Central Asia Regional Economic Cooperation Corridor 2 Karakalpakstan Road (A380 Kungrad to Daut-Ata Section)

Project (RRP UZB 48414)

Project Number: 48414-006 Loan Number: LXXXX (OCR)/Loan Number: LXXXX (COL) August 2020

Republic of Uzbekistan: Central Asia Regional Economic Cooperation (CAREC) Corridor 2 Karakalpakstan Road (A380 Kungrad to Daut-Ata Section) Project

Project Administration Manual

ABBREVIATIONS

ADB – Asian Development Bank BAP – Biodiversity Action Plan CAREC – Central Asia Regional Economic Cooperation CR – Committee for Roads DMF – Design and Monitoring Framework EA – Executing Agency EIA – Environmental Impact Assessment EMP – Environmental Management Plan GDP – Gross Domestic Product GRM – grievance redress mechanism ICB – International Competitive Bidding IEE – Initial Environmental Examination ITS – Intelligent Transport System km – Kilometer LARP – Land Acquisition and Resettlement Plan LIBOR – London Interbank Offered Rate MOF – Ministry of Finance MOT – Ministry of Transport NGO – Non-Government Organization PAM – Project Administration Manual PMU – Project Management Unit PPTA – Project Preparatory Technical Assistance QCBS – Quality- and Cost-Based Selection RRF – Republican Road Fund RRP – Report and Recommendation of the President SOE – Statement of Expenditure SPS – Safeguard Policy Statement SPRSS – Summary Poverty Reduction and Social Strategy TOR – Terms of Reference TRTA – Transaction technical Assistance WIM – Weigh-in-motion system

CONTENTS

I. PROJECT DESCRIPTION 1

II. IMPLEMENTATION PLANS 2

A. Project Readiness Activities 2 B. Overall Project Implementation Plan 2

III. PROJECT MANAGEMENT ARRANGEMENTS 4

A. Project Implementation Organizations: Roles and Responsibilities 4 B. Key Persons Involved in Implementation 5 C. Project Organization Structure 6

IV. COSTS AND FINANCING 7

A. Cost Estimates Preparation and Revisions 7 B. Key Assumptions 7 C. Detailed Cost Estimates by Expenditure Category 7 D. Allocation and Withdrawal of Loan Proceeds 8 E. Detailed Cost Estimates by Financier 9 F. Detailed Cost Estimates by Outputs/Components 11 G. Detailed Cost Estimates by Year 12 H. Contract and Disbursement S-Curve 13 I. Fund Flow Diagram 15

V. FINANCIAL MANAGEMENT 16

A. Financial Management Assessment 16 B. Disbursement 20 C. Accounting 21 D. Auditing and Public Disclosure 21

VI. PROCUREMENT AND CONSULTING SERVICES 22

A. Advance Contracting and Retroactive Financing 22 B. Procurement of Goods, Works, and Consulting Services 23 C. Procurement Plan 24 D. Consultants’ Terms of Reference 24

VII. SAFEGUARDS 24

A. Environmental Safeguards 24 B. Social Safeguards 25 C. Indigenous Peoples 26 D. Grievance Redress Mechanism 26

VIII. GENDER AND SOCIAL DIMENSIONS 26

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION 32

A. Project Design and Monitoring Framework 32 B. Monitoring 35 C. Evaluation 36 D. Reporting 36 E. Stakeholder Communication Strategy 36

X. ANTICORRUPTION POLICY 37

XI. ACCOUNTABILITY MECHANISM 38

XII. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL 39

ATTACHMENT 1: PROCUREMENT PLAN 40

ATTACHMENT 2: OUTLINE TERMS OF REFERENCE OF CONSULTANTS CONSTRUCTION SUPERVISION CONSULTANT 46

ATTACHMENT 3: OUTLINE TERMS OF REFERENCE OF INDIVIDUAL CONSULTANTS FOR PMU CAPACITY BUILDING 60

ATTACHMENT 4: OUTLINE TERMS OF REFERENCE OF EXTERNAL FINANCIAL AUDITOR 70

ATTACHMENT 5: INTERNAL AUDIT TERMS OF REFERENCE 77

ATTACHMENT 6: OUTLINE TERMS OF REFERENCE OF ITS/WIM CONSULTANT 80

ATTACHMENT 7: OUTLINE TERMS OF REFERENCE OF PMU STAFF 90

Project Administration Manual Purpose and Process

1. The project administration manual (PAM) describes the essential administrative and management requirements to implement the project on time, within budget, and in accordance with the policies and procedures of the government and Asian Development Bank (ADB). The PAM should include references to all available templates and instructions either through linkages to relevant URLs or directly incorporated in the PAM.

2. The Committee for Roads (CR) under the Ministry of Transport (MOT) of the Republic of Uzbekistan and the project management unit (PMU) are wholly responsible for the implementation of ADB-financed road projects, as agreed jointly between the borrower and ADB, and in accordance with the policies and procedures of the government and ADB. ADB staff is responsible for supporting implementation including compliance by CR and PMU of their obligations and responsibilities for project implementation in accordance with ADB’s policies and procedures.

3. At loan negotiations, the borrower and ADB shall agree to the PAM and ensure consistency with the loan agreement. Such agreement shall be reflected in the minutes of the loan negotiations. In the event of any discrepancy or contradiction between the PAM and the loan agreement, the provisions of the loan agreement shall prevail.

4. After ADB Board approval of the project's report and recommendations of the President (RRP),

changes in implementation arrangements are subject to agreement and approval pursuant to relevant government and ADB administrative procedures (including the Project Administration Instructions) and upon such approval, they will be subsequently incorporated in the PAM.

I. PROJECT DESCRIPTION

1. The project will upgrade and widen the existing Kungrad to Daut-Ata highway in the Kungrad district of the Republic of Karakalpakstan (Karakalpakstan), with a total length of about 240 km, at the section of Guzar-Bukhra-Nukus-Beyneu highway (A380) from km 964 to km 1204 connecting to the Kazakh border. The project road is part of the Central Asia Regional Economic Cooperation (CAREC) Corridor 2 and is one of the key trade routes in the region. The project will also help develop the institutional capacity of the Committee for Roads (CR) under the Ministry of Transport (MOT), to ensure effective road maintenance, control vehicle overloading, ensure sound road traffic management, and improve project management.

2. The project is aligned with the following impact: regional trade on the CAREC Corridor 2 between Uzbekistan and Kazakhstan enhanced. 0F

1 The project will have the following outcome: travel time and efficiency on the reconstructed section of the A380 highway improved. 1F

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3. Output 1: Road from Kungrad to Daut-Ata reconstructed. This road will be the Western-most section of the A380 road in Uzbekistan and will provide an access to the Caspian Sea for trade emanating from Uzbekistan. Access roads will be constructed to improve the access between the villages to the A-380. The output will also construct social infrastructure of 5 rest stops with market stalls, 50% of which will be allocated for women entrepreneurs and separate sanitary facilities for women and men. It will also construct 2 multipurpose community complexes in Jaslik and Karakalpakstan settlements which will house facilities and programs for livelihood skills training for women and men and health desks that will provide, among others, maternal and child health facilities.

4. Output 2: Intelligent Transport System installed. To improve the road safety performance in Uzbekistan, the CR requested for a component on traffic management and monitoring. The details of this component will be designed in consultation with the CR and will comprise the installation of an Intelligent Transport System (ITS) on a pilot section of Tashkent – Namangan road. The introduction of ITS will also help report critical incidents involving women to relevant government agencies for action. The CR will also submit yearly sex-disaggregated reports on road crashes by the type of road user and incident.

5. Output 3: Weigh-in-motion system supplied and installed. To ensure axle load controls and thereby prevent pre-mature pavement failure, the Contractor will install weigh-in-motion (WIM) system along major highways. This will restrict vehicle overloading and preserve the life-span of pavement and contribute to pavement preservation. CR will update the regulations relating to axle load control to ensure that the norms are compatible with the Presidential Decree 342 before the implementation of the WIM station. The project will support installation of axle load control systems at three select locations in the country.

1 Government of the Republic of Uzbekistan. 2019. National Development Strategy of Uzbekistan. Tashkent. 2 The design and monitoring framework is in Appendix 1.

II. IMPLEMENTATION PLANS

A. Project Readiness Activities

Table 1: Project Readiness Activities

Indicative Activities

Year / Month Responsible

Party 2019 2020

9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12

Advance contracting and retroactive financing actions ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ PMU, ADB

Establish project implementation arrangements ✓ CR

ADB Board approval ✓ ADB

Loan signing ✓ MOF, ADB

Government legal opinion provided ✓ MOF

Government budget inclusion ✓ MOF

Loan effectiveness ✓ MOF, ADB

ADB = Asian Development Bank, CR = Committee for Roads under the Ministry of Transport, Govt = the government of the Republic of Uzbekistan, MOF = Ministry of Finance, PMU = project management unit. Sources: Asian Development Bank estimates.

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B. Overall Project Implementation Plan

6. The overall project implementation plan records outputs with key implementation activities. This is updated annually and submitted to the Asian Development Bank (ADB) with contract and disbursement projections for the following year. 2F

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Table 2: Overall Project Implementation Plan Activities 2019 2020 2021 2022 2023 2024 2025 2026 2027

Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2

A. DMF

1. Road from Kungrad to Daut-Ata reconstructed

1.1 Advertise invitation for bid (IFB) for civil works contract by Q2 2020 and request for proposal for works supervision consultant by Q1 2020

1.2 Award civil works contract by December 2020

1.3 Mobilize works supervision consultant by December 2020

1.4 Complete civil works contract by December 2025

2. Intelligent Transport System (ITS) installed

2.1 Recruit ITS/WIM consultant by November 20203F

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2.2 Advertise IFB for supply and installation of ITS contract by December 2020

2.3 Award ITS/WIM consultant contract by September 2021

2.4 Award ITS works contract by September 2021

2.5 Complete supply and commissioning of pilot ITS by December 2023

3. Weigh-in-motion system (WIM) supplied and installed

3.1 Recruit ITS/WIM consultant by November 2020

3.2 Advertise IFB for supply and installation of WIM contract by December 2020

3.3 Award ITS/WIM consultant contract by September 2021

3 Gantt chart available in e-handbook on project implementation at http://www.adb.org/documents/handbooks/project-implementation/ 4 One consultant will be recruited for ITS/WIM

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Activities 2019 2020 2021 2022 2023 2024 2025 2026 2027

Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2

3.4 Award WIM works contract by September 2021

3.5 Complete supply and commissioning by December 2023

3.6 CR to update the regulations relating to axle load control to ensure that the norms are compatible with PD 342 before the implementation of the weigh bridge by Q2 2022

B. Management Activities

4.1 Bid out major procurement packages by Q2 2020 and award contracts by Q4 2020

4.2 Communication strategy key activities

4.3 Implementation of key activities of the Gender Action Plan

4.4 Annual and/or midterm review

4.5 Project completion report

DMF = design and monitoring framework, km = kilometer, ITS = Intelligent Transport System, WIM = weigh-in-motion. Sources: Asian Development Bank and Committee for Roads.

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III. PROJECT MANAGEMENT ARRANGEMENTS

A. Project Implementation Organizations: Roles and Responsibilities

Table 3: Roles and Responsibilities Project Implementation Organizations

Management Roles and Responsibilities

CR (executing agency) to be supported by PMU in implementing the project

• Coordinate project implementation

• Hire additional staff for PMU with the required expertise

• Recruit consultants

• Procure works and goods

• Update procurement plan annually and as needed to reflect changes agreed with ADB (implement only after ADB approval)

• Monitor procurement activities and key milestones and submit the status to ADB with the quarterly progress report

• Manage contracts

• Ensure timely provision of agreed counterpart funds for project activities

• Responsible and accountable for the use of funds in the Advance Account and implement SOE procedure in accordance to applicable terms

• Prepare and submit withdrawal applications to ADB

• Maintain project financial statements

• Ensure project financial audits are conducted and recommendations are implemented within the agreed timeframe

• Disclose project documents

• Involve beneficiaries and civil society representatives in all stages of project design and implementation

• Monitoring and evaluate project activities and outputs, and prepare review reports reflecting issues and time-bound actions taken or to be taken

• Prepare quarterly progress reports and a project completion report, and ensure timely submission of reports to ADB

• Ensure compliance with all loan covenants

• Ensure project’s sustainability during post implementation stage and report to ADB on the assessed development impacts

• Ensure LARP implementation and payments are funded

Asian Development Bank

• Assist CR/PMU in providing timely guidance at each stage of the project for smooth implementation in accordance the agreed implementation arrangements

• Review all documents that require ADB approval

• Conduct periodic loan review, mid-term review, and completion review missions

• Supervise compliance with all loan covenants

• Timely process withdrawal applications and release eligible funds

• Supervise the compliance with financial audit recommendations

• Regularly update the project performance review reports with the assistance of CR/PMU

• Regularly post on ADB web the updated project data sheet and updated project documents including the PAM, procurement plan, APFS, and safeguards documents

Ministry of Finance • Timely and efficiently review and endorse the government feasibility study

• Sign the loan agreement

• Monitor project implementation and provide respective coordination and facilitation

• Allocate and release counterpart funds

• Endorse to ADB the authorized staff with approved signatures for processing of withdrawal applications

• Process and submit to ADB any request, when required, for reallocating loan proceeds

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Project Implementation Organizations

Management Roles and Responsibilities

Ministry of Investments and Foreign Trade (formerly SCI)

• Serve as the focal point for the government for ADB

• Timely and efficiently review and endorse the government feasibility study

• Assistance in signing the Loan agreement and Project agreement

Ministry of Transport

• Monitor project implementation and facilitate the resolution of implementation challenges if they arise

ADB = Asian Development Bank, APFS = audited project financial statement, CR = Committee for Roads under the Ministry of Transport, MIFT = Ministry of Investments and Foreign Trade, MOF = Ministry of Finance, PAM = project administration manual, PMU = project management unit, SCI = State Committee on Investments. Source: ADB.

B. Key Persons Involved in Implementation

Executing Agency Committee for Roads under the Ministry of Transport of the Republic of Uzbekistan

Abdurakhmon Abduvaliev Chairman of the Committee Telephone No.: +998 (71) 239-41-52 Email address: info@uzavtoyul.uz

Office Address: Mustaqillik Avenue 68-a,100000, Tashkent, Uzbekistan

Asian Development Bank

Transport and Communications Division (CWTC)/Central and West Asia Department (CWRD)

Dong-Soo Pyo Director Telephone: +63 2 8632 5167 Email address: dspyo@adb.org Office Address: 6 ADB Avenue, Mandaluyong City, Manila, Philippines

Mission Leader Pawan Karki Senior Transport Specialist Telephone No. +99878 1401920 Email address: pkarki@adb.org Office address: 1 Qoratosh Street, Tashkent 100027, Uzbekistan

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C. Project Organization Structure

Structure of PMU “Reconstruction 240 km highway road A-380 (Guzar-Bukhara-Nukus- Beyneu)

Committee for Roads

Ministry of Finance

Project Management

Unit

Asian Development Bank

Transaction Technical Assistance Consultants

Equipment Suppliers (ITS

and Weigh Stations)

PMU Individual

Consultants

Construction Supervision Consultants

Ministry of Investments and Foreign Trade

• Project Director

• Deputy project director

• Engineers (3)

• Procurement Specialist

• Financial Management Specialist

• Legal Specialist

• Results Monitoring Specialist

• Office Manager

• Translator

Civil Works Contractors

External Financial Auditor

Deputy Director of PMU

Director of PMU

Finance Specialist

Accounting Specialist Project component coordinator, project monitoring and evaluation expert

Road Construction Engineer

Procurement Specialist Secretary-administrator

Lawyer Translator Driver

Procurement contract specialist

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IV. COSTS AND FINANCING

7. The total cost of the project is estimated at $383.4 million. ADB will finance $274.2 million or 71.5% while the government will finance the remaining $109.2 million or 28.5% of the project cost. ADB financing will cover (i) civil works for rehabilitation and upgrading of 240 km of A380 road from km 964 to km 1204, (ii) supply and installation of WIM systems, (iii) supply and installation of ITS (iv) consulting services (construction supervision consultants, individual consultants for contract management, environment, community/gender-social monitoring and evaluation, bio-diversity, procurement, and external financial auditor. The government will finance taxes and duties and land acquisition and resettlement. Detailed component-wise tabulations are given in subsequent tables in this Project Administration Manual (PAM). A. Cost Estimates Preparation and Revisions

8. Cost estimates were prepared by a design institute Yo’l Loyiha Byurosi LLC for the whole 240 km long project road, which was split into 6 lots of 40 km length each. The basic cost data for the project is based on a “Schedule of Rates for Roads and Bridges” published periodically by the Government of Uzbekistan. Current rates for needed resources as per Q4 of 2018 were taken into account for developing the cost estimates. They were prepared in local currency and converted in US$ based on the exchange rate as of 10 September 2019.The cost estimates will be updated annually during implementation based on the actual contract awards and disbursements under the project. Project costs are not adjusted for current COVID-19 pandemic effect on labor and materials shortages due to uncertainty of pandemic outbreak length and long-term effect on prices. The project activities and thus financial transactions might be significantly disrupted due to containment measures being adopted by the governments. B. Key Assumptions

9. The following key assumptions underlay the cost estimates and financing plan:

(i) Exchange rate: UZS 9,395.63= $1.00 (as of 10 September 2019). (ii) Price contingencies based on expected cumulative inflation over the

implementation period are as follows:

Table 4: Escalation Rates for Price Contingency Calculation Item 2019 2020 2021 2022 2023 Average

Foreign rate of price inflation 1.5% 1.5% 1.6% 1.6% 1.6% 1.6%

Domestic rate of price inflation 15.0% 13.0% 10.0% 9.0% 8.0% 11.0% Sources: Asian Development Bank and International Monetary Fund World Economic Outlook (April 2019). C. Detailed Cost Estimates by Expenditure Category

Table 5: Detailed Cost Estimates by Expenditure Category

Item

(US$ million)

Foreign Exchange

Local Currency

Total Cost % of Total

Project Cost

A. Investment Costs

1 Civil Works 241.9 0.0 241.9 63.1% a. Reconstruction of 240 km on A380 222.7 0.0 222.7 58.1% b. Supply and Installation of WIM 2.8 0.0 2.8 0.7%

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Item

(US$ million)

Foreign Exchange

Local Currency

Total Cost % of Total

Project Cost

c. Supply and Installation of ITS 15.3 0.0 15.3 4.0% d. Community Development 1.1 0.0 1.1 0.3% 2 Consulting Services 7.2 0.0 7.2 1.9% a. Construction Supervision Road Works 5.0 0.0 5.0 1.3%

b. Design Review and Supervision WIM and ITS

2.2 0.0 2.2 0.6%

3 Land Acquisition and Resettlement Cost 0.0 0.7 0.7 0.2% Subtotal (A) 249.0 0.7 249.8 65.2%

B. Recurrent Costs

1 Project Management a 2.9 0.3 3.1 0.8% Subtotal (B) 2.9 0.3 3.1 0.8% Total Base Cost (A+B) b 251.9 1.0 252.9 66.0%

C. Taxes and Duties 0.0 81.4 81.4 21.2% D. Contingenciesc

1 Physical 9.2 0.0 9.2 2.4% 2 Price 13.1 0.0 13.1 3.4% Subtotal (D) 22.3 0.0 22.3 5.8%

E. Financing Charges During Implementation

1 Interest During Implementation 26.5 0.0 26.5 6.9% 2 Commitment Charges 0.3 0.0 0.3 0.1% Subtotal (E) 26.8 0.0 26.8 7.0%

Total Project Cost (A+B+C+D+E) 301.0 82.4 383.4 100.0% ITS = Intelligent Transport System, km = kilometers, WIM = weigh-in-motion system. Note: Numbers may not sum precisely because of rounding. a Includes estimated audit fees for annual audited project financial statements. b In 2019 prices as of 10 September 2019. c Physical and price contingencies and provision for exchange rate fluctuation are included with most of the project

costs subject to foreign rate of price inflation, including local duties and tariffs imposed on foreign currency costs. Includes taxes and duties of approximately $81.4 million. Such amount does not represent an excessive share of the project cost. The government will finance taxes and duties of $81.4 million as cash contribution. Sources: Design consultant’s estimates and Asian Development Bank staff estimates.

D. Allocation and Withdrawal of Loan Proceeds

Table 6: Allocation and Withdrawal of Loan Proceeds Concessional Loan – Ordinary Capital Resources

No. Item

Total Amount Allocated for ADB

Financing ($) Basis for Withdrawal from

the Loan Account

1 Works and consulting services** 26,000,000*** 100% of total expenditure claimed*

Total 26,000,000

* Exclusive of taxes and duties imposed within the territory of the Borrower. ** Subject to the condition for withdrawal described in paragraph 6 of Schedule 3. *** Disbursement for Category 1: Works and Consulting Services shall be financed first from the proceeds of the Loan

under this Loan Agreement until the Loan is fully disbursed, after which Works and Consulting Services shall be financed from the proceeds of the loan under the Ordinary Operations Loan Agreement. .

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Table 7: Allocation and Withdrawal of Loan Proceeds Regular Loan - Ordinary Capital Resources

No. Item

Total Amount Allocated for ADB

Financing ($) Basis for Withdrawal from the

Loan Account

1 Works and consulting services**

223,000,000*** 100% of total expenditure claimed*

2 Incremental Administrative costs** 2,900,000 100% of total expenditure claimed*

3 Unallocated 22,300,000

Total 248,200,000

ADB = Asian Development Bank. * Exclusive of taxes and duties imposed within the territory of the Borrower. ** Subject to the condition of withdrawal described in paragraph 6 of Schedule 3. *** Disbursement for Category 1: Works and Consulting Services shall be financed first from the proceeds of the loan

under the Ordinary Operations [Concessional] Loan Agreement until such loan is fully disbursed, after which Works and Consulting Services shall be financed from the proceeds of the Loan under this Loan Agreement.

10. Except as ADB may otherwise agree, the items of the civil works and consulting services categories shall be financed out of the proceeds of the loan on the basis of the percentages set forth in Tables 6 and 7. Except as ADB may otherwise agree, the loan proceeds for financing civil works, consulting services and other items shall be disbursed in accordance with ADB’s Loan Disbursement Handbook (2017 as amended from time to time).

E. Detailed Cost Estimates by Financier

Table 8: Detailed Cost Estimates by Financier

Item

ADB Government Total Cost

Amount

Financing % of Cost Category Amount

Financing % of Cost Category Amount

(Taxes and Duties)

(A) (A/C) (B) (B/C) (A+B=C) (D)

A. Investment Costs

1. Civil Works 241.9 77% 72.6 23% 314.4 (72.6)

a. Reconstruction of 240 km on A380 222.7 77% 66.8 23% 289.5 (66.8) b. Supply and Installation of WIM 2.8 77% 0.8 23% 3.6 (0.8) c. Supply and Installation of ITS 15.3 77% 4.6 23% 19.9 (4.6) d. Community Development 1.1 77% 0.3 23% 1.4 (0.3)

2. Consulting Services 7.2 77% 2.2 23% 9.3 (2.2) a. Construction Supervision Road Works 5.0 77% 1.5 23% 6.5 (1.5) b. Design Review and Supervision

WIM and ITS

2.2 77% 0.7 23% 2.9 (0.7)

3. Land Acquisition and Resettlement Cost - 0% 0.7 100% 0.7 0.0

Subtotal (A) 249.0 77% 75.5 23% 324.5 (74.7)

B. Recurrent Costs

1. Project Management a 2.9 92% 0.3 8% 3.1 0.0

Subtotal (B) 2.9 92% 0.3 8% 3.1 0.0 Total Base Cost (A+B) 251.9 77% 75.7 23% 327.6 (74.7)

C. Contingencies

1. Physical b 9.2 77% 2.8 23% 12.0 (2.8)

2. Price c 13.1 77% 3.9 23% 17.0 (3.9)

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Item

ADB Government Total Cost

Amount

Financing % of Cost Category Amount

Financing % of Cost Category Amount

(Taxes and Duties)

(A) (A/C) (B) (B/C) (A+B=C) (D) Subtotal (C) 22.3 77% 6.7 23% 29.0 (6.7)

D. Financing Charges During Implementation

1. Interest During Implementation - 0% 26.5 100% 26.5

2. Commitment Charges - 0% 0.3 100% 0.3

Subtotal (D) - 0% 26.8 100% 26.8

Total Project Cost (A+B+C+D) 274.2 71.5% 109.2 28.5% 383.4 (81.4) % Total Project Cost

71.5%

28.5% 100%

ADB = Asian Development Bank, Govt = the government of the Republic of Uzbekistan, ITS = Intelligent Transport System, WIM = weigh-in-motion system. Note: Numbers may not sum precisely because of rounding. a Includes estimated audit fees for annual audited project financial statements. b In 2019 prices as of 10 September 2019. c Physical and price contingencies, the latter which includes a provision for exchange rate fluctuation, are included

with most of the project costs subject to foreign rate of price inflation, including local duties and tariffs imposed on foreign currency costs.

* Includes taxes and duties of approximately $81.4 million. Such amount does not represent an excessive share of the project cost. The government will finance taxes and duties of $81.4 million as cash contribution.

Sources: Design consultant’s estimates and Asian Development Bank staff estimates.

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F. Detailed Cost Estimates by Outputs/Components

Table 9: Detailed Cost Estimates by Outputs/Components

Item Total Cost

Output 1 (240 km of A380)

Output 2 (ITS)

Output 3 (WIM)

Amount ($ million)

% of Cost Category

Amount ($ million)

% of Cost Category

Amount ($ million)

% of Cost Category

A. Investment Costs

1. Civil Works 241.9 223.8 58.4% 2.8 0.7% 15.3 4.0% a. Reconstruction of 240 km on A380 222.7 222.7 58.1% 0.0 0.0% 0.0 0.0% b. Supply and Installation of WIM 2.8 0.0 0.0% 2.8 0.7% 0.0 0.0% c. Supply and Installation of IST 15.3 0.0 0.0% 0.0 0.0% 15.3 4.0% d. Community Development 1.1 1.1 0.3% 0.0 0.0% 0.0 0.0% 2. Consulting Services 7.2 5.0 1.3% 0.3 0.1% 1.9 0.5% a. Construction Supervision Road Works 5.0 5.0 1.3% 0.0 0.0% 0.0 0.0%

b. Design Review and Supervision WIM and ITS

2.2 - 0.0% 0.3 0.1% 1.9 0.5%

3. Land Acquisition and Resettlement Cost 0.7 0.7 0.2% 0.0 0.0% 0.0 0.0% Subtotal (A) 249.8 229.5 59.9% 3.1 0.8% 17.2 4.5%

B. Recurrent Costs

1. Project Management a 3.1 2.9 0.8% 0.04 0.0% 0.2 0.1% Subtotal (B) 3.1 2.9 0.8% 0.04 0.01% 0.2 0.1% Total Base Cost (A+B) b 252.9 232.4 60.6% 3.2 0.8% 17.4 4.5%

C. Taxes and Duties 81.4 74.8 19.5% 1.0 0.3% 5.6 1.5% D. Contingenciesc

1. Physical 9.2 8.4 2.2% 0.1 0.04% 0.6 0.2% 2. Price 13.1 12.0 3.1% 0.2 0.0% 0.9 0.2% Subtotal (D) 22.3 20.4 5.3% 0.3 0.1% 1.5 0.4%

E. Financing Charges During Implementation 26.8 24.6 6.4% 0.3 0.1% 1.9 0.5% Total Project Cost (A+B+C+D+E) 383.4 352.2 91.9% 4.9 1.3% 26.4 6.9% ITS = Intelligent Transport System, km = kilometers, WIM = weigh-in-motion system. Note: Numbers may not sum precisely because of rounding. a Includes estimated audit fees for annual audited project financial statements. b In 2019, prices as of 10 September 2019. c Physical and price contingencies, the latter which includes a provision for exchange rate fluctuation, are included with most of the project costs subject to foreign

rate of price inflation, including local duties and tariffs imposed on foreign currency costs. Includes taxes and duties of approximately $81.4 million. Such amount does not represent an excessive share of the project cost. The government will finance taxes and duties of $81.4 million as cash contribution. Sources: Design consultant’s estimates and Asian Development Bank staff estimates.

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G. Detailed Cost Estimates by Year

Table 10: Detailed Cost Estimates by Year

Item Total Cost

2019 2020 2021 2022 2023 2024 2025

A. Investment Costs 1 Civil Works 241.9 0.00 30.3 147.0 40.5 0.1 1.8 22.27

a. Reconstruction of 240 km on A380 222.7 0.00 30.1 130.3 40.1 0.0 0.0 22.3 b. Supply and Installation of WIM 2.8 0.00 0.0 2.5 0.0 0.0 0.3 0.00 c. Supply and Installation of IST 15.3 0.00 0.0 13.8 0.0 0.0 1.5 0.00 d. Community Development 1.1 0.00 0.2 0.4 0.4 0.1 0.0 0.00 2 Consulting Services 7.2 0.00 2.2 2.4 1.2 0.9 0.5 0.00 a. Construction Supervision Road Works 5.0 0.00 0.9 2.0 0.9 0.7 0.5 0.00

b. Design Review and Supervision WIM and IST

2.2 0.00 1.3 0.4 0.3 0.2 0.0 0.00

3 Land Acquisition and Resettlement Cost 0.7 0.00 0.3 0.4 0.0 0.0 0.0 0.00 Subtotal (A) 249.8 0.00 32.8 149.8 41.6 1.0 2.3 22.3

B. Recurrent Costs 1 Project Management a 3.1 0.00 0.9 0.8 0.4 0.4 0.4 0.2 Subtotal (B) 3.1 0.00 0.9 0.8 0.4 0.4 0.4 0.2 Total Base Cost (A+B) b 252.9 0.00 33.7 150.6 42.1 1.4 2.7 22.5

C. Taxes and Duties 81.4 0.00 9.9 48.4 14.1 0.4 1.3 7.3 D. Contingenciesc

1 Physical 9.2 0.00 0.0 5.5 2.7 0.0 1.0 0.00 2 Price 13.1 0.00 0.6 6.4 2.7 0.2 0.3 2.9 Subtotal (D) 22.3 0.00 0.6 11.9 5.4 0.2 1.3 2.9

E. Financing Charges During Implementation 1 Interest During Implementation 26.5 0.00 0.0 2.0 5.8 6.2 6.2 6.2 2 Commitment Charges 0.3 0.00 0.2 0.1 0.0 0.0 0.0 0.0 Subtotal (E) 26.8 0.00 0.2 2.1 5.8 6.2 6.2 6.2

Total Project Cost (A+B+C+D+E) 383.4 0.00 44.4 213.0 67.4 8.2 11.5 38.9

ITS = Intelligent Transport System, km = kilometers, WIM = weigh-in-motion system. Note: Numbers may not sum precisely because of rounding. a Includes estimated audit fees for annual audited project financial statements. b In 2019 prices as of 10 September 2019. c Physical and price contingencies, the latter which includes a provision for exchange rate fluctuation, are included with most of the project costs subject to foreign

rate of price inflation, including local duties and tariffs imposed on foreign currency costs. Includes taxes and duties of approximately $81.4 million. Such amount does not represent an excessive share of the project cost. The government will finance taxes and duties of $81.4 million as cash contribution. Sources: Design consultant’s estimates and Asian Development Bank staff estimates.

13

H. Contract and Disbursement S-Curve

11. The S-curve is only for ADB financing, which will be recorded in ADB’s systems and reported through e-Operations. The projection for contract awards includes contingencies and unallocated amounts, but excludes front-end fees, service charges, and interest during construction. The cumulative disbursements at project completion is equal to the full loan amount, with project completion defined as up to 4 months after loan closing.

Concessional Loan – Ordinary Capital Resources

Contract Awards Disbursements

Year Q1 Q2 Q3 Q4 Total Year Q1 Q2 Q3 Q4 Total

2020 0.0 0.0 0.0 26.0 26.0 2020 0.0 0.0 0.0 16.5 16.5

2021 0.0 0.0 0.0 0.0 0.0 2021 9.5 0.0 0.0 0.0 9.5

2022 0.0 0.0 0.0 0.0 0.0 2022 0.0 0.0 0.0 0.0 0.0

2023 0.0 0.0 0.0 0.0 0.0 2023 0.0 0.0 0.0 0.0 0.0

2024 0.0 0.0 0.0 0.0 0.0 2024 0.0 0.0 0.0 0.0 0.0

2025 0.0 0.0 0.0 0.0 0.0 2025 0.0 0.0 0.0 0.0 0.0

2026 0.0 0.0 0.0 0.0 0.0 2026 0.0 0.0 0.0 0.0 0.0

Total 26.0 Total 26.0

0

5

10

15

20

25

30

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3

2020 2021 2022 2023 2024 2025 2026

$ M

illio

n

Contract Awards Cumulative Disbursements

14

Regular Loan - Ordinary Capital Resources

Contract Awards Disbursements

Year Q1 Q2 Q3 Q4 Total Year Q1 Q2 Q3 Q4 Total

2020 0.0 0.0 0.0 91.8 91.8 2020 0.0 0.0 0.0 13.8 13.8

2021 112.7 20.3 1.1 0.0 134.1 2021 .3.5 7.5 4.5 8.5 24.0

2022 22.3 0.0 0.0 0.0 22.3 2022 5.0 10.0 15.0 12.5 42.5

2023 0.0 0.0 0.0 0.0 0.0 2023 7.5 17.5 15.0 10.5 50.5

2024 0.0 0.0 0.0 0.0 0.0 2024 4.5 10.5 10.0 7.5 32.5

2025 0.0 0.0 0.0 0.0 0.0 2025 5.5 10.7 15.0 12.5 43.7

2026 0.0 0.0 0.0 0.0 0.0 2026 10.0 12.0 19.3 0.0 41.3

Total 248.20 Total 248.20

0

20

40

60

80

100

120

140

160

180

200

220

240

260

280

Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3

2020 2021 2022 2023 2024 2025 2026

$ M

illio

n

Contract Awards Cumulative Disbursements

15

I. Fund Flow Diagram

THE REPUBLIC OF UZBEKISTAN

Committee for Roads Program Management Unit

FUND FLOW CHART

Document flow. ADB’s Fund flow to the project

ADB=Asian Development Bank, EA=Executing Agency, IPC = interim payment certificate, PMU=Project Management Unit, US$ = United States dollars, UZS=Uzbek Currency SOUM.

Program Management Unit (Implementing Agency)

Bank Account in UZS operated by PMU

Reimbursement of expenditures by ADB

Direct payment to Contractors/ Consultants of EA

Asian Development Bank

Advance Account in US$ First release by ADB to US$

account and subsequent replenishment

Payment to local suppliers, individual consultants’ and establishment

expenses of PMU

Withdrawal Application

Voucher

s

First release to Advance Account

Committee for Roads (Executing Agency)

Ministry of Finance

(Borrower)

Loan Repayment

IP

C/ V

ouchers

16

V. FINANCIAL MANAGEMENT

A. Financial Management Assessment

12. The Financial Management Assessment (FMA) was conducted in February and September 2019, in accordance with ADB’s Guidelines for the Financial Management and Analysis of Projects4F

5 and Financial Due Diligence: a Methodology Note5F

6, and Technical Guidance Notes6F

7. The FMA considered the capacity of the PMU, including funds-flow arrangements, governance, staffing, budgeting, accounting and financial reporting systems, internal control procedures, financial information systems, and internal and external auditing arrangements. 13. The executing agency of the Project is Committee for Roads under the Ministry of Transport (CR) and new Project Management Unit (PMU) have satisfactory financial management capability to (i) record the required financial transactions, (ii) provide regular and reliable financial statements, (iii) provide reliable monitoring reports, (iv) safeguard the financial assets. The CR, who is the successor of the Republican Road Fund (RRF) also have the capacity to handle the proposed project with its vast experience in executing several ADB projects. The minimum required policies and procedures are in place and the software 1C will be made available for PMU implementing the project. External audit of all CR’s existing projects is done by external auditors acceptable to ADB and no major issues reported on these audit reports. The CR and PMU are being in compliance with ADB’s minimum financial management requirements for EAs. A summary of the findings is given below: 14. The assessed pre-mitigation financial management risk —is Moderate mainly because while CR and the proposed PMU having experience with ADB and World Bank assisted projects, there is still no internal audit unit within the structure of the CR. The FM assessment found that PMU is to have minimum required policies and procedures in place by the project effectiveness. However, the assessment also identified the following risks: (i) insufficient number of financial staff in the PMU, (ii) lack of procedure manual to carry uniform day-to-day activities, (iv) insufficient internal audit function and (v) irregular interim financial reporting. As a result, the overall financial management risk is assessed as moderate. 15. The identified risks will be mitigated by: (i) hiring of additional FM staff for the project, (ii) ensuring training in ADB’s systems and procedures, (iii) preparation of procedure manual, (iv) ensuring quarterly internal audits performed by an external accounting firm, and (v) quarterly financial reporting. Moreover, PMU will maintain separate books of accounts for the project and the project financial statements will be audited annually by an auditor acceptable to ADB, following auditing standards acceptable to ADB. The PMU has adequate capacity in establishing, implementing, and maintaining the respective advance accounts, the SOE procedures, and submitting withdrawal applications to ADB. 16. Risk Analysis: During the implementation phase, the CR might face some risks that can generally be divided in two main categories: (i) country level, and (ii) organization/project level. Financial management risks shall need to be considered and updated throughout the life of the

5 ADB. 2005. Financial Management and Analysis of Projects. Manila.

Available:http://www.adb.org/Documents/Guidelines/Financial/default.asp 6 ADB. 2009. Financial Due Diligence: A Methodology Note. Manila.

Available:http://www.adb.org/documents/financial-due-diligence-methodology-note 7 ADB: 2015. Financial Management Technical Guidance Note.

https://www.adb.org/sites/default/files/page/82468/financial-management-assessment.pdf

17

project and risk mitigation measures shall also be updated accordingly. The Risk Assessment and Mitigation Measures as listed in table below.

Table 11: Financial Management and Internal Control Risk Assessment

Risk Risk

Assessment

Risk Description Mitigation Measures or Action Plans

Inherent Risk

1. Country-specific Risks

M Unavailability or delay in the release of counterpart funds may result in project delay.

Commitment is required at MOF and CR level to ensure the timely disbursement of counterpart funding.

2. Entity-specific Risks

M Experience of the newly formed CR as executing agency for the project

The project will be implemented by CR through Project PMU. CR is already implementing several ADB projects. CR’s existing PMU shall support the Project PMU during project implementation.

3. Project-specific Risks

L There are no substantial project specific financial mnagement risks in this project

Not applicable.

Overall Inherent Risk

M

Control Risk

1. Implementing Entity

L Experience of the PMU staff who is proposed to manage and implement the proposed project.

Project PMU will be staffed with experienced professionals with background working in ADB and World Bank PMUs as well as from private sector. PMU staff under CR who is implementing the existing Kashkadarya Regional Road Project will provide initial guidance to new Project PMU staff.

2. Fund Flow L Timely release of counterpart fund to the project

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. No systematic problems related to funds have been reported in the current projects handled. For ADB disbursement, direct payment method to civil works and consulting services, replenishment for the Advance account payments, and reimbursement for the retroactive financing are proposed.

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Risk Risk

Assessment

Risk Description Mitigation Measures or Action Plans

3. Staffing M Dedicated finance and accounting staff for the PMU

Experienced financial management and accounting experts will be hired by the Project PMU by Loan effectiveness date. Financial management and disbursement ADB procedures and policies training will further improve PMU staff capacity.

4. Accounting Policies and Procedures

M Updating the accounting policies and procedures.

Accounting policies and procedures to be updated and to include role and responsibility of the staff working in PMU. Supplement policies with project specific procedures including reporting templates and TOR to ensure ADB requirements are met at all levels.

5. Internal Audit S Internal Audit Function requires strengthening

CR’s monthly review of activities is not so effective in ensuring adequate internal controls. Full time ongoing accounting support and outsourcing of the internal audit function in PMU is recommended. Until such an arrangement is in place, a thorough pre-audit of vouchers may be done by a trained financial expert at PMU before making payment.

6. External Audit H Delay in submitting APFS in the ongoing projects.

There was a 2 months delay in submitting APFS to ADB in the ongoing project L3355-UZB due to delays in audit services procurement during the fiscal year ended December 2018. However, during FY ended December 2019, the PMU submitted the APFS 2.5 months ahead of the deadline. Procurement for the Project PMU audit must be planned timely and ensure a five year audit terms for the whole duration of the Project, subject to annual review and renewal. PMU financial management capacity needs to be strengthened and all relevant PMU staff trained on ADB financial management procedures and requirements.

7. Reporting and Monitoring

M Frequency and timeliness of periodic financial reporting require strengthening.

PMU will be required to issue quarterly financial reports within 45 days after the reporting period in a format agreed with ADB, including physical and financial progress and disbursement reports.

19

Risk Risk

Assessment

Risk Description Mitigation Measures or Action Plans

8. Information Systems

M Optimal use of technology in the finance and accounts wing for the preparation of accounts and reporting requirements should be explored.

The present software 1C may be fine-tuned to get maximum details required including the accounting of direct payment by ADB.

Overall Control Risk

M

ADB = Asian Development Bank, APFS = Audited Project Financial Statements, CR = Committee of Roads, MOF = Ministry of Finance, MOT = Ministry of Transport; NAS = national accounting standards, PMU = Project Management Unit. Note: H – High, S- Substantial, M – Moderate, L – Low.

17. Recommended Action Plan: Table given below shows the recommended action plan.

Table 12: Financial Management Action Plan Key risks and Agreed action Responsibility Timeframe

1. Fill all vacant position as per the proposed organogram in the PMU.

PMU/CR Before Loan effectiveness

2. Training to be provided in ADB financial management policies and procedures

ADB Before Loan effectiveness

3. Supplement FM policies with project specific procedures including financial management manual, reporting templates, and ToRs to ensure ADB’s requirements are met at all levels.

PMU/CR Before Loan effectiveness

4. Modify the chart of accounts to allow the project to track receipts and payments separately for the project.

PMU/CR Before Loan effectiveness

5. All project records and supporting documentation filed centrally, backed up regularly and made available for auditors and ADB for inspection staff as necessary.

PMU Throughout the life of the project.

6. Issue quarterly financial reports in a format acceptable to ADB submission to ADB within 45 days after the end of the reporting period. Quarterly financial reports should include a supplementary review of the road network financial sustainability analysis to assess budgeted operations and maintenance costs adequacy.

PMU/CR Throughout the life of the project.

7. Proactive use ADB’s LFIS and Client Portal for Disbursements (CPD) as well as national systems to track WAs and reconcile ABD and project records. Follow up on any discrepancies.

PMU/CR Throughout the life of the project

8. Engagement of an Internal Audit firm to conduct quarterly internal audits and reporting to the audit review committee within 45 days after the end of the reporting period.

CR Before the first loan disbursement

9. Appointment of External Auditor acceptable to ADB and agree with the auditor on the audit timeline to ensure timely submission of the audit report and management letter.

CR 2 months before the end of the fiscal year

10. A review of the cost estimates to re-assess COVID-19 effects on project activities and costs.

PMU/CR Within 6 months from the date of loan effectiveness

20

ADB = Asian Development Bank, APFS=Audited Project Financial Statements, CPD = Client Portal for Disbursements, MOF = Ministry of Finance, Project Management Unit, LFIS=Loan Financial Information Services, CR = Committee for Roads under the Ministry of Transport, WA=Withdrawal Application.

B. Disbursement

1. Disbursement Arrangements for ADB Funds

18. The loan proceeds will be disbursed in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time), and detailed arrangements agreed upon between the government and ADB. Online training for project staff on disbursement policies and

procedures is available.7F

8 Project staff are encouraged to avail of this training to help ensure

efficient disbursement and fiduciary control. The CR/PMU will be responsible for (i) collecting and retaining supporting documents, and (ii) preparing and sending withdrawal applications to ADB. 19. Advance Account procedure. CR/PMU will establish and administer an advance account at appropriate commercial bank for each funding source. The currency of the advance account is the US dollar. The advance account is to be used exclusively for ADB’s share of eligible expenditures. The CR/PMU who administers the advance account is accountable and responsible for proper use of advances to the advance account.

20. The total outstanding advance to the advance account should not exceed the estimate of ADB’s share of expenditures to be paid through the advance account for the forthcoming 6 months. CR/PMU may request for initial and additional advances to the advance account based on an Estimate of Expenditure Sheet 8F

9 setting out the estimated expenditures to be financed through the account for the forthcoming 6 months. Supporting documents should be submitted to ADB or retained by CR/PMU in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time) when liquidating or replenishing the advance account. 21. Statement of expenditure procedure.9F

10 The SOE procedure may be used for reimbursement of eligible expenditures or liquidation of advances to the advance account, with no ceiling for individual payment. Supporting documents and records for the expenditures claimed under the SOE should be maintained and made readily available for review by ADB's disbursement and review missions, upon ADB's request for submission of supporting documents on a sampling basis, and for independent audit. 22. Before the submission of the first withdrawal application, the borrower should submit to ADB sufficient evidence of the authority of the person(s) who will sign the withdrawal applications on behalf of the government, together with the authenticated specimen signatures of each authorized person. The minimum value per withdrawal application is stipulated in the ADB’s Loan Disbursement Handbook (2017, as amended from time to time). Individual payments below such amount should be paid (i) by the executing agency and/or implementing agency and subsequently claimed to ADB through reimbursement, or (ii) through the advance account procedure, unless otherwise accepted by ADB. The borrower should ensure sufficient category and contract

8 Disbursement eLearning. http://wpqr4.adb.org/disbursement_elearning 9 Estimate of Expenditure sheet is available in Appendix 8A of ADB’s Loan Disbursement Handbook (2017, as

amended from time to time). 10 SOE forms are available in Appendix 7B and 7C of ADB’s Loan Disbursement Handbook (2017, as amended from

time to time).

21

balances before requesting disbursements. Use of ADB’s Client Portal for Disbursements (CPD)10F

11 system is encouraged for submission of withdrawal applications to ADB.

23. Conditions for Withdrawals from Loan Account. Notwithstanding any other provision of this Loan Agreement, no withdrawals shall be made from the Loan Account until (in each case to the satisfaction of ADB): (a) all PMU staff positions have been filled by qualified professionals in accordance with and as contemplated by the PAM; (b) a PMU procurement specialist has received training in ADB procurement procedures; (c) a PMU financial accountant has received training in ADB financial management and reporting procedures; and (b) the Project Executing Agency has engaged an internal audit firm to conduct quarterly internal audits and to report to the audit review committee.

2. Disbursement Arrangements for Counterpart Fund

24. All disbursements under the government financing will be carried out in accordance with regulations of the Government of Uzbekistan. CR is using own funds as counterpart fund for the project. In case of any short fall in its funding source the CR will seek governments’ funding requirement through budget allocation to the CR. Written guarantee is required at MOF and CR level to ensure the timely disbursement of counterpart part funding. C. Accounting

25. CR will maintain, or cause to be maintained, separate books and records by funding source for all expenditures incurred on the project following the Uzbekistan National Accounting Standards. CR will prepare project financial statements in accordance with the cash basis consistent with international public sector accounting standards (IPSAS). D. Auditing and Public Disclosure

26. The CR will cause the detailed project financial statements to be audited in accordance with International Standards on Auditing by an independent auditor acceptable to ADB. The audited project financial statements together with the auditor’s opinion will be presented in the English language to ADB within 6 months from the end of the fiscal year by the CR. 27. The annual audit report for the project financial statements will include an audit management letter and auditor’s opinions, which cover (i) whether the project financial statements present an accurate and fair view or are presented fairly, in all material respects, in accordance with the applicable financial reporting standards; (ii) whether the proceeds of the loan were used only for the purposes of the project; and (iii) whether the borrower or EA was in compliance with the financial covenants contained in the loan agreement (where applicable). 28. Compliance with financial reporting and auditing requirements will be monitored by review missions and during normal program supervision, and followed up regularly with all concerned, including the external auditor. 29. The Borrower, CR and PMU have been made aware of ADB’s approach to delayed submission, and the requirements for satisfactory and acceptable quality of the audited project

11 The CPD facilitates online submission of WA to ADB, resulting in faster disbursement. The forms to be completed

by the Borrower are available online at https://www.adb.org/documents/client-portal-disbursements-guide.

22

financial statements.11F

12 ADB reserves the right to require a change in the auditor (in a manner consistent with the constitution of the borrower), or for additional support to be provided to the auditor, if the audits required are not conducted in a manner satisfactory to ADB, or if the audits are substantially delayed. ADB reserves the right to verify the project's financial accounts to confirm that the share of ADB’s financing is used in accordance with ADB’s policies and procedures. 30. Public disclosure of the audited project financial statements, including the auditor’s opinion on the project financial statements, will be guided by ADB’s Access to Information Policy (2018).12F

13 After the review, ADB will disclose the audited project financial statements and the opinion of the auditors on the project financial statements no later than 14 days of ADB’s confirmation of their acceptability by posting them on ADB’s website. The management letter, additional auditor’s opinions, and audited entity financial statements will not be disclosed. 13F

14

VI. PROCUREMENT AND CONSULTING SERVICES

A. Advance Contracting and Retroactive Financing

31. All advance contracting and retroactive financing will be undertaken in accordance with ADB Procurement Policy and ADB Procurement Regulations for ADB Borrowers for Goods, Works, Non-consulting and Consulting Services (2017, as amended from time to time). The issuance of invitations to bid under advance contracting and retroactive financing will be subject to ADB approval. The borrower, CR and PMU have been advised that approval of advance contracting and retroactive financing does not commit ADB to finance the project. In order for the expenditures under the eventual contracts to be eligible for ADB financing, ADB requires that:

(i) the procurement procedures, including advertising, be in accordance with ADB’s Procurement Policy, Procurement Regulations for ADB Borrowers and associated Guidance Notes;

(ii) ADB reviews the borrower’s process;

(iii) the borrower undertakes such advance contracting at its own risk; and

(iv) any concurrence by ADB with the procedures, documentation, or proposal for award does not commit ADB to finance the project in question.

32. Advance contracting. The government has requested ADB’s approval for advance contracting and retroactive financing for civil works, consulting services, and incremental administrative costs as envisaged under the project. Advance procurement of civil works,

12 ADB’s approach and procedures regarding delayed submission of audited project financial statements:

(i) When audited project financial statements are not received by the due date, ADB will write to the executing agency advising that (a) the audit documents are overdue; and (b) if they are not received within the next 6 months, requests for new contract awards and disbursement such as new replenishment of advance accounts, processing of new reimbursement, and issuance of new commitment letters will not be processed.

(ii) When audited project financial statements are not received within 6 months after the due date, ADB will withhold processing of requests for new contract awards and disbursement such as new replenishment of advance accounts, processing of new reimbursement, and issuance of new commitment letters. ADB will (a) inform the executing agency of ADB’s actions; and (b) advise that the loan may be suspended if the audit documents are not received within the next 6 months.

(iii) When audited project financial statements are not received within 12 months after the due date, ADB may suspend the loan.

13 Access to Information Policy: https://www.adb.org/documents/access-information-policy. 14 This type of information would generally fall under exceptions to disclosure. ADB. 2018. Access to Information Policy.

Paragraph 2 (v).

23

recruitment of consulting firms and recruitment of an international procurement consultant will keep the momentum for bidding and consultant selection activities. The steps to be concluded in advance action are (i) tendering, and bid evaluation for civil works packages; and (ii) recruitment of consultants. 33. Retroactive financing. Retroactive financing is specifically agreed by ADB and the Borrower in the loan agreement and only pursuant to the terms of the relevant agreement. The maximum amount of eligible expenditures for retroactive financing will be up to 20% of the total ADB loan, incurred before loan effectiveness, but not earlier than 12 months before the signing of the loan agreement. The submission of the audited project financial statements and the audit report will be from the date when expenditures that were approved for retroactive financing were incurred.

B. Procurement of Goods, Works, and Consulting Services

34. The procurement of the works and the selection of consultant services will follow the new procurement framework as set out in ADB’s Procurement Policy for the procurement of goods, works, consulting services and non-consulting services (2017) and the Procurement Regulations for ADB Borrowers (2017). Open competitive bidding (OCB) will be adopted for procurement and recruitment activities.

35. An 18-month procurement plan indicating threshold and review procedures, goods, works, and consulting service contract packages and national competitive bidding guidelines is in Section C below. ADB’s standard bidding documents and standard request for proposals (latest version/edition) will be used.

36. Consulting firms will be selected and engaged using the quality- and cost-based selection (QCBS) method, where applicable. Recruitment for construction supervision consultant will use 80:20 quality-cost ratio.14F

15 A lump sum contract will be used for the external financial auditor which

will be selected using the least-cost selection (LCS) method for recruitment. 15F

16 The terms of

reference for all consulting services are detailed in attachments to this PAM.

37. An estimated 844 person-months of consulting services (key and non-key experts) are required for construction supervision of civil works and an estimated 179 person-months of consulting services (key and non-key experts) are required for implementation of WIM systems and ITS installation. Design, supply and installation contracts will be procured for supply and installation of weigh-in-motion systems (WIM) and intelligent transport systems (ITS). The consulting firms for (i) construction supervision will be engaged using the quality-and-cost-based selection method with a standard quality–cost ratio of 80:20, (ii) implementation support for WIM and ITS installation will be engaged using the quality-and-cost-based selection method with a standard quality–cost ratio of 90:10. Individual consultants to support the PMU (international procurement specialist and national environment specialist) will be engaged using the individual consultant selection method. A national audit firm will be engaged using the least cost selection method.

15 A 80:20 QCBS method as the weight for “cost” shall be chosen taking into account the complexity of the assignment

and the relative importance of quality. 16Checklists for actions required to contract consultants by method available in e-Handbook on Project Implementation

at: http://www.adb.org/documents/handbooks/project-implementation/

24

C. Procurement Plan

38. The procurement plan is the outcome of a strategic procurement planning analysis that was conducted as part of the project preparation. For the civil works, the sectioning in 40 km lots was guided by the intent to attract participation from local contractors alongside with international contractors, thereby enhancing competition. It was also guided by the distance between railway stations along this 240 km stretch which, for each lot, should facilitate the transportation of material (aggregate and cement to be brought from a long distance by rail) and thus minimizing the material lead distance and cost of transport from rail station to construction site. Finally, the grouping of lots was defined so as achieve an optimum balance between the number of transactions (two packages) and the complexity of handling them (three lots each). As for the evaluation criteria, considering the relatively low technology content, it was assessed that best value for money would be achieved by using the Single-Stage: One-envelope bidding procedure without pre-qualification using OCB on the basis of the lowest evaluated substantially responsive bidder. The procurement plan is in Attachment 1. D. Consultants’ Terms of Reference

39. The consultants’ and PMU’s draft outline terms of reference are in Attachments 2–7.

VII. SAFEGUARDS

A. Environmental Safeguards

40. The proposed project is classified as category ‘A’ for environmental safeguards. Hence, an Environmental Impact Assessment (EIA) study has been prepared and disclosed on ADB website on 13 April 2020. An updated version was disclosed on 13 May 2020. 41. The project area is considered a critical habitat with high biodiversity value supporting 17 internationally and national recognized threatened species, including the critically endangered Sociable Lapwing, 16F

17 Saiga Antilope,17F

18 and the endangered Saker Falcon,18F

19 Egyptian Vulture, 19F

20 and Steppe Eagle.20F

21 The critical habitat assessment conducted as part of the EIA study concluded that the project area is a potential critical habitat for the Saiga Antelope (Saiga tatarica). Hence, a Biodiversity Action Plan (BAP) prepared as part of the EIA study will be implemented during various project phases to ensure any adverse impacts on Saiga Antelope can be avoided/minimized. Other potential impacts include dust/vehicular emissions, noise, occupational and community health and safety. These can be readily mitigated through implementation of the Environmental Management Plan (EMP) prepared as part of the EIA study.

42. Meaningful stakeholder consultations (including those with local biodiversity experts and NGO’s) have also been carried as part of the EIA study. These will again also be carried out as part of local EIA disclosure as well as during various project phases. An integrated social and environmental grievance redress mechanism (GRM) has been formed to continue receiving feedback and complaints from affected parties and addressing them during the construction and operation phases.

17 Chettusiagregaria (Pallas, 1771), CR (IUCN), VU:R (Uz RDB) 18 Saigatatarica (Linnaeus, 1758), CR (IUCN), CR (Uz RDB) 19 Falco cherrug (J.E. Gray, 1834), EN (IUCN) 20 Neophronpercnopterus (Linnaeus, 1758), EN (IUCN) 21 Aquila nipalensis (Hodgson, 1833), Steppe Eagle, EN (IUCN), NT (Uz RDB)

25

43. The Supervision Consultant and PMU will ensure implementation of the mitigation measures as specified in the EMP/BAP. The Committee for Roads with support from local NGOs and other stakeholders will implement the BAP during operation phase. Semi-annual environmental monitoring reports that covers environmental safeguards issues will be prepared and submitted to ADB for review and disclosure. Site Specific Environmental Management Plans (SSEMP’s) will also be prepared/implemented by the construction contractor. If any unanticipated environmental impacts and risks arise during construction, PMU will inform ADB, with detailed description of the event and proposed corrective action plan. B. Social Safeguards

44. Resettlement. The project is classified category B for involuntary resettlement. The project alignment passes through barren land and non-agricultural land. The project will permanently acquire 0.0613 ha of land used for commercial purpose, and 313.12 ha of barren and non-agriculture State-owned land. An additional 1.67 ha will be provided by Uzavtyoul regional department for 2 WIM facilities. It will also temporarily use 915.77 ha of valley and other land plots not used in agriculture. All land required for the project are owned by the State except 0.0613 ha of privately used land plot. These state lands are barren and uncultivable due to the low soil fertility and absence of irrigation. Only 1 structure is affected in the entire length of the proposed road. The acquisition of land will cause economic displacement to 2 families, comprising of 1 structure owner who would be losing the rental income derived from the commercial building that will be affected and 1 tenant who is having a restaurant in the affected commercial building. Further, 1 motel-owner will face non-significant impact by way of temporary disruption during shifting of water and gas supply pipeline to his motel as part of utility shifting. 45. The project has prepared a land acquisition and resettlement plan (LARP) after carrying out census and socio-economic survey based on the final and detailed design of the road project. The LARP describes the project components resulting in involuntary resettlement, the magnitude of impact, mitigation measures proposed, provision of land for land under private use, compensating for structure, eligibility criteria for availing rehabilitation and resettlement assistance, baseline socio-economic characteristics, entitlements based on type of loss and tenure, the institutional arrangement for delivering the entitlements and mechanism for resolving grievances and monitoring. The land acquisition and rehabilitation assistance for this project is in accordance with the Land Code of the Republic of Uzbekistan, 1998, the various Resolutions21F

22 of Cabinet Ministers and ADB Safeguards Policy Statement (2009).

46. Meaningful consultations and timely disclosure have been undertaken in accordance with the consultations and disclosure plan provided in the LARP. The LARP will be updated as necessary and compensation and rehabilitation assistance will be disbursed prior to award of contract. Grievance Redress Committee (GRC) to address social and environmental grievances will be established by the PMU. The GRC will be in place immediately after the project is approved. The GRC will continue to function, for the benefit of the affected persons, during the entire life of the project including the defects liability period. Semi-annual social monitoring reports that covers emerging IR-related issues during project implementation will be prepared and submitted to ADB for review and disclosure. If any unanticipated LAR impacts and risks arise during construction, PMU will promptly ADB, with detailed description of the event and proposed corrective action plan.

22 Resolution of Cabinet Ministers No. 97 dated 29 May 2006, Resolution of Cabinet Ministers No. 146 dated 25 May

2011, Resolution of Cabinet Ministers No. 3857 dated 17 July 2018 and Resolution of Cabinet Ministers No. 5495 dated 01 August 2018.

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C. Indigenous Peoples

47. The project is classified category C for indigenous peoples. The census and socio-economic survey and consultations held along the project area confirm that there are no indigenous people in the settlements along the project road and further the project does not impact any indigenous peoples communities. As such, the project is classified category C for indigenous peoples, and requires no further action. D. Grievance Redress Mechanism

48. A project specific grievance redress mechanism (GRM) will be established by co-opting the country legal requirements to receive and facilitate the resolution of project affected persons’ concerns, complaints and grievances about the social and environmental performance at the project level. The GRM will aim to provide a time bound and transparent mechanism to voice and resolve social and environmental concerns linked with the project. The project specific GRM is not intended to bypass the government’s own redress process, rather it is intended to address project affected people’s concerns and complaints promptly, making it readily accessible to all segments of affected persons and is scaled to the risks and impacts of the project. Hence, depending on the nature and significance of the grievances or complaints, the GRM will comprise procedures to address grievances at the local level (through the Khokimyat, the Contractor, the Engineer or the PMU). More serious complaints, which cannot be addressed at the local level, will be forwarded to the central level. The affected households and communities will be made aware of the Project grievance redress mechanism they can follow to seek redress, including, if necessary, resort to the courts through the Government’s grievance mechanism. The affected households and communities are free to refer their complaints to the courts at any time during the GRM process. All costs involved in resolving the complaints (meetings, consultations, communication and reporting/information dissemination) will be borne by the Project.

49. Prohibited investment activities. Pursuant to ADB’s Safeguard Policy Stement (2009) , ADB funds may not be applied to the activities described on the ADB Prohibited Investment Activities List set forth at Appendix 5 of the SPS (2009).

VIII. GENDER AND SOCIAL DIMENSIONS

1. The project is classified as Effective Gender Mainstreaming (EGM) and will build two multipurpose community complexes with facilities for livelihood trainings. The NGO engaged in an ADB-supported technical assistance will conduct the livelihood trainings.

22F

23 The community complexes will house the tele medicine facility to facilitate consultations by members of the community with health professionals. This will be coordinated by the local health care professionals in the local government.23F

24 It will also build 5 rest stops with market stalls for women and separate sanitary facilities. The ITS component will install CCTVs to monitor critical incidents including those involving women, the elderly, children, and persons with disabilities and will submit yearly reports on sex-disaggregated data on road crashes by type of incident and road user as well as on critical incidents. The project will conduct road safety programs, awareness raising programs on sexually transmitted infections (STIs), human trafficking, sexual harassment, exploitation and abuse in the context of travel and safety. The project will ensure compliance with core labor standards. A social development (gender) specialist will be engaged to support the

23 The livelihood training courses will be conducted by the local NGO (Businesswomen Association/BWA) supported

by the ADB’ NGOC TA – 9769 REG on “Deepening CSO engagement in ADB Operations (Subproject 3). 24 The project will coordinate with the local government for the provision of health and other relevant community programs and

services.

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PMU and Committee for Roads in the implementation, monitoring, and reporting on the progress of the implementation of the GAP and reporting on gender equality results.

50. The following is the project’s gender action plan.

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Table 13: Gender Action Plan

Activity Target/indicator Responsibility Timeline

Output 1: Road from Kungrad to Daut-Ata reconstructed

1.1 Construct rest stops along the highway 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

1.1.a. By 2025: Five (5) rest stops in Jaslik and Karakalpakstan 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 (2019 baseline: 0)

PMU, Kungrad district Khokimiyat, local departments of Ministry of Transport, Women Committee of Kungrad district,

Q4 2020 – Q4 2025

1.2 Construct Social Community Complexes (SCCs) in settlement areas to house the economic, health, educational, and social/community, facilities and programs for women and men25

1.2.a. By 2025: Two (2) multipurpose community complexes constructed in Jaslik and Karakalpakstan with facilities for livelihood training programs, maternal and child health care services (2019 baseline: 0) 1.2.b. Baseline survey on (i) access to and participation in livelihood training programs and (ii) health services (including maternal and child health services) using quantitative and qualitative data conducted among (or at least) 50 residents of Jaslik and Karakalpakstan (50% women participants) (baseline: not applicable) 1.2.c. number of women and children seeking maternal and child health care services every year through the telemedicine facility. 1.2.d. Assessment of services of the community

PMU, Kungrad district Khokimiyat, local departments of Ministry of Transport, Women Committee of Kungrad district

Q4 2020 – Q4 2025

25 The livelihood training courses will be conducted by the local NGO (Businesswomen Association/BWA) supported by the ADB’ NGOC REG TA – 9769 Deepening

CSO engagement in ADB Operations (Subproject 3). The project will coordinate with the local government for the provision of health and other relevant community programs and services. The tele medicine facility will be established within the social and community complex to facilitate exchange of information of symptoms, diagnosis, treatment by the individuals in the settlements requiring expert opinion from healthcare professionals who are at distant places. The exchange of information and medical records with the expert healthcare professionals will be coordinated by the local health care professional.

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complexes conducted using quantitative and qualitative data covering at least 50 beneficiaries (at

least 50% women) in the communities every year. 26

1.2.e Documentation on the yearly assessment of services and recommendations prepared and submitted to the head/s of the local government/s within 10 working days from completion of the activity for action of concerned agencies. (baseline: not applicable).

1.3. Carry out awareness raising on programs on: (1) road safety; (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 Jaslik and Karakalpakstan (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 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)

Committee of Roads, PMU, Kungrad district Khokimiyat, local departments of Ministry of Transport, Women Committee of Kungrad district

Q4 2020 – Q4 2025

26 Quantitative data to include among others the number and type/s of services availed, programs offered, the number and types of services and programs availed,

and frequency of availment. Qualitative data to include the perception of the women and men on the quality of the services and programs, usefulness of the service and programs conducted in the community complexes.

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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 Jaslik and Karakalpakstan (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 messages, and help lines, on each of the following topics produced, printed, and posted in each of the five (5) rest areas and two community complexes: (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

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(or at least) 50 residents of Jaslik and Karakalpakstan (50% women participants) (baseline: not applicable)

Output 2: Intelligent transport system installed

2.1. Install CCTVs to monitor and address critical incidents including those involving women, children, elderly, and persons with disabilities

2.1.a. By 2024: 50 CCTVs installed to monitor critical incidents including those involving vulnerable groups - women, children, elderly, and persons with disabilities (2019 baseline: 0) 2.1.b. critical incidents are reported to the concerned authorities within 24 hours from occurrence of the incident.

PMU, Kungrad district Khokimiyat, local departments of Ministry of Transport, Women Committee of Kungrad district

Q4 2020 – Q4 2025

2.2. Prepare and submit a report on sex-disaggregated data on road crashes by type of road user and critical incidents

2.2.a. By 2024: 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 (2019 baseline: 0) 2.2.b. actions taken by the Committee for Roads, Kungrad district Khokimiyat, local departments of the Ministry of Transport, and Women’s Committee of Kungrad district to improve road safety documented and reported yearly. (baseline: 0)

PMU, Kungrad district Khokimiyat, local departments of Ministry of Transport, Women Committee of Kungrad district

Q4 2020 – Q4 2025

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IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION

A. Project Design and Monitoring Framework

Impact the Project is Aligned with Regional trade and economic connectivity on the Central Asia Regional Economic Cooperation Corridor 2 is enhanced, particularly between Uzbekistan and Kazakhstana

Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks

Outcome Regional trade and road transport connectivity in Western Uzbekistan improved

By 2026: a. Travel time between

Kungrad and Daut-Ata reduced by 15% (2019 baseline: 4.4 hours)

b. Average daily traffic along the reconstructed section of A380 road increased to 470,000 vehicle-km (2018 baseline: 370,000 vehicle-km)

c. Growth in annual trade volume by weight at the Daut-Ata border crossing point increased to 10.0% (2019 baseline: 6.0% per annum)

a. Committee for Roads

periodic survey reports

b. Project progress and

consultant reports c. Data from Daut-Ata

border control point of Customs and Border Control Department

External and internal economic factors slowing the investment in agriculture and industry sectors and reduced imports and exports

Outputs By 2025: 1. Road from

Kungrad to Daut-Ata reconstructed

1a. 240 km section of A380 road reconstructed, with IRI < 2 (2019 baseline: IRI = 6) (TI 1.3.1, 7.1.1)

1a. Consultants’ reports Escalation of COVID-19 globally and across Uzbekistan reduces the pace of project implementation. Multiple layers of review and approving authorities delay procurement and implementation.

1b. Five rest stops in Jaslik and Karakalpakstan constructed with market stalls (50% of market stalls per rest stop for women), sanitary facilities for women and men, diaper changing tables, and access ramps for baby strollers and wheelchairs, co-managed by the local government and women from the communities (2019 baseline: 0) (TI 2.4.1)

1c. Two multipurpose

community complexes constructed in Jaslik and Karakalpakstan, with

1b.–1c. Committee for Roads reports

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Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks

facilities for livelihood training programs, and maternal and child health care services (2019 baseline: 0) (TI 2.4.1)

2. ITS installed By 2024: 2a. ITS developed for the

country (2019 baseline: 0) (TI 1.3.1, 7.1.1)

2b. Integrated traffic and travel

information covered by interactive website is shared with stakeholders (2019 baseline: 0)

2c. 50 CCTVs installed to

monitor critical incidents, including those involving vulnerable groups: women, children, elderly, and persons with disabilitiesb (2019 baseline: 0)

2d. Sex-disaggregated data on

road crashes by type of road user and critical incidents by type of incident, and critical incidents addressed are reported yearly on ITS covered road sections (2019 baseline: 0)

2a.–2d. Consultants’ and

Committee for Roads reports

3. WIM systems supplied and installed

By 2024: 3. Three WIM systems

commissioned (2019 baseline: 0) (TI 1.3.1, 7.1.1)

3. Consultants’ and

Committee for Roads reports

Key Activities with Milestones 1. Road from Kungrad to Daut-Ata reconstructed (km 964–km 1204 on A380) 1.1 Advertise IFB for civil works contract by Q2 2020 and request for proposal for supervision consulting

contracts by Q1 2020. 1.2 Award civil works contract by Q4 2020. 1.3 Mobilize supervision construction consultants by Q4 2020. 1.4 Complete civil works contract by Q4 2025. 2. Intelligent transport system installed 2.1 Recruit ITS consultants by Q4 2020. 2.2 Advertise IFB for supply and installation contract by Q4 2020. 2.3 Award ITS works contract and ITS consultant contract by Q3 2021. 2.4 Complete supply and commissioning pilot ITS by Q4 2023.

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COVID-19 = coronavirus disease, IFB = invitation for bid, IRI = International Road Roughness Index, ITS = intelligent transport system, km = kilometer, Q = quarter, TI = target indicator, WIM = weigh-in-motion. a Government of the Uzbekistan. 2019. National Development Strategy of Uzbekistan. Tashkent. b Critical incidents may include harassment, gender-based violence, theft, and other crimes. Contribution to the Asian Development Bank Results Framework: TI 1.3.1: Infrastructure assets established or improved (3) TI 2.4.1: Time-saving or gender-responsive infrastructure assets and/or services established or improved (2) TI 7.1.1: Transport and information and communication technology connectivity assets established or improved (3) Source: Asian Development Bank.

3. Weigh-in-motion system supplied and installed 3.1 Recruit WIM consultants by Q4 2020. 3.2 Advertise IFB for supply and installation contract by Q4 2020. 3.3 Award WIM supply and installation contract and WIM consultant contract by Q3 2021. 3.4 Complete supply and commissioning by Q4 2023. 3.5 Committee for Roads to update the regulations relating to axle load control to ensure the norms are

compatible with government regulations before the implementation of the WIM systems by Q2 2022.

Project Management Activities Bid out major procurement packages by Q2 2020 and award all contracts by Q4 2021.

Inputs Asian Development Bank: $26.0 million (concessional loan – ordinary capital resources) $248.2 million (regular loan – ordinary capital resources) Government of Uzbekistan: $109.2 million

Assumptions for Partner Financing Not applicable

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B. Monitoring

51. Project performance monitoring. The achievement of the project performance targets will be assessed based on the DMF. The PMU will, within 3 months of the loan signing, develop a systematic project performance monitoring system, in form and substance acceptable to ADB, for use throughout the life of the project. PMU will also establish, within 3 months of loan effectiveness, a baseline for performance indicators to be used for monitoring implementation of each road subproject. Disaggregated baseline data for output and outcome indicators gathered during project processing will also be updated and reported quarterly through CR's quarterly progress reports and after each ADB review mission. These quarterly reports will provide information necessary to update ADB's project performance reporting system. 27F

27 PMU will conduct annual evaluation surveys for each road subproject, in accordance with the project performance monitoring system, to evaluate the scope, implementation arrangements, progress, and achievement of the project objectives.

52. Compliance monitoring. Compliance with covenants will be monitored through ADB's project administration missions including project inception mission to discuss and confirm the timetable for compliance with the loan covenants; project review missions to review the borrower's compliance with particular loan covenants and, where there is any noncompliance or delay, discuss proposed remedial measures with the government; and mid-term review mission if necessary to review covenants and assess whether they are still relevant or need to be changed, or waived due to changing circumstances.

53. Environment safeguard monitoring. The Contractor(s) environment officer is responsible for the preparation of weekly environmental checklists and environmental section in monthly progress reports that shall be submitted to the Engineer for review. Based on site inspection and Contractors’ reports, the Engineer shall be responsible for preparing an environmental section of detailed Quarterly Progress Reports to submit to PMU. The Engineer is also responsible for assisting the PMU in preparing semi-annual Environmental Monitoring Reports (EMRs) and final EMR including post-construction environmental audits. If there are any changes in the design or alignment or if there are any unanticipated impacts, the EIA/EMP will be updated to account for any additional or new environmental impacts and relevant corrective actions. In January and July every year, the PMU will submit to ADB and relevant government authorities semi-annual environmental monitoring reports, and these reports will be disclosed to the public on the CR (in Uzbek or Russian) and ADB (in English) websites.

54. Social safeguard monitoring. The Environment and Social Specialists of PMU will be responsible for overall internal monitoring and evaluation of the project progress for social safeguard. The internal monitor will monitor and verify LARP implementation to determine whether resettlement goals have been achieved, livelihood and living standards have been restored, and provide recommendations for improvement. The first social safeguard monitoring report will confirm if all provisions in the LARP including compensation payments and rehabilitation assistance have been provided fully. Contract award will be subject to the submission of the LARP implementation compliance report approved by the ADB. Subsequent monitoring will also identify concerns and grievances from stakeholders and IR related issues that may arise during project implementation and recommend appropriate corrective actions. The monitoring reports will be sent to ADB twice a year for the entire project period.

27 ADB's project performance reporting system is available at http://www.adb.org/Documents/Slideshows/PPMS/default.asp?p=evaltool

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55. Gender and social dimensions monitoring. A social development (gender) expert will be recruited by PMU to support the implementation, monitoring, and reporting on the progress and results of the implementation of the Gender Action Plan. C. Evaluation

56. The project inception mission will be fielded soon after the loan agreement for the project is declared effective; thereafter, regular reviews will follow at least annually. As necessary, special loan administration missions and a midterm review mission will be fielded, under which any changes in scope or implementation arrangement may be required to ensure achievement of project objectives. The PMU will monitor project implementation in accordance with the schedule and time-bound milestones and keep ADB informed of any significant deviations that may result in the milestones not being met. A project completion report will be submitted by PMU within 3 months of physical completion of the project, providing detailed evaluation of the progress of implementation, costs, consultant performance, social and economic impact, and other details as

requested by ADB.28F

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D. Reporting

57. PMU will provide ADB with (i) quarterly progress reports in a format consistent with ADB's project performance reporting system to be submitted to ADB within 2 weeks from the end of the related quarter; (ii) consolidated annual reports including (a) progress achieved by output as measured through the indicator's performance targets, (b) key implementation issues and solutions, (c) updated procurement plan, and (d) updated implementation plan for the next 12 months; and (iii) a project completion report within 6 months of physical completion of the project. To ensure that the project will continue to be both viable and sustainable, project accounts together with the associated auditor's report should be adequately reviewed. E. Stakeholder Communication Strategy

Project Documents Means of

Communication Responsible

Party Audience Frequency

PDS ADB’s website ADB General Public Initial PDS upon approval of the concept paper;

subsequent PDS at least bi-annually or as necessary

IPSA ADB’s website ADB General Public, project-affected

people in particular

Upon approval of the concept paper

EIA ADB’s website ADB General Public Upon receipt by ADB

LARP ADB’s website ADB General Public, project-affected

people in particular

Upon receipt by ADB

Documents Produced under PPTA

ADB’s website ADB General Public Upon completion

RRP and linked documents

ADB’s website ADB General Public Upon approval by the Board

DMF ADB’s website ADB General Public Upon approval of the RRP by the Board

28Project completion report format is available at: http://www.adb.org/Consulting/consultants-toolkits/PCR-Public-

Sector-Landscape.rar

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Project Documents Means of

Communication Responsible

Party Audience Frequency

PAM ADB’s website ADB General Public Upon approval of the RRP by the Board; as necessary

LA ADB’s website ADB General Public Upon signing

Amendments to the LA

ADB’s website ADB General Public Within 2 weeks of effectiveness

Social and Environmental Monitoring Reports

ADB’s and CR’s website

ADB and CR General Public, project-affected

people in particular

Semi-annually, to be disclosed upon receipt by

ADB

Major Change in Scope

ADB’s website ADB General Public Upon approval of the change by the Board

APFS and Auditor’s Opinion on the Financial Statements

ADB’s website ADB General Public As indicated in the loan agreement

PCR ADB’s website ADB General Public Upon circulation to the Board for information

Independent Evaluation Reports

ADB’s website ADB General Public Upon circulation to Management

and the Board, except for IED annual

evaluation reports that will be posted on the ADB

website upon discussion by the Board’s Development Effectiveness Committee

Performance of the project with clearly defined information requirements and indicators, policy on roads construction and reconstruction, 5-year investment plan, business opportunities, bidding process and guidelines, results of bidding process, and summary progress report of the project

CR website CR General Public per project progress, no longer than monthly

ADB = Asian Development Bank, APFS = audited project financial statements, CR = Committee for Roads, DMF = design and monitoring framework, EIA = environmental impact assessment, IPSA = initial poverty and social analysis, LA = loan agreement, LARP = land acquisition and resettlement plan, PAM = project administration manual, PDS = project data sheet, PCR = project completion report.

X. ANTICORRUPTION POLICY

58. ADB reserves the right to investigate, directly or through its agents, any violations of the Anticorruption Policy relating to the project.29F

29 All contracts financed by ADB shall include provisions specifying the right of ADB to audit and examine the records and accounts of the executing agency and all project contractors, suppliers, consultants, and other service providers. Individuals and/or entities on ADB’s anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contracts under the project.30F

30

29 Anticorruption Policy: https://www.adb.org/documents/anticorruption-policy. 30 ADB's Integrity Office website: https://www.adb.org/site/integrity/main. ADB’s debarment list can be accessed at this

site: https://lnadbg4.adb.org/oga0009p.nsf/alldocs/AANA-AAFBDE?OpenDocument. Frequently asked questions on ADB’s sanctions: https://www.adb.org/sites/default/files/related/79926/adb-sanctions-list-faq.pdf.

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59. To support these efforts, relevant provisions are included in the loan agreement and the bidding documents for the project. All contracts financed by ADB shall include provisions specifying the right of ADB to audit and examine the records and accounts of the CR and PMU, and all contractors, suppliers, consultants, and other service providers as they relate to the project. Individuals/entities on ADB’s anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contract under the Project. 60. ADB's Anticorruption Policy designates the Office of Anticorruption and Integrity as the point of contact to report allegations of fraud or corruption among ADB-financed projects or its staff. Office of Anticorruption and Integrity is responsible for all matters related to allegations of fraud and corruption. For a more detailed explanation, refer to the Anticorruption Policy and Procedures.31F

31 Anyone coming across evidence of corruption associated with the Project may contact the Anticorruption Unit by telephone, facsimile, mail, or email at the following numbers/addresses:

• by email at integrity@adb.org or anticorruption@adb.org

• by phone at +63 2 8632 5004

• by fax to +63 2 86362152

• by mail at the following address (Please mark correspondence Strictly Confidential): Office of Anticorruption and Integrity Asian Development Bank 6 ADB Avenue Mandaluyong City 1550 Metro Manila, Philippines

XI. ACCOUNTABILITY MECHANISM

61. People who are, or may in the future be, adversely affected by the project may submit complaints to ADB’s Accountability Mechanism. The Accountability Mechanism provides an independent forum and process whereby people adversely affected by ADB-assisted projects can voice, and seek a resolution of their problems, as well as report alleged violations of ADB’s operational policies and procedures. Before submitting a complaint to the Accountability Mechanism, affected people should make an effort in good faith to solve their problems by working with the concerned ADB operations department. Only after doing that, and if they are still dissatisfied, should they approach the Accountability Mechanism. 32F

32 Complaints referred to the ADB Accountability Mechanism should be addressed to the Complaint Receiving Officer (CRO), Asian Development Bank, ADB Headquarters, 6 ADB Avenue, Mandaluyong City 1550, Metro Manila, Philippines (phone: +632-4444 loc 70309; email: amcro@adb.org). Alternatively, the complaint may be submitted through the ADB Uzbekisan Resident Mission.

31 Refer to this site: https://www.adb.org/site/integrity/how-to-report-fraud. 32 Accountability Mechanism.http://www.adb.org/Accountability-Mechanism/default.asp.

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XII. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL

62. All revisions and/or updates during the course of implementation should be retained in this section to provide a chronological history of changes to implemented arrangements recorded in the PAM, including revision to contract awards and disbursement S-curves.

Version Date Revisions

1. Pre-Fact finding Mission (Pre-FFM), the Pre-FFM was upgraded to Fact-Finding Mission.

September 2019 This is the first draft of the PAM.

2: Management Review Meeting (MRM)

Revised based on the comments received during interdepartmental circulation of RRP and linked documents

3. Post-MRM Revised based on the comments received during and after the MRM

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ATTACHMENT 1: PROCUREMENT PLAN

PROCUREMENT PLAN

Basic Data

Project Name: Central Asia Regional Economic Corridor (CAREC) Corridor 2 Karakalpakstan Road Project (A380 Kungrad to Daut-Ata Section)

Project Number: 48414-006 Approval Number:

Country: Uzbekistan Executing Agency:

Committee for Roads

Project Procurement Classification: Category A

Implementing Agency: N/A

Project Procurement Risk: High

Project Financing Amount: US$ 383,400,000 ADB Financing: US$ 274,200,000 Cofinancing (ADB Administered): Non-ADB Financing: US$ 109,200,000

Project Closing Date: 30 June 2026

Date of First Procurement Plan: 20 September 2019

Date of this Procurement Plan:

27 September 2019

Procurement Plan Duration (in months): 18 Advance Contracting: Yes

e-GP: No

A. 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, and consulting services.

Procurement of Goods and Works Method Comments

Open Competitive Bidding (OCB) for Works While international contractors are likely to participate to the bidding, national contractors may also be attracted

Open Competitive Bidding (OCB) for Goods

Consulting Services Method Comments

Least-Cost Selection For audit firm Quality- and Cost-Based Selection For Works Supervision Consultant for 6 Lots, and

Design Review and Supervision Consultant for WIM/ITS Competitive For Individual Consultants

B. Lists of Active Procurement Packages (Contracts) The following table lists goods, works, and consulting services contracts for which the procurement activity is either ongoing or expected to commence within the procurement plan duration.

Goods and Works

Package Number

General Description

Estimated Value (in US$)

Procurement Method Review Bidding

Procedure Advertisement

Date (quarter/year)

Comments

KRP/OCB/CW/01 Reconstruction of 120 km road section from km 964 to km 1084 on A380 (Kungrad to Daut-Ata section)

110,000,000.00

OCB Prior 1S1E Q2 / 2020 Advertising: International No. of Contracts: 3 Prequalification

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Goods and Works

Package Number

General Description

Estimated Value (in US$)

Procurement Method Review Bidding

Procedure Advertisement

Date (quarter/year)

Comments

of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works

Lot 1: KRP/OCB/CW/01-Lot 1 964km-1004km

38,600,000.00

Lot 2: KRP/OCB/CW/01-Lot 2 1004km-1044km

35,600,000.00

Lot 3: KRP/OCB/CW/01-Lot 3 1044km-1084km

35,800,000.00

KRP/OCB/CW/02 Reconstruction of 120 km road section from km 1084 to km 1204 on A380

112,700,000.00

OCB Prior 1S1E Q2 / 2020 Advertising: International No. of Contracts: 3 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Large Works

Lot 1: KRP/OCB/CW/02-Lot 4 1084km-1124km

35,300,000.00

Lot 2: KRP/OCB/CW/02-Lot 5 1124km-1164km

37,400,000.00

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Goods and Works

Package Number

General Description

Estimated Value (in US$)

Procurement Method Review Bidding

Procedure Advertisement

Date (quarter/year)

Comments

Lot 3:

KRP/OCB/CW/02-Lot 6 1164km-1204km

40,000,000.00

KRP/OCB/CW/03 Community Development

1,100,000.00

OCB Prior 1S1E Q1 / 2021 Advertising: National No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: Small Works Comments: Advertising: National or local advertisement No. of contracts: To be determined (5 rest stops with market stalls; 2 multipurpose community complexes in Jaslik and Karakalpakstan)

KRP/OCB/SI/01 Design, supply

and installation of weigh-in-motion systems (WIM)

2,800,000.00

OCB Prior 1S1E Q4 / 2020 Advertising: International No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes

43

Goods and Works

Package Number

General Description

Estimated Value (in US$)

Procurement Method Review Bidding

Procedure Advertisement

Date (quarter/year)

Comments

Bidding Document: Procurement of Plant: Design, Supply Installation. June 2018

KRP/OCB/SI/02 Design, supply and installation of intelligent transport system (ITS)

15,300,000.00

OCB Prior Two-stage Q4 / 2020 Advertising: International No. of Contracts: 1 Prequalification of Bidders: No Domestic Preference Applicable: No Advance Contracting: Yes Bidding Document: June

2018 ADB Procurement of IT Products and Services (June 2018)

Consulting Services

Package Number

General Description

Estimated Value (in

US$) Selection Method Review Type of

Proposal Advertisement

Date (quarter/year)

Comments

KRP/External Auditor

External Auditor to carry out Internal Audit

100,000.00 LCS Prior BTP

Q1 / 2021 Type: Firm Assignment: International Advance Contracting: Yes

KRP/OCB/IND-01 International Contract Specialist

210,000.00 Competitive Prior

Q4 / 2020 Type: Individual Assignment: International Expertise: Contract management Advance Contracting: Yes

44

Consulting Services

Package Number

General Description

Estimated Value (in

US$) Selection Method Review Type of

Proposal Advertisement

Date (quarter/year)

Comments

KRP/OCB/IND-02 International Procurement Specialist

210,000.00 Competitive Prior

Q2/ 2020 Type: Individual Assignment: International Expertise: Procurement Advance Contracting: Yes

KRP/OCB/IND-03 International Biodiversity Specialist

210,000.00 Competitive Prior

Q4 / 2020 Type: Individual Assignment: International Expertise: Biodiversity, Environment Advance Contracting: Yes

KRP/OCB/IND-04 National Environment Specialist

50,000.00 Competitive Prior

Q3 / 2020 Type: Individual Assignment: National Expertise: Environment Advance Contracting: Yes

KRP/OCB/IND-05 National Resettlement Specialist

50,000.00 Competitive Prior

Q3 / 2020 Type: Individual Assignment: National Expertise: Resettlement Advance Contracting: Yes

KRP/OCB/IND-06 National Gender Specialist

50,000.00 Competitive Prior

Q3 / 2020 Type: Individual Assignment: National Expertise: Gender Advance Contracting: Yes

45

Consulting Services

Package Number

General Description

Estimated Value (in

US$) Selection Method Review Type of

Proposal Advertisement

Date (quarter/year)

Comments

KRP/OCB/LCS-01

Financial Auditor

120,000.00 LCS Prior BTP

Q3 / 2020 Type: Firm Assignment: National Advance Contracting: Yes Comments: Number of contracts to be determined during project implementation

KRP/OCB/QCBS-01

Works Supervision Consultant for 6 Lots

5,000,000.00 QCBS Prior FTP

Q1 / 2020 Type: Firm Assignment: International Quality-Cost Ratio: 80:20 Advance Contracting: Yes

KRP/OCB/QCBS-02

Design Review and Supervision Consultant for WIM/ITS

2,200,000.00 QCBS Prior FTP

Q4 / 2020 Type: Firm Assignment: International Quality-Cost Ratio: 90:10 Advance Contracting: Yes

C. List of Indicative Packages (Contracts) Required Under the Project The following table lists goods, works, and consulting services contracts for which 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 duration).

Goods and Works Package Number

General Description

Estimated Value (in US$)

Procurement Method Review Bidding

Procedure Comments

None

Consulting Services Package Number

General Description

Estimated Value (in US$)

Selection Method Review Type of

Proposal Comments

None

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ATTACHMENT 2: OUTLINE TERMS OF REFERENCE OF CONSULTANTS FOR CONSTRUCTION SUPERVISION CONSULTANT

A. Background

1. The Government of the Republic of Uzbekistan (the Government) has requested the Asian Development Bank (ADB) to provide financial assistance for the CAREC Corridor 2 Karakalpakstan Road Project. The Project consists of a total length of 240 km of road with cement concrete pavement in the road section from km 964 to km 1204 on A380 (Kungrad to Daut-Ata Section). 2. The road section will be divided into six lots of approximately 40 km each. The project will be implemented through 6 civil works contracts with an estimated duration of 24 months. The Committee for Roads under the Ministry of Transport of the Republic of Uzbekistan will procure these contracts, under the open competitive bidding procedures of Procurement Regulations for ADB Borrowers, issued 2017. The bidding documents are based on the ADB Standard Bidding Documents: Procurement of Works, Single Stage, One-Envelope Bidding Procedure, dated June 2018 (or latest revised version). The contracts will be based on the FIDIC Conditions of Contract Multilateral Development Bank Harmonized Edition, June 2010 (“Pink Book”). 3. The Committee for Roads under the Ministry of Transport of the Republic of Uzbekistan will be the Executing Agency (EA). 4. The EA now wishes to engage a firm of consultants for construction supervision (under advance procurement actions) using the Open Competitive Bidding procedures specified in the Procurement Regulations for ADB Borrowers (“Procurement Regulations”) issued in 2017. QCBS will be the selection method. The consultant is expected to be on board one month before contractors’ mobilization. The consulting services will involve, but not be limited to review of detailed design and validation of final ‘good for construction’ drawings, supervision and certification of all the works under the civil works contracts for quality and quantity, civil works contracts administration, and benefit monitoring and evaluation. B. Brief Description of the Project 5. The proposed project will lead to enhanced regional trade on the CAREC Corridor 2 between Uzbekistan and Kazakhstan. The outcome will be improved travel time and efficiency on the reconstructed section of the A380 highway. 6. The outputs of the proposed project will be (i) the reconstruction of approximately 240 km of the CAREC Corridor 2 road in Republic of Karakalpakstan (km 964 to km 1,204 on A380 (Kungrad to Daut-Ata section); (ii) Intelligent Transport System development; and (iii) Supply and installation of 3 weigh-in-motion systems at particular road sections on the Uzbekistan national highway network. 7. The reconstructed highway section will comprise of two-lane single carriageway. This road will be the last mile connectivity on the CAREC Corridor 2 and will provide a trade access to the Caspian Sea. A small component involving local roads could be added comprising feeder roads to improve the access between the rural areas and the Republican Highway network. The CR will provide more information on the local roads component, including feasibility study and detailed design.

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8. The CR will explore the possibility of including a component for development of the local community in the area adjacent to the project road. The CR will coordinate with the officials of the Government of the Republic of Karakalpakstan to identify specific interventions. C. Objectives of the Assignment

9. The primary objectives of the consulting services are:

a. Fulfill the function of the ‘Engineer’ in administering the civil works contracts (the Contracts) in accordance with the General and Particular Conditions based on International Federation of Consulting Engineers (FIDIC) Conditions of Contract for ‘Construction for Building and Engineering Works Designed by the Employer’ a Multilateral Development Bank Harmonized Edition 2010.

b. Review the detailed design and approve the construction drawings for road construction by the international civil works contractors (the Contractors);

c. Ensure that the permanent and temporary works have been designed and are constructed in accordance with the technical specifications and standards, comprising the contract for construction works with the Contractor;

d. Advise EA on all matters concerning implementation of the Contracts including quality control, work progress, implementation issues, dispute resolution, adjudication or litigation, amendments to the contract, contract termination, certification of payments;

e. Ensure compliance with environmental and social safeguards, including the environmental management plans, traffic management plans, health and safety standards and core labor standards;

f. Ensure compliance with the principles of gender equity aimed at increasing Project benefits and impacts on women in the Project area consistent with ADB’s Policy on Gender and Development (1998) are followed during implementation of the Project, including (a) equal pay to men and women for work of equal value; (b) enabling working conditions for women workers; and (c) taking necessary actions to encourage women living in the Project area to participate in the design and implementation of Project activities;

g. Provide the staff of the EA with on-site training in contract administration and other procedures relevant to site supervision and contract administration;

h. Any other functions laid upon the Engineer under or to be implied from the Contracts.

D. Scope of Services, Tasks (Components) and Expected Deliverables

10. The EA intends to award the contracts under two packages for construction works, each package comprising of three lots. Procurement under these packages shall be performed simultaneously, and the contracts are planned to be awarded at the same time. 11. The consultant shall administer and supervise the civil works contracts. In doing so, care should be taken to minimize climatic impacts and to implement greenhouse gas reduction measures.

12. The consultant will have all functions and responsibilities vested on the “Engineer” in the General and Particular conditions of contract.

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13. Design Review and Approval: During the initial period, the consultant shall carry out a review of the detailed design made available by the EA. Prior to the start of construction the consultant shall also review and approve construction drawings prepared by the Contractor. The scope of works shall include, but not be limited to, the following:

a. Establish the schedule, methods, and procedures for reviewing the detailed design made available by the EA and of construction drawings prepared by the Contractor.

b. Review the detailed design and construction drawings in accordance with the design standards/technical specifications and the actual site requirements. The review of the detailed design shall be completed within 45 days of the commencement of services. Review of construction drawings will be completed no later than seven days from the date of submission to facilitate the commencement of works;

c. Ensuring that the technical specifications have been duly accounted for in the detailed engineering design and construction drawings; and

d. Provide periodic status reports to the EA and ADB on the design review, identify any problems and difficulties encountered and the proposed solutions.

E. Contract Administration and Construction Supervision:

General a. The civil works will be executed under the General and Particular Conditions of Contract.

Accordingly, EA will be the “Employer” and the consultant will function as the “Engineer” subject to certain requirements for the Engineer to seek the approval of the Employer prior to taking action under specified clauses of the Contract.

b. The consultant will administer the civil works contract and supervise the day-to-day civil works on site following construction supervision procedures based on sound international practices to: (i) ensure that the Project is constructed in accordance with the provision of the civil works contracts; (ii) monitor the completion of the Project within the agreed program and budget and to the quality standards and safeguard provisions stipulated in the Contracts; (iii) monitor compliance with the safeguard requirements and ensure that adequate mitigation measures have been taken during the implementation of the Project; (iv) maintain communication with local communities and help identify and resolve emerging issues and complaints; and (v) advise the EA on matters concerning implementation of the Project.

c. The consultant will report to the EA and ADB on matters concerning implementation of the project. The consultant shall also participate in ADB’s review Missions at site and with the EA and take necessary steps to resolve any issues arising.

d. The consultant will be required to nominate an Engineer’s Representative who will be full-time resident in the project area.

e. The consultant shall operate a quality system that governs their own activities. The Quality Plan shall comply with the latest practices published by the International Standards Organization (ISO). Within one month of the commencement of the services, the Consultant shall submit a draft Quality Plan covering their various duties to be undertaken during the design review and the supervision of the civil works contract. The consultant shall amend the draft Quality Plan to such extent as is mutually agreed with

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the EA. The consultant shall work throughout the duration of the commission to the procedures and requirements of the Quality Plan.

Construction Supervision

f. The consultant, as the Engineer, shall be responsible to carry out all the tasks as defined

in the General and Particular Conditions of Contracts. The responsibilities of the Engineer shall include, but not be limited to, the following tasks:

• Ensure that the Notice of Commencement Date is issued to the Contractors with clearly specified date and strictly in accordance with (works) contract procedures;

• Monitor land acquisition and resettlement activities undertaken by the Employer and provide the required support, as and when required;

• Prepare social safeguards semiannual report, update the resettlement plan if needed,

• Prepare corrective action plan, conduct safeguards due diligence if needed.

• Liaise with the appropriate authorities to ensure that all the affected utility services are timely relocated to avoid any disruption to the works;

• Ensure that the project site/right of way, free from all encumbrances, is handed over to the Contractors in accordance with the agreed schedule or otherwise advise the Contractors of possible delays in handing over of the project sites;

• Ensure that the Contractors have submitted all the required bank guarantees (performance securities, advance payment guarantees and guarantees for release of retention money, if any) and insurance policies required in accordance with the Contracts;

• Examine the Contractors’ work programs (or the revised work programs) and accord the approval to the Contractors to carry out the works. Wherever required, facilitate the reaching of agreement between the Employer and the Contractors regarding the work programs and ensure that the construction works are carried out in accordance with the agreed work programs. The Engineer will keep the Employer informed of any delay or potential delays in the work schedules of the Contracts, and will take all necessary actions to prevent potential delays;

• Ensure all construction equipment is mobilized by the Contractors in accordance with the work programs/Contracts and inspect the Contractors’ equipment;

• Approve and/or issue working drawings/good for construction drawings and issue instructions to the Contractors as required in accordance with the Contract specification and the Contractors’ quality management plan;

• Issue clarifications and supplementary drawings to the Contractors and/or approve alternate drawings, provide the Contractors with all necessary surveys and reference data to facilitate the work and to avoid any potential delays in implementation of the works;

• Inspect and approve all material sources identified by the Contractors;

• Inspect the results of material and soil tests to ensure compliance with specifications and issue immediate notice to the Contractors in the event that such materials and works fail to comply with the specifications;

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• Maintain records of all testing work, including cross-referencing of items of work to which each test refers and location from which any samples were obtained for testing;

• Supervise the Contractors in all matters concerning safety of workers and the public, and the care of civil works including provision of necessary personal protective equipment, lights, guardrails, fencing and security. The consultant shall establish written procedures for monitoring and reporting on health and safety;

• Regularly monitor and inspect the Contractors’ quality control and assurance programs to ensure that quality of the finished works meet the Contracts standards and specifications. This includes regular checking of the materials testing programs;

• Carry out regular audits of the Contractors’ and subcontractors’ quality systems to ascertain that the requirements of the systems and the EA’s quality objectives are being met. The quality audits shall be done at least once every six months. The consultant shall report all non-conformities to the EA after each audit and explain what actions shall be taken by the contractors to rectify each non-conformity.

• Assess and check the laboratory and field tests carried out by the contractors, and carry out independent tests;

• Prepare the non-conformity reports and propose rectification work or solution;

• Monitor progress of the construction works through computer-aided project management techniques;

• Convene regular site meetings with the Contractors to discuss issues and problems affecting the progress, and brief the Employer;

• Coordinate with the relevant local government authorities/agencies so as to minimize disruption to the works programs;

• Review and comment on the monthly progress reports submitted by the Contractors detailing the work undertaken during the previous month, the progress of the work against the approved schedules, the problems and difficulties encountered by the Contractors and other issues requested by the Employer;

• Assist the EA in processing the Contractors’ applications for subcontracting parts of the works, and removing ambiguities in the contract documents, if any.

• Measure the completed works and keep detailed records, including measurement books;

• Maintain permanent record which shall include, but not be limited to, sites correspondences, survey data, work programs, material testing results, quality acceptance data, daily site diaries, records of plant, labour and materials used, measurement and certification, minutes of meetings, and records of all the data/reports/certificates/statements, etc., under the Contracts.

• These permanent records shall be handed over to the EA after the expiry of the consultancy contract;

• Prepare quarterly cash flow projections for the Employer in an acceptable format, in which cash flow should identify budget estimates for all outstanding works;

• Measure the work and certify the interim and final payment certificates for submission to the Employer;

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• Assess and make necessary recommendations to the EA on the Contractors’ applications for extension of time for completion, claims for additional payment, contract variations, changes in scope of work, any disputes, etc.;

• Review all claims submitted by the Contractors and provide advice to the Employer of the validity of the claims, the effect of such claims on the construction schedules and the cost of the project;

• Advise and assist the Employer with respect to arbitration or litigation relating to the works, whenever required;

• Issue taking over certificates in respect of satisfactory completion of the works in accordance with the contract provisions;

• At the completion of the works, verify the Contractors’ “as-built drawings” as a true record of the works as constructed and ensure that the works have been executed in accordance with all the provisions contained in the Contracts including those relating to the standards of workmanship, safety requirements, and compliance with safeguard requirements;

• Undertake environmental monitoring including all of the requirements of the project IEE to ensure that the construction methods proposed by the Contractors for carrying out the works are satisfactory, with particular references to the technical requirements of sound environmental standards on the basis of the ADB’s Safeguard Policy Statement (SPS) 2009;

• Review the contractors’ site-specific Environmental Management Plan. This task should be completed before the start of the construction.

• Ensure that the construction works are undertaken based on the environmental management plans to mitigate the environmental issues as detailed in the Initial Environmental Examination (IEE). The status of the implementation of environmental management plans and the environmental monitoring reports shall be covered in the reports submitted by the Engineer to the EA and ADB;

• Prepare internal monitoring reports on the land acquisition and resettlement activities (including the livelihood restoration activities and monitor job placement of members of severely affected and vulnerable households) in accordance with the Land Acquisition and Resettlement Plan (LARP) prepared by the EA in line with the ADB’s Safeguards Policy Statement 2009;

• Ensure minimum disruption to the local settlements while approving Contractors’ work programs, including monitoring of the impacts of construction work on local settlements, and by reporting impact monitoring to the Employer;

• Ensure that no child labor is used for the construction works or any other activities associated with the project;

• Ensure opportunities for skilled female labor are facilitated and made available;

• Monitor the implementation of the health and safety programs at camp sites (focusing on construction workers) and local communities in the project area including the information and education campaign in the form of awareness raising seminars and meetings in collaboration with MoH, Women’s Committee of Uzbekistan (regional branches) on sexually-transmitted diseases and HIV/AIDS (human immunodeficiency virus/acquired immunodeficiency syndrome) with disseminating relevant gender-

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sensitive publications and distribution materials as required under the civil works contracts; and

• Provide on-the-job training for the EA’s staff at sites on construction supervision, contract administration, quality control and assurance, safeguards, PPMS and monitoring and evaluation and other activities.

Project Performance Monitoring/Benefit Monitoring and Evaluation

g. The consultant shall establish a system for project performance monitoring in accordance with the project framework. In doing so, the consultant will:

• Identify, on the basis of the project, performance indicators and the targets to be monitored during the implementation of the project and shall establish systems for collecting data and statistics for such monitoring;

• Carry out a baseline survey on performance indicators and establish a set of baseline data based on which the project impacts will be reassessed;

• Collect required data and undertake other relevant surveys before start of construction, after the 1st and 2nd year from the commencement date, and immediately after completion of the Project;

• Assess the socioeconomic impacts and environmental sustainability of the Project;

• Incorporate findings and supporting data in the project completion report; and

• Conduct training in operational social research methods and build the capacity of the EA.

Reporting

h. The consultant will prepare and update on a monthly basis the Contract Management Plan (CMP). The CMP is a set of tables, schedules, graphs and photographs, regularly updated with data from the site, designed to provide all meaningful information on how a contract is progressing, from the technical, financial or other perspectives (e.g. safeguard management). It should enable to take whatever mitigation or corrective measures as may be required if any variance is detected so that the contract can be maintained on track.

A primary source of information of the CMP should be the contractors’ progress report. Another source of information is the monitoring reports prepared by the safeguard specialists who are part of the supervision consultant’s team. These reports will cover the monitoring of the environment management plan including the health and safety monitoring reports and the social safeguards. The supervision consultant may also have to collect information from the EA with respect to obligations which are incumbent upon the “client” or “employer”, such as securing certain permits, processing the land acquisition and resettlement plan, moving some utilities, etc.

F. Actions Requiring Specific Approval of the Employer:

The consultant will be required to obtain prior approval of the Employer in the following matters:

• Approving subletting of any part of the works;

• Certifying additional cost;

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• Determining an extension of time;

• Issuing a variation having any financial implications in any manner; and

• Fixing rates or prices for any item. G. Duration of the Assignment

The services of construction supervision consultants will be provided for 26 calendar months and 24 calendar months (with a reduced number of personnel) during the defects notification period under construction contracts. The consulting services contract is expected to start in July 2020.

H. Team Composition and Qualification Requirements for Key Experts

It is estimated that about 172 person months of key international consultants’ services and about 432 person months of key national consultants’ services and 240 person months of non-key experts would be required by the EA to accomplish the tasks. The requirement of various experts and the duration of their engagement are indicated below. However, the consultants may propose additional staff, within the budget, that may be required to accomplish the tasks.

No. Specialists Input (months)

A. International Consultants

1. Team Leader/Project Manager/Highway Engineer 26 2. Resident Engineer /Road Engineer (3) 60 3. Material Engineer 20 4. Contract Specialist 8 5. Environment Specialist 16 6. Social /Resettlement /Gender /Benefit Monitoring Specialist 12 7. Road Pavement and Quality Assurance Engineer /Cement Concrete Pavement

Specialist 20

8. Road Safety Specialist/Road Design Engineer 10 Subtotal (A) 172

B National Consultants

9. Deputy Team Leader/Resident Highway Engineer (6) 144 10. Material Engineer (3) 72 11. Environment Specialist 16 12. Social Monitoring /Resettlement /Benefit Monitoring Specialist 12 13. Quantity Surveyor (6) 144 14. Road Safety Specialist 12 15. Contract /Legal Matters Specialist 8 16. Occupational Health and Safety Specialist 24 Subtotal (B) 432 Total international and national key experts 604 C. Non-key Specialists 17. Construction Site Inspector (6) 138 18. Land Surveyor (4) 72 19. Draftsman (AutoCAD) 30 Subtotal (C) 240 TOTAL (A+B+C) 844

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The personnel specified above shall be supplemented by the consultant with an appropriate number of translators and support staff as necessary to properly perform the services and the expenses shall be mentioned in out of pocket expenses. These personnel including the non-key professionals shall be appointed by the Consultant and informed to the Client, but they will not be subject to approval by the Client.

I. Tasks and Qualification Requirements

A. International Consultants:

Team Leader/Sr. Highway Engineer: The Team Leader/ Sr. Highway Engineer will be responsible for overall project management in performing scope of work indicated in the Terms of Reference for the Consulting Services, namely for the overall successful completion of the design review and supervision tasks. The Team Leader/ Sr. Highway Engineer shall act on behalf of the Employer following the FIDIC conditions of Contract, MDB Harmonized Edition. The specific focus of the Team Leader/ Sr. Highway Engineer will be early identification of issues and proposing mitigation or preventive measures in all aspects of the scope of work. The Team Leader/ Sr. Highway Engineer shall be responsible for giving solutions to the technical issues during the design review stage, as well as addressing issues potentially leading to claims and increase of costs in the civil works contract in the supervision stage, by effective management of both the design review and construction supervision components. Special attention will be given to claim/ dispute resolution activities as well as prevention of delays during the construction supervision stage. The Team Leader/ Sr. Highway Engineer will be responsible for preparation of variation orders and their submission for the approval to EA and ADB. The Team Leader/ Sr. Highway Engineer will also have advisory role on potentially expected or actual claims. The Team Leader/ Sr. Highway Engineer shall prepare Monthly, and all required reports and all type of documents indicated in the Terms of Reference for the Consulting Services. During the construction supervision stage the Team Leader/ Sr. Highway Engineer will lead official meetings with the Contractors, such as monthly meetings with the Contractors, as well as shall be present during the official tests, such as the concrete paving official tests and other.

Qualification: Degree in civil engineering preferably with post graduate qualification in highway engineering. Preferably fifteen (15) years similar experience in design and construction supervision of highway projects of which ten (10) years of experience in design and construction supervision of rigid pavements, with FIDIC General Conditions of Contract, including 8 years’ international experience. Working knowledge in Russian Language and experience in CIS countries is preferred.

Resident Engineer/Highway Engineer: The Resident Engineer/Highway Engineer will be responsible for overall project management in all technical aspects by performing scope of work indicated in the Terms of Reference for the Consulting Services. The Resident Engineer/ Highway Engineer will be responsible for the completion of tasks in design review stage as well as supervision stage in the framework of the FIDIC Conditions of Contract on behalf of the Engineer. In the supervision stage the Resident Engineer/ Highway Engineer shall supervise all the construction activities, be aware of daily progress of the construction as well as existing issues and suggest immediate solutions in consultation with the Team Leader. The specific focus of the Resident Engineer/ Highway Engineer will be early identification of technical issues and proposing mitigation or preventive measures in all technical aspects of the scope of work related to various project activities. The Resident Engineer/ Highway Engineer will be responsible for early identification of technical issues

55

potentially leading to claims and increase of costs (especially in civil works contracts) by means of proper management of the construction supervision component and personal review of contracts’ progress. Special attention will be given to claim/ dispute resolution activities related to price escalation, as well as prevention of delays, possibly caused by right of way issues (if any), deficiencies in designs (if any), construction specifications and others. The Resident Engineer/ Highway Engineer will be responsible for preparation of variation orders and their submission for the approval to EA. The Resident Engineer/ Highway Engineer will also have advisory role on potentially expected or actual claims. The Resident Engineer/ Highway Engineer will assist the Team Leader to prepare monthly, and all required reports and all type of documents indicated in the Terms of Reference for the Consulting Services. During the construction supervision stage the Resident Engineer shall be present and assist the Team Leader in leading official meetings, such as monthly meetings with the Contractor, concrete paver official tests and other. The Resident Engineer/ Highway Engineer shall be responsible for the all technical issues of whole scope indicated in this Terms of Reference for the Consulting Services.

Qualification: Degree in civil engineering and preferably with postgraduate qualification in highway/ bridge engineering. Preferably fifteen (15) years’ similar experience in design and construction supervision of highway projects of which ten (10) years in construction with rigid pavements, with FIDIC General Conditions of Contract, including 6 years’ international experience. Working knowledge in Russian Language

Materials Engineer: Materials Engineer will be responsible for performing scope of work indicated in the Terms of Reference for the Consulting Services. In the construction supervision stage the specialist will be responsible for supervising the setting up, organization and layout of the Contractors’ field laboratories; monitoring the mobilization of the testing equipment to ensure that the laboratories are adequately equipped and capable of performing all the specified testing requirements of the Contract; and supervising the setting-up of the Contractor’s rock crushers and concrete and asphalt mixing plants to ensure that the specified requirements for such equipment are fully met. The specialist shall review the crushing and concrete plant construction and operation.

Qualification: Degree in civil engineering preferably with post graduate qualification in geotechnical or material engineering. Preferable ten (10) years’ similar experience of establishing and managing quality assurance for the supervision of construction materials, laboratory and field testing of rigid pavement materials as per ASTM, AASHTO standards including 5 years’ international experience. Working knowledge in Russian Language and experience in CIS countries is preferred.

Contract Specialist: Throughout the contract implementation, the Contract Specialist will(i) evaluate variations and be responsible for their proper format (ii) assist in assessing the contractor and employer’s claims in accordance with the Contract; (iii) assess contract amendments and updated particular conditions of contract (if any is needed); (iv) monitor fulfillment of contractual obligations by the Contractor and recommend proper and timely notices to be issued or other actions in accordance with the Contract; and (v) Assist Team Leader in making determinations from contractual point of view.

Qualification: Degree in civil engineering, law or relevant discipline with 12 years’ similar experience in the implementation of highway projects using FIDIC conditions of contract involving contract management including variations under the contract, settlement of claims and disputes, etc., including 5 years’ international experience.

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Environmental Specialist: During the supervision stage the Specialist will prepare a detailed action plan including environmental monitoring checklists to be completed by the national specialist to ensure that the Environmental Management System is established, implemented, maintained and will monitor its performance. He/she will also take care of all environmental issues during the construction works. He/she will also conduct environmental training and briefings to provide environmental awareness on ADB and the government environmental safeguards policies, requirements and standard operating procedures in conformity with the government’s regulations and international practice for project and EA staff; ensure baseline monitoring and reporting of Contractor’s compliance with contractual environmental mitigation measures during the supervision stage.

Qualification: Degree or diploma in environmental sciences or equivalent. Preferably twelve (12) years’ experience in conducting environmental impact assessments and implementation of environment mitigation plans and/or monitoring implementation of environmental mitigation measures and health and safety plans during implementation of projects including highway projects funded by developing partners, including 8 years’ international experience. Working knowledge in Russian Language and experience in CIS countries is preferred.

Social /Resettlement/Gender/Benefit Monitoring Specialist: Conduct selective household surveys and participatory research to monitor socioeconomic and gender impacts on beneficiaries during the construction supervision. Ensure implementation of gender provisions as outlined in section IIIB of the SPRSS. Campaign HIV and human trafficking awareness. Implementation of resettlement plans, conducting socio-economic surveys and benefit monitoring involved in implementation of the project.

Qualification: Degree or diploma in sociology or social sciences or equivalent. Preferably ten (10) years’ experience in development and/or implementation of resettlement plans, conducting socio-economic surveys (including gender) and benefit monitoring involved in implementation of projects including highway projects funded by developing partners, including 5 years’ international experience. Working knowledge in Russian Language and experience in CIS countries is preferred.

Pavement and Quality Assurance Engineer: The specialist shall prepare the Quality Assurance plan and participate in preparation of the supervision manual. During the supervision stage the specialist shall supervise the testing and evaluation of highway construction materials used in modern highway construction techniques. Review of the mix designs for the cement and asphalt concrete pavement submitted by the Contractor. Monitor and inspect the Contractor’s quality control and assurance program to ensure that quality of the finished works meet the Contract standards and specifications. This includes regular checking of the materials testing program. Carry out regular audits of the Contractor’s and subcontractors’ quality systems to ascertain that the requirements of the systems and the EA’s quality objectives are being met. Assess and check the laboratory and field tests carried out by the contractor, and carry out independent tests.

Qualification: Degree in civil engineering and experience in QA/QC functions in road construction. Should possess professional licensing (charted/certified) and the right to practice the profession. Preferably twelve (12) years’ similar experience in all phases of pavement mix design, quality assurance process and supervision of construction works. Working knowledge in Russian Language and experience in CIS countries is preferred.

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Road Safety Auditor: The Road Safety Specialist will review designs, specifications, construction method, etc. from road safety perspective. Review traffic control plans prepared by the Contractor during construction. Verify design of temporary diversions and traffic management arrangements. Regularly inspect road safety audit work zones under traffic. Conduct a post-construction road safety audit, identify road safety issues and provide recommendations to address them. Raise the EA's capacity and awareness of the international standards of road safety.

Qualification: Degree in civil engineering or transport highway engineering, and preferably post graduate specialization in road safety. Should possess professional licensing or certificate as a road safety auditor. Preferably fifteen (15) years’ experience in road and highways and 8 years’ relevant experience in road safety audits completing all road audits for at least 2 road projects. Working knowledge in Russian Language and experience in CIS countries is preferred.

B. National Consultants:

Deputy Resident Engineer/Highway Engineer: He/she will assist the Team Leader on coordination and supervision of the road construction works in the field including coordination and liaison with Employer and will assist the Team Leader in day-to-day construction supervision, monitoring schedule, preparing monthly certificates, reviewing and approving shop drawings and as-built-drawings.

Qualification: Degree in civil engineering. Preferably ten (10) years’ similar experience in design and construction supervision of highway projects.

Materials Engineer: Under the guidance of the international material engineer, he/she will undertake day-to-day supervision of compliance to material specifications and testing, supervise the contractors work, and certify the construction in accordance with contract conditions including acceptance standards of materials, approval of source supply, and material testing methods.

Qualification: Degree in civil engineering. Preferably five (5) years’ similar experience in supervision of construction works, and laboratory and field testing for rigid pavement materials as per ASTM, AASHTO and BS standards as part of a quality assurance process;

Environment Specialist: He/she will (i) review all documents and reports regarding the integration of environmental including contractor’s environmental action plan, (ii) supervise the contractors' compliance to EMP, and (iii) prepare monthly compliance reports.

Qualification: Degree in environmental sciences or equivalent. Preferably five (5) years’ experience in conducting environmental impact assessments and implementation of environment mitigation plans and/or monitoring implementation of environmental mitigation measures during implementation of projects including highway projects funded by developing partners.

Social/Resettlement/Gender/Benefit Monitoring Specialist: Provide all the professional and logistic support to the team leader/and the international social development, resettlement and benefit monitoring specialist. Conduct regular visits to project sites. Prepare reports to the international social development, resettlement and benefit monitoring specialist.

Qualification: Degree in sociology or social sciences or equivalent. Preferably five (5) years’ experience in development and/or implementation of resettlement plans, conducting socio-

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economic surveys and benefit monitoring involved in implementation of projects including highway projects funded by developing partners.

Quantity Surveyor: He will assist the Highway Engineer in daily supervision, check the quantity, variations, justification and verify the monthly certificates.

Qualification: Degree in civil engineering. Preferably five (5) years’ experience as a quantity surveyor in construction of highway projects executed under FIDIC conditions of contract.

Road Safety Expert: Assist the International Road Safety Auditor in review of traffic control plans prepared by the Contractor during construction, verify design of temporary diversions and traffic management arrangements. Regularly inspect road for compliance with the road safety. Assist the International Road Safety Auditor in conducting a post-construction road safety audit, identify road safety issues and provide recommendations to address them. Raise the PIU's capacity and awareness of the international standards of road safety.

Qualifications: Degree in civil engineering or transport highway engineering, Preferably ten (10) years’ experience in road and highways and 5 years’ relevant experience in road safety activities.

Contract/ Legal specialist: Assist the International Contracts Specialist in monitoring all contractual obligations, assist the team leader and contracts specialist in understanding and interpreting the local legal aspects and country legislation.

Qualification: Degree in law or relevant discipline with 10 years’ similar experience in the implementation of highway projects using FIDIC conditions of contract.

C. Non-Key Professionals

All the non-key professionals shall be well qualified and experienced in their functional area and meet the project requirements.

J. Reporting Requirements and Time Schedule for Deliverables

1. The consultant shall provide the EA with reports in three hard copies in both English and Uzbek. The consultant shall provide the ADB with reports in two hard copies in English. All documents shall also be provided in electronic formats agreed with the EA. As a minimum this will require one electronic copy in an appropriate editable format and a second copy in Portable Document Format (PDF).

2. All correspondence to EA shall be in both English and Russian languages. 3. The consultant will prepare and submit the following reports:

a. An inception report to be submitted within 1 month of commencement of services. The inception report shall include the performance indicators to be monitored during and at the end of the project, and the draft Quality Plan.

b. Report on the data-collection system and the sex-disaggregated baseline survey for the Project Performance Monitoring/Benefit Monitoring and Evaluation, to be submitted within 3 months of commencement of services;

c. A weekly one-page report on the progress of works and any issues that require immediate attention of the EA;

d. Monthly reports, to be submitted within 7 days of the end of each month, to include progress monitoring, quality assurance/quality control, schedules of contract payments and variation orders, graphical representations of progress against program based on the approved contract schedules, charts of physical progress on major items, status of any delays, contractual claims, summary of environmental

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and social issues relevant photographs, details of all financial projections and details of impediments to the works and proposals for overcoming them;

e. Quarterly environmental management reports based on site visits by the Engineer’s International Environmental Specialist.

f. Annual appraisal reports covering all aspects such as progress monitoring, quality assurance/quality control, status of any delays, contractual claims, and details of all financial projections, to be submitted within 14 days of the end of each year;

g. Draft project completion report, in ADB’s format, to be submitted to EA for completion and onwards transmission to the ADB, within 3 months of completion of the civil works.

K. Client’s Input and Counterpart Personnel

1. The Project Implementation staff within the EA will serve as the liaison between EA, consultants and contractors, and shall be responsible for the overall project management.

2. The EA will provide, through the provision under the civil works contracts, fully furnished site offices and accommodation for the staff of the consultant, equipment including laboratory equipment, and vehicles etc. The works contractor is directly responsible for this provision. The EA shall also provide all relevant project reports, documents, etc. relating to the project and qualified counterpart personnel to work in close coordination with the consultant.

3. Equipment, Facilities and other things for the consultant: The consultant will be provided with logistical support consisting of equipment, vehicles and office accommodation to be procured as part of the Works contracts. The works contractor is directly responsible for this provision. The number and location of these facilities will be agreed with the contractors. The support will include:

a. Site Offices, including buildings, maintenance and insurance, utilities, furniture and air-conditioning, computers, printers, scanners and photocopies;

b. Vehicles, including site vehicles appropriate to the number of supervision staff, maintenance, taxes and insurance for the vehicles;

c. Equipment including survey and inspection equipment; d. Accommodation local to the Site appropriate to the number of supervision staff

including maintenance, insurance and utilities; e. Support staff comprising chainmen for surveying work and laboratory assistants.

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ATTACHMENT 3: OUTLINE TERMS OF REFERENCE OF INDIVIDUAL CONSULTANTS FOR PMU CAPACITY BUILDING

A. Environment Specialist (International, intermittent) 1. Scope of Work

The International Environment Specialist will undertake the following tasks:

(i) Review the EIA study and based on any change of design or project scope, update the same as well as the EMP and BAP, as required;

(ii) Ensure that all environmental safeguards documentation complies with ADB’s SPS, 2009, and environmental laws of Uzbekistan;

(iii) Ensure that the EMP / BAP is made part of the bidding documents for construction works. Moreover he / she shall also ensure that the environmental management costs are reflected in the Bill of Quantities (BOQ’s);

(iv) Review the Site-Specific Environmental Management Plans (SSEMP’s) prepared by the construction contractor and ensure their effective implementation;

(v) Ensure that the environmental management and monitoring plans reflecting full details regarding the estimated mitigation costs are in place through the SSEMP;

(vi) Review the environmental management capability of the EA and recommend institutional strengthening measures;

(vii) Determine he training needs of construction contractor staff as well as develop training materials for effective implementation of the SSEMP during the construction stage;

(viii) Review, monitor and evaluate the effectiveness with which the SSEMP is implemented, and recommend necessary corrective actions to be taken. Advise on corrective measures where necessary to the EA;

(ix) Conduct spot checks on construction works for compliance with EMP and recommend any remedial actions if necessary;

(x) Conduct or monitor environmental surveys during construction to establish if quality of environment has been affected;

(xi) Prepare and update Environmental Management and Monitoring Plan (EMMP), as required, and identify indicators that need to be monitored by the government agency;

(xii) Train PIU employees on monitoring and impact mitigation; (xiii) Assist PIU in conducting baseline environmental monitoring surveys; (xiv) Assist PIU in conducting biannual environmental surveys/ monitoring once project is

in operation, and conduct a final survey at project completion; (xv) Conduct spot checks of contractor compliance with environmental obligations of the

contract/ EMP/ SEMPs; (xvi) Participate in annual stakeholder consultations; (xvii) Prepare semi-annual environmental reports for ADB approval, or more often for the

PIU, if required. (xviii) (xix) Follow up with any environmental grievances received and ensure they are dealt in

accordance with GRM. 2. Qualifications

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• University degree in Environmental Sciences or related field with extensive professional experience.

• Minimum of 10 years’ international working experience in the implementation of road projects and infrastructure projects.

• Minimum 5 years’ work experience in similar projects in countries with similar geographic conditions.

• Excellent verbal and written communication skills in English.

• ADB or other International Donor-funded project implementation experience is desirable.

B. Environment Specialist (National 1. Scope of Work

Under the supervision of the International Environment Specialist, the National Environment Specialist will undertake the following tasks: (i) Assist the International Environment Specialist in preparation of Semi Annual

Environmental Monitoring Reports (SAEMR’s) for submission to ADB. Also assist the EA in finalization of quarterly progress reports, annual progress reports and any specific report requested by the EA;

(ii) Collect and validate additional baseline environmental data necessary for the final EIA study.

(iii) Conduct additional public consultation as required.

(iv) Obtain required endorsement and approval for the EIA study from CR, ADB, and other relevant government agencies.

(v) Incorporate EMP / BAP in bidding documents and bid evaluation. (vi) Be responsible for the implementation of safeguard environmental measures in

accordance with the provisions of agreement concluded with ADB. (vii) Liaise and coordinate with Construction Supervision Consultant (CSC) and

Contractors (including environment specialists) on all environmental issues under project, particularly implemented in ecologically sensitive zones.

(viii) Control over the compliance with national legislation by the Contractors on all environmental issues and nature management under projects implementation.

(ix) Coordinate inputs and be responsible for timely update of the EIA and access to them on projects website.

(x) Review approval and ensure the implementation of Environmental Management Plan (EMP), Site-specific EMPs (SEMP), corrective action plans.

(xi) Be responsible for division of responsibility and regulatory consolidation of environmental monitoring programs.

(xii) Be responsible for the functioning of GRM and public consultations on environmental issues with participation of all stakeholders.

(xiii) Review CSC’s and Contractor’s reporting on environmental performance and ensure the implementation of proper measures based on comments.

(xiv) Be responsible for preparation of semi-annual monitoring reports. (xv) Review approval of post-construction environmental audits and sections on

environmental performance of the Project Completion Report (PCR). (xvi) Assist the International Environmental Consultant in conducting capacity building of

EA for implementation of BAP during operation phase 2. Reporting Relationship: The Environment Specialist will be reporting to the PMU Director.

The consultant will be required to work closely with technical and safeguard specialists of the PMU and environment specialists of the CSC.

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C. Social Development (Gender) Specialist National, intermittent)

3. Scope of Work

4. The international social development specialist (Gender) will lead the timely implementation, monitoring of the Gender Action Plan and reporting on progress of implementation and gender equality results. (S)he will also be responsible for designing the necessary survey and assessment instruments (baseline, endline, pre- and post-activity), consultation guides needed for the conduct of baseline, end-line surveys, community consultations. Further, (s)he will develop the modules and implement the gender-sensitive training programs, learning modules related to road safety awareness for the communities, and awareness raising programs on sexually-transmitted infections (STIs) for the contractors for civil works. Detailed Tasks and/or Expected Outputs:

Design the baseline and end-line, pre- and post- activity survey questionnaire, guides for focused group discussions (FGDs) and lead the conduct of the baseline and end-line, pre- and post-activity surveysand focused group discussions among the residents of the settlements (with at least 50% of the participants to be women) on the following topics:

a) awareness of road safety concerns and good practices; b) issues related to sexual harassment, exploitation, and abuse (SHEA) in the context of

travel/ mobility; c) prevention and management of sexually transmitted infections (STIs) ;

The end-line survey to include the following:

a) assessment of the benefits derived from the programs and services of the community centers

b) Changes in the lives of women as a result of participation in the training programs and availment of health services through telemedicine

c) knowledge and behavior change as a result of the awareness raising programs on road safety, STIs, and sexual harassment, exploitation and abuse (SHEA) in the context of travel and mobility.

Design the training program, develop the learning modules, and lead the conduct of the following programs:

a) road safetyfor drivers, passengers, and pedestrians; b) sexual harassment, exploitation, and abuse (SHEA) in the context of

travel/mobility; c) Trafficking in persons d) sexually-transmitted infections (STIs).

Lead the yearly assessment of the quality of the programs and services in the community centers and identify areas for improvement; facilitate the submission of the report/ feedback to the local government and Women’s Committee/s on the key findings and recommendations , and coordinate the actions needed to respond to the concerns raised

Design the capacity development program on gender and lead the conduct of the program for PMU staff, relevant Khokimyiat staff and mahalla committee members.

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Work with the PMU in the development, production, and posting of the tarpaulins/ posters on: (i) road safety tips (for drivers, passengers, pedestrians), (ii) sexual harassment, exploitation, and abuse, (iii) trafficking in persons, (iv) sexually-transmitted infections.

Lead the preparation of the GAP achievements matrix and narrative reporting on qualitative results.

5. Minimum Qualification Requirement

(S)he should have at least a master’s degree in any of the following fields: gender studies, social work, community development, sociology, psychology; with at least 10 years relevant international work experience on mainstreaming gender and/or implementing gender actions and initiatives in development projects, preferably, in infrastructure projects; with relevant experience in designing and implementing gender-sensitive awareness-raising programs on various topics for communities; with strong human relations skills, and excellent oral and written communication skills.

D. Social/Resettlement/Gender/Benefit Monitoring Specialist (National, intermittent )

1. Scope of Work

The individual consultant, a Social Development (Gender) Specialist, will work with the international social development specialist (Gender) to support PMU, on intermittent basis, in the proposed ADB financed reconstruction of 240 km Road Section from km 964 to km 1204 on A380 (Kungrad to Daut-Ata Section)’s project. For gender activities, the consultant will support the implementation of the Gender Action Plan (GAP) for the project. This will include responsibility for monitoring activities in accordance with the GAP and supporting the PMU reporting on progress of GAP activities in quarterly progress reports on overall project activities to the ADB and the Government. Gender inputs to PMU may also be required, including consultations with Khokimyiat, Mahalla committees and other stakeholders.

2. Detailed Tasks and / or Expected Output

(i) Oversee and support the overall implementation of the GAP including undertaking field visits to monitor GAP progress;

(ii) Coordinating with the PMU, contractors and mahalla committees in implementing the gender activities under the project;

(iii) Assist in monitoring project implementation with the view to identifying any unanticipated risks and/or sensitive gender impacts. If such risks and/or impacts are encountered, adjust, adapt, and/or develop project activities to implement appropriate mitigation measures either through amending the GAP;

(iv) Support the contractor and mahalla committees to conduct gender inclusive participatory community consultations with local women and men (in separate groups) to meet/exceed targets for women’s participation as part of the overall implementation of the stakeholder communication plan and in consultation with the PMU;

(v) Organise gender trainings, workshops and events for the PMU staff and relevant Khokimyiat staff and mahalla committee members;

(vi) Ensure the collection of sex-disaggregated data relevant to the project; (vii) Prepare GAP semi-annual progress reports with inputs from monthly/quarterly

progress reports;

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(viii) Support surveys and monitoring and evaluation efforts for the project. This will include but not be limited to support for conducting a baseline survey, as required, midterm survey, end line survey and other surveys as required;

(ix) Assist in collection of qualitative data on the difference being made by the project interventions to women’s lives

3. Minimum Qualification Requirement

The consultant will have minimum a bachelor's degree in social science, 5 years of experience in social safeguards, gender analysis, participatory planning and research. Knowledge of ADB Safeguards Policy Statement 2009 and Gender policy is preferred.

E. Senior Procurement Specialist (International, intermittent [may be extended])

1. Scope of Services The Consultant’s tasks will include but not be limited to the following:

(i) Update the project procurement plan if and when required and agreed by the government’s executing agency and ADB; undertake procurement all required activities in accordance with the agreed procurement plan for the Investment Program;

(ii) Assist the IA in preparing bidding documents and request for proposals documents, and propose qualification criteria and evaluation method for contractors and suppliers, and shortlisting and evaluation criteria of consultants' selection in line with ADB Procurement Policy, Procurement Regulations for ADB Borrowers and associated Guidance Notes, standards bidding document and User Guide, and FIDIC Conditions of Contract; preparing invitation for bids and request for proposals;

(iii) For each contract (or group of contracts, if of similar nature), prepare the Contract Management Plan (CMP) that will be used to monitor the contractor’s performance during the contract implementation.33F

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(iv) Assist in evaluation of bids and proposals; and finalize contracts. Prepare bid evaluation report (for procurement of goods and works), shortlisting, technical and financial evaluation reports for consultant selection, draft contract, and publication of award in acceptable format;

(v) Participating the pre-bid meeting, explaining bidding documents and make response to inquiries submitted by potential bidders;

(vi) Prepare additional particular technical specifications and terms of reference for consultants if needed;

(vii) Coordinate with other experts and engineers to review Bill of Quantities and technical specification to ensure the consistency;

(viii) Prepare draft letters concerning procurement required to be signed by the IA;

(ix) Record and archive complaints on procurement, as the case may be, and advise the IA for debriefing;

33 Further details on the Contract Management Plan can be found in the Guidance Note on Contract Management

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(x) Develop a sound archive system for all procurement activities for PMU so that PMU can keep all procurement records in proper order, acceptable to the IA and the ADB;

(xi) Assist ADB staff during mission and or procurement post-review missions; and

Provide a regular and on-job training on procurement to the IA and PMU staff on an as-needed basis.

2. Schedule and Resources The total consulting services input will be 5 months spread within 12 months intermittently. The Consultant is expected to be mobilized in June 2020. The Consultant will report to the Director of PMU on a daily basis and will work closely with procurement specialists of PMU.

3. Reporting Requirements The Consultant will submit to IA and ADB a monthly report to summarize his activities, major finding, and suggestions before 5th day of the following the relevant month in addition to all procurement related reports (such as an updated procurement plan, draft bidding document, technical specifications, bill of quantity, terms of reference, minutes of meeting, bid evaluation report, letters, proposal evaluation report) and each document addressed to ADB concerning tendering and request for no-objection and other documents related to the task of procurement specialist. All reports concerning procurement will also be available in word file and submitted/copied to PMU

4. Qualification Requirements

The Consultant shall hold a bachelor degree in civil engineering, contract law or business administration or related studies, preferably with a post-graduate degree, and more than 10 years of experience in transport sector, and minimum 10 years as procurement specialist on road projects executed under FIDIC conditions of contract. The Consultant need to have preferably 5 years of work experience in implementation of ADB (or other multilateral development banks) funded projects and demonstrate a sound understanding of ADB’s Procurement Policy and Regulations.

F. Procurement Specialist (National, intermittent [may be extended])

1. The specialist will work closely with the international specialist to provide all procurement-

related support to the PMU. The National Procurement Specialist will provide assistance through: (i) Support to finalize bidding documents and draft requests for proposals documents,

to ensure proposed qualification and evaluation criteria for contractors and suppliers, as well as shortlisting and evaluation criteria for consultants' selection are in line with ADB Procurement Policy, Procurement Regulations for ADB Borrowers and associated Guidance Notes, standards bidding document and User Guide, and FIDIC Conditions of Contract.

(ii) Participate in pre-bid meetings and assist PMU to answer any queries regarding bidding documents and review draft response to inquiries submitted by potential bidders.

(iii) Review bills of quantities and technical specification to ensure consistency. (iv) Support in evaluation of bids and proposals.

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(v) Advise on preparation of the summary of evaluation, recommendation for award and contract negotiations with successful bidders.

(vi) Assist PMU to address complaints (if any) on procurement, and advise PMU on complaints processing and on debriefing, if such requested.

(vii) Support PMU to develop a sound archive system for all procurement activities so that PMU can keep all procurement records in proper order, acceptable to the PMU and the ADB;

(viii) Assist ADB staff during missions and or procurement post-review missions.

2. Qualifications. The Consultant shall hold a degree in civil engineering or studies related to procurement (procurement, contract administration, legal, business management, economics), not less than 10 years of experience as procurement professional. The Consultant need to have preferably 5 years of work experience in implementation of ADB (or other multilateral development banks) funded projects.

G. Biodiversity specialist–fauna (International)

The specialist will have: (i) a PhD in ecology or biodiversity; (ii) at least 20 years international experience in biodiversity conservation and ecological research in Ustyurt Plateau region; (iii) expert knowledge of international best-practice and innovative techniques for biodiversity surveys and conservation; (iv) demonstrated experience in environmental impact assessment (EIA) for biodiversity values; and (v) specialist expertise in avifauna and a sound working knowledge of mammals particularly saiga in order to make professional assessments for a range of taxa. The specialist will be responsible for documenting the fauna values of the project area, re-assessing potential impacts of the project to biodiversity, reviewing and developing additional mitigation measures, and concluding whether impacts can be avoided, reduced, mitigated, and/or offset. Working with the other team members, design institutes, executing agency (EA) and ADB, the specialist will do the following during pre-project and project construction stages.

(i) Review, revise, and implement the Biodiversity Monitoring and Evaluation Program (ii) Visit all the proposed project sites (road alignment, camp sites, borrow areas,

disposal sites, water source, and communities, IBA within the DMU) to be familiar with the project area and gain an adequate understanding of the key ecological issues. Field visits will be timed to coincide with the optimal seasons to collect data on biodiversity of importance are the bird and saiga migration. If necessary, make brief visits to nearby sites outside the project area which are of known or potential conservation importance, to help compare the relative importance of the project area.

(iii) Develop a workplan that complements the national biodiversity specialist (fauna) and other team members, so that the specialist shares and receives relevant data from these team members in a timely manner. Review the workplan and draft report of the national biodiversity specialist (fauna) and work closely with them to deliver an integrated report.

(iv) Review and document the vertebrate fauna (mammals, birds, reptiles, amphibians, fish) and their habitats of the project area as provided in the EIA report. This should include: (a) review of available data in reports, journals and other publications; (b) discussions with local, national and/or international experts as necessary; (c) field surveys and rapid assessments as necessary to fill any information gaps for the purposes of competent impact assessment. The objective of these surveys is to focus on species and other issues of potential conservation significance to help

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confirm project impacts, not to document the complete species richness of the project area. It is anticipated that the national biodiversity (fauna) specialist will lead the majority of fieldwork, under the guidance of the international specialist.

(v) Based on these data, prepare a preliminary inventory of the vertebrate fauna of the project area, again using the EIA report as guide.

(vi) Describe and as far as possible quantify the types, extent, and condition of key fauna habitats in the project area and discrete management unit (DMU) including migratory routes, breeding, roosting, feeding, sites.

(vii) Prepare maps showing the locations of key species records, assemblages, major habitat types, and migration routes.

(viii) Re-confirm the conservation values of the project area, including (a) species protected under provincial or national laws, (b) rare, restricted-range, or threatened species, (c) ‘umbrella’ or ‘flagship’ species (saiga), and (d) distinct ecological assemblages, such as amphibian and/or turtle communities.

(ix) For each significant species or community, like the EIA summarize the status in the project area, including abundance, occurrence, habitat requirements (type, extent, and condition of feeding, migratory, or breeding habitats available), existing threats, and existing management or conservation measures.

(x) Prior to the start of construction, develop zones of conservation importance for these conservation values and prepare map(s) showing their locations.

(xi) Based on these findings, re-evaluate the biodiversity values and conservation importance of the project area.

(xii) Collect additional data as necessary for these conservation values to follow up any information gaps identified in the impact assessment

Using the information in (i)-(xi), the specialist will do the following.

For biodiversity issues related to construction methods and design of the project components: a) review the construction methods and design of the project components and provide

input on how designs can be improved to avoid or reduce impacts to biodiversity; b) develop and continuously update a biodiversity action plan, based the monitoring

findings which will be implemented by the Contractor to benefit native biodiversity and habitats. Discuss and refine these with the team, EA, and ADB. For example, these measures might include, but not be limited to, restoration of habitats for rare or threatened species, removal of invasive species, monitoring, or staff training.

For biodiversity issues related to the project environmental impact assessment: a) based on more detailed monitoring and review of detailed engineering designs, re-

confirm the assessment of the potential impacts of the proposed project activities, including direct and indirect impacts, and cumulative and induced impacts (as defined by the SPS) when considered in conjunction with existing or potential threats;

b) if necessary, develop mitigation measures to offset potential impacts; and, c) assess the net impacts that will remain after mitigation, and whether these are still

significant.

For both project design and environmental impact assessment: review and revise when necessary the biodiversity monitoring program to assess the impacts and/or benefits of project construction and operation. The program will: a) define the specific objectives; b) focus on a relatively small (manageable) number of key species, habitats and other key

values; c) define the sampling locations, methods, frequency, and times of year;

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d) prepare a formatted spreadsheet for data entry and storage; e) define a set of questions to be answered by the data and the analyses needed to

answer these questions; f) describe the roles and responsibilities of implementing agencies; g) cover 10 years duration (5 years construction phase and first 5 years of operation); h) provide an estimated budget; i) assess the capacity of the agencies that will implement the program and prepare a list

of specific training needs tailored to these agencies. The program should be as straightforward and cost-effective as possible and be limited to issues of direct relevance to the project. Include the component on aquatic insects to be provided by the aquatic insect specialist. Deliverable 1: a written report with maps, which consolidates the findings of the international and national biodiversity (fauna) specialists.

Deliverable 2: provide written inputs to the environmental components of the required ADB reports.

H. Biodiversity specialist–fauna (National)

The specialist will have: (i) a master’s degree in ecology or biodiversity; (ii) at least 10 years national experience in biodiversity conservation and ecological research; (iii) expert knowledge of national techniques for biodiversity surveys and conservation; (iv) demonstrated experience in environmental impact assessment (EIA) for biodiversity values; (v) expertise in birds and mammals (saiga), to make professional assessments for a range of taxa; and (vi) proficiency in spoken and written English. The specialist will work with the international biodiversity (fauna) specialist to document the biodiversity values of the project area, assess potential project impacts to biodiversity, and develop mitigation measures. Working with the other team members, design institutes, EA and ADB, the specialist will do the following.

(i) Visit all of the proposed project sites, to be familiar with the project area and gain an

adequate understanding of the key ecological issues. Field visits will be timed to coincide with the optimal seasons to collect data on biodiversity of particular importance for the project e.g. waterbird and/or fish migration.

(ii) Develop a workplan that complements the international biodiversity (fauna) specialist and other team members, especially the wetland, water resources, and environmental specialists, so that the specialist shares and receives relevant data from these team members in a timely manner.

(iii) Based on planning with, and guidance of, the international biodiversity (fauna) specialist, conduct most of the field work needed to document the fauna values of the project area, especially wetland fauna, including: (a) identification of relevant reports and publications in Russian and Uzbek language and discussion of the key findings of these sources with the international specialist; (b) discussions with local, national and/or international experts as necessary; (c) field surveys and rapid assessments as necessary to fill any information gaps for the purposes of competent impact assessment. The objective of these surveys is to focus on species and other issues of potential conservation significance to help determine project impacts, not to document the complete species richness of the project area.

(iv) Based on these data, prepare a preliminary inventory of the vertebrate fauna of the project area.

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(v) Describe and as far as possible quantify the types, extent, and condition of key fauna habitats in the project area.

(vi) Prepare maps showing the locations of key species records, assemblages, major habitat types, and migration routes.

(vii) Assist the international biodiversity (fauna) specialist in identifying the conservation values of the project area, the local status of significant species and other conservation values in the project area, and development of zones of conservation importance.

(viii) Collect additional data as necessary for these conservation values to follow up any information gaps which will hinder impact assessment during the pre-construction and construction phases.

(ix) Work with the international biodiversity specialist as necessary to assess potential project impacts, mitigation measures, and net impacts, to these conservation values, and develop a biodiversity monitoring program.

Deliverable 1: provide all inputs to the international biodiversity (fauna) specialist as a written draft, in a format agreed upon by both specialists, for review and inclusion in the biodiversity report.

Deliverable 2: support the other tasks of the international biodiversity (fauna) specialist, including preparation of biodiversity information.

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ATTACHMENT 4: OUTLINE TERMS OF REFERENCE OF EXTERNAL FINANCIAL AUDITOR

AUDITED PROJECT FINANCIAL STATEMENTS (APFS) STATEMENT OF AUDIT NEEDS (AUDITOR’S TERMS OF REFERENCE)

A. INTRODUCTION

1. This Terms of Reference is prepared in accordance with provisions of the Loan Agreement XXXX-UZB (Loan Agreement) between Republic of Uzbekistan and Asian Development Bank (ADB) dated XX XXX XXXX. 2. The project aims to upgrade and widen the existing Kungrad and Daut-Ata highway in Kungrad province of the Republic of Karakalpakstan, with a total length of about 240 kilometers. The project road is part of Central Asia Regional Economic Cooperation (CAREC) Corridor 2. 3. Committee for Roads (CR) under the Ministry of Transport of the Republic of Uzbekistan is the executing agency responsible for effective targeted use of the loan funds and implementation of the project. A project management unit (PMU) has been established under CR to manage the day-to-day project activities. The Inter-Ministerial Tender Committee and Working Level Tender Committee are the monitoring committees for the project implementation.

4. The audit services will be contracted by the PMU, with the following contact details: 29, Istiklol Street, Tashkent, Uzbekistan Attn: Deputy Director of PMU Telephone: (99871) 239-4911 / (99871) 239-4908 Facsimile: (99871) 239-1036 E-mail: mff-pmu-uz@bk.ru

B. MANAGEMENT RESPONSIBILITY FOR PREPARING PROJECT FINANCIAL STATEMENTS

5. Management is responsible for preparing and fairly presenting the project financial statements, and for maintaining sufficient internal controls to ensure that, the financial statements are free from material misstatement, whether due to fraud or error. In addition, management is responsible for ensuring that funds were used only for the purpose(s) of the project, for compliance with financial covenants (where applicable), and for ensuring that effective internal controls, including over the procurement process, are maintained. In this regard, management must:

(i) Prepare and sign the Audited Project Financial Statements. (ii) Prepare and sign a Statement of Compliance.

6. Management must include the following in the Statement of Compliance:

(i) That project financial statements are free from material misstatements including omissions and errors, and are fairly presented;

(ii) That the borrower or executing agency has utilized the proceeds of the loan only for the purpose(s) of the project;

(iii) That the borrower or executing agency was in compliance with the financial covenants of the legal agreement(s) (where applicable);

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(iv) That the Advance fund procedure, where applicable, has been operated in accordance with the Asian Development Bank’s (ADB) Loan Disbursement Handbook;

(v) That adequate supporting documentation has been maintained to authenticate claims stated on the statement of expenditures (SOE), where applicable, for reimbursement of eligible expenditures incurred and liquidation of advances provided to the Advance account; and

(vi) That effective internal control, including over the procurement process, was maintained.

C. OBJECTIVES

7. The objectives of the audit of the project financial statements is to enable the auditor to (i) express an independent and objective opinion as to whether the project financial statements present fairly, in all material respects, or give a true and fair view of the project’s financial position, its financial performance and cash flows, and (ii) provide a reasonable assurance opinion over certain specific representations made in the Statement of Compliance.

D. AUDITING STANDARDS

8. The audit is required to be conducted in accordance with International Standards of Audit (ISA). These standards require that the auditor comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the project financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the project financial statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the project financial statements whether due to fraud or error. In making those risk assessments, the auditor considers the internal control relevant to the entity’s preparation and fair presentation of the project financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as evaluating the overall presentation of the project financial statements. 9. The standards to be applied will be documented in the project/loan documents, and will include: Standards promulgated by the International Auditing and Assurance Standards Board (IAASB):

1. ISA; and 2. International Standards on Assurance Engagements (ISAE).

10. In complying with ISA, the auditor will pay particular attention to the following standards:

• ISA 800 – Special Considerations – Audits of Financial Statements Prepared in

Accordance with Special Purpose Frameworks.

• ISA 240 – The Auditor’s Responsibilities Relating to Fraud in an Audit of Financial

Statements.

• ISA 250 – Consideration of Laws and Regulations in an Audit of Financial Statements.

• ISA 260 – Communication With Those Charged with Governance.

• ISA 265 – Communicating Deficiencies in Internal Control To Those Charged with Governance and Management.

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• ISA 330 – The Auditor’s Responses to Assessed Risks.

E. PROJECT FINANCIAL REPORTING FRAMEWORK

11. The auditor will verify that the project financial statements have been prepared in accordance with cash basis International Public Sector Accounting Standards (IPSAS) promulgated by the International Public Sector Accounting Standards Board (IPSASB). The executing agency and/or implementing agency are responsible for preparing the project financial statements, not the auditor.

F. AUDIT DELIVERABLES

a. Audited Project Financial Statements

12. An auditor’s opinion providing reasonable assurance over the project financial statements, and project financial statements comprising the following:

Table 1: Content of the Project Financial Statements

For Cash-Based Financial Statements For Accrual-Based Financial Statements

A statement of cash receipts and payments A statement of financial position (balance sheet)

A statement of budgeted versus actual expenditures A statement of financial performance (income statement)

A statement of Advance account (where applicable) A statement of cash flows

A summary statement of expenditures (where

applicable)

A statement of changes in net assets/equity (where

applicable)

Significant accounting policies and explanatory notes

A statement of Advance account (where applicable)

Any additional schedules agreed (e.g., a summary of assets)

Significant accounting policies and explanatory notes

Statement of budgeted versus actual expenditures

Summary statement of expenditures (where applicable)

Any additional schedules agreed

b. Reasonable Assurance Opinion over the Use of Loan Proceeds and Compliance with Financial Covenants

13. The auditor will provide a reasonable assurance opinion following ISAE 3000 “Assurance Engagements other than Audits or Reviews of Historical Financial Information” for the following confirmations provided by Management in the Statement of Compliance:

(i) That the proceeds of the loan were used only for the purpose(s) of the project; and (ii) That the borrower or executing agency was in compliance with the financial covenants

of the legal agreement(s), where applicable.

14. The auditor will outline the degree of compliance for each of the financial covenants in the loan agreement.

c. Management Letter

15. The auditor will provide a management letter containing, at a minimum, the following:

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(i) Any weaknesses in the accounting and internal control systems that were identified during the audit, including any irregularity in the use of the Advance fund and statement of expenditures (SOE) procedures (where applicable);

(ii) Any identified internal control weaknesses related to the procurement process such as, over the bidding, evaluation and contract management domains;

(iii) Recommendations to rectify identified weaknesses; (iv) Management’s comments on the audit recommendations along with the timeframe

for implementation; (v) The status of significant matters raised in previous management letters; (vi) Any other matters that the auditor considers should be brought to the attention of

the project’s management; and (vii) Details of any ineligible expenditure34F

34 identified during the audit. Expenditure is considered ineligible if it refers to (i) expenditures incurred for purposes other than the ones intended under the legal agreement(s); (ii) expenditures not allowed under the terms of the legal/financing agreements; and (iii) expenditures incurred in violation of applicable government regulations.

d. Specific Considerations

16. The auditor will, during the course of the audit, pay particular attention to the following: (i) The use of external funds in accordance with the relevant legal and financing

agreements; (ii) The provision of counterpart funds in accordance with the relevant agreements and

their use only for the purposes intended; (iii) The maintenance of proper books and records; (iv) The existence of project fixed assets and internal controls related thereto; (v) Where the audit report has been issued under ISA 800, it shall include the mandatory

Emphasis of Matter paragraph alerting users of the audit report that the project financial statements are prepared in accordance with a special purpose framework and that, as a result, the project financial statements may not be suitable for another purpose. The auditor shall include this paragraph under an appropriate heading;

(vi) Where reasonable assurance has been provided using ISAE 3000, the assurance report must contain, among others: - A statement that the engagement was performed in accordance with ISAE 3000; - Subject matter; - Criteria for measurement; - A summary of the work performed; and - The auditor’s conclusion.

(vii) On the Advance fund procedure (where applicable), audit procedures are planned and performed to ensure (a) the Advance account (and any sub-accounts) has been managed in accordance with ADB’s Loan Disbursement Handbook, (b) the cash balance of the Advance account (and any sub-accounts) is supported by evidence, (c) the expenditures paid from the Advance account (and any sub-accounts) comply with the approved project purpose and cost categories stipulated in the loan agreement, and (d) the amount of expenditures paid from the Advance account (and any sub-accounts) comply with disbursement percentages stipulated in the loan agreement;

34 If the auditor reports any ineligible expenditure in the management letter, the details of the findings should include

the funding source to which the observation relates.

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(viii) Adequate supporting documentation has been maintained to authenticate claims stated in the SOE for reimbursement of eligible expenditures incurred and liquidation of advances provided to the Advance account (where applicable);

(ix) On the SOE procedure (where applicable), audit procedures are planned and performed to ensure that (a) the SOEs have been prepared in accordance with ADB’s Loan Disbursement Handbook, (b) the individual payments for expenditures stated in the SOE are supported by evidence, (c) the expenditures stated in the SOEs comply with the approved project purpose and cost categories stipulated in loan agreement, and (d) the amount of expenditures stated in the SOEs comply with disbursement percentages stipulated in the loan agreement; and

(x) Any weaknesses in internal controls over the procurement process.

17. All reports must be presented in the English language within 6 months following the end of the fiscal year. 18. Public disclosure of the project financial statements, including the auditor’s opinion on the audited project financial statements, will be guided by ADB’s Access to Information Policy (2018). After review, ADB will disclose the audited project financial statements and the opinion of the auditor on the audited project financial statements no later than 14 calendar days of ADB’s confirmation of their acceptability by posting them on ADB’s website. The management letter and the additional auditor’s opinions will not be disclosed 35F

35.

G. OTHER MATTERS

a. Statement of Access

19. The auditor will have full and complete access, at all reasonable times, to all records and documents including books of account, legal agreement(s), bank records, invoices and any other information associated with the project and deemed necessary by the auditor. 20. The auditor will be provided with full cooperation by all employees of [XYZ] and the project implementing units, whose activities involve, or may be reflected in, the annual project financial statements. The auditor will be assured rights of access to banks and depositories, consultants, contractors and other persons or firms hired by the employer.

b. Independence

21. The auditor will be impartial and independent from any aspects of management or financial interest in the entity or project under audit. In particular, the auditor should be independent of the control of the entity. The auditor should not, during the period covered by the audit, be employed by, or serve as director for, or have any financial or close business relationship with the entity. The auditor should not have any close personal relationships with any senior participant in the management of the entity. The auditor must disclose any issues or relationships that might compromise their independence.

c. Auditor Experience

22. The auditor must be authorized to practice in Uzbekistan and be capable of applying the agreed auditing standards. The auditor should have adequate staff, with appropriate professional qualifications and suitable experience, including experience in auditing the accounts of projects

35 This type of information would generally fall under public communications policy exceptions to disclosure. ADB. 2018.

Access to Information Policy.

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or entities comparable in nature, size and complexity to the project or entity whose audit they are to undertake. To this end, the auditor is required to provide curriculum vitae (CV) of the personnel who will provide the opinions and reports, together with the CVs of managers, supervisors and key personnel likely to be involved in the audit work. These CVs should include details of audits carried out by these staff, including ongoing assignments. The Consultant is free to commit resources to suit the working plan. However, the professional staff inputs for key experts are estimated as follows:

(i) Team Leader/Senior Auditor Manager (National – 15 Person-Month) a) A bachelor’s degree in accounting, finance, or related field and a professional

accounting qualification such as ACCA/CPA/CA from IFAC member organization. A master degree will be an advantage.

b) Preferably 12 years of work experience including auditing standards analyses, annual project accounting, accounting policies, internal control systems, record keeping methodology.

c) Experience working as a Team Leader in the field of auditing. d) Experience working in Uzbekistan or in the Central Asia region and working

with international organization/international agency.

(ii) Assistant Auditor Manager (National – 15 Person-Month) a) A bachelor degree in accounting, finance, or related field. A master degree will

be an advantage. b) Preferably 10 years of work experience including auditing standards analyses,

annual project accounting, accounting policies, internal control systems, record keeping methodology.

c) Experience working in Uzbekistan or in the Central Asia region and working with international organization/international agency.

(iii) Auditor 1, 2 (National – 10 Person-Month) a) A bachelor degree in accounting, finance, or related field. b) Preferably 8 years of work experience including auditing standards analyses,

annual project accounting, accounting policies, internal control systems, record keeping methodology.

c) Experience working in Uzbekistan or in the Central Asia region and working with international organization/international agency.

The auditor is invited to submit a proposal and a work plan to provide the audit services described in this letter. Proposals should address, among other things:

• whether the audit would be conducted as a completed audit (i.e., will the auditors carry out their audit after financial year-end, when the books of account are, or are being, closed);

• whether an audit carried out after financial year-end would be supplemented by one or more interim audits during a financial year;

• the manner in which the auditor proposes to address any statutory requirements relating to audit (e.g., certifications relating to shareholders’ equity required under the companies’ act) or to which they may be implicitly bound by contractual obligations of the employer;

• procedural requirements for certain verification procedures (e.g., checking of stocks, inventories, assets, etc.);

• specific actions required on the part of the employer (e.g., access to computer systems and records, disclosures);

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• discussions before signing the opinion and report on any matters arising from the audit, and with whom these discussions would be held; and

• the timetable for provision of opinions and reports. The auditor will provide the audit opinions on the APFS and management letters to management (with copies to ADB), in accordance with the following timeframes: (schedule to be determined)

23. All reports must be provided in three copies in the English and Russian languages. Following Article IV Section 4.05 (b) of Loan XXXX-UZB Agreement dated XXXXX XXXX, ADB shall disclose the annual audited financial statements for the Project and the opinion of the auditors on the financial statements within 14 days of the date of ADB’s confirmation of their acceptability by posting them on ADB’s website.

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ATTACHMENT 5: INTERNAL AUDIT TERMS OF REFERENCE

A. INTRODUCTION

1. This Terms of Reference is prepared in accordance with provisions of the Loan Agreement XXXX-UZB (Loan Agreement) between Republic of Uzbekistan and Asian Development Bank (ADB) dated XX XXX XXXX. 2. The project aims to upgrade and widen the existing Kungrad and Daut-Ata highway in Kungrad province of the Republic of Karakalpakstan, with a total length of about 240 kilometers. The project road is part of Central Asia Regional Economic Cooperation (CAREC) Corridor 6. 3. Committee for Roads (CR) under the Ministry of Transport of the Republic of Uzbekistan is the executing agency responsible for effective targeted use of the loan funds and implementation of the project. A project management unit (PMU) has been established under CR to manage the day to day project activities. The Inter-Ministerial Tender Committee and Working Level Tender Committee are the monitoring committees for the project implementation.

4. The internal audit services will be contracted by the PMU, with the following contact details: 29, Istiklol Street, Tashkent, Uzbekistan Attn: Deputy Director of PMU Telephone: (99871) 239-4911 / (99871) 239-4908 Facsimile: (99871) 239-1036 E-mail: mff-pmu-uz@bk.ru

B. OBJECTIVES

5. Internal auditing is an independent, objective assurance and consulting activity designed to add value and improve an organization's operations. It helps an organization accomplish its objectives by bringing a systematic, disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. The internal audit activity must evaluate and contribute to the improvement of the organization’s governance, risk management, and control processes using a systematic, disciplined, and risk-based approach. Internal audit credibility and value are enhanced when auditors are proactive and their evaluations offer new insights and consider future impact.

C. AUDITING STANDARDS

6. The internal audit is required to be conducted in accordance with International Standards for the Professional Practice of Internal Auditing (Standards). Standards are principle-focused and provide a framework for performing and promoting internal auditing. The International Internal Audit Standards Board (IIASB) released the revision to the Standards (effective January 1, 2017) following consideration and approval by the International Professional Practice Framework Oversight Council (IPPFOC) 36F

36. The auditor will agree and formalize with CR the internal audit charter.

36 https://global.theiia.org/standards-guidance/Public%20Documents/IPPF-Standards-2017.pdf

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D. AUDIT DELIVERABLES

7. Internal audit involves five major functions or areas of operation. They are as below:

i. Reliability and Integrity of Information: The internal auditor should review the reliability and integrity of financial and operating information and examine the effectiveness of the means used to identify, measure, classify, and to report such information.

ii. Compliance with Policies and Procedures: The systems and procedure also have

considerable impact on the operation of the business enterprise. The internal auditor should gauge the effectiveness and impact of such systems and report thereon.

iii. Safeguarding the Assets: The internal auditor should review the existing system for

safeguarding the assets and if necessary should verify the existence of such assets. iv. Economical and Efficient Use of Resources: The internal auditor should also appraise

the economy and efficiency with which the resources are employed. Further the internal auditor should identify the conditions, which would prevent the economical use of resources. They are as follows: (i) under utilization of capacity; (ii) non-productive work; (iii) procedures, which are not cost justified; (iv) over staffing or under staffing; and (v) accomplishment of the Established Objectives and Goals: The internal auditor should make a review of the operations or programs of the enterprise and should ascertain whether the results are not inconsistent with the established goals and objectives of the enterprise. He should also ascertain whether the programs are carried out as per plan.

8. Internal auditor will establish and maintain an effective project control environment which provides the discipline and structure for the achievement of the primary objectives of the system of internal control. The control environment includes the following elements: (i) integrity and ethical values; (ii) management’s philosophy and operating style; (iii) organizational structure; (iv) assignment of authority and responsibility; (v) human resource policies and practices; and (vi) competence of personnel. 9. The internal auditor must report on quarterly basis to CR senior management and ADB on the internal audit activity’s purpose, authority, responsibility, and performance relative to its plan and on its conformance with the Code of Ethics and the Standards. Reporting must also include significant risk and control issues, including fraud risks, governance issues, and other matters that require the attention of CR’s senior management and/or ADB. Engagements must be performed with proficiency and due professional care.

10. Internal auditor must develop and maintain a quality assurance and improvement program that covers all aspects of the internal audit activity. 11. Internal auditor must establish and agree with CR and ADB an annual risk-based plan to determine the priorities of the internal audit activity, consistent with the organization’s goals.

E. OTHER MATTERS

a. Statement of Access

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12. The auditor will have full and complete access, at all reasonable times, to all records and documents including books of account, legal agreement(s), bank records, invoices and any other information associated with the project and deemed necessary by the auditor. 13. The auditor will be provided with full cooperation by all employees of CR and the PMU, whose activities involve, or may be reflected in, the annual project financial statements. The auditor will be assured rights of access to banks and depositories, consultants, contractors and other persons or firms hired by the employer.

b. Auditor Experience

14. The auditor must be capable of applying the agreed auditing standards. The auditor should have adequate staff, with appropriate professional qualifications and suitable experience, including experience in internal auditing. To this end, the auditor is required to provide curriculum vitae (CV) of the personnel who will provide the opinions and reports, together with the CVs of managers, supervisors and key personnel likely to be involved in the audit work. These CVs should include details of audits carried out by these staff, including ongoing assignments. The Consultant is free to commit resources to suit the working plan. However, the professional staff inputs for key experts are estimated as follows:

(i) Team Leader/Senior Auditor Manager (National – 0.5 Person-Month)

a) A bachelor’s degree in accounting, finance, or related field and a professional accounting qualification such as ACCA/CPA/CA from IFAC member organization. A master degree will be an advantage.

b) Preferably 12 years of work experience including auditing standards analyses, annual project accounting, accounting policies, internal control systems, record keeping methodology.

c) Experience working as a Team Leader in the field of auditing. d) Experience working in Uzbekistan or in the Central Asia region and working with

international organization/international agency.

(ii) Assistant Auditor Manager (National – 1 Person-Month)

a) A bachelor degree in accounting, finance, or related field. A master degree will be an advantage.

b) Preferably 10 years of work experience including auditing standards analyses, annual project accounting, accounting policies, internal control systems, record keeping methodology.

c) Experience working in Uzbekistan or in the Central Asia region and working with international organization/international agency.

(iii) Auditor 1, 2 (National – 2 Person-Month)

a) A bachelor degree in accounting, finance, or related field. b) Preferably 8 years of work experience including auditing standards analyses,

annual project accounting, accounting policies, internal control systems, record keeping methodology.

c) Experience working in Uzbekistan or in the Central Asia region and working with international organization/international agency.

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ATTACHMENT 6: OUTLINE TERMS OF REFERENCE OF ITS/WIM CONSULTANT

I. Introduction 1. The Government of Uzbekistan’s long-term vision for road development is to foster economic growth by extending access to regional and world markets, improving exports with expansion of marketing outlets for sale of national products, increasing transit transportation, and ensuring the sustainability of the road subsector. Uzbekistan, as a landlocked country, that depends largely on an efficient transport system for imports and exports, is eagerly powering national road connectivity, road safety, sustainable road infrastructure, mobility and pledge the nation to provide safe and reliable journey with weigh-in-motion (WIM) and Intelligent Transport System (ITS) projects.

2. The proposed WIM and ITS pilot scheme projects are for both A373 and M39 road section, Tashkent to Namangan, KM 183 – KM 283 with a total span of 100 km and KM817.9 respectively. Information Communications Technology (ICT) infrastructure was not visibly disclosed to public as all existing cameras are secretly controlled by Ministry of Public Affairs. Extreme weather, such as fog, rain and heavy snow, causes some potential danger to the drivers.

3. At some road section, the earth of slope and ground conditions is seen wet and soft, that would lead to landsides. What’s more, sometimes the falling rocks easily affecting the road security. Furthermore, there is a critical 30km road section visibly seen on mountain with no isolation zone in the middle.

4. In this critical road section, there are several dangerous hilly loops and drivers should be reminded a real time road condition whilst cruising at constant speed in order to prevent fatigue driving and over-speeding.

5. The existing road conditions are full with pot holes and at some sections are in bad condition due to overweigh trucks. It is recommended that full enforcement for over-height & overweight is to be proposed in this pilot scheme to minimize frequent re-paving works.

6. In order to provide safe and reliable journey on A373, Intelligent Transport System shall be proposed and deployed within the area as part of delivering the real time information and traffic incident and able to transfer the relevant information to Traffic Management Center (TMC) to undertake for necessary action or emergency response. It is also necessary for the operators at TMC to monitor all kinds of illegal driving in real time to improve driving pattern.

7. The WIM and ITS projects will be implemented through design, supply and installation contract. The scope of the contracts will include civil, building works, ICT, GIS ITS maps, WIM stations and all necessary to complete the facilities and, through nominated subcontractor or similar arrangements, the design, supply, installation and commissioning of the communications, security and other equipment required for the functioning of the facilities.

8. An international consulting firm is required to manage the further implementation of ITS Component on A373 including weigh in motion (WIM) and slow speed weigh in motion (SSWIM) and both ITS and WIM system shall be procured through two separate contracts. It is envisaged that the Consultant’s activities will comprise preparation of design review for both ITS and WIM systems and related documents for the necessary construction works and equipment as well as supervision of installation of the equipment systems and Technical Assistance to Committee for Road under the Ministry of Transport, Uzbekistan during the implementation and initial period of operations.

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II ITS PROJECT REQUIREMENT

9 Given the wide range of ITS under the stated list is not conclusive of all possible ITS application, it includes most prominent ones, a propose solution for ITS in Uzbekistan is group within two primary categories as the followings. Vehicle pricing as well as GPS capability methods are not proposed for any road networks in Uzbekistan and the works shall not be detail out in the ITS works. The concept proposed in this project shall elaborate the most suitable ITS system for Uzbekistan and considering the geographical factor within the area. 10 Category 1 – Advanced Travelers Information System Real time travel information system Route guidance/Navigation system Road user internet facility (May or May Not Applicable for Tashkent to Namangan) Radio Channels – (Not Applicable for Tashkent to Namangan) 11 Category 2 – Advance Transport Management Traffic Operation Center Dynamic Message Sign, VMS Driving Assistance in low visibility Accident reporting – Includes Slope monitoring Automatic Incident Detection – Installation shall be within 5 km to 10 km interval (as per efficient working 12 Some of the technologies that support ITS is described hereunder, that will be investigated and shall be used for integrated ITS system in Uzbekistan for A373 as the followings 13 ICT Infrastructure – Long Haul Fiber Optic Cable, the strategy. State of art integrated ITS system shall be installed on the road. Providing ITS on long haul road is challenging to manage because they are geographically dispersed and has to cover hundreds of kilometers of road. Not only they do serve as a critical information backbone, they must have enough bandwidth to connect thousands of devices and support hundreds of real time video feeds, along with data gathered from roadway sensors. If network goes down, the impact is significant to road operators, reducing their ability to effectively manage and respond to event. Therefore, high reliability and operation in extreme environments is a must. A solution therefore has to be installed to provide optic fiber cable coupled with wide area networks of reliable quality and high bandwidth connectivity in challenging environments. It should exceed environment conditions as defined by NEMA TS237F

37 industry standard. (Ranging from -10 C to 74C). Long haul fiber optics that shall be laid down along utility duct: well-constructed as per international standards. It shall provide a high bandwidth connectivity for multiservice backbone with 10GigE uplinks, advanced layer 3 and MPLS routing services along with wireless RUGGEDOM WIN and SCALANCE-W will complete the link by connecting locations that are too difficult or expensive to reach with fiber optic. The system should be seamlessly connected to message boards (VMS), CCTV (high definition), and roadway sensors using high capacity long haul fiber optics and then deliver all that information to a centralized traffic management control center. All this thing but not limited to shall be part of ITS and connect to high speed Wi-Fi Internet for road users shall be made available at speed not less than 4G technology.

37 National standard manufacturers association, traffic assembler’s association

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14 Mobile Telephony. ITS 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 15 Roadside Camera Recognition. The camera uses Automatic License Plate Recognition (ANPR) based on Optical Character Recognition (OCR) technology to identify vehicle license plate this information is passed digitally to back end office servers which access and post charges to drivers for their use of road. 16 Road User Facilitation Requirements. For the road user facilitation following facilities, but not limited to and shall be provided in this project and also shall be recommended to construct as part of proposed ITS works for Tashkent to Namangan

a. Provision of breakdown and accident response system

b. Provision of solar fog lighting system for vehicular guidance in identified area of fog

c. Emergency call service along the road

d. Provision of UPS/Generator for ITS control center

e. Automated vehicle detection system using video technology, Automatic License Plate

Recognition (ALPR/ANPR) using high-resolution high-speed camera and image

recognition camera that can detect and read the license plate passing over the facility and

supplemented by buried loop detection (if possible) and other latest means of technology

f. Weigh in Motion station, WIM/SSWIM shall be established at both start points of the road,

Tashkent to Namangan and M39 at KM 817.9 where three (3) stations will be procured.

Overweight vehicle shall be guided out without interfering the main traffic and WIM must

conform to ASTM 1318. Applicable system should be Quartz type for WIM and bending

plates for SSWIM sensors based with commercial standard, coupled with peripheral

equipment handling the following information

1. Off scale sensor installed on either side to align the vehicle path for correct

data recording

2. 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

3. Traffic control system: traffic control of vehicle within the facility

4. Vehicle identification: using RF tags on screen, vehicle ID can be recorded

5. 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

6. Overview camera: camera to record the overall facility day & night

7. Remote display: remote display to be used for driver information

8. Loop detector to sense the presence of a vehicle

9. All activities to be controlled by software to record and transmit data

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III. OBJECTIVES OF THE ASSIGNMENT

17 The objectives of the Consultant’s assignment are: 18 Undertake the design review of the Intelligent Transport System including all weigh stations and related documents, to deliver all required technical deliverables to a high standard, the consultant will establish quality standards based upon best practice and in a timely fashion, so as to ensure that the project can immediately progress to construction.

19 Provide support to the Client in the selection of equipment or ITS and weigh stations, to help the Client in selection of the best suppliers meeting the requirement.

20 Ensure, by construction management and on-site supervision, a high standard of execution of the installation and commissioning of this equipment, complete the works as scheduled and ensure that the works comply with international practices.

21 Provide Technical Assistance to State Committee for Road, Uzbekistan in the

implementation and start-up of the ITS and weigh stations to help the Centre operate ITS system

effectively. IV. RESPONSIBLE AGENCIES 22 The Client is the Committee for Road, Uzbekistan (CR) and the implementing agency of the Client: The Project Management Unit (PMU) of the CR, which will be established as the Employer Representative (ER). V. SCOPE OF THE CSC SERVICES 23. The Construction Supervision Consultant, (CSC) will be the Engineer for the contracts, and will also have primary responsibility for the construction supervision and review and approval of all ITS works, weigh stations and other designs prepared by the contractors, and for ensuring the works, procurement and installation of all ITS equipment, IT infrastructure and systems are implemented in accordance with contractual requirements. CR will select consultant in accordance with ADB’s Guidelines on the Use of Consultants.

24. In parallel with the CR’s procurement of the CSC, ADB will provide assistance to the CR with completing the both ITS and weigh station works documentation and with commencing the procurement of both contracts. It is anticipated that, by the time the CSC have been selected, CR will have invited the bids.

25 The contracts for ITS works for A373, Tashkent to Namangan, which will include necessary ITS systems including weigh stations to be implemented on a nominated subcontractor basis, will be executed through two separate an engineering-procurement-construction (EPC) contract, the draft of which was developed during preparation of the project. This has been based on the FIDIC Conditions of Contract for Plant Design and Build, under which the Employer for the contracts will be State Committee for Roads, (CR), the Employer’s Representative will be the Project Director for the PMU, the Engineer will be the CSC, and the Engineer's Representative will be the CSC’s Team Leader. 26 The Engineer will undertake the responsibilities defined in the Conditions of Contract, which will include but not be limited to the following, for all of the ITS and weigh station facilities:

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a) Review and certify detailed design prepared by the selected contractor for the facility’s

ITS works, and for the design or selection, as appropriate, of the equipment and components.

b) Ensure that the designs prepared by the contractor are in conformity with the defined specifications and/or meet the required performance criteria as appropriate;

c) Supervise construction of the facility and installation of the procured equipment for the

effective operation of the facility, and ensure that it conforms to the specifications, drawings, standards, and plans and is consistent with the Employer’s requirements. This task is to include:

d) Conduct required quality assurance tests on works done and equipment purchased

and installed; e) Review the contractor’s work program, quality control program, environmental

management plan (based on the project’s approved Environmental Management Plan);

f) Certify that works are done, and equipment purchased and installed, are in compliance with the contract before initiating testing and trial running;

g) Review and certify interim payment certificates for the Employer’s approval;

h) Ensure commissioning and test at trial running. i) Perform any and all other items of the works not specifically mentioned above but

which are necessary and essential to successfully supervise and control the construction activities in accordance with the plans, specifications and terms of contract;

j) Monitor and ensure compliance with, by the Employer or contractor as appropriate,

the contractor’s environmental management plan, with the approved land acquisition and resettlement plan and with other social safeguard measures;

k) Supervise the contractor in all matters, in particular for compliance with the health and

safety provisions of the contract during construction; l) Provide the client with advice in respect on any matter arising during the

implementation of the contract; m) Develop and maintain a computer-based record of all contract documents,

correspondence, test results, payment certificates and supporting documentation, and others as required, ensuring that adequate on-site and off-site back-up systems are in place;

n) Prepare and submit monthly progress reports within 30 days of the end of the month

following the reporting month, to include graphical presentations of progress against program, reasons for delays relative to the program and proposals for recovering such delays in order that the contract can be completed on schedule, summaries of test

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results, compliance or deviations from the approved environmental management plans, resettlement plans, and other safeguards documents as appropriate, and such other information as the Employer shall reasonably request;

o) Prepare and submit a project completion report in a format, and with content, agreed

with the Employer and ADB; p) Operation & Maintenance phase

The operation & maintenance phase focuses on supervision of all related ITS, weigh stations and civil works. The prime focus however will be on the development of hardware and software, building erection for monitoring rooms, installation, training in both hardware and software, obtaining, reviewing and finalizing operation and maintenance operation manuals, SOP, etc. The staff given below under the heading of Operation and Maintenance Phase is envisaged to continue for 12 months period, encompassing the defect liability & maintenance period. The scope of works shall encompass complete project, traffic operation center, their correlation all kind of camera system covering the entire range of operation which may include accident recovery system, weigh station for overloading control, user facilitation services, trauma center etc. The performance indicators developed in the manual shall be monitored and reported with respect to road user facilitation. CSC shall manage training of CR staff for taking over/maintenance and familiarization with maintenance management near the end of the project a. Period of project

i. Design & Construction Phase 8 months ii. Operation & Maintenance and defect liability period 12 months

The prospective CSSs are encouraged to familiarize the construction works and site before submitting the proposal

VI. Implementation Arrangements

A. Staffing

It is anticipated that the services will require up to 33 person-months of key international and 45 person months of key national consultant inputs. Expected inputs for key and non-key experts are set out in the table below. Qualification requirements for the key positions are presented in the Annex 1. For positions indicated as the “Key Experts”, consultants must include expert’s CVs in their technical proposals.

Expertise International National International National

Yes/No Yes/No Person-Months

KEY EXPERTS

Team Leader’s Office

Team Leader Yes 8

Civil engineer/Deputy Team leader Yes 8

Specialist Supervision Team

Contracts Specialist Yes 8

ITS Engineer Yes 5

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Expertise International National International National

Yes/No Yes/No Person-Months

Environmental Specialist Yes 8

Chief Quantity Surveyor Yes 8

QA/QC Expert Yes 8

EPC Design Review and Approval Team (Intermittent inputs)

ITS Engineer Yes 3

Building &Structural Engineer Yes 3

Highway Safety Auditor Yes 3

GIS specialist Yes 3

Resettlement Expert Yes 5

Resident Engineer’s Offices (One)

Resident Engineers (RE) Yes 8

Grand Total (Person-Months) 6 6 33 45

NON-KEY EXPERTS (NATIONAL)

Planning/Project Management Engineer

Yes 8

Site Inspector (ITS) Yes 8

Site Inspector (Buildings) Yes 5

2 Survey Technicians Yes 16

Office Assistant Yes 8

Computer operator Yes 8

Trainee Engineer Yes 24

Resident Engineer Yes 12

Support Engineer for RE Yes 12

Grand Total (Person-Months) 0 8 0 101

Required minimum qualifications and experience of key international professional staff– construction supervision phase

International Key Professional Staff

Position Minimum qualifications and experience Responsibilities / Duties Team Leader

Graduate in Civil Engineering and/or Transportation Master degree. 20 years working experience in detailed design, urban transport engineering and construction, including 10 years experiences with highway development ITS projects including managing the construction of weigh stations and the methodologies. Specific experience (at least one project) in ITS highway design is required. Project Manager or Team leader for at least 2 similar highway/motorway/expressway design & supervision projects. 2 years experiences in the Central Asia Region.

The Team Leader will be Responsible for the successful achievement of the Consultant’s tasks, will manage, organize and coordinate the work of the whole design review team and will be responsible for liaison with the PMU and other organizations of CR. She/he will lead the consultant team carrying out the assigned tasks for the detailed design review of the ITS project.

ITS Engineer

Master/Degree in Electrical/Electronic Engineering and/or Transportation.

20 years working experience, including preferably 10 in the design of ITS engineering, weigh stations, traffic management and control systems with Highway/Motorway/Expressways experience. Specific experience (preferably

He/She will report to the Team Leader and will provide specialist advice and design to the CR PMU team carrying out the ITS systems infrastructure, intersection design, and systems implementation.

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one project) in ITS design & construction supervision is preferred 2 years experiences in Central Asia Region

QA/QC Expert

MSC/Degree in civil engineering /transportation or traffic engineering with proven specialization as QA/QC International experience of more than 15 years in quality control in highway design and must lead at least two team on highway quality works 2 years experiences in Central Asia Region

He/She will report to the Team Leader and will provide specialist advice and design to the CR PMU team carrying out the QA/QC. Responsible for review all aspects related to highway test plan and control. Able to pointing out lapses and shortcomings.

Suggested minimum qualifications and experience of national key professional staff – construction supervision phase

National Consultant

Years of experience

Civil Engineer/Deputy Team Leader

Civil engineering degree, preferably with post graduate qualifications, with preferably 15 years of relevant experience in managing projects for the design and construction of buildings similar to the project facilities.

15

Contracts Specialist Civil engineering degree, with preferably 15 years of relevant experience in the site management of large road projects, and the administration of large civil works contracts under FIDIC-type conditions.

15

Trainee Engineer Relevant qualifications in IT/electrical/electronic systems similar to those to be provided for the project facilities, with preferably 1 years of relevant experience.

1

Office assistant University degree in computer science or other relevant qualification. 3 years experiences of office management.

3

Environmental Specialist

University degree in environment or environment related areas with preferably 8 years of relevant experience in environmental impact assessment and monitoring, including experience with ADB’s Safeguard Policy Statement (2009) or similar international financing institution policies.

8

Chief Quantity Surveyor

Degree in civil engineering or equivalent relevant qualification, with preferably 10 years of experience in managing the measurement and payment provisions of contracts similar to those under which the project facility contracts will be implemented.

10

Site inspector Electrical/electronic engineering degree or relevant qualification with 10 years experiences in quality control preferably in motorway/expressway environment

10

Survey technician Civil engineering degree with 8 years experiences in surveying and levelling and equivalent activities in motorway/expressway project

8

Resident Engineers Civil engineering degree, with preferably 10 years of relevant experience in supervising contracts for buildings and installations similar to the project facilities, preferably

10 (1 position)

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for projects financed by ADB or similar international financing institution.

Support engineer for RE

Electrical/electronic/IT engineering degree preferably in motorway/expressway ITS project with 3 years experiences

3

(1 position)

27 Schedule

The duration of the EPC contracts will be 20 months, inclusive of a 12-month defects liability period.

28 Location, Facilities and Support to be provided to the CSC

The consultant shall make own arrangements for(i) furnished site offices; (ii) furnished accommodation with services and utilities at site for the CSC’s Site Office staff; (iii) vehicles and drivers and motorcycles; (iv) office equipment and supplies; (v) security including personnel, protection equipment, and communications; and (vi) others as appropriate.

29 Reporting

The CSC, as the Engineer for the contracts, will be responsible for most project related reports, Monthly Contract Administration Reports, Quarterly and Annual Management Information Report at the end of each Financial Year, and for mandatory safeguards reports, including the bi-annual environment report required by ADB’s safeguards policy statement, Interim Contract Completion Reports and Final Project Completion Report.

Annex 1. Qualifications Requirements for Key Experts

Required minimum qualifications and experience of key international professional staff – design review phase

International Key Professional Staff

Position Minimum qualificationsandexperience Responsibilities / Duties

ITS Engineer

Master/Degree in Electrical/Electronic Engineering and/or Transportation. 20 years working experience, including preferably 10 in the design of ITS engineering, managing the design and construction of both slow speed and high speed weigh station, traffic management and control systems with Highway/Motorway/Expressways experience. Specific experience (preferably one project) in ITS design & construction supervision is preferred 2 years experiences in Central Asia Region

He/She will report to the Team Leader and will provide specialist advice and design to the CR PMU team carrying out the ITS systems infrastructure, intersection design, and systems implementation.

Building & Structural Engineer

Master/Degree in Civil Engineering and/or Transportation. 20 years working experience on slope protection, building, structural and piling works. 2 years experiences in Central Asia Region

He/She will report to the Team Leader and will provide specialist advice and design to the CR PMU team carrying out the slope protection design, building and structural design

Highway safety Auditor

MSC/Degree in civil engineering /transportation or traffic engineering with proven specialization as highway safety auditor

He/She will report to the Team Leader and will provide specialist advice and design to the CR PMU team carrying out the HSA.

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International experience of more than 15 years in highway safety audit in highway design and must lead at least four HSA team on highway works 2 years experiences in Central Asia Region

Responsible for review all aspects related to highway HSA. Able to pointing out lapses and shortcomings and give recommendations for improvement

GIS Specialist MSC/Degree in relevant field International experiences of 10 years as GIS engineer on highway design and construction supervision 2 years experiences in Central Asia Region

He/She will report to the Team Leader and will provide specialist advice and design to the CR PMU team carrying out the GIS/GUI layout design

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ATTACHMENT 7: OUTLINE TERMS OF REFERENCE OF PMU STAFF

1. Project Director. The Project Director should have a minimum of 5 years of experience working in a team role, managing both technical and financial procedures and, ideally, working on road reconstruction projects, including those funded by development partners including ADB or the World Bank. He/she will perform a wide range of duties including the following:

(i) Establish the PMU office, recruit and hire project personnel, provide operational support to key staff members in the implementation of their responsibilities;

(ii) Coordinate the procurement team to carry out initial procurement activities including civil works, recruitment of consulting firms and recruitment of an international procurement consultant;

(iii) Coordinate the implementation of project components with the relevant executing agencies;

(iv) In consultation with the Financial Management Specialist and Accountant, the Project Director will monitor budgetary expenditure, review disbursement requests, prepare the annual budget and submit them to the CR and MOF for agreement;

(v) Track project progress and resolve any issue that interferes with efficiency of implementation;

(vi) Liaising with ADB staff and supervision missions to ensure successful completion of supervision missions and on going project monitoring.

2. Deputy Project Director. The Deputy Project Director should have at least 5 years of experience in road reconstruction projects. The DPD will work closely with the Project Director to ensure the delivery of all outputs of the PD in accordance with the project arrangements, the activities schedule and within the Government and ADB rules and regulations. Scope of work: (i) Supporting the Project Director in all the key project-establishment and ongoing

tasks, as requested by the Project Director and outlined in his or her TOR; (ii) In accordance with ADB requirements and as support to the Project Director,

ensure the hiring of suitably qualified staff to implement the various components; (iii) Acting as the expediting officer for the project, ensuring that the PMU remain on

track to deliver the project outputs on time, and submits their respective and relevant reports in accordance with the reporting schedule and collating and consolidating reporting data for submission to the CR and the ADB;

(iv) Assisting the Project Director to oversee the Finance/Accounting Officers, the Administration/Procurement Officers and the support staff, and undertaking any other tasks, specified by the Project Director, necessary for the smooth implementation of the project.

3. Financial Management Specialist. The Financial Management Specialist should have at least 7 years of work experience and a Bachelor or Master's degree in Accounting, finance, or a related field. A professional qualification in accounting (e.g. CAP/CIPA, CPA, CA, ACCA) is an advantage. Scope of work: (i) Set up and maintain financial management system with proper internal controls; (ii) Set up asset registry records and take measures to ensure that the assets of the

project are properly safeguarded;

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(iii) Support and facilitate Internal Auditor’s work including performing reviews and tests as requested;

(iv) With the assistance of the Project Accountant manage the daily financial activity of the project, ensure that there is proper and adequate documentation to support all transactions;

(v) Ensure that appropriate financial management reports as required are produced on a timely basis and sufficient in content to enable the various financial, tax and other authorities of the Government of Uzbekistan and the ADB to assess the financial position of the project, including those of its components;

(vi) Act as the main point of contact on the project’s financial management matters for the project’s financiers, and prepare requests for project funds from the financiers in accordance with their prescribed rules and regulations; and

(vii) Ensure that the project is audited annually in accordance with the requirements of the project’s financiers and cooperate fully with the auditor in respect of the same.

4. Procurement Specialist. The Procurement Specialist should have at least 5 years working experience in donor supported projects in a procurement capacity. WB or ADB funded project is preferable. Scope of work: (i) With the support of the International Procurement Specialist carry out procurement

activities on civil works and consultant services, as well as office equipment and other goods and consulting services;

(ii) Reviews the procurement and consultant selection documentation and the contract documents of ADB funded project;

(iii) Prepare bidding documents, request for proposals, terms of references, invitation to bids, bid evaluation reports, contract awards and negotiation documents, and other procurement related documents, submissions, and reports;

(iv) Keeping track of the country's policies, laws, rules and regulations on procurement, and liaising with the Government and agencies concerned and with other donor agencies on procurement policy and practices;

(v) Prepares and updates annual procurement plan. (vi) Willing to learn to further enhance procurement skills.

5. Contract Specialist. The Contract Specialist should have a degree in civil engineering, law or relevant discipline with 10 years’ similar experience in the implementation of highway projects using FIDIC conditions of contract involving contract management including change in scope of work, variations under the contract, settlement of claims and disputes, etc. Scope of work: (i) If not in place, prepare a contract management (CMP) plan to ensure proper

monitoring of the contractor’s performance and prepare period reports to the executing agency and ADB in line with the CMP;

(ii) Advise and propose decisions on any issues that may arise from the contractor’s performance (or lack thereof) in a timely and pro-active manner;

(iii) Review proposals for variations from the Engineer and ensure that they are timely submitted to ADB for no-objection;

(iv) Evaluate and advise the Employer on the claims to be agreed upon by the parties or determined by the Engineer;

(v) Evaluate and advise on contractual disputes, as the case may be;

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(vi) Assess contract amendments, as the case may be, and prepare the relevant contract documentation;

. 6. Results Monitoring Specialist. The Results Monitoring Specialist should have at least

5-year working experience in donor-supported projects. Ability to use MS Access and other analysis, monitoring and evaluation related software. Scope of work: (i) Establish the overall Monitoring and Evaluation (M&E) strategy in accordance with

the M&E plan outlined in the project document; (ii) Provide timely and relevant information to the authority, funding agency and other

project stakeholders; (iii) Monitor and evaluate the compliance of actual progress and performance against

the planned work plan and expected quality; (iv) Provide technical advice for the revision of performance indicators and ensure that

realistic mid-term and end-of-project targets are defined; (v) Prepare monthly and quarterly progress reports, and project completion reports; (vi) Arrange the dissemination of information obtained from reviews, monitoring and

evaluation, and other publications of relevant organizations.

7. Accountant. The accountant should have at least a bachelor degree in accounts with at least 5 years of accountant experience preferably in foreign aided project. Well versed with computerized financial management system. Scope of work: (i) Make payments and arrange disbursements or payments to project participants,

suppliers and contractors, and arrange for periodic replenishments of a Special Account(s) by ADB;

(ii) Maintaining an accounting system in accordance with ADB and Government of Uzbekistan regulations;

(iii) Implementation of automated accounting software system for project accounting records;

(iv) Preparation and submission of government required financial reports to relevant government agencies;

(v) Support Financial Management Specialist in ensuring implementation of effective financial management system and providing timely financial reports and information requested by ADB;

(vi) Provide support and facilitate External and Internal Auditors in coordination with Financial Management Specialist; and

(vii) Prepare annual budget for the project and breakdown to monthly, quarterly and half-yearly budget.

8. Road Engineer. The Road Engineer should have higher education in civil works and/or road engineering with at least 7 years of general work experience in capacity of road engineer and at least 4 years of experience in road reconstruction projects. Knowledge of FIDIC and local legal documents for road construction is required. Scope of work:

(i) Render assistance to PMU procurement specialists in preparation and elaboration of documents in technical and engineering part;

(ii) Regular control over the progress and quality of works and obligations performed by the Contractors, Consultants and Sub-contractors, supervision of the quantities

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of executed works, agreement and approval of executed works in Interim and Final Certificates;

(iii) Agreement of road construction designs, road sign and fence locations schemes with the design institute, road safety state departments and introduction of relevant changes if needed;

(iv) Keeping necessary records on executed works during the construction project phases;

(v) Supervision of removal of shortcomings and defects within the time stated in the Contract;

(vi) Provide inputs when requested on the monthly and quarterly progress reports, and project completion reports.

9. Bridge Specialist/Structural Engineer. The Bridge Specialist/Structural Engineer shall

have a degree in Bridge Design/Bridge Construction and 10 years experience as bridge engineer on highway design projects. Scope of work: (i) During the design review the specialist will be responsible for the review of design

of the bridges and structures; (ii) Undertake regular site inspection of bridge and other structural works during

construction; (iii) Assess and determine the need for adjustment of the works and, as required,

provide working drawings, specification details and instructions to the Contractor for any bridge within the construction site.

10. Lawyer. The lawyer – specialist on legal issues will be liable for adherence of legal and

juridical norms in all proceedings related to the Project implementation. Scope of work: (i) Legal examination of the draft contracts prepared for the project, preparation and

issuing legal conclusions on compliance of the contracts with the legislation, including recommendations to avoid conflicts between contract provisions and the law of Uzbekistan;

(ii) Legal examination of the draft orders and other legal documents, signed by the Project Director for checking compliance with the legislation;

(iii) Providing assistance to the project staff on their request to find legal documents, concerning project implementation issues, clarifying as necessary;

(iv) Executing other legal functions, which are necessary for implementation of the project.

11. Administrative Assistant. The Administrative Assistant will be expected to become

familiar with, and understand, key technical aspects of the project and to closely support the PMU staff to ensure the delivery of all project output elements related to the PMU, and compile and deliver all project reports to the ADB and government agencies. Scope of work: (i) Maintaining all office operations and replenishing consumables; (ii) Maintaining all reporting and meeting schedules and assisting the Project Director

and DPD in operating the schedules; (iii) Developing and maintaining a reliable and logical PMU filing system; (iv) Carrying out photocopying and record keeping duties; (v) Ensuring IT systems and file backup procedures are maintained; (vi) Managing the vehicle operations;

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(vii) Making appointments, managing and maintaining records of meetings and any workshop activity;

(viii) Any other duties assigned by the Project Director and DPDs to ensure smooth operation of the PMU.

12. Interpreter/Translator. The Interpreter/ translator will be responsible for listening to,

understanding, and translating spoken or written statements to and from English/ Russian/ Uzbek. He/she must have at least 5 years of experience in doing interpretation/translation. Scope of work: (i) Facilitate effective communication between parties who do not speak the same

language by converting one spoken or written language to another; (ii) Attend conferences and meetings and act as official translator; (iii) Convert written materials from one language into another, such as books,

publications, or web pages; (iv) Interpret both formal terminology and colloquial language; (v) Translate documents into English including official communications, documents

related to consulting and procurement; and

(vi) Accompany consultants that do not speak the local language as well as foreign visitors and facilitate communications between the parties.