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Pre-Feasibility Study for Tashkent-Samarkand Road PPP, Uzbekistan

Terms of Reference

1. BACKGROUND

 Increasing the role of the private sector in the Uzbek economy is a key objective of the
reforms launched by the Government of Uzbekistan (“GoU”) in 2017. Introduction of
the private sector in delivery of infrastructure services through Public–Private
Partnerships (PPPs) is very important in this context. The European Bank for
Reconstruction and Development (“EBRD” or “Bank”) has engaged in helping the GoU
to put in place the necessary legal framework, which would induce and promote private
sector investment and financing from internal and external markets. In this pursuit, the
Bank is assisting the GoU in developing PPP legislation. It has also arranged several
workshops on PPPs, which attracted a lot of interest among Uzbek officials and private
companies.

 Uzbekistan is one of two double-landlocked countries in the world. Improved

connectivity – particularly in land transport – is a major goal for the Government of
Uzbekistan. Given the country’s strategic location at the mid-point of Silk Road -
between east and west, many projects for the construction of international transport
corridor plan routes traversing Uzbekistan, will facilitate the country’s economic growth
and integration into the largest economies (China and Europe). To achieve this, the
country’s financing capacity would need to increase attracting private sector
investments, which will be supported by funding mechanisms such as the Central Asia
Regional Economic Cooperation Program (“CAREC”) and the Chinese Government
through its New Silk Road or One Belt – One Road initiative.

 In late 2019 the GoU, the related authorities in Uzbekistan (“Parties”) and the World
Bank (WB) formulated a pre-feasibility study to upgrade the 358km Tashkent – Andijan
Road linking the first and second populated cities. The objective of the study was to
identify an appropriate public–private partnership (PPP) model to realise such
upgrades to expressway standards. The study is currently ongoing in Uzbekistan and
the final report (“the TAR Report”) and its outcome (i.e. the GoU’s project decision) is
expected by the third quarter of 2020.

 Following the Tashkent-Andijan Road, the GoU and the Parties envisioned upgrades
of an equally important road and requested the Bank to define the target project
(“Project”). The Project is expected to consist of the expansion and increase of capacity
of the existing road from the capital city to the crossroad of cultures (namely
Samarkand). This is a 300 km two-lane-per-direction road (the Tashkent – Samarkand
Road) connecting the first and third populated cities of Uzbekistan. However, the
Consultant will also assess the possibility of developing a new road with a new
alignment between the two cities.

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 In September 2019, the Parties engaged the consultants (Spectrum Holding Ltd.,
Russia) in order to gain the understanding of the size and scope of the project and
formulate the necessary steps for upgrade or reconstruction of the Tashkent-
Samarkand Road and to review the legal / administrative framework in which the
project would be formulated. 1 The consultants submitted the final report (“the
Spectrum Report”) in December 2019, which enabled the Parties to understand the
issues associated with the project as well as key risks. This report is an early desktop
scoping study of the project and has not been formally approved by any party.
 As the next step, the Parties now intend to hire a suitably qualified consultant
(“Consultant”) to conduct a pre-feasibility study and associated works (“Assignment”)
for further preparation of the Project.

The following is a technical snapshot of the Project based on the Spectrum Report:

Total length
New
of the Reconstructi
No. Section Region Constructio
Section on
n
(km)
M39 Tashkent –
Tashkent
1 Chinaz – Syr- 54 54 0
Region
Darya
М-34 Syr-Darya - Syr-Darya
2 42 4 38
Akaltyn Region
А-373: Akaltyn - Syr-Darya
3 28 28 0
Sardoba Region
М-39 Sardoba -
Syr-Darya
4 Gulzar / 44 34 10
Region
Pakhtachi
М-39 Gulzar /
5 Pakhtachi - Jizakkh Region 56 56 0
Gallaaral
М-39 Gallaaral -
6 Jizakkh Region 26 10 16
Karaultepa
М-39 Karaultepa Samarkand
7 46 25 21
- Samarkand Region
Table 1. Characteristics of the route sections

Length of the reconstruction and new construction sections are 211 km and 85 km,
respectively. The total length of the planned road amounts to 296 km.

1 The Tashkent-Samarkand Road PPP, Phase-Zero Assessment (06/09/2019 – 29/02/2020 funded by

the Infrastructure Project Preparation Facility).

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- Sections of the existing highway

- Section of new constructions (bypasses of settlements)
- Sections of alternative routes in Tashkent Region and Jizzakh Region

Figure 1. Map of the planned highway sections

The planned highway along its entire length provides for passing along the existing direction,
including stretches running through settlements without any bypass roads, as well as
recommended city, town and settlement bypass roads. There are also stretches that require
bringing the geometric elements of the road to standard ones (including curve radius, elements
of transversal and longitudinal profiles, and drainage elements).

As to sections passing through settlements, the Project includes measures both to restrict
access (wire mesh fencing), to limit noise propagation (noise screens), and to provide
pedestrian and transport links between disparate territories, and measures aimed to ensure
traffic safety.

Road sections with no roads bypassing settlements:

 At the stretch from Tashkent to Chinaz, the road runs through settlements at its entire
length.
 Zhuvonsiyrok, and Shodlik.
 Gulzar, and Pakhtachi.
 Karayantak.

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The settlements along which bypass roads are proposed for the following segments:
 At the stretch from Syr-Darya to Ak-Altyn (turning to M-34 and A-373), the road at its
entire length runs bypassing settlements, including the settlements of Syr-Darya,
Dekhkanabad, Chultukai, Bakht, Alisher Navoi.
 Sardoba.
 Gallaaral.
 Bulungur.
 At the stretch from Uraitep to Samarkand (interchange in Jambai), the road runs
around all settlements at its entire length.
In addition, on the Project will include a link road approximately 19 km in length connecting
the City of Syrdaria on the Tashkent to Samarkand alignment to the city of Bakht, lying to the
south of the alignment.

2. Objectives

The purpose of the Assignment is to prepare a comprehensive pre-feasibility study, which

assess in more details the project’s technical feasibility, economic and financial viability, socio-
economic affordability, social and environmental sustainability, and suitability for the PPP
model based on fiscal, legal, regulatory and institutional and value-for-money (VfM) analyses.

Most importantly, this study will provide the GoU and the Parties with a selection of possible
alignments (limited to bypasses), so that they will be able to compare and select the project
alignment on economic, fiscal, financial, environmental and social development grounds. The
study will further make them available the project’s suitability for a PPP scheme and issues
for consideration in order to materialise the project as PPP.

The study will also help the GoU and the Parties to prepare themselves for the next steps –
i.e. a full-fledged feasibility study.

As part of the assignment, the Consultant with the support of the Bank will provide detailed
explanation on the EBRD Policy for the Financing of Private Parties to Concessions (BDS15-
233 (F)) as well as the EBRD Environmental and Social Policy (2019).

The Consultant will hire international and national resettlement experts to assess the Project’s
needs for land acquisition and resettlement and presents results of the assessment to the
GoU. The scope and expected deliverables of this assessment are provided in Appendix 1.

In the reports prepared by the Consultant, the Consultant will refer to the above policies
wherever is appropriate. In case that the government counterpart or readers of the reports
enquire about the policies, the Consultant with the guidance of the Bank staff will provide the
government counterpart or readers of the reports with clarifications.

3. Scope of Services

The Assignment will be performed as per the best international practice and the Uzbek Law
and will encompass main tasks as specified below.

For the time and cost efficiency of carrying out the Assignment, the Consultant should review
the Spectrum Report and the TAR Report and will make the maximum use of available data,

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road condition surveys, technical studies, documents and traffic model available from the
Ministry of Transport and other ministries and government agencies, as well as data from other
studies recently conducted in Uzbekistan. The Consultant will be free to accept assumptions
it considered valid from previous studies and change those it does not agree or do not consider
valid. The assumptions should be subject to Consultant’s review prior to being accepted.

Previous project experience in Uzbekistan (and /or Central Asia and CIS countries) would be
an advantage to all the experts.
All experts must be independent and free from conflicts of interest in the responsibilities
accorded to them.

The Consultant is expected to implement the following tasks:

 Task 1: Alignment Option Study;

 Task 2: Analysis of Feasibility;
 Task 3: Identification of possible PPP Structure;
 Task 4: Assistance to GoU to prepare for feasibility study.

3.1 Task 0: Study of new road alternative

 Review the quality and completeness of project preparation to date including the
Spectrum Report and recommend additional studies to be carried out as part of the
pre-feasibility study and subsequent feasibility study.
 Review existing maps, existing videos (e.g. taken by Spectrum), aerial photographs,
satellite images, and the TAR Report and make maximum use of data which can be
used as a common base to reduce the amount of work necessary for the Assignment.
 Review the Spectrum Report and assess the proposed solution with a view to broadly
identifying key challenges, such as traffic volumes, land acquisition, relocation of
inhabitants and/or businesses, environmental impact, etc.
 Site visit and information gathering
 Review the topographical maps for geographical information to be provided by Ministry
of Transport or Committee for Automobile Roads
 Meet with public officials and confirm the objectives for the Project in terms of timing of
delivery, budget allocation, populations to be covered, and technical solution. The
consultant should be able to prioritise those objectives.
 The Consultant will make an assessment on the best option for the project between a
new road based on an alignment defined and agreed with the Uzbek authorities, and
the reconstruction of the existing road in similar scope as presented in Spectrum report.
The best solution agreed with the Uzbek authorities will be developed as part of the
next phases into a Pre-feasibility study. The Inception Report will include the
assessment of the options between a new road and the reconstruction of the existing
road and which one meets best the objectives of the Uzbeks authorities.
 Inception Report describing the Consultant’s approach and methodology, including any
proposed changes to the terms of reference, and resource-plan for completion of each
of the tasks.

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Moving to next phase of the engagement will require approval by the OL. This will take into
consideration the level of information available and the access to the site and the country it in
the next phase by the group of consultants.

3.2 Task 1: Alignment Option Study

 For the selected solution in Task 0, undertake an option analysis that takes into
account different alignments. Case of the option of reconstruction of existing road, this
task should focus on the by passes and new segments of road,
 Field surveys consists of the following:

Topographic, Geotechnical, Environmental and Socio-Economic, Traffic Surveys.

The Topographic Survey will be planned and conducted in conjunction with the Geotechnical
Study and Socio-economic survey.

The Consultant will submit a survey plan to the Parties and the Operation Leader (“OL”) for
approval.

1) Topographic Survey

The objective of the Topographic Survey is to establish topographic features and conditions
of the Tashkent – Samarkand road, thereby enabling the Consultant to propose the alignment
options with the estimated project costs (CAPEX and OPEX for each option).

The Survey shall set out the following items:

(i) the methodology (review of the existing information,2 to what extent the existing reports
and maps can be used for the survey, plan to use of terrestrial survey and/or aerial
photographs, etc.) and respective justification;

(ii) specific tasks and staffing schedule;

(iii) expected deliverables (e.g. maps, videos, topographic descriptions by section, findings
and recommendations, etc.);

(iv) survey cost estimation;

(v) timeline for implementation and deliverable submission.

2) The Geographical and Geotechnical (GG) Study

The Consultant will conduct a GG study.

The objective of the study is to:

(i) enhance the geographic data and observations provided by Spectrum and;

(ii) establish detailed descriptions for the route and influence area, which will be used for the
alignment options and thus the project cost estimate.

2existing maps (if any), existing videos (e.g. taken by Spectrum), aerial photographs, satellite images,
etc.

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Main tasks shall include, but not limited to:

(i) collect, review and analyse the relevant information materials available including the
Spectrum Report and the TAR Report;

(ii) discuss with the relevant officials and experts to substantiate and enhance the descriptions
on soil characteristics, landforms, climate, hydrology and fluvial processes, and culture, which
could influence the road construction, operation and maintenance;

(iii) prepare a topographic map for the project influenced area;

(v) assess the seismicity of the project area and identify any faulty zone, in particular touching
on or crossing the existing road;

(v) assess major drainage and rainfall distribution along the existing road;

(vi) evaluate ground and subsoil structure at a selected points;

(vii) assess the structure of the major tunnels and bridges on the existing road;

(viii) identify the risks associated with earthwork, drainage, and slope erosion and draw
mitigation measures and relevant recommendations for ground improvements, embankment
protection, culvert, overpass and underpass design and structure; and

(ix) contribute to the alignment option study and the cost estimate for the project.

3) Environmental and Socio-Economic Survey

The objectives of the environmental and socio-economic survey consist of;

(i) assess the environmental and ecological impacts, short-term, long-term and cumulative
impacts, at each of construction and operation phases, for each alignment options, and
formulate mitigation measures and estimate the costs for such mitigation measures; and

(ii) develop the preliminary Resettlement Plan based on the latest project alignment. The
detailed scope for the preparation of the draft Resettlement Plan is provided in Appendix 1.

Major tasks shall include:

(i) identify any protected or restricted access zones along the road footprint, both existing and
proposed, which may have implications on the final road design, including, but not limited to:
natural reserves and protected zones of national and international importance (e.g. National
Parks and Reserves; Important Biodiversity Areas; Key Biodiversity Areas; RAMSAR sites,
UNESCO heritage sites etc.); sanitary-protection zones (SPZ), buffer safety zones and right-
of-way (ROW) encroachments of the existing or planned facilities, where the established
clearance zone/distance should be maintained and within which the construction is prohibited
or is subject to separate approvals (e.g. water bodies, industrial enterprises, power lines,
underground and above ground pipelines, schools, kindergartens, hospitals etc.);

(ii) evaluate and describe the topography and geographic characteristics by region, and list
the conservation areas and the distance from the proposed alignments;

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(iii) to the extent possible assess the potential impact of road construction and operation in
each conservation area with particular focus on project-specific features such as land
reclamation in the mountains, discharge and disposal of waste from construction sites into the
rivers, protection of natural water flow and ecosystem in the rivers, impact of possible tunnel
excavation and blasting on natural habitat, noise and vibration in suburban areas;

(iv) assess the potential impact of the large bridge and tunnel construction on the natural
habitat, the flow of the water and water usage by the neighbouring villagers, and the
ecosystem of the project areas; and

(v) review the appropriateness of the proposed mitigation measures and estimate associated
costs to the extent possible;

(vi) Compile and analyse corridor level socio-economic data (population, employment,
industry), prepare a social and economic analysis of past, existing socio-economic growth of
the corridor;

(vii) follow the guidance attached in Appendix 1 related to the EBRD Performance
Requirement (PR) 5 for Land Acquisition, Involuntary Resettlement and Economic
Displacement,3 conduct a preliminary assessment for potential involuntary resettlement and
land acquisition along the proposed alignments, and quantify costs associated with land
acquisition and involuntary resettlement for different alignment scenarios.

4) Traffic Survey

The Consultant will collect traffic flow data and transport information in order to describe and
analyse traffic characteristics, establish an adequately reliable traffic forecast for the project
and estimate the possible economic savings in time and distance due to the project road.

Such data include:

(i) the volume of traffic flows on the existing road by vehicle type;

(ii) the origin and destination (O&D) of passenger and commodity flow;

(iii) the axle load spectrum (a preliminary bearing capacity survey on existing road and bridges
to identify current conditions of the road and develop appropriate technical solutions
accordingly for making precise CAPEX projections); and

(iv) willingness to pay.

The Consultant can suggest any other element for the data to be collected. For example, an
alternative to O/D surveys could be to use the Mobile Phone Network Data (MND) for various
models and this proves to be cheaper than the Roadside Surveys by intercept method and
yields months’ worth of data with millions of through and internal trips. The MND will provide
a large set of information on vehicular flow and movements to process matrices by all time
periods and develop trip matrices by vehicle type and by trip purpose by approximation

3
https://www.ebrd.com/who-we-are/our-values/environmental-and-social-policy/performance-
requirements.html

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method. The Consultant will explore if the mobile phone network operators in Uzbekistan with
the assistance and involvement of the Ministry of Transport / Ministry of Internal Affairs could
release the raw data, which then will be anonymised and processed to yield comprehensive
matrices.

If not, traffic surveys will be conducted on adequate number of locations at various sections
(including intersection / junction locations) along the existing road; and, if considered
necessary, on connecting major roads in the project catchment area.

The Consultant shall propose the methodology of traffic amendments in case of the
breakdown of the Project into several sections.

The traffic survey plan shall include:

(i) methodology overview;

(ii) sampling methods to be used (e.g. manual count, motion sensor, wave radar detector,
video camera, potable axle load pad, etc.);

(iii) specific tasks and manning schedule including locations, times (e.g. two consecutive days,
one day twice in the same week, etc.) and duration of count (e.g. 24 hours);

(iv) supervision plan (e.g. with the assistance of policy for stop and ask O&D, etc.);

(v) validation and analysis methods;

(vi) cost estimate;

(vii) timeline for implementation and for deliverable submission.

The Consultant will use the outcome of the Traffic Count Report for their average annual daily
traffic (AADT) estimation in traffic forecast.

3.3 Task 2: Analysis of Feasibility

 For each alignment to be proposed, estimate CAPEX and OPEX to implement the
Project including associated infrastructure to expressway standards. CAPEX
estimates shall include land acquisition and reallocation costs. CAPEX and OPEX
estimates should be also based on local data (where available) and benchmarked with
international and regional peers.
 Intermodal analysis. The Consultant shall perform an intermodal analysis by preparing
a modal split for the Tashkent-Samarkand Corridor including (a) air and (b) rail
transportation. The Consultant shall provide assessment of elasticity of prices for each
mode of transportation.
 Traffic forecast. The Consultant shall prepare a traffic forecast for each option (the
whole Project, split into several sections etc.) based on the data and information
collected through the surveys, interviews, literature reviews, macro and micro forecast
and outlooks, and intermodal analysis.

The traffic forecast will be subdivided by freight and passenger into traffic diverted from other
roads, traffic diverted from railway and air, and generated (or induced) traffic. Diverted traffic

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will include transit traffic, of which the Consultant shall estimate the proportion. The Consultant
will estimate the main commodities and passenger groups (leisure or business) to be carried
in the project road.

The traffic forecast shall include:

(i) a set of assumptions and justification;

(ii) a 40-year traffic model including each vehicle type and class as per the relevant vehicle
classification for the assumed road capacity; and

(iii) with capacity of (a) scenario analysis; and (b) sensitivity analysis. The Consultant will make
clear the source of the data and information, and the ground for assumption and justification.

 Prepare a Social and economic analysis of future socio-economic growth of the

corridor (e.g. time savings, macroeconomic benefits, CO2 reduction in monetary terms
etc.);
 Based on the results of traffic surveys and socio-economic analysis, develop a simple
traffic model to determine realistic traffic projections. Data to be split by vehicle type,
trip purpose, and time period (seasonal and daily) for each option;
 Carry out an initial screening of possible environmental and social risks based on the
alignment with the best economic and financial results.

3.4 Task 3: Identification of Possible PPP Structure

 Identify appropriate segments of alignment with the greatest chance to be successfully

developed as PPPs, either jointly or separately and possible bypasses around cities.
Analyse options for tolling the various segments and identify other possible sources of
revenue to finance investments, such as service area concession (gas stations and
catering services) and associated land development along the alignment. Also,
determine whether a phased approach should be considered to implement the Project
and if so, provide justifications for doing so.
 High-level value-for-money assessment by carrying out economic analyses under
which the GoU finances the Project through traditional methods and as a PPP. The
assessments should include cost-benefit, net present values (NPVs) and economic
internal rate of returns (EIRRs), with suitable assumptions, extrapolation and sensitivity
analyses of key parameters and variables, such as a shortfall in forecast traffic
volumes, CAPEX and OPEX increase, etc.
 Prepare a preliminary financial model, including cost-benefit and IRR, with suitable
assumptions, extrapolation and sensitivity analyses of key parameters and variables,
such as a shortfall in forecast traffic volumes, excess construction costs, delays in
financial closing, etc. Please see Appendix 2.
 Identify possible social, environmental and political implications associated with the
Project, such as the need for a free alternate route, required resettlement, how to
protect low income and vulnerable local traffic, user groups that need special
attention/protection, etc. Check potential implication of relevant international
environmental standards and policies in Uzbekistan.

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 Identify potential regulatory constraints in developing the road (e.g. whether tolling is
allowed, licencing versus leasing of land for the road etc.).
 Determine options to finance the Project utilizing toll (with or without government
financial support), availability-based concessions, with or without charging tolls, with
or without government support in terms of capital grants or guarantees.
 Based on TAR Report, identify and analyse options for an appropriate PPP structure
(or conventional approach, if a concession is not feasible), along with a list of notable
associated risks, including land acquisition, developer and lender.
 Prepare high-level risk matrix and mitigation plan based on international standards.
 Based on the TAR Report, the Consultant will opine on the market of potential
sponsors, contractors, operators, and senior lenders that have the right combination
of experience, technical and financial capacity and interest in Uzbekistan to deliver the
Project. The Consultant will comment if there is a market of local contractors able to
undertake the construction works with the requirements and guarantees that finance
under Project Finance will require.
 Assess with the market the viability of an Alliance model under which an investor
undertakes the project in phases together with the government prioritising those
segments of roads more feasible and minimise public contribution.
 Based on the TAR Report, the Consultant will opine on the adequate tolling systems
shall be proposed that will maximize revenue streams given technical, affordability,
willingness to pay and social constraints. Consideration shall also be given to other
revenue generating options, including the development of road-side facilities and land.

3.5 Task 4: Assistance to the GoU for actions to Prepare for Feasibility Study

 Review the necessary processes and procedures, and the requirements for the GoU
and the Parties to go ahead with the Project – particularly for the selected procurement
model in Section 3.3.
 Prepare the project implementation plan for GoU and the Parties.
 Opine on the need of a reference or concept design for the road and the cost of it
before procurement of the road.
 Prepare a Project Development Routemap following the UK methodology 4 or an
alternative with similar level of outcomes. In particular, the Consultant will make an
assessment on the delivery capability of the Uzbeks authorities.
 Draft terms of reference (“ToR”) for a full feasibility study with indicative budget
estimates for the full feasibility study.

4
https:// www.gov.uk/government/publications/improving-infrastructure-delivery-project-initiation-
routemap

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4. Implementation Arrangements and Deliverables

 It is expected that the engagement will start when the Consultant has access to the
country and to public officials. Due to the national and/or international control measures
for infection prevention against COVID-19 there might be some interruptions to travel
and communication. The Consultant will follow health and safety regulations and
guidelines on travel conditions and restrictions imposed by the relevant governments.
It will closely work with the Operation Leader to ensure that the required tasks are
successfully completed and best outcomes achieved.
 The OL will endeavour to arrange the support from the EBRD Resident Offices
whenever it is considered necessary and requested by the Consultant; and to ensure
the Consultant’s compliance with the EBRD’s instructions and guidance with regard to
COVID 19.

Local arrangements (General)

The Consultant shall be responsible for hiring suitably qualified interpreters/translators to

work with their experts.

The Consultant shall be responsible for all logistical arrangements and travel costs of its
international and local experts.

Deliverables

 All deliverables will be provided in English and Russian.

 The Consultant will distribute hard copies (2 copies in English, 2 copies in Russian),
where requested.
 The Consultant will provide draft deliverables before the deadlines set in the Table 1
below.
 EBRD and GoU will aim to provide comments within one week of receiving the draft.
Where necessary, the Consultant will schedule and host conference calls to discuss
significant issues with deliverables where their delivery does not coincide with an in-
country visit.

The Consultant shall provide the following deliverables:

Table 1. List of deliverables

Deliverables Language Recipient Timeline (since
contract start
date)

Task 0. Inception stage

Inception report Eng & Rus GoU, 6 weeks

EBRD
In case of limited access to
information, the Consultant will
specify in the Inception Report (i)
limitations caused due to the
unavailable methods; and (ii)

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Deliverables Language Recipient Timeline (since

contract start
date)

tasks and information which are

not acquired and how the
Consultant intend to complete in
the next stage of the study.

Moving to next phase of the

engagement will require approval
by the OL.

Task 1. Alignment Option Study

Topographic Survey Eng & Rus EBRD 10 weeks

The Geographical and Eng & Rus EBRD 10 weeks

Geotechnical Study

Environmental and Socio- Eng & Rus EBRD 10 weeks

Economic Survey

Traffic survey Eng & Rus EBRD 10 weeks

Draft Report for the Alignment Eng & Rus GoU, 15 weeks
Option Study EBRD

Task 2-3. Draft Report for the Feasibility and PPP Structures

Draft Report on the Feasibility Eng & Rus GoU, 16 weeks

EBRD

Draft Report on PPP structures Eng & Rus GoU, 16 weeks

EBRD

Preliminary Resettlement Plan Eng & Rus GoU, 16 weeks

EBRD

Final documentation stage

Draft Final Report Eng & Rus GoU, 18 weeks

EBRD

Final report Eng & Rus GoU, 22 weeks

EBRD

Equipment handling

If considered necessary, the Consultant will be allowed to (i) hire a short-term office; (ii) hire
car and drivers; (iii) procure equipment such as scanner, printer, laptop associated internet

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connection, software and accessories such as HDM4, 5 special equipment considered

necessary for traffic surveys such as potable axel load, motion sensor, wave detector, aerial
photogrammetry, etc. and (iv) purchase office suppliers, stationaries, and small office items;
provided (a) the advance submission of procurement plan for the OL’s consent; (b) compliance
with the EBRD’s Procurement Policies and Rules;6 and (c) prices within the budget presented
in this agreement. In this case, within a week after the mobilisation the Consultant will submit
to the OL an office set-up and procurement plan for approval.

Disposal of purchased equipment: in case of procuring equipment listed above (iii), the
Consultant shall purchase on behalf of the Counterpart and will turn the purchased equipment
over to the Counterpart upon the completion of the field services by requesting the Counterpart
to sign the turnover certificate. The Consultant will send the signed certificate to the OL.

Donor Visibility

Given the assignment is proposed to be funded through the EBRD’s donor funded technical
cooperation programme; the Consultant will be required to support the client to ensure visibility
of these resources. Support on these visibility aspects can be obtained from the Bank’s
Communications Department. Measures could include but are not limited to:

 All documents produced by the Consultant should mention donor support and bear the
logo of the donor, when appropriate;
 Donor support to the project should be acknowledged in any public communication
(press releases, launch of facilities);
 Local representatives of donors should be invited to any public event organised to
promote the project (press conferences, inaugurations, possibly stakeholder
participation programmes).

Please contact Lucia Sconosciuto (email: [email protected]; tel: +44 20 7338 8155) for
further information. Some donor visibility guidelines can also be provided by the Bank to
Consultants at the start of an assignment.

3.6 Contact

The Consultant will report on all aspects of the Assignment to the EBRD and will notify the
Operation Leader immediately of any potential or occurring material change during the
services.

The EBRD Operation Leader is:

Marcos Martinez Garcia

Associate Director, Sector Specialist at SI3P PPP Advisory Unit, Sustainable Infrastructure
Group, Banking Department

5 HDM4 is the latest version of Highway Development and Maintenance Management System software, of which
development was supported by the World Bank, UK DFID and Asian Development Bank in the 1990s. The software helps
with economic analysis.
6 ‘Shopping’ would normally be appropriate. For larger amounts and more diverse equipment, the Consultant should use a

procurement agent.

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Appendix – 1. Terms of Reference for preparation of preliminary Resettlement Plan

RESETTLEMENT PLAN

TERMS OF REFERENCE FOR RESETTLEMENT CONSULTANT

TASHKENT SAMARKHAND ROAD (UZBEKISTAN)

Scope of works

1. An international resettlement consultant (the Consultant) is expected to review land

acquisition and resettlement risks and impacts for the Tashkent Samarkand Road Project (the
Project) on behalf of EBRD and the Grantor. The Consultant will:

o Assess the scale and significance of land acquisition and physical/economic

displacement and its impact on affected party livelihoods;

o Identify all Displaced People (DPs) likely to experience involuntary resettlement

impacts (i.e. physical and economic displacement) and all assets that may need to be
compensated in accordance with the national legislation and EBRD ESP 2014:
Performance Requirement 5 (PR5);

o Assess if land acquisition and involuntary resettlement process could generate

disadvantages for DPs, especially all vulnerable people, and reputational risks to the
Sponsors (the Consortium) and EBRD. This risk assessment will include a review of
principles and procedures that will be applied for physical relocation of DPs who are
likely to lose their houses and assets due to the Project; and

o Develop an preliminary Resettlement Plan that describes: (i) anticipated scale and
significance of land acquisition and resettlement impacts, including an estimate
number of DPs, inventory of affected assets, preliminary valuation; (ii) roles,
responsibilities, and commitments of the Grantor and the Consortium; (iii) indicative
implementation timeframe; and (iv) required resources or estimate budget for
compensating all DPs and affected assets as per national legislation and EBRD: ESP
2014: PR5.

2. The Consultant will carry out a desk review, analyze the national legislation, and define
key gaps between requirements of the national laws and EBRD ESP 2014: PR5. Based on
the results of the legal review and gap analysis, the Consultant will develop a Risk Sharing
Mechanism for PR5 that will specify roles and commitments of the Grantor and the Consortium
in closing all the gaps with PR5 to ensure the Project is in compliance with EBRD ESP 2014:
PR5.

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Impact Assessment Surveys

3. Conduct an inventory of all affected land and non-land assets and gather sample-
based socio-economic information on the affected parties. Based on the results of the social
impact assessment surveys, the Consultant will commission the sample-based valuation of
impacts/assets and prepare an estimate budget for the preliminary Resettlement Plan. The
estimate budget should be detailed and specify the financial gap that may need to be closed
by the Consortium to ensure the Project is structured to conform with EBRD: ESP 2014: PR5.

Consultation meetings

4. Direct consultation with the Grantor representatives and affected parties will be
undertaken to gather feedback from the affected communities, state agencies, and other
stakeholders. The consultation meetings with the state agencies will focus on discussing the
principles of the PR5 risk sharing mechanism, including the entitlement matrix. The Consultant
will be expected to identify key gaps and propose gap-bridging measures which are
implementable by the Grantor or/and the Consortium. The consultations with the selected
affected communities will be carried out in key locations along the proposed road to discuss
the preliminary Resettlement Plan.. The minutes of all meetings need to be attached to the
Resettlement Plan as annexes.

Preliminary Resettlement Plan

5. The advanced draft of the Resettlement Plan will include an enumeration of all land
acquisition and resettlement impacts, policy analysis and description of gaps, entitlement
matrix reflecting a PR5 risk sharing mechanism, valuation methodology, results of consultation
meetings, and the estimated budget. Please see the proposed outline for the Resettlement
Plan in the annex below for further details.

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Annex 1. Outline of Resettlement Plan

A. Summary

1. provide a concise statement of project scope, key survey findings, entitlement matrix,
and commitments from the Grantor and the Consortium; and

2. describe the institutional arrangements, responsibilities and mechanisms for carrying

out land acquisition and resettlement for the Project.

B. Policy Framework

1. describe all Uzbekistan law and regulations applicable to land acquisition for the
Project;

2. identify gaps between land acquisition related laws applicable for the Project and
EBRD ESP 2014: PR5 requirements;

3. describe how the gaps will be addressed – and how the PR5 risk sharing principles
will be implemented;

4. outline the principles and methodologies used for determining valuations and
compensation rates at replacement cost for assets, incomes, and livelihoods; and

5. set out the compensation and assistance eligibility criteria and how and when
compensation and assistance will be provided.

C. Scope of Land Acquisition and Resettlement

1. identify the Project’s physical and economic displacement impacts on a plot-by-plot

basis with reference to affected households;

2. summarize the effects in terms of assets acquired and people displaced;

3. define displaced person’s entitlements and eligibility, and describe all assistance
measures (in a matrix by category), including relocation of housing/settlements,
different measures for identified vulnerable groups, and legal arrangements to
regularize tenure;

4. list for each land plot acquired for the Project:

a. cadaster values based on the official government land registry or its

equivalent, if relevant;

b. any available history of changes in ownership/use (with the price/value) of the

plot since the time the Project was originally announced; and

c. any data on sale and purchase prices for similar land in immediately adjacent
area; and

5. summarize the process for land acquisition and resettlement as per the national
legislation (both legally defined and commonly practiced procedures).

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D. Entitlements, Compensation, Benefits

1. defines displaced persons’ entitlements and eligibility, and describes all resettlement
assistance measures (includes an entitlement matrix);

2. specifies all assistance to vulnerable groups, including women, and other special
groups; and

3. outlines opportunities for affected persons to derive appropriate development

benefits from the Project.

E. Consultation, Grievance Redress, and Reporting

1. describe affected community consultation and participation mechanisms, including

activities undertaken to disseminate Project resettlement information and any
household census or socio-economic survey activity;

2. summarize consultation results and how the concerns of affected community

members have been addressed (provide minutes of community meetings and other
correspondence where possible);

3. describe the mechanisms to receive and facilitate the resolution of the concerns and
grievances of affected community member; and

4. provide all available reports that summarize monitoring of resettlement related

impacts on affected community members.

F. Commitments

1. specify the roles and commitments of the Grantor and the Consortium to effectively
implement the PR5 risk sharing mechanism and Resettlement Plan under the
existing legislation;

2. summarize commitments, including financial obligations, of the Grantor and the

Consortium in delivering the Resettlement Plan according to the EBRD ESP 2014:
PR5;

3. summarize all future commitments made by the Grantor regarding Project related
land acquisition and resettlement with regards to compliance with EBRD’s safeguard
polices.

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Appendix 2: Guidelines for financial modelling and Summary of financial information.

The Consultant must ensure that the financial model and analysis is accurate, structured,
flexible and transparent, and in line with the specific requirements laid out in the Terms of
Reference. The use of the FAST financial modelling standard (http://www.fast-standard.org)
is preferred, however not obligatory.

The Consultant is expected to present a financial model for the Project that fulfils the
following non-exhaustive conditions:

Accuracy
Terms The model accurately matches all financial and operational
assumptions presented in the available DD information.
The model accurately matches all terms proposed to date in the
Term Sheet, including, but not limited to:
- Facility size, tenor, grace, interest, tranching, currency;
- Financial covenants as contractually defined.
Historical The model includes the last 3 years of (audited) historical financial
statements (not applicable if a green field).
Projections Projections for the running year are in accordance with latest
available estimates / interim results.
Currency Summary table is in the loan currency or as agreed.
Impact of forex variations over time on Financial Statements has
been modelled correctly.
Balance Sheet The model Balance Sheet is balanced under any variation of
inputs.
Accounting Financial Statements is modelled correctly as per IFRS (or local
Standards GAAP if agreed).
Summary Sheet The first output sheet of the model is the Summary Sheet set up in
line with the below instructions.
Check sheet The model includes a separate check sheet, where all model
calculation checks are summarised and presented on an
aggregate basis.
Structure and Flexibility
Columns/ All sheets maintain a consistent column structure and time ruler
time ruler throughout the model.
Sheet order Sheets are arranged so that calculation order flows from left to
right.
Inputs All inputs are separated in a specifically denominated sheet, with
no inputs (hard coded) outside them. The input sheet links through
the model, enabling a fully integrated, flexible model.

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The source of each particular input shall be clearly stated in a

comment (e.g. Feasibility Study, EBRD information, etc.).
Outputs Outputs are presented in specifically denominated sheets, with no
calculations in them.
Formatting Use consistent format styles to improve readability of the model.
Colour coding for inputs, link imports/exports across sheets, etc.
are consistently applied.
Simplicity Complex calculations are avoided by breaking them down into
more basic steps.
No use of excel names.
Transparency
Circularity The model does not have any circularity.
Macros The use of macros has to be kept to a minimum. Macros are short,
concise and easily traceable.
External links No links to external worksheets outside the model.
Hiding The model has no hidden worksheets, rows or columns that
include data, whether material or immaterial. Grouping is allowed.
Offset accounts The model does not have any unexplained "offset" account or
entry to offset mismatches.

Summary Sheet:
The model includes a clear, consistent one page summary to facilitate the understanding of
the financial aspects and drivers of a loan or investment as well as the degree of
vulnerability to identified risks.

The Summary Sheet is to be included as the first sheet in the model in the format shown
below.
The Summary Sheet shall include:
 3 years of historic information (none if a green field / PPP);
 At least the first five years of projected performance (or until beginning of principal
repayment, or the life of the loan if it fits on one page);
 Key assumptions / drivers;
 Related to a particular input can be precisely written;
 Ratios (covenanted and others with standard definitions);
 Breakeven Sensitivities (e.g. DSCR=1 or as agreed);
 Income statement;
 Balance sheet;
 Cash Flow;
 Any additional assumptions, sensitivities, and ratios if considered essential should be
included and fitted on the page.

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