Table 13 below shows how the indicator scoring is defined.
Table 13 – Indicator Scoring
| Indicator | Definition |
| EC | Exceeding Compliance: The project has gone beyond the expectations of EBRD’s PR requirements. EBRD should be able to use projects rated EC as a role model for positive Environmental and Social effects. |
| FC | Fully Compliant: The project is fully in compliance with EBRD’s requirements, and EU and local environmental, health and safety policies and guidelines. |
| PC | Partial Compliance: The project is not in full compliance with EBRD’s requirements, but has systems, processes or mitigation measures in place which are working towards addressing the deficiencies. |
| MN | Material Non-compliance: The project is not in material compliance with EBRD’s requirements, and the systems, processes and mitigation measures in place are not working towards addressing the deficiencies. |
| NA | Not Applicable: The project has no significant aspects relevant to the indicator (i.e. no risks), in which case the indicator should be scored "NA". |
| NOP | No Opinion Possible: No opinion is possible (for example if the indicator will apply, but it is too early in the project) score as "NOP". |
4. Comments/Issues: Provide a brief commentary on the relevance of this requirement for the project and an explanation of the chosen score.
5. Actions Required: Where applicable, briefly describe any actions required by the client to achieve full compliance with each requirement. Where a relevant action is included in the ESAP for this project, please provide a reference to the ESAP.
6. PR Summary: Provide an overall summary against the PR, using the above compliance definitions with supporting commentary. In some cases it may be sufficient to address a PR at summary level only, depending on Stage 1 above.
Note: The Material Non-compliance score (at both Indicator and PR level) has significant implications for Project approval and requires particular care. In judging whether the measures sufficiently address deficiencies the consultant should consider in a structured way both the level of residual (post-approval) risk and the level of confidence that the Project can successfully bring the issue into compliance with the Policy through the ESAP. Figure 3 below illustrates the approach to be taken.
Figure 3 – Risk / Confidence
| Confidence | ||||
| High | Medium | Low | ||
| Risk | High | PC | MN | MN |
| Medium | PC | PC | MN | |
| Low | FC | PC | PC |
Table 14 below provides the compliance review using the methodology above.
Table 14 – Compliance Assessment against EBRD Performance Requirements
| KPI Ref | Performance Requirement | Score | Comments / Issues | Actions Required | ESAP Ref. |
| Assessment and Management of Environmental and Social Impacts and Issues Summary: An EIA has been developed for the project. However the EIA needs some further work to meet European Union (EU) standards and therefore a number of recommendations are proposed based on the EIA gap analysis and general audit findings to ensure that the project is fully aligned and compliant with best practice, EBRD Performance Requirements and relevant EU standards. The EIA although identifies some impacts, it is lacking sufficient assessment (and evidence of) of potential environmental and social effects of the Project, environmental permitting requirements, health and safety arrangements and consideration of alternatives and cumulative effects. In addition to the actions proposed relating to the EIA, a number of actions are proposed to ensure there is good organisational capacity and commitment to manage EHSS risks and impacts. | |||||
| 1.1 | Environmental and Social Assessment | PC/MN | The EIA does not detail the assessment methods or data used nor does it identify all potential impacts and propose adequate mitigation measures. | Updated EIA or provide supplementary information as an addendum to existing EIA as per actions presented in the ESAP. | 1.5-1.6, 3.1-3.9, 4.1, 6.1, 6.2, 8.1-8.4 |
| 1.2 | Environmental and Social Management Systems | MN | An ESMS has not been produced / provided for review, although from a review of the previous road projects it is reported that an EMS/EMP has been developed and is in the process of consideration and approval which may be used for this project. | Develop an ESMS aligned to ISO 14001 for the PIU. The PIU is now formed and will need to implement an ESMS. | 1.2 |
| 1.3 | Environmental and Social Policy[3] | MN | An E&S policy has not been produced / provided for review. The EMS/EMP that has developed may have an E&S policy. | Review labour and social policies for the PIU and incorporate into contractual arrangements with contractors. | 1.7 |
| 1.4 | Environmental and Social Management Plan | MN | The EIA is not sufficiently detailed to enable production of an ESMP. The scope of the required mitigation will be difficult to define for some topics due to a lack for robust baseline / impact assessment. | Updated EIA or provide supplementary information as an addendum to existing EIA as per actions presented in the ESAP. From the supplementary information and ESAP actions develop a CEMP. | 4.4 |
| 1.5 | Organisational Capacity and Commitment | PC | The existing structure of the PIU established for the previous road projects financed by the EBRD will be used for this Project. The PIU at the KAZ Construction Directorate will oversee the Project particularly in terms of contracting while the day to day functions will be performed by the PIU at branch level (Almaty Region). A number of key appointments have been made in the PIU for the other roads projects. It is planned that PIU will undertake the PMC role and will contract the CSC role to another company. The contractors will also have responsibilities in terms of health and safety, traffic and road safety and environmental performance management. The contractors have not been appointed, so there is not enough information to assess their organisational capacity. | Ensure PIU has the capacity for EHS management of the project and clearly identifying team structure, roles and responsibilities including performing the PMC role. Inform on the appointments of the PIU, the contractors and the Construction Supervision Consultants (CSC) and any other key appointments. Develop workforce capacity building programmes for successful project implementation. | 2.2 |
| 1.6 | Supply Chain Management | PC | The primary supply chain of the Project includes the construction companies that will be appointed to undertake the construction of the road and the CSC. According to the Labour Code there will be no child labour or forced labour in the supply chain. Regular inspections of labour conditions and health and safety will be undertaken by the Road Police and other relevant government bodies. The national legislation does not require independent audits of the supply chain. | Set-up, maintain and continually review an EHS Incident Reporting Procedure. Review labour and social policies and incorporate into contractual arrangements with contractors. Conduct monthly inspection of contractors’ occupational health and safety (OHS) performance. Undertake the tender process for the construction works to identify contractors with inclusion of EHS performance standards. Document constructors’ labour accommodation strategy and principles in a Plan including a code of conduct. Arrange independent audit of the contractors. | 1.4 1.7 1.8 2.1 2.3 2.4 |
| 1.7 | Project Monitoring and Reporting[4] | PC | There are weak monitoring procedures in Kazakhstan, and the reporting in the EIA lacks baseline data and assessment information. The EIA makes reference to the need to observe health and safety measures. However no specific measures, monitoring or reporting mechanisms are specified. | Annual report on ESAP implementation and resolution grievances and EHS performance. Set-up, maintain and continually review an EHS Incident Reporting Procedure. Conduct monthly inspection of contractors’ occupational health and safety (OHS) performance. Results of independent inspections. | 1.1 1.4 1.8 2.4 |
| Labour and Working Conditions Summary: Construction companies are not appointed yet. Assessment included national legislation in terms and conditions of employment and health and safety regulations. Measures are proposed to ensure full compliance with PR2 | |||||
| 2.1 | Human Resource Policies and Working Relationships | NOP | The contractors are not appointed yet, thus it is not possible to review and comment on their HR policies and the working relationships. As an EBRD requirement, they will be required to comply with national legislation. It is also not possible to assess whether the contractor has / will have sufficient personnel to manage the EHSS performance standards. | Undertake the tender process for the construction works to identify contractors with inclusion of EHS performance standards. Review labour and social policies and incorporate into contractual arrangements with contractors– to include terms of employment, skills, dismissal, discrimination, harassment, violations, human rights, forced and child labour, wages and social leave/benefits and bribery and corruption. | 2.1 1.7 |
| 2.2 | Child and Forced Labour | FC | Child labour and forced labour are prohibited under the Labour Code of Kazakhstan and thus it is assumed that appointed contractors will be compliant both with the EBRD requirements and with national legislation. | As above. | 1.7 |
| 2.3 | Non-Discrimination and Equal Opportunity | PC | The Labour Code of Kazakhstan and additional legislation prohibit non-discrimination and provide equal opportunities, though the construction industry is male dominated. | As above. | 1.7 |
| 2.4 | Workers Organisations | NOP | It is unlikely that collective bargaining agreements will be enforced by a trade union, as employees will most likely have individual contracts with the main contractor. Depending on the number of employees recruited there might be attempts to set up a workers organisation, though it is too early to provide an opinion on this. | Upon appointment of contractors, HR policies and practices should be reviewed to confirm the company’s approach to workers organisation. | - |
| 2.5 | Wages, benefits, and conditions of work and accommodation | NOP | The construction companies are not appointed yet. It is reported that will be a workers camp. No information is provided in EIA on worker camp, wages, benefits etc. | Document the constructors’ labour accommodation strategy and principles within a Plan that also includes a code of conduct to be adopted to govern life in the workers camps. The new camp is to be arranged / designed to ensure it meets EBRD / IFC standards. As above with regard to Human Resource Policies and Working Relationships. | 2.3 1.7 |
| 2.6 | Retrenchment[5] | NA | Not applicable. | No actions required. | |
| 2.7 | Grievance Mechanism | PC/MN | The local authorities (regional and local town halls) have a well-established grievance mechanism in place which is compliant with the law. However there is no formal grievance mechanism for the workers or for the Project. The SEP prepared as part of this assignment contains the necessary strategies for internal and external communications including interaction with the contractors and the workers. | Develop and implement the SEP and a formal grievance mechanism Appoint a Community Liaison Officer (CLO) with appropriate skills and experience to effectively manage the implementation of the SEP | 10.1, 10.3 10.4 |
| 2.8 | Non-Employee Workers | NOP | No information available. The construction companies are not appointed yet and the details of the workforce are unknown. | Upon appointment of contractors review the contractor’s stance on employment including non-employee workers arrangements. Consideration should be given to the possibility to employ the local population taking into account gender policy (local skilled labour is potentially available in nearby towns and villages) | 2.5 |
| 2.9 | Supply Chain | NOP | The primary supply chain are the construction companies who will be appointed to undertake the work. The supply chain management issues are not discussed in the EIA. | Compliance on labour and working conditions is required for all construction companies. Actions to be implemented as per contractor management detailed above. | - |
| 2.10 | Security Personnel Requirements | NOP | Security personnel are not discussed in the EIA and no details were provided | Upon appointment of contractors review their approach to site security. Conduct due diligence investigation for all security personnel of the contractor to make sure they have appropriate licensing, experience and training. | 4.6 |
| Resource Efficiency and Pollution Prevention and Control NB. Appraisal should carefully consider (and state) what regulations or standards have been applied to compliance assessment (eg EU, National, Sector Best Practice). Assessments should address consideration of the performance of alternative techniques. Summary: The EIA is lacking sufficient assessment (and evidence of) of resource efficiency and mitigation measures to demonstrate pollution prevention control. A number of action areas have been identified where gaps have been identified as follows | |||||
| 3.1 | Resource Efficiency | MN | The EIA does not provide any measures to minimise energy use, water use; other resources, materials use and the recovery and reuse of waste. | Produce a Resource Efficiency Technical Note as part of updated EIA or supplementary information as an addendum to existing EIA | 3.3 |
| 3.2 | Pollution Prevention and Control - Air and Noise emissions | MN | The EIA does not include an assessment of noise or air quality. | Baseline air quality and noise data is required followed by an assessment of predicted noise and vibration and air quality impacts by modelling at specified locations. | 3.1, 3.2 |
| 3.3 | Pollution Prevention and Control - Waste waters | PC | Although some reference is made to wastewater in the EIA, it does not include an assessment of wastewater management. | Updated EIA or supplementary information as an addendum to existing EIA with a wastewater management assessment. | 3.6 |
| 3.4 | Greenhouse Gases[6] | MN | The EIA does not include an assessment of greenhouse gases or climate change impacts. | Updated EIA or supplementary information as an addendum to existing EIA with the provision of a GHG and climate change impact assessment. | 3.5 |
| 3.5 | Water | PC | Water requirements and some sources of water for use during construction have been identified in the EIA. However the impact of the demand on resources has not been identified. The water permits are reported to be in place and therefore it is assumed that an assessment has been conducted by the authorities to limit the water usage and avoid a burden to supplies. | Updated EIA or supplementary information as an addendum to existing EIA with a water assessment. | 3.6 |
| 3.6 | Wastes | PC | Anticipated wastes have been calculated and presented in the EIA but no measures for containment or disposal have been identified. | Updated EIA or supplementary information as an addendum to existing EIA with the identification of suitable options and appropriately licenced facilities for the recovery, reuse and disposal of inert, non-hazardous and hazardous waste. Identify measures to reduce production of waste. | 3.7, 3.8 |
| 3.7 | Hazardous Substances and Materials | MN | The EIA does not include an assessment of contaminated soils. In addition hazardous waste generation and disposal options are not detailed. | Updated EIA or supplementary information as an addendum to existing EIA with contaminated soils assessment. As above for hazardous wastes | 3.9 3.7, 3.8 |
| Health and Safety Summary: A number of action areas have been identified where gaps have been identified as follows. | |||||
| 4.1 | Occupational Health and Safety | PC | The EIA does not detail occupational health and safety arrangements | Develop an integrated Occupational Health and Safety Plan. | 4.3 |
| 4.2 | Community Health and Safety | NOP | There are a number of farms along the road and built up areas in Kapshagai and Kurty. Community health and safety has not been assessed in the EIA. | Appoint licensed company to undertake blasting that is responsible for safe and secure storage and usage of explosives. Undertaking pre and post blasting structural surveys of nearby properties Implementation of safe practices during construction to minimise potential impacts to local communities, and construction workers. Develop a CEMP inclusive of traffic management plans | 4.2 4.4 |
| 4.3 | Infrastructure, Building, and Equipment Design and Safety | NA | A traffic and road safety audit will be undertaken independently. | Undertake an independent road safety audit study and incorporate the findings into the road design. The road should be designed in accordance with Kazakhstan SNiP technical norms for safety. | 4.5 |
| 4.4 | Hazardous Materials Safety | PC | The potential for contaminated or hazardous material to be present along the alignment has not been assessed in the EIA. Although some soil and water analysis has been undertaken for geotechnical assessment. Containment measures for all materials should be identified | Updated EIA or supplementary information as an addendum to existing EIA with contaminated soils assessment. | 3.9 |
| 4.5 | Product and Services Safety | NA | Not applicable | No actions required. | |
| 4.6 | Traffic and Road Safety | PC | The road design includes feature such as pedestrian crossing, traffic lights, a bus stop, and underpasses for agricultural and other vehicles. A traffic and road safety audit will be undertaken independently. | Undertake an independent road safety audit study and incorporate the findings into the road design. The road should be designed in accordance with Kazakhstan SNiP technical norms for safety. | 4.5 |
| 4.7 | Natural Hazards | PC | Although references are made to earthquakes the EIA does not include an assessment of natural environmental hazards. | Further consideration should be given to the potential impact of natural hazards and if none are anticipated this should be confirmed. These should cover earthquakes, landslides and floods | 4.1 |
| 4.8 | Exposure to Disease | PC | There is no assessment of communicable diseases resulting from the influx of workers. | Consideration should be given to the possibility to employ the local population taking into account gender policy (local skilled labour is potentially available in nearby towns and villages) Document the constructors’ labour accommodation strategy and principles within a Plan that also includes a code of conduct to be adopted to govern life in the workers camps. There should be separate facilities for men and women to avoid any unwanted contact or attention. | 2.5 2.3 |
| 4.9 | Emergency Preparedness and Response | MN | The EIA does not identify potential emergency situations and potential accidents that may have an impact on the environment. | Updated EIA or supplementary information as an addendum to existing EIA to cover emergency situations. Develop an Emergency Preparedness and Response Plan | 3.4 |
| Land Acquisition, Involuntary Resettlement and Economic Displacement Summary: No physical displacement is foreseen, although there will be land acquisition for the road which may have impacts on land users, both formal and informal. Land is being acquired for five realigned sections and to widen the road. The land required for the road rehabilitation will be State reserved land (159ha), land acquired from the state enterprises (176 ha) and land acquired from private and commercial land owners and tenants (183 ha). The land is mainly required for the five re-alignment sections and the Kurty junction but also along the road for accommodation of higher embankments to provide the requirements for the road category vertical visibility. | |||||
| 5.1 | Avoid or minimise displacement | FC | The EIA does not provide any information on land acquisition. Although the process has started to identify plots of land that need to be acquired with compensation for those identified. There will be no physical displacement. However, land is being acquired from land owners and land leased and therefore there may be economic displacement. The EIA also does not indentify temporary land use. | Undertake assessment of land acquisition and compensation which has started Identify formal and informal land owners and users, any formal and informal businesses who will be affected by land acquisition and develop a Livelihood Restoration Framework (LRF). Introduce mitigation measures to ensure that land acquired for temporary structures (material storage / construction pads) or activities during construction are returned to its original state / use and improved where possible. | 5.2 5.1 |
| 5.2 | Consultation | PC | Contact with land owners is being carried out and the process of land acquisition has started. A part of a consultation meeting, land acquisition was discussed and the procedure for land acquisition was explained. | Implementation of SEP and LRF Identify Independently audit land acquisition and compensation activities to ensure compliance with the EBRD PR5. | 10.1, 10.3, 5.2 5.3 |
| 5.3 | Compensation for displaced persons | PC | Compensation will follow Kazakh national legislation that recognises only the legal owners of the land and excludes informal land users and residents of the land. Compensation measures for legal owners and land users are in line with EBRD’s requirements, however, Kazakh legislation does not allow for identification and compensation for informal land users or residents. Compensation covers monetary and non-monetary services such as provision of land. | Identify informal land users and residents and compensate for any loss resulting from the land acquisition. | 5.2 |
| 5.4 | Grievance mechanism | PC | Affected people can seek alternative routes to submit complaints, though there is no formalised grievance mechanism set up for the Project. As part of the SEP prepared a grievance mechanism has been set up with designated roles and responsibilities. | Approval and implementation of the grievance mechanism detailed in the SEP. | 10.1, 10.3 |
| 5.5 | RAP/LRP documentation | NA | There is no physical foreseen as part of the project, however plots of land will be acquired from land users and there may be economic displacement. | No actions required. | 5.2 |
| 5.6 | RAP/LRP implementation | NA | As above | Implementation of SEP and LRF | 10.1, 5.2 |
| 5.7 | Monitoring | PC | Monitoring of land acquisition related activities will form part of the annual monitoring of the Project performance, as all land acquisition related actions will form part of the ESAP. There will be requirements to monitor environmental and social impacts of the Project including those of resettlement and land acquisition activities. | Independent audit of land acquisition activities. | 5.3 |
| Biodiversity and Living Natural Resources Summary: A number of action areas have been identified where gaps have been identified as follows. | |||||
| 6.1 | Assessment of Biodiversity and Living Natural Resources | PC | Although the EIA provides a brief summary of the flora and fauna along and in the immediate vicinity of the route alignment, the EIA does not include a descriptive methodology as to how these conclusions were drawn (e.g. following desk based studies, ecological site walkovers, habitats surveys etc.). Confirmation is required to check that the migration of ungulates is not an issue | Updated EIA or supplementary information as an addendum to existing EIA to identify habitats, biodiversity and living natural resources present in the area. | 6.1, 6.2 |
| 6.2 | Conservation of Biodiversity | PC | As above | As above | |
| 6.3 | Sustainable Management of Living Natural Resources | PC | As above | As above | |
| Indigenous People Summary: Not applicable as there are no indigenous people in the Republic of Kazakhstan, however some information provided relating to general community enagagement | |||||
| 7.1 | Indigenous People Assessment | NA | There are no indigenous peoples | No actions required | - |
| 7.2 | Adverse Effects Avoidance and Indigenous Peoples Development Plan | NA | There are no indigenous peoples | No actions required | - |
| 7.3 | Information Disclosure, Meaningful Consultation and Informed Participation | NA | There are no indigenous peoples | No actions required | - |
| 7.4 | Grievance Mechanism and Prevention of Ethnically Based Discrimination | FC | The grievance mechanism set up under the new SEP will provide equal opportunities and multiple channels for all interested and relevant stakeholders to submit complaints or grievances. Under the national legislation, advertisements publicising the public hearings are required to be both in Kazakh and Russian to ensure inclusivity. | No actions required | - |
| 7.5 | Compensation and Benefit-Sharing | NA | There are no indigenous peoples | No actions required | - |
| 7.6 | Impacts/Relocation on Traditional or Customary Lands and Cultural Heritage | FC | Herding is a traditional employment and lifestyle in the steppe of Kazakhstan. The Project will have no significant long-term impact on this lifestyle and activity for local residents. Cattle crossings have been included in the design to ensure that herding can continue after the road development and temporary crossing points will be set up during the construction period to ensure undisturbed livestock crossing. | No actions required | - |
| Cultural Heritage Summary: An Archaeological assessment has been undertaken that did not identify any cultural site of significant. Measures are proposed to ensure memorials are preserved. | |||||
| 8.1 | Assessment and Management of Impacts on Cultural Heritage | PC | The EIA states that there no areas of cultural and historic importance in the region of the construction. It also states that there are no natural monuments located in the area of operation. However an investigation with the purpose of identifying objects of historical and cultural heritage within the borders of reconstruction works area has been undertaken that reported that there is no cultural or historical heritage in the area. During the vsit to the road it was observed that there are memorials / monuments. | Updated EIA or supplementary information as an addendum to existing EIA to introduce mitigation measures to preserve and avoid adverse impacts to memorial sites in the area and if necessary identify the appropriate relocation processes with informed consent, and if requested supervision from the owner of the memorial site (relatives). Develop and implement a ‘Chance Finds’ procedure. | 8.1, 8.2 |
| 8.2 | Consultation with affected communities and other stakeholders | PC | An desk based archaeological assessment has been undertaken but it is not known if consultantation on this subject have been undertaken. | Approval and implementation of the grievance mechanism detailed in the SEP | 10.1 |
| 8.3 | Project use of Cultural Heritage | FC | Cultural heritage in the form of roadside memorials / monuments for accidents will be protected | Introduce mitigation measures to preserve and avoid adverse impacts to memorial sites in the area and if necessary identify the appropriate relocation processes with informed consent, and if requested supervision from the owner of the memorial site (relatives) | 8.1 |
| Information Disclosure and Stakeholder Engagement Summary: Public consultation has taken place. Measures are proposed to strengthen stakeholder engagement activities | |||||
| 10.1 | Stakeholder Engagement Plan | PC | Stakeholder engagement is a requirement under national legislation and a public hearing consultation has taken place once. A more formalised systematic stakeholder engagement programme has been developed for the project identifying all relevant and interested stakeholders and the appropriate communication methods with them. The SEP contains the roles and responsibilities, frequency of consultation activities and monitoring requirements. The SEP provides the details of information to be disclosed and the timeframes. The EIA does not contain an appropriate EIA Non-Technical Summary (NTS). | Implementation of the SEP. Disclosure of documents in the public domain that include a NTS of the project. In addition disclose the SEP, ESAP and supplementary information for the EIA. | 10.1 |
| 10.2 | Operational Grievance Mechanism | PC | Due to the bottom-up approach of stakeholder engagement, affected people and other stakeholders can easily find a way to officially file complaints or grievances through local authorities. A more formalised grievance procedure has been developed as part of the SEP to ensure compliance with EBRD requirements. | Approval and implementation of a grievance mechanism included in the SEP. | 10.1, 10.3 |
| - | Overall Compliance | ||||
| - | National Environmental, Social, Health and Safety Requirements | FC/PC | The project is generally compliant with regard to national EIA requirements and most of the permits are already in place. | Obtain outstanding permits that include the construction contractor obtaining a construction permit for the working site via submission of the work camp plan. Submission of the blasting work plan to the Emergency Situations Department will be required in order to obtain the Order for Work prior to the start of construction. A licensed company will be required to undertake blasting works. If there are any design changes, obtain the necessary permits again prior to commencements of activities for which the permits are required. | 1.3 |
| - | EU Environmental, Social, Health and Safety Requirements | PC | As per comments provided in this table. | Actions proposed in this table. |
Appendix A 
MAPS, PLANS AND PHOTOGRAPHS
| Photo 1: Start of Road Section | Photo 2: Memorial near to Road |
| Photo 3: Cattle underpass | Photo 4: Waste water canal |
| Photo 5: Farm alongside the road | Photo 6: A herder with sheep |
| Photo 7: Dirt road | Photo 8: Blast area and nearby Farm 4 |