiring13. Household income distribution14. Purchasing equipment, appliances15. Employment16. Mobility17. Other (specify)

16. For respondents who think that there are limited opportunities for women: What do youthink are the possible reasons why there are limited opportunities for women toparticipate in decision making in their family and society?

17. What do you think are the possible measures to be undertaken to improve theopportunities for women to participate in decision making in their family and society?

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18. Should women receive additional support if the land plots they use are taken awayfor road reconstruction??

If yes, please explain why you think so:

19. Is child labour used?

If yes, please explain the type of work that the children are doing:

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ANNEX 4. QUESTIONS FOR DISCUSSION WITH KEY INFORMANTS

Various questions were used during the interviews with key informants, depending of their activity and available data. General list of questions is provided below (the original list of questions was developed in Russian language and translated to Uzbek language).

Questions asked during earlier interviews (prior to March 2021) 1. Are you satisfied with the existing quality of the Derbent-Denau road?2. What are the main types of work employed by women in the district?3. What gender and social problems exist in the district?4. Is the interviewer informed about the project?5. What role does the Derbent - Denau track play in the lives of women?6. For what purposes and how often do women use the road?7. How did the abolition of the visa regime and the openness of the transport corridor forresidents of two countries - Uzbekistan and Tajikistan - affect the living standards of women.8. What impact can the project have, and what proposals are there for the project group to takeinto account the needs of women, that is, what needs to be paid special attention to during thedesign period.

Questions asked during interviews (after March 2021) Socio-economic profile. District and oblast level data:

• Latest official population estimates (disaggregated by sex) - at rayon and oblast level• Data on educational attainment (disaggregated by sex) - at the rayon and oblast

levels. Data on women in the project area• Data on socio-economic development (ranking of oblasts / rayons, if any), data on

poverty level in the rayon and oblast (in comparison with other oblasts, rayonsthroughout the country)

• Key economic sectors in the area / settlements along the road• Key sectors of employment (disaggregated by sex)• Data on labor force participation (disaggregated by sector, by sex)• Data on unemployed (disaggregated by sex)• Current or urgent socio-economic problems in the district and region. Problems in

settlements along the road.• Data on poverty rates. Latest official data on the number of persons and / or families

living below the poverty line

Information about the project area• Brief description of the geographic characteristics of the project area - location,

physical characteristics (eg water bodies, forest cover, agricultural land area)• Energy, transport and services, especially in the project area and in settlements• Community concerns associated with the sector, subsector of the proposed project

Gender issues• Time use - the main housework, care work and economic activities of women

compared to men in the project area.• Key gender issues, social and economic problems / problems and needs of women

and other vulnerable groups (elderly people, children, people with disabilities) in theproject area.

• Threats to safety and health, problems of women and other vulnerable groups in theproject area, including but not limited to: common diseases, sexual exploitation,

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violence, harassment (SEAH), sexually transmitted infections, including HIV / AIDS, crimes.

• Problems of women and other vulnerable groups related to the sector, sub-sector of the project (social and economic), including child labor, unequal wages for the same cost of labor performed by men.

• Women's perceptions of the possible or potential impact of the project on their communities, their families and on them as individuals, including opportunities, challenges and gaps.

• Gender Analysis Questions from the Gender Toolkit: Transport - For the Surkhandarya Road project, use the context of women as road users.

Additional Gender Questions

• What are the different needs and priorities of women and men who use transport? • What are the gender transport patterns of different groups? What kind of travel do

men and women take? For what purpose and how? • What goods do men and women move? • What gender barriers exist in access to transport infrastructure and services? • Can women and / or women's groups participate and consult on an equal footing in

survey preparation and planning? • What features of a physical project might be of particular benefit to women over

men? • What livelihood opportunities exist for women and how can the project maximize the

social and economic benefits of improved transport connectivity for women? • What measures can be included in planning, design, implementation and monitoring

to improve gender equality in project management, construction and safety management?

• What opportunities exist to ensure that women benefit, such as road safety training, employment and income opportunities, or rural access roads?

• Are women employed in construction work in the project area? • What is the gender balance in stakeholder groups and implementing agencies? • To what extent do women and men have access to key resources, including

information, training and funding? • Who has the authority or leverage to make key decisions? Do men and women have

an equal opportunity to speak and be heard? Questions asked to EA

Data request: • Sex-disaggregated data from the EA on their personnel across all levels.

Main questions:

• Commitment and policy. Is there a gender policy? Are seniors officials or managers committees to the policy? How well is the policy translated into practice?

• Budget. Are budgets reviewed for their gender impact? What percentage of program/project budgets is allocated to gender-related activities or to programs directly relevant to women?

• Responsibility. Who is responsible for implementing the gender policy? What is their decision-making power and how are they perceived by other officials/staff? Do they have the necessary skills, resources, and support to fulfill their mandate? How are they involved in key decision making?

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• Competence/capacity. What skills and tools do officials and staff need to carry outtheir work in gender-inclusive way? Who in the institution/organization has theseskills tools and how competent are they? What training or other support is providedto strengthen the gender competence of staff? What incentives are there to motivatestaff to be more gender competent?

• Culture. To what extent do the shared values of the institution/organization supportgender equality? What is the attitude toward female and male staff? Are thereaccepted practices (e.g. working late, socializing after work, etc.) that discriminateagainst women or men? What is the perception of sexist remarks or sexualharassment?

• Human resources management. What is the gender balance of staff at differentlevels? Is there equal opportunity policy and how effectively it is implemented? Isgender competence a criterion in hiring and promoting staff and in selecting partnersand consultants? Are there working conditions (e.g. sanitary, facilities,hours/overtime, travel) that disadvantage women or men? Is being a woman or manconsidered and advantage or disadvantage for certain jobs?

Additional questions:• Are the infrastructure investments biased toward infrastructure development for

commercial use (rather than toward use by households)?• What physical features of road/transport projects can specifically benefit women

versus men users?• What livelihood opportunities exist for women and how can the project maximize the

social and economic benefits of improved transport connectivity for women?• What measures can be included in the planning, design, implementation and

monitoring to improve gender equity in project management, civil works, and safetyprovisions?

• What opportunities are there to ensure benefits and derived by women. Such as roadsafety awareness training, employment and income opportunities, or rural accessroads?

• Are women employed in civil works in project areas? Do construction contracts forcivil works include provision for recruitment of local female labor or gender-specificcore labor standards (e.g. equal pay provisions)? Is the enforcement of labor lawsweak in construction campsites?

• What is the gender balance in stakeholder groups and implementing agencies? Isthere a need for gender training, mainstreaming policy, and affirmative actions (e.g.targets for recruitment)?

• What gender indicators can be used in project design and monitoring framework?• How can gender dimensions be addressed within risk mitigation, such as HIV and

human trafficking awareness, and in resettlement planning and activities?

ANNEX 5. LISTS OF PARTICIPANTS OF FOCUS GROUP DISCUSSIONS

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ANNEX 6. LIST OF PARTICIPANTS OF GROUP DISCUSSION

ANNEX 7. PHOTOGRAPHS

Rehabilitation center for women and children survivors of violence, Altynsay district

Rehabilitation center for women and children survivors of violence, Altynsay district

Handicraft Center in Baysun

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Handicraft Center in Baysun

Roadside shops in Baysun

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Discussion with roadside businesses

Discussion with roadside businesses

Roadside shops in Altynsay

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Roadside shops in Bandikhon

Shops in Baysun

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Discussion with roadside businesses

Discussion with roadside businesses

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Interviews

Interviews

Interviews

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Interviews

Interviews

Discussions in Focus Groups

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Discussions in Focus Groups

Discussions in Focus Groups

Discussions in Focus Groups

Discussions in Focus Groups

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Discussions in Focus Groups

Discussions in Focus Groups

Discussions in Focus Groups

ANNEX 8. LIST OF REFERENCES CONSULTED

List of documents DBUK. Initial Environmental Examination prepared for Surkhandarya Regional Road

Project. 2021. DBUK. Design documentation prepared for Surkhandarya Regional Road Project.

2021. Passport of the Surkhandarya region as of January 1, 2021. Electronic version

provided to TRTA Consultant. (electronic version is shared). Khokimiyats of Boysun,Bandikhan, Altynsay, Denau districts. Passports of Boysun, Bandikhan, Altynsay,Denau districts as of January 1, 2021. Source: khokimiyats of districts located in theproject area (electronic version is shared).

Statistical bulletin of the Surkhandarya region. January-December 2020 Source:Department of Statistics of Surkhandarya region (electronic version is shared)..

State Committee on Statistics of the Republic of Uzbekistan. Data on the populationof Surkhandarya region in the context of regions, gender, territories as of January 1,2020. https://stat.uz (accessed in May-June 2021).

Department of Statistics of Surkhandarya Region of the State Committee onStatistics of the Republic of Uzbekistan. The system of general secondary educationof the Surkhandarya region for the 2020-2021 academic year.https://www.surxonstat.uz (accessed in May-June 2021).

Department of Statistics of Surkhandarya Region of the State Committee onStatistics of the Republic of Uzbekistan. The system of secondary specializedvocational education in the Surkhandarya region, March 2021. Source:https://www.surxonstat.uz (accessed in May-June 2021).

Departments of statistics of Bandikhan, Boysun districts of Surkhandarya region.Socio-economic indicators for the 4th quarter of 2020 of Baysun and Bandikhandistricts. Electronic version provided to TRTA Consultant. (electronic version isshared).

State Committee on Statistics of the Republic of Uzbekistan. Socio-economicsituation of the Republic of Uzbekistan for January-December 2020.https://stat.uz/ru/?preview=1&option=com_dropfiles&format=&task=frontfile.download&catid=318&id=1381&Itemid=1000000000000 (accessed in May-June 2021).

Official Telegram channels The official channel of the head of the press service of the State Committee on

Statistics of the Republic of Uzbekistan. Source: https://t.me/statistika_rasmiy Official channel of the Ministry of Finance of the Republic of Uzbekistan.

https://t.me/minfinuzb Official channel of the Ministry of Healthcare of the Republic of Uzbekistan.

https://t.me.ssvuz

Web-sites consulted: UNDP Uzbekistan website.

https://www.uz.undp.org/content/uzbekistan/ru/home/presscenter/pressreleases/2021/04/uzbekistan-advances-66-places-in-2020-statistical-capacity- index.html

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Message from the President, December 2020. https://review.uz/post/uzbekiston-respublikasi-prezidenti-savkat-mirzieevning-olij-mazlisga-murozaatnomasi

State Committee on Statistics of the Republic of Uzbekistan. https://stat.uz Department of Statistics of Surkhandarya Region of the State Committee on

Statistics of the Republic of Uzbekistan. https://www.surxonstat.uz

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ANNEX 9. SPRSS SUMMARY POVERTY REDUCTION AND SOCIAL STRATEGY

Country: Uzbekistan Project Title: Preparing the Surkhandarya Regional Road Project

Lending/Financing Modality:

Partial Credit Guarantee Facility

Department/ Division:

Central and West Asia Regional Department

I. POVERTY ANALYSIS AND STRATEGYTargeting classification: General intervention A. Links to the National Poverty Reduction Strategy and Country Partnership StrategyUzbekistan has cut proportion of population living below the national poverty line from 12.8 in 2015 to 11.0 in2019. Strategy of Actions in Five Priority Areas for the Development of Uzbekistan, 2017-2021a is set out in acomprehensive programme of reform. The proposed project is aligned with the government’s NationalDevelopment Strategy for 2017–2021. It directly contributes to the government’s goal of accelerating socio-economic development and enhancing the living standards of Uzbekistan’s population. The program aligns withADB’s country partnership strategy for Uzbekistan 2019–2023b. The project will improve access to more efficienttransport services in Surkhandarya region, as well as will improve Uzbekistan’s connectivity with neighboringcounties and will enhance Uzbekistan’s integration with markers further beyond. For poverty alleviation andsustainable development, the government aims to ensure reliable, safe and speedy road and transportationsystem. The expected outcome of the project is to construct the 106.4 km long road between Denau andDerbent, which will lead to improved transport services and new employment opportunities.B. Results from the Poverty and Social Analysis during PPTA or Due Diligence1. Key poverty and social issues. Project road is quite damaged and the traffic intensity is reduced as comparedto the historic traffic. One of the main reasons for this was the introduction of a visa regime between Tajikistanand Uzbekistan in 2001. As a result, 8 vehicle and one railway border checkpoints were closed in the projectzone and the given section of the road lost its status of the "International Highway". Due to this, the revenuesof the region drastically decreased, and the repair funds assigned by the state for the mentioned section of theroad reduced as well. This was the case for 18 years what damaged the project road section. On March 9,2018, an agreement was reached between the countries regarding the restoration of the existing bordercheckpoints and the facilitation of the visa regime. The border was closed in April 2020 due to COVID-19pandemic limitations and is still closed as of May 2021.The social impacts on affected households are expected to be major, as number of affected households will berequired to relocate outside of the designated RoW. This will result in loss of property and dislocation. Theeconomic impacts for affected households are addressed in the LARP.2. Beneficiaries. The major social impacts will have a short- to medium-term impact of a sustainable nature onhouseholds living in the RoW of the road. With increased access to a more reliable transportation services, theSurkhandarya region is a better place to provide more labor-based waged employment opportunities as industrywill have the necessary inducement to relocate to the Surkhandarya region – obviating the need for labor tomove elsewhere in the Commonwealth of Independent States countries, especially the Russian Federation, insearch of non-agriculture-based waged labor employment opportunities. The project will also provide directemployment and income opportunities during construction and operation, improve transportation and access tothe transport services, especially for representatives of vulnerable groups (currently having limited mobilitythrough the project road), and thus improve access to health and education institutions, workplaces, markets,thereby indirectly contributing to poverty reduction.3. Impact channels. Particular direct benefits would be the population’s safer and more reliable access to socialand economic opportunities for improving their well-being and livelihoods, and increase in local trade volumesand business opportunities with traders from along/outside the project roads through (i) comfortable travel onthe improved pavement, (ii) reduction of travel costs by reducing vehicle operation costs, (iii) installation of roadsafety and monitoring features, (iv) increased access to markets and opportunities. The abovementioned directbenefits will expand in the region, since the project road connects to two CAREC corridors and to the areasadjacent to the border with Tajikistan. The project is thus expected to promote intraregional and interregionaltrade of goods and movements of people inside/outside Uzbekistan and lead to further economic growth andpoverty reduction.

II. PARTICIPATION AND EMPOWERING THE POOR

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1. Summarize the participatory approaches and the proposed project activities that strengthen inclusivenessand empowerment of the poor and vulnerable in project implementation.A total of 168 people (131 males and 37 females) directly affected by this project were consulted as part of theinitial resettlement investigations (census and socio-economic survey). In addition, 210 people participated inpublic consultations carried out in each of four project district (Baysun, Bandikhon, Altynsay and Denau) in April2021. The scope of the consultation was the general introduction of the project to the community. Participantsin the consultation expressed support for the project. Questions revolved around project implementation andscheduling, clarifying project benefits for local communities, inquiring details about land acquisition andresettlement process, as well as project implementation details. Brochures providing details about the proposedproject, including details on ADB’s resettlement and environmental requirements, entitlement matrix andgrievance redress mechanism were distributed among participants.2. If civil society has a specific role in the project, summarize the actions taken to ensure their participation.In general, there is no specific role of civil society. However, the mahalla as the local community basedorganization will be involved in facilitating a good communication with affected people.3. Explain how the project ensures adequate participation of civil society organizations in projectimplementation. During finalization and implementation of LARP, consultation with affected households andlegal entities will continue.4. What forms of civil society organization participation is envisaged during project implementation?

Information sharing Consultation Collaboration Partnership 5. Will a project level participation plan be prepared to strengthen participation of civil society as interest holdersfor affected persons particularly the poor and vulnerable?

Yes No. There is no specific plan prepared for involvement of civil society, however the LARP include participation of mahalla as the local CSOs.

III. GENDER AND DEVELOPMENTGender mainstreaming category: EGM (effective gender mainstreaming) A. Key Issues. The number of men exceeds that of women in Surkhandarya region. As of beginning of 2021,share of women in total population of the region is 49.5%, while the share of men is 50.5%. Share of ruralpopulation is 63.8% (including 35.3% of men and 33.3% of women). Life expectancy in the region (available for2019) is 75 years (77.3 years for women and 72.9 years for men). The number of people traveling abroad forlabor activity in 2020 compared to 2019 decreased by 10.9% in Surkhandarya region. According to statistics,the number of economically active men in the last 10 years by 15-20% exceeded the number of economicallyactive women. In 2020, considering COVID-19 situation, the Government undertook the steps to identify thevulnerable groups that need social support.B. Key Actions. The LARP for this project was prepared after consultations. The entitlement matrix is designedto ensure that households headed by women will receive compensation and an additional allowance. GenderAction Plan was developed for the project. The women residing along the project roads will be encouraged toattend public consultations, disseminations of project information, and awareness-raising campaigns. Trainingof gender will be delivered to representatives of PMU and CoR. Separate toilets, sanitary facilities for women,men and access features for elderly, children, and persons with disabilities will be built in the bus stops/ sheltersand rest areas along the project road. Awareness raising on road safety; sexually transmitted infections(including HIV/AIDS); sexual harassment, exploitation, and abuse in the context of travel and mobility; traffickingin persons will be carried out for residents of local communities along the project road. In addition, a trainingprogram on registration of business and obtaining funds for business will be carried out for local residentsinterested in business activity.

Gender action plan Other actions or measures No action or measure IV. ADDRESSING SOCIAL SAFEGUARD ISSUES

A. Involuntary Resettlement Safeguard Category: A B C FI 1. Key impacts. Based on assessment on impacts, for the project implementation it will be necessary to fully orpartially acquire 172 land plots privately owned by 169 households. These plots are used by the local populationfor residential, commercial and agricultural purposes. Total area of registered land plots is 60,217.72m2. 6 landplots are informally used and not subject to legalization. Crops growing on 38 land plots, as well as 2153 non-productive trees growing on 61 land plots and 1962 fruit-bearing trees located on 103 affected plots will beacquired. In total 55 residential houses with 302 auxiliary structures and 139 business structures will beimpacted. The detailed information about the project impact is presented in the LARP.

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2. Strategy to address the impacts. Compensation and allowance are two main approaches to mitigate theimpacts associated with land acquisition. An entitlement matrix based on ADB SPS 2009 was prepared to beused as a basis in providing compensation and allowance. Aside of the existing government grievancemechanism, in compliance with ADB SPS 2009, the project level grievance has been established in to allowaffected people lodge their grievances and voice their concerns prior to seeking a grievance resolution throughthe existing government mechanism.3. Plan or other Actions.

Resettlement plan Combined resettlement plan and indigenous peoples plan Resettlement framework Combined resettlement framework and indigenous peoples Environmental and social planning framework

management system arrangement No action Social impact matrix

B. Indigenous Peoples Safeguard Category: A B C FI 1. Key impacts. The project area are majority Uzbek with some Tajik descendants, but no group maintainscultural and social identity separate from the mainstream Uzbekistan society that would classify as indigenouspeoples or ethnic minorities as described in ADB’s Safeguard Policy Statement (2009).Is broad community support triggered? Yes No2. Strategy to address the impacts. No strategy is required or prepared.3. Plan or other Actions.

Indigenous peoples plan Combined resettlement plan and indigenous peoples plan Indigenous peoples framework Combined resettlement framework and indigenous peoples Environmental and social planning framework management system arrangementSocial impact matrix Indigenous peoples plan elements integrated in project with a No action summary impact matrix

V. ADDRESSING OTHER SOCIAL RISKSA. Risks in the Labour Market1. Relevance of the project for country’s or region’s or sector’s labor market. Not significant.

Unemployment Underemployment Retrenchment Core labor standards 2. Labor market impact. Clauses on core labor standards, compliance with national labor laws andregulations, avoidance of discrimination in employment, and equal pay for equal work for women will beincluded in the bidding documents. As part of the EMP, health and occupational safety risks will be mitigated.B. Communicable Diseases and Other Social Risks1. Indicate the respective risks, if any, and rate the impact as high (H), medium (M), low (L), or not applicable(NA): Communicable diseases (L) Human trafficking (L) Others (please specify) _________2. Describe the related risks of the project on people in project area.The influx of workers during construction may increase the risk of HIV/AIDS and other sexually-transmittedinfections being spread. Human trafficking is not likely to be considered a major risk. To mitigate such socialrisks, contractors will be required to implement an awareness and prevention program that will be part of theEMP. It is not considered necessary to prepare a stand-alone plan to address these social risks.

VI. MONITORING AND EVALUATION1. Targets and indicators: Since the project is classified as a general intervention, no specific poverty indicatorhas been included in the DMF. However, with regard to the land acquisition impacts, the following socialindicators will need to be considered during the updating and implementation of the LARP: (i) 100% of affectedhouseholds headed by females and other vulnerable persons consulted in preparing and implementing theLARP; (ii) at least 50% of participants in consultations should be women; (iii) mahalla actively participating inconsultations and compensation committees; (iv) fair compensation based on actual replacement cost for allhouseholds, irrespective of income, ethnic group, or gender of the household head; and (v) the inclusion ofoccupational health and safety provisions in all civil works contracts that also address social risks associatedwith HIV/AIDS and other sexually transmitted infections.2. Required human resources: The PMU will recruit Social Safeguard Officer to finalize and implement LARP.

a Government of Uzbekistan. 2017. Presidential Decree No. 4947. On Strategy of Actions for Further Development of Uzbekistan. Tashkent. b ADB. 2019. Uzbekistan: Country Partnership Strategy 2019-2023. Manila.

ANNEX 10. GENDER ACTION PLAN

SURKHANDARYA REGIONAL ROAD PROJECT

GENDER ACTION PLAN

Activity Target / Indicator Responsibility Timeline

Output 1: 106.4 km road between Denau and Derbent reconstructed

1.1 Construct bus stops / shelters along the project road with separate toilets, sanitary facilities for women, men and access features for elderly, children, and persons with disabilities

1.1. By 2026: 81 bus stops / shelters are constructed along the project road with, sanitary facilities for women and men, diaper changing tables, access ramps for baby strollers and wheelchairs co-managed by the local government and women from the communities (2021 baseline: 0)

PMU, Surkhandarya region Khokimiyat, local departments of Ministry of Transport, Women Committee of district

Q2 2022 – Q4 2026

1.2 Construct three rest stops along the project road with (a) separate toilets, sanitary facilities for women, men and access features for elderly, children, and persons with disabilities, and (b) market stalls for entrepreneurs

1.2. By 2026: Three (3) rest stops constructed with market stalls (50% of market stalls per rest stop for women), sanitary facilities for women and men, diaper changing tables, access ramps for baby strollers and wheelchairs co-managed by the local government and women from the communities (2021 baseline: 0)

PMU, Surkhandarya region Khokimiyat, local departments of Ministry of Transport, Women Committee of district

Q2 2022 – Q4 2026

1.3. Carry out awareness raising on programs on: (1) road safety for residents; (2) sexually transmitted infections (STIs) including on HIV/AIDS; (3) sexual harassment, exploitation, and abuse (SHEA) in the context of travel and mobility, (4) trafficking in persons

1.3.a. Baseline survey on awareness on road safety issues and tips, sexually transmitted infections, sexual harassment, exploitation and abuse in the context of safe travel and safety using quantitative and qualitative data conducted among (or at least) 50 residents of project area (50% women participants) (baseline: not applicable). 1.3.b. One (1) module each on the following: (1) road safety (with separate sub-modules for (a) drivers (b) women, elderly, PWDs (c) children ; (2) sexually transmitted infections (STIs)including HIV/AIDS (with separate sub-modules

PMU, Surkhandarya region Khokimiyat, local departments of Ministry of Transport, Women Committee of district

Q2 2022 – Q4 2026

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for (a) women (b) men; (3) sexual harassment, exploitation, and abuse (SHEA) in the context of safe travel and mobility (with separate sub-modules for (a) men (b) women, elderly, and PWDs, (c) children and (4) trafficking in persons (with separate sub-modules for (a) women (b) men) developed using teaching/learning methods appropriate to the level of understanding of the participants. (baseline: not applicable) 1.3.c. At least one (1) awareness raising program on road safety, sexually transmitted infections (STIs) including on HIV/AIDS, sexual harassment, exploitation, and abuse (SHEA) in the context of travel and mobility, and trafficking in persons conducted separately for women and men, girls and boys (in secondary schools) conducted every year. (baseline: 0) 1.3.d. At least 100 women and men, and at least 100 girls and boys in project area (with 50% women, girls) report knowledge on good practices on road safety, prevention of sexually transmitted infections (STIs) including on HIV/AIDS, prevention sexual harassment, exploitation, and abuse (SHEA) in the context of travel and mobility, and prevention of trafficking in persons 1.3.e. At least one (1) awareness raising program on road safety, sexually transmitted infections (STIs) including on HIV/AIDS, sexual harassment, exploitation, and abuse (SHEA) in the context of travel and mobility, and on trafficking in persons conducted for each group of contractors and workers. (baseline: 0) 1.3.f At least three (3) tarpaulins with graphics and easy-to-understand descriptions, key

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messages, and help lines, on each of the following topics produced, printed, and posted in each of the two (2) rest areas: (1) trafficking in persons, (2) sexual harassment, exploitation, abuse (3) sexually-transmitted infections (STIs) and HIV/AIDS. (baseline: 0) 1.3.g. End-line survey on awareness on road safety issues and tips, sexually transmitted infections, sexual harassment, exploitation and abuse in the context of travel and safety using quantitative and qualitative data conducted among (or at least) 50 residents of project area (50% women participants) (baseline: not applicable)

1.4 Carry out training program on: (1) registration of business; (2)obtaining of funds for business

1.4.a. Baseline survey on awareness on how to open a business and obtain funds conducted among (or at least) 100 residents of project area (50% women participants) (baseline: not applicable). 1.4.b. At least one (1) module each on the following: (1) opening a business, (2) obtaining relevant funds conducted in each of the project area (50% women participants). (baseline: 0) 1.4.c. End-line survey on awareness on how to open a business and obtain funds conducted among (or at least) 50 residents of project area (50% women participants) (baseline: not applicable)

PMU and ADB Q2 2022 – Q4 2026

1.5 Carry out training program on gender-related topics for CoR staff

1.5. At least one (1) training on gender delivered to CoR staff in the central office and in regional branches covered by the project area to ensure their clear understanding of gender issues and how they are mainstreamed in CoR operations. (baseline: 0)

Project gender specialist, in coordination with CoR HR

Q2 2022 – Q4 2026

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Output 2: Wight-in-motion system supplied and installed

2.1. Prepare and submit a report on sex-disaggregated data on road crashes by type of road user and critical incidents

2.1.a. By 2026: sex-disaggregated data on road crashes by type of road user and critical incidents by type of incident, and addressed critical incidents reported yearly by the Committee for Roads (2021 baseline: 0) 2.2.b. actions taken by the Committee of Roads, Surkhandarya region Khokimiyat, local departments of the Ministry of Transport, and Women’s Committee of district to improve road safety documented and reported yearly. (baseline: 0)

PMU, Surkhandarya region Khokimiyat, local departments of Ministry of Transport, Women Committee of district

Q2 2022 – Q4 2026

{Project Title} (RRP {CTY} {XXXXX})

ECONOMIC ANALYSIS A. General

1. The proposed project intends to widen and improve an existing two-lane road inSurkhandarya region in the extreme south-east of Uzbekistan. The project road connects Denau,approximately 40 kilometers (km) from the Tajikistan border, and Darband, on the M39 trunk roadapproximately 120 km north of Termez, the regional capital. The project road is 107.8 km long.The western section of the road is designated as the 4R100 (47.5 km) and the eastern section(60.3 km) as the 4R105. The western section is in a fair to poor condition, with an estimatedinternational roughness index (IRI) of 6.0 in the without-project scenario and a poor horizontalalignment west of the town of Boysun. The remainder of the road is in a fair condition. Weightedannual average daily traffic (AADT) in 2019 (the base year) is estimated at approximately 13,000vehicles/day (veh/day). The road is hazardous, with an annual average of 13 fatalities.1

2. The project road serves regional agricultural and mining activities. While it does notdirectly serve any CAREC corridors, it does link corridors 2 and 3 and corridor 6. It also offers aconsiderable distance saving of approximately 162 km for traffic traveling between Dushanbe andcentral Uzbekistan or the Caspian Sea.

3. In its present state the project road is ill-equipped to handle increased traffic safely. If noremediation is carried out the road will continue to deteriorate, even with patching and cracksealing2. Under the without-project scenario some immediate remediation is assumed as setout in Table 4, followed by routine and periodic maintenance. Under the with-project scenariothe road will be reconstructed with a concrete pavement and widened by the addition of one tofour lanes (depending on gradient, urban traffic demand and intersection layout). The horizontalalignment west of Boysun will be improved, reducing the total length by 1.4 km. Intersections willbe upgraded, shoulders widened and safety features added throughout. The improved pavementwill have an estimated average IRI of 3.0. Average travel speed on the road is expected toincrease from an estimated initial without-project value of 65 km/h to 74.8 km/h followingimprovement.

B. Demand Estimate

4. Estimates of traffic demand used in the economic analysis are based on11 hour trafficcounts undertaken by the YLBDI (Uzbek road design institute) between August and October 2019.Fifteen minute counts in May 2020 confirmed the plausibility of the YLBDI estimates. StandardYLBDI expansion and seasonal adjustment factors were used to convert counts into the estimatesof AADT shown below.3

Table 1: Base Year Traffic, 2019 Section Motor-

cycle Car Mini-bus Bus Van Light

goods Medium goods

Heavy goods

Truck-trailer

Agrtractora

AADT veh/day

4R105 34 7,317 16 19 111 593 337 204 13 27 8,671

4R100 26 13,491 47 55 188 270 268 143 71 10 14,569

Source: YLBDI

Note: (a) agricultural tractors are unlikely to benefit from the proposed improvements and were not included in the economicanalysis

1Based on crash data for 2015-19 on the 4R105 and for 2015-17 and 2019 on the 4R100 there were annual averages as follows: 21 crashes, 24 serious injuries and 13 fatalities. The implied injury and fatality rates per million vehicle-km are more than double those

recorded for the region as a whole. 2Parts of the 4R105 road barely count as paved. 3The expansion factor (11h to 24h) was 1.59 and the seasonal factors were 1.01 for August and 0.94 for October.

Annex 9

{Project Title} (RRP {CTY} {XXXXX})

5. There are no historic traffic data from which to infer relationships between demand andeconomic activity. Average annual historic GDP growth from 2011 to 2019was 6.5%. Carownership between 2015 and 2019 grew by 6.1% and road freight ton-km by 5.5%. The mostrecent short–term forecasts estimate growth rates of 0.5% for 2020 and 6.5% for 20214.

6. The drop in economic activity as a result of Covid-19 will almost certainly have reducedtransport demand in 2020, but current forecasts suggest a rebound in 2021-22. There is too muchuncertainty inherent in the base year counts and the subsequent adjustments, and in the forecastrecovery, to fine-tune to account for Covid-19. A declining annual growth rate has been adopted,started at 5% and reaching 3% at the end of the appraisal period. This has been applied uniformlyto all vehicle classes. Normal traffic at the end of the evaluation period is forecast to beapproximately three times initial volumes and well above the threshold normally used just to justifya category I road.

Table 2: Forecast Normal Traffic in Vehicles/Day

Sectionsa 2019 2023 2033 2038 2043 2047

Sections 1 and 2 8,671 10,469 15,982 19,245 22,779 25,744

Section 3 14,569 17,586 26,847 32,329 38,264 43,246

Weighted average 13,384 16,678 20,431 24,603 29,120 32,911

Source: Asian Development Bank estimates Note: (a) analysis sections as shown in Table 4

7. In the longer term two other factors may increase traffic growth. First, a significant increasein cross-border trade is expected as a result of the establishment of a trade fair in Surkhandarya.Second, traffic diverting from the M41 and M39 route via Termez as a result of project roadimprovements. Neither of these influences has been factored in, however. The first is somewhatspeculative at present, and the second cannot be estimated without an origin and destinationsurvey.

8. The project is expected to reduce road user costs (RUCs) by 15%, although road users’perception of this change may be significantly different. In the absence of information on perceived road user costs or the price elasticity of demand for road transport, an assumption has been made that generated traffic will be equivalent to 5% of normal traffic.

C. Economic Costs

9. The economic costs of the project comprise (i) capital investment, including civil works,land acquisition and resettlement, a weigh-in-motion installation on the 4R100, consultingservices for construction supervision and social safeguard management, and (ii) road mainten-ance. Financial costs are converted to economic costs in line with ADB guidelines. All predictedproject costs and benefits are measured in 2020 world economic prices expressed in $. All tradedcosts and benefits are multiplied by the standard conversion factor (SCF), estimated at 1.05. Non-traded items (including journey time savings) are multiplied by 1.0.6

4ADB. 2020. Asian Development Outlook, September 2020 Update. Manila 5 Using the latest available World Bank statistics for Uzbekistan’s trade and tax revenues, and ADB guidelines, the shadow exchange

rate factor (SERF) was found to have ranged between 0.97 and 1.01 during 2015-18. It is therefore satisfactory to adopt an SERF of unity.

6 A factor of 1.0 has also been applied to financial LAR costs.

{Project Title} (RRP {CTY} {XXXXX})

10. Project financial investment cost is currently estimated at $227.3 million. Deducting taxesand duties brings this down to $199.3 million. Further deduction of the sunk cost of the feasibilitystudy, price contingencies and financing costs produces an estimated economic cost at 2020prices of $182.4 million. Construction is assumed to take place over a three year period from2022.Straight-line depreciation is used to estimate a residual value of 25%.

Table 3: Project Investment Costs

Intervention Financial cost, $m

(excl. VAT etc.)

Conversion

factor Economic cost, $m

Civil worksa 161.6 1.0 161.6

Consulting services, audit and project management 6.8 1.0 6.8 Feasibility study 0.4 Detailed design 1.8 1.0 1.8 Land acquisition and resettlement 3.2 1.0 3.2 Ecology 0.3 1.0 0.3 Physical contingenciesb 8.7 1.0 8.7

Price contingenciesb 6.3 Interest during construction and commitment charges 10.2 Total 199.3 182.4

Total per km of new road 1.87 1.73 Source: Asian Development Bank estimates Note: (a) includes $3.5m for a weigh-in-motion installation on the 4R100.

(b) a tax component has been subtracted from the gross estimate.

11. With- and without-project maintenance assumptions are set out in Table 4 below. A keywithout-project assumption is that remedial works would be undertaken in order to bring allsections of the road to an acceptable state. This, and the use of cement concrete in place ofasphaltic concrete, results in substantial maintenance cost savings throughout the appraisalperiod.

Table 4: Maintenance Assumptions Scenario Maintenance intervention

Without-project Initial remedial works at $150,000/km Periodic maintenance at $100,000/km every 6 years Annual routine maintenance at $10,000/km

With project Periodic maintenance at $80,000/km every 10 years Annual routine maintenance at $6,000/km

Source: Asian Development Bank assumptions

12. Traffic management during construction would either entail building temporary roads orthe installation of signals to divert traffic to a single lane. In either case a cost would be imposedon road users in the form of increased travel times. This effect is estimated at 10% of travel time.

D. Economic Benefits13. The main quantifiable economic benefits are vehicle operating cost (VOC) savings,savings in travel time, and crash cost savings. Analyses were undertaken on the threehomogeneous sections listed in Table 5. These sections match lots 1, 2 and 3 used in the detaileddesign and cost estimates.

Table 5: Project Road Sections

Section

Without-project With-project

Base year AADT,

veh/day Length, km IRI, m/km

Vehicle speeda,

km/h Length, km %>2Lb IRI, m/km

Vehicle speeda,

km/h

1 4R105 from M39 junction to east of Boysun

8,672 32.66 6.0 63.0 31.28 55 3.0 74.8

{Project Title} (RRP {CTY} {XXXXX})

Section

Without-project With-project

Base year AADT,

veh/day Length, km IRI, m/km

Vehicle speeda,

km/h Length, km %>2Lb IRI, m/km

Vehicle speeda,

km/h 2 4R105 & 4T100 to 4km east of 4R105/4R100 junction

8,672 31.60 5.0 65.5 31.60 41 3.0 74.8

3 4R100 to Denau 14,567 43.52 4.5 66.5 43.52 69 3.0 74.8

Source: Asian Development Bank estimates Notes: (a) applies to cars. In the without-project scenario vehicle speeds drop from those shown over the course of

the evaluation period (b) percentage of road with additional lanes

14. The World Bank RED model was used to calculate with- and without-project VOCsavings7. Unit cost data were derived from information obtained by means of interviews and websearch, as well as sourced from feasibility studies completed by YLBDI.

15. Approximately 45% of project benefits arise from journey time savings. Values of time aretaken from the Karakalpakstan Road Project: $1.10/h of work-time for motorcyclists and buspassengers, and $1.60/h for those traveling by car8. Non-work time is valued at 30% of theserates, and 30% of travel time is assumed to take place during work-time. As the national economygrows there will be a real increase in personal incomes that will affect the valuation of drivers’ and passengers’ time. A conservative constant annual growth rate of 2.5% is adopted.

16. Without-project crash costs were estimated using (i) a detailed crash cost analysisundertaken as part of the 4R100 feasibility study and (ii) for economic losses per fatality andserious injury, the values recommended by the International Road Assessment Programme(iRAP)9,10.Table 6sets out the estimate of annual without-project crash costs. The total annualamount of $2.4m will rise in proportion to traffic and GDP per head.

Table 6: Without-project Crash Costs

Cost Incident Frequency per million veh-kma

Amount per incident, 2020 $

Annual cost, $md

Property damage Crash 0.067 2,700b 0.06 Transport & treatment Injury 0.077 1,000b 0.02 Transport & treatment Fatality 0.042 1,000b 0.01 Economic loss Fatality 0.042 120,750c 1.55 Economic loss Injury 0.077 30,200c 0.71 Total 2.35

Source: Asian Development Bank assumptions Notes: (a) historic crash frequency per year(21 crashes, 24 serious injuries and 13 fatalities) divided by project road traffic

expressed in vehicle-km (b) taken from 4R100 feasibility study(c) iRAP values: 70xGDP per head per fatality and 25% of same value for a serious injury(d) annual cost = frequency x annual veh-km x amount per incident

17. The causes of crashes on the project road are not known, but recently published nationalstatistics indicate that one-third of all recorded road accidents in Uzbekistan are related toovertaking. Widening the project road is expected to reduce the incidence of this type of crash. A

7Roads Economic Decision model, version 3.2, 2004

8ADB. 2020. Report and Recommendation of the President: Proposed Loan to the Republic of Uzbekistan: Central Asia Regional Economic Cooperation (CAREC) Corridor 2 Karakalpakstan Road Project (A380 Kungrad to Daut-Ata Section – 240 km). Manila 9YLBDI. 2020. ТЕХНИКО-ЭКОНОМИЧЕСКОЕ ОБОСНОВАНИЕ: Объект: Реконструкция автомобильной дороги 4Р100 Мангузар к.-Жаркурган ш.-Бандихон к.-Олтинсой к.-Денов ш. на участке км 126-174 (с цементобетонным покрытием): АНАЛИЗ И ОЦЕНКА ПРОЕКТ. (In Russian).Tashkent.10iRAP. 2008. The True Cost of Road Crashes. London

{Project Title} (RRP {CTY} {XXXXX})

global comparison found that similar projects reduced the number of accidents by between zero and 54% with a mean and median value of 25%.11 The proposed project would add at least one lane to 57% of the road’s length. It is therefore reasonable to assume that the number of accidents would be reduced by 25% × 57% = 14.3%, say 15%.

18. In the absence of more detailed data, it is assumed that the same proportional reductionapplies to injuries and fatalities as to crashes.

E. Results of Economic Analysis

19. An economic assessment of the project was carried out using standard appraisalmethodology. This methodology compares the incremental benefits of reductions in VOCs, traveltimes and crash costs arising from the project with the initial investment costs and changes inmaintenance costs over a27-year appraisal period (three years implementation and 24 yearsoperation). Table 7 summarizes the principal assumptions.

20. Streams of costs and benefits are shown in Table 8, together with the key economicindicators, namely benefit-cost ratio (BCR), economic internal rate of return (EIRR) and netpresent value (NPV) at a 9% discount rate. The results are presented using the world pricenumeraire. The results indicate that the project is economically viable, with a BCR of 1.32, anEIRR of 11.3% and an NPV of $42.8m.

Table 7: Principal Assumptions

Assumption Value Price base year 2020 Discount year 2020 Currency of analysis US dollar Construction start year 2022 Construction end year 2024 First year of benefits 2025 Appraisal period 3 years of implementationand24 years of operation12 Numeraire used World price numeraire Income elasticity of demand Traffic growth falls from 5% initially to 3% at the end of the evaluation

period, equivalent to elasticity falling from 0.77 to 0.5 Value of time (in work, 2020) $1.6/hour (car passengers)

$1.1/hour (bus passengers) Value of time (non-work, 2020): $0.48/hour (car)

$0.33/hour (bus passengers) GDP growth assumptions: 2020 0.5%, 2021 6.5%, 2024 6.0%13 Standard conversion factor 1.00 CF applied to construction 1.00 CF applied to supervision 1.00 CF applied to taxes, duties, profits, transfers 0.00

CF = conversion factor; GDP = gross domestic product.

Table 8: Costs and Benefits Streams, (2020world prices, $m)

11Austroads. 2010. Austroads Technical Report: Road Safety Engineering Risk Assessment, Part 6: Crash Reduction Factors, Sydney. 12In line with Uzbek practice 13Sources: ADB Asian Development Outlook, September 2020 Update, Manila (for 2020-21 forecasts) and IMF World Economic Outlook, October 2019, Washington DC(for 2024 forecast)

{Project Title} (RRP {CTY} {XXXXX})

Year ---- Incremental costs ---- -------------- Incremental benefits -------------- Total

benefits Net

benefits Invest- ment

Mainten-ance

VOC Timea Gen

traffic Safety

2022 38.31 -16.17 0.00 -3.66 0.00 0.00 -3.66 -25.80

2023 94.86 -1.08 0.00 -3.88 0.00 0.00 -3.88 -97.65

2024 49.25 -1.08 0.00 -4.11 0.00 0.00 -4.11 -52.28

2025 0.00 -0.43 7.14 5.86 0.32 0.67 13.99 14.42

2026 0.00 -0.43 7.46 6.29 0.34 0.72 14.81 15.24

2027 0.00 -0.43 7.79 6.75 0.36 0.77 15.67 16.10

2028 0.00 -10.13 8.13 7.24 0.38 0.82 16.58 26.71

2029 0.00 -0.43 8.48 7.77 0.41 0.87 17.53 17.97

2030 0.00 -0.43 8.84 8.34 0.43 0.93 18.54 18.97

2031 0.00 -0.43 9.21 8.94 0.45 1.00 19.60 20.03

2032 0.00 -0.43 9.59 9.58 0.48 1.06 20.71 21.14

2033 0.00 -0.43 9.98 10.27 0.51 1.13 21.88 22.31

2034 0.00 -2.16 10.37 11.00 0.53 1.20 23.11 25.27

2035 0.00 -0.43 10.78 11.78 0.56 1.28 24.40 24.83

2036 0.00 -0.43 11.19 12.61 0.60 1.36 25.76 26.19

2037 0.00 -0.43 11.61 13.50 0.63 1.45 27.18 27.61

2038 0.00 -0.43 12.04 14.44 0.66 1.54 28.68 29.11

2039 0.00 -0.43 12.47 15.44 0.70 1.63 30.25 30.68

2040 0.00 -10.13 12.92 16.51 0.74 1.73 31.90 42.03

2041 0.00 -0.43 13.37 17.64 0.78 1.84 33.62 34.05

2042 0.00 -0.43 13.82 18.84 0.82 1.95 35.43 35.86

2043 0.00 -0.43 14.28 20.12 0.86 2.06 37.32 37.76

2044 0.00 7.54 14.75 21.47 0.91 2.18 39.31 31.76

2045 0.00 -0.43 15.22 22.90 0.95 2.31 41.38 41.82

2046 0.00 -10.13 15.70 24.41 1.00 2.44 43.56 53.69

2047 0.00 -0.43 16.18 26.01 1.05 2.57 45.82 46.26

2048 -45.60 -0.43 16.67 27.70 1.11 2.72 48.20 94.23

PV at 9% 161.93 -30.07 81.68 79.05 4.29 9.67 174.68 42.81

NPV ($m) 42.8

EIRR 11.3%

BCR 1.32

Source: Asian Development Bank assumptions Notes: (a) includes costs of delay during construction

21. Sensitivity tests and calculations of switching values were carried out to determine theeffect of variations in key input parameters. Table 9 shows switching values

Table 9: Sensitivity analysis

Case EIRR NPV, $m Switching value

Base case 11.3% 42.8

Capital cost +20% 9.5% 10.4 126%

Benefits -20% 9.4% 7.9 76%

Cost+20% & benefits -20% 7.8% -24.5 112% / 88%

Construction delays factored by 2 10.6% 32.1 501%

( ) = negative, EIRR = economic internal rate of return, NPV = net present value. Source: Asian Development Bank estimates

{Project Title} (RRP {CTY} {XXXXX})

22. In summary, the economic analysis was undertaken in line with ADB guidelines. Theproject yields an EIRR above the 9% threshold and is therefore considered economically viable.

FINANCIAL ANALYSIS

F Introduction and Scope

23. The project road will not be tolled and will be maintained under the government’smaintenance program. In accordance with ADB guidelines the financial analysis of the projectwas conducted by assessing the sustainability of incremental maintenance costs assumed by thegovernment.14The financial analysis is carried out by using an estimation of the unconstrainedoperations and maintenance (O&M) cost requirement for the entire road network which is underthe responsibility of the CR. This is compared with the actual budget allocation to estimate theO&M shortfall.

G Assumptions on unconstrained O&M requirements for the network

24. In consultation with the CR, the annual unconstrained routine maintenance assumptionfor the network is UZS 63.1million/km and the annualized unconstrained periodic maintenancecost assumption for the network is UZS96.5 million/km.1516 In the case of the project road theannual routine maintenance cost assumption is the same at UZS 63.1 million/km but theannualized periodic maintenance is lower at UZS 84.1 million/km, which is to a large extent dueto the use of concrete rather than bitumen for the proposed road reconstruction.

25. Table 10 outlines the actual expenditure for road maintenance by the Committee forRoads (CR) for the network over the last six years from 2015 to 2020 compared against theunconstrained O&M requirement for the network as stated above. The CR is responsible for themaintenance of 42,695km, including the Surkhandarya Regional Road Project (SRRP)’s 107 km.

26. As seen in Table 10, road maintenance expenditure which was UZS 615 billion in 2016increased more than twofold in 2018 which was largely the result of increased input costs drivenby the devaluation of the UZS in September 2017.17 In 2020, the unconstrained O&M requirementwas UZS 6,815billion while the budget utilization was UZS 1,781 billion, a shortfall of 74%. Thismeans that just 26% of the required O&M is being met, with similar shortfall in each of the pastsix years. A build-up of such a maintenance backlog could shorten the economic life of the roadnetwork, compared with its design life.

14 ADB. 2019. Financial Analysis and Evaluation: Technical Guidance Note. Manila. 15Routine maintenance is done on a regular basis to ensure that the network is in proper functional order. Periodic maintenance is performed based on a set time interval to ensure proper operation throughout its lifespan 16Based on Cabinet Decree #226/2006, MKN 41-2008 & MKN 24-2005 relating to technical norms for repair & maintenance 17following a decision to remove the UZS from the USD peg and ease restrictions on the purchase of foreign currency On 5 September 2017, the Uzbek Central Bank devalued its currency from 1USD=4,210 UZS to 1USD=8,100 UZS

{Project Title} (RRP {CTY} {XXXXX})

Table 10: Fiscal Analysis of Historical O&M expenditure by CR, 2015–2019UZS billions

Item 2015 2016 2017 2018 2019 2020

Road maintenance Utilization 450 615 828 1,590 1,222 1,781

Unconstrained O&M requirement for network

1,757 2,053 5,202 5,387 6,165 6,815

O&M funding shortfall 74% 70% 84% 70% 80% 74%

Source :Committee for Roads and Consultant Estimates

27. The situation is projected forward in Table 11, using CR’s own projection of maintenanceexpenditure. In 2026, when SRRP becomes operational, the annual road maintenance by CR is projected to increase from UZS 3,222 billion in 2025 to UZS 3,543 billion (by UZS 322 billion). The unconstrained O&M requirement of SRRP is UZS 21 billion and for the remaining network O&M requirement is UZS 421 billion giving rise to a total increase in unconstrained O&M requirement of UZS 442 billion with SRRP in 2026. However, the increase in CR’s O&M budget is only UZS 322 billion. This would lead to the conclusion that SRRP’s O&M may not be fully funded by CR. The funding shortfall in O&M is projected to reduce from 63% to 56% of the unconstrained O&M requirement from 2026-2029 due to projected increases in CR’s budget utilization for road maintenance.18 SRRP’s unconstrained O&M requirement accounts for 1% of CR’s budget and therefore affordable if prioritized.

Table 11: Projected Fiscal Analysis of O&M expenditure UZS billions

Item 2025 2026 2027 2028 2029 Without

SRRP With

SRRP With

SRRP With

SRRP With

SRRP

Projected Road maintenance budget utilization 3,222 3,543 3,898 4,288 4,717

Unconstrained O&M requirement 8,697 9,140 9,606 10,097 10,613

O&M funding shortfall 63% 61% 59% 58% 56%

Inflation linked increase in O&M requirement for existing network

421 444 466 516

Incremental O&M requirement for SRRP only 21 23 24 26

Total increase in O&M requirement with SRRP 442 467 491 490 Source : Consultant Estimates

28. CR should ensure that the project road is maintained in good condition, in accordancewith national standards and that the maintenance be financed by GoU’s own resources in a timely manner. GoU’s five year National Development Strategy, 2017-2021, developed through publicconsultation, recognizes the importance of road infrastructure for developing competitiveness of the economy. Given the projected financing gap in road maintenance, GoU should commit to increasing road maintenance expenditure19 expressed through a road policy directive20 which would then provide the foundation to have in place a Road Asset Management System (RAMS) by 30 June 202621.

18Based on CR’s projections19 Either through budgetary allocations or a dedicated road maintenance fund that will receive road user charges such as a fuel tax, fines or tolling 20 Such as a Resolution of the President which has been used previously for the development of the road sector, e.g. PP-4143 on “re-organization of the activities of the Ministry of Transport” and PP-4545 on “further measures for development of road sectormanagement”21when SRRP becomes operational taking into account time for consultation and studies on the maintenance fund to be undertaken.

Surkhandarya Regional Road Project (RRP UZB 53312)

ADB TA-9847 UZB

SURKHANDARYA REGIONAL ROAD PROJECT

Funded by : Asian Development Bank

Executing Agency: The Committee for Roads under the Ministry of Transport of the Republic of Uzbekistan

Implementing Agency: Avtoyulinvest Agency under the Committee for Roads, Ministry of Transport of the Republic of Uzbekistan

FINANCIAL MANAGEMENT ASSESSMENT November 2020

Prepared by: Development Business (U.K.) Limited Prepared for: Asian Development Bank

Version: 2.0 Last updated: 18 November 2020

Creation Date: 1 October 2020

Annex 10

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CONTENTS I EXECUTIVE SUMMARY 3

II INTRODUCTION 4

III BRIEF PROJECT DESCRIPTION 4

IV COUNTRY AND SECTOR FINANCIAL MANAGEMENT ISSUES 4

V PROJECT FINANCIAL MANAGEMENT SYSTEM 8 A. Overview of the Executing Agency / Implementing AgencyB. Strengths and WeaknessesC. Organization and StaffingD. Accounting Policies, Procedures and Internal ControlE. Financial Reporting SystemsF. The Disbursement Arrangement and Fund Flow Mechanism

VI RISK DESCRIPTION AND RATING 13 VII PROPOSED TIME BOUND ACTION PLAN 16 VIII SUGGESTED FINANCIAL MANAGEMENT COVENANTS 17 IX CONCLUSION 17

List of Tables Table 1: Financial Management, Internal Control and Risk Management Assessment Table 2: Financial Management Action Plan

Annexes Annex A: Summary of Performance Indicator Ratings in PEFA Assessments Annex B: Project Fund Flow Diagram Annex C1: Organization Chart – CR Head Office Annex C2: Organization Chart – CR Regional Offices Annex D: Organization Chart – AA Annex E: Job Descriptions of Finance Staff at PMU Annex F: Financial Management Assessment Questionnaire – CR Annex G: Financial Management Assessment Questionnaire – AA

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I EXECUTIVE SUMMARY

1. The Financial Management Assessment (FMA) was conducted from September –November 2020 in accordance with ADB guidelines.1 The assessment updated the FMA for theKarakalpakstan Road Project which was conducted from February – September 2019 andincluded review of ADB’s ongoing experience in the roads sector, interviews with key staffattached to the ongoing ADB Kashkadarya Regional Roads Project Management Unit (PMU),the Committee on Roads (CR) as the executing agency (EA) and the Avtoyulinvest Agency (AA)as the Implementing Agency (IA). The FMA considers the capacity of the EA and IA in terms ofgovernance, staffing, budgeting, accounting and financial reporting, internal control, funds flowarrangement and internal and external auditing.

2. The assessment has been carried out as part of the due diligence of the SurkhandaryaRegional Road Project (the project) for ADB financing. The FMA is carried out to assess thedegree to which financial management arrangements are adequate to manage fiduciary risksand provide reasonable assurance that ADB funds will be used for its intended purpose. Keyfindings of the FMA are; (i). that as the IA, AA is currently implementing five projects includingthose funded by the ADB through separate project management units (PMU) reporting to theAA; (ii) although there was a 2 month delay in submission of audited project financial statements(APFS) for ADB Loan 3355 UZB in 2018 the APFS have been submitted on time in respect ofAPFS for 20192; (iii) although AA was established recently (December 2019) it involved transferof staff, processes and procedures and ongoing projects of its predecessor, the RepublicanRoads Fund (RRF) which was the coordinating agency for projects funded by internationalfinancial institutions (IFI) and therefore inherits the RRF’s institutional memory; (iv) asGovernment of Uzbekistan (GoU) budget entities both CR and AA use the UzASBO3

government accounting system and GoU has a centralized payment system where all paymentsare carried out by the Treasury division of the Ministry of Finance (MoF); (v) APFS is preparedbased on International Public Sector Accounting Standards (IPSAS) on a cash basis usinglicensed 1C software; (vi) absence of any internal audit function at both the CR and AA; (vii)absence of an accounting procedures manual at PMU although the auditors have confirmed thatappropriate accounting policies are being used.

3. The overall FM risk was rated as substantial due to the lack of an internal audit divisionat the CR and AA, lack of an external audit on systems and controls at the CR and AA, therecent formation of AA as the IA, absence of an accounting policy and procedures manual at thePMU and delays in the past in submission of the audited project financial statements for projectsbeing implemented.

4. The identified risks will be mitigated by; (i) implementing an internal audit on a quarterlybasis which can be outsourced; (ii) preparation of accounting procedures manual; (iii) theproject to maintain separate books of accounts which will be audited by annually by an auditoracceptable to ADB, following auditing standards acceptable to ADB. If transfer of experiencedstaff is not possible from ongoing Project Management Units (PMU) under the AA, the AA willensure that the staff is properly trained in ADB loan disbursement procedures and maintenanceof records.

1 Financial Management Technical Guidance Note 2015,Financial Due Diligence, A Methodology Note, 2009, Financial Analysis & Evaluation, Technical Guidance Note, 2019

2 L3481: 2018 and 2019 APFS on time, 2017 delayed 2 months. L3355: APFS 2019 on time, 2018 delayed 2 months, 2016 & 2017 deferred due to no disbursements, L2965: 2019 APFS on time. 2018,2017, 2016 delayed 2 months 3Uzbekistan Automated System for Budget Organizations

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I. INTRODUCTION5. The FMA was prepared in accordance with ADB’s Financial Management TechnicalGuidance Note, 2015 by consultants4 from Development Business (U.K.) Limited duringSeptember-November 2020.The assessment updated the FMA for the Karakalpakstan RoadProject which was conducted from February – September 2019 and included review of ADB’songoing experience in the roads sector5, interviews with key staff attached to the ongoing ADBKashkadarya Regional Roads Project Management Unit (PMU), the Committee on Roads (CR)as the executing agency (EA) and the Avtoyulinvest Agency (AA) as the Implementing Agency.

II BRIEF PROJECT DESCRIPTION

6. The proposed Surkhandarya Regional Roads Project (SRRP) will comprise of (i)Reconstruction of road 4R105 Derbend-Boysun-Elbayon on the section 5-37.5km; (ii)Reconstruction of road 4R105 Derbend-Boysun-Elbayon on the section 37.5-70km; (iii)Reconstruction of road 4R100 Manguzar-Jarkurgan-Bandion-Oltinsoy-Denau on the section128-137km; (iv) Reconstruction of road 4R100 Manguzar-Jarkurgan-Bandion-Oltinsoy-Denauon the section 137-162km; (v) Reconstruction of road 4R100 Manguzar-Jarkurgan-Bandion-Oltinsoy-Denau on the section 162-174 km. The project road serves regional agricultural andmining activities. While it does not directly serve any CAREC corridors, it does link corridors 2and 3 and corridor 6. It also offers a considerable distance saving of approximately 162 km fortraffic travelling between Dushanbe and central Uzbekistan or the Caspian Sea. SinceUzbekistan is a land-locked country road transport is critical to freight and passenger movementboth within and outside its borders.

7. The total project cost is estimated at USD 237 million, of which USD 199 million will befinanced by an ADB loan and the balance USD 38 million in taxes as part of governmentcontribution.

III COUNTRY AND SECTOR FINANCIAL MANAGEMENT ISSUES

8. At a country level, there have been several developments in the area of public financesince independence from the Soviet Union in 1991 with the Constitution containing a basicprovision on public finance. Thereafter the Law of Accounting (1996) introduced NationalAccounting Standards (NAS), the Budget Code (2013) governs rules on budget preparation andexecution, the Law on Parliamentary Control (2016) governs legislative control over the budget,the Law on Audit Chamber (2019) recognises the Audit Chamber as the supreme auditinstitution and the Presidential Decree of February 2020 governs the transition to internationalFinancial Reporting Standards (IFRS).

9. Finance provisions in the Constitution. The Constitution of the Republic ofUzbekistan was adopted in 1992, following independence from the Soviet Union in 1991 and

4Jayath Atukorala, Financial Management Specialist (international) and Navruz Bekmirzaev, Financial Management Specialist (national) 5 PAM and RRP, Kashkadarya Regional Roads Project and Karkalpakstan Road Project, FMA Karkalpakstan Road Project, Country Partnership Strategy 2019-2023, Uzbekistan, ADB

5

divides powers between the executive, legislative and judicial branches of government. Legislative powers are vested with the Parliament or Oliy Majlis. Finance provisions are contained in Articles 122-124 under Chapter 25 of the Constitution titled “Finance and Crediting”. Article 122 requires the preparation of the national and local budgets and Article 123 stipulates a unified system of taxation with the responsibility of determining taxes resting on the Oliy Majlis.

10. Law on Accounting 1996. In 1992, a working group from the MoF was created to draftan Accounting Law which was enacted in 1996. The Accounting Law applies equally to theprivate and public sectors. Pertinent provisions under the Accounting Law are (i) based on thefundamental principles of continuity, reliability and comparability; (ii) financial accounting to bekept on the basis of double record (double entry principles); (iii). subjects of financial accountingto be both state governing bodies and legal entities registered in the Republic, meaning bothgovernment and private sector; (iv) objects of financial accounting being assets, obligations,equity, reserves, income, expenses, profit and loss; (v) responsibility for regulation of financialaccounting to be with MoF; (vi) the heads of the subject of financial accounting in eachorganization be responsible for development of accounting policy, internal control, financialreporting, safety and reliability of accounting documents, preparation of tax statements andtimeliness of reporting and (vi) National Accounting Standards (NAS) to be the minimumrequirements for financial accounting and reporting.

11. Budget Code, 2013. This law replaces the Law on Budgeting, 2000 and governs thecreation, consideration, acceptance and execution of the government budget. The code requiresthe approval of the budget bill by the legislative chamber of the Oliy Majlis and the audit of theactual performance against the budget by the Supreme Auditor (Audit Chamber). The Codespecifies the classification by program, function, organization and territory. It also stipulatesopenness in the publication of the government in the mass media and on the MoF website.

12. Law on Parliamentary Control, 2016. The legislation re-iterates Parliamentary controlof the government budget and public finance through the execution of the budget on a quarterlybasis and hearing of the report of the Audit Chamber. Furthermore, an annual statement by theCabinet of Ministers on the execution of the previous year’s budget is required to be submittedto the legislative chamber of the Oliy Majlis by 15 May each year. The legislation empowers thelegislative chamber to seek further information or clarifications from any governmentorganization financed by the budget.

13. Law on Audit Chamber, 2019. This law recognises the Audit Chamber as the supremeaudit institution in Uzbekistan and gives specific powers to carry of audit of the State budget, toassess feasibility of investment projects and assess public funded investment projects. In orderto assure his/her independence and objectivity, international best practice requires the head ofthe supreme audit institution to be appointed by Parliament and report only to Parliament. Underthis law, the Chairman of the Chamber is appointed (and dismissed) by the President andreports to both the executive and the legislature, a departure from many jurisdictions where it ispresumed that the independence of the supreme auditor is only persevered by reporting toParliament and the appointment/dismissal being in accordance with provisions of theConstitution.

14. In 2020, a Presidential Decree6was issued on the transitioning to International FinancialReporting Standards (IFRS). Under this decree, large tax payers defined as joint stock

6 Presidential Decree No. 4611 dated 24, February 2020

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companies, commercial banks and insurance companies are required to submit IFRS compliant financial statements for the financial year starting 1 January 2021.

15. IMF Country Report May 2020.The report states that although the country is severelyaffected by the COVID-19 pandemic it remains committed to improve the efficiency of its publicresources by increasing transparency and accountability. IMF concluded that the risk of debtdistress was low. IMF Article IV consultations were conducted with the Government in May2019and concluded that although Uzbekistan’s overall fiscal deficit and public debt were atprudent levels, its reform agenda remains large in terms of taxation reforms aimed at creatingemployment, reducing burden on firms/employees and state-owned enterprise reform, reducingthe cost of doing business and strengthening public governance. IMF notes that credit hasexpanded rapidly to finance import of capital goods in housing and infrastructure after decadesof under-investment, while at the same time job creation increasing only moderately. Inflationcontinues to remain high mainly due to the exchange rate depreciation effect with foreignexchange and trade liberalisation. Nevertheless, the country has strong foreign exchangereserves and moderate debt.

16. Ease of doing business (EODB) and Corruption Perception Indices (CPI). The easeof doing business (EODB)7 ranking for Uzbekistan was 69 (out of 190 countries) in2020improving from rank 76 in 2019 and 74th rank in 2018. In 2020, Uzbekistan ranked aboveKyrgyzstan (rank 80) and Tajikistan (rank 106) but below Georgia (rank 7), Kazakhstan (rank25) and Azerbaijan (rank 34) in the region. Higher rankings usually indicate better and simplerregulations and stronger property rights and a strong correlation with economic growth8. Interms of the Corruption Perception Index9for 2019, Uzbekistan ranked 153rd, the same rank asTajikistan but below Kyrgyzstan and Azerbaijan (both ranked 126th), Kazakhstan (rank 113th)and Georgia (rank 44th). Uzbekistan’s ranking in terms of CPI improved from 158th in 2018.

17. Public Financial Management (PFM). PFM is the legal framework and institutions(laws, processes, procedures, entities and systems) to prepare, plan, execute and control thenational budget. The latest PFM assessment was carried out by Public Expenditure andFinancial Accountability (PEFA)10 in 2019.PEFA is a methodology for assessing public financialmanagement performance. The reviews are carried out by the PEFA Secretariat, which is partof the World Bank. The assessment concludes that compared to the previous assessment in2012 here has been improvement in the areas of budget execution, monitoring, reporting,budget outturn compared to original budget and orderliness in the annual budget process.However, challenges remain in the areas of (i) external audit and legislative scrutiny of externalaudit. All budget entities are audited by the Chamber of Accounts only once in two years andthe audit is concluded by findings not an opinion and does not highlight material issues andsystem weaknesses. Furthermore, the Chamber reports to the executive as well as thelegislature. There is no practice of keeping minutes of the Parliamentary hearings on the auditreport and decisions are not publicly available,(ii). analysis of fiscal risk from other public sectorentities. Contingent liabilities are not quantified or reported and the Budget Code does notrequire monitoring and reporting of contingent liabilities and other fiscal risks. (iii). multi-year

7The nation’s rank consists of 11 sub-indices for starting a business, dealing with construction permits, getting electricity, registering property, getting credit, protecting investors, paying taxes, trading across borders, enforcing contracts and resolving insolvency and published by the World Bank 8Doing Business and GDP, A Qualitative Study, Journal of Business Research, 2020 9Published by Transparency International ranking their perceived levels of public sector corruption 10Under the PEFA framework, performance is assessed in relation to seven dimensions of public financial management: credibility

of the budget; comprehensiveness and transparency; degree to which the budget is prepared with due regard to government policy; predictability and control in budget execution; accounting, recording and reporting; external scrutiny and audit operations; appropriateness of development partner practices in country; and intergovernmental fiscal relationships.

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budgeting and fiscal planning. Medium term strategic plans have been prepared for only five ministries and there are no aggregate expenditure ceilings after the first year. (iv).Effectiveness of payroll controls. Although the internal controls related to the payroll are strong, payroll audits are conducted by MoF to cover each budget entity only once every three years due to staffing constraints. (v). effectiveness of internal audit. Internal audit is primarily focused on financial compliance not risk-based systems monitoring and is limited to only six budget entities.A summary of the performance indicator ratings in PEFA assessments is in Annex A.

18. International Public Sector Accounting Standards (IPSAS) Roadmap Initiative.ADB is providing on-going support to the MoF to develop a roadmap for the implementation ofIPSAS which will promote better accountability and transparency in PFM. Currently, based onthe Accounting Law, NAS are used.

19. Donor funded PFM support. ADB funded the PFM Reform Project for USD 20.7million11 from 2007-2012, consisting of three components; (i) establishment of nationwideinstitutional network of treasury offices and capacity building; (ii) modernization of treasuryoperations through development and implementation of a Government Financial ManagementInformation System (GFMIS) for unified budget and accounting systems to undertake thegovernment’s PFM Reform Strategy 2007-201812 and (iii) project management. The projectmodernized the treasury office, provincial departments and district branches by providing basicinformation technology and staff. Treasury Single Account (TSA) was established and thecentral accounting system, UzASBO was developed.

20. ADB Country Partnership Strategy (CPS) 2019-2023. With regards to PFM, the CPSstates that while there is reliability in budget credibility, debt management and treasuryfunctions, weaknesses exist in terms of transparency, public participation, off-budget financingand internal/external audit. The PFM Reform Strategy has attempted to rectify some of theseweaknesses through the modernization of treasury functions, GFMIS, improved taxadministration, introducing a medium term budget framework. The Budget Code, Law onParliamentary control and Law on audit chamber have demonstrated the government’scommitment to PFM reforms, although they are still new.

21. ADB COVID-19 Pandemic Response. In August 2020, ADB approved a USD 100million loan to strengthen Uzbekistan’s resilience to public health emergencies by improvingtesting, diagnosis and management of COVID-19 over the next two years. The AsianInfrastructure Bank (AIB) plans to co-finance by another USD 100 million. Growth is expected todecline sharply in 2020 due to the pandemic to 1.6% from 5.6% in 2019 and the current accountdeficit is expected to widen to 8.5% of GDP in 2020 from 4.2% of GDP in 2019. Public debtstood at 29% of GDP in 2019 and debt sustainability risk remains low.

22. Sector Level Financial Management Issues. At a sector level there has beensignificant re-organization of sector institutions since the previous FMA in 2018. All transportsector institutions have been brought under the Ministry of Transport (MoT) in 2019. The CRcame under the MoT and the RRF which was under the Cabinet of Ministers was renamed AAand brought under MoT. The role of the AA is a coordinating role for projects funded byInternational Financial Institutions (IFI) and all roles relating to construction and maintenance ofroads are within CR.

11ADB Loan 2338. Actual disbursed was USD 6.3 million, 70% of proceeds being cancelled 12Under the PFM Reform Strategy 2007-2018, (i) establish a functioning treasury system; (ii) establish a modern uniform budget and accounting system and (iii) introduce medium term budget framework and program budgeting

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IV PROJECT FINANCIAL MANAGEMENT SYSTEM

A Overview of the Executing Agency/Implementing Agency

23. CR is the main institution involved in the design, construction and operation of roads andis in charge of managing the national (14,100km) and international (3,987 km) of public roads,excluding roads managed by the local authorities (24,614 km). With the re-organization of alltransport sector institutions under the MoT in 201913, the CR came under MoT and the RRFwhich was under the Cabinet of Ministers was renamed AA and also brought within the MoT/CRas an umbrella co-ordination body for all PMUs14. MoT has the mandate to develop andimplement a unified State policy for roads, rail, air, river and urban transport.

24. CR’s mandate is to (i) provide technical support and investment to the development andimprovement of the road network in Uzbekistan; (ii) coordinate maintenance for technicalcondition and traffic capacity of public roads, bridges, tunnels of international and Stateimportance; (iii) planning for development and improvement of road network; (iv) providingcomprehensive solutions related to issues relating to design, construction, reconstruction,maintenance and operation of public roads. The RRF had a similar mandate to CR although itpossessed limited civil engineering expertise for which it had to rely on CR. However, with re-organization of RRF as AA in 2019, the latter retains the mandate only as the coordinating andfacilitating entity for road projects funded by International Financial Institutions (IFI) and RRF’smandate for road maintenance and construction remain entirely with CR. It is expected that thenew institutional structure, while bringing all road related institutions under the MoT, will alsoenable there to be a clear division of duties between CR and AA with the latter only functioningin the capacity of a coordinating unit and all technical aspects relating to maintenance andconstruction of roads within the purview of CR.

25. AA is currently the IA for the ADB funded Kashkadarya Regional Roads project (ADBLoan 3481), rehabilitating 77km of existing roads in the Kashkadarya Region, Second CARECCorridor Road Investment Program, Tranche 3 (ADB Loan 3355) and the recently approvedupgrading 240km of the Guzar-Bukhara-Nukus-Beineuhighway (A380) on sections 964-1204km in the Republic of Karakalpakstan. Therefore, the IA has current experience in implementingprojects including financial management practices of ADB projects. In addition to ADB fundedprojects, it is also implementing the reconstruction 35km of the Guzar-Chim-Kukdala highwayfunded by the Kuwait Fund, Development of Regional Highways of Local Importance Projectfunded by the World Bank and Reconstruction of the A380, sections 150km-228km funded bythe Asian Infrastructure Investment Bank (AIIB).

B Strengths and Weaknesses

26. The main strength in the project institutional arrangements is that the both CR and AAare separate legal entities with a separate budget identity under the MoT. The creation of MoThas made it the focal point for all road sector responsibilities. There is now a clear demarcationof duties between CR and AA with all construction and maintenance and related civil

13Resolution of the President of the Republic of Uzbekistan No. PP-4143 “On the organization of activities of the Ministry of Transport of the Republic of Uzbekistan” dated 01 January 2019. 14Resolution of the President of the Republic of Uzbekistan No. PP-4545 “On further measures for development of the road sector management” dated 09December 2019.

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engineering functions under the former and coordination of IFI funded projects under the latter. Although AA is a newly created institution, it carries the institutional memory of its predecessor, the RRP and is currently engaged in the implementation of projects for ADB and other IFIs. The AA has separate PMUs for implementation of each project and there will be a separate PMU for the proposed project as well. However, the PMU for the proposed project is yet to be created and from a financial management perspective it is expected that there will be a Financial Management Specialist and Accountant to ensure proper internal control through segregation of duties. Ensuring that the personnel with suitable qualifications and experience are recruited/seconded is essential which may be a challenge since many of the current PMU staff are already engaged in other projects. APFS in respect of 2019 for all ADB projects are on-time, although 2018 APFS was delayed by two months. The significant weakness is in the area of internal auditing, where none of the project institutions have internal audit departments. External audit of CR and AA by the Audit Chamber is of the nature of compliance with rules rather than systems and controls and does not take place annually across all budget entities.

C Organization and Staffing

27. CRis comprised of functional divisions headed by a Deputy Chairman reporting to theChairman. These divisions are for (i) finance, economics and statistics; (ii) investment promotionsuch as Public Private Partnerships (PPP); (iii) technical division for construction and repair ofroads; (iv). technical division for road condition and road safety assessment including cadastralsurveys; (v) information technology division; (vi) legal and human resources division. The totalstaff at CR at head office is 82 and about36 at each of its regional offices. The Organisationstructure of CR is presented in Annex C.

28. AA is headed by a director with a (i) investment and international co-operation divisionheaded by a Deputy Director. Project Management Units for projects under implementation alsoreport to this division. At present there are five PMUs within this division.15 The staff in the PMUare recruited on contract for the term of the project or seconded from CR and AA. ; (ii)engineering division headed by a Chief Engineer for monitoring of project implementation,tenders and contracts; (iii) legal and human resources. The staff strength of AA is 9 (excludingPMU staff) and there is no presence in the regions. The organization chart of AA is pendingconfirmation by official document. The Organisation structure of AA is presented in Annex D

29. Following the re-organization of the RRF into AA, AA is now the sole coordinating bodyfor IFI funded projects and therefore PMUs are under AA. It is too early to see the benefit of anumbrella coordinating body although the new structure does give it the full mandate to do sowithout focusing on other technical matters of road construction and maintenance. Furthermore,financial management at PMUs have been strengthened with a Financial ManagementSpecialist and Accounting Specialist to ensure proper supervision and internal control. In thepast, some officers and senior level staff attached to CR / AA have been seconded to the PMUfor the duration of the project and in other cases senior staff have been recruited from outside. Itis likely that both these methods of recruitment will be followed for the proposed project toensure that the experience gained in project implementation remains within the new PMU. The

15For instance the ADB Kashkadarya Project’s PMU consists of a Project Director, Procurement Specialist, Accounting Specialist, Engineer, Legal Specialist, Results Monitoring Specialist, translator and driver. See paragraph 20 above on the current projects being implemented by each PMU

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job descriptions of finance staff of the proposed PMU (based on the ongoing Kashkadarya PMU) is presented in Annex E.

30. Uzbekistan government operations are based on a centralized payment system wherepayments are initiated and approved against budget heads by the relevant agency butpayments are centralized within the treasury division of MoF. The government payroll is alsocentralized. This is a strength in terms of internal control and segregation of duties where thetransaction is processed in two entirely different government departments. The weakness is thatpayments may be delayed.

D Accounting Policies, Procedures and Internal Control

31. As budget entities both CR and AA accounting policies, procedures and internal controlis based on the Uzbekistan Law on Accounting, Budget Code, Tax Code and Civil Code.Internal control is satisfactory with a centralised payment system that is administered by theMoF on all budget entities. This means that the budget entities initiate and approve transactionsand payment is made by the MoF on their behalf. CR and AA operate within the GovernmentChart of Accounts and the cost allocations are done according to the approved State Budget.CR and AA execute the budget on the basis of these cost allocations. The PMU maintains itsGeneral Ledger and Subsidiary Ledgers on 1C software and has purchased a license for use of1C which produces project financial statements which are subject to independent audit. Allsupporting documents for the project financial statements are maintained by the PMU and willbe the case for the proposed project as well.

32. As budget entities, CR and AA follow the Uzbekistan government accounting systemwhich is based on NAS with accrual accounting. The PMU financial statements are prepared onIPSAS (cash basis). Bank reconciliations are conducted on a monthly basis. All cheques at thePMU are signed by two signatories; the PMU Director and the Financial Specialist against aPayment Voucher which is prepared and approved by separate persons ensuring properinternal control.

33. The existing PMUs have the necessary accounting policies and procedures in place16,but a Financial Management Procedures Manual is not available. Such a manual provide (i). Afoundation for an effective internal control system with guidance for segregation of duties,authority levels and procedures for the safeguard of assets; (ii) guidance for appropriateaccounting treatment of transactions; (iii) compliance with GoU and ADB polices.

34. All fixed assets are tagged and a physical inventory of assets is taken during the audit,

E. Financial Reporting Systems

35. Financial reporting ensures transparent use of the approved funds through the StateBudget by CR and AA. Financial reporting should be periodic; monthly, quarterly and annual toensure that any divergences from the plan or budget are highlighted so that timely remedialaction (if needed) can be taken. As government entities both CR and AA use the unified Chartof Accounts using UzASBO software. Consolidated government-wide financial statements are

16 L3481-UZB, the auditor, Tsiar Finance LLC has stated that during the course of audit they have evaluated the accounting policies used and based on this and other factors have issued an unqualified opinion. L3355-UZB and L2965-UZB, the auditor, PKF Mak Alyans LLC has stated the same.

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prepared in accordance NAS on an accruals basis. Payment vouchers are raised through UzASBO against each item under the approved budget and expensed. Cheques are issued to the supplier by the MoF under the centralized payment system for government. Financial results are reported on a monthly basis to the Chairman of CR and Director of AA. The reporting is in the form of a print-out off the UzASBO system showing the monthly and cumulative expenditure by budget head. The Ministry of Finance is in charge of the maintenance of UzASBO for which there is a separate unit.

36. The PMU are required to prepare Annual Project Financial Statements (APFS) for ADBand other IFIs based on International Public Sector Accounting Standards (IPSAS) on a cashbasis. Source documents for the preparation of APFS is submitted by the PMU and audited byan auditor acceptable to both the IFI and government. The PMU uses ADB’s Client Portal forDisbursements in respect of ADB projects under implementation. It also maintains an AdvanceAccount for expenses such as day to day operations of the PMU, payments to individualconsultants and payment for audit of APFS which is done by a private sector firm ofaccountants. Given its experience in project implementation, they have required experiencewith the ADB documentation process such as preparation of Withdrawal Applications (WA) andsupporting documents. The PMU uses 1C accounting software in order to prepare projectfinancials and 1C software is designed to ensure that the there is no further work required onspreadsheets. The software produces financial statements in the required form for audit. Theproject advance account is maintained by each PMU and the authorized signatories are theHead of the PMU and the Financial Specialist. Bank reconciliations are conducted monthly.

37. Budgeting and reporting. A system is in place to compare actual expenditure withbudgeted expenditure, periodically, on a monthly and quarterly basis. As GoU budget entities,CR and AA annual budget preparation commences with MoF calling for budget estimates fromits ministries and departments. Once approved by Parliament, the budget is uploaded into theUzASBO system. CR and AA’s financial results are reported on a monthly basis to MoT and anannual basis to MoF. The reporting is in the form of a print-out off the UzASBO system showingthe monthly and cumulative expenditures against each budget head and the remaining budget.MoF then consolidates all government ministries and departments in their reporting. CR and AAdo not engage in payment of invoices or payroll since all payments are centralized atMoF. ThePMU reports comply with the reporting requirements of the MOT, the MOF, the Tax Committeeand other government bodies. Currently PMU prepares quarterly progress reports to ADB withsupplementary financial and disbursement reports also along with the quarterly project progressreport. Timely reporting and quality information is essential for the timely monitoring of theproject. PMU will submit to ADB its financial reports within 45 days after completion of eachquarter, in both electronic and hard copy format. The quarterly financial progress reports areexpected to include at least the following financial information: i) cash recipient and paymentsby financing source, ii) Cash payments by component output, iii) financial versus physicalprogress report (cumulative since the start of the project and for the fiscal year), iv) expenditureforecast for the next six months, v) list of signed contracts and vi) status of FinancialManagement Action plan, compliance with financial loan covenants, as well as implementationstatus of external and internal audit observations.

38. ADB requires APFS to be submitted within 6 months of the end of the financial year,which is the calendar year in Uzbekistan. In 2018, there was a delay of 2 months in thesubmission of APFS for two Loans (Nos. 3355 and 2965) while the APFS for Loan 3481 wassubmitted on time. However in 2020 all APFS in respect of 2019 have been submitted on time.

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39. Internal Auditing. None of the government budget entities have separate internalauditors and indeed the concept of internal audit through continuous system checks of internalcontrol and pre-audit of transactions is not prevalent. While expertise in internal audit may bedifficult to acquire in-country, the Control and Revision Unit (CRU) of the Chamber has donesome internal control assessments in the past. However, the CRU is primarily engaged in theinspection of for compliance with rules and regulations. This is not the focus of internal auditwhich is to ensure that the proper systems and controls are in operation through risk-basedtesting of compliance with the given systems and controls. The solution recommended is tooutsource the internal audit function to a private sector accounting firm.

40. External Auditing. The audit of CR and AA form part of the whole-of-governmentconsolidated audit carried out by the Audit Chamber.Under recently enacted legislation, theannual report of Audit Chamber must be presented in Parliament for scrutiny. An auditoracceptable to both GoU and ADB will audit the financial statements of the project in accordancewith International Standards on Auditing. The Terms of Reference for the auditor will beprepared by the PMU prior to project implementation. The project is also subject to audit by theGoU, as deemed necessary and usually at project completion. The APFS for the ongoingprojects have been issued with unqualified opinions by the auditor since the commencement ofthe project and have been conducted in accordance with international standards on auditing.The auditor has certified that the PMU has utilized all project funds in accordance with the loanagreement.

41. The PMU for the proposed project will (i) maintain separate books and accounts andcorresponding supporting documents for the project; (ii) have such accounts audited annually, inaccordance with auditing standards consistently applied by independent auditors, whosequalifications, experience and terms of reference are acceptable to ADB and GoU; (iii) furnishto ADB as soon as available, but not later than six months after the end of each financial year,certified copies of APFS and reports of auditors relating to use of loan proceeds, compliancewith financial covenants of the loan agreement and the Management Letter (if prepared); (iv)furnish to ADB such other information concerning the accounts and audit as ADB shall fromtime to time reasonably request.

F The Disbursement Arrangement and Fund Flow Mechanism

42. The loan proceeds will be disbursed in accordance with ADB’s Loan DisbursementHandbook (2017 and as amended from time to time). Disbursement procedures will involvedirect payment by ADB (on approval by the Government) for civil works and consulting servicesand replenishment for expenditure relating to functioning of the PMU, salaries of PMU staff andpayments for the external audit of the project financial statements. The Statement ofExpenditure (SoE) procedure will be used to reimburse eligible expenses for payments. ThePMU in AA will be responsible for (i) preparing disbursement projections, (ii) requestingbudgetary allocations for counterpart funds, (iii) collecting supporting documents as required bythe ADB loan disbursement handbook and (iv) preparing and sending withdrawal applications toADB.

43. The AA/PMU will establish and administer an Advance Account at a commercial bankacceptable to ADB. The currency of the Advance Account is the U.S. Dollar. The Advance

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Account is used exclusively for ADB’s shares of eligible expenses. The AA/PMU who administers the Advance Account is accountable and responsible for proper use of advances in the account.

44. The total outstanding advance to the advance account should not exceed the estimate ofADB’s share of expenditures for the forthcoming six months. SoE procedure will be used for there-imbursement of eligible expenditure. Supporting documents should be readily available forreview by ADB and for independent audit.

45. Before submission of the first withdrawal application, the borrower should submit to ADBsufficient evidence of the authority of the person/s who will sign the withdrawal applications onbehalf of the government, together with the authenticated specimen signature of the authorisedperson/s. The minimum value per withdrawal application is stipulated in ADB’s LoanDisbursement Handbook (2017, as amended from time to time). Individual payments belowsuch a threshold should be (i) paid by the EA/IA and subsequently claimed to ADB through re-imbursement (ii) or through the advance account procedure unless otherwise accepted by ADB.Use of ADB’s Client Portal for Disbursement is encouraged for submission of withdrawalapplications to ADB.

46. Disbursement arrangements under the Counterpart Fund. All disbursements undergovernment financing will be carried out in accordance with the Government of Uzbekistan.Written guarantee is required at MoF and CR level to ensure the timely disbursement ofcounterpart funds.

V RISK DESCRIPTION AND RATING

47. A financial management internal control and risk management assessment, largelybased on the International Standard on Auditing 400: Risk Assessment and Internal Control,was carried out during the FMA. The results including the risk mitigation measures aresummarized in Table 1.

Table 1: Financial Management Internal Control and Risk Management Assessment (FMICRA)

Risk Type Risk Assessment

Rating *

Risk Description Mitigation Measures

A. Inherent Risk (the susceptibility of the project financial management system to factors arising from theenvironment in which it operates, such as country rules and regulations and entity working environment(assuming absence of any counter checks or internal controls)).

1. Country-specificRisks

Substantial PEFA 2019 notes improvements that compared to the previous assessment in 2012 there has been improvement in the areas of budget execution, monitoring, reporting, budget outturn

In 2019, the Law on Accounts Chamber was enacted legally recognising it as the supreme audit institution in the country and reporting to the Oliy Majlis therefore providing enhancing legislative scrutiny.

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compared to original budget and orderliness in the annual budget process. However, challenges remain in the areas of external audit and legislative scrutiny of external audit, analysis of fiscal risk from other public sector entities, public access to key fiscal information, multi-year budgeting and fiscal planning, effectiveness in tax collection, effectiveness of payroll controls, effectiveness of internal audit and timeliness and legislative scrutiny of external audit.

The country ranks very low on the Corruption Perception Index.

Independence of the supreme audit institution questionable since its Chairman is appointed not by Parliament but by the President.

ADB is providing ongoing support to MoF to develop a roadmap for IPSAS implementation.

The Government has issued a decree that for the financial year ending December 2021, large taxpayers such as joint stock companies and commercial banks with transition from NAS to IFRS.

The AA to ensure that PMU staff is properly trained in ADB disbursement procedures and maintenance of records.

2. Entity-specificRisks

Substantial AA was formed recently as a coordinating body for IFI projects.

Even though AA was formed recently it carries the institutional memory of its predecessor, RRF. As a coordinating body it is currently implementing several IFI funded projects through its PMUs including those by ADB.

The PMU for the proposed project should be formed before loan effectiveness.

3. Project-specificRisks

Moderate Although, the project is similar to those currently being implemented, there may be implementation delays caused by the ongoing COVID-19 pandemic.

PMU to prepare and monitor project implementation plan with respect to contract awards and disbursements, cost estimates and cost over-runs on a monthly basis

The AA to ensure that PMU staff is properly trained in ADB disbursement procedures and maintenance of records.

Overall Inherent Risk

Substantial

B. Control Risk (the risk that the project’s accounting and internal control framework are inadequate to ensureproject funds are used economically and efficiently and for the purpose intended, and that the use of fundsis properly reported).

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1. ImplementingEntity

Moderate AA was formed recently. Separate PMUs are created under the AA which serves as the coordinating body. The PMU’s are ring-fenced to with separate staff, systems and procedures to comply with IFI requirements.

2. Funds Flow Moderate No systematic problems related to funds have been reported in the current in the ongoing projects. For ADB disbursement, direct payment for civil works and consulting services, replenishment of Advance Account and reimbursement of retroactive financing

CR shall ensure timely release of funds including counterpart funds to the project as per loan covenant. Timely availability of counterpart funds will be ensured by implementing the proposed fund flow arrangements.

3. Staffing Moderate With several projects ongoing concurrently there is a risk of non-availability of qualified and experienced staff for PMU of the proposed project

Ensure that PMU is fully staffed with qualified and experienced personnel prior to loan disbursement.

Training of PMU finance staff on ADB disbursement procedures and also by attending external training courses on preparation of APFS using IPSAS prior to loan disbursement

4. AccountingPolicies and Procedures

Substantial Formal Accounting policy and procedures manual not available at PMU although auditor confirms appropriate policies are used

Accounting policy and procedures manual to be prepared and updated annually thereafter

5. Internal Audit Substantial Currently no internal audit function

Outsource the internal audit function to a private sector accounting firm with experience in supporting internal audit.

6. External Audit Substantial CR and AA are audited by the Chamber and the audit is in the nature of compliance with rules rather than systems and controls. Audit coverage is limited among government due to lack of resources

Project related APFS carried out in accordance with International standards on auditing and has been on time for the year 2019. However, prior to 2019 there have been delayed submissions of APFS.

Chamber to include CR and AA in its annual audit workplan.

Ensure that PMU is fully staffed with qualified and experienced personnel prior to loan disbursement so that project financial statements are prepared in a timely manner.

7. Reporting and Monitoring

Moderate Low risk due to Periodic reporting of CR and AA being on-timeand reports produced through the UzASBO system,

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APFS on time in 2019 and produced through the system (1C) by PMU. However, APFS delayed for previous years.

Ensure that PMU is fully staffed with qualified and experienced personnel prior to loan disbursement so that project financial statements are prepared in a timely manner

8. Informationsystems

Low Government wide use of UzASBO software with a central support system at MoF. Project accounting done through 1C software (licensed) and through the system without use of spreadsheets.

Overall Control Risk Substantial

Overall (Combined) Risk

Substantial

*H = High (likely to occur, will have high impact if occurs; S=substantial (unlikely to occur, will have high impact if occurs); M = Moderate(likely to occur will have low impact if occurs; L = Low or Negligible (unlikely to occur, will have low impact if occurs).

VI PROPOSED TIME BOUND ACTION PLAN

Table 2: Financial Management Action Plan

Weakness Mitigation Actions Responsibility Timeframe As an IA, AA was recently formed as a coordinating body for IFI projects at the end of 2019

Separate PMUs are created under the AA. The PMU’s are ring-fenced to with separate staff, systems and procedures to comply with IFI requirements.

CR/AA Prior to loan effectiveness

With several projects ongoing concurrently there is a risk of non-availability of qualified and experienced staff for PMU of the proposed project

Ensure that PMU is fully staffed with qualified and experienced personnel prior to loan disbursement. Each PMU has full time Finance Specialist and Accounting Specialist.

Training of PMU finance staff on ADB disbursement procedures and also by attending external training courses on preparation of APFS using IPSAS.

CR/AA Prior to loan effectiveness

Formal Accounting policy and procedures manual not available at PMU, although auditor confirms appropriate

Accounting policy and procedures manual to be prepared and updated annually thereafter

CR/AA Prior to loan effectiveness

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polices are used Currently no internal audit function

Outsource the internal audit function to a private sector accounting firm experienced in internal audit.

CR/AA Prior to loan disbursement

CR and AA are audited by the Chamber and the audit is in the nature of compliance with rules rather than systems and controls. Audit coverage is limited among government due to lack of resources

Project related APFS carried out in accordance with International standards on auditing and has been on time for the year 2019. However, prior to 2019 there have been delayed submissions of APFS.

Chamber to include CR and AA in its annual audit workplan.

Ensure that PMU is fully staffed with qualified and experienced personnel prior to loan disbursement so that project financial statements are prepared in a timely manner.

MoF

CR/AA

Prior to loan disbursement

Delays in submission of APFS in the past although no delays in 2019

Ensure that PMU is fully staffed with qualified and experienced personnel prior to loan disbursement so that project financial statements are prepared in a timely manner

CR/AA Prior to loan effectiveness

Although, the project is similar to those currently being implemented, there may be implementation delays caused by the ongoing COVID-19 pandemic.

PMU to prepare and monitor project implementation plan with respect to contract awards and disbursements, cost estimates and cost over-runs on a monthly basis

CR/AA Within 6 months of loan

effectiveness

VII SUGGESTED FINANCIAL MANAGEMENT COVENANTS

Prior to loan effectiveness, the PMU shall be established and fully staffed with a qualified and experienced Financial Management Specialist and Accounting Specialist. This requires early initiation of the project team selection by GoU. These staff shall receive training in ADB disbursement procedures and preparation of financial statements using IPSAS. For ADB disbursement procedures, the online training tool could be accessed17 and for IPSAS training, the services of a private sector accredited accountancy training provider could be sought.

Prior to loan disbursement, an internal audit service provider must be contracted to prepare an internal audit plan and carry out a risk based internal audit on a quarterly basis.

17Disbursement e-learning, http://wpgr4.adb.org/disbursement_elearning

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VIII CONCLUSION

The pre-mitigated inherent and control risks have been rated as substantial. One of the most important mitigation measures proposed is the early formation of a PMU will properly qualified and trained financial staff. The EA and IA are currently implementing ADB projects and the financial management requirements are well understood. Given that several projects are being implemented concurrently, it is important that careful consideration is given to staffing of the PMU for the proposed project to ensure that qualified and experienced personnel are selected and they are given formal training in ADB disbursements and preparation of financial statements in accordance with international standards.

The project arrangements in terms of financial management are satisfactory once the recommended mitigation measures are implemented. .

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Annex A: Summary of Performance Indicator Ratings in PEFA Assessments

No. Performance Indicator 2012 2018 Risk Rating* Credibility of the Budget

1 Aggregate expenditure outturn compared to original approved budget

A A Low

2 Composition of expenditure outturn compared to original approved budget

A B Low

3 Aggregate revenue outturn compared to original approved budget

A A Low

4 Stock and monitoring of expenditure arrears

A A Low

Comprehensiveness and Transparency

5 Classification of the budget

A A Low

6 Comprehensiveness of the information included in the budget document

A A Low

7 Extent of unreported government operations

A D High

8 Transparency of inter-government fiscal relations

B+ C+ Low

9 Oversight of aggregated fiscal risk from other public sector entities

C+ C+ Low

10 Public access to key fiscal information

D B Low

Policy-based budgeting 11 Orderliness and

participation in the annual budget process

B B Low

12 Multi-year perspective in fiscal planning, expenditure, policy and budgeting

D D High

Predictability and control in budget execution

13 Transparency of taxpayer liability and obligations

B B+ Low

14 Effectiveness of measures for taxpayer registration and tax assessment

B B Low

15 Effectiveness in collection of tax payments

A A Low

16 Predictability in availability of funds for commitment of expenditures

A A Low

17 Recording and B A Low

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No. Performance Indicator 2012 2018 Risk Rating* management of cash balances, debt and guarantees

18 Effectiveness of payroll controls

C+ B+ Low

19 Competition, value for money and controls in procurement

D C+ Low

20 Effectiveness of internal controls for non-salary expenditure

B+ A Low

21 Effectiveness of internal audit

D+ D Substantial

Accounting, recording and reporting 22 Timeliness and regularity

of accounts reconciliation A C+ Moderate

23 Availability of information on resources received by service delivery units

A A Low

24 Quality and timeliness of in-year budget reports

B+ B+ Low

25 Quality and timeliness of annual financial statements

D+ D+ Substantial

External scrutiny and Audit 26 Scope, nature and follow-

up of external audit D+ C+ Moderate

27 Legislative scrutiny of annual budget law

B+ B+ Low

28 Legislative scrutiny of external audit reports

D+ C+ Substantial

Donor Practices 29 Predictability of direct

budget support - -

30 Financial aid provided by donors for budgeting and reporting on project and program aid

D+ -

31 Proportion of aid that is managed by use of national procedures

D -

* H = High (likely to occur, will have high impact if occurs; S=substantial (unlikely to occur, will have high impact if occurs); M = Moderate (likely to occur will have low impact if occurs; L = Low or Negligible (unlikely to occur, will have low impact if occurs).

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Annex B: Project Fund Flow Diagram

Loan Repayment

Ministry of Finance Asian Development Bank (ADB)

(borrower)

Withdrawal

Application Release to

Advance Account

Committee for Roads (CR = Executing Agency)

Avtoylunivest Agency (AA = Implementing Agency)

Bank Account in UZS Advance Account in USD

Operated by PMU (under AA) First release by ADB and

subsequent replenishment

Voucher

Voucher Re-imbursement of expenditure

by ADB

Payment to local suppliers, Direct payments to contractors /

consultants and establishment consultants

expenses of PMU

Document Flow

Fund flow

UZS = Uzbekistan Som, USD = United States Dollar, PMU = Project Management Unit

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Annex C1 : Organization Chart – CR Head Office

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Annex C2 : Organization Chart – CR Regional Offices

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Annex D: Organization Chart - AA

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Annex E Job Descriptions for Finance Staff at PMU

1. Financial Management Specialist

- managing the project budget according to realization and procurement plan of the

project;

- monitoring and making a report for providing a regular and timely submission of

project’s financial reports;

- analysis of differences (discrepancies) between arranged and actual financial plans of

the project, submitting recommendations to the Director of PMU on taking corrective

measures;

- managing financial aspects of the project, including checking:

(a) orders on delivery and providing (securing) of their compliance (conformity) with

project’s requirements (demands) and budgets;

(b) financial aspects of all tender documents before submitting to the ADB;

(c) financial actions (activities) and terms of payment according to ADB procedures and

not contradicting to national legislation, of all contracts before signing;

- checking and agreeing of payment (pay-out) invoices after getting (receiving) of

relevant invoices and other confirming documents in accordance with the terms of

contract;

- providing timely audit of project accounts following the auditing rules (instructions) and

issues give one's co-operation in the Letter to the management, providing timely audit

reports to ADB and other involved institutions;

- rendering an assistance to ADB in periodical analysis (observation, study) and

inspection of Project’s financial reports;

- providing coordination of all issues (aspects)of the project’s financial management

under the supervision (of PMU’s Director) ;

- other task performances on financial management of project’s realization, assigned

and agreed by Director of PMU.

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2. Accounting Specialist

Accounting specialist takes responsibility (is responsible) for:

-(I) accounting of project in general, (II) annual conduction (holding) of an audit of these accounts and financial reports by independent audit companies, (III) directing (submitting) certified copies of these checked accounts and financial reports to the ADB in English languageright after preparation, but not later than 6 months after the end of each financial year, as well as report of audit firm (auditors’ report), (IV) directing (submitting) to the ADB another information on accounts, financial reports (statements) and auditing(audit checking) according to periodical justified requests of the ADB;

-observing (following) and renewing the Financial Operational Management, whichincludes accounting politics and procedures of project management, forms and formatsof financial reporting and budget control, internal control and audit procedure;

- providing a purposeful (targeted) use of borrowed funds (loan proceeds) and budgetresources (funds) on project (relating to the project), making of timely payments,including payment of salaries;

-providing (an introduction of) accounting (record) of project`s expenses according toADB and local legislation, and also preparation of applications on topping up(replenishment) of resources before submitting it to ADB;

- receipt and processing of invoices, verifying of invoices and confirming documents toits conformity with the terms of contracts;

-submitting invoices and confirming documents to the Director of PMU for signing;

-preparation of applications for the withdrawal on (from) direct payments and fortoppingup (replenishment) of resourceson Special accounts;

-preparation of reports about the produced expenses in the USD dollars and UZS sums,and another relevant (appropriate) information in Russian and English languages;

-record (keeping) and material responsibility for fixed assets of the PMU;

-providing of completeness and safety (safekeeping) of Project’s all accountingdocuments;

-implementing (performance of) other tasks, imposed and agreed with the Director ofPMU on the issues of an accounting and reporting.

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Annex F: FMAQ of CR

Topic Response Potential Risk Event

1. Executing / Implementing Agency1.1 What is the entity’s legal status / registration? Division with Ministry of

Transport

1.2 How much equity (shareholding) is owned by the Government?

Government Department Low risk

1.3 Obtain the list of beneficial owners of major blocks of shares (non-governmental portion), if any.

Not applicable

1.4 Has the entity implemented an externally-financed project in the past? If yes, please provide details.

CR is currently the EA for the ADB funded Kashkadarya Regional Roads project (ADB Loan 3481), rehabilitating 77km of existing roads in the Kashkadarya Region, Second CAREC Corridor Road Investment Program, Tranche 3 (ADB Loan 3355) and the recently approved upgrading 240km of the Guzar-Bukhara-Nukus-Beineu highway (A380) on sections 964-1204 km in the Republic of Karakalpakstan.

Low Risk. Has track record of executing ADB projects

1.5 Briefly describe the statutory reporting requirements for the entity.

CR reports to MoT, MoF requires monthly reports on budget execution to be submitted within ten days of month end.

Low Risk. This requirement is strictly complied with.

1.6 Describe the regulatory or supervisory agency of the entity.

Ministry Transport and ultimately Ministry of Finance

1.7 What is the governing body for the project? Is the governing body for the project independent?

Ministry of Finance

1.8 Obtain current organizational structure and describe key management personnel.Is the organizational structure and governance appropriate for the needs of the project?

Yes. Functional divisions headed by a Deputy Chairman reporting to the Chairman. These divisions are for (i) finance, economics and statistics; (ii) investment promotionsuch as Public PrivatePartnerships (PPP); (iii)

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Topic Response Potential Risk Event

technical division for construction and repair of roads; (iv) technical division for road condition and road safety assessment including cadastral surveys; (v) information technologydivision (vi) legal andhuman resources.

1.9 Does the entity have a Code of Ethics in place? Government employee code.

1.10 Describe (if any) any historical issues reports of ethics violations involving the entity and management. How were they addressed?

No

2. Funds Flow Arrangements2.1 Describe the (proposed) project funds flow

arrangements in detail, including a funds flow diagram and explanation of the flow of funds from ADB, government and other financiers, to the government, EA, IA, suppliers, contractors, ultimate beneficiaries, etc. as applicable.

An advance account for PMU expenses will be established. The operation of advance accounts is well established for existing projects

Low Risk

2.2 Are the (proposed) arrangements to transfer the proceeds of the loan (from the government / Finance Ministry) to the entity and to the end-recipients satisfactory?

Yes

2.3 Are the disbursement methods appropriate? Yes, This is disbursement method adopted by Kashadarya Project as well.

Low Risk.

2.4 What have been the major problems in the past involving the receipt, accounting and/or administration of funds by the entity?

No

2.5 In which bank will the Imprest Account (if applicable) be established?

In the same manner as the ongoing projects – in a reputable commercial bank

2.6 Is the bank in which the imprest account is established capable of−

Executing foreign and local currencytransactions?

Issuingand administering letters of credit (LC)? Handling a large volume of transaction? Issuing detailed monthly bank statements

promptly?

Yes

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Topic Response Potential Risk Event

2.7 Is the ceiling for disbursements from the imprest account and SOE appropriate/required?

Yes

2.8 Does the (proposed) project implementing unit (PIU) have experience in the management of disbursements from ADB?

The practice is to create a PMU for each project which is yet to be done. However, five similar PMUs currently in operation

Low Risk

2.9 Does the PIU have adequate administrative and accounting capacity to manage the imprest fund and statement of expenditure (SOE) procedures in accordance with ADB’s Loan Disbursement Handbook (LDH)? Identify any concern or uncertainty about the PIU’s administrative and accounting capability which would support the establishment of a ceiling on the use of the SOE procedure.

Yes, currently managing advance account using ADB Client Portal for Disbursement

Low risk.

2.10 Is the entity exposed to foreign exchange risk? If yes, describe the entity’s policy and arrangements for managing foreign exchange risk.

No

2.11 How are the counterpart funds accessed? Through the government budget

2.12 How are payments made from the counterpart funds?

As above

2.13 If project funds will flow to communities or NGOs, does the PIU have the necessary reporting and monitoring arrangements and features built into its systems to track the use of project proceeds by such entities?

No

2.14 Are the beneficiaries required to contribute to project costs? If beneficiaries have an option to contribute in kind (in the form of labor or material), are proper guidelines and arrangements formulated to record and value the laboror material contributions at appraisal and during implementation?

No

3. Staffing3.1 What is the current and/or proposed

organizational structure of the accounting department? Attach an organization chart.

See chart

3.2 Will existing staff be assigned to the project, or will new staff be recruited?

Yet to be decided Moderate. Ideally some existing staff to be assigned to the new project to enhance capacity of new

30

Topic Response Potential Risk Event

employees

3.3 Describe the existing or proposed project accounting staff, including job title, responsibilities, educational background and professional experience. Attach job descriptions and CVs of key existing accounting staff.

3.4 Is the project finance and accounting function staffed adequately?

Yes

3.5 Are the project finance and accounting staff adequately qualified and experienced?

Yes

3.6 Are the project finance and accounting staff trained in ADB procedures, including the disbursement guidelines (i.e., LDH)?

Yes.

3.7 What is the duration of the contract with the project finance and accounting staff?

For the duration of the project

3.8 Identify any key positions of project finance and accounting staff not contracted or filled yet, and the estimated date of appointment.

All positions will be filled

3.9 For new staff, describe the proposed project finance and accounting staff, including job title, responsibilities, educational background and professional experience. Attach job descriptions.

Not applicable

3.10 Does the project have written position descriptions that clearly define duties, responsibilities, lines of supervision, and limits of authority for all of the officers, managers, and staff?

Yes

3.11 What is the turnover rate for finance and accounting personnel (including terminations, resignations, transfers, etc.)?

Low

3.12 What is training policy for the finance and accounting staff?

No formal training policy

3.13 Describe the list of training programs attended by finance and accounting staff in the last 3 years.

PMU staff has received training on ADB’s online claims disbursement portal for submission of Withdrawal Applications and Statements of Expenses

4. Accounting Policies and Procedures

31

Topic Response Potential Risk Event

4.1 Does the entity have an accounting system that allows for the proper recording of project financial transactions, including the allocation of expenditures in accordance with the respective components, disbursement categories, and sources of funds (in particular, the legal agreements with ADB)? Will the project use the entity accounting system? If not, what accounting system will be used for the project?

Yes, As a government entity uses the UzASBO accounting system accounts for the expending of the budget.

4.2 Are controls in place concerning the preparation and approval of transactions, ensuring that all transactions are correctly made and adequately explained?

Yes

4.3 Is the chart of accounts adequate to properly account for and report on project activities and disbursement categories? Obtain a copy of the chart of accounts.

Yes

4.4 Are cost allocations to the various funding sources made accurately and in accordance with established agreements?

Yes

4.5 Are the General Ledger and subsidiary ledgers reconciled monthly? Are actions taken to resolve reconciliation differences?

Yes

4.6 Describe the EA’s policy for retention of accounting records including supporting documents (e.g, ADB’s policy requires that all documents should be retained for at least 1 year after ADB receives the audited project financial statements for the final accounting period of implementation, or 2 years after the loan closing date, whichever is later). Are all accounting and supporting documents retained in a defined system that allows authorized users easy access?

Documents stored for 6 years as the statutory period

4.7 Describe any previous audit findings that have not been addressed.

No

Segregation of Duties

4.8 Are the following functional responsibilities performed by different units or persons: (i) authorization to execute a transaction; (ii) recording of the transaction; (iii) custody of assets involved in the transaction; (iv) reconciliation of bank accounts and subsidiary ledgers?

Yes

4.9 Are the functions of ordering, receiving, accounting for, and paying for goods and services appropriately segregated?

Yes

Budgeting System

32

Topic Response Potential Risk Event

4.10 Do budgets include physical and financial targets?

Mainly financial

4.11 Are budgets prepared for all significant activities in sufficient detail to allow meaningful monitoring of subsequent performance?

Yes

4.12 Are actual expenditures compared to the budget with reasonable frequency? Are explanations required for significant variations against the budget?

Yes at monthly, quarterly and annual intervals as part of reporting with Ministry of Finance

4.13 Are approvals for variations from the budget required (i) in advance, or (ii) after the fact?

Yes

4.14 Is there a ceiling, up to which variations from the budget may be incurred without obtaining prior approval?

Yes

4.15 Who is responsible for preparation, approval and oversight/monitoring of budgets?

Budget division

4.16 Describe the budget process. Are procedures in place to plan project activities, collect information from the units in charge of the different components, and prepare the budgets?

Budgets

4.17 Are the project plans and budgets of project activities realistic, based on valid assumptions, and developed by knowledgeable individuals?

Is there evidence of significant mid-year revisions, inadequate fund releases against allocations, or inability of the EA to absorb/spend released funds?

Is there evidence that government counterpart funding is not made available adequately or on a timely basis in prior projects?

What is the extent of over- or under-budgeting of major heads over the last 3 years? Is there a consistent trend either way?

Yes, as submitted to MoF

No

Yes

No

Payments

4.18 Do invoice-processing procedures require: (i) Copies of purchase orders and receiving reports to be obtained directly from issuing departments? (ii) Comparison of invoice quantities, prices and terms, with those indicated on the purchase order and with records of goods actually received? (iii) Comparison of invoice quantities with those indicated on the receiving reports? (iv) Checking

Yes

33

Topic Response Potential Risk Event

the accuracy of calculations? (v) Checking authenticity of invoices and supporting documents?

4.19 Are all invoices stamped PAID, dated, reviewed and approved, recorded/entered into the system correctly, and clearly marked for account code assignment?

Yes

4.20 Do controls exist for the preparation of the payroll? Are changes (additions/deductions/modifications) to the payroll properly authorized?

Centralized payroll at MoF.

Policies And Procedures

4.21 What is the basis of accounting (e.g., cash, accrual) followed (i) by the entity? (ii) By the project?

Cash basis for both entity and project

4.22 What accounting standards are followed (International Financial Reporting Standards, International Public Sector Accounting Standards – cash or accrual, or National Accounting Standards (specify) or other?

National Accounting Standards (NAS)

4.23 Does the project have adequate policies and procedures manual(s) to guide activities and ensure staff accountability?

Will

4.24 Is the accounting policy and procedure manual updated regularly and for the project activities?

Yes

4.25 Do procedures exist to ensure that only authorized persons can alter or establish a new accounting policy or procedure to be used by the entity?

Yes

4.26 Are there written policies and procedures covering all routine financial management and related administrative activities?

No High Risk. An accounting policies and procedures manual is required

4.27 Do policies and procedures clearly define conflict of interest and related party transactions (real and apparent) and provide safeguards to protect the organization from them?

Not applicable

4.28 Are manuals distributed to appropriate personnel?

Not applicable

4.29 Describe how compliance with policies and procedures are verified and monitored.

Cash and Bank

4.30 Indicate names and positions of authorized signatories for bank accounts. Include those persons who have custody over bank passwords, USB keys, or equivalent for online

Payments centralized at MoF

34

Topic Response Potential Risk Event

transactions.

4.31 Does the organization maintain an adequate and up-to-date cashbook recording receipts and payments?

Not applicable

4.32 Describe the collection process and cash handling procedures. Do controls exist for the collection, timely deposit and recording of receipts at each collection location?

Not applicable

4.33 Are bank accounts reconciled on a monthly basis? Or more often?

Is cash on hand physically verified, and reconciled with the cash books? With what frequency is this done?

Yes

4.34 Are all reconciling items approved and recorded?

Yes

4.35 Are all unusual items on the bank reconciliation reviewed and approved by a responsible official?

Not applicable

4.36 Are there any persistent/non-moving reconciling items?

Not applicable

4.37 Are there appropriate controls in safekeeping of unused cheques, USB keys and passwords, official receipts and invoices?

Not applicable

4.38 Are any large cash balances maintained at the head office or field offices? If so, for what purpose?

Not applicable

4.39 For online transactions, how many persons possess USB keys (or equivalent), and passwords? Describe the security rules on password and access controls.

Not applicable

Safeguard over Assets

4.40 What policies and procedures are in place to adequately safeguard or protect assets from fraud, waste and abuse?

Yes

4.41 Does the entity maintain a Fixed Assets Register? Is the register updated monthly? Does the register record ownership of assets, any assets under lien or encumbered, or have been pledged?

Yes

4.42 Are subsidiary records of fixed assets, inventories and stocks kept up to date and reconciled with control accounts?

Yes

4.43 Are there periodic physical inventories of fixed assets, inventories and stocks? Are fixed assets, inventories and stocks appropriately labeled?

Yes

4.44 Are the physical inventory of fixed assets and stocks reconciled with the respective fixed assets and stock registers, and discrepancies analyzed and resolved?

Yes

35

Topic Response Potential Risk Event

4.45 Describe the policies and procedures in disposal of assets. Is the disposal of each asset appropriately approved and recorded? Are steps immediately taken to locate lost, or repair broken assets?

Yes

4.46 Are assets sufficiently covered by insurance policies?

No

4.47 Describe the policies and procedures in identifying and maintaining fully depreciated assets from active assets.

Other Offices and Implementing Entities

4.48 Describe any other regional offices or executing entities participating in implementation.

Has 12 regional offices but not relevant as a EA to project

4.49 Describe the staff, their roles and responsibilities in performing accounting and financial management functions of such offices as they relate to the project.

Not applicable

4.50 Has the project established segregation of duties, controls and procedures for flow of funds and financial information, accountability, and reporting and audits in relation to the other offices or entities?

Not applicable

4.51 Does information among the different offices/ implementing agencies flow in an accurate and timely fashion? In particular, do the offices other than the head office use the same accounting and reporting system?

Not applicable

4.52 Are periodic reconciliations performed among the different offices/implementing agencies? Describe the project reporting and auditing arrangements between these offices and the main executing/implementing agencies.

Not applicable

4.53 If any sub-accounts (under the Imprest Account) will be maintained, describe the results of the assessment of the financial management capacity of the administrator of such sub-accounts.

Not applicable

Contract Management and Accounting

4.54 Does the agency maintain contract-wise accounting records to indicate gross value of contract, and any amendments, variations and escalations, payments made, and undisbursed balances? Are the records consistent with physical outputs/deliverables of the contract?

Yes

4.55 If contract records are maintained, does the agency reconcile them regularly with the contractor?

Yes

36

Topic Response Potential Risk Event

Other

4.56 Describe project arrangements for reporting fraud, corruption, waste and misuse of project resources. Has the project advised employees, beneficiaries and other recipients to whom to report if they suspect fraud, waste or misuse of project resources or property?

Through the code of conduct for employees

5. Internal Audit

5.1 Is there an internal audit (IA) department in the entity?

No High Risk.

5.2 What are the qualifications and experience of the IA staff?

5.3 To whom does the head of the internal audit report?

5.4 Will the internal audit department include the project in its annual work program?

5.5 Are actions taken on the internal audit findings?

5.6 What is the scope of the internal audit program? How was it developed?

5.7 Is the IA department independent?

5.8 Do they perform pre-audit of transactions?

5.9 Who approves the internal audit program?

5.10 What standards guide the internal audit program?

5.11 How are audit deficiencies tracked?

5.12 How long have the internal audit staff members been with the organization?

5.13 Does any of the internal audit staff have an IT background?

5.14 How frequently does the internal auditor meet with the audit committee without the presence of management?

5.15 Has the internal auditor identified / reported any issue with reference to availability and completeness of records?

5.16 Does the internal auditor have sufficient knowledge and understanding of ADB’s guidelines and procedures, including the disbursement guidelines and procedures (i.e., LDH)?

6. External Audit – entity level

6.1 Is the entity financial statement audited regularly by an independent auditor? Who is the auditor?

Whole of government audit by the Supreme Auditor

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Topic Response Potential Risk Event

6.2 Are there any delays in audit of the entity? When are the audit reports issued?

No

6.3 Is the audit of the entity conducted in accordance with the International Standards on Auditing, or the International Standards for Supreme Audit Institutions, or national auditing standards?

National standards

6.4 Were there any major accountability issues noted in the audit report for the past three years?

No

6.5 Does the external auditor meet with the audit committee without the presence of management?

Not applicable

6.6 Has the entity engaged the external audit firm for any non-audit engagements (e.g., consulting)? If yes, what is the total value of non-audit engagements, relative to the value of audit services?

No

6.7 Has the external auditor expressed any issues on the availability of complete records and supporting documents?

No

6.8 Does the external auditor have sufficient knowledge and understanding of ADB’s guidelines and procedures, including the disbursement guidelines and procedures (i.e., LDH)?

Not applicable since PMU is audited by a private sector auditor who has the necessary knowledge

6.9 Are there any material issues noted during the review of the audited entity financial statements that were not reported in the external audit report?

No

External Audit – project level

6.10 Will the entity auditor audit the project accounts or will another auditor be appointed to audit the project financial statements?

Another auditor from the private sector

6.11 Are there any recommendations made by the auditors in prior project audit reports or management letters that have not yet been implemented?

No

6.12 Is the project subject to any kind of audit from an independent governmental entity (e.g. the supreme audit institution) in addition to the external audit?

No

6.13 Has the project prepared acceptable terms of reference for an annual project audit? Have these been agreed and discussed with the EA and the auditor?

Yes

6.14 Has the project auditor identified any issues with the availability and completeness of records and supporting documents?

No

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Topic Response Potential Risk Event

6.15 Does the external auditor have sufficient knowledge and understanding of ADB’s guidelines and procedures, including the disbursement guidelines and procedures (i.e., LDH)?

Yes

6.16 Are there any recommendations made by the auditors in prior audit reports or management letters that have not yet been implemented?

No

[For second or subsequent projects] 6.17 Were past audit reports complete, and did they

fully address the obligations under the loan agreements? Were there any material issues noted during the review of the audited project financial statements and related audit report that have remained unaddressed?

Yes

7. Reporting and Monitoring

7.1 Are financial statements and reports prepared for the entity?

Yes

7.2 Are financial statements and reports prepared for the implementing unit(s)?

Yes

7.3 What is the frequency of preparation of financial statements and reports? Are the reports prepared in a timely fashion so as to be useful to management for decision making?

Monthly budget and actual comparison reports, whole of government financial reports annually

7.4 Does the entity reporting system need to be adapted for project reporting?

No.

7.5 Has the project established financial management reporting responsibilities that specify the types of reports to be prepared, the report content, and purpose of the reports?

Yes

7.6 Are financial management reports used by management?

Yes

7.7 Do the financial reports compare actual expenditures with budgeted and programmed allocations?

Yes

7.8 How are financial reports prepared? Are financial reports prepared directly by the automated accounting system or are they prepared by spreadsheets or some other means?

Directly through UzAsbo software

7.9 Does the financial system have the capacity to link the financial information with the project's physical progress? If separate systems are used to gather and compile physical data, what controls are in place to reduce the risk that the physical data may not synchronize with the financial data?

The project’s system has

39

Topic Response Potential Risk Event

7.10 Does the entity have experience in implementing projects of any other donors, co-financiers, or development partners?

Yes

8. Information Systems

8.1 Is the financial accounting and reporting system computerized?

Yes on UzAsbo government financial information system

8.2 If computerized, is the software off-the-shelf, or customized?

Customized by MoF

8.3 Is the computerized software standalone, or integrated and used by all departments in the headquarters and field units using modules?

All ministries and departments of government

8.4 How are the project financial data integrated with the entity financial data? Is it done through a module in the enterprise financial system with automatic data transfer, or does it entail manual entry?

No

8.5 Is the computerized software used for directly generating periodic financial statements, or does it require manual intervention and use of Excel or similar spreadsheet software?

Yes

8.6 Can the system automatically produce the necessary project financial reports?

Yes

8.7 Is the staff adequately trained to maintain the computerized system?

Yes there is a separate division at MoF

8.8 Do the management, organization and processes and systems safeguard the confidentiality, integrity and availability of the data?

Yes

8.9 Are there back-up procedures in place? Yes – the MoF maintains the backup and has a dedicated IT division

8.10 Describe the backup procedures – online storage, offsite storage, offshore storage, fire, and earthquake and calamity protection for backups.

Online storage on a second server and also off-site

40

Annex G: FMAQ of AA

Topic Response Potential Risk Event

1. Executing / Implementing Agency1.1 What is the entity’s legal status / registration? Agency under the CR

within the Ministry of Transport

1.2 How much equity (shareholding) is owned by the Government?

Government Agency Low risk

1.3 Obtain the list of beneficial owners of major blocks of shares (non-governmental portion), if any.

Not applicable

1.4 Has the entity implemented an externally-financed project in the past? If yes, please provide details.

CR is currently the EA for the ADB funded Kashkadarya Regional Roads project (ADB Loan 3481), rehabilitating 77km of existing roads in the Kashkadarya Region, Second CAREC Corridor Road Investment Program, Tranche 3 (ADB Loan 3355) and the recently approved upgrading 240km of the Guzar-Bukhara-Nukus-Beineu highway (A380) on sections 964-1204 km in the Republic of Karakalpakstan.

Low Risk. Has track record of implementing ADB projects as well as with other IFI

1.5 Briefly describe the statutory reporting requirements for the entity.

AA reports to MoT, MoF requires monthly reports on budget execution to be submitted within ten days of month end

Low Risk. This requirement is strictly complied with.

1.6 Describe the regulatory or supervisory agency of the entity.

Ministry Transport and ultimately Ministry of Finance

1.7 What is the governing body for the project? Is the governing body for the project independent?

Ministry of Finance

1.8 Obtain current organizational structure and describe key management personnel.Is the organizational structure and governance appropriate for the needs of the project?

Yes. Headed by an Executive Director with divisions monitoring project implementation. Actual implementation of projects done by separate PMUs which are under AA

41

Topic Response Potential Risk Event

umbrella.

1.9 Does the entity have a Code of Ethics in place? Government employee code.

1.10 Describe (if any) any historical issues reports of ethics violations involving the entity and management. How were they addressed?

No

2. Funds Flow Arrangements2.1 Describe the (proposed) project funds flow

arrangements in detail, including a funds flow diagram and explanation of the flow of funds from ADB, government and other financiers, to the government, EA, IA, suppliers, contractors, ultimate beneficiaries, etc. as applicable.

An advance account for PMU expenses will be established. The operation of advance accounts is well established for existing projects

Low Risk

2.2 Are the (proposed) arrangements to transfer the proceeds of the loan (from the government / Finance Ministry) to the entity and to the end-recipients satisfactory?

Yes

2.3 Are the disbursement methods appropriate? Yes, This is disbursement method adopted by Kashkadarya Project as well.

Low Risk.

2.4 What have been the major problems in the past involving the receipt, accounting and/or administration of funds by the entity?

No

2.5 In which bank will the Imprest Account (if applicable) be established?

In the same manner as the ongoing projects

2.6 Is the bank in which the imprest account is established capable of−

Executing foreign and local currencytransactions?

Issuingand administering letters of credit (LC)? Handling a large volume of transaction? Issuing detailed monthly bank statements

promptly?

Yes

2.7 Is the ceiling for disbursements from the imprest account and SOE appropriate/required?

Yes

2.8 Does the (proposed) project implementing unit (PIU) have experience in the management of disbursements from ADB?

Yes currently implementing similar project

Low Risk

2.9 Does the PIU have adequate administrative and accounting capacity to manage the imprest fund and statement of expenditure (SOE) procedures in accordance with ADB’s Loan Disbursement

Yes, currently managing advance account using ADB Client Portal for

Low risk.

42

Topic Response Potential Risk Event

Handbook (LDH)? Identify any concern or uncertainty about the PIU’s administrative and accounting capability which would support the establishment of a ceiling on the use of the SOE procedure.

Disbursement

2.10 Is the entity exposed to foreign exchange risk? If yes, describe the entity’s policy and arrangements for managing foreign exchange risk.

No

2.11 How are the counterpart funds accessed?

Through the government budget

2.12 How are payments made from the counterpart funds?

As above

2.13 If project funds will flow to communities or NGOs, does the PIU have the necessary reporting and monitoring arrangements and features built into its systems to track the use of project proceeds by such entities?

No

2.14 Are the beneficiaries required to contribute to project costs? If beneficiaries have an option to contribute in kind (in the form of labor or material), are proper guidelines and arrangements formulated to record and value the laboror material contributions at appraisal and during implementation?

No

3. Staffing

3.1 What is the current and/or proposed organizational structure of the accounting department? Attach an organization chart.

See chart

3.2 Will existing staff be assigned to the project, or will new staff be recruited?

Yet to be decided Moderate. Ideally some existing staff to be assigned to the new project to enhance capacity of new employees

3.3 Describe the existing or proposed project accounting staff, including job title, responsibilities, educational background and professional experience. Attach job descriptions and CVs of key existing accounting staff.

3.4 Is the project finance and accounting function staffed adequately?

Yes

3.5 Are the project finance and accounting staff adequately qualified and experienced?

Yes

43

Topic Response Potential Risk Event

3.6 Are the project finance and accounting staff trained in ADB procedures, including the disbursement guidelines (i.e., LDH)?

Yes.

3.7 What is the duration of the contract with the project finance and accounting staff?

For the duration of the project

3.8 Identify any key positions of project finance and accounting staff not contracted or filled yet, and the estimated date of appointment.

All positions will be filled

3.9 For new staff, describe the proposed project finance and accounting staff, including job title, responsibilities, educational background and professional experience. Attach job descriptions.

Not applicable

3.10 Does the project have written position descriptions that clearly define duties, responsibilities, lines of supervision, and limits of authority for all of the officers, managers, and staff?

Yes

3.11 What is the turnover rate for finance and accounting personnel (including terminations, resignations, transfers, etc.)?

Low

3.12 What is training policy for the finance and accounting staff?

No formal training policy

3.13 Describe the list of training programs attended by finance and accounting staff in the last 3 years.

PMU staff has received training on ADB’s online claims disbursement portal for submission of Withdrawal Applications and Statements of Expenses

4. Accounting Policies and Procedures

4.1 Does the entity have an accounting system that allows for the proper recording of project financial transactions, including the allocation of expenditures in accordance with the respective components, disbursement categories, and sources of funds (in particular, the legal agreements with ADB)? Will the project use the entity accounting system? If not, what accounting system will be used for the project?

Yes, As a government entity uses the UzASBO accounting system accounts for the expending of the budget.

4.2 Are controls in place concerning the preparation and approval of transactions, ensuring that all transactions are correctly made and adequately explained?

Yes

4.3 Is the chart of accounts adequate to properly account for and report on project activities and disbursement categories? Obtain a copy of the chart of accounts.

Yes

44

Topic Response Potential Risk Event

4.4 Are cost allocations to the various funding sources made accurately and in accordance with established agreements?

Yes

4.5 Are the General Ledger and subsidiary ledgers reconciled monthly? Are actions taken to resolve reconciliation differences?

Yes

4.6 Describe the EA’s policy for retention of accounting records including supporting documents (e.g, ADB’s policy requires that all documents should be retained for at least 1 year after ADB receives the audited project financial statements for the final accounting period of implementation, or 2 years after the loan closing date, whichever is later). Are all accounting and supporting documents retained in a defined system that allows authorized users easy access?

Documents stored for 6 years as the statutory period

4.7 Describe any previous audit findings that have not been addressed.

No

Segregation of Duties

4.8 Are the following functional responsibilities performed by different units or persons: (i) authorization to execute a transaction; (ii) recording of the transaction; (iii) custody of assets involved in the transaction; (iv) reconciliation of bank accounts and subsidiary ledgers?

Yes

4.9 Are the functions of ordering, receiving, accounting for, and paying for goods and services appropriately segregated?

Yes

Budgeting System

4.10 Do budgets include physical and financial targets?

Mainly financial

4.11 Are budgets prepared for all significant activities in sufficient detail to allow meaningful monitoring of subsequent performance?

Yes

4.12 Are actual expenditures compared to the budget with reasonable frequency? Are explanations required for significant variations against the budget?

Yes at monthly, quarterly and annual intervals as part of reporting with Ministry of Finance

4.13 Are approvals for variations from the budget required (i) in advance, or (ii) after the fact?

Yes

4.14 Is there a ceiling, up to which variations from the budget may be incurred without obtaining prior approval?

Yes

45

Topic Response Potential Risk Event

4.15 Who is responsible for preparation, approval and oversight/monitoring of budgets?

Budget division

4.16 Describe the budget process. Are procedures in place to plan project activities, collect information from the units in charge of the different components, and prepare the budgets?

Budgets

4.17 Are the project plans and budgets of project activities realistic, based on valid assumptions, and developed by knowledgeable individuals?

Is there evidence of significant mid-year revisions, inadequate fund releases against allocations, or inability of the EA to absorb/spend released funds?

Is there evidence that government counterpart funding is not made available adequately or on a timely basis in prior projects?

What is the extent of over- or under-budgeting of major heads over the last 3 years? Is there a consistent trend either way?

Yes, as submitted to MoF

No

Yes

No

Payments

4.18 Do invoice-processing procedures require: (i) Copies of purchase orders and receiving reports to be obtained directly from issuing departments? (ii) Comparison of invoice quantities, prices and terms, with those indicated on the purchase order and with records of goods actually received? (iii) Comparison of invoice quantities with those indicated on the receiving reports? (iv) Checking the accuracy of calculations? (v) Checking authenticity of invoices and supporting documents?

Yes

4.19 Are all invoices stamped PAID, dated, reviewed and approved, recorded/entered into the system correctly, and clearly marked for account code assignment?

Yes

4.20 Do controls exist for the preparation of the payroll? Are changes (additions/deductions/modifications) to the payroll properly authorized?

Centralized payroll at MoF.

Policies And Procedures

46

Topic Response Potential Risk Event

4.21 What is the basis of accounting (e.g., cash, accrual) followed (i) by the entity? (ii) By the project?

Cash basis for both entity and project

4.22 What accounting standards are followed (International Financial Reporting Standards, International Public Sector Accounting Standards – cash or accrual, or National Accounting Standards (specify) or other?

National Accounting Standards (NAS)

4.23 Does the project have adequate policies and procedures manual(s) to guide activities and ensure staff accountability?

Will

4.24 Is the accounting policy and procedure manual updated regularly and for the project activities?

Yes

4.25 Do procedures exist to ensure that only authorized persons can alter or establish a new accounting policy or procedure to be used by the entity?

Yes

4.26 Are there written policies and procedures covering all routine financial management and related administrative activities?

No High Risk. An accounting policies and procedures manual is required

4.27 Do policies and procedures clearly define conflict of interest and related party transactions (real and apparent) and provide safeguards to protect the organization from them?

Not applicable

4.28 Are manuals distributed to appropriate personnel?

Not applicable

4.29 Describe how compliance with policies and procedures are verified and monitored.

Not applicable

Cash and Bank

4.30 Indicate names and positions of authorized signatories for bank accounts. Include those persons who have custody over bank passwords, USB keys, or equivalent for online transactions.

Payments centralized at MoF

4.31 Does the organization maintain an adequate and up-to-date cashbook recording receipts and payments?

Not applicable

4.32 Describe the collection process and cash handling procedures. Do controls exist for the collection, timely deposit and recording of receipts at each collection location?

Not applicable

4.33 Are bank accounts reconciled on a monthly basis? Or more often?

Is cash on hand physically verified, and reconciled with the cash books? With what frequency is this done?

Yes

4.34 Are all reconciling items approved and recorded?

Yes

47

Topic Response Potential Risk Event

4.35 Are all unusual items on the bank reconciliation reviewed and approved by a responsible official?

Not applicable

4.36 Are there any persistent/non-moving reconciling items?

Not applicable

4.37 Are there appropriate controls in safekeeping of unused cheques, USB keys and passwords, official receipts and invoices?

Not applicable

4.38 Are any large cash balances maintained at the head office or field offices? If so, for what purpose?

Not applicable

4.39 For online transactions, how many persons possess USB keys (or equivalent), and passwords? Describe the security rules on password and access controls.

Not applicable

Safeguard over Assets

4.40 What policies and procedures are in place to adequately safeguard or protect assets from fraud, waste and abuse?

Yes

4.41 Does the entity maintain a Fixed Assets Register? Is the register updated monthly? Does the register record ownership of assets, any assets under lien or encumbered, or have been pledged?

Yes

4.42 Are subsidiary records of fixed assets, inventories and stocks kept up to date and reconciled with control accounts?

Yes

4.43 Are there periodic physical inventories of fixed assets, inventories and stocks? Are fixed assets, inventories and stocks appropriately labeled?

Yes

4.44 Are the physical inventory of fixed assets and stocks reconciled with the respective fixed assets and stock registers, and discrepancies analyzed and resolved?

Yes

4.45 Describe the policies and procedures in disposal of assets. Is the disposal of each asset appropriately approved and recorded? Are steps immediately taken to locate lost, or repair broken assets?

Yes

4.46 Are assets sufficiently covered by insurance policies?

No

4.47 Describe the policies and procedures in identifying and maintaining fully depreciated assets from active assets.

Not applicable

Other Offices and Implementing Entities

4.48 Describe any other regional offices or executing entities participating in implementation.

None

48

Topic Response Potential Risk Event

4.49 Describe the staff, their roles and responsibilities in performing accounting and financial management functions of such offices as they relate to the project.

Not applicable

4.50 Has the project established segregation of duties, controls and procedures for flow of funds and financial information, accountability, and reporting and audits in relation to the other offices or entities?

Not applicable

4.51 Does information among the different offices/ implementing agencies flow in an accurate and timely fashion? In particular, do the offices other than the head office use the same accounting and reporting system?

Not applicable

4.52 Are periodic reconciliations performed among the different offices/implementing agencies? Describe the project reporting and auditing arrangements between these offices and the main executing/implementing agencies.

Not applicable

4.53 If any sub-accounts (under the Imprest Account) will be maintained, describe the results of the assessment of the financial management capacity of the administrator of such sub-accounts.

Not applicable

Contract Management and Accounting

4.54 Does the agency maintain contract-wise accounting records to indicate gross value of contract, and any amendments, variations and escalations, payments made, and undisbursed balances? Are the records consistent with physical outputs/deliverables of the contract?

Yes at PMU

4.55 If contract records are maintained, does the agency reconcile them regularly with the contractor?

Yes

Other

4.56 Describe project arrangements for reporting fraud, corruption, waste and misuse of project resources. Has the project advised employees, beneficiaries and other recipients to whom to report if they suspect fraud, waste or misuse of project resources or property?

Through the code of conduct for employees

5. Internal Audit

5.1 Is there an internal audit (IA) department in the entity?

No High Risk.

5.2 What are the qualifications and experience of the IA staff?

5.3 To whom does the head of the internal audit report?

49

Topic Response Potential Risk Event

5.4 Will the internal audit department include the project in its annual work program?

5.5 Are actions taken on the internal audit findings?

5.6 What is the scope of the internal audit program? How was it developed?

5.7 Is the IA department independent?

5.8 Do they perform pre-audit of transactions?

5.9 Who approves the internal audit program?

5.10 What standards guide the internal audit program?

5.11 How are audit deficiencies tracked?

5.12 How long have the internal audit staff members been with the organization?

5.13 Does any of the internal audit staff have an IT background?

5.14 How frequently does the internal auditor meet with the audit committee without the presence of management?

5.15 Has the internal auditor identified / reported any issue with reference to availability and completeness of records?

5.16 Does the internal auditor have sufficient knowledge and understanding of ADB’s guidelines and procedures, including the disbursement guidelines and procedures (i.e., LDH)?

6. External Audit – entity level

6.1 Is the entity financial statement audited regularly by an independent auditor? Who is the auditor?

Whole of government audit by the Supreme Auditor

6.2 Are there any delays in audit of the entity? When are the audit reports issued?

No

6.3 Is the audit of the entity conducted in accordance with the International Standards on Auditing, or the International Standards for Supreme Audit Institutions, or national auditing standards?

National standards

6.4 Were there any major accountability issues noted in the audit report for the past three years?

No

6.5 Does the external auditor meet with the audit committee without the presence of management?

Not applicable

50

Topic Response Potential Risk Event

6.6 Has the entity engaged the external audit firm for any non-audit engagements (e.g., consulting)? If yes, what is the total value of non-audit engagements, relative to the value of audit services?

No

6.7 Has the external auditor expressed any issues on the availability of complete records and supporting documents?

No

6.8 Does the external auditor have sufficient knowledge and understanding of ADB’s guidelines and procedures, including the disbursement guidelines and procedures (i.e., LDH)?

Not applicable since PMU is audited by a private sector auditor who has the necessary knowledge

6.9 Are there any material issues noted during the review of the audited entity financial statements that were not reported in the external audit report?

No

External Audit – project level

6.10 Will the entity auditor audit the project accounts or will another auditor be appointed to audit the project financial statements?

Another auditor from the private sector

6.11 Are there any recommendations made by the auditors in prior project audit reports or management letters that have not yet been implemented?

No

6.12 Is the project subject to any kind of audit from an independent governmental entity (e.g. the supreme audit institution) in addition to the external audit?

No

6.13 Has the project prepared acceptable terms of reference for an annual project audit? Have these been agreed and discussed with the EA and the auditor?

Yes

6.14 Has the project auditor identified any issues with the availability and completeness of records and supporting documents?

No

6.15 Does the external auditor have sufficient knowledge and understanding of ADB’s guidelines and procedures, including the disbursement guidelines and procedures (i.e., LDH)?

Yes

6.16 Are there any recommendations made by the auditors in prior audit reports or management letters that have not yet been implemented?

No

[For second or subsequent projects] 6.17 Were past audit reports complete, and did they

fully address the obligations under the loan agreements? Were there any material issues noted during the review of the audited project financial statements and related audit report that have remained unaddressed?

Yes

51

Topic Response Potential Risk Event

7. Reporting and Monitoring

7.1 Are financial statements and reports prepared for the entity?

Yes

7.2 Are financial statements and reports prepared for the implementing unit(s)?

Yes

7.3 What is the frequency of preparation of financial statements and reports? Are the reports prepared in a timely fashion so as to be useful to management for decision making?

Monthly budget and actual comparison reports, whole of government financial reports annually

7.4 Does the entity reporting system need to be adapted for project reporting?

No.

7.5 Has the project established financial management reporting responsibilities that specify the types of reports to be prepared, the report content, and purpose of the reports?

Yes

7.6 Are financial management reports used by management?

Yes

7.7 Do the financial reports compare actual expenditures with budgeted and programmed allocations?

Yes

7.8 How are financial reports prepared? Are financial reports prepared directly by the automated accounting system or are they prepared by spreadsheets or some other means?

Directly through UzAsbo software

7.9 Does the financial system have the capacity to link the financial information with the project's physical progress? If separate systems are used to gather and compile physical data, what controls are in place to reduce the risk that the physical data may not synchronize with the financial data?

The project’s system has

7.10 Does the entity have experience in implementing projects of any other donors, co-financiers, or development partners?

Yes

8. Information Systems

8.1 Is the financial accounting and reporting system computerized?

Yes on UzAsbo government financial information system

8.2 If computerized, is the software off-the-shelf, or customized?

Customized by MoF

8.3 Is the computerized software standalone, or integrated and used by all departments in the headquarters and field units using modules?

All ministries and departments of government

8.4 How are the project financial data integrated with the entity financial data? Is it done through a module in the enterprise financial system with

No

52

Topic Response Potential Risk Event

automatic data transfer, or does it entail manual entry?

8.5 Is the computerized software used for directly generating periodic financial statements, or does it require manual intervention and use of Excel or similar spreadsheet software?

Yes

8.6 Can the system automatically produce the necessary project financial reports?

Yes

8.7 Is the staff adequately trained to maintain the computerized system?

Yes there is a separate division at MoF

8.8 Do the management, organization and processes and systems safeguard the confidentiality, integrity and availability of the data?

Yes

8.9 Are there back-up procedures in place? Yes – the MoF maintains the backup and has a dedicated IT division

8.10 Describe the backup procedures – online storage, offsite storage, offshore storage, fire, and earthquake and calamity protection for backups.

Online storage on a second server and also off-site

Technical Assistance Consultant’s Assessment Report

Project Number: 53312-002 Transaction Technical Assistance (TRTA: ADB TA No. 9847-UZB) April 20201

Republic of Uzbekistan: Preparing of Surkhandarya Regional Road Project

Project Procurement Risk Assessment

Prepared by Development Business UK (DBUK)

This consultant’s report does not necessarily reflect the views of ADB or the Governments concerned, and the ADB and Governments cannot be held liable for its contents.

Asian Development Bank

1 This PPRA was initially prepared in April 2020, however, the document has been revised in January 2021 as the project preparation progressed.

Annex 10.1

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

CONTENTSABBREVIATIONS ........................................................................................................................... 3EXECUTIVE SUMMARY ................................................................................................................. 4I. INTRODUCTION ...................................................................................................... 6II. PROJECT PROCURMENT RISK ASSESSMENT .................................................... 7

A. Overview .................................................................................................................. 7(i) Organization and Staff Capacity ................................................................................ 8(ii) Information Management .......................................................................................... 9(iii) Procurement Practices .............................................................................................. 9(iv) Effectiveness ............................................................................................................ 9(v) Accountability Measures ......................................................................................... 10B. Strengths ............................................................................................................... 10C. Weaknesses .......................................................................................................... 11D. Procurement Risk Assessment and Management Plan (P-RAMP) .................... 11

III. CONCLUSION ........................................................................................................ 13APPENDICES: .............................................................................................................................. 14APPENDIX 1: INFORMATION ON ONGOING PROJECTS ($ million) ......................................... 15APPENDIX 2: PROJECT PROCUREMENT RISK ASSESSMENT QUESTIONNAIRE ................. 16APPENDIX 3: CURRENT STATUS OF THE RISK MANAGEMENT PLAN RECOMMENDED BY COUNTRY/SECTOR PROCUREMENT RISK ASSESSMENT ...................................................... 29APPENDIX 4: SUMMARY OF NATIONAL REGULATORY DOCUMENTS RELATED TO PUBLIC PROCUREMENT ........................................................................................................................... 33APPENDIX 5: PROJECT PROCUREMENT RISK ASSESSMENT ............................................... 36APPENDIX 6: PROJECT PROCUREMENT RISK ASSESSMENT AND MANAGEMENT PLAN (P- RAMP) ........................................................................................................................................... 37

iii

ABBREVIATIONS

ADB Asian Development Bank AA Avtoyulinvest Agency CR Committee for Roads BD Bidding Documents EA Executing Agency EC Evaluation Commission

GAPR Guide on Assessing Procurement Risks and Determining Project Procurement Classification

GoU Government of Uzbekistan IA Implementing Agency IDB Islamic Development Bank IFI International Financing Institution LA Loan Agreement LCS Least-Cost Selection MIFT Ministry of Investments and Foreign Trade MT Ministry of Transport PAM Project Administration Manual PMSC Project Management and Supervision Consultant PMU Project Management Unit PP Procurement Plan PPL Public Procurement Law PPRA Project Procurement Risk Assessment PR Presidential Resolution P-RAMP Procurement Risk Assessment and Management Plan QCBS Quality and Cost Based Selection RFP Request for Proposal TOR Terms of Reference TC Tender Commission URM Uzbekistan Resident Mission WB World Bank

4

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

PROJECT PROCUREMENT RISK ASSESSMENT REPORT

EXECUTIVE SUMMARY 1. This Project Procurement Risk Assessment (PPRA) report is prepared for Surkhandarya Regional Road Project (SRRP) in line with the ADB Guide on Assessing Procurement Risks and Determining Project Procurement Classification, August 2015. The Strategic Procurement Planning (SPP) Guidance Notes of ADB (June 2018), Para 5.8, allows to conduct this type of simplified (PPRA), if the Implementing Agency (IA) has got previous experiences in implementing ADB and other IFI funded low risks projects. The overall procurement risk assessed for this project is moderate. 2. The Committee for Roads (CR) under the Ministry of Transport (MT) is the Executing Agency (EA) and Avtoyulinvest agency (AA) is the Implementing Agency (IA) for SRRP. In accordance with the Decree of the President of the Republic of Uzbekistan No. PP-4545 dated 09.12.2019, the previous Republican Road Fund (RRF) was transformed into the Avtoyulinvest Agency (AA). The ongoing foreign aided road projects implemented by the Avtoyulinvest Agency include ADB financed reconstruction of 77 km of the highway in the direction of “Karshi-Shahrisabz-Kitab” project, reconstruction of 87 km of the A-380 “Guzar-Bukhara-Nukus-Beineu” highway on a section of 228-315 km project and reconstruction of the A-373 “Tashkent-Osh” highway on the section 173-176 km. The background of establishment of AA goes back to the Presidents resolution PP-4545 dated on December 12, 2019. The IA has got the procurement capacity for this proposed project and well familiar with procurement procedures of ADB and other International Financial Institutions (IFI). At present there are six IFI funded projects in road sector being managed by AA. During the implementation of these projects, agency has awarded multiple civil works, goods and consulting services contracts using various procurement methods in line with the procedures of the concerned IFI. Information on ongoing projects of agency is presented in Appendix 1. 3. The Implementing Agency, Avtoyulinvest, establishes Project Management Units (PMU for each project. At present there are five PMUs for six IFI funded projects including ADB. Each PMU has Procurement Specialist in the team. AA has confirmed that a new PMU would be established for the proposed SRRP when the retroactive financing is opened. Until then, the PMU, dedicated for another ADB funded Kaskadarya Regional Road Project has been temporarily assigned to manage the SRRP. According to the PMU structure proposed in the feasibility study report of the SRRP, there would be adequate personnel for implementation of SRRP. From the assessment of the AA and existing PMUs, the procurement team within the agency is found familiar with ADB procurement policy, procedures and regulations. 4. The key weaknesses found during assessment, include the followings:

(i) absence of a department for procurement and competitive bidding within the structure of AA;

(ii) absence of in-house training program and procurement manual for goods, works and services (the agency follows ADB, WB and other IFI’s procurement guides and manuals.);

(iii) absence of grievance redress mechanism for procurement in the PPL, reason for which the agency usually follows the procedures of the IFI; and

(iv) e-procurement system is not introduced for the Works and Services for larger public procurements, only E-shopping concept is introduced for public procurement to about $5000 at a time or $50,000 per year.

5. The mitigation actions proposed to address the weaknesses could be the following: (i) GOU to establish a Procurement Department within AA to deal with all procurement

related activities; (ii) training of procurement specialists of AA to build the capacity, particularly on ADB

Procurement Policies and Regulations. Such training could be delivered by

5

procurement staff from URM; otherwise, arrangements could be made for procurement trainings, seminars or workshops on the occasion of ADB annual events in Uzbekistan or at ADB’s headquarters;

(iii) knowledge exchange among the existing qualified procurement experts and newprocurement staff proposed for the SRRP;

(iv) establishment of grievance redress mechanism for dealing with complaints inaccordance with provisions of Public Procurement Law of the Republic ofUzbekistan (PPL) Nr 472 dated April 9, 2018 and in line with ADB procedures;

(v) establishment of communication lines and knowledge exchange between AA andTender Commission members to share latest ADB procurement policies andregulations and ensure timely endorsement of the project procurement documents.

6. Previously, “Procurement Plan” (PP) used to be covered by the conventional PPRA as perthe Guidelines of August 2015. After the introduction of SPP, the PP is prepared as the outcome of the SPP and presented in a specific section of SPP. Since the current PPRA is also an integral part of SPP, the PP for SSRP will be first prepared separately and then integrated with the SPP document. Taking experiences from conventional road improvement projects in Uzbekistan, the procurement plan for the proposed project include:

(i) three civil works contracts,(ii) a component related to Weigh-in-Motion (WIM) which is embedded with the civil works

contract;(iii) Goods, particularly for facilitating PMU operation and contract management;(iv) Services contract for Project Management and Construction Supervision Consultancy.

7. While this PPRA is being prepared, the prevailing risk associated with COVID-19 must notbe ignored. Obviously, when the whole World is being affected, implementation of SRRP cannotbe an exception. As the country is under a lockdown situation (at the time of writing) and all non-essential movements are restricted, it is adversely affecting the field investigations, surveys andthe detailed design. This might affect the entire schedule of the project preparation andimplementation.8. Yet it is not known how long this pandemic situation will continue. As being seen now, thesocial distancing and health safety measures may continue much beyond the restriction period.This will have significant effect on the implementation of project due to the following key factors: (i)due to social distancing the physical presence of the numbers of workers at a time for a particularjob will be reduced, and which subsequently will require more time to complete; (ii) rate analysisfor items of works may have to be revised due to the numbers of labor/personnel reduced; (iii) anadditional health and safety measures in terms of pandemic, will have to be introduced at work;(iv) transportation of goods, materials, people will be affected due to the social distancingmeasures; (v) as already seen, supply chain has been disrupted and this will have adverse impact;(vi) this may have adversely affect the mobilization at work; (vii) if the mitigation measures are notimplemented adequately project implementation schedule might be delayed; and (viii) there maybe an increase in the overall cost of the project.9. In relation to the coronavirus pandemic ADB, as well as other IFIs and FIDIC havepublished numbers of materials and guidance memoranda on how to respond to the situation. Sothose materials will be very useful for implementing the project. The solutions may includeintroducing additional safety requirements and provisions in the contract, revisiting the existingcontract documents, renegotiation of contracts, application of force majeure etc.

6

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

I. INTRODUCTION10. This Project Procurement Risk Assessment (PPRA) has been prepared for the proposedSurkhandarya Regional Road Project (SRRP) to be financed by the Government of Uzbekistan(GOU) and ADB. The Committee for Roads (CR) under the Ministry of Transport (MT) will be theExecuting Agency (EA) and the Avtoyulinvest Agency (AA), established by the Presidentsresolution PP-4545 on 12 December 2019, will be the Implementing Agency (IA) for the proposedproject. AA has confirmed that a new PMU would be established for the proposed SRRP when theretroactive financing is opened. Until then, the PMU, dedicated for another ADB fundedKaskadarya Regional Road Project has been temporarily assigned to manage the SRRP.11. Historically CR has successfully implemented similar road projects financed by ADB andother IFIs in the past and present. The ADB’s Transportation portfolio2 shows, in year 2011 - 2017,9 projects have been implemented in Uzbekistan. At present there are six IFI funded projects in road sector being managed by AA. The ongoing foreign aided road projects implemented by AA, financed by ADB and other IFIs include Reconstruction of 77 km of the highway in the direction of “Karshi-Shahrisabz-Kitab”, Reconstruction of 87 km of the A-380 “Guzar-Bukhara-Nukus-Beineu” highway on a section of 228-315 km project and Reconstruction of the A-373 “Tashkent-Osh” highway on the section 173-176 km. During the implementation of these projects, the Agency has awarded multiple civil works, goods and consulting services contracts using various procurement methods. Although the Agency was familiar with the procurement procedures of ADB, the procurement process for the above said projects took in average 14 months from IFB advertisement to contract award. This clearly demonstrates the scope for further training and learning on the ADB procurement procedures. Information on ongoing projects under AA is presented in Appendix 1 hereinafter. 12. On the ground of previous experiences of AA in implementing ADB and other IFI fundedprojects, and as suggested in ADB Strategic Procurement Planning (SPP) Guidance Notes (June2018)(Para 5.8), a simplified PPRA will be conducted in line with the ADB Guide on AssessingProcurement Risks and Determining Project Procurement Classification, August 2015. Since thePPRA is an integral part of the SPP process, the Procurement Plan which used to be covered bythe conventional PPRA, will be prepared separately and integrated with the SPP document.13. The PPRA has focused on AA covering such aspects as organizational and staffingcapacity, information management, procurement practices, effectiveness and accountabilitymeasures. The procurement capacity and risk assessment is conducted with a survey using ADB’sproject procurement risk assessment questionnaire3. It also included extensive, in-depth interviewswith existing PMU of AA, focusing on their procurement experiences in projects funded by ADBand other IFIs. The project procurement risk assessment questionnaire with the obtained answersis provided in Appendix 2 hereinafter.14. The last Country and Sector Procurement Risk Assessment (CSPRA) of Uzbekistan wascarried out between June and October 2018. According to the ADB Procurement Risk FrameworkGuidance Note (June 2018), procurement risk assessment should be conducted at the projectlevel after the CSPRA. The CSPRA had identified a number of risks and recommended theirmitigations and the procurement risk had been rated at Moderate for the Transport Sector4. Thepresent PPRA made a quick review of the status of implementation of the risk management plan,which is provided in Appendix 3 hereinafter. The key risks identified by CSPRA revolves aroundthe need for more clarity with respect to:

- the procurement legislation documents like the Public Procurement Law (PPL) No. 472adopted on 9 April 2018,

- the roles of National Agency on Project Management (NAPM),- the applicability of PPL and decrees, resolution and orders.

2 Table XXVI – Transport Project Portfolio (Ongoing and Planned), 7.B. Para 7of the Uzbekistan Country andSector Procurement Risk Assessment Report, October 2018 3 Appendix 11, ADB Guide on Assessing Procurement Risks and Determining Project Procurement Classification, August 2015 4 Uzbekistan Country and Sector Procurement Risk Assessment Report, October 2018

7

It is found that the legislations under PPL are largely applicable to the government funded projects, and those are regularly monitored by GoU. As the legislations are relatively new, they have not been yet updated, which was recommended by CSPRA. It is important to note that the foreign aided projects are exempted from the provisions of PPL and scope of NAPM, and would be governed by the regulations and procedures of relevant IFIs, i.e., ADB for the proposed project. As a consequence, the above mentioned risks associated with the legal aspects of Uzbekistan are significantly reduced for the proposed project. 15. The proposed project cost is estimated at $221.4 million, which will be funded by a RegularOCR loan from ADB in the amount of $188 million and a contribution of the Government ofUzbekistan of $33.4 million (mainly in the form of exemptions from taxes and duties, plus paymentof interest during implementation). In addition to works and consulting services, ADB projectfunding is expected to include the financing of PMU office equipment, furniture and vehicles(goods). The project will be implemented over four years (Q1 2022 – Q4 2025). AA, through itsPMU will implement and manage the project including, contract management, project administration, safeguards compliance, and reporting.

16. Procurement thresholds for ADB, as recommended in the CSPRA5, were as follows:

ADB ICB/NCB Threshold for: Works – ≥$5M; and Goods ≥$2M. ADB Shopping Threshold for: Works - ≥$100K; and Goods - $100K

However, these thresholds do not apply any longer under ADB 2017 Procurement Framework. Open Competitive Bidding (OCB) is ADB’s preferred procurement method and that allows the competitive procurement of goods, works, and services under the same procurement method (with either national or international advertisement). OCB is meant to enhance competition among all eligible bidders, regardless of whether procurement contracts are advertised internationally or nationally.

II. PROJECT PROCURMENT RISK ASSESSMENT

A. Overview

17. The legislative and regulatory framework governing procurement activities and proceduresin Uzbekistan are as follows:

(i) PR No. PP-3237, dated August 23, 2017 (Presidential Resolution (PR) No. PP-3237 dated23.08.2017 “About measures on further application of modern forms and methods ofexecution of state and corporate procurement of goods (works and services));

(ii) RCM No. 992 dated December 18, 2017 (Resolution of the Cabinet of Ministers (RCM) No.992 dated 18.12.2017 “On making revisions and additions into, and terminating somedecisions of the Government of Uzbekistan”);

(iii) PR No. PP- 3550 of 20 February 2018 (Presidential Resolution (PR) No. PP-3550 dated20.02.2018 “About measures on improvement of an order of conducting expertise of pre-project, project, bidding documents and contracts) and

(iv) PR No. PP- 3857 of 20 July, 16 2018 (Presidential Resolution (PR) No. PP-3857 dated20.07.2018 “About procedure for the preparation and implementation of projects with theparticipation of international financial institutions and foreign government financialorganizations); and (v) the Law on State Procurement No 472 dated April 9, 2018 is alsoeffective.

Summary of National Regulatory Documents of Uzbekistan related to the procurement is presented in Appendix 4.

5 Table XXXVII Procurement Thresholds, Section 10, Uzbekistan Country and Sector Procurement Risk Assessment Report, October 2018

8

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

18. Currently, the tender procedures for procurement of goods, works, nonconsulting andconsulting services within transport sector related investment projects are conducted by SectorialTender Commission (TC) established by the Minister of Ministry of Investments and Foreign Trade(MIFT) together with the First Deputy Minister of Ministry of Transport (MT) dated on February 13,2019. The TC is chaired by the Deputy Minister of the Ministry of Transport having total of 7members, comprising officials from the authorities MIFT, MT, Ministry of construction, StateAntimonopoly Committee, National design institute “UzEngineering and Ministry of Finance.

(i) Organization and Staff Capacity19. The Ministry of Transport and CR are gradually improving its capacity in procurement. Therepresentatives of the MT participate in the bidding procedures and take part in procurementsseminars and conferences organized by local and international organizations. The MT through CRand its AA manages several projects funded by International Finance Institutions (IFI) and it hasgained good procurement experience by managing these projects.20. Tender Commission (TC) carries out tendering procedure for contracts costing $100,000 ormore.21. An Evaluation Commission (EC) is established and represented by PMU. The EC includesofficials of MIFT, Ministry of Construction, representative of National Design InstituteUzengineering. The EC, members which are nominated by the TC, undertakes evaluation of bidsand acts as an expert group to the TC. The Tender commission participates in bid openings andmain evaluation sessions, and approves the bid evaluation reports prepared by the EC.Procurements with estimated budget up to $100,000 are carried out by the AA’s PMU itself byforming an internal procurement commission. The quotations and proposals under such contracts are evaluated by the special evaluation group established by each PMU. 22. The AA in its structure has several Project Management Units. Those are divided accordingto the funding agencies e.g. World Bank, Asian Development Bank and Islamic DevelopmentBank. Currently there are five (5) PMUs for IFI funded projects in road sector. Of those, two PMUsare dedicated to ADB funded projects and one of the two PMUs is managing two projects. ThePMUs perform the function of a Secretariat of the Tender Committee. Procurement activitiesunder foreign aided projects are carried out by Procurement Specialist of the concerned PMU, whoreports to the relevant Project Manager, and who in turn reports to the Director of the AA. Theprocurement experience and qualification of the Project Manager are generally good, however,those of the Procurement Specialist is low.23. AA has confirmed that a new PMU would be established for the proposed SRRP when theretroactive financing is opened. Until then, the PMU dedicated for another ADB fundedKaskadarya Regional Road Project has been temporarily assigned to manage the SRRP. EachPMU has a Procurement Specialist and the same will be maintained for the proposed Project. ThePMU will have to be robust enough to implement the project and is expected to have adequatestaff dedicated to the particular project as indicated in the preliminary organizational structure ofPMU6. The composition has also included a procurement specialist in the team. For the currentproposed Project, the ongoing TRTA Services will draft the bidding documents for Civil Works.Then the responsibilities of preparing rest of the procurement documents, including that for hiringproject management and supervision consultancy services rest on PMU.24. The AA does not have its own procurement training program and procurement manual forgoods, services and works. But, procurement experts of AA participate from time to time inprocurement workshops and have benefited in the past of various trainings organized by IFIsproject administration and management. For IFI funded projects, AA follows manuals/guidelines ofADB, WB and other IFI relevant to the funding agency.25. Capacity building activities are proposed for EA and IA with specific training needs inrelation to ADB’s new procurement policy and procedures. All this may be organized in specialtrainings, inviting procurement expert of ADB or seminar for project implementation at ADB’s

6 Figure 1.1, Feasibility Study Report of 4R100 (km 126 – 174)

9

headquarters by inviting potential procurement specialists from other ongoing ADB projects or to be organized specially for projects in Uzbekistan. 26. All procurements procedures up to the final decision of Tender Commissions are subject toADB’s review and approval. If ADB objects the decision of the Tender Commission, then thedecision of the Tender Commissions shall be revisited in response to the ADB’s comments.27. The risk related to Organization and Staff Capacity is substantial. It can be mitigated viaconduction of capacity improvement trainings, improved monitoring, and hands-on support fromprocurement specialists and project staff available in ADB’s Uzbekistan Resident Mission. Promptdecision and implementation on forming EC and the approval process by TC will reduce the risks significantly. Depending upon the need, an additional support by recruiting a procurement specialist consultant within AA/PMU will enhance the capacity of the Organization.

(ii) Information Management28. All documents related to bidding procedure, including bid proposals from the bidders andfinal original contract agreements are properly stored within AA.29. Confidential procurement documents are kept in a secured filing room / cabinet. Only theproject manager and procurement expert and other authorized officials have access to thisroom/cabinet. The originals of the bids are stored in the safe immediately after completing bidopenings until the contract award.30. According to internal practice, after completion of the procurement processes all relatedrecords and/or documents are kept within the AA. After three years from the project closing date,the records along with other project implementation related documents will be transferred to theState archives for long-term keeping. Archived documents are not destroyed.31. The risk related to information management is low. The risk will be mitigated viamaintenance of existing information management practices and ensuring strict compliance withthem. The system, however, can be improved by storing soft copies of the documents which couldbe made easily available on demand.

(iii) Procurement Practices32. The procurement for the government funded projects and local bidding procedures followthe Law of the Republic of Uzbekistan on public procurement (PPL) No. 472 dated 9 April 2018and Resolution of President PP-3857 dated 16July 2018. However, procurements for the projectsfunded by IFIs follow the procurement regulations and procedures of the relevant IFI. TenderCommission (TC), having representatives of the key ministries is established by the ExecutingAgency, which is CR. An Evaluation Commission (EC) is established by the IA, which is AA. Themembers of the EC have to be approved by TC and the representative of the PMU would lead theEC.33. PMU and the design entity prepare the procurement documents. After obtaining approvalsfrom AA, TC and the financing Bank, PMU calls for the bid in line with the procedures of the IFI incase of the foreign funded project.34. The bid openings are done publicly with participation of Tender Commission andrepresentatives of bidders. The minutes of bid opening is signed by bidders’ representative and is distributed to the Evaluation Commission members and the funding Bank. The Evaluation Commission undertakes the evaluation of bid proposals. The decisions of the EC have to be approved by TC before moving onto the next step of the procurement. 35. The AA’s procurement practices risk is moderate. The risk can be mitigated throughprompt decision and approvals and the enhancing the capacity of the personnel. It can beimproved via capacity improvement trainings, improved monitoring, and hands-on support fromprocurement specialists and project staff available in ADB’s Uzbekistan Resident Mission.

(iv) Effectiveness36. Within AA, there are currently number of project performance monitoring specialists and

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

construction supervision engineers in the main office as well as in the field offices in-charge of monitoring the implementation of ADB and other donor funded projects. These specialists are responsible for project performance monitoring and reporting for on-going projects, including procurement and contracts management status. 37. The AA in close collaboration with international and national project management andconstruction supervision consultants conduct monitoring of contractual payment obligations tocontractors and suppliers.38. Complaints resolution mechanism is limitedly described in PPL - 472, but there is no formalnon-judicial mechanism for dealing with complaints regarding the procurement. However,complaints, if any, are resolved by Cabinet of Ministers (COM) or otherwise go to the Court. But forIFI funded projects, the concerned IFI procedures are followed for addressing complaints.Procurement decisions and disputes are always supported by written narratives.39. The effectiveness risk is moderate. This risk shall be mitigated through strict monitoringand prior review procedures for procurement. The Project Administration Manual (PAM) shouldinclude provisions on non-discriminatory participation, transparent tender processes, includingcomplaints review procedures. The AA shall prepare a guide for dealing with complaints inaccordance with provisions of Public Procurement Law and instructions of IFIs’ procurementregulations as well as the standard bidding documents.

(v) Accountability Measures40. For IFI funded projects all participants of the procurement process follow the requirementsof the concerned IFI regarding the standard statement of ethics and potential conflict of interest41. The Government has issued a Law No. 419 on Counteraction to Corruption dated 3January 2017. The clause 23 of this Law provides the following principles to prevent corruption inthe public procurement: (a) transparency and availability of information on public procurementprocedures; (b) fair competition and objective criteria for decision making; (c) effective internalcontrol system and grievance-redress mechanism; and (d) effective e-procurement.42. As per the national regulations (PD No. PP-3857), before commencement of procurementprocess, the project executing agency (in the framework of which the bidding is provided), i.e. AAwith the help of PMU develops the bidding documents with cost estimates, submits it for ADB’s review and receives no objection, and gets it reviewed and endorsed by the Tender Committee. Any amendment of the biding documents is subject for prior approval by ADB. 43. In all ADB funded procurements, for each procurement stage the final decision of executingagency or tender committee is subject to ADB’s review and no objection. If ADB rejects the conclusion of the tender committee (e.g. if ADB declares noncompliance in regard to subject tender) then the decision of the tender committee shall be reconsidered in accordance with ADB’s instructions 44. Duties concerning procurement transactions, contracts, payments, recording ofprocurement transactions and events are segregated. Procurement decisions can be tracedthrough documentation.45. Yet there is no supervisory/internal audit function within CR or AA. ADB’s integrity andanticorruption requirements, and accountability measures are provided in the PAM. It is thusrecommended that ADB organize an integrity and anticorruption seminar workshop for executingagency. All procurement will follow prior review procedure. Thus, the risk of project related to theaccountability measures is considered moderate.

B. Strengths46. The Public procurement Law, and other procurement related Resolutions and Decreesprovide a strong base for the procurement activities for government funded projects.47. The Legislation as detailed in PR-3857 allows procurements under the foreign aidedprojects to follow standard regulations and procedures of the concerned IFI.48. CR and AA are well experienced on the procurement of Goods, Works and Services for

11

ADB and other IFI funded projects. It enhances the procurement capacity and reduced the risk. 49. Tender commission decisions are independent from external approval and its decisions arefinal.

C. Weaknesses50. The following main weaknesses were identified in the course of the present PPRA:

- AA does not have a procurement Department and procurements are thus handled by IFIdedicated PMUs. AA has confirmed that a new PMU would be established for the proposedSRRP when the retroactive financing is opened. Until then, the PMU dedicated for anotherADB funded Kaskadarya Regional Road Project has been temporarily assigned to managethe SRRP;

- The PMU structure proposed in the Feasibility Study Report shows there would be adequatepersonnel for the implementation of SRRP, however, the schedule of their deputation is yetto be seen;

- AA does not have its own training program, which would have been useful specially for newrecruits on the procurement;

- AA does not have procurement process manual for goods, works and services. For IFIfunded projects, it follows the regulations and procedures of the IFI; and

- although having some experience, existing Procurement Specialists need more specifictraining in relation to the recent updates of ADB procurement framework.

51. For National Republican Fund projects, the Agency follows the PPL and other relevantdocuments including President’s Resolutions. For IFI funded projects however, procurementactivities are carried out in accordance with the relevant IFI’s procedures and guidelines. It isimportant for EA, IA and PMU to have adequate knowledge of ADB new procurement policyregulations and guidelines.52. Apparently, recruiting consulting services for a government funded project is not a usualpractice. But for IFI funded projects Consulting services are hired. It is important for EA, IA andPMU to have adequate knowledge on the ADB procedures, regulations and guidelines for hiringconsulting services.53. There is a special secure filing room within the PMU where confidential procurementdocuments are kept in a dedicated safe. Only the Project Manager and Procurement Specialistshave access to this room. Paper documents are scanned. Records in electronic format arebacked-up in a server to which only IT administrator has access. AA will need to allocate additionalresources to record keeping for the proposed SRRP.54. There is no formal non-judicial mechanism for dealing with complaints regarding theprocurement. Complaints resolution mechanism is limitedly described in national procurementdocuments.55. PPL has detailed out the standard statement of ethics and anticorruption measures forpublic procurements. Additionally. for ADB funded project all procurement process must meet theADB requirements regarding the standard statement of ethics and potential conflict of interest.Such measures must satisfy ADB anticorruption and fraudulent policy.56. Full-fledged e-procurement system is not introduced yet in the country. However, e-shopping concept has been introduced for public procurement for an amount not exceeding 250times the minimum wages7 under one contract, but not more than 2500 times minimum wages peryear.

D. Procurement Risk Assessment and Management Plan (P-RAMP)57. The project Procurement Risk Assessment and Management Plan (P-RAMP) is prepared

7 1 minimum wage = 223,000 Som (about US$22)

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

to address the weaknesses identified during the discussions with various agencies involved in procurement and based on the responses provided in the procurement risk assessment questionnaire in Appendix 2. The procurement risk analysis and P-RAMP are given as Appendix 5 and Appendix 6 respectively. The ADB’s fiduciary risks are found to be low. The AAprocurement performance is found average.

13

III. CONCLUSION58. The overall procurement risk assessment is moderate due to high risk of countryprocurement environment. Particular strength is in the long-term experience of EA/IA inmanagement of donor funded projects (particularly ADB and World Bank).

59. To overcome the revealed weaknesses, it is recommended increasing the capacities of theagencies by organizing training seminars and workshops for key specialists, includingprocurement specialists, technical staff and key members of tender committee members.60. Besides, ADB and the Government of Uzbekistan will have to jointly undertake reviews ofthe project at least once a year. The reviews will assess progress in the project activities, includingimplementation of the mitigation measures, procurement transactions, performance of contractorsand suppliers, monitoring and reporting of project assets, identify issues and constraints, anddetermine necessary remedial actions and adjustments.

14

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

APPENDICES: Appendix 1: Information on ongoing projects of the AA in road sector

Appendix 2: Project procurement risk assessment questionnaire Appendix 3: Summary of national regulatory documents related to procurement Appendix 4: Current Status Of The Risk Management Plan Recommended By Country/Sector

Procurement Risk Assessment Appendix 5: Project Procurement Risk Analysis Appendix 6: Procurement Risk Assessment and Management Plan (P-RAMP)

15

APPENDIX 1: INFORMATION ON ONGOING PROJECTS ($ million)

No. of PMUs The name of project Project

cost Source of financing Cost by sources

1

Reconstruction of 77 km of the highway in the direction of “Karshi-Shahrisabz-Kitab”

256.6 ADB 198.0

Government of Uzbekistan 58.0

Reconstruction of 87 km of the A-380 “Guzar-Bukhara-Nukus-Beineu” highway on a section of 228-315 km project

203.8 ADB 203.8

Government of Uzbekistan 53.8

Reconstruction of the A-373“Tashkent-Osh” highway on the section 173-176 km

4.4 ADB 4.4

2 The development of regional highways of local importance 240.0

WB 109.5

Government of Uzbekistan 130.5

3

Reconstruction of the M39 “Tashkent-Termez” highway on sections 1395-1400 km and 1410-1426 km

27.5 IDB 27.5

Reconstruction of 35 km of the highway “4Р87 Guzar-Chim-Kukdala” on the site 38-73 km 113.60

Saudi Development Fund, Kuwait Fund and Arab Fund for

Social and Economic Development 51.0

Government of Uzbekistan 62.60

TOTAL 845.9 845.9

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

APPENDIX 2: PROJECT PROCUREMENT RISK ASSESSMENT QUESTIONNAIRE

QUESTION RESPONSE RISK8

A. ORGANIZATIONAL AND STAFF CAPACITYPROCUREMENT DEPARTMENT/UNIT

A.1 Does the agency orGovernment have aProcurement Committee that isindependent from the head ofthe agency?

In accordance with the Decree of the President of the Republic of Uzbekistan No. PP-4545 dated 09.12.2019, the Republican Road Fund (RRF) was transformed into the Avtoyulinvest Agency (AA) which will be the Implementing Agency (IA) for the proposed project.

The Sectorial Tender (Procurement) Commission, comprising 7 members chaired by Deputy Minister of MT, acts as a procurement committee, independent from the head of agency.

Low

A.2 Does the agency have aprocurement department/unit,including a permanent officethat performs the function of aSecretariat of the ProcurementCommittee?

No, AA does not have a procurement department and permanent office.

Under AA separate PMUs are established to implement IFI funded projects in the road sector. So far there are five(5) PMUs for IFI funded projects in road sector. Of those, two PMUs are dedicated to ADB funded projects and one of the two PMUs is managing two projects. The PMUs perform the function of a Secretariat of the Tender Committee.

Moderate

A.3 If yes, what type ofprocurement does itundertake?

PMU undertakes the procurement of Goods, Works and Services in accordance with Public Procurement Law (PPL) for national level procurements and procedures of the relevant IFI for an international level.

Low

A.4 How many years'experience does the head ofthe procurementdepartment/unit have in adirect procurement role?

The existing five Procurement specialists are 5 - 8 years experienced.

Moderate

8 As per the Guideline of ADB 2015, Wherever the impacts of the risks are ‘high’, the risks associated will be potentially ‘High’ or ‘Substantial’. The Risk category is determined as:

High - likely to occur, will have high impact if occurs Substantial - unlikely to occur, will have high impact if occurs Moderate - likely to occur, will have low impact if occurs Low - not likely to occur, will have low impact if occurs

17

QUESTION RESPONSE RISK8

A.5 How many staff in theprocurement department/unitare:

i. full time

ii. part time

iii. seconded

The 5 numbers of existing procurement specialists are full time.

For the proposed project, GOU will determine whether a new procurement specialist be recruited or an existing specialist be delegated.

Moderate

A.6 Do the procurement staffhave a high level of Englishlanguage proficiency (verbaland written)?

Yes.

In practice, knowledge in English language is a requirement for the particular specialist.

Substantial

A.7 Are the number andqualifications of the staffsufficient to undertake theadditional procurement that willbe required under theproposed project?

Yes.

But at the same time, GOU will decide, whether to hire a new procurement specialist, or one of the existing specialists would be delegated for this proposed project.

Substantial

A.8 Does the unit haveadequate facilities, such asPCs, internet connection,photocopy facilities, printersetc. to undertake the plannedprocurement?

Yes.

The same will be provided also for the proposed project.

Low

A.9 Does the agency have, orhave ready access to, aprocurement training program?

No.

However, the staff attend training programs in the field of procurement, financial management and project administration, those organized both locally and by the local representative offices of IFIs and international organizations. However, the new staff of AA might need training. URM procurement and project management specialists can provide such introductory procurement training based on the needs.

Substantial

A.10 At what level does thedepartment/unit report (to thehead of agency, deputy etc.)?

Procurement specialists report to the concerned Project Manager (PM) of PMU, then the PM reports to the corresponding Deputy Director and/or the Director of the Agency.

Low

A.11 Do the procurementpositions in the agency havejob descriptions, which outlinespecific roles, minimumtechnical requirements andcareer routes?

Yes.

It is in accordance with the job descriptions in the guidelines for the PMU staff.

Moderate

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

QUESTION RESPONSE RISK8

A.12 Is there a procurementprocess manual for goods andworks?

Not the one which could fully comply with the international requirements. Therefore, and as per conditions of financing agreements, PMUs use manuals, procedures and contract documents of ADB and other International Financial Institutions (IFI).

Moderate

A.13 If there is a manual, is itup to date and does it coverforeign-assisted projects?

Agency uses latest versions of IFI’s manuals or guidelines or IFI funded projects.

The key government documents related to the public procurement have been issued not long ago. Those are as follows:

(i) PR No. PP-3237, dated August 23,2017 (Presidential Resolution (PR) No. PP-3237 dated 23.08.2017 “About measures on further application of modern forms and methods of execution of state and corporate procurement of goods (works and services));

(ii) RCM No. 992 dated December 18,2017 (Resolution of the Cabinet of Ministers(RCM) No. 992 dated 18.12.2017 “On making revisions and additions into, and terminating some decisions of the Government of Uzbekistan”);

(iii) PR No. PP- 3550 of 20 February2018 (Presidential Resolution (PR) No. PP-3550 dated 20.02.2018 “About measures on improvement of an order of conducting expertise of pre-project, project, bidding documents and contracts) and

(iv) PR No. PP- 3857 of 20 July, 16 2018(Presidential Resolution (PR) No. PP-3857dated 20.07.2018 “About procedure for the preparation and implementation of projects with the participation of international financial institutions and foreign government financial organizations); and

(v) The Law on Public ProcurementNo 472 dated April 9, 2018

Moderate

A.14 Is there a procurementprocess manual for consultingservices?

There is no such manual for recruitment of consulting services for national projects. Agency uses latest versions of IFI’s manuals for the foreign assisted projects.

Moderate

A.15 If there is a manual, is itup to date and does it coverforeign-assisted projects?

The Agency uses latest versions of relevant IFI’s manuals for foreign assisted projects.

Moderate

19

QUESTION RESPONSE RISK8

PROJECT MANAGEMENT UNIT A.16 Is there a fully (or almostfully) staffed PMU for thisproject currently in place?

Currently, the existing PMUs are fully staffed. PMU. AA has confirmed that a new PMU would be established for the proposed SRRP when the retroactive financing is opened. Until then, the PMU dedicated for another ADB funded Kaskadarya Regional Road Project has been temporarily assigned to manage the SRRP. The PMU structure proposed in the Feasibility Study Report of SSRP shows that there would be adequate personnel to implement the Project.

Substantial

A.17 Are the number andqualifications of the staffsufficient to undertake theadditional procurement that willbe required under theproposed project?

Yes.

There is no separate procurement department. PMU is set for each IFI project and under the PMU there are individual procurement specialists. Each of them has been hired under the particular Job Description and key requirements.

For this proposed SRRP, the PMU dedicated for another ADB funded project has been temporarily assigned as stated above in A.16 and elsewhere. Its staff has been engaged in the project management including procurement activities of SRRP. It is noted that the PMU structure proposed in the Feasibility Study Report of SRRP includes a Procurement Specialist.

Substantial

A.18 Does the unit haveadequate facilities, such asPCs, internet connection,photocopy facilities, printersetc. to undertake the plannedprocurement?

Yes and the same will be provided for the PMU to be dedicated to the proposed project

Low

A.19 Are there standarddocuments in use, such asStandard ProcurementDocuments/Forms, and havethey been approved for use onADB funded projects?

Standard Procurement Documents/Forms are available for government funded project. But for ADB / IFI funded projects they use the Guidelines and Standard Documents of ADB/IFI.

Low

A.20 Does the agency followthe national procurement law,procurement processes, andguidelines?

For the national republican funded projects they follow the PPL and other relevant documents including President’s Resolutions. For the IFI funded projects, procurement activities are carried out according to the relevant IFI’s proceduresand guidelines.

Low

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

QUESTION RESPONSE RISK8

A.21 Do ToRs for consultingservices follow a standardformat such as background,tasks, inputs, objectives andoutputs?

For the ADB/IFI funded projects TORs are prepared according to the guidelines and standard documents of ADB / IFI.

Low

A.22 Who drafts theprocurement specifications?

Design entity and procurement specialist of PMU draft the procurement specifications.

The current TRTA Consultants will draft the bid documents for civil works of the proposed project.

Low

A.23 Who approves theprocurement specifications?

According to the newly established regulations (Presidential Decree No. PP-3857 of 16 July 2018), project documents including bidding documents and specifications must be reviewed and approved (for a contract costing $100,000 or more) by the Tender Committee. The PMU then submit bidding documents with specifications to ADB for prior review and no-objection.

Low

A.24 Who in the PMU hasexperience in drafting biddingdocuments?

Procurement specialists are well experienced in drafting the bid documents.

For the current proposed project TRTA will draft the bidding document.

Moderate

A.25 Are records of the sale ofbidding documentsimmediately available?

Yes. The records are immediately available. Such records are maintained manually.

Low

A.26 Who identifies the needfor consulting servicesrequirements?

For IFI funded projects, AA through PMU in consultation with IFI identifies the need for consulting services.

Low

A.27 Who drafts the Terms ofReference (ToR)

In general PPTA consultancy team or the consultants who prepare the Project Administration Manual (PAM), prepare TOR for Project implementation consultancies. But for the proposed projects procurement specialist of PMU will prepare. However, AA has recommended that the Consultants should also prepare the TOR for the proposed project.

Moderate

A.28 Who prepares the requestfor proposals (RFPs)

PMU prepares RFP for Project implementation consultancies.

Low

B. INFORMATION MANAGEMENTB.1 Is there a referencingsystem for procurement files?

Yes, there is a common system for procurement documents. The system is managed manually both in paper and entered into computer.

Low

21

QUESTION RESPONSE RISK8

B.2 Are there adequateresources allocated to recordkeeping infrastructure, whichincludes the record keepingsystem, space, equipment andpersonnel to administer theprocurement recordsmanagement functions withinthe agency?

Yes, this has never been an issue with the existing PMUs. For the proposed Project, AA will establish a new or delegate existing PMU to manage all these. Agency PMU avails of adequate equipment, resources and space for records keeping. There is a special secure filing room within the PMU where confidential procurement documents are kept in a dedicated safe. Only the Project Manager and procurement specialists have access to this room. Paper documents are scanned. Records in electronic format are backed-up in a server to which only IT administrator has access

Low

B.3 Does the agency adhere toa document retention policy(i.e. for what period are recordskept)?

After completion of a project, documents and records are retained for 9 months for checks and audit. Then those are sent to the State Archive and retained there up to 20 years.

Low

B.4 Are copies of bids orproposals retained with theevaluation?

Yes, PMU retains the bids, proposals and evaluation reports

Low

B.5 Are copies of the originaladvertisements retained withthe precontract papers?

Yes, PMU retains the original advertisements with the precontract papers

Low

B.6 Is there a single contractfile with a copy of the contractand all subsequent contractualcorrespondence?

Yes, PMU maintains the file with a copy of the contract and all subsequent contractual correspondences,

Low

B.7 Are copies of invoicesincluded with the contractpapers?

Yes, the copies of invoices are included with the contract papers.

Low

B.8 Is the agency's recordkeeping function supported byIT?

The agency record keeping function is partially supported by IT. Such records are manually entered into the computers.

Moderate

C. PROCUREMENT PRACTICES

Goods and Works C.1 Has the agencyundertaken procurement ofgoods or works related toforeign assistance recently(last 12 months or last 36months)? If yes, indicate thenames of the developmentpartner/s and project/s.

Yes. The Agency has undertaken procurement of Goods and Works for: 1/ Reconstruction of 77 km of the highway in the direction of “Karshi-Shakhrisabz-Kitab”- ADB funded project.2/ Reconstruction of 87 km of the A-380 ”Guzar-Bukhara-Nukus-Beineu” highway on a section of 228-315 km project (ADB funded) 3/ “Development of regional roads of local importance” in the Ferghana Valley and Tashkent region – IDA funded project

Substantial

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

QUESTION RESPONSE RISK8

C.2 If the answer is yes, whatwere the major challengesfaced by the agency?

As per the PMU, the key challenge they had faced were delays in approval process including ADB. However, ADB has noted that the procurement process in relation to 77 km and 87 km projects referred above, showed that ADB procurement methods were not fully understood by the PMU and that the overall procurement process was particularly long (14 months from IFB advertisement to contract award for both projects).

High

C.3 Is there a systematicprocess to identifyprocurement requirements (fora period of one year or more)?

Yes, network of schedules are compiled annually and procurement plans are updated every six months.

Low

C.4 Is there a minimum periodfor the preparation of bids andif yes, how long?

There is no minimum period set for the preparation of bids. It varies depending on the specifics of the Works.

Substantial

C.5 Are all queries frombidders replied to in writing?

Yes, all queries from bidders are replied in writing.

Substantial

C.6 Does the biddingdocument state the date andtime of bid opening?

Yes, the bidding document state the date and time of bid opening

Substantial

C.7 Are bids opened in public? Yes, the bids are opened in public. Low

C.8 Can late bids beaccepted?

No, the late bids are rejected. Low

C.9 Can bids (except late bids)be rejected at bid opening?

No, at the bid opening, bids are not rejected but facts are recorded.

Low

C.10 Are minutes of the bidopening taken?

Yes, the minutes of the bid opening taken. Low

C.11 Are bidders provided acopy of the minutes?

Yes, on the bid opening day, bidders are provided copy of the minutes.

Low

C.12 Are the minutes providedfree of charge?

Yes, the minutes are provided free of charge.

Low

C.13 Who undertakes theevaluation of bids(individual(s), permanentcommittee, ad-hoccommittee)?

Evaluation Commission (EC) established by the Sectorial Tender Commission (TC) undertakes the evaluation of bids. Where available Consultants assist the Evaluation Commission.

Low

C.14 What are thequalifications of the evaluatorswith respect to procurementand the goods and/or worksunder evaluation?

Qualification are good in general to process the evaluation. They have had experiences from the past projects.

Low

23

QUESTION RESPONSE RISK8

C.15 Is the decision of theevaluators final or is theevaluation subject to additionalapprovals?

The decision of the evaluators (the Evaluation Committee) is subject to approval by the by Sectorial Tender Commission (TC).

Low

C.16 Using the three ‘worst-case' examples in the last year, how long from the issuance of the invitation for bids can the contract be awarded?

However, ADB has noted that the procurement process in relation to 77 km and 87 km projects referred above, took 14 months from IFB advertisement to contract award for both projects). PMU has also noted that for the past completed projects it took from 6 to 8 months and that was mainly due to two stage tendering systems.

High

C.17 Are there processes inplace for the collection andclearance of cargo throughports of entry?

Yes. These are done as per the national customs rules and regulations.

Low

C.18 Are there establishedgoods receiving procedures?

Those are clearly mentioned in the contract agreements for the supply of goods.

Low

C.19 Are all goods that arereceived recorded as assets orinventory in a register?

Yes. They are registered with the Accounting department manually.

Low

C.20 Is the agency/procurement departmentfamiliar with letters of credit?

Yes, the AA is familiar with the letters of credit

Low

C.21 Does the procurementdepartment register and trackwarranty and latent defectsliability periods?

Yes. The AA/PMU register and track warranty and latent defects liability periods.

Low

Consulting Services C.22 Has the agencyundertaken foreign- assistedprocurement of consultingservices recently (last 12months, or last 36 months)? (Ifyes, please indicate the namesof the development partner/sand the Project/s.)

Yes, the Agency has recruited consulting Services for the following projects:

1/ “Reconstruction of 77 km of the highway in the direction of Karshi-Shakhrisabz-Kitab”- ADB funded project.

2/ “Development of regional roads of local importance” in the Ferghana Valley and Tashkent region – IDA funded project

Low

C.23 If the above answer isyes, what were the majorchallenges?

No major challenges were observed Low

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

QUESTION RESPONSE RISK8

C.24 Are assignments andinvitations for expressions ofinterest (EOIs) advertised?

Yes, assignments and invitations for EOI were advertised for the above IFI funded projects.

Low

C.25 Is a consultants' selectioncommittee formed withappropriate individuals, andwhat is its composition (if any)?

Yes, Evaluation commission (EC) is formed having 5 – 7 members . It is representedby PMU and includes officials from MIFT, Ministry of Construction, representative of National design institute Uzengineering.

Low

C.26 What criteria are used toevaluate EOIs?

The criteria used to evaluate consultants EOIs are : (i) eligibility and qualifications; (ii) facilitiesand areas of expertise; (iii) similarassignments ;(iv) experience in similaroperating environments and conditions; (iv)availability of appropriate experience andprofessional qualifications amongconsultant’s staff; ( v ) consultant’s managerial strength and financial capacity (vi) consultant’s understanding of theproject

Low

C.27 Historically, what is themost common method used(QCBS, QBS, etc.) to selectconsultants?

QCBS is the most common method used to select consultants

Low

C.28 Do firms have to pay forthe RFP document?

No, the firms do not have to pay for the RFP document

Low

C.29 Does the proposalevaluation criteria follow a pre-determined structure and is itdetailed in the RFP?

Yes, the proposal evaluation criteria follow a predetermined structure and is detailed in RFP

Low

C.30 Are pre-proposal visitsand meetings arranged?

Yes, pre-proposal visits and meetings are arranged, as per the necessity.

Low

C.31 Are minutes preparedand circulated after pre-proposal meetings?

Yes, the minutes of meetings are prepared and circulated after the meetings

Low

C.32 To whom are the minutesdistributed?

The minutes distributed to all invited participants

Low

C.33 Are all queries fromconsultantsanswered/addressed inwriting?

Yes, all answered to the queries are answered in writing and distributed to all participants

Low

C.34 Are the technical andfinancial proposals required tobe in separate envelopes andremain sealed until thetechnical evaluation iscompleted?

Yes, the technical and financial proposals are required to be sealed in separate envelopes and financial proposal remain sealed until the technical evaluation is completed and opened in public.

Low

25

QUESTION RESPONSE RISK8

C.35 Are proposal securitiesrequired?

No, proposal securities are not required. Low

C.36 Are technical proposalsopened in public?

Yes, the technical proposals are opened in public.

Low

C.37 Are minutes of thetechnical opening distributed?

Yes, the minutes of the technical bid opening is distributed to all participants.

Low

VOID VOID VOID

C.39 Who determines the finaltechnical ranking and how?

The Evaluation Commission determines consultant’s responsiveness to the TORand the final technical ranking by giving scores to RFPs, based on criteria and sub-criteria and point system stipulated in the RFP document.

LOw

C.40 Are the technical scoressent to all firms?

Yes, the technical scores are sent to all participating firms.

Low

C.41 Are the financial proposalopened in public?

Yes, the financial proposals are opened in public.

Low

C.42 Are minutes of thefinancial opening distributed?

Yes, the minutes of the financial opening are distributed.

Low

C.43 How is the financialevaluation completed?

Financial evaluation is completed in accordance with criteria envisaged in RFP. The steps are as follows (i) arithmetical corrections and adjustments; (ii) scoring of financial proposals and (iii) final ranking of proposals The lowest bid is given the full score and the rest are evaluated proportionate to the lowest.

Low

C.44 Are face to face contractnegotiations held?

Yes, negotiations are held face to face. Low

C.45 How long after financialevaluation is negotiation heldwith the selected firm?

Usually it takes 1 - 2 weeks after ADB’s no objection.

Low

C.46 What is the usual basisfor negotiation?

Usual basis includes - approval on the terms of the contract; any replacement of personnel requested by IFI or the PMU; work plan and activity schedule; organization and staffing; counterpart services and facilities; deliverables etc.

Low

C.47 Are minutes ofnegotiation taken and signed?

Yes. It is an integral part of the contract. Low

C.48 How long afternegotiation is the contractsigned, on average?

Usually it is 1 - 2 weeks. Low

26

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

QUESTION RESPONSE RISK8

C.49 Is there an evaluationsystem for measuring theoutputs of consultants?

There is no specific evaluation system, but evaluated based on TOR and quality and timing of deliverables. There is also a Monitoring Specialist in the PMU. They monitor the output of consultants.

Low

Payments C.50 Are advance paymentsmade?

Yes, advance payments are made after due submission of a bank guarantee. It is made through direct payment.

Low

C.51 What is the standardperiod for payment included incontracts?

The standard period for payment in the contract is 60 days

Low

C.52 On average, how long isit between receiving a firm'sinvoice and making payment?

Normally it takes 3 - 4 weeks. Low

C.53 When late payment ismade, are the beneficiariespaid interest?

Under the contract, the Client has to pay for each day of delay. But in practice, late payment has not been observed yet. This is strictly controlled.

Low

D. EFFECTIVENESSD.1 Is contractual performancesystematically monitored andreported?

Yes. For AA, both Monitoring Specialist of PMU and the project management and supervision consultants monitor the performance. They report to the PMU Manager, Deputy Director/Director of the Agency

Low

D.2 Does the agency monitorand track its contractualpayment obligations?

Yes. PMU monitors it. Low

D.3 Is a complaints resolutionmechanism described innational procurementdocuments?

The PPL - 472 of April 9, 2018, Chapter 11, there has covered a procedure for launching complaints. But the mechanism is not detailed out. However, the complaints, if any, are resolved by Cabinet of Ministers (COM) or otherwise go to the Court.

Substantial

D.4 Is there a formal non-judicial mechanism for dealingwith complaints?

No, there is no formal non-judicial mechanism is provisioned. However, the complaints, if any, are resolved by Cabinet of Ministers (COM) or otherwise go to the Court for government funded projects. But for IFI the FIDIC procedures are followed for the complaints and Claims

Substantial

27

QUESTION RESPONSE RISK8

D.5 Are procurement decisionsand disputes supported bywritten narratives such asminutes of evaluation, minutesof negotiation, notices ofdefault/withheld payment?

Yes. Procurement decisions and disputes are systematically supported by written narratives.

Substantial

E. ACCOUNTABILITY MEASURESE.1 Is there a standardstatement of ethics and arethose involved in procurementrequired to formally commit toit?

Yes, it is included in the PPL, the bidding documents and contract agreement

Substantial

E.2 Are those involved withprocurement required todeclare any potential conflict ofinterest and removethemselves from theprocurement process?

Yes Substantial

E.3 Is the commencement ofprocurement dependent onexternal approvals (formal orde-facto) that are outside of thebudgeting process?

No, the commencement of procurement proceeded after the having approval from IFI and Sectorial Tender Commission.

Low

E.4 Who approvesprocurement transactions, anddo they have procurementexperience and qualifications?

Sectorial Tender Commission approves after receiving no objection from ADB. The committee members may not be always up to date with the procurement procedures, and might not have sufficient experiences and qualifications

Substantial

E.5 Which of the followingactions require approvalsoutside the procurement unit orthe evaluation committee, asthe case may be, and whogrants the approval?

a) Bidding document, invitationto pre-qualify or RFP

Not required. This document is approved by the Sectorial Tender Commission.

Low

b) Advertisement of aninvitation for bids, pre-qualification or call for EOIs

Not required. This document is approved by the Sectorial Tender Commission.

Low

c) Evaluation reports Not required. This document is approved by the Sectorial Tender Commission.

Substantial

d) Notice of award Not required. This document is approved by the Sectorial Tender commission.

Substantial

e) Invitation to consultants tonegotiate

Not required. This document is approved by the Sectorial Tender commission.

Low

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Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

QUESTION RESPONSE RISK8

f) Contracts Not required. This document is approved by the Sectorial Tender commission

Substantial

E.6 Is the same officialresponsible for:(i) authorizing procurementtransactions, procurementinvitations, documents,evaluations and contracts; (ii)authorizing payments; (iii)recording procurementtransactions and events; and(iv) the custody of assets?

No, different personnel are responsible. (i) PMU Manager(ii) PMU Manager(iii) by accountant(iv) Office Manager

Substantial

E.7 Is there a written auditabletrail of procurement decisionsattributable to individuals andcommittees?

Yes. It is available. Substantial

APPENDIX 3: CURRENT STATUS OF THE RISK MANAGEMENT PLAN RECOMMENDED BY COUNTRY/SECTOR PROCUREMENT RISK ASSESSMENT

(October 2018)

Risk Risk Description Risk Assessment Mitigation Measures Adopted Measures Remarks

Roles and Responsibilities

The roles and responsibilities of key decision-making authorities specified in the PPL are not fully clear and should be updated and clarified to avoid any overlap and potential conflict of interest issues.

Moderate

Update the PPL to clarify roles and responsibilities

The aim of Public Procurement Law of Uzbekistan No 472 dated 9.04.2018 is to streamline and further improve the norms of existing legal acts on public procurement. According to the Presidential Resolution (PR)-3857 dated 20.07.2018 “About procedure for the preparation and implementation of projects with the participation of international financial institutions and foreign government financial organizations, the bidding documents and contracts for the procurement of works, goods and services prepared by the PMO/PMUs are submitted for the review and approval to the Tender Commissions only. It has removed the requirement of expert’s conclusions during registration of foreign aided contracts in the Ministry of Investments of the Republic of Uzbekistan.

PPL has not been updated but attempt to clarify within the regulations continued

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

Risk Risk Description Risk Assessment Mitigation Measures Adopted Measures Remarks

Applicability of the PPL and Decrees, Resolutions and Orders of the President and the Cabinet of Ministers

It is unclear whether the PPL takes precedence over the previous Decrees, Resolutions and Orders of the President and the COM’s as someDecrees, Resolutions and Orders have conflicting provisions with the provisions of the PPL

Low

The PPL and Presidential Decrees, Resolutions and COM’s Orders shouldbe revised to remove any conflicting provisions.

PPL does not take precedence over Presidential Decrees, Resolutions and COM’s Orders.However according to the Clause 1, the provisions of PPL do not apply for the foreign aided projects. But the procedures of donor countries, relevant IFI will be applicable for the procurement of Goods, Works or Services)

PPL is not applicable for foreign aided project

NAPM not a formal part of government

NAPM is neither a member of the COM’s ora formal part of government, however its mandate and function within Uzbekistan normally lies within the machinery of government in other countries

Low

Ensure that there are “checks andbalances” andoversight mechanisms

The authorized body in the field of public procurement is the National Agency for Project Management under the President of the Republic of Uzbekistan (hereinafter referred to as the authorized body) according to the clause 14. The authorized body carries out state regulation in the field of public procurement in the government funded projects. NAPM is no longer responsible for public procurement under IFI funded projects

NAPM is no longer responsible for IFI funded projects

Lack of procedures, SBD’s andprocurement guidance documents

State customers do not fully understand the PPL and the Public Procurement framework due to lack of guidance.

High

ADB, in coordination with other MDBs, should work with NAPM to develop and introduce SBD’sand Procurement Guidance Documents

In process To be monitored

Risk Risk Description Risk Assessment Mitigation Measures Adopted Measures Remarks

Single Sourced Procurements

Procurements from a single supplier is permitted if there are Presidential or COM’s Decrees,Resolutions or Orders issued, or the state customers in collaboration with the COM’s canestablish a case for a single sourced selection with little justification.

High

ADB to work with the Government of Uzbekistan to ensure that single sourced contracts are only used in exceptional circumstances justifying non-competitive approaches

The practice of single source contracts existed previously, but not now.

To be monitored

Public Lack of strategic procurement planning

Public Procurement planning is done by the state customer but the is no formal policy of guidance on what needs to be completed and there is a lack of market research and engagement

Moderate

Introduce guidance on Procurement Planning to improve its strategic and risk management aspects on the market and operational context

In process To be monitored

Effectiveness of the complaints mechanism

Complaints can only be presented to the Public Procurement Grievance Redress Commission or to court.

High

Ensure that any Public Procurements financed by ADB use ADB’scomplaints management policies and procedures

In process To be monitored

Work with the government to ensure that the commission is established in a way to reduce any potential conflicts.

In process To be monitored

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

Risk Risk Description Risk Assessment Mitigation Measures Adopted Measures Remarks

e-Procurement There currently is no functioning e-Procurement system that covers the whole of Public Procurement. The Operator manages the Portal which currently only includes e-Reverse Auction and the e- Store.

Low

Assist Uzbekistan to work with the Operator to introduce other modules covering different procurement methods

PPL has not envisaged e-procurement. However, E-shop concept has been introduced for public procurement for an amount not exceeding 250 times the minimum wages9 under one contract, but not more than 2500 times minimum wages per year.

In process to be monitored

9 1 minimum wage = 223,000 Som (about US$22)

33

APPENDIX 4: SUMMARY OF NATIONAL REGULATORY DOCUMENTS RELATED TO PUBLIC PROCUREMENT

Name of Law, No. and date

adopted Main provisions Remarks

Presidential Resolution (PR) No.3237 dated 23.08.2017 “Aboutmeasures on further application of modern forms and methods of execution of state and corporate procurement of goods (works and services)”

Aiming at radical improvement of state and corporate procurement system, warning the facts of trespassing in this sphere as well as implementation of tasks defined in the Uzbekistan’s Development Strategy for 2017-2021:

1. Take into account that the Resolution of thePresident No. 5120 dated 24.07.2017 “About measures on application of project management system in the Republic of Uzbekistan” envisages creation of a UnifiedNational Reference-Book of Resources and Unified Information Portal of State Procurement within implementation of a Unified National Information System of Project Management of Uzbekistan. 2. Agree with the propositions which envisage:

- abolishment of sector-based IATCs;- abolishment of special sector-based expert

councils,- cancellation of a requirement on conducting state

and corporate procurement of goods (works,services) equaling to an amount from 300 USD to100,000 USD per contract via e- trade organizedby Uzbek Republican Commodity Exchange.

3. Set an order in accordance with which until 1 January2018 state and corporate procurement of goods(works, services) is executed in amounts of:- less than 1,000 USD per contract via direct

contracting …;- from 1,000 USD to 100,000 USD per contract via

selection of the best offer, evaluated by theagency’s tender commission;

- more than 100,000 USD per contract viaconducting tenders which is organized by IATC,created by the employer with compulsoryinvolvement of representatives of State InvestmentCommittee, Republican Design Institute“UzEngineering” under the Cabinet of Ministers, aswell as sector-based scientific- technical councils ofthe employer.

4. Determine a National Agency for Project Management(NAPM) under the President as an authorized agencyfor organization and conducting state and corporateprocurement within implementation of investmentprojects of Uzbekistan.

5. NAPM together with other relevant ministries shall:- Within one month submit a draft law of Uzbekistan

“On State Procurement”, envisaging in it: …

34

Preparation of Surkhandarya Regional Road project: Project Procurement Risk Assessment

Resolution of the Cabinet of Ministers (RCM) No. 992 dated 18.12.2017 “Onmaking revisions and additions into, and terminating some decisions of the Government of Uzbekistan”

In accordance with the Resolution of the President of Uzbekistan No. PP-3237 dated 23.08.2017, the Cabinet of Ministers decide: 1. Make revisions and additions in to some decisions of

the Government of Uzbekistan according toattachment 1 (this impacts RCM No.456 and RCM No.302, etc.);

2. Declare as terminated some decisions of theGovernment of Uzbekistan according to attachment 2(including DRM No.264, etc.);

3. Ministries and agencies are ordered to bring intoaccordance their own legal-regulatory documents withthis decision.

Presidential Resolution No.3550 dated 20.02.2018 “About measures on improvement of an order of conducting expertise of pre- project, project, bidding documents and contracts”

This Resolution approves: - (new / revised) Regulations on orders / procedures

for development, examination and approval ofvarious documents related to implementation ofinvestment projects including bidding documents,ToRs and import contracts.

- Assigns the State Unitary Enterprise “Centre forcomplex expertise of projects and import contractsunder the National Agency for ProjectManagement” as authorized agency forexamination and approval of mentioneddocuments.

- There are some other paras including on declaringas terminated some decisions of theGovernment of Uzbekistan such as DCM No.110dated 7.06.2007.

Presidential Resolution No. PP-3857 dated 20.07.2018 “About procedure for the preparation and implementation of projects with the participation of international financial institutions and foreign government financial organizations).

This Resolution approves:

1. To approve the Regulation on the procedure forpreparing and implementing projects with theparticipation of international financial institutions andforeign government financial organizations inaccordance with the annex.

2. To establish that:

The heads of ministries and departments that have signed financial agreements, loan agreements, project agreements, subsidiary agreements, delegation of rights and claims, letters of agreement and other agreements (hereinafter referred to as project agreements) are authorized to sign on behalf of the Republic of Uzbekistan or the Government of the Republic of Uzbekistan changes, additions and amendments to project agreements in the manner established by this resolution;

3. Determine that:

the issuance of entry visas to foreign specialists participating in the implementation of projects with the participation of IFIs / IFRS is carried out by the Ministry of Foreign Affairs of the Republic of Uzbekistan at the request of project initiators or implementing agencies

35

without charging consular and other fees;

the issuance and extension of multiple visas and temporary residence permits at the place of residence of foreign specialists participating in the implementation of projects with the participation of IFIs / IFRSs is carried out by the Ministry of Internal Affairs of the Republic of Uzbekistan at the request of project initiators or implementing agencies without charging a state fee.

4. The working commission to coordinate thedevelopment of the draft Tax Code of the Republic ofUzbekistan in the new edition and the abolition ofineffective tax and customs benefits and preferences (B.Mavlonov) to provide:

a) exemption for the period of implementation of projectswith the participation of IFIs / IFRS and the warrantyperiod:

goods (works, services) and vehicles purchased at the expense of IFIs / IFRS - from payment of customs duties (excluding customs duties), value added tax, as well as fees to state trust funds;

legal entities - non-residents of the Republic of Uzbekistan - from the payment of corporate income tax;

Public Procurement Law of Uzbekistan No 472 dated 9.04.2018

The aim of the law is to streamline and further improve the norms of existing legal acts on public procurement. The provisions of the law fixed norms on state regulation of public procurement, identified subjects of public procurement, and set general requirements for the process of public procurement. An essential innovation is the introduction of the procedure for making purchases through the electronic store, its work and use, as well as procurement via auctions, bidding and tender and activities of procurement commission. In accordance with the norms of this law, the order of conducting monitoring, public and state control of procurement procedures, it also briefly envisaging mechanism of complaints, resolving disputes and disagreements are set.

36

APPENDIX 5: PROJECT PROCUREMENT RISK ASSESSMENT

SL No. RISK IMPACT LIKELIHOOD OVERALL10 Strategy11

A6, A7, A9, A16, A17, A23, C1, C2, C14, C22, C23

Procurement Department and/or PMU have insufficient qualified staff to efficiently undertake the procurements required to implement the project.

High Unlikely Substantial Mitigate

and monitor

A19–A20

The Agency uses practices inconsistent with national procurement law or bidding documents unsuitable for ADB-funded procurement.

High Unlikely Low Mitigate

and Monitor

B2–B3 Record-keeping is inadequate to enable internal or external audit of procurement processes.

High Unlikely Low Monitor

A25, C4– 12,C24–C44, C47, D5, E7

Agency does not promote non- discriminatory participation, transparent tender processes (including advertisement, tender documentation, tender evaluation, complaints mechanism)?

High Unlikely Substantial Mitigate

and monitor

C15, E1–E.6

The Agency has inadequate ethics and anticorruption measures in place.

High Unlikely Low Mitigate

and Monitor

There are risks related to price escalation. The country has had 15% inflation in 2019. This factor might be a challenge for the contractors and that calls for price adjustment mechanism in place.

High High High Mitigate

and Monitor

There are risks related to delays due to incompetence of contractors/consultants

High Moderate High Mitigate

and Monitor

The market believes the procurement process seeks to achieve the lowest delivery price but not the cost efficient operation and maintenance and longest life cycle of modernized infrastructure.

High Low Substantial Mitigate

and Monitor

10 Procurement risks on the basis of degree of impact and likelihood of occurrence: High: likely to occur, high impact if occurs; Substantial: unlikely to occur, high impact if occurs; Moderate: likely to occur, low impact if occurs; and Low: unlikely to occur, low impact if occurs

11 ‘Mitigate’; ‘Monitor’; or ‘Avoid’

APPENDIX 6: PROJECT PROCUREMENT RISK ASSESSMENT AND MANAGEMENT PLAN (P- RAMP)

RISK RISK DESCRIPTION RISK ASSESSMENT

RISK MANAGEMENT PLAN12

Procurement Department and/or PMU have insufficient qualified staff to efficiently undertake the procurements required to implement the project.

AA does not have a procurement Department and procurements are handled by PMUs. AA and its existing five PMUs are fully staffed. They are implementing one ADB project and five other projects financed by IDB, WB, SDF and WB. AA has confirmed that a new PMU would be established for the proposed SRRP when the retroactive financing is opened. Until then, the PMU dedicated for another ADB funded Kaskadarya Regional Road Project has been temporarily assigned to manage the SRRP. A Procurement Specialist is assigned for each PMU. The staff attend training programs in the field of procurement, financial management and project administration, those organized both locally and by the local representative offices of IFIs and international organizations. However, new staff of AA might need capacity development trainings.

Substantial

Mitigation and monitoring: Provision of additional training(s) on ADB

procedures before procurement isundertaken;

URM procurement and project managementspecialists may be able to provideprocurement trainings based on the needs;and

Additionally PMU may hire an IndividualConsultant Procurement Specialist or a firmto support the procurement activities.

12 Propose risk mitigation/management plan to address identified risks: High: risk mitigation recommended; Substantial: risk mitigation/monitoring recommended Moderate: risk monitoring recommended; and Low: risk documentation/identification

The Agency uses practices inconsistent with national procurement law or bidding documents unsuitable for ADB-funded procurement

For the national republican funded projects the Agency follows the PPL and other relevant documents including President’s Resolutions. But For the IFI funded projects, procurement activities are carried out according to the relevant IFI’s procedures and guidelines. ADB Standard Procurement Documents/Forms (amended from time to time) will be used for the proposed project. In case of inconsistencies with ADB requirements in national procurement regulations, ADB regulations and procedures will prevail. It is important for EA, IA and PMU to have adequate knowledge on the ADB procurement procedures, regulations and guidelines

Substantial

Mitigation and monitoring: Provision of additional training(s) on ADB

procurement policy, core principles andprocedures is undertaken beforeprocurement; and

CR and AA to seek TC / EC members withknowledge / experiences on ADB procurement procedures and English language proficiency.

EA is unfamiliar with ADB procurement guidelines and procedures for consulting services

Apparently recruiting consulting services for a government funded project is not a usual practice. But for IFI funded projects Consulting services are hired. It is important for EA, IA and PMU to have adequate knowledge on the ADB procedures, regulations and guidelines for hiring consulting services

Substantial

Mitigation and monitoring: Provision of additional training(s) on ADB

procurement policy, core principles andprocedures for hiring consulting services isundertaken; and

CR and AA to seek TC / EC members withknowledge / experiences on ADB procurement procedures and English language proficiency.

Record-keeping is inadequate to enable internal or external audit of procurement processes.

There is a special secure filing room within the PMU where confidential procurement documents are kept in a dedicated safe. Only the Project Manager and Procurement Specialists have access to this room. Paper documents are scanned. Records in electronic format are backed-up in a server to which only IT administrator has access. AA will need to allocate additional resources to record keeping for the proposed SRRP.

Substantial

Monitoring: Ensure that a secured dedicated room

with enough empty space is ready beforeprocurement is started.

Agency does not promote non- discriminatory participation, transparent tender processes (including advertisement, tender documentation, tender evaluation, complaints mechanism)?

For the procurement of goods, works, and consulting services for ADB funded projects, AA/PMUs use ADB’s Standard ProcurementGuidelines and Guidelines on the Use of Consultants. Calls for tender are openly advertised in widespread national newspapers and in the ADB or other donor websites. Independent Tender Commission together with the Evaluation Commission and the Agency Working Group are involved in bid evaluation. There is no formal non-judicial mechanism dealing with complaints and procedure on complaints mechanism is not adequately provisioned in the PPL. For IFI funded projects complaints mechanism procedures follow that of the IFI.

Substantial

Mitigation and monitoring: Provision of capacity building on

promotion of non-discriminatoryparticipation, transparent tenderprocesses (including advertisement,tender documentation, tenderevaluation, complaints mechanism);and

Encourage to update PPL to enhancethe complaints mechanism;

Capacity building and trainingactivities should include thecomplaints and grievance redressmechanism.

Price escalation There are risks related to price escalation. The country has had 15% inflation in 2019. This factor might be a challenge for the contractors and that calls for price adjustment mechanism in place.

High

Mitigation and monitoring: Price adjustment mechanism has to

be in place

Lowest delivery price The market believes the procurement process seeks to achieve the lowest delivery price but not the cost efficient operation and maintenance and longest life cycle of modernized infrastructure.

High

Mitigation and monitoring: Adopt 2 envelope system where

technical and financial proposals areseparate. Financial proposal will beopened of only those bidders whopasses the technical evaluation

Technical requirements to be welldefined and evaluation to be robustand transparent

Scoring system to be well definedand maintained transparent

Delays due to incompetence of contractors/consultants

As experienced in the previous projects the local contractors have been found not not efficient enough. They have lack of experiences and knowledge in ADB and FIDIC procedures. There are risks related to delays due to incompetence of contractors/consultants. High

Mitigation and monitoring: Technical requirements to be well

defined and evaluation to be robustand transparent during theprocurement process. Scoringsystem to be well defined andmaintained transparent. Incompetentbidders shall be identified during bid

evaluation and avoided

The Agency has inadequate ethics and anticorruption measures in place.

PPL has detailed out the standard statement of ethics and anticorruption measures for public procurements. Additionally for ADB funded project all procurement process must meet the ADB requirements regarding the standard statement of ethics and potential conflict of interest. Such measures must satisfy ADB anticorruption and fraudulent policy. At each stage of the procurement process the non-objection from ADB is required. If ADB rejects the decision of Tender Commission then its decision will be revised in response to ADB’s comments. All procurement transactions are, at final stage, approved by the Tender Commission. Duties concerning procurement transactions, contracts, payments, storage of procurement transactions and events are segregated. Entire procurement decisions can be traced through its documentation.

Substantial

Monitoring: Provision of capacity building on ethics

and anticorruption measures. AA to oblige relevant staff to adequate

behavior / ethics and against thecorruption actions in the employmentcontracts.

e-Procurement Full-fledged e-procurement system is not introduced yet in the country, particularly for the large goods, works and services. E-shop concept has been introduced for public procurement for an amount not exceeding 250 times the minimum wages13 under one contract, but not more than 2500 times minimum wages per year.

Substantial

Avoid for the proposed project, then Mitigation and monitoring: To work on development of E-

procurement system in the country andprovide sufficient training opportunitiesfor EA/IA personnel, national contractorsand consultants

Coronavirus pandemic or similar The prevailing risk associated with COVID-19 must not be ignored. Obviously when whole World is being affected, implementation of SRRP cannot be an exception. As the country is under a lockdown situation and all non-essential movements are restricted, it is adversely affecting the field investigations, surveys and the detailed design. This might affect the entire

High

Monitoring and implementing: Follow the protective measures and rules

imposed by GOU. ADB, as well as other IFIs and FIDIC

have published numbers of materials andguidance notes on how to respond to thesituation.

Procurement document and contract

13 1 minimum wage = 223,000 Som (about US$22)

schedule of the project preparation. management plan shall include mitigation measures for safety

Preparation of Surkhandarya Regional Road project: Strategic Project Planning (SPP)

1

Technical Assistance Consultant’s Assessment Report

Project Number: 53312-002 Transaction Technical Assistance (TRTA: ADB TA No. 9847-UZB) December 2020

Republic of Uzbekistan: Preparing of Surkhandarya Regional Road Project

Strategic Procurement Plan Document (Draft)

Prepared by Development Business UK (DBUK)

This consultant’s report does not necessarily reflect the views of ADB or the Governments concerned, and the ADB and Governments cannot be held liable for its contents.

Asian Development Bank

Annex 10.2

Preparation of Surkhandarya Regional Road project: Strategic Project Planning (SPP)

2

STRATEGIC PROCUREMENT PLAN

Executive Summary

1. This Strategic Procurement Plan (SPP) for Surkhahndarya Regional Road Project (SRRP) isprepared in line with the ADB Strategic Procurement Planning Guidance Note on Procurement, June2018.

2. The Project cost is estimated at $221.4 million of which ADB financing will constitute$188 million.

3. The Project envisages to reconstruct the project road from Derbent to Denau in SurkhandaryaRegion. The main Civil Works are packaged as follows:

(i) Lot 1: Road 4R105 (Km 5 - 37.5) including Design Supply and Installation of Weigh-in-Motion system

(ii) Lot 2: Road 4R105 (Km 37.5 – 70)(iii) Lot 3: Road 4R100 (Km 128 – 174) including Design Supply and Installation of Weigh-in-

Motion system

4. This report is primarily prepared in the template format prescribed by the guidelines, andadditional information are provided in the Appendices as follows:

(i) Appendix 1: Source of Construction Materials (ii) Appendix 2: Market Assessment on Civil Works Contractors (iii) Appendix 3: Project Procurement Risk Assessment

5. The roads are designed to Category II, two lanes with concrete pavement on the carriagewayand comprises 3 bridges in Lot 1; 7 bridges in Lot 2; and 17 bridges in Lot 3.

6. The project has also envisaged installation of weigh-in-motion system (WIM) for overloadingvehicle control at both ends of the project road, i.e., in Lot 1 and Lot 3. The middle section Lot-2 wouldnot have any such facility. The WIM system in each of Lot-1 and Lot-3 will include a High Speed WIM(HSWIM) and Slow Speed WIM (SSWIM) facilities.

7. As the system goes, the overloaded vehicles detected by the HSWIM will be directed to driveinto the SSWIM facilities, where more precision weighing will be carried out and penalty tickets will beissued to the overloaded vehicles. It is anticipated that the HSWIM shall provide 95% precision andthe SSWIM shall provide over 98% precision weight information.

8. The procurement of the WIM system has been analyzed in depth and it is recommended thatthe WIM system will be included in the Civil Works contract package of the respective lot, i.e., Lot 1and Lot 3. The Civil Works Contractors will select specialized subcontractors for design, supply andinstallation of WIM system and obtain approval from the EA/IA. The Construction supervisionconsultant will provide services for design review in line with the selected system, and supervision ofWIM works. For this purpose, the Bidding Documents will contain BOQ, specifications and drawingsfor both - main Civil Works of road reconstruction; and another for WIM Works in Lot-1 and Lot-3.

9. Construction wise the HSWIM installation will commence once the road surface is ready andthe SSWIM installation commences once the SSWIM station and facilities are ready. It is anticipatedthat the installation of WIM may commence around Q4 2022.

10. Although the road reconstruction works do not contain any complex nature of works, bymagnitude of the contract, capacity of the local contractors in following ADB and FIDIC contractprocedures, and requirements of the pavement quality concrete road, it has been recommended toprocure the civil works in International market following open competitive bidding method, where localcontractors also can participate. It is also recommended to adopt the single-stage two-envelopebidding procedures for the civil works.

Preparation of Surkhandarya Regional Road project: Strategic Project Planning (SPP)

3

11. It is recommended to recruit one civil engineering consulting (Firm or joint venture) for the construction supervision of the civil works in all three lots. As stated above, the supervision consultant will also provide the service of procurement, design review and supervision of WIM works. 12. It has been observed that the EA will require a support on procurement activities to bring the procurement process to successfully complete in line with ADB procedures, ADB may consider providing such a support to the EA.

Value for Money

13. The procurement strategy selected can be summarized as follows: The reconstruction of 111 km roads, having WIM system installed at both ends will be implemented in 2 years of time by having three civil works contracts where the contractors are selected through open competitive bidding from international market and the works will be supervised by one Consultant (firm) selected from an international market. As the WIM works are closely related to progress of civil works, the works are included in the relevant civil works contract package, where the Contractor will select specialized subcontractor. For this purpose the bidding documents include design, specification and BOQ of the WIM works along with those for the road reconstruction works. 14. Open competitive bidding method having advertised in international market is adopted and qualified local/domestic contractors can also compete in the bid. The Project will be able to select the best evaluated Contractor through the competition. The time plays and important role while considering the value for money (VFM). From the experiences of this magnitude and type of the project in Uzbekistan and elsewhere, single-stage-two-envelope bidding procedure has been preferred, where the project would not need to spend more time in pre-qualifying contractors. The time frame of two years for the implementation as proposed by the CR is right for the reconstruction of road lengths 32.5 - 46 km. 15. The idea of merging WIM works with the relevant civil works contract simplifies the implementation significantly that the overall control of works will remain with the main civil work Contractor for road works, and the contractor can schedule the both road and WIM works appropriately without having any friction, which might be an issue in-case of two separate contractors working in the same road length. 16. All the works will be supervised by the same one Consultant (firm) selected from an international market through single-stage-two-envelope procedure having QCBS ratio of 80:20. So the it is anticipated that the project will be implemented efficiently, maintaining desired quality and completed in time.

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Strategic Procurement Planning in Template Format

Section 1: Project Concept

Project Title Surkhandarya Regional Road Project

Country Uzbekistan

Executing agency Committee for Roads (CR) Mustakillik Ave, 68, 10000 Tashkent City

Implementing agency

Avtoyulinvest Agency (AA)

Project development objectives

(i) accelerating economic growth through continuing interventions in thetransport sector focusing on cross border roads that facilitatedevelopment of CAREC transport corridors;

(ii) improvement of the growth inclusiveness and sustainability by enhancingemployability of the population through skills development andstrengthening climate change resilience; and

(iii) leveraging regional cooperation by developing regional transportationlinks and accompanying logistics

Project description

The proposed Surkhandarya Regional Road Project will rehabilitate the 111-kilometer Denau to Derbent Road (4R100 and 4R105), linking the Central Asia Regional Economic Cooperation (CAREC) Corridors 3b and 6b (Dushanbe to Gwadar/Karachi Sea Ports).

By strengthening this link, the project road will support the broader CAREC corridor network. The project will also support the institutional development of the Government's Committee for Roads (CR).

Three major CAREC corridors, 2, 3b and 6b, provide connectivity with other Central Asian countries.

The proposed project has two road sections (4R100 ad 4R105) on which the existing two lane road is to be rehabilitated (Category –II). However, due to thenumbers of towns and climbing lanes on the alignment, the design consists in 6 lanes for 2%, 4 lanes for 36%, 3 lanes for 18% and 2 lanes for 43% of the 111km total road length. The project road will have Cement concrete pavement. In general, the civil works are not complex in nature.

Description of indicative contract packages

Three Civil works contracts for roads and bridges, and Design, supply and installation of Weiging-in-motion (WIM) system will be included in two contracts Lot 1 and Lot 3;

Civil works contract for community development

Supply Contracts for Goods;

Services Contracts for Construction Supervision; and

Services Contract for Individual Consultants

Summary of the financing agreement

ADB: $188 million (Regular OCR loan) Government: $33.4 million

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Section 2: Operating Environment

A. Capacity and Capability Assessment of the Borrower1’s Agency

Strengths Weaknesses

1. The Public procurement Lawand other procurement related Resolutions and Decrees provide a strong base for the procurement activities for government fundedprojects.

2. The Legislation as detailed inPR-3857 allows procurements under the foreign aided projects to follow standard regulations and procedures of the concerned IFI.

3. CR and AA have experienceson the procurement of Goods, Worksand Services for ADB and other IFI funded projects. This situation

enhances the procurement capacity and reduce the risk.

4. Tender Commission decisionsare independent from externalapproval and its decisions are final.

5. AA has got adequate qualifiedhuman resources and facilities forimplementation of projects.

6. The Implementing agency hasaccess to competent contractors andconsultants who have been working inongoing projects and had submittedtheir bids in the past.

7.

1. 1. AA does not have a procurement Department andprocurements are handled by PMUs. For the proposedproject GOU will create a new PMU.

1. 2.The AA does not have its own training program, whichwould have been useful especially for new recruits on theprocurement.

1. 3. The AA does not have procurement process manual forgoods, works and services. For IFI funded projects it followsthe regulations and procedures of the IFI. However, itshould be stressed that the existing Procurement Specialistsneed more specific training in relation to the recent updatesand changes on ADB’s 2017 procurement framework.

4. 4, For the nationally funded projects, the Agency follows the PPL and other relevant documents.

5. Apparently recruiting consulting services for agovernment funded project is not a usual practice. But forIFI funded projects consulting services are hired. It isimportant for EA, IA and PMU to have adequate knowledgeon the ADB procedures, regulations and guidelines forhiring consulting services.

6. There is a special secure filing room within the PMUwhere confidential procurement documents are kept in adedicated safe. Only the Project Manager and ProcurementSpecialists have access to this room. Paper documents arescanned. Records in electronic format are backed-up in aserver to which only IT administrator has access. AA willneed to allocate additional resources to record keeping forthe proposed SRRP.

7. There is no formal non-judicial mechanism fordealing with complaints regarding the procurement.Complaints resolution mechanism is limitedly described innational procurement documents.

8. PPL has detailed out the standard statement ofethics and anticorruption measures for public procurements.Additionally for ADB funded project all procurement processmust meet the ADB requirements regarding the standardstatement of ethics and potential conflict of interest. Suchmeasures must satisfy ADB anticorruption and fraudulentpolicy.

9. Full-fledged e-procurement system is not introducedyet in the country. However, E-shop concept has been

1 For the Borrower’s capacity and capability the Strengths and Weaknesses are extracted from the CSPRA report, October 2018.

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introduced for public procurement for an amount not exceeding 250 times the minimum wages2 under one contract, but not more than 2500 times minimum wages per year.

Opportunities Threats 1. The project will provide opportunity

for capacity building of Implementing and Executing Agencies.

2. Domestic consultants andcontractors get exposure to theinternational market

3. Integrity and anticorruption seminarworkshop ensure transparency andcompetitiveness.

1. Procurement delays during Government review process

2. The legislative and regulatory frameworks for procurementare not always followed in practice

3. Global pandemic of Covid-19 is expected to adverselyaffect potential contractors’ market due to global economicdecline and other restrictive measures.

B. Support Requirements

Procurement capability and capacity

At present, there are six IFI financed projects in road sector being implemented by 5 PMUs under AA, with total value of $845 million Procurement under foreign aid projects is conducted by procurement specialist of each concerned PMU, who reports to the relevant Project Manager, who in turn reports to the Director of the AA. The procurement capacity of AA and PMU is supported by international consulting firms. The PMU for the proposed project has a procurement specialist. However, experience of the procurement specialist is low. The PMU capacity should be enhanced by international consultants. To this effect, ADB will need to conduct project implementation and procurement workshop for AA and PMU staff, especially with regard to ADB 2017 procurement framework.

Experience in implementing similar projects

AA has relevant experience in implementing similar projects. Currently there are six on-going projects. Those are:

a. Reconstruction of 77 km of the highway in the direction of Karshi-Shahrisabz-Kitab”arshi-Shahrisa (ADB funded)

b. Reconstruction of 87 km of the A-380 “Guzar-Bukhara-Nukus-Beineu”the A-380 (ADB funded)

c. Reconstruction of the A-373 he A-380 (ADB funded)d. Development of regional highways of local importance (WB funded)e. Reconstruction of the M39 “Tashkent-Termez”ermeztruction of the

M39 “Tashkent-local importance (IDB funded)f. Reconstruction of the 35 km of the highway “4Р87 Guzar-Chim-

Kukdala” on the site 38-73 km (SDF, Kuwait and Arab Fund)

As far as the procurement process is concerned, with respect to the above stated 77 km and 87 km projects, ADB procurement methods were not fully understood by the PMU and the overall procurement process was particularly long (14 months from IFB advertisement to contract award for both projects).

2 1 minimum wage = 223,000 Som (about US$22)

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Contract management capability and experience

Agency and PMU have experience in contract management based on the international well-known practice and standards such as FIDIC. All contracts have been managed by project management and supervision consultants. So, PMU will continue to need capacity building and support from international consultants and donors.

Level of reliance on external consultants

Level of reliance on external consultants is high. AA needs Project Management and Supervision Consultants for support in project management and implementation.

Existence and description of complaints management system

Agency’s own complaints management system is not developed yet. Instead,IFI complaints management manuals/guidelines are followed.

C. Key Procurement Conclusions

The proposed mitigation actions to address the above stated weaknesses are: (i) To enhance AA and PMU capacity with relevant series of trainings. The PMU capacity

should also be enhanced by international consulting company. ADB may conduct projectimplementation and procurement workshop for AA and PMU staff.

(ii) ADB’s integrity and anticorruption requirements should be provided in Project AdministrationManual (PAM). ADB may conduct integrity and anticorruption seminar workshop for EA. Allmajor procurement should follow prior review procedure.

(iii) ADB and the government will jointly undertake reviews of the project at least once a year.The reviews will assess progress in the project activities, including implementation of themitigation measures, procurement transactions, performance of contractors, consultants, andsuppliers, monitoring and reporting of project assets, identify issues and constraints, anddetermine necessary remedial actions and adjustments.

D. External Influences Analysis

Governance Republic of Uzbekistan is an independent democratic republic. No particular limitations in terms of legislation are envisaged. No emergency or disaster situations are prevalent. No major procurement risks related to governance have been identified.

On 9 April 2018, the Government of Uzbekistan adopted a single Law on “public procurement" according to which, the core principles ofpublic procurement are defined as openness, transparency, competitiveness, value for money, objectivity, proportionality, integrity of public procurement system, zero-tolerance of corruption. The law defines following five types of procurement procedures: (i) e-shopping, (ii) auction, (iii) competitive bidding, (iv) tendering, and (v) single supplier selection, two of which, (i, ii) exclude the human factor when making decisions on public procurement. In other procurement procedures, transparency is ensured by publishing the necessary information on a special information portal.

For the first time, a type of procurement procedure, such as procurement from a single supplier, has been introduced in line with international standards.

On 16 of July 2018 a resolution of President of Uzbekistan Republic has been issued for the measures towards increase of effectiveness

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of preparation and implementation of projects with participation of international financial institutions and foreign governmental financial organisations. This resolution governs the preparation and implementation of projects carried out through loans (credits) from international financial institutions and foreign government financial organizations.

Economic Uzbekistan is a landlocked country with abundant resources including gold, copper, natural gas, oil, and uranium. Strategically located at the heart of the Central Asia region and with 32.5 million inhabitants, it accounts for about 45% of the region’s total population

Uzbekistan’s development strategy aims to strengthen infrastructure to create more favourable conditions for accelerating economic growth and to improve the living conditions of its population. As a result of an array of institutional reforms in governance and the government’s commitment to macroeconomic and financial resilience, and to business climate improvements, robust growth estimated at about 5% per annum is expected to continue in Uzbekistan

By the end of 2019, the growth of gross domestic product (GDP) amounted to 5.5% against the forecast of 5.4%. In 2019, inflation amounted to 15.2% (forecast - 15.5%).

In 2017 Uzbekistan has started a new course of reforming and developing the country's economy, aimed at economic liberalization through market mechanisms, and development of the banking system and setting priorities in the field of monetary policy for the medium term.

One of the key decisions in this direction was the phased liberalization of the domestic foreign exchange market with the introduction of market principles for the formation of the national currency exchange rate. The fundamentally new exchange rate regime, in turn, created the necessary basis for further improving monetary policy by concentrating the attention and efforts of the Central Bank solely on ensuring price level stability in the domestic market

Sustainability The Republic of Uzbekistan is a signatory of the UN Framework Convention on Climate Change and made significant efforts in the studies of the Climate Changes tends in the country and integration of climate change issues into National Strategies and Plans. The country prepared and disclosed three National Communications under the UN Framework Convention on the Climate Change.

Preliminarily identified anticipated climate change variables relating to the project are the temperature and precipitation. Generally, the climate change will result in the increased sensitivity of the Project outcomes to the higher mean annual temperature, contrast between the summer and winter temperatures and more severe precipitation events resulted in incremental floods, mudflows and other disasters threatening the Project Infrastructure. Therefore, the additional measures including the improvement of capacity of the drainage structures should be considered and incorporated to the design.

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The road mainly follows existing alignment and no encroachment to any sensitive ecology is anticipated. There might be certain effect on the environment as a result of development works, but such effects should not have significant major long term impact. After the development, intense traffic particularly at intersections carries certain accident risks which might lead to spill of toxic materials and loss of life. The risks may be efficiently addressed by the development and implementation of the Traffic Management Plan which should be approved by local Transport authorities and implemented by the Construction Contractor.

Technology The completed design does not satisfy the 20 years life of the road, particularly in terms of the traffic capacity, however GOU has decided to proceed building 2 lane roads (Category –II) instead of 4 lane(Category - I), apparently due to funding shortage. The road 4R100 will be saturated in year 2026 and 4R105 in 2031, which would mean the infrastructure may have to be upgraded once, reaches the saturation. Otherwise, technically the road should be designed and built to 4 lanes (Category - I).

The proposed project envisages introduction weighing-in-motion (WIM) system for overloading vehicle control. The overloaded vehicles detected by the HSWIM will be directed to drive into the SSWIM facilities, where more precision weighing will be carried out and penalty tickets will be issued to the overloaded vehicles. It is anticipated that the HSWIM shall provide 95% precision and the SSWIM shall provide over 98% precision weight information.

(i) WIM system is relatively new in the project area and its success will have long term effect on the transport system of Uzbekistan. It can be noted though that ITS and WIM systems are being introduced on a pilot basis as part of the A380 Karakalpakstan Road Project (240 km) (ADB funded, project No 48414-006).

E-shopping, though to a limited amount, has been introduced in thePPL, and the country is gradually moving towards the introduction ofe-platforms for various procurement and services.

IT sector is taking its pace towards adapting and matching with the changing world.

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E. Key Procurement Conclusions

The country has had 15% inflation in 2019. This factor might be a challenge for the contractors. However, The EA chooses not to allow any price escalation provisions in the Contract, though the contract period is agreed to 24 months. Subsequently the Bidders may quote the prices foreseeing the implications of the future possible price escalation.

The country is not yet ready for E-procurement for the works of the proposed project. However, it is anticipated that the use of platform such as Tenderlink, for the procurement activities may be well considered.(See below comment).

The effect of the global pandemic of Covid-19 will certainly affect the project in the short-medium term, at least for the procurement phase (scheduled in the year 2021). The use of electronic platform such as Tenderlink for bid issuance and submission should thus be considered. Beyond the procurement phase and for the implementation phase proper, if the global pandemic has not abated, specific health and safety measures should be envisaged on the work sites. . Apart from these aspects, it can be considered that the national policy, economic trends, and environment are generally favourable for implementation of the proposed project.

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F. Stakeholder Analysis and Communication Plan

High

Po

we

r a

nd

In

flu

en

ce O

ve

r th

e P

roje

ct →

Keep Satisfied Key Stakeholders Civil Society and

non-governmental

organizations

Government

CR under MT

PMU and AA

Asian Development Bank

Local government entities

Civil Works Contractors,

goods Suppliers and

Project Management and

Supervision Consultants

Bidders

Minimal Effort Keep Informed General Public

Other development

partners

Local beneficiary

population

media organizations

Low Interest in the project → High

G. Stakeholder Communication PlanStakeholder name and role Committee for Roads (CR) under Ministry of Transport (MT) Interest in the project? Executing Agency Support and influence level Support level: Project champion

Influence Level: Decision maker Objections, drivers, needs, and levers

Follow procedures and project management plan agreed with the sponsor for successful implementation of the project. Needs: Implementation of the project within the original time schedule and budget.

Action Stakeholder is the owner of the project and reports to the borrower.

Responsible, accountable, consulted, or informed?

Responsible and accountable.

Communicate what, when, and how?

Being the project owner, the Stakeholder is responsible for communication management in front of the other stakeholders of the project

Stakeholder name and role Asian Development Bank Interest in the project? Sponsor, Financing agency Support and influence level Support level: Supporter

Influence level: Significant influencer Objections, drivers, needs, and levers

EA,IA must strictly follow procedures set out in Loan Agreement and elsewhere in the project documents in order to keep the Stakeholder satisfied.

Action Stakeholder is very supportive of the project and provides assistance necessary to make the project successful.

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Responsible, accountable, consulted, or informed?

Responsible for project conceptualization, accountable for procurement planning and consulted for implementation and contract management.

Communicate what, when, and how?

Reporting regularly through emails, letters, audio/video calls and review meetings

Stakeholder name and role Avtoyulinvest Agency (AA) Interest in the project? Implementing Agency Support and influence level Support level: Project champion

Influence level: Decision maker Objections, drivers, needs, and levers

Support the project and will strive to complete the project to meet the designed and desired outcomes

Action Fully involved in the design and implementation of the Project

Responsible, accountable, consulted, or informed?

Fully responsible and accountable.

Communicate what, when, and how?

PMU regularly reports on the progress and issues to AA. AA reviews and guides PMU on project level decisions. Communication maintained through formal meetings, video conference, emails, posts etc.

Stakeholder name and role Project Management Unit3

Interest in the project? Directly responsible for the project implementation and functions under the guidance provided by the Implementing Agency AA

Support and influence level Support level: Project champion Influence level: Decision maker

Objections, drivers, needs, and levers

Implement the project and will strive to complete the project to meet the designed and desired outcomes, keep reporting and seek guidance from AA

Action Fully involved in the design and implementation of the Project Responsible, accountable, consulted, or informed?

Fully responsible and accountable.

Communicate what, when, and how?

All decisions, and implementation status on regular basis through formal meetings, video conference, and emails

Stakeholder name and role Contractors / Bidders Interest in the project? Bidder Support and influence level Support level: Supporter and Influencer

Influence Level: decision maker in contract management and influencer

Objections, drivers, needs, and levers

Main driver: delivering the quality construction completed in time and within the budget, receiving income from the project. Secondary driver: seeks full support from the employer and key stakeholders and retaining positive reputation for continued business.

Action These stakeholders have high interest in the project since it can

3 A PMU for the proposed project is not established yet but is expected to be established before the implementation

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directly influence their income. Their motivation is to decrease their risks as much as possible, increase income and possibly get a chance of continued business with the IA. Main way to influence this group of stakeholders is to increase publicity of the project to increase competition and level of interest in the project, as well as provide fair distribution of risks and obligations between the parties through the Contract. Timely decisions and payment of Interim Payment Certificates for cash flow are important to support the constructive relationship between the parties

Responsible, accountable, consulted, or informed?

Responsible and accountable for the construction activities.

Communicate what, when, and how?

- Organize a project presentation seminar for local contractors inTashkent before issuing the invitation to tender to encourageparticipation- Recommended communication method is always written, by e-mails or letters to properly document the whole process for theavoidance of doubt and possible claims.- All face to face meeting must be recorded through signature ofminutes.- Status reports and project updates must be requested from thisstakeholder.

Stakeholder name and role Project Management and Supervision Consultants Interest in the project? Consultant (bidder) Support and influence level Support level: Supporter

Influence Level: Influencer Objections, drivers, needs, and levers

Main driver: Managing the contract for delivering quality construction in time and within budget, receiving income from the project. Secondary driver: Seeks full support from the key stakeholders, retaining positive reputation for continued business.

Action These stakeholders have high interest in the project since it can directly influence their income. Their motivation is to decrease their risks as much as possible, increase income and possibly get a chance of continued business with the IA. Main way to influence this group of stakeholders is to increase publicity of the project to increase competition and level of interest in the project, as well as provide fair distribution of risks and obligations between the parties through the Contract. Being essentially the contract manager, this stakeholder has a very important role in making the project successful, therefore good communication and constructive relationship is crucial. Timely decisions and payment of invoices are important to support the constructive relationship between the parties.

Responsible, accountable, consulted, or informed?

Accountable for the project implementation.

Communicate what, when, and how?

-Recommended communication method is always written, by e-mails or letters to properly document the whole process for theavoidance of doubt.

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-All face to face meeting must be recorded through signature ofminutes.-Status reports and project updates must be requested from thisstakeholder.

Stakeholder name and role Government Interest in the project? Borrower and Beneficiary Support and influence level Support level: Supporter

Influence Level: Influencer Objections, drivers, needs, and levers

Main objective: successful implementation of the project to support economic development of the country as well as getting positive publicity for increasing of the political support from the population and achievement of development goals.

Action This stakeholder is supportive of the project, and it has a very high interest of completing the project on time and within the original budget in order to gain positive publicity and political support from the population.

Responsible, accountable, consulted, or informed?

Consulted, Informed.

Communicate what, when, and how?

Provide status updates through periodic presentations to demonstrate that the project is on track and progressing as planned.

Stakeholder name and role General Public Interest in the project? General Support and influence level Support level: Neutral

Influence Level: Follower (low) Objections, drivers, needs, and levers

This stakeholder has general interest in the project since it is funded by public funds

Action Main needs of this stakeholder are receipt of occasional information status update on the progress and estimated completion dates regarding the project. In addition, general public might be interested in the status of procurement processes to see the how the public funds are expended.

Responsible, accountable, consulted, or informed?

Informed.

Communicate what, when, and how?

Optimal means of communication is through publishing of project progress information and estimated completion time periodically on web-page of the Agency and in any other publicly available sources, as applicable.

Stakeholder name and role Local Population Interest in the project? Beneficiary Support and influence level Support level: Supporter

Influence Level: Follower Objections, drivers, needs, and levers

Main objectives of the stakeholder are: a) To receive upgraded project road for decreased travel

time and cost, as well as increased ride comfort;

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b) Possibly have increased employment opportunitiesfrom the Contractor(s).

Action Stakeholder is supportive of the project, but apart from the above objectives, its needs are to keep the impact of construction works (noise, vibration, light, sound and environmental pollution) as low as possible. In addition, the Stakeholder will expect construction works to be finished as fast as possible in order to minimize impact on livelihoods.

Responsible, accountable, consulted, or informed?

Consulted, Informed.

Communicate what, when, and how?

It is important to keep the local population informed of the status of the project and estimated completion date through project billboards, as well as local communication officers in the team of Contractor and/or PISC; -This Stakeholder must be consulted prior to making anydecisions that will influence their livelihoods, otherwise there isrisk of losing support that might complicate construction processand lead to difficulties in implementation.

H. Key Procurement Conclusions

Project procurement requires maintaining transparency through regular interaction between ADB, MT, PMU, Project Consultants as well as prospective bidders. Wide publication of business opportunities, procurement plans and contract award details on appropriate websites, newspapers and bulletins to industry associations is essential.

Besides, with a view to enhancing participation at national level, it is recommended organizing a project presentation seminar for local contractors in Tashkent before issuing the invitation to tender. If public gathering would not be possible due to the situations like Covid-19 pandemic, virtual seminars can be organised too.

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Section 3: Market Analysis

A. Porter’s Five Forces

Competitive rivalry Civil works component Lessons drawn from recent transactions For the procurement of recent ADB funded projects Reconstruction of 77 km of the highway in the direction of “Karshi-Shahrisabz-Kitab” andReconstruction of 87 km of the A-380 “Guzar-Bukhara-Nukus-Beineu” highway on a section of 228-315 km project, a total of 30 bids were submitted from international contractors - but none from the national contractors.

Among the on-going projects, the contractors for two civil works having value of more than $76 million and $99 million are from Azerbaijan and China.

For the Saudi funded project Reconstruction of 35 km of the highway “4Р87 Guzar-Chim-Kukdala”uzar-Chim-Kukdala”, there are four nationalcontractors, two of them having contract of $25.2 million and $21.7 million.

In contrast to the above, for the on-going World Bank funded project Development of Regional Highways of National Importance, there are 20 Lots having package sizes from $1 million to $7.8 million. There are three national contractors and one from China. It is to be mentioned that one international contractors has suggested that they may not participate in bidding for the proposed project, for the reason that the GOU has made changes in the VAT and Tax relief given to the foreign contractors effective 01 January 20204.

Participation of local contractors The size of contract is a clear determinant for the participation of national contractors. From what was observed in the past transactions, it is considered that local contractors may participate in bidding if the scale of contracts are within their capacity, up to $30 million.Feed back on projects with local contractors has however shown that several issues may be faced: (i) lack of knowledge on the regulations and procedures of ADB or the

concerned IFI;(ii) lack of knowledge on the FIDIC form of contract;(iii) recurrent difficulties in meeting the desired construction specifications

and quality; and(iv) poor management system

As a consequence, the supervision consultants must often invest extra efforts and resources to train and guide the contractors so that they meet quality standard and follow contract procedures

Weigh-in-Motion (WIM) component The project includes the installation of weigh-in-motion (WIM) systems for overloading vehicle control at both ends of the project road, and effectively in two separate contract packages.. Associated services to train the

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employer’s personnel for operation and maintenance should also beprovided.

Considering the limited amount of this component (estimated to $3 million for the systems to be installed at both end of the project road) and to avoid interface issues with the civil works component, it was decided to include the WIM system as part of the civil works contracts (see below Section 5 –Options Analysis). This means that the WIM suppliers will be selected by the civil works contractors; approval thereof will have to be obtained through the supervision engineer as per procedures provided for in the works contracts.

Inclusion of the WIM systems in the civil works packages will inevitably add some degree of complexity to the civil works contracts, although it is expected that international contractors will have the required contract management expertise to handle this. This aspect should however be taken into consideration when defining the qualification criteria for the concerned lots/contracts.

There are two weigh stations installed on public roads. Those are in Tashkent – Osh A-373 road at km 193 and at km 273. The stations areequipped with ZONJLI, a SSWIM system made in China. The weighing is performed for each axle either at static or dynamic speed up to 20 km/hour. It has been found that the precision level of weighing is 4% per axle and 5% per gross weight5 against the government requirement of 2%6. Hence, the system was known to be under calibration for the best use of the system.

In the neighbouring country Kazakhstan, the WIM systems installed are7: (i) Betamont, HSWIM made in Slovenia(ii) Tenzo-M, SSWIM made in Russia(iii) Kapsch TrafficCom AG, Made in Austria(iv) UDNS Co. Ltd, HSWIM, made in South Korea

International Society for Weigh-in-Motion (ISWIM) has identified the following companies as WIM vendors in May 20198: Camea; Ird PAT Traffic; WheelRight; Captels; Kistler; KAPSCH; SIWIM; Sterela; Mikros Systems; Electronic Controle Measure; Cross; Haenni; Traffic Data systems; Q-Free; TE Connectivity; Intercomp; Axtec; Betamont; and Vanjee.

Apparently the market has a wide range of products. Therefore, proposed supplier/manufacturer must be carefully examined to ensure that the specifications of the proposed products do meet the requirement set for the current project (for instance, Applicable international standard, ASTM 1318) .

Supervision services Considering the inherent challenges of the project (including the monitoring

5 Due Diligence Report – Axle Load Control System in Uzbekistan, DBUK, 20196 Government Decree #342, December 2011 7 Due Diligence Report – Axle Load Control System in Uzbekistan, DBUK, 20198 ISWIM Guide for Users of Weigh Motion, May 2019

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of the WIM sub-contracting by the civil works contractors), the construction supervision services would be preferably sourced from the international market. Past transactions have shown that substantial competition can be expected for such consulting services. Construction supervision consultants are generally from Korea, United Kingdom, Turkey and Saudi Arabia. The same trend will probably be observed for the proposed project - but consulting firms from other regions may come in too.

Uzbekistan does not have yet consulting firms who could undertake as a single firm the project management and construction supervision services of this magnitude. It is however likely that international consulting firms will seek partnership or subcontracting arrangements with local firms.

Bargaining power of buyers

Bargaining Power of AA in this case is very high, because the IA is the only agency in the country that is systematically procuring road construction works and bidders are interested in winning contracts and do business with the EA/IA.

Bargaining power of suppliers

The bargaining power of suppliers (contractors or consultants) is inherently low due to the situation of open competitive bidding and the competitive rivalry that is generally observed for this kind of transaction (both for contractors and consultants).

Risk of new entrants Threat of new entrants to market is still possible, with the risk that these new entrants will resort to abnormally low bid (ALB) prices. The existence of provisions for ALB and unbalanced bid in the bidding documents should however largely mitigate the risk. Local contractors may also wish to enter the competition: on the one hand, this would be welcomed so as to promote the local industry but, one the other hand, would carry some risks due to their potential lack of knowledge and experience in IFI funded projects. This risk shall be mitigated in calibrating properly the qualification criteria in the bidding document.

Risk of substitutes By and large the risk of substitutes for road works is low since the project follows detailed design prepared by the Employer with precise technical specifications and construction standards applicable in the country. However, bridge structures may involve some level of risks of substitutes as the designs may have to be supplemented by contractors after certain mandatory investigations.

B. Key Procurement Conclusions

Past transactions have shown that there is usually high level of competition for this kind of project (both for the civil works and the supervision services). The specificity of the subject project is that WIM systems will be included as part of some of the lots (civil works contracts), thereby requiring that the civil works contractors procure this component as a sub-contractor and manage the interface with the civil works. The complexity that this feature will add to the concerned lots (civil works contracts), and the risk that it carries, should be mitigated by properly calibrating the qualification criteria and thereafter screening the bidders.

Besides, this aspect will probably limit the ability of local contractors to participate alone in the bidding (for those contracts including a WIM component), but will not preclude their participation as sub-contractors (or JV members) to international players. The packing strategy may however facilitate the participation of local contractors in providing at least one lot (works contract) without WIM system.

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In the context of above situation, it is recommended that the EA conduct a project presentation seminar for potential bidders to disclose the list of procurement contracts and the requirements for participation, qualification, contract management, and performance.

Overall and apart the specificity of the WIM component, no major procurement risks are identified through the analysis. Due to high bargaining power of the buyer and high competitive rivalry, as well as low risk of substitutes, the only risk that is left to be tackled is the risk of abnormally low bids proposed by bidders trying to enter the market.

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C. Supply Positioning

High

Ris

k→

Strategic Security Strategic Critical Project Management and construction Supervision Consultants (for Civil Works and WIM)

Large scale civil workscontracts for rehabilitationof roads and bridges(including WIMcomponent)

Tactical Acquisition Tactical Advantage Refurbishment of PMU

office Office equipment Vehicles Capacity building trainings Individual consultants

Low Spending→ High

D. Key Procurement Conclusions

Strategic critical large scale civil works packages will be procured through OCB method with international advertising, where qualified national as well as international contractors may participate.

Recruitment of international consulting firm is a strategic security to help IA with project implementation and construction supervisions of civil works.

Although the WIM system requires special skills and products, the installation is largely associated with civil works and its progress. In this context, WIM is preferred including in the relevant Civil Works package. Then the CW Contractor shall select the Specialised Subcontractor for WIM Works and obtain approval from the EA/IA. Likewise, supervision of the WIM works is preferred including in the scope of Construction supervision consultants. This arrangement would simplify the procurement of WIM and their installations.

Procurement of office equipment, furniture, vehicles can be locally supplied and shall be procured through RFQ for goods, and CQS for individual consulting services from the international markets.

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E. Supplier Preferencing

High A

ttrac

tiven

ess→

Develop Core

Civil contractors will

implement in time with required quality

The project is simple

and profitable Transparent

procurement Stable government Efficient customs

process

Nuisance Harvest

Delayed evaluation processes

Onerous terms and conditions

Little profit

Suppliers/Contractors

will get high profit margins

Fair competition Source of

construction material are local

Payment process is efficient

Low % of revenue→ High

F. Key Procurement Conclusions From the contractor’s perspectives the construction project is relatively of high value and profitable provided properly managed. Having ADB procurement procedures and MDB harmonized version of FIDIC conditions contract, the contractors are expected to find the Works sufficiently attractive. The EA should ensure adequate transparency in the bidding process. Assurance of the timely handing over of the unencumbered work site and of the necessary assistance in dealing with local authorities and utility companies would be important. For the proper cash flow, timely submission and payments of interim payments would have to be ensured. One of the facilities in international contract is the exemption of taxes and duties on the temporary import of equipment for the project use. The Employer should provide clear advice on this. One of the contractors has expressed their dissatisfaction that such facility has been removed effective from 01 January 2020. However, the issue of the temporary import regime (for the contractors’ equipment and machinery) is in principle resolved since the amendment of PD 3857 that took place on 20 May 2020. The contractors may seek assurances from the Employer that this issue would not come back and is resolved permanently, or at least until the project implementation period.

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G. Sourcing of Construction Material

The designers have prepared detailed map having location of quarry sites, the source of construction materials and average distance for each Lot 1, Lot 2 and Lot 3. The Maps are provided in the Appendix 1 of this report.

Details on the key construction materials are summarized in the Table below:

Material Source location Average haulage distance, km Lot 1 Aggregates for base course Bayson 18 Aggregates for wearing course Sarasin 150 Sandy gravel Bayson 15 Bitumen Jharkurgon 140 Sand Kumkurgan 90 RCC pipes Kumkurgan 90 Water 8 Cement Sherabad 120 Earth Along the road Along the road

Lot 2 Aggregates for base course Tuda and Dashtigaj 18 Aggregates for wearing course Sarasin 120 Sandy gravel Tudasoy, Padansoy, and Etiksoy 12 Bitumen Jharkurgon 100 Sand Kumkurgan 70 RCC pipes Kumkurgan 60 Water 19 Cement Sherabad 150 Earth Along the road Along the road

Lot 3 Aggregates for base course Altinsoy 14 Aggregates for wearing course Sarasin 63 Sandy gravel Sarasin 63 Bitumen Jharkurgon 96 Sand Altinsoy 14 RCC pipes Kumkurgan 55 Water 5 Cement Sherabad 211 Earth Along the road Along the road

Key procurement conclusions

Sourcing of materials needed for construction does not constitute a particular issue for the project. The above details show indeed that most of the construction materials are available within manageable distance to the project works sites.

The most important material for the concrete pavement, the cement, is produced in the cement factory in Sherabad which is at distance of 120 to 211 km from the project road.

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Section 4: Risk Management

A. Project Procurement Risk Assessment Risk Register9

Risk Description Likelihood (“L”) (1–5)

Impact (“I”)

(1–5)

Risk Score (L x I)

Proposed Mitigation Risk Owner

IA and PMU have insufficient qualified staff to efficiently undertake the procurements required to implement the project. AA does not have a procurement Department and procurements are handled by PMUs. For the proposed project GOU will create a new PMU. A Procurement Specialist will be assigned for the PMU.

3 5 15

Mitigation and monitoring: Provision of additional

training(s) on 2017 ADB procurement framework before procurement activities are undertaken;

URM procurement andproject managementspecialists may be able toprovide procurementtrainings based on theneeds; and

Additionally PMU may hirean Individual ConsultantProcurement Specialist ora firm to support theprocurement activities.

EA, IA,

The EA uses bidding documents unsuitable for ADB-funded procurement. It is important for EA, IA and PMU to have adequate knowledge on ADB 2017 procurement framework

2 5 10

Mitigation and monitoring: Provision of additional

training(s) on ADB procurement policy, core principles and procedures is undertaken before procurement; and

EA, IA,

EA is unfamiliar with ADB procurement guidelines and procedures for consulting services Apparently recruiting consulting services for a government funded project is not a usual practice. But for IFI funded projects Consulting services are hired.

3 5 15 EA, IA,

Record-keeping is 3 3 9 Monitoring: Ensure that a secured

IA

9 See Project Procurement Risk Assessment Report prepared by TRTA Consultant DBUK, according to ADB Guide on Assessing Procurement Risks and Determining Project Procurement Classification, August 2015

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Risk Description Likelihood (“L”) (1–5)

Impact (“I”)

(1–5)

Risk Score (L x I)

Proposed Mitigation Risk Owner

inadequate to enable internal or external audit of procurement processes. There is a special secure filing room within the PMU where confidential procurement documents are kept in a dedicated safe. Only the Project Manager and Procurement Specialists have access to this room. Paper documents are scanned. Records in electronic format are backed-up in a server to which only IT administrator has access. AA will need to allocate additional resources to record keeping for the proposed SRRP.

dedicated room with enough empty space is ready before procurement is started.

Agency does not promote non- discriminatory participation, transparent tender processes (including advertisement, tender documentation, tender evaluation, complaints mechanism) For the procurement of goods, works, and consulting services for ADB funded projects, AA/PMUs use ADB’s Standard documents. There is no formal non-judicial mechanism dealing with complaints. Procedure on complaints mechanism is not adequately provisioned in the PPL. For IFI funded projects complaints mechanism procedures follow that of the IFI.

4 4 16

Mitigation and monitoring: Provision of capacity

building on promotionof non-discriminatoryparticipation,transparent tenderprocesses (includingadvertisement, tenderdocumentation, tenderevaluation, complaintsmechanism); and

Encourage to updatePPL to enhance thecomplaintsmechanism;

Capacity building andtraining activitiesshould include thecomplaints andgrievance redressmechanism.

EA, IA

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Risk Description Likelihood (“L”) (1–5)

Impact (“I”)

(1–5)

Risk Score (L x I)

Proposed Mitigation Risk Owner

There are risks related to price escalation. The country has had 15% inflation in 2019. This factor might be a challenge for the contractors and that calls for price adjustment mechanism in place.

5 5 25

The EA prefers not having price adjustment, and that will be indicated in the bidding documents so that Bidders could foresee the implications of their price.

EA, IA

The market believes the procurement process seeks to achieve the lowest delivery

3 5 15

Mitigation and monitoring: Adopt 2 envelope

system wheretechnical andfinancial proposalsare separate.Financial proposalwill be opened of onlythose bidders whopasses the technicalevaluation

Technicalrequirements to bewell defined andevaluation to berobust andtransparent

EA, IA

As experienced in the previous projects the local contractors have been found not efficient enough. They have lack of experiences and knowledge in ADB and FIDIC procedures. There are risks related to delays due to incompetence of contractors/consultants.

4 5 20

Mitigation and monitoring: Technical

requirements to bewell defined andevaluation to berobust andtransparent duringthe procurementprocess. Incompetentbidders shall beidentified during bidevaluation andavoided

EA, IA

The EA has inadequate ethics and anticorruption measures in place though PPL has detailed out the standard statement of ethics and anticorruption measures for public procurements. For ADB

3 5 15

Monitoring: Provision of capacity

building on ethics andanticorruption measures.

AA to oblige relevant staffto adequate behavior /ethics and against thecorruption actions in theemployment contracts.

EA, IA,

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Risk Description Likelihood (“L”) (1–5)

Impact (“I”)

(1–5)

Risk Score (L x I)

Proposed Mitigation Risk Owner

funded project all procurement process must meet the ADB requirements regarding the standard statement of ethics and potential conflict of interest. Full-fledged e-procurement system is not introduced yet in the country, particularly for the large goods, works and services. E-shop concept has been introduced for public procurement for an amount not exceeding 250 times the minimum wages10 under one contract, but not more than 2500 times minimum wages per year.

5 5 25

Although not full-fledged e-procurement system, consider using Tenderlink for bid submission so as to avoid in-person meeting in Tashkent as long as Covid- 19 situation prevails

To work on development of E-procurement system in the country and provide sufficient training opportunities for EA/IA personnel, national contractors and consultants

EA, IA,

Coronavirus pandemic or similar

5 5 25

Follow the protective measures and rules imposed by GOU.

ADB, as well as other IFIs and FIDIC have published numbers of materials and guidance notes on how to respond to the situation and the use of the Tenderlink Platform for bid submission.

Procurement document and contract management plan shall include mitigation measures for safety

ADB, EA, IA

10 1 minimum wage = 223,000 Som (about US$22)

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Section 5: Options Analysis

Strategic Options Description

Feasibility (1–10)

Suitability (1–10)

Acceptability (1–10)

Overall (3–30)

Remarks

Civil works of roads and bridges Option 1 For Civil works, two contract packages for the two roads (4R100 –km 128 to 74; and 4R105 – km 5 to 162),each having value of $90 million or over so as to attract more qualified contractors from international market.

10 9 5 24 As the project comprise two road sections and would have been natural to have two contracts. However, CR prefers having three contracts in line with the design packages. So the Acceptability score is low.

Option 2 Option of making smaller contract packages of civil works will enhance participation of national contractors. As seen so far in Uzbekistan, the national contractors have undertaken the contracts having value of maximum about $30 million. However, lack of knowledge in ADB and FIDIC procedures have been seen as serious challenges in term of quality management and output. Hence under this option, the Employer will have to provide full support with capacity development measures trainings on ADB procedures and FIDIC contract procedures to national contractors.

7 7 7 21 This option has been analysed to see the opportunities of participation by national contractors. However, the feedback is not positive enough and all scores remain at average.

Option 3 During discussion with the EA/IA, it was suggested making one package with 3 Lots of civil works of 30 to 40 km each, the first lot and the third including

10 7 10 27 This is a preferred option specially by the EA/IA and so the acceptability score is 10. This is completely feasible option. However, compared to the Option 1 above, suitability Score is

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each a WIM component. Considering the overall value of the works (US$ 181.4 million), the average contract value will be around $60 million. This size of contract is probably beyond the capacity of national contractors.

less as one road will be divided into two contracts, which may require additional coordination efforts during implementation, but this still remain manageable..

Project Management and Construction Supervision Consultants (PMSC) for Civil Works Option 1 Recruitment of international project management and supervision consultants following QCBS (90:10) is the best international practice. It is important to have one strong consulting firm for these services in the whole project. They should be able to not only administer the contract but also train and help in capacity development of EA/IA and national contractors.

10 10 10 30 This is the best option by all means

Option 2 Another option is to have a separate consulting firm or joint ventures (JV) for each of the two roads, as seen in one of the project in Uzbekistan, where project locations were spread in different parts. Since the two roads (4R100 and 4R105) in the proposed project are connected and have similar nature by construction as well as geography. Presumably having two consultants will be more expensive for the project.

6 7 6 19 In a continuous road length though comprises two roads, having two supervision consultants is less feasible, less suitable and less acceptable option compared to the Option 1 above.

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Weigh-in-motion (WIM) Option 1 To have (i) one Design, Supply and Installation Contractor, using the Plant Contract, for the two WIM systems, and another separate Contract for Civil Works (CW) for reconstruction of the whole project road; (ii) Similarly it alsoconsiders recruitingone specializedConsultant forprocurement, designreview, andsupervision of WIMsystems, and anotherseparate Consultantfor the constructionsupervision of CW.

7 6 5 18 From the implementation point of view, this option has been least favored. One of the key reason is that the WIM works are largely dependent on the progress of civil works and either of the contractors (WIM and Roads) may have claims due to interface issues. Looking at the small size of the WIM component is better to have the works carried by one contractor (including WIM system) and supervised by one consultant. So the scores are comparatively low.

Option – 2:This option considers having (i) three civil works contracts, two of which (one for each end of the project road) combining the WIM system and CW and where BOQ for Civil Works and separate additional BOQ for the design, supply and installation of the WIM system will be included; and (ii) one Consultant for construction supervision for both CW and WIM, where scope of services will include the design review and supervision of WIM system (a Specialist for services of WIM

9 9 9 27 With reference to the remarks made above for Option 1 on WIM, this option is the best option by all means.

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system will be added in the list of required experts).

Option – 3This option considers having (i) two separate Contractors, each one for WIM and Civil Works (each one for approximately half of the total alignment); and (ii) one sole Consultant for construction supervision of CW and WIM Works.

8 8 7 23 As explained under the remarks above for Option 1 for WIM, the issue between the two contractors during implementation still remains. So the scores are not as high as the Option 2

Goods – PMU officeequipment and vehicle For these items procurement can be done by shopping in the local market

10 10 10 30 This is the best option.

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Section 6: Procurement Strategy Summary

A. Procurement Packaging and Scheduling

Contract Packages Justification Lots to be Advertised

Approximate Timing

Civil works for reconstruction of Road 4R105 (km 5 – 70) andRoad 4R100 (km 128 –174) including design,supply, and installationof WIM System in Lot 1and Lot 3

Capacity of local contractors is found to be inadequate for undertaking this magnitude of project and the experiences have shown they have inadequate knowledge about ADB and FIDIC procedures. So it is recommended to procure with Open Competitive Bidding with international advertising.

Regarding the lots, the entire design, and estimates have been prepared for three lots as preferred by the EA/IA, accordingly it is recommended to advertise and procure in three lots.

Lot 1- Civil works for Road 4R105, km 5 – 37.5,including design, supply and installation of WIM

Q1 2021

Lot 2- Civil works for Road 4R105, km 37.5 – 70 Q1 2021

Lot 3- Civil works for Road 4R100, km 128 – 174including design, supply and installation of WIM

Q1 2021

Considering the relatively low value of the WIM component (USD 3 million in total, i.e. USD 1.5 million for each system), itwas found preferable to include each WIMsystem in the relevant Civil Workscontracts, i.e. Lot 1 and Lot 3. Theinstallation of WIM system would becommenced once the road surface isready, thus the activity depends on theprogress of Civil Works.. The CWContractor shall select the SpecialisedSubcontractor for WIM Works and obtainapproval from the EA/IA. Likewise,supervision of the WIM works is preferredas being included in the scope ofConstruction supervision consultants. Thisarrangement would simplify theprocurement of WIM and theirinstallations.The bidders for lots No1 and 3 will have to price competitively the WIM system as part of the BoQ, which will include design, supply and installation thereof and will be paid as according to the BOQ items of WIM works.

Goods – officeequipment , furniture

These goods are locally available and is recommended to procure through Request for Quotation/Shopping making one lot for each type of items

3 Q1 2021

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and vehicle

Project management and construction supervision consultants

It is important to have one strong consulting firm for these services in the whole project. They should be able to not only administer the contract but also train and help in capacity development of EA/IA Recruitment of international project management and supervision consultants is recommended following QCBS (90:10). It is also recommended to add the procurement, design review, and supervision services of WIM as part of their scope of services.

1 Q1 2021

Consulting services for procurement, safeguards and contract management

The feasibility study report of the project has envisaged procuring these services of individual consultants. For such services international advertising is recommended

3 Q1 2021

B. Procurement Method11Open competitive bidding (OCB) is the preferred procurement method of the ADB for goods, works and services. This method will enhance competition among all eligible bidders, regardless of whether the procurement contracts are advertised internationally or nationally.

Civil Works packages (including WIM system for Lots 1 and 3) – Open competitive bidding withinternational advertisement, 56 days for preparation of bids.

Project management and construction supervision consulting services – Open competitivebidding with Quality and Cost Based Selection (90:10), international advertisement. This Consultant will also provide services for WIM, particularly procurement, design review and supervision of WIM works.

Consulting services for procurement, safeguards, and contract management - Individualconsultants selection

Goods (office equipment, furniture, vehicle) – Request for quotation in local market.

C. Prequalification

No prequalification exercise is required for the civil works; instead,the single stage two envelopes (1S2E) bidding procedure is recommended.

For the project management and construction supervision consultants, the consulting firms will be shortlisted after the evaluation of their submission during the expression of interest (EOI). The shortlisted consultants will be requested for the full technical and financial proposal (RFP) following single-stage-two-envelope (1S2E) bidding procedure.

11 Open Competitive Bidding, Guidance Note on Procurement, June 2018, ADB.

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D. Bidding Procedures

Civil Works - The works are not of a complex nature, however, the contractors must have skills and experiences in similar projects and they must be qualified for the works (including, for Lot No1 and 3, the experience in installation of WIM systems). Therefore, Single-stage-two-envelope (1S2E) bidding procedures is recommended both for Civil Works, where technical proposals are first opened and evaluated; then the financial proposals of bidders with responsive technical bids will be opened and evaluated.

The Civil Works of Lot 1 and Lot 3 will include design, supply installation of WIM system. For this purpose, typical designs of WIM facilities, specifications for WIW system and detailed BOQ for WIM works will be included in the bidding documents. Accordingly, the bidders can quote their bid prices for road reconstruction works as well as WIM works. As the WIM works require special skills and products, the CW Contractor will select the Specialised Subcontractor for WIM Works and obtain approval from the EA/IA on the selected system and the subcontractor. Supervision of the WIM works will be done by the Construction of supervision consultants.

Project Management and Construction Supervision Consultants –The Consultants will be selectedbased on the Quality- and Cost-Based Selection (QCBS) where the quality cost ratio is recommended to be 90:10. Request for Expressions of Interest (REOIs) and shortlisting will be used. The shortlisted consulting firms will be asked to submit the Standard Full Technical Proposal and the Financial Proposal in separate envelopes, as described in the guidance note on Consulting Services. The Construction Supervision Consultants will also provide services in Procurement, Design, and supervision of WIM works ion Lot 1 and Lot 3.

Other consulting services – For consulting services like procurement, safeguards, contractmanagement and or any others, it is recommended to recruit through individual consultant selection procedure.

Goods - The goods like office equipment, furniture and vehicle are presumed to be locally available, and those are recommended to procure using Request for Quotation Procedures.

E. Specifications

Detailed designs are prepared by the state Design Institute Youlloyikha. For the civil works, the conformance specification ‘Standard Specifications for Construction of Roads and Bridges on ADBProjects’ shall be used. The designers also develop Special Specifications for each contract Lotsseparately.

For WIM works DBUK TRTA Consultants have prepared schematic design, specifications and bill of quantities for electro-mechanical works. Similarly CR’s design Institute has prepared the detailed typical drawings and specifications for the SSWIM station and facilities. Thus a full set of specifications and BOQ for WIM works have been prepared and those would be included in the bidding documents. On the basis of the typical designs, the Contractor through their selected specialised subcontractor will prepare further detailed design of the system and their installation to fit with the system selected. Thus, performance specification shall be used for the WIM systems.

F. Review Requirements

Due to relatively limited experience of the EA in the ADB procurement procedures, as well as limited number of contracts included in the project, it is recommended to use Prior Review for all procurement stages.

G. Standstill Period

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The national Standstill Period will not be required for the contract packages.

H. Standard Bidding Documents and Contract Forms

Contract Package Type of Bidding Documents and Contract proposed

ADB Standard Bidding Documents for Procurement of Works is proposed.

FIDIC Multilateral Development Bank Harmonized Edition of General Conditions of Contract (2010) for large works is proposed.

Lot 1- Civil works for Road 4R105, km 5 – 37.5,including WIM works Lot 2- Civil works for Road 4R105, km 37.5 - 70 Lot 3- Civil works for Road 4R100, km 128 – 174,including WIM works Consulting services – Project Management andConstruction Supervision Consultants (Firms)

ADB Standard Request for Proposal (RFP) for the recruitment of Consulting Services – Time basedcontract form.

Individual consultants Individual consultant selection Goods – supply, delivery of office equipment,furniture, vehicle

ADB Standard bidding document, Request for quotation

I. Pricing and Costing Method

Contract Package Pricing and Costing Method Civil Works for reconstruction of Road 4R105 (km 5 – 70) and Road 4R100 (km 128 – 174),including design, supply and installation of WIM works in Lot 1 and Lot 3

For each Lot separate bill of quantities (BOQ) where unit price for each item of work will be quoted. Largely its costing is based on the measurement. For WIM system in Lot and Lot 3, typical design, specifications and BOQ have been prepared. Accordingly the bidders will have to price competitively, as part of their bid, including design, supply and installation thereof, as BOQ items.

Consulting Services Consulting services would be time-based Goods – supply, delivery of office equipment,furniture, vehicle

Request for Quotations, fixed price

J. Key Performance Indicators

As part of the contract management strategy, key performance indicators (KPIs) and their weightage would be identified in the contract management plan for each contract to monitor the contractor’s performance during implementation. The key parameters of KPIs may include, but not limited to: Work Program; Personnel; Equipment; Facilities; Management Plans; Quality assurance and Quality Control; Work Progress; Work completion; Defects liability etc.

K. Evaluation Method

Contract Package Evaluation Method Civil works including WIM works Lowest evaluated substantially responsive bid Consulting services - Construction Supervision Consultants

Quality and Cost combined rated criteria with proportion of 90:10 respectively

Goods Quotation, Fixed price

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L. Contract Management Approach

Contract management approach for Civil Works is implicitly embedded in the FIDIC Contract and should ensure the proper management of contract performance during implementation. This will be elaborated in the Contract management plan which will be prepared for each contract. This should include: the key performance indicators (KPIs); risks and risk management plan; identifying resources; communication management plan; contract administration procedures: quality management; managing payments; records management; reporting procedures; managing changes; claims and disputes; and finally contract closure procedures and requirements. EA will seek ADB’s approval of the contract management plan and provide timely reports to ADB. The contract management will be based on the FIDIC principles and procedures.

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Appendix 1- Source of Construction Materials

Detailed map of locations of quarry site and source of construction materials for each Lot 1, Lot 2 and Lot 3 are enclosed.

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Appendix -2: Market Assessment on Civil Works Contractors

A. General

The fundamental market assessment has been conducted to analyze the availability and capacity of international and local contractors, which can potentially participate in this proposed project. The assessment includes brief analysis of potential three local and one international contractors. The analysis of three local/regional contractors shows that their technical and financial capacities are sufficient to implement the projects of about US$30 million as one of them has already implemented and completed projects of similar scale and nature in a role of main contractor. However, the smallest contract package in the currently proposed project is about US$40 million. One international company was found skeptical, mainly for the reason that the Government of Uzbekistan had withdrawn tax relief from January 1st 2020.12 Another factor of avoiding perspective contractors from local market is submission of abnormal low bids mostly from Chinese bidders. Estimated submission of such proposal is about 20-30% less than engineers budget.

Assessment of local/regional contractors shows that they are in the local market since 2008. The broad advertisement of general and specific procurement notices in international and national public mass-media and websites shall ensure strong competition among bidders. Based on analysis, it is assumed that local contractors have sufficient human and technical capacity to carry out civil works of projects. However, they have lack of experience in implementing the contracts as big as the proposed project. The analysis also shows annual turnover of these local companies in 2019 varies from USD 1,6 million up to USD 72 million which reflects that there is a wide range of contracts and at least one contractor has had contracts of larger volume of works.

A brief analysis of local and international companies is presented below. The market shows that the local contractors show sufficient interests on the projects and they can compete in tenders. However, their difficulty may arise in complying with the documentation required for the ADB funded projects and FIDIC procedures. Some local contractors do not have good command in English language, though this could be mitigated using translators.

1. Istiqlol yol qurilish taminot - It has enough capacity to implement relatively largerconstruction work and have sufficient qualified engineers and machineries.Information provided for one contract is dated from August 2014. The Contract wasfunded by Saudi Development Fund for contract valued amount of 70 535 899 310Sum (equivalent USD 25.2 million).

2. NASAF TEMIR YOL KURILISH KOMPLEKS- It has enough capacity to implementconstruction works and has sufficient technical engineers and machineries.Information on one contract is dated from August 2014. Contract was funded by SaudiDevelopment Fund for contract valued amount of 61 031 103 381 Sum (equivalentUSD 21.7 million).

3. NEW TECH SAMARKAND-It was formed in 2010 as a LLC type of company. It hasgood equipment to perform in road projects. It has signed four contracts funded byWorld Bank. Contract values ranges from USD 1,5 million to USD 4,66 million.

12 However, the issue of the temporary import regime (for the contractors’ equipment and machinery) is in principle resolved since the amendment of PD 3857 that took place on 20 may 2020.

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4. Evrascon- Euro-Asian Construction Corporation “EVRASCON” (formerly “Azerkorpu”)was established in 1968 in Baku under the Ministry of Transport Construction of theUSSR and began its activity as “Mostootryad-100”. As a result of privatization in 2001,the company received the status of a joint stock company. In 2013, the companychanged its name to the Euro-Asian Construction Corporation “EVRASCON”. InUzbekistan they are engaged in construction of the Highway A-373 "Tashkent-Osh".

The Employer was the Republican Road Fund under the Ministry of Finance of the Republic of Uzbekistan. The reconstructed 58 km long part on the 116-190 km section is located in Akhangaran district of Tashkent region and Pap district of Namangan region of the Republic of Uzbekistan and passes through the Kamchik Pass with the highest point of 2268 m. Being an international road Kamchik Pass is the only land route for vehicles between the Tashkent Oblast and the Fergana Valley. Traffic volume was 18,530 vehicles per day. The road on the projected section has 4 traffic lanes and belongs to the IB-category. This project includes the overhaul of the road pavement with switching over to a rigid type of topping and the widening of the traffic way in each direction from 7.5 m to 10.5 m. Taking into account the running condition of this road, the following parameters of the road components were adopted:

Width of subgrade – 26.40 m; Width of the traffic way– 2x10.5 m; The width of the fortified part on the dividing strip – 2x1.0 m. Construction of road pavement: Coating of monolithic concrete, h=31 cm; The top layer of the base consisting of the crushed stone-sand mixture reinforced

with cement up to 6%, h=20 cm; Levelling layer of crushed stone gravel-sand mixture, with the addition of 10%

crushed stone; Existing asphalt-concrete pavement. In total, the works performed on the project include:

– works on the provision of artificial structures;– works on the provision of the top layer of the formation – CTB;– works on the provision of a cement concrete pavement;– works on the provision of the hard shoulders;– works on the road furniture.

Preparation of Surkhandarya Regional Road project: Strategic Project Planning (SPP)

39

B. Summary of Ongoing Road projects13

Name of the Project Contractor Construction Supervision Consultant

Remarks

Reconstruction of 77 km of the highway in the direction of “Karshi-Shahrisabz-Kitab”

Under project evaluation of bidders was completed but because of Covid19 stopped for while

Not known

Reconstruction of 87 km of the A-380 “Guzar-Bukhara-Nukus-Beineu” highway on a sectionof 228-315 km project

China Railway 20 Bureau Group Corporation (Value of the contract USD 99,811 M)

Dohwa Engineering Co.Ltd (Value of the contract USD 3,482 M)

Reconstruction of the A-373 “Tashkent-Osh” highway on the section 173-176 km

Euro-Asian Construction Corporation (Azerbaijan) (Value of the contract USD 76,0 M)

Sambo Engineering Co. Ltd (Value of the contract USD 4,985 M)

The Development of Regional Highways of Local Importance

1. New Tech Samarkand (Valueof the contract USD 1,5 MContract RRDP/CWP-3/Lot 5“The development of regionalhighways of local importancein Fergana Valley)

2. New Tech Samarkand (Valueof the contract USD 4,67 MContract RRDP/CWP-2/Lot 1“The development of regionalhighways of local importancein Andijan)

3. New Tech Samarkand (Valueof the contract USD 2,84 MContract RRDP/CWP-2/Lot 5“The development of regional

Roughton International Ltd (Great Britain)

Three Local Contractors and One from China:

From China : Sinoway in JV with Turon Mega Stroy and a Turkish Company – has 7 lots in Namangan

Local contractors: - New Tech Samarkand - has 1 lot in Fergana;and 3 lots in Andijan;- Karvon Yol - has 4 lots in Andijan; and 4 lots inFergana- Chine Road Bridge – has 1 lot in Namangan

Value of Contracts: $1 million tp $7.8 million

13 These information were collected through interviews and unofficial channels, hence the accuracy is not guaranteed. Use for information purpose only

Preparation of Surkhandarya Regional Road project: Strategic Project Planning (SPP)

40

highways of local importance in Andijan)

4. New Tech Samarkand (Valueof the contract USD 2,90 MContract RRDP/CWP-2/Lot 6“The development of regionalhighways of local importancein Andijan)

5. Karvon Yol6. Sinoindustrial7. Chine Road Bridge

Total Contract Lots: - 7 Lots in Andijan- 5lots in Fergana; and- 8 lots in Namangan

Reconstruction of the M39 “Tashkent-Termez” highway on sections 1395-1400 km and 1410-1426 km

Akkord industry (Azerbaijan) Temelsu engineering

Reconstruction of 35 km of the highway “4Р87 Guzar-Chim-Kukdala” on the site 38-73 km

Lot-1Global Road Lot-2 Istiqbol yol kurilish (Value of the contract USD 25,2,0 M) Lot-3 Nasaf temir yol qurilish (Value of the contract USD 21,7 M) Lot-4 Ziyo capital

Saudconsult (Saudi Arabia)

This supervision contract was initially signed for 2 years period with contract value of USD1,5 million which later was extended. The Engineer informed that from the beginning SDF guidelines were not followed and that bidding was implemented based on local procedures. The experience shows, that local contractors were not following the FIDIC requirements. Laboratory test were not submitted in time and all intermittent reports were not submitted as planned. Instead all reports were submitted at the end at once. It is suggested that the supervision in such cases should be sufficiently strict.

Preparation of Surkhandarya Regional Road project: Strategic Project Planning (SPP)

41

APPENDIX 3: PROJECT PROCUREMENT RISK ASSESSMENT

This assessment report is provided separately.

Technical Assistance Consultant’s Assessment Report

Project Number: 53312-002 Transaction Technical Assistance (TRTA: ADB TA No. 9847-UZB) January 2021

Republic of Uzbekistan: Preparing of Surkhandarya Regional Road Project

Procurement Plan (Draft)

Prepared by Development Business UK (DBUK)

This consultant’s report does not necessarily reflect the views of ADB or the Governments concerned, and the ADB and Governments cannot be held liable for its contents.

Asian Development Bank

Annex 10.3

PROCUREMENT PLAN

A. Basic Data

Project Name: Surkhandarya Regional Road ProjectProject Number: To be determined Approval Number: To be determined

Country: Uzbekistan Executing Agency: Committee for Roads,Ministry of Transport

Procurement Risk: Moderate Implementing Agency: Avtoyulinvest Agency

(AA) Project Financing Amount: $227.29 millionADB Financing: $183.80 million Cofinancing (ADB Administered): NA Non-ADB Financing: $43.49 million

Project Closing Date: 30 June 2026

Date of First Procurement Plan: July 2020 Date of this Procurement Plan: January 2021

Advance contracting: Yes eGP: No

B. Methods, Review and Procurement Plan

Except as the Asian Development Bank (ADB) may otherwise agree, the following methods shall apply to procurement of goods, works, non-consulting services, and consulting services.

Procurement of Goods, Works and Non-consulting Services

Method Comments

Shopping / Request for Quotation with national advertising for Goods

PMU office equipment, furniture and vehicle are locally available

Open Competitive Bidding with international advertising for Works

International advertising where qualified national as well as international contractors can bid and compete

Open Competitive Bidding with national advertising for Works

Civil works for community development works, where national contractors and local communities can bid and compete.

Consulting Services Method Comments

Open competitive bidding with international advertising, using quality- and cost-based selection for consulting services

Project Management and Construction Supervision Consultant is to be sourced from international market. The same consulting firm will also carry out design review, and supervision of WIM component

C. List of Active Procurement Packages (Contracts)

The following table lists goods, works, non-consulting, and consulting services contracts for which the procurement activity is either ongoing or expected to commence within the procurement plan’s duration.

Goods, Works, and Non-consulting Services

Package Number

General Descriptio

n

Estimated Value

($)

Procurement

Method

Review

Bidding Procedur

e

Advertisement Date

Comments

SRRP/ CW

Reconstruction of 4R105 (Km 5 – 70) and 4R100 (Km 128 – 174)

US$ 161.6 million

SRRP/ CW/ Lot - 1

Reconstruction of 4R105 (Km 5 – 37.5) including Design, Supply and Installation of WIM System1

$51.0 million

OCB Prior 1S2E Q1, 2021 Advertising: International

Number of contracts: 3

Prequalification of bidders: No

Domestic preference applicable: No

Advance contracting: Yes

Standard Bidding document: Procurement of Works

E-procurement: No

SRRP/ CW/ Lot - 2

Reconstruction of 4R105 Km 37.5 – 70

$32.6 million

OCB Prior 1S2E Q1, 2021

SRRP/ CW/ Lot - 3

Reconstruction of 4R100 (Km 128 – 174) including Design, Supply and Installation of WIM System2

$78.0 million

OCB Prior 1S2E Q1, 2021

1 WIM System is included in the Civil Works Contract of Lot 1 and Lot 3 according to their locations. Each of these CW Contractors shall select a specialized subcontractor. 2 See Foot Note No. 1 above.

SRRP/ EQ1

Goods- Office equipment for the use of PMU

$19,600 RFQ Request for Quotation

Q2, 2021 Advertising:National

Number of contracts: 3

Prequalification of bidders: No

Domestic preference applicable: No

Advance contracting: Yes

Standard Bidding document: Goods

E-procurement: No

SRRP/ EQ2

Goods-Office furniture for PMU

$8,000 RFQ Request for Quotation

Q2, 2021

SRRP/ EQ3

Goods-Vehicle for the use of PMU

$30,000 RFQ Request for Quotation

Q4, 2021

Consulting ServicesPackage Number

General Descriptio

n

Estimated

Value ($)

Selection Method

Review

Type of

Proposal

Advertisement Date

Comments

SRRP/ PMCS1

Project Management and Construction Supervision Consultant (for Civil Works and WIM3)

$4.0 million

QCBS Prior FTP Q2 2021

Type: Firm

Quality-Cost Ratio: 90:10

Advance contracting: Yes

E-procurement: No

3 For procurement, design review and supervision of WIM System works the services are included in the scope of works of the Construction Supervision Consultants

SRRP/CD Consulting Services for Community Development

0.5 million

QCBS Prior STP Q2 2021 Type: lt can bе participated bу local communities апd /оr civil society organizations (CSOs)) Advance contracting: Yes E-procurement: No

SRRP/ICS/PROC

Concrete Pavement Specialist

$0.1 million

ICS Prior Q1 2022 Type: Individual

Advance contracting: Yes

E-procurement: No

SRRP/ICS/SFG

Consulting services for safeguards

$0.1 million

ICS Prior Q3 2021

SRRP/ICS/CM

Consulting services for contract management

$0.1 million

ICS Prior Q3 2021

SRRP/ICS/FinAud

Financial Auditor for audit of project accounts

$0.2 million

LCS Prior TBD

Shortlisting/Prequalification of bidders: Yes

Advance contracting: Yes

E-procurement: No

D. List of Indicative Packages (Contracts) Required under the Project

The following table lists goods, works, non-consulting, and consulting services contracts for which the procurement activity is expected to commence beyond the procurement plan duration and over the life of the project (i.e. those expected beyond the current procurement plan’s duration).

Goods, Works and Non-consulting Services

Package Number

General Description

Estimated Value ($)

Procurement Method Review Bidding

Procedure Comments

(None)

Consulting Services Package Number

General Description

Estimated Value ($)

Selection Method Review Type of

Proposal Comments

(None)

E. List of Awarded and Completed Contracts

The following table lists the awarded contracts and completed contracts for goods, works, non-consulting, and consulting services.

Goods, Works and Non-consulting Services Package Number

General Description

Contract Value

Date of ADB Approval of Contract

Award

Date of Completion

Comments

(None)

F. Non-ADB Financing

The following table lists goods, works, non-consulting, and consulting services contracts over the life of the project, financed by non-ADB sources.

Goods, Works, and Non-consulting Services General Description

Estimated Value Estimated Number of Contracts

Procurement Method

Comments

(None)

Consulting Services General Description

Estimated Value Estimated Number of Contracts

Procurement Method

Comments

(None)

Technical Assistance Consultant’s Assessment Report

Project Number: 53312-002 Transaction Technical Assistance (TRTA: ADB TA No. 9847-UZB) January 2021

Republic of Uzbekistan: Preparing of Surkhandarya Regional Road Project

Contract Management Plan (Draft)

Prepared by Development Business UK (DBUK)

This consultant’s report does not necessarily reflect the views of ADB or the Governments concerned, and the ADB and Governments cannot be held liable for its contents.

Asian Development Bank

Annex 10.4

iii

Surkhandarya Regional Road project: Contract Management Plan

ABBREVIATIONS

ADB Asian Development Bank AA Avtoyulinvest Agency CMP Contract Management Plan CR Committee for Roads BD Bidding Documents EA Executing Agency EC Evaluation Commission

GAPR Guide on Assessing Procurement Risks and Determining Project Procurement Classification

GoU Government of Uzbekistan IA Implementing Agency LA Loan Agreement MIFT Ministry of Investments and Foreign Trade MT Ministry of Transport PAM Project Administration Manual PMSC Project Management and Supervision Consultant PMU Project Management Unit PP Procurement Plan PPL Public Procurement Law PPRA Project Procurement Risk Assessment PR Presidential Resolution RMP Risk Management Plan TC Tender Commission URM Uzbekistan Resident Mission

iii

Surkhandarya Regional Road project: Contract Management Plan

TABLE OF CONTENTS

1. Introduction ......................................................................................................................... 11.1. Project Background ............................................................................................................. 11.2. Contract Packages .............................................................................................................. 21.3. Structure of Contract Management Plan ............................................................................. 22. Descriptive Components ..................................................................................................... 32.1. Contract Details ................................................................................................................... 32.2. Permits, Licenses and Approvals ........................................................................................ 32.3. Key Points of Contact .......................................................................................................... 62.4. Communication Procedure .................................................................................................. 72.5. Agenda for Meetings ........................................................................................................... 82.6. Contract Start-Up Activities and Submittals ......................................................................... 92.7. Contractor’s Mobilization Activities .................................................................................... 102.8. Payment Procedures ......................................................................................................... 102.9. Contract Variation Control Mechanisms ............................................................................ 122.10. Problems and Dispute Resolution Procedure .................................................................... 122.11. Reporting Procedures ....................................................................................................... 122.12. List of Records to be maintained ....................................................................................... 132.13. Contract Closure Activities and Checklist .......................................................................... 143. Dynamic Components ....................................................................................................... 153.1. Risk Management Plan ..................................................................................................... 153.2. Contractual Milestones including critical path .................................................................... 183.3. Contractor Performance Management System .................................................................. 18

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1. IntroductionThis draft Contract Management Plan (CMP) document for the implementation of Surkhandarya Regional Road Project in Uzbekistan is prepared based on the ADB’s Contract Management,Guidance Note on Procurement, June 2018. As it is drafted at the pre-bidding stage of the Project, it will have to be revisited during the contract drafting at the precontract award stage. CMP should be able to define activities and responsibilities to monitor the contractor’s performance during the contract implementation until contract closure.

Main objective of this document is to ensure that parties like Employer, Consultant and Contractor meets their contractual obligations during the project implementation. General Conditions of Contract (GCC) and its Particular Conditions of Contract (PCC) provide the basis and the main framework of the contract implementation, and on that basis CMP provides a plan for its management. Its correctness and appropriateness will be measured during the contract implementation and there will be always scope to improve the CMP in real time as the project implementation progresses.

1.1. Project Background

The Government of Uzbekistan has requested the Asian Development Bank (ADB) to finance upgrading the road between Derbent and Denau under the Surkhandarya Regional Road Project (SRRP). SRRP will upgrade the existing severely deteriorated two-lane roads- 4R105 (Km 5-70) and 4R100 (Km 128-174) and will adhere to the international standards with a 20-year service lifespan. The total length of the Project road is about 107 km and links the following road corridors: the Central Asia Regional Economic Cooperation (CAREC) 3b corridor; the road from Russian Federation to Middle East; the road to South Asia via Dushanbe; and the 6b corridor from Europe to Middle East and South Asia via Dushanbe. The Project will significantly improve the road conditions and allow heavy trucks to avoid traversing steep gradients and sharp turns on this road section. As results, this route is expected to attract more international traffic, particularly between Uzbekistan and Tajikistan.

The project area is located in the South-East of Uzbekistan, across the lowland of the southern part of the Turan Plain. The terrain of the route's territory is a mixture of covered descents and a wide strip of foothill plains having a general slope towards the South. The area belongs to the Road Climatic Zone III. The climate of the whole region is sharply continental, with large differences in daily temperatures and with hot summers and relatively warm winters. The absolute minimum is -20.50C, and the absolute maximum is + 43.80C. The average maximum of the hottest month is +33.90C and the average minimum of the coldest month is -0.40C. The average minimum relative humidity is 54% in the coldest month and 29% in the hottest month. The number of days with a maximum temperature of 34.0C is above >110 days. The average monthly wind speed was 2.4m/s in January. The maximum of average velocities by rhumbs for January is 2.4. The monthly average in July is 1.6. The minimum of the average velocities by rhumbs in July is 0. The maximum of the monthly average values for the year is 2.7. The annual number of days with dust storms and drifting dust is 5 days.

The project road 4R105 "Derbent-Baysun-Elbayon" (Km 05 – 70) runs through the Baysun districtof the Surkhandarya Region and forms a link between the M39 and M41 motorways, which are part of the international transport corridors. The Project road 4R100 "Manguzar-Jarkurgan-Bandikhon-Altynsay-Denau" (Km 128 – 174) passes through Kumkurgan, Altinsay and Denaudistricts.

The key features of road include cement concrete pavement constructed on cement treated aggregate base course, construction of reinforced cement concrete bridges and installation of weigh-in-motion system for control of overloading vehicles. The road in general has two lanes to be reconstructed to Category–II. However, due to the numbers of towns and climbing lanes onthe alignment, the design consists of 6 lanes in 2%, 4 lanes in 36%, 3 lanes in 18% and 2 lanes in 43% of the total road length.

2

The Project does not consist of works of any complex nature. Contractors will have to build the Employer designed road infrastructures under the supervision of Consultant. So for an experienced contractor the works should be straightforward. However, duration for reconstruction of 32 to 43 km net road lengths is limited to 24 months from the date of commencement for all three lots. This will require an efficient contract management so that no delays occur at any point of implementation. Weighing-in-motion facility. For control of overloading vehicles, WIM facilities have been envisaged on road section of 4R 105 and 4R100. A High Speed WIM and a Slow Speed WIM facilities will be installed at the beginning of 4R105 (Lot 1) and at the end of 4R100 (Lot 3)1. The facilities will provide truck travel information in real time and the opportunities to share all related freight data. The truck information will be displayed on CR web portal that provides all information relevant to CR and shall have links to the existing overloading vehicle control information system and freight management, (TOLLGO & PLATON) at KAMCIK tunnel at A373.

The WIM systems require specific products and skills and the Civil Works Contractor for the road works will select Specialized Subcontractors in accordance with the ADB Guidelines on Subcontracting, Guidance Note on Procurement, June 2018, for the supply and installation of the WIM systems. In all cases, the Contractor must obtain approval from the Employer on the selected Specialized Subcontractor and the system prior to the supply and installation.

1.2. Contract Packages

The Civil Works Contract package for reconstruction of 4R105 (km 5-70) and 4R100 (Km 128-174) are divided into three Lots. Those are:

Lot 1: Reconstruction of 4R105 (km 5 - 37.5) including Design, Supply and Installation of WIM System;

Lot 2: 4R-105 Reconstruction of 4R105 (km 37.5 - 70); and

Lot 3: 4R100 Reconstruction of 4R105 (km 128 - 174) including Design, Supply and Installation of WIM System;

1.3. Structure of Contract Management Plan

The CMP is prepared based on the borrower’s perspective of contract management process. The ADB guidelines on CMP have described the process in three phases: (i) Precontract award; (ii) Contract Administration: and (iii) Contract Closure. The first phase primarily focuses on developing contract management based on the management strategy to mitigate potential risks during the contract implementation. The second phase is the main body of the project implementation, i.e. to administer the contract where, Engineer and PMU have to play the key role to achieve successful completion of the project such that contractor delivers desired quality of construction within the stipulated time and price as amended from time to time through agreed variations. According to the ADB Guidance Notes this document is divided into two components: (i) Descriptive Components, which consists of a series of information that illustrate the contract’s key information. These information normally would not change over the contract period. However, information on ‘key contacts’ may be changed, for obvious reasons when the responsible personnel are replaced, hence will require updating. Under this component, Communication procedures, 1 WIM facilities are not provided in Lot 2.

3

payment procedures, key deliverables, contract variation control mechanisms, record keeping requirements, problems and dispute resolution procedures, and contract closure activities are included.

(ii) Dynamic Component. This component includes data which are resulted during theimplementation and regularly updated. This includes management of risks identified and allocatedand listed under the Risk Management Plan (RMP). These risks are assessed based on theexperiences of issues that may arise during the contract implementation. The risks identified notnecessarily are an exhaustive, and that will have to be updated as it comes during implementation.Therefore, RMP is included under the Dynamic Component of this CMP. The dynamic componentalso includes contractual milestone and critical path, which is a program to be submitted by thecontractor before commencing the works. Key performance indicators (KIPs) are an important part ofthe contract management strategy. Though KIPs do not replace the Contract clauses but those willbe monitored throughout the implementation period as in internal tool to be used by the Employer.

2. Descriptive Components2.1. Contract Details

Employer Name Committee for Roads Contract Title Reconstruction of 4R105 (Km 5 – 70) and 4R100 (Km 128 – 174)

Contract Number

SRRP/ CW/ Lot – 1: Reconstruction of 4R105 (Km 5 – 37.5)including Design, Supply and Installation of WIM System SRRP/ CW/ Lot – 2: Reconstruction of 4R105 Km 37.5 – 70SRRP/ CW/ Lot – 3: Reconstruction of 4R105 (Km 5 – 37.5)including Design, Supply and Installation of WIM System

Contractor Name Lot 1: (To be filled once known) Lot 2: (To be filled once known) Lot 3: (To be filled once known)

Accepted Contract Amount Lot 1: (To be filled once known) Lot 2: (To be filled once known) Lot 3: (To be filled once known)

Date of Issuance of Letter of Acceptance (To be filled once known)

Commencement Date (To be filled once known) Time for Completion 730 days from the commencement Date. Defects Notification Period 730 days ADB Loan Effectiveness Date (To be filled once known) ADB Loan Closing Date (To be filled once known)

2.2. Permits, Licenses and Approvals

The following table shows the responsible party and approving authorities for issuing various permits and licenses required for contractors to execute the works. The italicized texts in table are meant to be guidance or to be replaced with the relevant information when those will be available.

Application Type

Relevant Law or regulation

Responsible Party

Approving Authority

Due Date Approval Date

Mobilization Requirements

(The Contractor

The Contractor shall list all the Relevant laws and regulations required for the

Contractor Appropriate Authorities

Prior to the Commencement of the on-site Works

To be obtained from the Contractor

4

shall list all the mobilization requirements to be monitored and all laws to be complied with.)

mobilization.

Vehicles and Driving Permit

All necessary motor vehicles for the Contractor's

transportation requirements including trucks with or without cranes, trailers, busses, cars and motor cycles, to be used on public highways.

Contractor Appropriate Authorities

To be filled based on Contractor's submitted Program under SC 8.3

To be obtained from the Contractor

Communications

Appropriate licensing law of the Uzbekistan for installation and maintenance of all communications systems (landline and/or mobile telephones, FAX, internet, radio or other communication systems).

Contractor Utility Agency (Telecommunication)

Prior to the first use (to be filled based on Contractor's submitted Program

under SC 8.3)

To be obtained from the Contractor

Programming Software

Copyright law of the Uzbekistan for obtaining valid licenses applicable to each individual product.

Contractor Engineer During the initial mobilization period

From the Engineer's records

Emergency Generators

Environmental and Local Government regulations.

Contractor Utility Agency (Electricity)

During commencement

To be obtained from the Contractor

Environmental Management

(a) WaterExtractionPermit

Local Government Units

Contractor Utility Agency (Water)

To be filled based on Contractor's submitted Program under SC 8.3)

To be obtained from the Contractor

(b) QuarryPermit

Utility Agency Contractor Local Authority for quarry

To be filled based on Contractor's submitted Program under SC 8.3)

To be obtained from the Contractor

5

(c) WaterDischargePermit

Utility Agency Contractor Local Authority To be filled based on Contractor's submitted Program under SC 8.3)

To be obtained from the Contractor

(d) Permit toOperateGenerators(Air PollutionSourceInstallation)

Utility Agency Contractor Local Authority To be filled based on Contractor's submitted Program under SC 8.3)

To be obtained from the Contractor

Contractor’s Environmental Management and Monitoring Plan (CEMMP)

Laws of Uzbekistan regarding protection of the environment and natural resources.

Contractor Engineer/Employer Within 60 days after the Commencement Date

From the Engineer's records

Comprehensive Digital Electronic Information Management System (ACONEX or an approved equivalent)

Copyright laws of the Uzbekistan applicable to each individual product.

Contractor Engineer/Employer Upon Commencement

From the Engineer's records

Requirements for Occupation Permits

Regulations of the relevant approval authorities in accordance with the Laws of the Uzbekistan.

Contractor Relevant Authorities Either during the course of the Works

or at any time following Completion

To be obtained from the Contractor

Tree Cutting and Permits

Laws of the Uzbekistan regarding protection of the environment and natural resources.

Contractor (assisted by the Engineer)

Relevant Authorities During the General Mobilization period and continuing

To be obtained from the Contractor

Temporary Traffic Control Plan

Regulations of the relevant approval authorities in accordance with the Laws of Uzbekistan

Contractor Relevant Authorities Within 28 calendar days from the Commencement Date

To be obtained from the Contractor

Extraordinary Traffic

Regulations of the relevant approval authorities in accordance with the Laws of Uzbekistan

Contractor Relevant Authorities Within 28 calendar days from the Commencement Date

To be obtained from the Contractor

Site Safety

Control of Employees and Visitors of the Contractor and

Requirement for entry permit.

Contractor Engineer's Site Safety Manager

During progress of the Construction

From Engineer’s records

6

all Sub-Contractors

Works

Operation of Plant, Equipment and Vehicles

Requirement of certificates and licenses

Contractor Relevant Authority Prior to first operation of plant, equipment and vehicles

To be obtained from the Contractor

Storage and Use of Explosives

Requirement for permits

Contractor Relevant Authority Prior to first operation of plant, equipment and vehicles

To be obtained from the Contractor

Permit for potentially hazardous works and high-risk activities

Requirement for permits

Contractor Relevant Authority Prior to first operation of plant, equipment and vehicles

To be obtained from the Contractor

Motor Vehicles for the Employer and the Engineer

Requirement of certificates and licenses.

Contractor Relevant Authority To be filled based on Contractor's submitted Program under SC 8.3)

To be obtained from the Contractor

2.3. Key Points of Contact

Key points of contact should bear the contact details of the key and responsible personnel of Employer, Consultant, Contractor and ADB. These shall be inserted once persons are identified and contact details are known.

Name Position/Title Email Phone A. Executing Agency (EA): Committee for Roads, Ministry of Transport

Shukhrat Nazarov First Deputy Chairman

B. Implementing Agency (IA): AvtoyoulinvestFarkhod Kuljonov Director

C. Project Management Unit (PMU): Surkhandarya Regional Road ProjectMakhmudjon Mamdaliev Project Coordinator

D. Engineer:

7

E. Contractor:

F. ADB: URM, ADB

2.4. Communication Procedure

Generally the key communication procedure includes face to face talks, meetings, telephone, email, letters, fax etc. However, following the standard procedures in the country, the contractual matters shall be communicated preferably through written letters, unless the Employer would suggest otherwise. The following table shows the type of interface and frequency between the Employer and Contractor at various levels.

Type of Interface Position Name Frequency

Day to Day Contractor representative Every day

Weekly meetings Contractor representative Once a week

Engineer Representative

Monthly progress meetings

Contractor representative Once a month

Engineer Representative

PMU representative

Executive Meeting EA representative To be decided by the Employer

IA representative

PMU representative

Engineer’s representative

ADB representative

Management Meeting IA representative As and when requested by Engineer or Contractor

PMU representative

Engineer’s representative

Contractor’s representative PMU representative

Engineer’s representative

Contractor’s representative

Public relations meeting IA representative As needed, but at least two months before the commencement of PMU representative

8

Engineer’s representative construction

Contractor’s representative Relevant stakeholder(s)

Concerned government department and authorities Local communities

Site meetings PMU representative At least once a month

Engineer’s representative

Contractor’s representative

ADB Review Meetings EA representative As required by ADB

IA representative

PMU representative

Engineer’s representative

ADB representative

2.5. Agenda for Meetings

Day to Day meeting Any topics Weekly meeting Construction progress

Issues at construction and site Monthly Progress Meeting

o Conduct orderly review of the progress of the WorksUndertake systematic discussion of problems and key issues

Executive Meeting o Information strategic and critical to the Contracto Financial matterso Performance datao Agree any policy changes

Risks Management Meeting

o Review progress of worko Review performance against KPIso Review operational issues and provide solutionso Review the plans for remaining worko Identify events that may impact the implementation of the Contracto Review variation requests and manage its control process

Identify if any extension of time required Public relations meeting

Issues related with public authorities, local communities

Project Risk Review Meeting

Ensure that the Project Risks are being uniformly recognized and mitigated

Site meetings o Construction issueo Discuss Occupational Health and Safety of Contractor's and Sub-

contractor's personnel and laborFormally review the safety management performance of the Contractor and to monitor the implementation and sufficiency of the Site Safety Plan

ADB Review meeting

o Discuss pertinent details arising from the Employer’s and Engineer’sreports, as well as ADB’s observations from visits to the site

o Discuss the progress of the project and any changes to implementationarrangements or remedial measures required to achieve the project

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objectives o Review focusing on issues related to implementation arrangements, and

agreement on changes, if needed, to achieve the Project objectives

2.6. Contract Start-Up Activities and Submittals

The following table shows the various actions to be taken by Employer, Contractor and Engineer at the contract start-up in accordance with the instructions to the bidders and General Conditions of Contract.

Clause Action Responsible Due Date

Residual Tender Stage Actions

ITB 42.1 Issuance of Letter of Acceptance (LoA)

Employer

ITB 19.6 Return Bid Security to Contractor

Employer After Contractor has signed the Contract and furnished the Performance Security.

ITB 43.2 (see PCC 1.6)

Contract Agreement Signature

Employer & Contractor

The Parties shall enter into the Contract Agreement within 14 days after the Letter of Acceptance.

Contract Requirements

GCC 4.2 Provision of Performance Security

Contractor Within 28 days after receiving the Letter of Acceptance.

GCC 2.4 Evidence of the Employer’s FinancialArrangements

Employer Within 28 days after receiving any request from the Contractor.

GCC 4.13 Effective Access to and Possession of the Site Employer Within such times as required to

enable the Contractor to proceed without disruption in accordance with the program submitted under Sub-Clause 8.3 [Program].

GCC 14.2 Submission of draft Advance Payment Security

Contractor Within 7 days after receiving the Letter of Acceptance.

GCC 14.7 Submission of official Advance Payment Security Contractor Within 21 days after receiving the

Letter of Acceptance.

GCC 14.2 and 14.6

Submission and certification of application for Advance Payment

Contractor (for Submission)

Engineer(for

Certification)

After the Employer receives (i) the Performance Security inaccordance with Sub-Clause 4.2and(ii) a guarantee in amounts andcurrencies equal to the advancepayment.

GCC 14.7 Payment of Advance Payment

Employer Within 42 days after issuing the Letter of Acceptance or within 21 days after receiving the documents in accordance with Sub-Clause 4.2

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[Performance Security] and Sub- Clause 14.2 [Advance Payment], whichever is later.

PCC 4.18 Submission of Contractor’sEnvironmental Management and Monitoring Plan (CEMMP)

Contractor CEMMP Must be submitted within 60 days after Commencement Date and cleared no later than one month before site activities are started.

GCC 8.1 Commencement Date Engineer

Contract Activities required within 28 days of Commencement Date

GCC 8.3 Submission of Detailed Time Program

Contractor Within 28 days after receiving the notice under Sub- Clause 8.1 [Commencement of Works].

PCC 18.1 Provision of Insurances Contractor (a) Evidence of insurance: 14 daysfrom the Commencement Date,(b) Relevantpolicies: 28 days from the

PCC 20.2 Appointment of Dispute Board and signature of the Dispute Agreement(s) by the parties

Employer & Contractor

Within 28 days after the Commencement Date.

2.7. Contractor’s Mobilization Activities

Clause Action Reference Scheduled date GCC 4.22/6.6 Establishment of Site

boundaries, compound, offices etc.

Program To be filled based on Contractor's submitted Program under SC 8.3

GCC 1.1.5.1/4.17 Mobilization of Contractor’s Equipment

Program To be filled based on Contractor's submitted Program under SC 8.3

GCC 1.1.2.7/6.9 Mobilization of Contractor’s Personnel

Program To be filled based on Contractor's submitted Program under SC 8.3

2.8. Payment Procedures

The payment procedures must be consistent with contractual procedures. Basically there are three payments to be made to the contractor- Advance Payment at the startup, Interim Payments during the implementation and Final Payment at the end of the project. In all cases the Contractor submits Payment Statement to the Engineer with all supporting documents; then the Engineer examines the statement and the supporting documents; once satisfied the Engineer will issue Payment Certificate within 28 days from the receipt; the Employer will cause the payment to the Contractor based on the payment certificate issued by the Engineer. The total duration of the payment process must not exceed 56 days. Contractor shall submit interim payment statement after the end of each month, provided the amount is equal or above 1% of the total contract amount as per the contract.

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The following flowchart2 shows payment approval, process and timelines.

2This flowchart, prepared for another ADB funded project, has been posted here as it fits for the purpose.

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2.9. Contract Variation Control Mechanisms

The Engineer may instruct or request the contractor to submit a proposal for variation any time prior to issuing the Taking-Over Certificate for the Works. The Contractor will be bound by each variation, unless he promptly gives the notice to the Engineer stating their inability to deliver for valid reasons. The variation may include change in quantities, change to the qualities, change to the dimensions or positions, omission of any works, additional works, change to the sequence of works etc. The Engineer submits prepares the Variation proposal and submits to the project manager (PM) with all supporting documents. PM verifies if the proposed change is warranted. Any Variation resulting in an increase of the accepted contract amount shall require approval of the Employer. If PM considers that the change is warranted, then he or she will seek Employer’s “approval in principle” on the requested change. After that the Variation will be prepared by the Contract’s Team. Once the PM is satisfied with the contents, he or she will submit for the Employer’s approval. Once the variation is approved the contractor will be bound by it. The Variation or change management is an agile process; it may have to be revised number of times until the approving and verifying team are satisfied.

2.10. Problems and Dispute Resolution Procedure

Any arising problems or disputes shall be discussed in appropriate communication modes, mostly through meetings and face to face talks with the contractor. Its objective is to ensure that the issues can be handled at appropriate level without letting it to escalate. If any dispute could not be resolved, then as per GCC 20.2 disputes shall be referred to the Dispute Board (DB) for decision. Prior to this DB would have been appointed. The whole process will be in accordance with GCC 20 Claims, Disputes and Arbitration.

2.11. Reporting Procedures

One of the key communication method on the project activities is reporting. Contractually this is one of the deliveries to be made at a predetermined frequency. Primarily the reporting includes, reporting from the Contractor to the Engineer and Project Manager, Engineer to Project Manager and ADB, from the Employer to ADB. The following table shows the type of reports and circulation. Report type Circulation3 Responsible Frequency Engineer’s Monthly Progress Report A, B, C, F Engineer Monthly on 10th day of each month

for the previous month Contractor’s Monthly Progress Reports B, C, E Contractor Monthly on 7th day of each month

for the previous month Detailed Works Program B, C, E Contractor Initial issue within 28 days from

Commencement Date, updated as necessary

Contractor’s updated Mobilization Program

B, C, E Contractor Within 28 days from Commencement Date

Construction photographs B, C, E Contractor Monthly, as a part of the Progress Report

Environment Impact and Management Monthly Monitoring Report (water, air, noise, vibration)

B, C, E Contractor Monthly, as a part of the Progress Report

Monthly Safety Report B, C, E Contractor Monthly, as a part of the Progress Report

* 3 The letters A, B, C etc. refer to the entities/people listed under Para 2.3, Table: Key Points

of Contact above.

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Engineer’s Quarterly Report A, B, C, F Engineer Once in every three month for previous quarter

Project Quality Management plan B, C, E Contractor Within 28 days from Commencement Date

Design submittal and Design review Program

B, C, E Contractor Initial issue within 28 days from Commencement Date, updated as necessary

Site Safety Plan B, C, E Contractor Within 28 days from Commencement Date

Project Document Control Procedure B, C, E Contractor Within 28 days from Commencement Date

Document Submittal Register B,C, E Contractor Within 28 days from Commencement Date

List of Laboratory Equipment B,C, E Contractor Within 28 days from Commencement Date

Temporary Traffic Management Plan B,C, E Contractor Within 28 days from Commencement Date

Material Transport Plan B,C, E Contractor Within 28 days from Commencement Date

Interface Management Plan B,C, E Contractor Within 28 days from Commencement Date

Drawings and Specifications for Site Offices and other facilities

B,C, E Contractor Within 28 days from Commencement Date

Contractor’s Environmental Management and Monitoring Plan

B,C, E Contractor Within 60 days from Commencement Date

Contractor’s updated Risk Management Plan

B,C, E Contractor Monthly, First within 60 days from Commencement Date

Topographic Survey Report B,C, E Contractor As and when topographic survey has been completed in each discreet area

As-Built Drawings, records and Reports B, C, E Contractor Before handing over the Works in parts or sections as agreed

Quality Audit Report B,C, E Contractor Quarterly and as required by the Engineer

Nonconformity Report B, C, E Contractor As and when the situation arises Bi-annual Environmental Monitoring Report

A, B, C, F Engineer Bi-annually, at the end of each six month period

Gender Action Plan Bi-annual progress report

A, B, C, F Engineer Bi-annually, at the end of each six month period

Consolidated Annual Report A, B, C, F Engineer Bi-annually, at the end of each six month period

Report on Demobilization, Reinstatement and Clearance of Site

B,C, E Contractor Within 28 days after receiving the Performance Certificate

Project Completion Environmental Monitoring Report

A, B, C, F Engineer Once after completion of construction works

Engineer’s Completion report A, B, C, F Engineer Once within 3 months after completion of construction

Employer’s Completion report A, B, C, E, F Employer Once within six months of physical completion of the project

2.12. List of Records to be maintained

The contractor shall keep the original copy of the records in its office. A non-exhaustive list of records is illustrated in the following table. (P = Paper; E= Electronic) General Documents Document Responsible Location Type Contract and Amendments Employer Head Quarter P (original) & E Specifications, Standards, Drawings Engineer Site+ Main office E Contractor’s submittals Engineer Main Office P & E

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Claim notifications, particulars and evaluations

Engineer Main Office P & E

Contract correspondences Engineer Site+ Main office E and where relevant P

Securities and Guarantees Employer Head Quarters P (original) & E Insurance Policies Contractor Head Office P (original) & E Contractor statements and payment certificates with supporting documents

Engineer Main Office E & where relevant P

Minutes of Meetings Engineer Site + Main Office E Notices under the Contract Engineer Main Office E Site Records Item Headings Weather Date, type, temperature, Inspections Item, date, issues observed Queries Item, date received, date responded Instructions Item, date instructed, follow-on actions Contract Data Item, date issued, revision, Early Warnings Item, date received, follow on actions Testing Item, test date, result, follow up actions Resources Date, Plant, Labor and Equipment on site Materials Submittals Item, date received, clarifications needed, date

approved Contractor’s Documents Item, date submitted, Action Required, date action taken

2.13. Contract Closure Activities and Checklist

A non-exhaustive checklist of the contract closure activities is presented in the following table.

Clause Activity Responsible Timeline

GCC 10.1 Application for a taking over certificate

Contractor Not earlier than 14 days before the completion of Works

GCC 10.1 Issuance of the Taking Over Certificate Engineer Within 28 days after receiving the

Contractor’s application (a) issue or(b) reject the application

GCC 14.9 Certification of payment/return of 50% of the retention Money Engineer After the issuance of the Taking-

Over Certificate for the Works

GCC 14.9 (If used) issuance of a Retention Money Guarantee (RMG) for the release of the second half of the retention.

Contractor After issuance of the Taking-Over Certificate for the Works and the first half of the Retention Money has been certified for payment by the Engineer

GCC 14.10 Statement of Completion Contractor Within 84 days after receiving the Taking-Over Certificate for the Works

GCC 11.1 Notification of Defects Engineer/ Employer

GCC 11.1 Remedying of Defects Contractor ……………………………………..[As may be notified by (or on behalf of) the Employer on or before the expiry date of the DNP for the Works or Section (as the case may be)]

GCC 11.3 End of Defects Notification Period (DNP) and extension thereof (if applicable)

Employer DNP: 730 days …………………………………..

GCC 11.9 Issuance of Performance Certificate Employer

Within 28 days after the latest of the expiry dates of the DNP, or as soon thereafter as the Contractor

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has supplied all the Contractor’s Documents and completed and tested all the Works, including remedying any defects.

GCC 11.11 Clearance of Site Contractor

Within 28 days after receipt by the Contractor of the Performance Certificate

GCC 4.2 Return of Performance Security

Employer Within 21 days after receiving a copy of the Performance Certificate

GCC 14.9 Payment of outstanding balance of Retention Money

Engineer Promptly after the latest of the expiry dates of the DNPs

GCC 14.9 (if an RMG is used): Return of the RMG Employer

Return of RMG: Within 21 days after receiving a copy of the Performance Certificate

GCC 14.11 Application for Final Payment Certificate Contractor

"Draft final statement": Within 56 days after receiving the Performance Certificate

“Final Statement”:After receiving the Engineer's feedback on the "Draft final statement", which the Engineer shall give within 28 days from receipt of said draft

GCC 14.13 Issuance of Final Payment Certificate Engineer

Within 28 days after receiving the Final Statement and discharge in accordance with Sub-Clause 4.11 [Application for Final Payment Certificate] and Sub-Clause 14.12 [Discharge]

3. Dynamic Components3.1. Risk Management Plan

Risk event, mitigation plan and allocation are illustrated in the following table.

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Event Probability Impact Risk Mitigation Timeline Responsible Delay in Contractor’s right of access to the site

Medium High Ensure landacquisition is fullycompleted

Ensure advanceaction for handingover of site

Ensure regularmeetings forinterdepartmentalclearances

Prior to contract award,

Executing Agency, Implementing Agency, and Project manager

Delay in contractor’s mobilization

High High Careful assessmentof the capacity of thecontractor to mobilizepersonnel andequipment

Contractualcommitments to becarefully examined

Procurement stage

Mobilization period, then continuously

Procurement team

Contractor

Contractor not experienced in ADB projects

Medium High Present detailsduring kick-offmeeting(s)

Request training ofcontractor’s staff

Encourage contractorto hire experiencedproject manager

Upon Contract effectiveness

Project manager

Contractor’s project manager

Inexperienced project team

High High Training for all teammembers

Deployingexperiencedconsultant’spersonnel

Upon Contract effectiveness

Project manager

Single foreign contractor is inexperienced in the country

Low High Engineer to closelymonitor the materials,works andsubcontractingarrangements andensure qualified,approvedsubcontractorsworking on-site

Kick-off meeting, and continuously

Engineer and Project manager

Delay in payment Low High Ensure paymentprocedure meets thetimeline

Contract period Project manager

Insufficient cash flow of the contractor affecting the progress of works

Medium High Careful assessmentof the capacity of thecontractor to mobilizefinancial resources atthe procurementstage

Ensure the funds forthe project works areavailable andadvance paymentand interim paymentamounts are notdiverted elsewhere

Procurement stage and

Continuously

Procurement team

Contractor

Engineer and Project manager

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Ensure payments tothe contractor are notdelayed

Contract rates become unrealistic due to high volatility of market prices of certain materials

Medium High Ensure thatContractor isprepared for thecontract where priceadjustment clause isnot applicable

Procurement stage Contractor and Procurement team

Unofficial subletting Works whole or in parts to another contractor who has no capacity to manage the Contract

Low High Ensure that thesubcontracting meetsthe requirements ofGeneral Conditionsof Contract (Clause4.4)

Ensure the capacityof the subcontractorprior to giving theconsent

Continuously

When Contractor requests for the consent and as soon as subcontractors are noticed at site

Contractor

Engineer

Poor quality and inadequate equipment mobilized

High High Ensure thatEquipment mobilizedmeet the technicalrequirements

Continuously Contractor

Delay in work progress and deliveries

High High Monitor day to dayprogress and ensurethat works are carriedas per the program

Continuously Contractor,

Poor quality supply and installation

Medium High Careful assessmentof the selection of thespecializedsubcontractor

Ensure that theplants andinstallations meet thetechnical requirementand approved prior tothe supply

Procurement stage

Prior to the supply and installation, then continuously

Procurement team and Project manager

Contractor, Engineer and Project manager

Poor quality materials used

High High Ensure the qualitycontrol andassurance are inplace and ensure thatthe materials meetrequirements of thespecification

Continuously Engineer

COVID-19 and other pandemics

High High Ensure Contractor’shealth and safetymanagement planinclude the pandemicsituation

Prior to tendering Procurement team

Low awareness about site-specific environmental issues

Medium High Make environmentalmanagement plan aspart of the contract

Prior to tendering Procurement team

Risk of personal injury, death, or loss or damage to property

Low High Ensure adequateinsurance policieshave beenmaintained

Upon contract effectiveness, then quarterly

Project manager

Natural disaster Low High Ensure adequate Upon contract Project

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insurance policies have been maintained

effectiveness, then quarterly

manager

Delays in carrying out dispute resolution mechanism

Medium High Appoint DisputeBoard in accordancewith the PCC 20.2

28 days after the commencement date

Executing Agency and Contractor

3.2. Contractual Milestones including critical path

Insert the Work Program to be submitted by the Contractor here.

3.3. Contractor Performance Management System4

The following Table shows the contractor performance management system. Each performance is marked between 1 and 4, and each section is given a weight to arrive at total 100%. The key performance indicators (KPI) should be assessed at least quarterly, if not monthly.

[Month/Year] S.

Nos. Key Performance Indicators Weight/Mark

A. Work Program (5% for completed works and 10% for ongoing works) 10% 1 Contractor submitted work program within 28 days from the commencement

date Fill in 1/2/3/4

2 Program is complete with an order to carry out works, timing, documents, construction, sequence and timing of tests, work method, and personnel and equipment requirement with mobilization schedule

3 Revised program is submitted in response to the Engineer’s noticeSubtotal A

B. Personnel (5% for both completed and ongoing works) 5% 1 In case of joint venture (JV), the JV agreement is complied with and the lead

partner is actively engaged 2 Contract manager is from the lead partner 3 Contract manager performs his or her duties timely and efficiently 4 Contractor’s personnel are qualified and mobilized as per schedule5 Contractor provides adequate technical and financial support to the

authorized site representatives on-site Subtotal B

C. Equipment (5% for completed works and 10% for ongoing works) 10% 1 The equipment is in good condition and maintenance arrangements are in

place 2 The equipment logbook is properly maintained

Subtotal C D Facilities (5% for both completed and ongoing works) 5%

1 Laboratory with all the testing facilities established 2 Safety procedures and equipment are available on-site 3 General Health and safety measures

Subtotal D E Health Safety measures for COVID-19 or other pandemics 5%

4 The example of contractor performance management system given in the Appendix 3, ADB Contract Management, Guidance Note June 2018 is found fully applicable for this project and hence it has been proposed with minor modifications for SRRP.

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1 Health and safety and plan is submitted and updated according to the local government regulation amended from time to time

2 Health and safety measures for COVID-19 or other pandemics according to the local government regulation Subtotal E

F Management Plans (5% for completed works and 10% for ongoing works)

10%

1 Site management, construction management, and environmental management plans are developed and are implemented

2 Computer-aided construction programs to develop Gantt chart, S-curves, and earned value management are being used by the contractor

3 Construction risk management plan is in place Subtotal F

G Regulations (5% for completed and ongoing works) 5% 1 The labor regulations including wages, taxes, gender equality are complied

with and insurances are covered 2 Royalties, rents, and other payments as per the law of the country are paid

on time and records are maintained Subtotal G

H Subcontracting (5% for completed and ongoing works) 5% 1 All subcontractors are approved by the Engineer 2 Performance of subcontractors are duly monitored by the main contractor

Subtotal H I Work Productivity and Progress(25% for completed and ongoing

works) 25%

1 Construction drawings are produced in time satisfactory to the Engineer 2 Contractor records their daily work productivity and resource deployment 3 Contractor monitors the resource performance regularly, monitors progress

through weekly progress reports, and submits monthly progress report to the Engineer in due time

4 The progress is in accordance with the original or approved revised program 5 Quality control tests are carried out as per the specifications and test

records are maintained on-site 6 Payment applications are submitted in time with accurate and complete

supporting documentation Subtotal I

J Extension of Time (10% for completed and ongoing works) 10% 1 No extension of time except due to employer’s delays, major variations or

force majeure situations 2 Delay damages are levied as per the contract for extension of time due to

delays by contractor Subtotal J

K Variations (10% for completed and ongoing works) 10% 1 The Engineer’s variation instructions are addressed properly2 Contractor does not abuse variation/value engineering as a delay tactic

Subtotal K L Work Completion and Handing Over (5% for completed and not

applicable for ongoing works) 5%

1 The tests on completion were carried out 2 Contractor facilitated Employer’s taking over of works by meeting all

contractual obligations Subtotal L

M Defects Liability (5% for completed and not applicable for ongoing works)

5%

1 Outstanding works and defects rectification are carried out as per the Engineer’s instruction

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Subtotal M N Disputes (5% for completed and not applicable for ongoing works) 5%

1 No dispute 2 Disputes resolved in accordance with the contract

Subtotal N OVERALL TOTAL FOR [MONTH/YEAR]

Uzbekistan: TA-9847 UZB: Preparing the Surkhandarya Regional Road Project

SECTOR ASSESSMENT (SUMMARY): ROAD TRANSPORT [NON-URBAN] IN UZBEKISTAN

A. Sector Road Map

1. Sector Performance, Problems, and Opportunities

1. With nearly 34 million inhabitants in 2020, Uzbekistan is Central Asia’s most populouscountry. It has the second largest landmass and economy after Kazakhstan. Gross DomesticProduct (GDP) grew at about 8% per year from 2005 to 2015. Growth slowed to 6.1% in 2016,4.5% in 2017, 5.4% in 2018, and 5.6% in 2019 because of lower commodity prices, a slowdownin Uzbekistan’s main export market (the Russian Federation), and foreign exchange reform.1

The outlook for 2020 indicates even lower growth rate of 1.5% due to the impact of the coronavirus pandemic (COVID-19). Transportation indicators for the 1st quarter of 2020 show a decrease in import and export volumes due to restrictions imposed by neighboring countries. Inland traffic decreased by 33.7%, air traffic by 52.5%. In the peak of quarantine, a sharp decline was observed in all types of transport modes. Due to quarantine measures (2-week drivers’isolation) cost of transportation increased2. To overcome existing problems, it’s required to takeopportunistic actions such as developing alternative routes, optimization of intermodal transportation modes, coordinating inter-border management. Economic growth is forecasted to improve to 6.5% growth by 2021.3

1.1. Transport Sector Overview

The Ministry of Transport is the policymaker for the transport sector. It is also responsible for supervising and coordinating departments and committee such as: (i) the transport development and logistics; (ii) the automobile and river transport development; (iii) the railway transport development; (iv) the air transport development; (v) the committee of roads4. Formerly known agencies: transport development and logistics, the automobile and river transport development, the air transport development, a subsidiary of Uzbekistan Temir Yollari (Railway inspection), and the committee of roads transformed into departments under Ministry of Transport except JSC “Uzbekistan Temir Yollari” which is an independent state entity.

1.1.1. Railways. Uzbekistan has 6,950 route-kilometers (km) of rail track, of which 2,500 km is electrified. Continuous welded rail has been installed on 2,300 track-km, with 3,700 track km of reinforced concrete sleepers. The investment focus in railways, since Uzbekistan became independent from the Soviet Union in 1991 has been on building new lines to reach at international seaports such as Bandar Abbas, Chabahar (Iran) and Karachi (Pakistan) through neighboring countries5.

Civil Aviation. The Civil Aviation Agency ensures flight safety in civil aviation and experimental aviation, as well as protection from acts of unlawful interference6. Uzbekistan’s largest

1 Asian Development Bank (ADB). Asian Development Outlook 2020: What Drives Innovation in Asia? 2020. 2 Ibragimova D.T. Impact Assessment of the Coronavirus Outbreak on the Transport industry of Uzbekistan and Mitigation Measures, Institute for Forecasting and Macroeconomic Research, 2020 3 Asian Development Bank (ADB). Asian Development Outlook 2020 Supplement. June 2020. 4 Ministry of Transportation, https://mintrans.uz/ru/tashkiliy-tuzilma 5 http://uzrailpass.uz/site/article?id=5 (as retrieved as of 16 November 2020). 6 https://www.lex.uz/docs/4300843

Annex 11

2

international airports are the Islom Karimov International Airport (Tashkent), followed by Bukhara, Navoi and Samarkand. On January 27, the government and the World Bank reached an advisory services agreement to modernize the country’s civil aviation sector. World Bank experts are developing a strategy, whose principal recommendations include sector liberalization and the introduction of modern management methods.7 A new regional carrier, Humo Air, is being created to increase competition to the State-owned Uzbek Airways, and to meet passenger demand. Due to monopoly Uzbek Airways airfare is overpriced and substantial state funds allocated during COVID-19 pandemic but lack of transparency and control of spendings much of the subsidies utilized inefficiently.

1.1.2. Inland waterways. Inland waterway traffic is concentrated on the Amu River, which flows east–west from Tajikistan and Afghanistan at the Uzbek–Afghan border, turning northwesttoward the Aral Sea, bordering Turkmenistan.8 Because Uzbekistan is a downstream riparian, water flow in the Amu and Syr Darya (Oxus and Jatarxes) rivers is irregular, which has an adverse impact on watercraft, including fishing vessels and ferries. The Aral Sea has largely dried up because it is no longer fed by waterflow from the Amu and Syr Darya, which have been heavily used for irrigation since Soviet Era. The Ministry of Transport reported that Uzbekistan has got 224 water vessels (including 132 transportation vessels, 74 technical ships, 14 auxiliary vessels, and 4 floating pontoon bridges) for the use on inland waterways and water reservoirs9.

1.2. Development Challenges

An inadequate transport network and poorly maintained roads have a negative impact on Uzbekistan’s inland and international trade. One of the main reasons for high transportationcosts is the lack of a high-speed highway network in the Republic. Uzbekistan has a large enough potential for the export of agricultural, industrial products and labor. Internationally, long distances, high transportation costs, and low regional integration limit Uzbekistan’s access to economic centers in China and Western Europe. Limited connectivity with neighboring countries and international economic growth poles hampers job creation and commercial growth. One of the challenges is competing transportation routes which connect China and Europe one passes through Kazakhstan and the other one passes through Uzbekistan. To attract more transit inland traffic Uzbekistan has to develop/revise a number of legislatives and technical documentation on elimination unnecessary check ups at the regional police stations, upgrading existing international roads to meet international norms and standards. Travel speed (condition related), traffic safety (human life related) and road side infrastructure (business related) are the main issues in upgrading existing international roads. As such, continued investment in the transport sector is essential to support the country’s economic growth. The principal modes of surface transport are road and rail transport. In 2019, the share of road transport in the total volume of cargo transportation reached 89.2% whereas the share of rail transport was estimated at 5.3%.10 The review of existing international transport corridors and developing new alternative routes, stress assessment under different socio-economic conditions, environmental impact assessment are the key development challenges.

1.3. Opportunities

7 https://www.worldbank.org/en/news/press-release/2020/01/27/world-bank-continues-its-support-to-civil-aviation-sector-reform-in-uzbekistan 8 Asian Development Bank. Country Partnership Strategy: Uzbekistan 2012–2016. https://www.adb.org/sites/default/files/linked-documents/cps-uzb-2012-2016-ssa-01.pdf 9 https://mintrans.uz/daryo-transporti 10 State Committee of the Republic of Uzbekistan on Statistics. Socio-Economic Situation of the Republic of Uzbekistan for January

– December 2019.

3

Historic trading links with neighboring countries and with the Russian Federation greatly diminished after the dissolution of the Soviet Union, when Uzbekistan was part of a vast, integrated economy. With improved transport links, especially in the road sector, there is an opportunity to expand trade in the context of a new political reality. Owing to its geographic location in the heart of Central Asia, Uzbekistan plays a central node in the CAREC program. Three out of six CAREC corridors transit through the country. These six transport corridors were established to enhance trade across Central Asia, in the expectation that doing so would improve competitiveness of local industry and foster regional cooperation. Uzbekistan’s role as a connector will help to reduce time and costs at border crossing, to develop sustainable, safe, user-friendly transport and trade networks. However, administrative roadblocks at the borders, for instance, high tariffs and slow customs clearance, are contributors to diminished trade. The Transport and Trade Facilitation Strategy 2020 aims to establish competitive corridors across Central Asia Regional Economic Cooperation (CAREC) region.11

a. Road Network

2. Uzbekistan has a dense road network with 42,695 km of which 98% is paved. The public roadnetwork consists of (i) international roads (3,981 km), (ii) national roads (14,100 km), and (iii)local roads (24,614 km).12 The more densely trafficked roads suffer from backlogs in periodicmaintenance and rehabilitation, with an International Roughness Index13 sometimes exceeding 7(reflecting roads in fair to poor condition). International and national roads in Uzbekistan haveintensive traffic but have not yet reached the optimal levels of traffic load. Most sections of theroad with low transport and operational qualities (insufficient evenness and adhesion coefficient,high accident rate), which has a significant impact on transport costs, fuel consumption, cost oftransportation, damage from transportation costs. Much road deterioration is due to aginginfrastructure, which needs both structural and safety upgrades.

b. International Trade

3. International trade plays an important role in Uzbekistan’s economy. Exports as a percentageof foreign trade turnover at about 42.4% (30% of GDP) and imports at about 57.5% (38% of theGDP). Uzbekistan’s major trading partners are the People’s Republic of China (18.4% of GDP),the Russian Federation (14.5% of GDP), Kazakhstan (8.1% of GDP), the Republic of Korea (6.5% of GDP) and Turkey (5.7% of GDP).14 Uzbekistan’s economy is diversifying rapidly. High-value agricultural products (fruits and vegetables) are in high demand in the Russian Federation, Kazakhstan, China and other European countries, such as Germany and Latvia. Horticulture products represent 6.7% of Uzbekistan’s total exports. The Kyrgyz Republic (30.7% of GDP),Kazakhstan (22.6% of GDP), Russia (12.3% of GDP) and Turkey (9.5% of GDP) are the main export destinations.15 Demand growth for horticulture products is expected to exceed that for other exports. Perishable products depend upon a well-functioning and smooth road transport, underlining the importance of improving major trade corridors.

11 Asian Development Bank (ADB). Trade Impact of Reducing Time and Costs at Borders in the Central Asia Regional Economic Cooperation Region. March 2020. WORKING PAPER NO: 1106 12 Official web-site of the Committee for Roads, http://www.uzavtoyul.uz/en/page/avtomobil-yo-llarining-holatini-ko-rsatuvchi-ochiq-elektron-xaritasi.html 13 The International Roughness Index (IRI) is the roughness index most commonly obtained from measured longitudinal road profiles. It is calculated using a quarter-car vehicle math model, whose response is accumulated to yield a roughness index with units of slope (in/mi, m/km, etc.), where the higher index means worse road condition. 14 State Committee of the Republic of Uzbekistan on Statistics. Socio-Economic Situation of the Republic of Uzbekistan for January–

December 2019. https://stat.uz/uploads/docs/tashqisavdo_press_uzb.pdf 15 Ibid.

4

c. Sector Organization

4. The government has reorganized transport sector institutions several times. Policy andregulatory initiative comes principally from the Office of the President and Cabinet of Ministers.The Ministry of Transport (MOT) was established to develop and implement a unified state policyfor road, rail, air, river and urban transport. It also carries out state regulation of transport androad agencies. A Presidential Resolution approved the organizational structure of the MOT.16

ADB’s principal counterpart is the Committee for Roads, which designs, builds, and operates thenational and regional road network. Local roads are controlled by regional and municipal governments (known in Uzbekistan as “khokimiyats”).

d. Road Sector Planning and Road Transport Financing

5. Road construction is planned over a 5-year horizon in parallel with the government’s medium-term budget planning. Five-year plans are anchored in legislation, which provides an effectivemechanism to implement the plan17. The plans are updated annually. For this purpose, an inter-ministerial commission conducts regular visual surveys, usually in Spring and Autumn. Fundsare allocated to priority projects based on revenue forecasts. The survey results are screenedfor technical and financial soundness. Proposals that pass the screening are included in theinvestment program for final consideration by the Cabinet of Ministers.

6. Prior to the currency reform of 2018, road construction and maintenance were financed by anExtra Budgetary Fund (EBF) known as the Republican Road Fund.18 The Republican Road Fundwas funded with earmarked revenues from turnover and fuel taxes. As of 2019, national roadfunding flows through the central budget and is under the supervision of the Ministry of Finance.The new Road Fund is an administrative arrangement and no longer an EBF with earmarkedrevenue. In parallel, a new agency called “Avtoyulinvest” has been established to implementdonor-funded investment projects.19 Monies for local roads is controlled at the regional level funded by transfers from the central budget as well as local taxes.20

7. For 2020, the investment portfolio consists of 135 projects, of which 105 are under thesupervision of the Committee for Roads. The total value of the transport sector projects for 2020is to USD 6,447.7 mln. About one quarter, USD 1,620 mln, is financed from the State budget.Donor funding is estimated to be USD 2,085.4 mln. In addition, these projects are financed bythe Uzbek Fund for Reconstruction and Development (UFRD) (USD 724 mln), foreign directinvestments (USD 197.5 mln), equity capital (USD 1,660 mln) principally from State-ownedenterprises, and commercial bank loans (USD 160.6 mln), which also come principally fromState own banks21.

16 Resolution of the President of the Republic of Uzbekistan No. PP-4143 “On the organization of activities of the Ministry of Transport of the Republic of Uzbekistan” dated 01 January 2019.

17 The current 5-year road plan is anchored in the Presidential Decree of the Republic of Uzbekistan “On measures to deepen thereform of the road system of the Republic of Uzbekistan” dated 9 December 2019 No. UP-5890, which provides for the contents ofthe plan in terms of engineering specifications and corresponding budgets

18 Resolution of the President of the Republic of Uzbekistan No. PP-4086 “On the forecast of the main macroeconomic indicators and parameters of the state budget of the Republic of Uzbekistan for 2019 and budget guidelines for 2020–2021” dated 26 December 2018. The Republican Road Fund under the Ministry of Finance was reassigned to the Cabinet of Ministers by the Presidential Resolution No. PP-2776 dated 14 February 2017.

19 Resolution of the President of the Republic of Uzbekistan No. PP-4545 “On measures to further improve the road management system” dated 09 December 2019.

20 Resolution of the President of the Republic of Uzbekistan No. PP-5468 “On the concept of enhancement of tax policy of theRepublic of Uzbekistan” dated 29 June 2018. The mandatory contribution of 3.2% levied on turnover (revenue) to state trustfunds, including the Road Fund, was eliminated in the 2019 budget; and several tax changes have been introduced, as envisaged by the Tax Policy Improvement Concept approved by the Presidential Resolution.

21 https://mintrans.uz/en/investitsion-salohiyat

5

8. The Presidential Decree No. UP-589022 calls for a consistent reduction of budgetaryinvestment. The gap in investment is supposed to be made up by public-private partnerships(PPPs). In May 2020, the MOT and the Public-Private Partnership Development Agency underthe Ministry of Finance (under the Ministry of Finance) signed a plan which calls for the tenderingof eight major PPP projects in the area of transport for 2020-2022.23

2. Government’s Sector Strategy

9. The government has undertaken several road network development initiatives between 2017and 2020.24 These initiatives include (i) enhancing road infrastructure, improving the quality ofroads, and creating the conditions for the safe movement of all road users; (ii) PPPs in thedesign, construction, reconstruction, and overhaul of public roads; (iii) PPPs for an integratedtraffic monitoring systems and intelligent video cameras; paid parking spaces and paid parkinglots; and the construction of roadside infrastructure, with the investor and/or business entityundertaking obligations to improve land along the highways; and (iv) building driver trainingfacilities.25

10. The Cabinet instructed various ministries, including the MOT, Ministry of Economy, theMinistry of Finance, the Ministry of Investments and Foreign Trade to submit, by September 1,2020, a Strategy for the Development of Roads up to 2030. The aim of the Strategy is toincrease the transit and logistics capacity of Uzbekistan by developing an integrated network ofmodern roads and expressways built to international standards.26

B. Major Development Partners: Strategic Focus and Key Activities

11. The ADB has been the lead agency in the transport sector in Uzbekistan since 1998. It hasimplemented many projects in road, rail, customs cooperation, and trade facilitation activitiesunder the CAREC Program, of which Uzbekistan is a member. Other donors include the ArabCoordination Group, the EBRD, the World Bank, Asian Infrastructure Investment Bank (AIIB)and the Government of the PRC. Road infrastructure development has largely been supportedby ADB, JICA, the World Bank, the Exim Bank of China, the Arab Coordination Group includingthe Saudi Fund for Development, the Kuwait Fund for Arab Economic Development, and theIslamic Development Bank.

12. Since 1996, ADB has supported Uzbekistan’s transport sector through lending and non-lending activities, including (i) technical assistance (TA) for preparing projects, either as stand-alone projects or as part of a multitranche financing facility; (ii) TA studies for policy reform in road transport; and (iii) loans to support road development projects. Other donors have done the same. A list of recent road projects is shown in Table 2.

22 Decree of the President of the Republic of Uzbekistan No. UP-5890 “On measures to fundamentally reform the road system of the Republic of Uzbekistan” dated 09 December 2019.

23 Public-Private Partnership Development Agency under the Ministry of Finance of the Republic of Uzbekistan (PPPDA). Newsletter: PPP in the Context of Pandemic. May – June 2020.

24 Resolution of the President of the Republic of Uzbekistan No. PP-4035 dated 27 November 2018; Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 990 dated 05 December 2018; Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 747 dated 20 September 2018 etc.

25 Resolution of the President of the Republic of Uzbekistan No. PP-3127 dated 11 July 2017; Resolution of the President of the Republic of Uzbekistan No. PP-4035 dated 27 November 2018; Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 990 dated 05 December 2018; Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 747 dated 20 September 2018; Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 377 dated 19 May 2018.

26 Decree of the President of the Republic of Uzbekistan No. UP-5890 “On measures to fundamentally reform the road system of the Republic of Uzbekistan” dated 09 December 2019.

6

Table 2: Major Development Partners

ACG = Arab Coordination Group, ADB = Asian Development Bank, IsDB = Islamic Development Bank, China Exim Bank = Export–Import Bank of China.Sources: Resolution of the President of the Republic of Uzbekistan No. PP-4563 “On Measures to Implement the Investment Program of the Republic of Uzbekistan for 2020 – 2022” dated January 09, 2020; The Central AsiaRegional Economic Cooperation (CAREC) Transport Strategy 2030.

C. Institutional Arrangements and Processes for Development Coordination

13. At the regional level, ADB has led activities for CAREC, which serves as the developmentcoordination mechanism for transport, customs, and trade facilitation in its member countries.27

Under the CAREC Program,28 member countries and donors have worked together to completeroad corridor investments, paying more attention to the sustainability of road infrastructure, roadsafety, and road asset management.29 Institutional and financial reforms in the road transportsubsector will help improve road maintenance practices and enhance road asset life cycles.

14. In Uzbekistan, the government leads a transport sector donor coordination group, whereADB has the lead role in the road and rail transport subsectors. ADB has used this mechanismto build good working relations with other donors, and ADB’s Uzbekistan Resident Mission hasplayed a significant role in this regard. ADB has discussed the proposed project’s physical andnonphysical components with these transport development partners to ensure harmonizedefforts. The proposed project’s key features are built on lessons learned from completed and ongoing projects and are consistent with Uzbekistan’s road transport subsector reforms.

15. The Interagency Council on Cooperation under the Cabinet of Ministers supervises theimplementation of large and strategically important investment projects financed by donors. TheDepartment of Loan Attraction and State Guaranteeing under the Ministry of Finance

27 The CAREC countries are Afghanistan, Azerbaijan, Georgia, Kazakhstan, the Kyrgyz Republic, Mongolia, Pakistan, the PRC (Xinjiang Uygur Autonomous Region and Inner Mongolia Autonomous Region), Tajikistan, Turkmenistan, and Uzbekistan.

28 The CAREC development partners are Asian Development Bank (ADB), European Bank for Reconstruction and Development (EBRD), International Monetary Fund (IMF), Islamic Development Bank (IsDB), United Nations Development Programme (UNDP), World Bank.

29 ADB. 2017. CAREC 2030: Connecting the Region for Shared and Sustainable Development. Manila.

Development Partner

Project Name Duration Amount ($ million)

ADB Reconstruction of Karshi–Shakhrisabz–Kitab Road (77 km) 2020-2023 198.0 Reconstruction of the A-380 road Guzar–Bukhara–Nukus–Beyneu(km 228–315 section)

2020-2023 150.0

Railway Efficiency Improvement Project Electrification of Pap–Namangan–Andijan railway section

2020-2021 2017-2021

170.0 80.0

Reconstruction of Tashkent–Osh road (km 173–176 section) 2020-2021 4.4

ACG Reconstruction of the 4P87 road Guzar–Chim–Kukdala(km 38–73 section)

2011-2022 51.0

IsDB Reconstruction of the M39 road Tashkent–Termez (km 1395 — 1400and km 1410 — 1426 sections)

2020-2021 27.5

World Bank Regional Roads Development Project 2019-2022 200.0

China Exim Bank

Modernization of JSC "Shargunkumir" with increase of capacity up to 900 thousand tons of coal

2017-2020 89.8

Construction of the metropolitan ring around Tashkent city 2017-2021 60.5

7

coordinates development assistance. The Ministry of Finance and the Ministry of Investments and Foreign Trade also coordinate and monitor donor projects on behalf of the Government.

D. ADB Experience and Assistance Program

16. Since 1995, ADB has committed loans, grants, and technical assistance to Uzbekistan,totalling USD 8.67 billion. USD 1,777.87 million was used to fund 34 transport projects.30 Theexisting ADB portfolio consists of five projects totaling USD602,4 million.31 Lessons learnedfrom these projects are: (i) project should use international design and construction standards;(ii) a strong project management unit (PMU) aligned with the Committee for Roads isindispensable for successful implementation; (iii) lengthy internal processes explain delays inobtaining governmental approvals for contracts awards, RAMS, and community and genderdevelopment plans; and therefore (iv) capacity-building ought to be a focus of ADB’s efforts so that approval processes can be streamlined and procurement and contract management improved.

17. ADB has supported road transport reforms since 1998.32 It has helped restructure thesubsector into more functional and rational areas of competence and responsibilities. Reformshave included: (i) sector unbundling, by separating road transport operation and roadconstruction; (ii) separating the RRF from Uzavtoyul to make the RRF a quasi-independentorganization under the assistance of a multitranche financing facility; and (iii) promotingcompetitive bidding for road construction works. Additional reform measures introduced in 2006reorganized the construction concepts applied to primary highways, improved the legal andregulatory framework of road construction, and improved road safety and reliability.33

18. The Law “On Roads” (2007)34 provides the broad basis for private sector participation in thefinancing and construction of roads, including toll roads. It also distinguishes road ownershipand the responsibilities of road institutions, including district governments. In this regard, theCommittee for Roads and khokimiyats (municipalities) have assumed the status of a client inrelation to contractors, enabling them to award and implement contracts, a role previously filledby Uzavtoyul. With ADB support, equipment operations and ownership were removed fromUzavtoyul and placed in the hands of a road equipment pool company, assembling (automotive)road construction equipment to help create opportunities for the fledgling private contractingindustry to participate.

19. ADB is assisting the government through knowledge and support TA to address thereforms.35 The TA will develop a road transport development strategy, and an action plan will bedeveloped in consultation with all stakeholders. The TA will produce a road transportdevelopment strategy and a time-bound gender- and socially inclusive action plan to identify thepriority reforms needed in the road transport subsector and guide the government in theirimplementation. The strategy will outline enhanced institutional arrangements in the roadtransport subsector, including the roles and responsibilities of government institutions and theprivate sector. It will also generate options for further development of subsector institutions. The

30 Asian Development Bank and Uzbekistan: Fact Sheet. May 2020. https://www.adb.org/sites/default/files/publication/27811/uzb-2019.pdf

31 Resolution of the President of the Republic of Uzbekistan No. PP-4563 “On measures to implement the investment programs of the Republic of Uzbekistan for 2020-2022” dated 09 January 2020

32 ADB. 1998. Report and Recommendation of the President to the Board of Directors: Proposed Loan and Technical Assistance Grant to the Republic of Uzbekistan for the Road Rehabilitation Project. Manila.

33 Resolution of the President of the Republic of Uzbekistan No. PP-535 “On measures for development of public roads for 2007-2010” dated 20 December 2006.

34 Law of the Republic of Uzbekistan No. 117 “On Roads” dated 02 October 2007.35 ADB. 2020. Road Subsector Development Strategy and Action Plan (TA-9987 UZB). Manila.

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TA will identify appropriate road maintenance strategies for Committee for Roads and identify modern road cross-sections with road infrastructure. It will include a methodology for prioritizing investments in road transport, and articulate additional financing options for private sector investments. The government will closely monitor the action plan using a monitoring framework containing key sex-disaggregated performance indicators.

Problem Tree for Road Transport Sector

Gaps in the existing legislation are filled in

ad-hoc manner by decrees

Inefficient road infrastructure

Lack of attention to sustainability

Insufficient investment

Weak institutional capacity

Increasing gap between demand for infrastructure and supply of resources

Lack of clear separation of client and supplier functions in the road

sector

Deficient road asset management system

Inadequate funding and allocation of available

funds

Scarcity of trained and experienced staff

Increasing volume of needs

IMPACT

CAUSES

CORE ISSUE

Budget shortfall

Lack of private sector investment in infrastructure

Obsolete technical standards and

guidelines for road engineering and traffic

safety

Lack of separation between enforcement

and regulatory functions in terms of road safety

Overloading of trucks damages road infrastructure

Lack of modern ICT

Insufficient outsourcing of tasks to the private

sector

Under-developed transport links with major trading

partners

High transportation costs, excess wear-and-tear on

private vehicles

Uzbekistan: TA-9847 UZB: Preparing the Surkhandarya Regional Road Project

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TASK 5: INSTITUTIONAL ASSESSMENT OF THE COMMITTEE FOR ROADS

1.1 Introduction 1.1.1 Background and scope of the report

1. The Government of Uzbekistan has requested the Asian Development Bank (“ADB”) toprovide technical assistance support for preparing the Surkhandarya Regional Road Project(the “Project”). The length of the projected road between Derbent and Denau is about 111km long. The Project envisages upgrading the existing severely deteriorated two-lane roadto international standard with an expected 20-year service life. ADB has engagedconsultants to perform several tasks including a comprehensive institutional assessment ofthe Committee for Roads under the Ministry of Transport of Uzbekistan (the “CR”) andproviding recommendations for further improving the CR’s institutional capacity in managingthe road sector of Uzbekistan.

2. Scope of the Report regarding Institutional Assessment of the CR (Task 5):

(i) Review the laws, regulations and other administrative provisions that set out the CR’sresponsibilities, resources, budget procedures, planning, monitoring and otherparameters relevant for an agency that is tasked with managing the country’s primaryroad network;

(ii) Based on this, prepare a gap analysis setting out what the CR now is and does, andwhat as a modern road management agency what it should be and should do;

(iii) Recommend approaches to addressing the identified gaps, including throughadditional or different staffing, training, greater outsourcing of tasks to the privatesector, and additional focus on non-traditional engineering aspects such as roadsafety, access to transport by disabled people, etc.;

(iv) Based on these recommendations, and in consultation with the CR and ADB, preparea program of capacity building and training for the most critical of the identified gaps,for possible inclusion in the scope of the proposed project.

1.1.2 Methodology and approach 3. In accordance with the action points specified in the Terms of Reference, we plan to divide

our scope of work into four stages:

(i) Revision of the current regulatory framework applicable to the management of the roadnetwork of Uzbekistan with a primary focus on the instruments that regulate the CR’sfunctions and activities;

(ii) Conducting a gap analysis identifying the current state of the CR and comparing it withthe international good practices;

(iii) Providing feasible recommendations to enhance the revised frameworks and resolveidentified bottlenecks;

(iv) Drafting a capacity building and training program for the most significant identifiedgaps.

Annex 12

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2

4. Our methodology in performing the work at each stage will include a data review, deskresearch, analysis of case studies and best practices, conducting meetings andconsultations with key stakeholders. Below is a workflow summary for each stage:

(1) Revision of the current regulatory framework applicable to the management of theroad network of Uzbekistan with a primary focus on the instruments that regulate the CR’s functions and activities

5. This stage involves a diagnostic review of the current regulatory framework that applies tothe CR’s activities as an agency authorized to manage the country’s road network. Thedocumentation to be reviewed at this stage includes the following:

(i) The Decree of the President of the Republic of Uzbekistan “On Measures to FurtherImprove Road Management” (No. UP-4954 dated 14 February 2017);

(ii) The Resolution of the President of the Republic of Uzbekistan “On organization of theState Committee for Roads of the Republic of Uzbekistan and the Republican RoadFund under the Cabinet of Ministers of the Republic of Uzbekistan” (No. PP-2776dated 14 February 2017);

(iii) The Regulation “On the State Committee for Roads of the Republic of Uzbekistan”(approved by the Resolution of the Cabinet of Ministers of Uzbekistan No. 221 dated15 April 2017);

(iv) The Regulation “On the Republican Road Fund under the Cabinet of Ministers of theRepublic of Uzbekistan” (approved by the Resolution of the Cabinet of MinistersNo.222 dated 17 April 2017);

(v) The Resolution of the President of the Republic of Uzbekistan “On measures toFurther Improve Road Sector” (No. PP-4545 dated 9 December 2019);

(vi) The Decree of the President of the Republic of Uzbekistan “On Measures toFundamentally Improve the System of Public Management in the Transport Sector”(No. UP-5647 dated 1 February 2019);

(vii) The Resolution of the President of the Republic of Uzbekistan “On the organization ofactivities of the Ministry of Transport of the Republic of Uzbekistan” (No.PP-4143dated 1 February 2019);

(viii) The Decree of the President of the Republic of Uzbekistan “On measures foradvanced reform of the road management of the Republic of Uzbekistan” (No. UP-5890 dated 9 December 2019);

(ix) The Regulation “On the fund for the development and support of the Committee forRoads under the Ministry of Transport of the Republic of Uzbekistan” (approved by theResolution of the Cabinet of Ministers of Uzbekistan No.924 dated 21 November2019);

(x) The Resolution of the Cabinet of Ministers of the Republic of Uzbekistan “Onmeasures for the organization of activities of the special purpose funds for thedevelopment of roads under the Ministry of Finance of the Republic of Uzbekistan andthe main financial department of regional and district khokimiyats of Tashkent city, theMinistry of Finance of the Republic of Karakalpakstan” (No.123 dated 05 March 2020);

(xi) The Regulation “On the Committee for Roads under the Ministry of Transport of the

Uzbekistan: TA-9847 UZB: Preparing the Surkhandarya Regional Road Project

3

Republic of Uzbekistan” (approved by the Resolution of the Cabinet of Ministers ofUzbekistan No.295 dated 19 May 2020);

(xii) The Decree of the President of the Republic of Uzbekistan “On measures for theaccelerated reformation of the enterprises with the participation of the state andprivatization of state assets” (No. UP-6096 dated 27 October 2020); and

(xiii) Other relevant laws, regulations and procedures.

6. This stage will result in identification of impact of the current regulatory framework on theCR’s efficiency and major constraints on the CR’s institutional development.

(2) Conducting a gap analysis identifying the current state of the CR and comparing itwith international best practices.

7. Based on the outcome of the revision of the current regulatory framework, this stageincludes preparation of a gap analysis. In particular, we will analyse the present state of theCR, review of road management practices of neighbouring countries and successful casesfor road management agencies and identify bottlenecks that need to be addressed to enablethe CR in meeting its goals and efficiently performing its functions.

(3) Providing recommendations to enhance the revised frameworks and addressidentified bottlenecks

8. This stage involves recommendations to strengthen the CR’s institutional capacity in themanagement of road projects in Uzbekistan.

9. In particular, our recommendations will reflect measures to be applied to differentinstitutional capacity components such as organizational development (managementstructure, planning, communication with key stakeholders), changes to the current legalframework (amendments to the existing legal instruments, elimination of inconsistencies andgaps in current laws and regulations, human resource development (staffing, outsourcing oftasks).

(4) Drafting a capacity building and training program for the most significant identifiedgaps

10. The last stage includes preparation of a capacity building and training program for the mostcritical gaps identified in the course of the previous stages in consultation with the CR andADB with a possibility to be included in the scope of the Surkhandarya Regional RoadProject.

1.1.3 Brief overview of the transport sector in Uzbekistan(1) The Ministry of Transport of the Republic of Uzbekistan

11. In February 2019, the Presidential Decree No. UP-5647 was adopted, establishing a brand-new Ministry of Transport of the Republic of Uzbekistan (in Russian: “Министерствотранспорта Республики Узбекистан”) (the “MoT”). The Decree aims to radically improvepublic administration of transport sector, increase number of investment prospects andexport potential of the state, ensure strategic development and sustainable functioning of atransport sector in the country.

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12. The MoT has replaced the Uzbek Agency for Road Transport (in Russian: “Узбекскоеагентство автомобильного транспорта”) as its successor.1 Formerly, the Uzbek Agency forRoad Transport was responsible for developing a regulatory legal framework of roadtransport, implementing a unified technical policy, as well as developing and implementing acomprehensive program for the development of the road transport. Moreover, the agencywas responsible for licensing a passenger and cargo transportation by auto transport andrepresented Uzbekistan in the international arena on matters relating to road transportsector.2

13. The MoT acts as a state administrative body (in Russian: “орган государственногоуправления”) responsible for the development of unified state policy in automobile, railway,air, river, subway, and a public road system. It implements state control of the activities oforganizations in the transport sector broadly, and to this end responsible for adoptingregulatory acts, issuing licenses and permits, certification, and implementing effectivetechnical and tariff policy.

Figure 1 - Structure of the MoT competence by regulatory spheres

14. The functions of the MoT among others include:

(i) Implementation of a unified state policy on the development of the transport sector androad facilities, increasing the efficiency and attractiveness of the transport sector,creation of a healthy competitive environment in transport sector and road facilities;

(ii) Development of a long-term road map for the transport sector and road facilities,taking into account a comprehensive, long-term and scientifically well-foundeddevelopment plan of industries and regions, covering all key issues related to theprovision of a phased and systematic solution to problems in the transport sector androad facilities;

(iii) Studying the development problems of the transport sector and logistics, developmentof the proposals on the solution of identified problems, finding ways to further optimize

1. 1 Decree of the President of the Republic of Uzbekistan No. UP-5647 dated 1 February 2019 “On measures for radical improvement of the public administration system of transport sector”.2 Resolution of the Cabinet of Ministers of the Republic No. 434 dated 9 June 2018 “On organizational measures for the improvement of a road transport management system in the Republic of Uzbekistan”.

MoT

Automobiletransport

Railway

Subway

Airtransport

River transport

Road industry

Uzbekistan: TA-9847 UZB: Preparing the Surkhandarya Regional Road Project

5

passenger and cargo flows between the countries of Central Asia and Europe, development of international and regional transit through domestic transport communications;

(iv) Development of proposals and implementation of measures for the development ofinternational transport corridors, improvement of the logistics system, efficient use ofthe country's transport capacities;

(v) General regulation of subordinate organizations, conducting an economic analysis oftheir activities, and ensuring, together with the heads of these organizations, theireffective functioning;

(vi) Development of medium and short-term investment programs for the development ofthe transport sector and road facilities, identifying priority areas for the development ofthe industry, and also monitoring the progress of their implementation;

(vii) Development of proposals to increase the investment attractiveness andcompetitiveness of the transport sector and road facilities;

(viii) Development of proposals and working on issues of attracting investments, includingdirect ones, for the implementation of the investment programs of the transport sectorand road facilities;

(ix) Representation of the interests of Uzbekistan internationally on issues within thecompetence of the MoT;

(x) Establishment and development of international cooperation with foreign andinternational organizations;

(xi) Conclusion of international agreements of an interdepartmental nature on issues fallingwithin the competence of the MoT, etc.

15. Structurally, the MoT has brought together a number of existing public agencies andcurrently comprises of the following agencies:

(i) Committee for Roads (formerly the State Committee of the Republic of Uzbekistan forAutomobile Roads (in Russian: “Государственный комитет Республики Узбекистанпо автомобильным дорогам”);

(ii) Civil Aviation Agency (formerly the State Inspection of the Republic of Uzbekistan forOversight over Flight Safety (in Russian: “Государственная инспекция РеспубликиУзбекистан по надзору за безопасностью полетов”);

(iii) Inspection for Supervision of Railway Transportation Safety (formerly the StateInspectorate of the Republic of Uzbekistan for Supervision of Railway Transport Safety(in Russian: “Государственная инспекция Республики Узбекистан по надзору забезопасностью железнодорожных перевозок”);

(iv) Inspection for Quality Control over Road Construction Works (formerly the StateInspectorate for Quality Control over Road Construction Works under the Cabinet ofMinisters of the Republic of Uzbekistan (in Russian: “Государственная инспекция поконтролю за качеством дорожно-строительных работ при Кабинете МинистровРеспублики Узбекистан”);

(v) Uzbek Ship Registry (formerly the Uzbek Register of Shipping under the Ministry ofEmergency Situations of the Republic of Uzbekistan (in Russian: “Узбекский регистр

Uzbekistan: TA-9847 UZB: Preparing the Surkhandarya Regional Road Project

6

судоходства Министерства по чрезвычайным ситуациям Республики Узбекистан”);

(vi) "O'zaeronavigatsiya" Centre (in Russian: “Центр «Узаэронавигация»”) (formerly itwas situated under the Cabinet of Ministers of the Republic of Uzbekistan);

(vii) Various research institutes, educational facilities and other organizations formerlybelonging to the Uzbek Road Transport Agency and the State Inspectorate of theRepublic of Uzbekistan for Supervision of Railway Transport Safety, as enlisted in thePresidential Decree No. UP-5647.

Figure 2 - Organizational structure of the MoT

(2) The Fund for Development of Transport and Logistics under the MoT

16. The Fund for Development of Transport and Logistics under the MoT was established on thebasis of the Fund for Development of Road Transport of the Uzbek Agency for Road

MIN

ISTR

Y O

F TR

ANSP

OR

T

Ministry of Transport of the Republic of Karakalpakstan,

regional departments and Department of the city of

Tashkent

Committee for Roads

Civil Aviation Agency

Inspection for Supervision of Railway Transportation Safety

Inspection for Quality Control over Road Construction Works

Research Centre for Transport and Logistics Development

"O'zaeronavigatsiya" Centre

Uzbek Ship Registry

Research institutes, educational facilities

and other organizations

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Transport with preserving the source of its funds.3 It is assumed that this fund is mainly designated for state-owned transport operators and does not relate to the road infrastructure specifically. The Fund is not a legal entity and it is used for the following purposes:

(i) Research works in the transport sector;

(ii) Programs for the construction, reconstruction and repair of passenger bus and autostations, as well as intermediate civil en-route stops of public use (that belong to localstate authorities);

(iii) Purchase of new vehicles, their technical re-equipment (installation of compressed gasequipment, vehicle tracking systems and other similar equipment) for specialized roadtransport enterprises within the MoT;

(iv) Introduction of information and communication technologies in the managementsystem of transport sector;

(v) Material incentives for employees of the central apparatus and territorial departmentsof the MoT, organizations included in its structure, financing of expenses for themaintenance and development of the material and technical base of the MoT.4

(3) Inspection for Quality Control over Road Construction Works

17. The Inspection for Quality Control over Road Building Works under the MoT (the “RoadInspection”) is a state authority performing the control over the compliance by legal entitiesand individuals of laws and technical norms in the area of design, construction,reconstruction, repair, maintenance, and operation of roads and artificial structures, as wellas the production of road-construction materials, products and structures. This Inspection is

subordinate and accountable to the MoT.5

1. 3 Resolution of the President of the Republic of Uzbekistan No. PP-4143 dated 1 February 2019 “On the organization of the operation of the Ministry of Transport of the Republic of Uzbekistan”.4 Regulation on the Fund for Development of Transport and Logistics under the Ministry of Transport of the Republic of Uzbekistan (Annex 1 to the Resolution of the Cabinet of Ministers No. 429 dated 24 May 2019). 5 Regulation on the Inspection for Quality Control over Road Construction Works under the Ministry of Transport of the Republic of Uzbekistan (Annex No.6 to the Resolution of the Cabinet of Ministers No. 337 dated 19 April 2019).

Road Inspection

Regional departments in the Republic of Karakalpakstan,

regions and Tashkent city

State Unitary Enterprise "Yo'l loyiha ekspertiza"

Road building testing laboratory

Figure 3 - Organizational structure of the Road Inspection

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(4) Research Centre of Transport and Logistics Development

18. The objective of the Research Centre for Transport and Logistics Development under theMoT (the “Research Centre”) is to provide the research of issues and development ofproposals in the transport and logistic sector on a systematic basis. The Research Centre isaccountable to the MoT.6 The Research Centre is responsible for the following tasks:

(i) The study of the development problems of transport and logistics sectors;

(ii) Development of proposals directed as the development of international transportcorridors;

(iii) Development of proposals in the area of transport and road safety, introduction ofinnovative technologies and intelligent transport systems;

(iv) Study of the problems and development of proposals directed at reducing the harmfuleffects on the environment.

(5) Committee for Roads

19. The Committee for Roads under the MoT (in Russian: “Комитет по автомобильнымдорогам при Министерстве транспорта Республики Узбекистан”) (the “CR”) is a stateadministrative body (in Russian: “орган государственного управления”) in the road sector,which acts as a single customer for the design, construction, reconstruction, repair andoperation of public roads. The CR is responsible for the following tasks7:

(i) The development and implementation of single technical policy in the road sector;

(ii) The development and implementation of state road development programs;

(iii) The development of future planning of the road network;

(iv) The development of international transit corridors of public highways;

(v) Organization of financing, design, construction, repair and operation of highways andorganization of effective activities of the customer's service;

(vi) Monitoring the quality of construction, reconstruction, repair and maintenance ofroads;

(vii) coordination of work to ensure the preservation of the existing network of rural roads,towns, urban settlements, streets of villages and ovuls;

(viii) organization of research and development, implementation of innovative technologiesand modern standards in design, construction, reconstruction, repair andmaintenance of public roads;

(ix) Organization of training, retraining and professional development of personnel in theroad sector, including overseas internships and workshops;

(x) Organization of a unified state policy on the formation and implementation of modernapproaches to the territorial architectural and artistic structure and landscape designof roads, organization of events for landscaping of adjacent areas on the roads;

(xi) To ensure compliance with norms and standards in road designing;1.

6 The Charter of the Research Centre for Transport and Logistics Development under the Ministry of Transport of the Republic of Uzbekistan (Annex No. 2 to the Resolution of the Cabinet of Ministers No.305 dated 12 April 2019). 7 The Regulation “On the Committee for Roads under the Ministry of Transport of the Republic of Uzbekistan” (approved by the Resolution of the Cabinet of Ministers of Uzbekistan No.295 dated 19 May 2020)

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(xii) Implementation of international cooperation in the field of road management.

(6) Special Commission on Transport and Transport Communications

20. The Special Commission on Transport and Transport Communications under the Cabinet ofMinisters of the Republic of Uzbekistan (the “Transport Commission”) was established bythe Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 57 dated 6March 2009. The Transport Commission was established with the purpose to coordinate theactivity of railway, air, auto and river transport of the Republic of Uzbekistan, to optimize,increase the efficiency and rationalize the transport of goods and passengers, advanceddevelopment and sustainable functioning of the transport complex and transportcommunications, expand international cooperation in the transport sector and developmentof transnational transport corridors. Given that the MoT fulfils a similar role for the inter-sectorial coordination alongside the Transport Commission (as seen in Table 1 below), weassume that the Transport Commission is no longer exists since the creation of MoT in 2019(however the underlying Cabinet of Ministers resolution no. 57 dated 6 March 2009, underwhich the Transport Commission was established, has not been cancelled or updated todate).

21. The main objectives of the Transport Commission are the following:

(i) Coordination of the development of railway, air, auto and river transport by organizingthe development and implementation of comprehensive concepts for futuredevelopment of the Unified conjugated transport system;

(ii) Consideration of proposals for the development of the transport network and thelogistics system, the implementation of the advanced construction of new transportcommunications, increasing their throughput and ensuring efficient operation;

(iii) Assisting in the attraction of investments, including foreign ones, for the construction,reconstruction and modernization of transport communications, updating rolling stock,as well as monitoring the implementation of investment projects;

(iv) Participation in the development of proposals and implementation of measures for theeffective development of a network of international transport corridors with foreigncountries on a bilateral and multilateral basis.

22. The main functions of the Transport Commission are the following:

(i) Coordination of the interaction of railway, air, auto and river transport;

(ii) Organization of the development and implementation of comprehensive programs forthe balanced development of the transport and logistics system, transit transportcorridors;

(iii) Coordination of the activities of the transport industries on attracting investments,including foreign ones, monitoring the implementation of investment projects;

(iv) Participation in the development of bilateral and multilateral international treaties in thetransport sector and transport communications, as well as in the development ofproposals for an agreed tariff policy in the transport sectors.

23. The Transport Commission is headed by a Chairman. In turn, the Chairman office is held bythe Chairman of State Joint Stock Railway Company (currently “O’zbekiston temir yo’llari”Joint Stock Company). The Transport Commission is composed of the Head of the Uzbek

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Agency for Road and River Transport (which is currently the MoT), the Head of the State Inspection for Supervision of Aviation Safety (currently the Civil Aviation Agency under the MoT), the Head of the State Inspection for Supervision of Railway Transportation Safety (currently the Inspection for Supervision of Railway Transportation Safety under the MoT) and the representatives of other ministries and organizations.

1.1.4 Current position of the Committee for Roads within the organizational structure of the transport sector of Uzbekistan

24. Due to reforms in recent years in Uzbekistan, the CR has been entrusted to the MoT as perthe Decree of the President of the Republic of Uzbekistan “On measures for the sustainableaccomplishment of the system of state control in the sphere of transport” (No. UP-5647dated 1 February 2019). As the MoT is responsible for implementation of a unified technicalpolicy in the field of roads, ensuring a comprehensive solution to the issues of financing,design, construction, repair and maintenance of roads8, it coordinates CR’s functions.

25. Besides, the CR is a specially authorized body in the field of highways, acting as a singlecustomer for the design, construction, reconstruction, repair and operation of publichighways. In accordance with the assigned task, the CR performs the following functions9:

(i) Maintenance and development of the republic's public roads network, increasing theircapacity, improving the quality of services provided to road users, as well ascoordinating the development of road and roadside service facilities;

(ii) Elaboration and implementation of road construction projects with the participation ofinternational financial institutions and foreign governmental financial organizations, aswell as with the attraction of donor funds;

(iii) Attraction of investments, especially foreign direct ones, in the sector and search foralternative sources of financing, including through implementation of public-privatepartnership mechanisms for design, construction, reconstruction and repair of publicroads;

(iv) Improvement of the industry's management through the introduction of modernmanagement systems, innovative forms and methods of work organization inaccordance with the best foreign experience and international standards;

(v) Ensuring compliance with regulatory documents and requirements in the field oftechnical regulation in road construction, production of road construction materials,products and structures;

(vi) Organization, in an established order, of rational and efficient use of land plots in theright-of-way of public highways;

(vii) Introduction of modern digital automated transport flow control systems.

1.2 Review of Laws, Regulations and other Administrative Provisions

1. 8 Clause 12 of the Regulation “On the Ministry of Transport of the Republic of Uzbekistan” approved by the Resolution of theCabinet of Ministers of the Republic of Uzbekistan No. 336 dated 19 April 2019. 9 Clause 5 of the Decree of the President of the Republic of Uzbekistan “On measures to further reform the road system of the Republic of Uzbekistan” No. UP-5890 dated 9 December 2019.

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1.2.1 CR’s responsibilities26. The CR has been established by way of reorganization of the State Committee of

Uzbekistan for Automobile Roads (the “State Committee for Roads”), which wasestablished pursuant to the Presidential Decree No. UP-4954 and the PresidentialResolution No. PP-2776. Before being renamed as the CR, the State Committee for Roadswas the successor of the State Joint-Stock Company for the Construction and Operation ofRoads (SJSC “Uzavtoyul”). Starting from 1 February 2019, the CR was structurally moved tothe jurisdiction of and currently run by the MoT10. The CR’s main tasks and fields of activitiesare the followings11:

(1) To pursue a unified technical policy in the field of roads by way of:

(i) Development of normative documents on technical regulation in the field of designing,construction, reconstruction, repair and storage of roads, as well as the developmentof road construction materials, products and structures, taking into account modernroad management technologies and foreign experience;

(ii) Supervision and coordination of mobilization training, as well as the activities ofaffiliated organizations for mobilization training;

(iii) Control the weight and volume parameters of heavy and bulky motor vehicles enteringthe territory of Uzbekistan;

(iv) Collection of duties and issue of permissions for movement through Uzbekistan;

(v) Issue of permissions for the installation of technical means of traffic regulation onpublic roads and their constructions, including technical means of photo and videorecording;

(vi) Issue of permissions for the crossroads of utility lines and public roads;

(vii) Issue of permissions for the construction of outdoor advertising facilities(constructions) on land plots and structures located in isolated regions of public roads,by an authorized committee or its relevant decision;

(viii) Issue of permissions for the location and construction of production, service, trade andother business facilities on land plots of roadside region of public roads;

(ix) Provision of legal entities and private individuals with technical specifications (permits)for the construction of public roads;

(x) Submission of technical specifications (permits) for the construction of objects,including engineering and communication networks, in the regions allocated for publicroads to the Committee for the Roads of the Republic of Karakalpakstan and regionsor its main departments;

(xi) Coordination of maintenance and development of the public roads network in propercondition, increasing their capacity, improving the quality of services provided to roadusers, and development of road and roadside service facilities;

(xii) Organization of the rational and efficient use of land plots in selected regions of publicroads in due order;

1. 10 Presidential decree no. UP-5647 dated 1 February 2019. 11 Paras 10-11 of The Regulation “On the Committee for Roads under the Ministry of Transport of the Republic of Uzbekistan” (approved by the Resolution of the Cabinet of Ministers of Uzbekistan No.295 dated 19 May 2020)

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(xiii) Introduction of modern digital automated traffic management systems.

(2) To develop and implement state programs for the development of roads by way of:

(i) Development and implementation of a state program for the mid-term perspective onthe basis of existing regulatory documents and allocated funding sources in the roadsector, which ensures the dynamic development of the road network of the Republic inaccordance with the state economy;

(ii) Formation and coordination annual programs for the construction, reconstruction andrepair of roads, depending on their technical condition;

(iii) Development and implementation of projects in the field of road construction with theparticipation of international financial institutions and foreign governmental financialorganizations, as well as with the attraction of donor funds;

(iv) Approval, introduction of amendments and additions to the targeted lists onconstruction, reconstruction and design of public roads, modernization of enterprises incoordination with the Ministry of Economic Development and Poverty Reduction of theRepublic of Uzbekistan and the Ministry of Finance of the Republic of Uzbekistan;

(v) Approval, introduction of amendments and additions to the address lists on the issuesof major repairs and design of roads in coordination with the Ministry of EconomicDevelopment and Poverty Reduction and the Ministry of Finance;

(vi) Approval the list of facilities for the prevention and liquidation of emergency situationson public roads, and introduction of amendments and additions which is incoordination with the Ministry of Finance, territorial departments of the Ministry ofEmergency Situations and the Council of Ministers of the Republic of Karakalpakstan,regions and Tashkent city;

(vii) Approval, introduction of amendments and additions of the targeted lists of work on themaintenance of public roads, winter maintenance, landscaping and current repair oftechnological equipment, machinery and mechanical and mechanical equipment byagreement with the Ministry of Economic Development and Poverty Reduction and theMinistry of Finance;

(viii) Approval of temporary and annual consolidated estimates for the maintenance ofpublic roads, winter maintenance, landscaping and current repairs, and makeamendments and additions by agreement with the Ministry of Finance of the Republicof Uzbekistan.

(3) To determine the prospects for the development and improvement of the roadnetwork by way of:

(i) Development and submission of proposals on forming, changing and supplementingthe list of public roads to the Cabinet of Ministers of the Republic of Uzbekistan;

(ii) Implementation of measures for forward-looking planning, improvement anddevelopment of the Republic road network based on the needs of the economy andthe population, as well as on the strategic objectives of the state;

(iii) Implementation of measures for improving and developing the public highway networkof Uzbekistan;

(iv) Keeping records of public highways and the state cadastre together with the State

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Committee of the Republic of Uzbekistan on land resources, geodesy, cartography and state cadastre.

(4) To develop international transit corridors of public highways by way of:

(i) Determining the direction of traffic on the roads of large and heavy internationaltransport vehicles, including the issuance of a special permit;

(ii) Implementation of measures for increasing cooperation with international organizationsand companies for the use of international transport routes;

(iii) Taking measures to introduce alternative sources of attracting and financinginvestments in the network, including public-private partnership for design,construction, reconstruction and repair of public roads.

(5) To organize financing, design, construction, repair and operation of roads andorganization of effective activities of the customer's service by way of:

(i) Functioning of the founder of head offices and subordinate organizations, control overtheir activities and analysis of economic development, as well as control over financialand economic activities and use of property in head offices and subordinateorganizations;

(ii) Perfection of management of sector by introduction of modern management systems,advanced foreign experience and innovative forms and methods of the organization ofwork according to the international standards;

(iii) Definition of the minimum level of profitability based on the financial and economicactivities of the subordinate organizations in order to ensure the necessary profit fromroad works;

(iv) Interaction with road safety authorities and emergency situations when operatingpublic roads to ensure comfortable and safe traffic;

(v) Engagement international financial institutions and foreign governmental financialorganizations to finance major road construction projects;

(vi) Organization of the reception of citizens, processing of oral and written appeals fromindividuals and legal entities to be dealt with in a timely manner, decision-making onthem and responding to applicants within the deadlines established by law.

(6) To monitor the quality of construction, reconstruction, repair and maintenance ofroads by way of:

(i) Inspection of the technical condition of public roads and artificial structures;

(ii) Carrying out quality control in the design, construction, reconstruction, repair andoperation of roads;

(iii) Conduction of technical control of the design, construction, reconstruction, repair andmaintenance of public roads;

(iv) Compliance with regulatory documents and requirements in technical regulation ofroad construction, production of road construction materials, products and structures.

(7) To coordinate work to ensure the preservation of the existing network of ruralroads, towns, urban settlements, streets of villages and auls by way of:

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(i) Participation in the formulation and implementation of annual programs for the repair of inter-urban rural roads, urban settlements, village streets and auls;

(ii) Coordination of work of local bodies of executive power on repair of the existing network of inter-farm rural roads, urban and urban settlements, streets of villages and auls;

(iii) Participation in the elaboration of overall plans of cities and districts for the development and improvement of the network of inter-farm rural roads, urban and urban settlements, streets of villages and auls.

(8) To arrange research and development, implementation of innovative technologies and modern standards in the field of design, construction, reconstruction, repair and maintenance of public roads by way of:

(i) Development and improvement of technical regulations in the field of public roads;

(ii) Review and approval of draft regulations on road and road management issues;

(iii) Organizing and carrying out research works in the field of design, construction, reconstruction, repair and maintenance of public roads;

(iv) Carrying out experimental work on the introduction of modern technologies and new materials in the field of design, construction, reconstruction, repair and maintenance of public roads.

(9) To organize training, retraining and professional development of personnel in the road sector, including overseas internships and workshops by way of:

(i) Direct participation in the formulation and harmonization of basic education programs for training, retraining and further education for staff of the sphere;

(ii) Organization of training of qualified personnel and retraining of personnel in the field of roads in accordance with the requirements of modern methods of forecasting, coordination and implementation of road construction;

(iii) Organization of interaction of educational institutions with the main departments and subordinated organizations for the purpose of consolidation of the theoretical knowledge received by students in industrial practice;

(iv) Organization of training, retraining and professional development of staff in the field of roads, including training and internships in foreign educational institutions;

(v) Organization of training, retraining and professional development of personnel in the field of roads, including internships and traineeships in foreign educational institutions.

(10) To organize a unified state policy on the formation and implementation of modern approaches to the territorial architectural and artistic structure and landscape designing of roads; organization of events for landscaping of adjacent areas on the roads by way of:

(i) Organization and implementation of work related to the maintenance and landscaping of roadside territories in the lanes allocated to public roads by means of a unified State policy for the formation and implementation of modern approaches to the territorial architectural and artistic structure and landscape design of public roads;

(ii) Implementation of measures to introduce modern technologies and international

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standards in the area of planting greenery for public roads, organizing modern seedbeds, strengthening the material and technical base of subordinate organizations depending on the climatic conditions in each region of the country;

(iii) Organization of training and retraining of qualified staff in design, architectural andartistic design and landscape design of roads on the basis of subordinate higher andsecondary specialized, professional educational institutions.

(11) To comply with norms and standards in road designing by way of:

(i) Coordination of the application of international standards and best practices in roaddesign;

(ii) Implementation of a unified technical policy for the equipping of roads with road trafficmanagement techniques;

(iii) Organization of the production of road signs, information signs and other technicalroad traffic management equipment in accordance with the requirements of thestandardization normative documents;

(iv) Implementation of measures for the installation of road signs and marking of thecarriageway, ensuring long-term use on roads.

(12) To implement international cooperation in the field of road management by wayof:

(i) Cooperation with international organizations on the issues of roads, represent in themthe national interests of the Republic of Uzbekistan, ensure participation of theRepublic of Uzbekistan in international agreements in the sphere of roads in theestablished order;

(ii) Elaboration of proposals on improvement of mechanisms of international cooperationin the sphere of highways, effective interaction with international organizations on theissues of highways, authorized bodies of foreign states as well as with foreigncompanies.

27. In the next table it is described a number of duplicating and concurring tasks of the TransportCommission (section [6.1.3.(6)] above) and the MoT. As you may see in the below table, theMoT was mandated to conduct inter-sectorial coordination, which is concurrent with thecompetence of the Transport Commission established back in 2009. We therefore assumethat the Transport Commission is no longer exists since 2019 when MoT was established.We further note that the underlying Cabinet of Ministers resolution no. 57 dated 6 March2009, under which the Transport Commission was established, has not been cancelled orupdated so far.

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Table 1 - Comparison of duplicating competence between the Transport Commission and the MoT

Transport Commission competence MoT competence Comments

Coordination of the development of railway, air, road and river transport by organizing the development and implementation of integrated concepts for the prospective development of the Unified Interconnected Transport System of the Republic of Uzbekistan;

Introduction of advanced information technologies for digitalization of the entire transport system, development and implementation of strategies for the prospective development of the Unified Interconnected Transport System of the Republic of Uzbekistan;

The tasks are similar from the practical standpoint, since the development of concepts and strategies includes the preliminary organization of such work,

Consideration of proposals for the development of the transport network and the logistics system, the implementation of the advanced construction of new transport communications, increase their throughput and ensure efficient operation;

Development of proposals and implementation of measures for the improvement of the logistics system, efficient use of the country's transport potential;

The tasks are similar, however the MoT is authorized to develop proposals, while the Transport Commission is authorized to only consider such proposals.

Participation in the development of proposals and implementation of measures for the effective development of a network of international transport corridors with foreign countries on a bilateral and multilateral basis.

Development of proposals and implementation of measures for the development of international transport corridors;

The tasks are duplicate

Assisting in attracting investments, including foreign ones, for the construction, reconstruction and modernization of transport communications, updating rolling stock, as well as monitoring the implementation of investment projects;

Development of public-private partnerships and increasing the investment attractiveness of the country in the field of transport and road facilities;

As part of its task, the MoT forms investment programs for the development of transport and the road sector for the

The tasks are duplicate

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medium and short term, as well as monitors the progress of their implementation; develops proposals to increase the investment attractiveness and competitiveness of transport and road facilities; develops proposals and works on issues of attracting investments, including direct ones, for the implementation of the investment programs of transport and road facilities;

Recommendation

28. Given the duplicating competences of the MoT and the Transport Commission, it is viewed that the competence of the Transport Commissionought to be clarified, if necessary to preserve a high-level coordination in the context of the currently operating MoT. If not, it is advised toterminate the Transport Commission by amending Cabinet of Ministers resolution 57 dated 6 March 2009, which is still effective.12

1. 12 By way of example, we would note that there was a number of ineffective and bureaucratic agencies eliminated by a Presidential resolution back in 2019 (i.e. no. PP-4546 dated 9 December 2019.

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1.2.2 Funding of the CR activities 29. Historically, the Republican Road Fund was created in accordance with Cabinet of Ministers

resolution 334 of 5 July 1993, to finance the development of the road sector. The fund wasintended to finance the costs associated with the repair, reconstruction and construction ofpublic roads.

30. The funds of the Republican Road Fund were used to finance the state program for thedevelopment of the road sector of the Republic of Uzbekistan, scientific and technical progressin it, advanced training of personnel and improvement of management of the sector.Subventions and subsidies to the Republic of Karakalpakstan and the regions were allocatedcentrally from the Republican Road Fund (the “RRF”) to equalize the levels of development ofthe network of public roads and eliminate natural disasters.

31. Through 2019 the financing of maintenance, repair, construction and reconstruction of publicroads were carried out centrally, mainly through the RRF (which no longer exists).The RRF wascreated in 2003 under the Cabinet of Ministers and used to be responsible for planning roadinvestments, implementing projects, and managing the financing of road construction andmaintenance activities. In accordance with the Presidential Decree dated 9 December 2019 withNo. PP-4545, the RRF has been transformed into “Avtoyulinvest” Agency (the “Agency”). Thedraft Regulation on the Agency was published online for public discussion in January 2020; yethas not been adopted to date. As per the draft Regulation one of the main tasks of the Agencyis to act as an executive body for the implementation of investment projects in the field of roadconstruction with the participation of international financial institutions (IFI) and foreign statefinancial institutions13. That is to say, Avtoyulinvest deals mainly with IFI funding, not that of thegovernment. The Agency is mainly funded from the following sources:

(i) proceeds from the placement of temporarily vacant funds of the Agency in the nationalcurrency on deposits in commercial banks of Uzbekistan;

(ii) proceeds from the sale of tender documents;

(iii) grants from IFIs and other foreign donors;

(iv) charitable donations;

(v) other sources not prohibited by law.

1.2.3 Budget procedures 32. Currently, the financing of works on roads is streamlined through several channels combining

republican and regional budgets depending on the category of roads, namely:

(i) The designated fund for roads development under the Ministry of Finance of Uzbekistan –for financing of construction and maintenance works on public roads;

(ii) The designated territorial funds under the Ministry of Finance of the Republic ofKazakhstan, main financial departments of khokimiyats of regions and the city of Tashkent– for financing of construction, repair and maintenance works on regional roads, inclusiveof roads at streets of cities and other settlements, inter-farm rural roads; and

(iii) Budgets of districts and cities with targeted use for the development of local roads.

1. 13 https://regulation.gov.uz/ru/document/12101

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33. According to the Law “On the State Budget of the Republic of Uzbekistan for 2020”, expensesfor the operation of public roads were imposed on the republican budget of the Republic ofKarakalpakstan, regional budgets of regions, and the city budget of Tashkent14.

34. By way ofexperiment, the costs of construction, reconstruction and major repairs of public roadsin Karakalpakstan were financed during 2020 from the republican budget of Karakalpakstan.15

35. According to the Presidential Decree of Uzbekistan “On measures to deepen the reform of theroad system of the Republic of Uzbekistan” dated 9 December 2019 with No. UP-5890, thesources for the formation of the designated fund for roads development under the Ministry ofFinance of the Republic of Uzbekistan, are:

(i) Designated funds allocated annually from the republican budget to finance design androad construction works, as well as reconstruction and overhaul works of public roads;

(ii) 50 million US dollars in 2020 and 100 million US dollars annually during 2021–2024 in theform of interest-free loans allocated from the funds of the Fund for Reconstruction andDevelopment of the Republic of Uzbekistan, with a condition of repayment within 30 yearsand a grace period of 5 years;

(iii) Designated funds annually allocated from the republican budget of the Republic ofKarakalpakstan and the local budgets of the regions and the city of Tashkent to financecurrent repairs and maintenance on public roads;

(iv) Other sources not prohibited by law16.

36. The sources for the formation of the designated territorial funds for the development of roadsunder the Ministry of Finance of the Republic of Karakalpakstan, the main financial departmentsof the municipalities (in Uzbek: khokimiyats) of regions and the city of Tashkent are:

(i) Designated funds annually allocated from local budgets to finance road construction,repair and maintenance works on regional roads;

(ii) Fees for the development of regional roads, introduced by local representative bodies;

(iii) Payment for the use of parking spaces along roads and streets;

(iv) Funds from the application of additional coefficients to the base rate for the technicalinspection of vehicles;

(v) Transfers from the Designated Fund for Roads Development under the Ministry ofFinance of the Republic of Uzbekistan;

(vi) Other sources not prohibited by law.

37. The Presidential decree no. 5890 established that the annual fee for the ownership of a motorvehicle was collected to the respective budgets of districts (cities) for repair and maintenanceworks on regional roads in such regions (cities)17. The amount of such fee is to be determinedby the local authorities (in Uzbek: kengash) based on the engine power of the vehicle. Also, aspecial fee can be put by local authorities on filling and gas stations selling gasoline, diesel fuel,and liquefied and compressed gas to the end users. The rate of such a special fee cannotexceed 25 Uzbek soums per unit of fuel.

1. 14 Art. 21 of the Law “On the State Budget of the Republic of Uzbekistan for 2020”.15 Art. 21 of the Law “On the State Budget of the Republic of Uzbekistan for 2020”.16 Para 10 of the Presidential Decree of the Republic of Uzbekistan “On measures to deepen the reform of the road system of the Republic of Uzbekistan” dated 9 December 2019 No. UP-5890.17 Para 10 of the Presidential Decree of the Republic of Uzbekistan “On measures to deepen the reform of the road system of the Republic of Uzbekistan” dated 9 December 2019 No. UP-5890.

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1.2.4 Quality control and supervision 38. The former Road Inspection under the Cabinet of Ministers of the Republic of Uzbekistan was

created by the Presidential Decree No. UP-4954, exert control over the quality of roadconstruction works.

39. The Resolution of the Cabinet of Ministers dated 19 April 2019 with No. 337 approved theRegulation on the Road Inspection. According to this Regulation the main tasks of the RoadInspection are18:

(i) Monitoring compliance by legal entities and individuals with the requirements of regulatorydocuments in the field of technical regulation in the field of design, construction,reconstruction, repair, maintenance and operation, roads and artificial structures, as wellas the production of road-building materials, products and designs;

(ii) Participation in the commission for the commissioning of road facilities with completedconstruction;

(iii) Making suggestions and participating in the improvement of regulatory documents in thefield of technical regulation in the field of organization of control over compliance withurban planning legislation regarding road construction;

(iv) Standardization and certification of road building materials, products and structures inaccordance with the law;

(v) Determination of the quality indicators of road objects according to requests from roadusers;

(vi) Other tasks in accordance with the law.

1.3 Gap Analysis 40. This chapter reflects the gap analysis that has been conducted in order to identify gaps in the

CR’s institutional capacity which hinder efficiency of the CR as a road management agency. Inthis report, the gap analysis contains the following stages:

(i) Brief overview of the CR’s current state;

(ii) Overview of international good practices for road management agencies as a benchmarkfor the CR’s reform (desired state);

(iii) Comparison of the present state of the CR to its desired future state and identification of agap between the two states.

1. 18 Para 10 of the Regulation on the Inspection for Quality Control over Road Construction Works under the Ministry of Transport of the Republic of Uzbekistan.

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Figure 4 - Comparison of the present state of the CR to its desired future state

41. Recommendations to bridge the identified gap are provided in subsequent chapters of thereport.

1.3.1 Current status and functionality of the CR(1) Reforms of 2019

42. Reforms of 2019 in the road sector of Uzbekistan introduced a number of changes to the CR’sstructure and functions and defined the current status of the Committee.

43. In February 2019, the President of Uzbekistan adopted a Decree No. 5647 to improve the publicadministration of the transport sector and ensure strategic development and sustainablefunctioning of transport communications of the country. The Decree provided for establishmentof the MoT, and the State Committee for Roads was transferred to the ministry and renamed asthe Committee for Roads under the MoT.19

44. Further amendments to the road sector legislation have been introduced by Presidential DecreeNo. 5890 dated 9 December 201920, Presidential Resolution No. 4545 dated 9 December201921, Cabinet of Ministers Resolution 924 dated 21 November 2019, and Presidential DecreeNo. 6096 dated 27 October 202022. In particular, the Decree No. 5890 provides for the followingimportant changes in relation to the CR:

(i) Unbundling the CR (withdrawal of road 28 construction enterprises from the CR andtransfer of the state share in the charter capital of the enterprises to the newly establishedJSC “Yulkurilish”);

(ii) Allowing consulting services on road construction performed by independentorganizations;

(iii) Providing a tender procedure for procurement of road design, construction, reconstructionand capital repair works;

(iv) Corporate governance and financial audit to be introduced to 15 road constructionenterprises, so as to increase operational efficiency

(v) Establishing a fund for development and support of the activities of the CR;

(vi) Establishing a fund for the development of transport and logistics under the MoT.1.

19 Decree of the President of the Republic of Uzbekistan No. 5647 “On measures to fundamentally improve the public administration system in the field of transport” dated 1 February 2019.20 Decree of the President of the Republic of Uzbekistan No. 5890 “On Measures to Fundamentally Reform the Road System of the Republic of Uzbekistan” dated 9 December 2019.21 Resolution of the President of the Republic of Uzbekistan No. 4545 “On measures to further improve the road managementsystem” dated 9 December 2019.22

Present state of the CR

Identified gap

Desired state of the CR (based on international

good practices)

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45. The CR’s current organizational structure is demonstrated in Figure 5.

46. The Resolution No. 4545 approved the CR’s new organizational structure and structure of itscentral administration. According to the Resolution, the CR’s Chairman is entitled to:

(i) Modify the structure of the Committee’s central administration within the establishednumber of management personnel;

(ii) Create independent enterprises for repair and maintenance of roads and otherenterprises, including joint ventures, as well as to merge and abolish enterprises withinthe Committee in coordination with the Cabinet of Ministers of the Republic of Uzbekistan.

47. In addition, the Resolution states that the CR has the right to develop and submit to thePresidential Administration and the Cabinet of Ministers draft legal and regulatory acts on issuesfalling within the Committee’s competence. Moreover, draft regulatory and legal acts on issuesrelated to roads and road facilities are subject to mandatory approval by the CR.

(2) Functionality of the CR

48. The CR acts as an authorized state body in the road sector of Uzbekistan responsible forimplementation of state road development programs, control over the quality of construction,reconstruction, repair and maintenance of roads and performance of other functions asdescribed in Chapter 1 of this report.

49. Uzbekistan is continuing introduction of reforms to improve its transport sector including theroad management policy. In addition to reforms reviewed in previous sections of this report, thecountry has recently adopted Presidential Resolution No. 4703 "On measures to fundamentallyimprove a staff training system in the transport sector" dated 4 May 2020. This Resolutionestablished the Tashkent State Transport University that is aimed to ensure training of highlyqualified personnel for the transport sector of Uzbekistan based on advanced foreignexperience and international standards. The University is also responsible for carrying outresearch on topical issues and development of proposals on wide implementation of digital andother modern technologies in the transport sector.

50. Nevertheless, the CR still lacks features of a modern road management agency such as clearseparation of client and supplier functions, transparency and anti-corruption standards, a well-defined and consistent human resources development policy, as well as planning andbudgeting, predictable and sustainable financing, road safety, environmental and socialsafeguards. Addressing these issues of the CR is essential to improve the road management aswell as to meet the requirements of international legal instruments to which Uzbekistan is aparty, such as the United Nations Convention against Corruption (2003). The following sectionelaborates on these issues.

Figure 5 - Organizational structure of the CR

Organizational structure of the CR

Main departments 11 Unitary Tashkent Institute State Unitary

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for roads of the Republic of Karakalpakstan and regions

Enterprises (“Khorezmyulindustriya”, Bekobodyulindustriya”, Avtomagistral”, “Yangiyulqurilish” and others) and State Unitary Enterprise “Transyulqurilish”

for Design, Construction and Maintenance of Roads

Enterprise "Directorate for Construction and Reconstruction of Public Roads"

State Unitary Enterprise "Employer Service for Regional Roads"

Unitary Enterprise "Road Scientific Research Institute"

Unitary Enterprise "Bukhara Industrial Scientific and Research Center for Advanced Training of Road Workers"

Unitary Enterprise "Namangan training center for professional development of road workers"

Unitary Enterprise "Yul Loyiha Expertiza"

Unitary Enterprise "Center for Development of Information and Communication Technologies"

Unitary Enterprise "District road maintenance enterprises"

(and road maintenance enterprises such as “Durmanavtoyul”, “Kamchikavtoyul” and others)

Unitary Enterprise "Uzyulkukalamzorlashtirish" (road landscaping enterprise)

Unitary Enterprise "Uzyulbutlash"

(provides enterprises and organizations with necessary road construction equipment and technical resources)

Unitary Enterprise "Republican dispatch center"

State Unitary Enterprise "Design and Research Institute "Uzyulloyiha"

Unitary Enterprise "Directorate of administrative building management"

Vocational Colleges

State Unitary Enterprise

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1.3.2 The CR to meet requirements of a modern road management agency 51. In order to develop feasible and implementable recommendations to address the gaps, road

management agencies of neighbouring countries have been reviewed for effectiveness andfunctionality. As a result, institutional reforms of the Russian Federation and the Republic ofAzerbaijan have been selected as good practices that can serve as a benchmark for the CR’sreform in Uzbekistan. The selected countries have undergone fundamental road sector reformsin recent years and managed to improve the quality of roads.23

52. The gap analysis in this report mainly relies on the road management experience ofneighbouring countries having the transport sector background akin to Uzbekistan. However,review of international best practices with mature road agencies is also important to establishlong-term development plans of the CR. Therefore, this section also provides a brief overview ofinternational best practices in road management.

(1) Russian Federation

53. The Federal Road Agency is a federal executive body (in Russian: “федеральный органисполнительной власти”) of the Russian Federation that provides public services andmanages state property in the sphere of road transport and road facilities. The Agency hasbeen established in 2004 and is currently subordinated to the Ministry of Transport of theRussian Federation24

54. Reforms: In 2009, the Russian Highways State Company (Avtodor) was created according toFederal Law No. 145-FZ25 and the Federal Road Agency gained an official abbreviated nameRosavtodor26. Avtodor was established in order to develop a network of toll roads of Russia. Asa result, Rosavtodor transferred a part of the roads to the newly established Avtodor.

1. 23 In 2019, Azerbaijan achieved the value of 5.20 in the Quality of Road Infrastructure indicator of the Global Competitiveness Report compared to the value of 3.96 in 2015 (the higher the value indicates the better quality of road infrastructure). Similarly, Kazakhstan improved its ranking by achieving the value of 3.60 in 2019 compared to 3.13 in 2015. Russia also managed to enhance its quality of roads during the recent years, which resulted in increase of the value of 2.72 in 2015 to 3.50 in 2019. *Uzbekistan is currently not listed in the Global Competitiveness Report.24 Decree of the President of the Russian Federation No. 314 dated 9 March 2004.25 Federal Law of the Russian Federation No. 145-FZ dated 17 July 2009.26 Resolution of the Government of the Russian Federation No. 649 dated 8 August 2009.

Children's health camps "Vakhshivar", "Yulchi" and "Avtoyulsoz"

"Uzavtoyulbelgi"

(conducting road marking works)

Unitary Enterprise "Avtoyulservis" (road repair and maintenance works)

Unitary Enterprise “Linear Maintenance Enterprises”

Agency “Avtoyulinvest”Unitary Enterprise

“Bridge Maintenance Enterprises”

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Rosavtodor is engaged in the construction and repair of toll-free roads, while the state company Avtodor implements toll road projects. According to the data published by Rosavtodor, the length of federal public roads of Russia equals to 53,070.5 km, of which 50,133.8 km are under the jurisdiction of Rosavtodor and the remaining 2,936.7 km are under the jurisdiction of Avtodor.27

55. Legal basis: Both Rosavtodor and Avtodor act on the basis of legal instruments that clearlydefine their mission and functions.

56. Activities of Rosavtodor are governed by the Regulations on the Federal Road Agency28 and theRules of the Federal Road Agency.29 The Regulations set out responsibilities, mission andstatus of the Agency. The Rules establish the Agency’s structure and staffing, procedure forinteraction between the Agency and the Ministry of Transport of the Russian Federation as wellas procedure for addressing the appeals of citizens and organizations.

57. Avtodor acts on the basis of the Federal Law of the Russian Federation No. 145-FZ “On theState Company ‘Russian Highways’ and Amendments to Some Legislative Acts of the RussianFederation” dated 17 July 2009. The Law defines functions, mission, rights, managementbodies, accounting and reporting of Avtodor.

58. There is also an effective legal basis for relationships in the area of toll roads. The Federal LawNo. 257-FZ30. The Law includes provisions on construction, reconstruction and use of toll roadson the basis of concession agreements, public-private partnership agreements and municipal-private partnership agreements. The Federal Law No. 145-FZ states that assigns Avtodor as atrustee of toll roads owned by the Russian Federation.

59. Transparency and anti-corruption rules: In addition to the federal and other general legalacts on transparency and anti-corruption, Rosavtodor and Avtodor have binding internaltransparency and anti-corruption rules that they need to follow.

60. Rosavtodor annually updates and publishes the list of corruption-related functions performed bythe Agency. Compliance of Rosavtodor’s employees with professional conduct standards andconflict of interest prevention/settlement requirements is monitored by the Commission onCompliance with the Standards of Professional Conduct and Settlement of Conflicts of Interest.The Commission is also responsible for implementing corruption prevention measures atRosavtodor.31 The Federal Road Agency also develops publicly available methodologicalmaterials on requirements for professional conduct and prevention of corruption offences aswell as anti-corruption plans. Reports on fulfillment of anti-corruption plans are publishedquarterly on the Rosavtodor’s website. Avtodor company has similar anti-corruption policy andmechanisms.

61. In order to ensure corruption prevention and transparency, information on income, expenses,property and property-related liabilities of employees of Rosavtodor and Avtodor is annuallypublished on their official websites.32 Anti-corruption mechanisms implemented by Rosavtodorand Avtodor comply with the corruption preventive measures in the public sector established bythe United Nations Convention against Corruption (2003).33 In particular, the Conventionrequires each state party to endeavor to adopt, maintain and strengthen systems that promote

1. 27 Official website of the Federal Road Agency (Rosavtodor), https://rosavtodor.ru/about/14685 28 Approved by the Resolution of the Government of the Russian Federation No. 374 dated 23 July 2004. 29 Rules of the Federal Road Agency approved by the Order of the Federal Road Agency No. 10 dated 15 March 2006. 30 Federal Law No. 257-FZ "On Roads and Road Activities in the Russian Federation and on Amendments to Certain Legislative Acts of the Russian Federation" dated 8 November 2007. 31 Regulation on the Commission on Compliance with the Standards of Professional Conduct and Settlement of Conflicts of Interest approved by the Order of the Federal Road Agency No. 1730 dated 18 June 2018. 32 https://rosavtodor.ru/ and https://avtodor-tr.ru/ru/ 33 Russian Federation along with Uzbekistan is a party to this Convention.

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transparency and prevent conflicts of interest in the public sector. In addition, each state party should establish measures and systems requiring public officials to make declarations to appropriate authorities regarding their investments, assets and substantial gifts or benefits from which a conflict of interest may result with respect to their functions as public officials.34

62. Inter- and Intra-agency Interaction: Rules of the Federal Road Agency clearly establish aprocedure for internal interaction among structural units within Rosavtodor as well as its externalinteraction with:

(i) Ministry of Transport;

(ii) Subordinate organizations of Rosavtodor;

(iii) Judicial authorities.

63. The Rules prohibit interference by a structural unit of Rosavtodor with the activities of any otherunit within the Agency. The structural units interact to resolve matters falling within thecompetence of several of structural units through workshops, exchange of letters and materialsand other arrangements. Correspondence between the structural units on issues that can beresolved in an expeditious manner is not allowed.

64. In its interaction with the Ministry of Transport, Rosavtodor:

(i) Submits proposals to the Ministry for draft regulatory legal acts related to Rosavtodor’sactivities;

(ii) Submits to the Ministry proposals on the formation of the budget necessary for financingRosavtodor;

(iii) Submits to the Ministry information related to Rosavtodor’s staffing;

(iv) Submits administrative procedures for performing public functions to the Minister ofTransport for approval, etc.

65. In the process of execution of orders, Rosavtodor’s structural units interact with the relevantdepartments of the Ministry. Rosavtodor cooperates with the Ministry of Transport inimplementation of measures aimed at improving efficiency of budget expenditures.

66. In its interaction with subordinate organizations, Rosavtodor, inter alia, approves and amendscharters of subordinate organizations; appoints heads of the organizations; approves theestablishment of branches and representative offices of the organizations and approvesaccounting records and reports of the heads of the organizations.

67. As regards Rosavtodor’s interaction with judicial authorities, the Rules state that the Head ofRosavtodor may act as Rosavtodor’s representative at court and may perform on its behalf allprocedural actions, including the right to sign and withdraw the statement of claim andappealing court rulings.

68. Human Resources: Rosavtodor’s organizational structure includes the Department of StaffAdministration and Legal Support. The Department’s activity is governed by the Regulations onthe Department (publicly available) that clearly defines functions of the Department.35 Accordingto the Regulations, the Department performs various human resources management functionsincluding the following:

(i) Organizes professional retraining, advanced training and internship for the staff;

1. 34 https://www.unodc.org/documents/treaties/UNCAC/Publications/Convention/08-50026_E.pdf 35 Regulations of the Department of staff administration and legal support of the Federal Road Agency approved by the Federal Road Agency No. 31 dated 14 January 2019 (latest version).

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(ii) Organizes certification of the staff;

(iii) Reviews materials for awarding bonuses to managers of subordinate organizations;

(iv) Takes measures to identify and eliminate the conflict of interest in the Agency’s work;

(v) Ensures competitive selection for filling vacant positions at the Agency.36

69. In addition, the staff training is provided by the Institute of Advanced Training and Retraining of Personnel of the Transport and Road Complex that offers regular advanced training courses for officials and employees of administrative bodies of the Russian Federation and subordinate organizations in the field of transport security.

70. In order to motivate the staff and increase employee engagement, Rosavtodor follows a staff incentive policy that includes the following types of incentives:

(i) A.A. Nikolaev medal;

(ii) Certificate of Honor from Rosavtodor (with a lump-sum cash bonus payment);

(iii) Gratitude from the head Rosavtodor (with a lump-sum cash bonus payment);

(iv) Letter of Appreciation from Rosavtodor.

71. There are also rewards of the Ministry of Transport of the Russian Federation that apply to Rosavtodor employees.

(2) Azerbaijan

72. The State Agency of Azerbaijan Automobile Roads serves as a road management agency in Azerbaijan.

73. Reforms: In 2007, the road transport services department of the Ministry of Transport of Azerbaijan was transformed into a commercial entity “Azeryolservis” Open Joint Stock Company. “Azeryolservis” was required to report to the Ministry of Transport (at present - Ministry of Transport, Communications and High Technologies) of Azerbaijan. Reforms of 2015 granted further autonomy to the company by completely separating “Azeryolservis” from the Ministry of Transport. As a result, in 2015 “Azeryolservis” was transformed into “Azeravtoyol” OJSC reporting directly to the Cabinet of Ministers of Azerbaijan. In 2017, “Azeravtoyol” was reorganized into the State Agency of Azerbaijan Automobile Roads by the Decree of the President of the Republic of Azerbaijan No.1638.

74. Legal basis: The Agency is regulated by the Constitution of the Republic of Azerbaijan, laws of the Republic of Azerbaijan, the Charter of the State Agency of Azerbaijan Automobile Roads, other decrees, orders of the President of the Republic of Azerbaijan, decisions and orders of the Cabinet of Ministers of the Republic of Azerbaijan and other normative legal acts. Functions, rights and obligations of the Agency are set out by the Agency’s Charter.

75. Azerbaijan, similar to the Russian Federation, has a legal basis for relationships in the area of toll roads. The Law “On Roads”37 includes provisions on construction, management and use of toll roads.

76. Corporate governance and accountability: According to the Charter, the Agency is a public legal entity that applies advanced corporate governance standards to its activities and management. The governing body of the Agency is its Management Board. The Agency’s activities are supervised by the President and the Cabinet of Ministers of Azerbaijan. The

1. 36 Ibid. 37 Law of the Republic of Azerbaijan No. 778-IG “On Roads” dated 22 December 1999.

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Agency submits an annual report on its activities to the President of Azerbaijan.38 The Agency has an internal audit service that checks accuracy of accounting reports and financial statements and assesses the effectiveness of the Agency’s expenses;

77. In order to ensure transparency, the Agency prepares its financial statements based on theInternational Financial Reporting Standards and makes the statements publicly available on itsofficial website.

78. Financing: According to the Charter, the property of the Agency is formed from its chartercapital paid by the founder, other property given to it by the founder, as well as funds allocatedfrom the state budget, income from activities, donations, grants, attracted investments and otherfunds not prohibited by law. The Agency has the right to independently dispose of the profitsfrom its activities after the payment of taxes and other mandatory payments provided by law.

(3) International best practices39

79. Netherlands: Road management in the Netherlands is carried out by Rijkswaterstaat, anexecutive agency of the Ministry of Infrastructure and Water Management of the Netherlands.Starting from the 1970s, Rijkswaterstaat has undergone institutional reforms resulted in its“transition from builder to steward and from maker to manager.”40 Therefore, Rijkswaterstaat,whenever possible, outsources its execution functions. Rijkswaterstaat commissions marketparties to carry out the road construction/repair works while retaining controlling and monitoringfunctions. The Netherlands is one of the countries that have achieved a complete separationbetween the client and supplier functions in the road administration.

80. Hong Kong: The Highways Department of Hong Kong is responsible for development,maintenance and expansion of the road network as well as railway development. Transparencypolicy of the Highways Department provides for publication of annual open data plans of theDepartment. The open data plans reflect target release dates and frequency of update ofdifferent types of data. The Department’s management policy complies with internationalstandards ISO 9001 for a quality management system. The Highways Department of HongKong is responsive to inquiries, proposals and complaints of the general public including roadusers and mass media. For example, the Department publishes its responses to the massmedia articles related to road issues.41

(4) Uzbekistan: Identified gaps

81. Analysis of legislation and other data related to the CR, desk research, review of case studiesand good practices of other countries indicate that there are still gaps in the CR’s institutionalframework. The table below reflects the identified gaps (current state) related to specificinstitutional capacity components and demonstrates how these gaps are addressed by goodpractices (desired state).

Table 2 – CR gap analysis

Institutional Capacity

Components Identified gaps in the CR Good practices

Separation of No clear separation of client Planning and management

1. 38 Charter of the State Agency of Azerbaijan Automobile Roads, Annex to the Decree of the President of the Republic of Azerbaijan No. 1748 dated 19 December 2017. 39 This report highlights experience of the Netherlands and Hong Kong as best practices, since both countries maintain top positions in the Quality of Road Infrastructure indicator of the Global Competitiveness Report. In 2019, Netherlands ranked 2nd and Hong Kong ranked 4th for quality of roads among 141 countries listed in the Global Competitiveness Report. 40 As stated on the official website of Rijkswaterstaat, https://www.rijkswaterstaat.nl/english/index.aspx 41 https://www.hyd.gov.hk/en/publications_and_publicity/publicity/letters_to_editors/index.html

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Institutional Capacity

Components Identified gaps in the CR Good practices

Functions and Responsibilities

and supplier functions in terms of road maintenance and overlapping responsibilities of the CR and the Ministry of Transport

(client) and execution of works (supplier) functions are completely separated in the road administration of the Netherlands.

Responsibilities of the State Agency of Azerbaijan Automobile Roads are clearly separated from the responsibilities of the Ministry of Transport, Communications and High Technologies of Azerbaijan. The Agency’s activities are supervised by the President and the Cabinet of Ministers of Azerbaijan.

Lack of a law on toll roads. The Law “On Roads” states that relationships in the area of toll roads are regulated by a separate law.42 The draft law on toll roads has been presented for public discussion in March 2019 but has bot been enacted yet.43 Uzbekistan has already adopted a Road map for implementation of toll road projects under public-private partnership in 2020-2022 (Annex to the Presidential Resolution No. 4545) that includes five toll road projects. Therefore, effective legal basis regulating toll roads need to be enacted in the nearest future.

Construction, management, maintenance and use of toll roads are regulated by the Federal Law No. 257-FZ in Russia and the Law “On Roads” in Azerbaijan.

Although it is defined to a certain extent in the legislation, there is a lack of a publicly available legal instrument that regulates interaction among numerous state unitary enterprises within the CR’s organisational structure in

In Russia, Rosavtodor’s interaction with its structural units and external bodies is regulated by the publicly available Rules of Rosavtodor.

1. 42 Article 2, Law of the Republic of Uzbekistan No.117 “On Roads” dated 2 October 2007.43 https://regulation.gov.uz/ru/document/2787

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Institutional Capacity

Components Identified gaps in the CR Good practices

general, and and specifically AvtoyulInvest Agency, which is still has no regulation adopted to date .

Transparency and Corruption Prevention

Lack of binding transparency and anti-corruption standards and plans drafted specifically for the CR and made available to the public

In addition to the federal and other general legal acts on transparency and anti-corruption, Rosavtodor follows binding internal transparency and anti-corruption rules and plans that are publicly available.

The Highways Department of Hong Kong ensures publication of annual open data plans of the Department. The open data plans reflect target release dates and frequency of update of different types of data.

Human Resources

Lack of a clear and consistent staff development and training program

Rosavtodor’s Department of Staff Administration and Legal Support and the Institute of Advanced Training and Retraining of Personnel of the Transport and Road Complex organize professional trainings and internship to ensure the staff development.

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1.4 Recommendations 1.4.1 Additional or different staffing

82. The CR’s organizational structure, staffing, and operations must be reformed to clearly separatethe client and supplier functions, improve the efficiency and effectiveness (value for money) ofroad expenditures and enhance service delivery to road users. Though reforming CR’s regionalconstruction companies and its district road maintenance enterprises is an urgent priority, thetransition should be carefully planned, transparent, and enable an environment, in which theSOEs are progressively exposed to greater competition.

83. To prepare for competitive road construction and maintenance markets open to commercially-run enterprises, the current legislation and further amendments to it, if any, should formallyseparate road sector policy, planning, and oversight from road sector operations, includingconstruction and maintenance works. Although the legal ownership of all public roads inUzbekistan is vested in the state, the CR’s functions as a client ought to be separated from asupplier. Separating these functions clarifies roles and increases the focus and specificity of themanagement and service delivery functions.

84. Pursuing the reform will require a restructuring of CR’s organization, staffing, and operations. Atentative reform agenda could include the following proposed actions:

(i) Undertake comprehensive process reengineering CR’s administrative and operationalsystems and procedures;

(ii) Adopt information technology–based administration and record keeping systems,including e-procurement, e-payments, and e-human resources management;

(iii) Establish an office for development and management of planned access-controlledexpressways, including PPP arrangements with its eventual evolution into a separatecorporate entity responsible for strategic road infrastructure (expressways and majorinternational transit corridors);

(iv) Establish a human resources department with responsibilities for staff recruitment,training, and career development.

85. The staff envisaged for the project will be experienced in implementing World Bank and ADB-funded projects. A respective CR’s project management unit (PMU) will recruit staff withadequate knowledge and understanding of, and experience with, ADB procedures to managethe project. CR will seek ADB’s clearance for each member of the PMU to be recruited. ADB willcontinue supporting and monitoring the implementation of the project, providing assistance, asneeded, to the CR and the project PMU, to ensure efficient project implementation andcompliance with audit and financial management requirements. Recent reforms have clarifiedthe lines of command for project management, making the CR’s responsibilities better definedand the integration44 of the Republican Road Fund (RRF)45 under the CR will enhance betterproject implementation. The CR will empower the PMU to make contract administrationdecisions and/or establish a Steering Committee within CR to expedite the decision-makingprocess with established timelines for contract related decision making. CR is also provided withmore experienced staff. PMU will be supported by international and national consultants to workat the PMU office. The supervision consulting firm will assist the PMU on the day to daysupervision of the Project.

1. 44 Internal note: The background to this needs to be explained in the rational section. 45 Republican Road Fund was reorganized into “Avtoyulinvest” Agency, the Presidential Resolution No. PP-4545 as of 9 December2019.

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1.4.2 Trainings 86. ADB should consider supporting training and certification programs for CR’s and PMU’s staff

and other third-party contractors engaging in the Project implementation, in such spheres, toraise respective skills and competences. This entails the following:

(i) Evaluating the training market for road transport and logistics professionals;

(ii) Defining a financing mechanism for professional training;

(iii) Defining required skills and competences for each regulated profession and definingtraining programs and curricula;

(iv) Defining certification procedures for training institutes;

(v) Certifying training institutes.

87. The training program will be conducted by highly qualified experts in the road sector to deliverthe greater quality knowledge as per the requirements of modern approaches and internationalpractices in the road sector.

1.4.3 Additional focus on non-traditional engineering aspects such as road safety, access to transport by disabled people, etc.

(1) Road safety

88. Institutional capacity to manage road safety should be strengthened to improve inter-agencycoordination and adopt a system approach to road safety. Some or most of the regulatoryfunctions currently performed by Uzbekistan’s State Service on Traffic Safety (police) within theMinistry of Interior would come under the purview of a professional land transport regulatoryentity (either a department within MoT or an autonomous authority) if enforcement andregulation were separated.

89. Countries that have made the most progress in reducing road traffic accidents and fatalitieshave separate enforcement and regulatory functions. The police role is mostly limited toenforcing traffic and safety regulations. Separate regulatory entities (such as a department ofmotor vehicles and a land transport regulatory authority) carry out vehicle and driver licensing,vehicle safety and emission inspections, and preparation and reporting of road safety statistics.

90. Government should strengthen the CR’s functionality for a next step towards to better roadsafety management. In conditions of underfunding, it is found that it is not sustainable tostrengthen the CR’s functionality up to perfection, for example, encompassing all of activitiesand responsibilities defined by the CR’s statue. However, there are critically important tasks thatshould not be neglected despite of funding constraints. As result of reviews it is proposed thefollowing tasks:

(i) To amend the CR’s regulation in terms of preventing potential conflict of interests;

(ii) To create road safety section at CR;

(iii) To create road inventory section at CR.

91. The broader road traffic safety functions may also include:

(i) Development of long- and medium-term road safety strategy;

(ii) Performing road safety audits by routes;

(iii) Creating and maintaining traffic accident black spots map;

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(iv) Developing annual road safety improvement program and monitoring its implementation;

(v) Dealing with day-to-day tasks, such as attending public enquiries and participation intraffic accident investigations as required.

92. The overall objective of a road construction project is to improve the road safety. The followingactions might be considered for the same:

(i) Development of technical standards and guidelines for traffic safety, ensure the modernityof these standards and guidelines;

(ii) Implementation of road safety audit for the designs of the new roads, regularly performsafety inspections for the existing roads and ensure the implementation of the instructionsgiven in the result of such inspections;

(iii) Supervise the implementation of the road safety related terms foreseen in the roadconstruction, capital repair and routine maintenance contracts;

(iv) Ensure the analysis of the road accident statistics received from the police and thedevelopment of the relevant engineering countermeasures based on this analysis;

(v) Development of technical standards and guidelines for traffic safety. Implementation ofroad safety audit for the designs of the new roads, safety inspections for the existingroads;

(vi) Supervise the implementation of the road safety related terms foreseen in the roadconstruction, capital repair and routine maintenance contracts. Analysis of the roadaccident statistics received from the police and the development of the relevantengineering countermeasures based on this analysis.

(2) Access to Disabled People

93. The development of barrier-free environments on roads in order to support the independence ofelderly and disabled people has come under closer scrutiny as a social issue. Currently, theoperational procedures and environmental set up for physically impaired people areunsatisfactory, and there are almost no ergonomic considerations, which assure their safety andcomfort during driving, are taken into account in Uzbekistan.

94. It is known that the driving load for disabled people was heavier than that for unimpaired people.Nonetheless, driving environments are designed basically for use by unimpaired people, andbuilding highways with conditions to disables persons is inevitable in the modern country. Frominstitutional stand point, the following are required: (1) to introduce a unit or knowledge tankwithin the structure of the CR (alternatively, the Research Centre) to be in charge of promotingsafety and adoptability of roads for their wider utilization by the disabled; (2) to investigate thedriving load for disabled people based on their driving and traveling situations and to reducetheir driving load as much as possible; (3) to predict danger and to develop traffic-warningsystems equipped with functions for predicting dangerous situations.

(3) Grievance Redressal Mechanism

95. Grievance Redressal Committee (GRC) will be established at two levels, one at the ProjectImplementation Unit (PMU) level and second at PMU level. The GRC will be in placeimmediately after the project is approved. The GRC will receive, evaluate and facilitate theresolution of affected persons concerns, complaints and grievances.

96. AvtoyulInvest Agency under the RC will be performing as a Project Management Unit (PMU)responsible for monitoring progress, supervising the procurement processes, and reviewingworks plans. The Agency maintains one of its original functions as the coordinating and

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facilitating entity for road projects financed by international financial institutions. It will monitor the overall progress for the project by setting up Project Implementation Units (PIU). PIU may include Project Director, Procurement Specialist, Finance Specialist, Contract Specialist, Accounting Specialist, Road Engineer, Environmental Specialist, Safeguard Officer, and Interpreter.

97. GRC will provide an opportunity to the affected persons to have their grievances redressed priorto approaching a competent court of law. GRC is aimed to provide a trusted way to voice andresolve concerns linked to the project and to be an effective way to address affected personsconcerns without allowing it to escalate resulting in delays in project implementation.

98. First level GRC will be a single contact point with the jurisdictional Road Engineer, PMU, localmunicipality. Aggrieved persons can contact either of them and they will be responsible forreceiving, hearing and resolving the grievances. Second level GRC will be a 3-membercommittee at PMU, chaired by Project Director, PMU, Safeguards Officer, PMU acting as itsmember secretary and the Road Engineer, PMU.

99. In addition to the project level grievance redressal mechanism, affected persons can submittheir grievances through the virtual reception of the President of the Republic of Uzbekistan,which contributes to the unquestioning implementation of the constitutional rights of citizens toappeal to the President of the Republic of Uzbekistan. Through this information system, anypersons can send their applications, suggestions and complaints to the President of theRepublic of Uzbekistan.

100. The Law of the Republic of Uzbekistan on the Appeals of Individuals and Legal Entities wasintroduced on 29 October 2014 and this law replaced the earlier law on Appeal of Citizens thatwas introduced on 13 December 2012. This law guarantees the right to appeal and prescribesthe requirements of an appeal, its form and structure. Further, the timeline for addressing theappeal, the procedure for personal hearing, need for maintaining record of appeals andprocedure for second appeal are prescribed.

1.5 Capacity Building and Training Program 1.5.1 Introduction

101. This chapter presents a program of capacity building and training (the “Program”) for the staff ofthe CR46. The Program seeks to address the existing gaps in the CR’s institutional capacity tohelp the CR efficiently perform its functions and undertake its responsibilities in order to reachthe Project objectives.

102. Capacity building of the CR is the process of developing and reinforcing the skills and resourcesnecessary for the CR to effectively operate as a modern road management agency andsuccessfully adapt to the rapidly changing environment.

1.5.2 Key Capacity Development Components of the CR103. The Gap Analysis conducted in the framework of the institutional assessment of the CR

identified the following most critical gaps that need to be addressed within the Program:

(i) Lack of clear separation of client and supplier functions and overlapping responsibilities ofthe CR and the Ministry of Transport;

(ii) Lack of a clear and consistent staff development and training program for the CR’s staff;1.

46 Note: If the Program needs to be addressed to the PMU and third party contractors, the same Program components and parameters should apply to them respectively.

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(iii) Lack of transparency and sustainability aspects in the CR activities.

104. These findings of the Gap Analysis and recommendations provided in foregoing sections serveas a basis for forming key components of the CR’s institutional capacity.

105. The components include the following:

(i) Organizational development that encompasses efficient structure and management of theCR;

(ii) Staff development and quality management, which provides for professional developmentof human resources and optimization of the CR’s staff functions;

(iii) Transparency and sustainability training that envisages enhanced transparency of the CRand development of non-traditional engineering aspects (such as road safety, access topeople with disabilities etc.).

106. The proposed Program of capacity building and training is premised on these capacitydevelopment components.

1.5.3 Major Stages of the Program107. The Program is divided into several stages with a purpose of ensuring its effectiveness and

viability. Major stages of the Program are reflected in the table below.

STAGES ACTIVITIES

Target Evaluation This stage involves analysis of the CR’s current state and identification of gaps in the CR’s institutional capacity (as provided in Section 4 Gap Analysis)

Program Preparation This stage includes defining goals of capacity building and training and drafting of the Program’sframework and curriculum that address the identified gaps and proposed recommendations

CR's capacity development components

Organizational development

Staff development and quality

management Transparency and

sustainability training

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Program Application and Monitoring

This stage entails implementation of the prepared Program

Ex-post Assessment This stage involves evaluation of the Program outcomes including:

(a) extent of reaching initial goals of the Program;

(b) satisfaction of stakeholders with the Programresults;

(c) issues and hurdles identified during theProgram preparation and implementation;

(d) lessons learned.

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1.5.4 Program Framework The table below addresses the key parameters identified in the above section aiming to cover them in the relevant training programs, namely such parameters include the organizational development, the staff development and quality management, and the transparency and sustainability.

PROGRAM PARAMETERS ORGANIZATIONAL DEVELOPMENT

STAFF DEVELOPMENT AND QUALITY MANAGEMENT

TRANSPARENCY AND SUSTAINABILITY TRAINING

Current Issues The CR lacks a clear separation of client and supplier functions in the road sector. There is also an issue of overlapping between enforcement and regulatory functions in terms of road safety and insufficient outsourcing of tasks by the CR to the private sector.

Legal acts regulating the CR activities allow staff incentives. According to Regulation No. 29547, wages of the staff of the CR’s central office, head departments and subordinate entities include position salaries, allowances, premiums, bonuses and other additional payments prescribed by law. However, at present, the CR lacks a comprehensive staff reward policy to motivate and encourage the CR’s staff.

Some sections of the CR’scurrent official web-site lack up-to-date information or do notcontain any data. For example,“Legal Base” section (even itsUzbek version) does notcontain the latest legal actsadopted in relation to the CRsuch as the new Regulation No.295 adopted in May 2020.Furthermore, some subsectionsof “Investment Potential”section do not contain any data.Also, the majority of data isunavailable in English which iskey primarily for foreigninvestors who might beinterested in investing to theroad projects in Uzbekistan.Such condition of the CR’sweb-site limits public access todata related to the CR activities

1. 47 Regulation on the CR approved by the Resolution of the Cabinet of Ministers of the Republic of Uzbekistan No. 295 dated 19 May 2020.

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as well as erodes credibility of the CR as a modern road management agency.

At present, the CR’s activitieslack focus on sustainabilityaspects of the road sector suchas inclusiveness, climateadaptation, environmentalimpact, stakeholderengagement etc.

Activities Clear separation ofresponsibilities for planningand management fromexecution of works functions;

Greater private sectorinvolvement to roadmaintenance works

Develop clear job descriptionsfor the senior managementstaff in line with provisions ofRegulation No. 295;

Set performance goals formain personnel positions and aprocedure for regularperformance assessment;

Implementation of staffincentive policy to recognizeand reward high performanceemployees and motivate thestaff. The policy is to providefor monetary and non-monetary rewards;

Development of conflictmanagement skills and ethicalorganizational culture.

Improvement of the CR’sofficial web-site by providing auser-friendly interface andpublic access to up-to-datedata related to the CRactivities;

To make it regular andcustomary for the CRmanagement (or publicrelations) to communicateand/or report to the public inperson or via mass media oncurrent activities of the CR anddiscuss potential issues thatmay impact local communities,to address them effectively andpromptly;

Sustainability training andassistance in implementing

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sustainability initiatives within the CR.

108.

Key Objectives Minimize potential conflicts ofinterest by clear separation offunctions and responsibilities;

Enhance overall effectivenessof the CR as a modern roadmanagement agency andmake it responsive to the localsociety’s needs.

Enhance the staff expertiseand skills;

Increase performance andproductivity of the personnel;

Improve the personnel’ssupport of the CR’s sharedvision and mission.

Enhance trust in the CR fromits staff, partners, contractors,authorities, the general publicand other stakeholders;

Making the CR’s activity moretransparent and open to thepublic;

Enable the CR to addresssustainability issues with afocus on non-traditionalengineering aspects.

Expected Outcome Clear and proper structure and allocation of functions that contribute to better communication among departments, minimization of redundant units and optimization of workload.

Enhanced collaboration among the staff members, cooperation and trust between the executive personnel and other employees and higher performance of the staff.

Successfully implemented sustainability initiatives that help the CR to efficiently perform its functions as a modern road management agency.

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1.5.5 Suggested List of Courses within the Program ORGANIZATIONAL STRUCTURE DEVELOPMENT

Course overview This course seeks to help the CR management gain organizational development skills and learn how to design and implement organizational changes to support the CR’s growthand success in providing technical assistance.

Course outline Best practices of effective organizational structures of roadmanagement agencies;

Types of modern organizational structures in the road sector;

Optimal allocation of responsibilities and collaborationamong structural units;

Evaluation of organizational changes.

Target audience CR management

Course duration 3 consecutive weeks (10 hours study time per week)

Note: A longer term for gaining appropriate skills might be needed, as a 3-week training course might be insufficient for the more permanent effect.

DESIGN AND MANAGEMENT OF STAFF INCENTIVES

Course overview This course considers importance of the staff reward strategy as one of the key factors of employee performance enhancement. The course demonstrates how to assess performance of the CR employees and develop the staff incentive policies that will increase the staff productivity. Specifically, the course would be of interest for management and HR specialists and should learn the trainees with best practices in other countries, and methodologies for the CR to define a set of internal regulations.

Course outline Drafting and implementing compensation and benefitspolicies;

Setting adequate performance goals for employees;

Regular appraisal of the staff performance and effectivefeedback on the performance;

Employee motivation.

Target audience CR senior management and human resources personnel

Course duration 2 consecutive weeks (10 hours study time per week)

IMPLEMENTATION OF SUSTAINABILITY PRACTICES

Course overview This course is aimed to help the CR develop an action plan for integrating sustainability across the committee and learn how sustainability impacts the roads network, environment, road users and other stakeholders.

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Course outline Major sustainability aspects related to the road industry;

Adoption of sustainable practices (e.g. inclusiveness, climateadaptation, environmental impact, stakeholder engagement,etc.);

Overcoming potential resistance to implementation ofsustainability initiatives;

Effective communication with and engagement of stakeholders in road projects.

Target audience CR’s strategic planning, road safety and development personnel

Course duration 3 consecutive weeks (10 hours study time per week)

Preparing the Surkhandarya Regional Road Project (UZB 53312-002)

TERMS OF REFERENCE FOR TRTA CONSULTANTS

A. Project Preparation Firm

I. Background

1. The Government of Uzbekistan has requested the Asian Development Bank (ADB) toprovide technical assistance support for preparing the Surkhandarya Regional Road Project. Theproject road, between Derbent and Denau, is about 111 km long (see map at Annex 1). Theproposed project will upgrade the existing two-lane road which is severely deteriorated to two-lane international standard suitable for a 20-year service life.

2. The technical design of the road, including several substantial bridges, is being preparedby the Government’s Design Institute, to prevailing standards used for the country’s highway network. The Institute will prepare drawings, schedules of quantities and costs, and technical specifications. It is anticipated that the design and other documents will be completed in early 2020.

3. Through the proposed technical assistance ADB will engage consultants to assist theGovernment with developing the designs and other documentation required to enable ADB toprocess financing for the proposed project.

4. The Government agency responsible for the project is the Committee for Roads (CR)under the Ministry of Transport. ADB will engage a consulting firm, in accordance with ADBProcurement Policy Goods, Works, Nonconsulting and Consulting Services 0F

1 and Procurementregulations for ADB borrowers Goods, Works, Nonconsulting and Consulting Services (2017, asamended from time to time).1F

2

II. Scope of Work and Activities

5. The scope of work of the proposed consulting services will consist of these tasks:

(i) Task 1: Undertaking due diligence of the technical designs for the project road,and bringing them to a standard suitable for ADB financing, including provisionsfor ensuring road safety and climate resilience;

(ii) Task 2: Completing safeguards surveys and studies for environment, landacquisition and resettlement, indigenous peoples, gender and others as necessaryin accordance with ADB’s policies and procedures;

(iii) Task 3: Preparing economic and financial analyses in accordance with ADB’spolicies and procedures;

(iv) Task 4: (a) Undertaking a comprehensive procurement assessment of the CR;and (b) Preparing procurement documentation in accordance with ADB’sProcurement Policies and Regulations and assisting the CR with procuring civilworks contractors to construct the project road;

(v) Task 5: Updating the sector assessment for transport in Uzbekistan, andundertaking a comprehensive institutional assessment of the CR and providingrecommendations for changes in and strengthening of the CR to improve its ability

1 ADB. 2017. ADB Procurement Policy. Manila. 2 ADB. 2017. Procurement Regulations for ADB Borrowers. Manila.

Annex 13

2

to manage this project and other similar projects for which the CR is or will be responsible; and

(vi) Task 6: Provide draft documents required by ADB for preparing financing for theproject and assist the CR with preparing the national feasibility study (inaccordance with Presidential Resolution No. 3857) 2F

3

6. The activities to be undertaken under each of these tasks will include, but not be limitedto, the following:

Task 1: Technical due diligence of existing designs

i. Review available traffic studies to ensure that the traffic volume, projections,classifications and axle load information that have been used for the designs areappropriate, and undertake additional traffic surveys, 7 day classified counts at 2 locationson the project road, and a basic Origin-Destination survey to verify the traffic data. Traffictravelling from or to international destinations is to be clearly identified and, for commercialtraffic, the nature of cargo being transported is to be determined;

ii. Review and agree with the CR and the Design Institute the standards that have been usedfor the designs and agree, if necessary, more appropriate or current internationalstandards where necessary;

iii. Visit the project site with the Design Institute to assess the design prepared by them, toassist with preparing amendments or improvements to the design;

iv. Review all aspects of the technical designs, including alignment and profile, typical crosssections, intersections, bridges and other drainage structures, traffic facilities includingsignage and protection structures, road user facilities such as bus stops, pedestriancrossings and others as appropriate, and prepare an analysis setting out whereimprovements are required and the scope of those improvements;

v. In consultation with the CR, prepare concept alignment, pavement designs and costestimates for up to 20 km in total of 3-4 access roads connecting the project road withvillages and potential tourism sites in the project area;

vi. In consultation with the CR, identify from 2 to 3 locations for roadside rest areas that couldbe included in the scope of the project. The rest areas are to be designed to concept state,to include paved parking areas and gender-segregated toilet facilities that may beprovided under the project, and other facilities including fuel supply, commercial facilities,etc., that may be provided subsequently by the Government through private sectorconcessions or by other modalities;

vii. As a critical aspect of the technical design review, subject the existing design to a roadsafety audit, based on relevant international standards and ADB’s CAREC Manual onRoad Safety and reflect the findings of the audit in the analysis referred to in para. (iv)above and, once the design has been finalized, undertake a second audit to ensure thatall road safety aspects have been appropriately addressed;

viii. Conduct a climate change risk assessment of the proposed project and based on thisdevelop appropriate and feasible adaptation options. This activity will include(a) identification of key climate variables relevant for the design; (b) projection of climatevariables incorporating uncertainties; (c) climate ‘stress test’ of the proposed design and

3 Decree of the President of the Republic of Uzbekistan No. PP-3857 dated 16 July 2018. On measures to increase the effectiveness of preparation and implementation of projects with participation of international financial institutions and foreign governmental financial organizations. Tashkent.

Sub-Task 1.1

Sub-Task 1.2

Sub-Task 1.3

Sub-Task 1.4

Sub-Task 1.5

Sub-Task 1.6

Sub-Task 1.7

Sub-Task 1.8

3

if appropriate adjustment of the design; and (d) identification and assessment of adaptation measures including incremental cost estimates;

ix. Review the CR’s proposal for an Intelligent Transport System (ITS) for the project roadand develop improvements to the proposal to reflect current communications and othertechnology and existing ITS installations on the country’s road network. Based on thisreview, prepare designs for the agreed ITS system, including an ITS architecture,specifications, and cost estimates. Prepare bid documents for the project’s improved ITSinstallation either as a separate contract or, preferably, as a component of the project’scivil works contracts (see Task 4), to be decided in consultation with the CR and ADB;

x. Agree the proposed improvements to the design with the CR, in consultation with ADB,and assist the Design Institute with finalizing drawings, bills of quantities, cost estimates,technical specifications and other documents (see below for safeguards-relateddocuments) that will be included in bidding documents for the project’s civil workscontracts;

xi. Prepare cost estimates for the civil works based on the cost estimates prepared by theDesign Institute taking into account bid prices for recent ADB and other developmentpartner financed road sector projects. The estimates are to be prepared as spreadsheetsin a format suitable for ADB project preparation and for bid document bills of quantities;and

xii. Prepare an appropriate project implementation schedule, commencing with procurementand extending until the end of the contractual defect’s notification period.

Task 2: Safeguards and Gender

Environment

i. The output of this task will be a draft Environmental Impact Assessment (EIA)/InitialEnvironmental Examination (IEE) (as applicable) for the project that is compliant with theGovernment’s regulations and ADB’s Safeguards Policy Statement 2009, to include theEnvironmental Management Plan (EMP) that will be part of the civil works biddingdocuments;

ii. EIA/IEE preparation will include studying the relevant baseline information including butnot limited to―soil, geology, hydrology, biodiversity, noise, air quality and water quality;and conducting baseline surveys for each parameter to establish ambient environmentalconditions in the area, including a full ecology baseline survey on the section of the roadthat is close to the Biodiversity Area. For noise, acquire baseline data on a 24hour basisat representative points and prepare a constructed baseline using these;

iii. Perform an impacts analysis for the construction and operation stages of the project andpropose mitigation measures to minimize and/or remove the impacts; conduct a detailedecology assessment and a noise, vibration and air dispersion modelling using the trafficprojections for the project to establish likely environmental impacts in the area; providedetailed assessment on soil/slope stabilization and erosion, hydrology, etc.;

iv. Assess environmental impacts of the project and its ancillary activities and also discusscumulative environmental impacts;

v. Develop an environmental sensitivity mapping of the project area using the baseline datacollected; include data on ecology, noise, vibration, social indicators, water and soil;

vi. Perform a risk based environmental impact analysis of the likely impacts of the projectbased on the findings and results of the noise and air emissions modeling, biodiversitybaseline and other sensitive environmental parameters along the alignment;

Sub-Task 1.9

Sub-Task 1.10

Sub-Task 1.11

Sub-Task 1.12

Sub-Task 2.1.1

Sub-Task 2.1.2

Sub-Task 2.1.3

Sub-Task 2.1.4

Sub-Task 2.1.5

Sub-Task 2.1.6

4

vii. As part of the EIA/IEE prepare an EMP including the use of appropriate mitigationtechnologies, an environmental monitoring plan with monitoring indicators, andinstitutional arrangements and responsibilities (including cost estimates and training);

viii. As part of the EMP, prepare a Biodiversity Management Plan, for the section of the roadthat is close to the Biodiversity area;

ix. Conduct an institutional environmental capacity review of the implementation capacity ofthe CR for environmental safeguards. Prepare a capacity development program to dealwith each of the identified capacity gaps;

x. Conduct meaningful public consultations with communities and relevant stakeholders inthe area of influence of the project during the environmental assessment process. Consultall local and national level stakeholders, including community-based organization andnational and international NGOs actively working in the area. Ensure, and provideevidence that the findings and concerns of the communities have been addressed in theEIA/IEE report;

xi. The EIA/IEE and its EMP are to contain the requirement for the preparation of a sitespecific EMP by the contractors (using a risk-based approach) to ensure that the mitigationmeasures are customized to the needs of the various aspects of the project and thealignment;

xii. The EIA/IEE is to contain maps and figures to explain the details and all supporting dataand studies performed as part of the EIA/IEE should be duly annexed; and

xiii. Prepare a Grievance Redress Mechanism that is operational for the project, includingcommunity representation along the entire alignment of the road.

xiv. The IEE will comply with both the Government’s regulations and ADB’s SPS 2009. He/shewill prepare IEE and EMP including environmental management costs, its implementationand monitoring. The World Bank Group Environmental, Health, and Safety Guidelines andtheir specific guidance for roads should be referenced in undertaking the IEE. He/she willalso incorporate public consultation results in the design.

Resettlement i. Analyze relevant laws and regulations vis-à-vis ADB’s involuntary resettlement safeguard

requirements, as described in the ADB Safeguard Policy Statement (SPS) 2009, andrecommend gap-filling measures as needed;

ii. Identify potential land acquisition and resettlement (LAR) impacts of the proposed projectand conduct the necessary preparatory surveys (inventory of loss, socioeconomic surveyof project-affected households, valuation survey);

iii. Prepare an implementation ready land acquisition and resettlement plan (LARP) inaccordance with ADB’s SPS (2009);

iv. Conduct meaningful consultations with affected households and other relevantstakeholders. Work closely with the government agency responsible for resettlement andassist the government in initiating a participatory process for LARP preparation andapproval;

v. Advise the CR, participating local governments, and other agencies as appropriate onSPS (2009) requirements and procedures;

vi. Assess the capacity and commitment of the responsible institutions to plan, update, andimplement LARPs, and propose capacity building/training programs, as needed; and

Sub-Task 2.1.7

Sub-Task 2.1.8

Sub-Task 2.1.9

Sub-Task 2.1.10

Sub-Task 2.1.11

Sub-Task 2.1.12

Sub-Task 2.1.13

Sub-Task 2.1.14

Sub-Task 2.2.1

Sub-Task 2.2.2

Sub-Task 2.2.3

Sub-Task 2.2.4

Sub-Task 2.2.5

Sub-Task 2.2.6

5

vii. In close coordination with the other team specialists, develop a project-specific grievanceredress mechanism to handle complaints in an effective and culturally appropriatemanner.

Social Development and Gender i. Ensure the collection of baseline data (sex-disaggregated, as much as feasible) on a

range of socioeconomic indicators (including among others, educational attainment, laborforce participation, sectors of employment, livelihood activities of women, income of menand women), appropriate for the project;

ii. Conduct gender analysis to inform the final design of the project. Gender analysis willinclude consultations with women residing in the communities near the project areas andthose working along the project roads, if any, to identify their social and livelihoods needsand potential project design features to address gender needs and enable women tobenefit from the project. Information to be collected to include among others, mobility andtravel related concerns (including road safety, critical incidents (e.g. sexual harassment,crimes), time use (frequency and purpose of travel, implications of travel on domestic andcare work and economic activities of women), types of economic and livelihood activitiesof women, and constraints related to setting up and management of economic, livelihoodactivities;

iii. Identify mechanisms to ensure women’s and girls’ participation in the project includingdevelopment of a gender action plan.

iv. Prepare and submit a comprehensive poverty, social, and gender analysis report and draftGender Action Plan (GAP), SPRSS.

Task 3: Economic and Financial Analysis

i. Prepare an economic analysis of the proposed project, using as inputs the traffic and costdata prepared under Task 1, for a service life of 20 years. The analysis will includeappropriate sensitivity and risk analyses, in accordance with the Guidelines for theEconomic Analysis of Projects (2017),3F

4 and the Cost-Benefit Analysis for Development: A Practical Guide (2013). 4F

5 It will cover all aspects of analysis as specified in ADB’s Operations Manual Section G1/OP and summarized in the Key Areas of Economic Analysis of Investment Projects – An Overview (2013). 5F

6 The without project scenario will be the existing unimproved project road;

ii. Prepare Cost Estimates and Financing Plan in accordance with ADB technical guidancenote (TGN) for preparation of cost estimates (2014);

iii. Prepare design of funds flow, accounting, auditing, and financial reporting arrangementsin accordance with ADB TGN for Project Financial Reporting (2014);

iv. Prepare a financial management assessment in accordance with ADB TGN for FinancialManagement Assessment (2015); and

v. For network sustainability considerations, preparing (in compliance with TGN for financialanalysis and evaluation of projects (2019)): (a) an assessment of the Government’sapproach to allocating budget for routine and periodic maintenance of the road network;(b) assessing, based on accepted international practices and ongoing studies by the World

4 ADB. 2017. Guidelines for the Economic Analysis of Projects. Manila. 5 ADB. 2013. Cost-Benefit Analysis for Development: A Practical Guide. Manila. 6 ADB. 2013. Key Areas of Economic Analysis of Investment Projects – An Overview. Manila.

Sub-Task 2.2.7

Sub-Task 2.3.1

Sub-Task 2.3.2

Sub-Task 2.3.3

Sub-Task 2.3.4

Sub-Task 3.1

Sub-Task 3.2

Sub-Task 3.3

Sub-Task 3.4

Sub-Task 3.5

6

Bank and others, an appropriate budget requirement to ensure the network is sustainably maintained; and (c) determining actual maintenance allocations and expenditures for the CR network for the past 5 years or longer.

Task 4: Procurement documents and support

i. Prepare a Sector/Agency Procurement Risk Assessment in accordance with ADBguidelines;

ii. Undertake a Procurement Capacity Assessment of the CR in accordance with ADB’srequirements;

iii. Conduct a strategic procurement planning analysis in line with ADB New ProcurementFramework and relevant Guidance Note (June 2018);

iv. Prepare a procurement plan for the project, in accordance with ADB’s Guidelines forprocurement. The project contracts for civil works and consulting services will be procuredin accordance with the Open Competitive Bidding procedures of ADB’s Guidelines;

v. Prepare bidding documents for the project’s contracts based on the June 2018 ADBstandard bidding documents; and

vi. for the civil works contract(s), prepare a draft contract management plan that will be usedby the implementation agency during contract implementation.

Task 5: Institutional Assessment of the CR

vii. Review the laws, regulations and other administrative provisions that set out the CR’sresponsibilities, resources, budget procedures, planning, monitoring and other parametersrelevant for an agency that is tasked with managing the country’s primary road network;

viii. Based on this, prepare a gap analysis setting out what the CR now is and does, and whatas a modern road management agency what it should be and should do;

ix. Recommend approaches to addressing the identified gaps, including through additionalor different staffing, training, greater outsourcing of tasks to the private sector, andadditional focus on non-traditional engineering aspects such as road safety, access totransport by disabled people, etc.;

x. Based on these recommendations, and in consultation with the CR and ADB, prepare aprogram of capacity building and training for the most critical of the identified gaps, forpossible inclusion in the scope of the proposed project.

Task 6: Documentation for project financing

i. In consultation with the ADB project team, prepare inputs for the documents required forprocessing financing for the project, specifically the Report and Recommendation of thePresident and the Project Administration Manual;

ii. For the latter document prepare standard cost tables based on the project costs developedunder Tasks 1 and 5; and

iii. Assist the CR with preparing the national feasibility study (in accordance with PresidentialResolution No. 3857)

Sub-Task 4.1

Sub-Task 4.2

Sub-Task 4.3

Sub-Task 4.4

Sub-Task 4.5

Sub-Task 4.6

Sub-Task 5.1

Sub-Task 5.2

Sub-Task 5.3

Sub-Task 5.4

Sub-Task 6.1

Sub-Task 6.2

Sub-Task 6.3

7

III. Consultant’s Staffing7. The indicative key staffing requirements for the consulting services to be provided by thefirm are presented in Table 1 below, based on an assumed assignment duration of 9 months.Qualifications and Term of Reference for each of the key staff are provided in Annex 2.

Table 1: Key Staff Position Person-Months

A. International Consultants1. Team Leader / Highway Engineer 9 2. Pavement/Materials Engineer 2 3. Bridge/Structural Engineer 2 4. Environmental Specialist 2 5. Social Development/ Resettlement Specialist 2 6. Transport Economist 2 7. Procurement Specialist 6 8. ITS Specialist 3 9. Institutional Specialist 4 10. Financial Management Specialist 2 11. Road Safety Specialist 2 12. Climate Change Specialist 1

Sub-Total (International) 37

B. National Consultants Person-Month 1. Deputy Team Leader/ Highway Engineer 8 2. Materials Engineer 4 3. Pavement Engineer 2 4. Procurement Specialist 5 5. Environment Specialist 4 6. Social Development/ Resettlement Specialist 5 7. Cost Engineer/Quantity Surveyor 5 8. Bridge Engineer/Structural Engineer 3 9. Hydrologist10. Road Safety Engineer11. ITS Specialist12. Institutional Specialist13. Social Development/Gender Specialist

1 1 3 3 2

Sub-Total (National) 46 Total (International + National) 83

8. In addition to the Key Staff listed above, consultants are to provide in their proposals suchadditional personnel as they consider necessary for providing the services and delivering theoutputs required.

9. Curricula vitae must be provided with consultants’ proposals for all key positions. Proposalevaluation will be based on all international personnel and on national personnel nominated for key national positions. Non-key national staff will be discussed and agreed with the selected consultant during contract negotiations or during implementation, and replacements may be requested at that time. Technical, administrative, translation, and clerical support personnel, and support services and facilities, including computers and related equipment, transport, etc, are to be provided as required, and the cost of these is to be clearly included in the consultants’ cost proposals.

8

IV. Reporting Requirements

10. The consultant will provide reports generally as indicated in Table 2 below.

Table 2: Reporting Requirements Report Content Submission date

Inception Report Report will contain a detailed work program, a brief description of the updated work methods proposed for carrying out the services in accordance with the Terms of Reference. The report will also identify any major issues and problems likely to be encountered.

3 weeks after commencement

Interim Report A brief report setting out initial findings, to include (i) the assessment of amendments required to the technical designs prepared by the Design Institute to bring them to a condition suitable for bidding; and (ii) the economic analysis

12 weeks after commencement

Draft EIA/IEE, LARP, Gender, Climate, Road Safety Audit, Financial Assessment, Sector Assessment, and CR Institutional Assessment Reports

Draft reports/assessments prepared in compliance with the related terms of reference

20 weeks after commencement

Draft bidding documents Draft commercial/master bidding documents, including drawings, bills of quantities, specifications, etc.

24 weeks after commencement

Draft Final Report A report containing the outputs for all tasks 30 weeks after commencement

Final Report The final report revised to include all comments provided by the CR and ADB on the draft final report

1 month after receiving CR and ADB comments on the draft final report

V. Schedule and location

11. Consulting services are to be provided over a period of 9 months, tentatively commencingin February 2020 and ending before the end of November 2020. The services will be provided inTashkent with visits to the project site as required.

VI. Materials and Equipment

12. Equipment and materials financed under the TA, if any, will be procured in accordancewith ADB’s Procurement Policy and Procurement Regulations for ADB Borrowers (as amended from time to time). At completion of the TA, such equipment and materials will be transferred to the CR.

VII. Facilities and Support to be provided by the Government

13. The CR will provide the consultant with furnished office space in Tashkent and with alldocuments and information necessary for the consultant to undertake the services. This willinclude the designs and related documents and reports prepared by the Design Institute includingaccess to the Design Institute management and staff who were responsible for the technicaldesign.

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Annexes 1. Project location map2. Personnel Qualifications and Terms of Reference

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Annex 1 – Project Location Map

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Annex 2 – Position Qualifications and Terms of Reference (Reference Table 1)

I. International Consultants

14. Team Leader/ Highway Specialist will have a degree in civil engineering, preferably withpost-graduate qualifications in highway and transport engineering or equivalent, and 15 years ofrelevant experience including preferably 5 years managing large consulting teams for similarassignments, preferably in institutional and physical environments similar to those prevailing inUzbekistan. The Team Leader will have overall responsibility for the organization, conduct anddelivery of the consultancy services and for reporting to CR and ADB. He/she will also beresponsible for the highway design aspects of the design review. He/will also lead the team ofexperts within the TRTA team to assist the CR with preparing the national feasibility study (inaccordance with Presidential Resolution No. 3857).

15. Procurement Specialist with degree in civil engineering or law, 12 years of relevantexperience, will prepare procurement risk management and procurement plans for eachComponent; prepare master bidding documents. Key tasks include the following:

• Prepare a Sector/Agency Procurement Risk Assessment in accordance with ADBguidelines;

• Conduct a strategic procurement planning analysis in line with ADB New ProcurementFramework and relevant Guidance Note (June 2018) and propose a procurement planthat is deemed to provide the best value for money;

• Prepare bidding documents based on the package stemming from the proposedprocurement plan; and

• for the civil works contract(s), prepare a draft contract management plan that will be usedby the implementation agency during contract implementation.

16. Materials/Pavement Engineer will have a degree in civil engineering with specialization/higher degree in pavement and soils/materials engineering, and preferably 10 years of relevantexperience. He/she will be responsible to the Team Leader for reviewing the pavement andgeotechnical aspects of the designs and related specifications and providing improvements asrequired.

17. Bridge/Structural Engineer will have a degree in civil engineering withspecialization/higher degree in bridge and structural engineering, and preferably 10 years ofrelevant experience. He/she will be responsible to the Team Leader for all bridge and structuralaspects of the design review, including specifications, and will provide improvements as required.

18. Environment Specialist will have a degree in environmental engineering or equivalentand preferably 10 years of relevant experience, which must include preferably 5 years ofexperience with preparing environmental assessments for projects financed by ADB or similarfunding agencies. He/she will be responsible to the Team Leader for all environment aspects ofthe services, including preparing the EIA/IEE in accordance with the Government’s and ADB’srequirements.

19. Social Development/Resettlement Specialist will have a degree in sociology or socialsciences and 10 years of relevant experience, of which preferably 5 years must have been inpreparing and monitoring land acquisition and resettlement plans and related activities for projectsfinanced by ADB or similar funding agencies.

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20. Transport Economist will be a professionally qualified economist preferably with15 years’ experience in preparing economic assessments of transport sector projects, with a substantial part of this experience on ADB or similar funding agency financed projects. The transport economist will be responsible to the Team Leader for all activities required for the economic evaluation and financial sustainability of the project in accordance with ADB’s guidelines and procedures for such evaluations.

21. ITS Specialist will have graduate qualifications relevant to ITS design, installation andoperations, and will have preferably 10 relevant experience working with such systems for highstandard highway networks. The ITS specialist will be responsible to the Team Leader for allaspects of the ITS-related aspects of the project.

22. Institutional Specialist will have a relevant qualification, with preferably 15 years ofexperience undertaking institutional assessments and analyses of organizations similar to the CRin institutional environments similar to those prevailing in Uzbekistan. Experience with designingtraining programs for institutional capacity development would be an advantage. He/she will beresponsible to the Team Leader for all institutional assessment and development aspects of theassignment.

23. Financial Management Specialist will be an accountant or similar with relevantaccounting qualification such as CPA/CA/ACCA, preferably with preferably 10 years ofexperience undertaking financial assessments of government agencies similar to the CR ininstitutional environments similar to those prevailing in Uzbekistan, and with evaluating andimproving the financial management of similar projects financed by ADB and similar internationalfinancing agencies. He/she will be responsible to the Team Leader for all financial managementaspects of the project.

24. Road Safety Specialist will be a civil engineer or equivalent, preferably with 10 years’experience in projects similar to the project, and 5 years’ experience on projects located inenvironments similar to the project area, with a significant portion of this experience being for roads subject to cold weather conditions and frequent snow falls, operating under heavy traffic volumes. The road safety specialist will be responsible to the Team Leader for defining road safety standards for the project road’s design, to be incorporated in the design and contract documentation as they are being prepared, and subsequently for carrying out a comprehensive road safety audit of the completed design, generally in accordance with relevant international road safety standards and ADB’s requirements.

25. Climate Change Specialist will have a degree in climatology, meteorology, hydrology orrelated field and preferably years 5 of experience conducting climate change risk assessmentsfor projects financed by ADB or similar funding agencies. The specialist will be responsible to theTeam Leader for all climate-related aspects of the services as defined in the terms of reference.

II. National Consultants

26. Deputy Team Leader/Highway Engineer will be a civil engineer with a degree inroads/highways, and 15 years of relevant experience. The Deputy Team Leader will assist theTeam Leader in all the activities within the team and with stakeholders. He/she will supervise thenational team of consultants. He/she will assist in the review of the project’s highway designHe/she will assist the international consultants in confirming the technical correctness of thedesigns and/or suggest modifications, and for reviewing the Design Institute’s cost estimate.He/she will be proficient in the English language.

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27. Materials Engineer will have a degree in civil engineering and 10 years of relevantexperience. He/she will assist in the review of the detailed engineering designs, particularly interms of pavement designs and soils/ materials engineering. He/she will assist the internationalconsultant in confirming the appropriateness of the designs and suggest modifications.Preferably, he/she will be proficient in the English language.

28. Pavement Engineer will have a degree in Highway or Civil Engineering (a higherqualifications in a relevant field will be an advantage) and 10 years relevant experience inpavement design and road engineering materials. He/she will assist the international consultantin confirming the appropriateness of the designs. Preferably, he/she will be proficient in theEnglish language.

29. Procurement Specialist will have a degree with a major in relevant discipline(Engineering, Law, Procurement, Finance, Business or Commerce) and 8 years of relevantexperience including broad experience in the management of procurement in the public or privatesector. He/she will work with the international Procurement Specialist for all procurement-relatedaspects of the services. Preferably, he/she will be proficient in the English language.

30. Environmental Specialist will be an environmental engineer or equivalent with 10 yearsof relevant experience. He/she will work with the international Environmental Specialist in carryingout the environmental aspects of the services. Preferably, he/she will be proficient in the Englishlanguage.

31. Social Development/ Resettlement Specialist will have a degree in sociology or socialsciences and 10 years of relevant experience. He/she will work with the international SocialDevelopment Specialist for all social development aspects of the services, including preparing aPoverty and Social Analysis report, Gender Action Plan and Summary Poverty Reduction andSocial Strategy. Related tasks will include conducting poverty and social evaluation, impactassessments, developing an awareness plan about road safety, HIV/AIDS and human trafficking;preparing a gender action plan and supporting social participation and empowerment of women;conducting stakeholder consultation; and preparing impact matrix and recommendations. He/shewill be proficient in the English language.

32. Cost Engineer/Quantity Surveyor will have a degree in civil engineering or related fieldand with preferably 10 years experiences preferable in preparing quantity schedules and costestimates for major infrastructure projects, including for highways. Preferably, He/she will beproficient in the English language.

33. Bridge/ Structural Engineer will have a degree in civil engineering and 10 years ofrelevant experience. He/she will assist in the review of the bridge and structural aspects of thedesigns. He/she will assist the international consultant in confirming the appropriateness of thedesigns. Preferably, He/she will be proficient in the English language. Preferably, He/she will beproficient in the English language.

34. Hydrologist will have a degree in civil engineering with 10 years experiences in drainagesystem. The national expert will assist to facilitate the design of the system that include: Assist inreviewing individual watershed areas for drainage structure of existing and new road designs(including culverts, canals and bridges) located along road alignments. Coordinate drainagedesign activities on highway and bridge project, review and analyse designs to include stormwater management plan requirements by establishing and maintaining relations with clients,contractors, and other ministry departments and project stakeholders.

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35. Road Safety Engineer will have a degree in civil engineering and over 10 years ofexperience in the design of roads. Previous experience in the road safety aspects of road designand construction is preferable. Preferably, he/she will be reasonably proficient in the Englishlanguage.

36. ITS Specialist will have graduate qualifications relevant to ICT and IT projectmanagement, systems analysis, design, installation and operations, and will have preferably 5years relevant experience working in activities relevant to the ITS-related requirements of theTOR. He/she will work with the International ITS Specialist for the ITS-related aspects of theservices.

37. Institutional Specialist will have a relevant qualification, with preferably 5 years ofexperience undertaking institutional assessments and analyses of organizations similar to the CRin institutional environments similar to those prevailing in Uzbekistan. Experience in conductingtraining programs for institutional capacity development would be an advantage. He/she will assistthe International Institutional Specialist. Preferably, he/she will be proficient in the Englishlanguage.

38. Social Development (Gender) Specialist will have a degree in social sciences,sociology, anthropology, or other relevant disciplines and preferably 8 years relevant experiencein social development and/or gender development. He/she will be reasonably proficient in theEnglish language. He/she will be responsible for the social development aspects of the services(See Task 2 above), to include (i) collection of relevant sex-disaggregated statistics andinformation on the socio-demographic profile of the men and women in the project area (toinclude the following: sex-disaggregated data on educational attainment, labor force participation,sectors of employment, economic activities; life expectancy; mortality, morbidity); (ii) collectionof sex-disaggregated data (from government database or statistics) on road accidents by type ofroad user (pedestrian, driver, passenger); (iii) conduct of social development, gender analysis/gender assessment through focused group discussions with the communities and surveys onmen’s and women’s roles, tasks, access to resources and services, transport and mobility patterns, practices, and concerns, gender-based inequalities (e.g. access to resources (e.g. loans) services (e.g. education, health, social protection, domestic and care work), government programs and support (e.g. enterprise development for existing businesses of women); (iv) assessment of compliance with core labor standards particularly child labor and equal pay for work of equal value; (v) identification of other social and economic issues in the project area (issues relevant to but not covered by the project) from government reports, relevant studies, reports of international development organizations. (vi) identification of relevant interventions that may be done for the women relevant to the project outputs; (vii) conduct of consultations with concerned staff of the Committee for Roads to identify relevant policies, programs to be reviewed from a gender perspective and discuss gender-related concerns of staff, and identify capacity building needs for gender and social inclusion; (viii) preparation and submission of the Poverty, Social and Gender Analysis Report (PSGA), project Gender Action Plan (GAP) with baselines and evidence-based targets, Summary Poverty Reduction and Social Strategy (SPRSS) based on the ADB templates, and relevant paragraphs for the main texts of the RRP and the PAM.