OFFICIAL USE Terms of Reference

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Republic of Turkey

Izmir Metropolitan Municipality

Izmir Buca Metro Line

Technical, Financial, Environmental and Social Due Diligence Study

Terms of Reference

1. BACKGROUND

The European Bank for Reconstruction and Development (the “EBRD” or the “Bank”) has

been asked to assist in preparation of the project aimed at construction of the municipally

owned metro system in Izmir (the “Project”). The EBRD loan of EUR 80 million would be

extended to the Izmir Metropolitan Municipality (the “City” or “IMM”).

Izmir Metro (the “Company”) was established in 2000. The metro system in the City is

primarily an above ground Light Rail Transit (“LRT”) system carrying 240,000 passengers per

day with 182 carriages, a 20 kilometre network and 17 stations. The existing LRT system

consists of one line which starts from Fahrettin Altay station in the southern part of the

metropolitan area and runs towards northeast to end at Evka-3 in Bornova. 7 km of extension

from Narlidere station to Fahrettin Altay district is under construction.

The extension of the current LRT system and further integration of the LRT system with

existing transport modes will enable the provision of frequent and efficient services to Izmir

residents in a way that is fast, reliable, comfortable, and environment-friendly, providing an

alternative to the use of cars.

Buca Metro is the third phase of the Izmir Metro Network and consists of 13.3 km long with

11 stations and a total indoor area of 80 thousands sqm. The Line will start at Bozyaka and

there will be 11 stations namely Bozyaka, Ucyol, Zafertepe, General Asım Gündüz, Şirinyer,

Buca Municipality, Kasaplar, Hasanağa Bahçesi, Dokuz Eylül University, Buca Koop and

Çamlıkule station. Buca line will meet with second stage line along F. Altay-Bornova at Üçyol

Station, with İZBAN line at Şirinyer Station. Train sets along this line will be unpiloted. The

Project is the third phase of the City’s metro network investments. It will result in safer and

more reliable transport services for 350,000 passengers per day.

IMM received approvals from the central government for the investment. The Project is eligible

for foreign financing. The tender process will be launched according to the EBRD’s PP&R and

construction is expected to start in 2020.

Expected construction period is 4 years. The estimated cost of the project is EUR 500 million.

2. OBJECTIVES

The Bank requires the services of a Consultant (the “Consultant”) of this assignment to assist

with the technical, financial, operational, environmental and social due diligence for the

proposed Project prior to making its financing decision. The specific tasks of the Consultants

are to:

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Perform technical due diligence on proposed investment to be financed by the EBRD and

Project co-financiers including cost estimates, financial and economic internal rates of

return and justification of the proposed investments;

Review design and tender documents to ensure compatibility with relevant design

standards and operational requirements; identify any possible needed additionalities for

Project design and/or works contract scoping;

Review the operations of the Company and Company’s Business Plan and provide a brief

history, recent changes and any anticipated or recommended changes which would improve

the operational or financial management of the Company;

Review potential for land value capture funding by the city for future metro operations and

development

Review anticipated transition impact agenda of the Bank, covering namely either

encouraging private sector participation, cost reduction and establishment of a formal Fixed

Asset Management division within the Company which will plan and receive budget for

routine and periodic maintenance in accordance with strict cost and quality controls based

on availability/functionality standards. In addition, the transition agenda may include

development of land value capture methods by the City, for provide additional funding

sources for metro operation and development.

Carry out an Environmental and Social (E&S) Analysis of the Project and prepare an

Environmental and Social Action Plan, and ensure that the prepared Stakeholder

Engagement Plan for the Project complies with EBRD’s Environmental and Social Policy

requirements.

Determine reductions of CO2 and other air emissions to quantify the project’s physical

contribution to the Bank’s GET (Green Economy Transition) approach and provide

recommendations for their implementation.

3. SCOPE OF WORK

Task 1: Technical Due Diligence

The Bank seeks to determine the soundness of the proposed investment for metro line

construction and that the investment shall be sufficient to construct it and ensure the anticipated

level of service. For that purpose the Consultant will:

Review the Project rationale and characteristics and coherence in attracting sufficient levels

of ridership, notably by analysis of existing feasibility study and related documents and

data

Perform detailed review of ridership forecasts based on the most recent Izmir Strategical

Plan and the transport model. The Consultant is expected to review model parameters,

assumptions and scenarios for the new metro line, including hands-on review of model

construction and outputs with City authorities.

Review works definition for all works components, including civil works and structures,

stations, metro track, power supply infrastructure (wiring, feeding cables and substations),

signalling, communication and control systems and auxiliary facilities

Review coherence and completeness of maintenance provisions, both within the works

contract (O&M services) and by the Client

Identify approach for the establishment of a formal Fixed Asset Management division

within Izmir Metro, in line with industry best practice, which will plan and receive budget

for routine and periodic maintenance in accordance with strict cost and quality controls

based on availability/functionality standards.

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Review procurement plan and technical specifications for rolling stock supply and

maintenance

Assess the updated procurement capacity of the client and the allocated risk based on this

assessment, provide a description of the project implementation arrangements, including

the client’s implementation set up and proposed procurement support

Review interface and interoperability compatibility with existing and future planned metro

lines, notably for signalling and control systems, communications, operations management,

power supply and fare collection

Review the capability of the existing depot to stable, maintain and repair the new fleet

Identify any gaps, incompleteness or failings in design and/or works scoping and

recommend remedial actions, either through extended design or works scoping

Review plans for transport interconnectivity for new metro line, both for feeder routes for

metro stations and considering fare structure and ticketing systems

Review design and tender documents to ensure compatibility with relevant design

standards, Health and Safety standards and operational requirements; identify any possible

needed additionalities for Project design and/or works contract scoping

Recommend to the Bank any complementary measures to optimise the benefits of the

proposed investments

Prepare a report with a separate detail assessments for each segment of the infrastructure

that will include: (i) due diligence assessment, including ridership, system capacity and

costing (ii) review of design and tender documents and identification of any design/works

gaps, including maintenance systems (iii) recommendations for metro operations-rolling

stock supply, transport services integration (feeder routes) and systems interoperability;

Asses (i) possibility of implementation delay and cost overrun risks, (ii) strength of EPC

contract and (iii) sufficiency of supplier’s experience and creditworthiness

Encourage the Company to engage into the international benchmarking group that provides

a confidential forum for metros in different countries to share experiences, compare

performance, and identify best practices

Identify approach to establish restructuring measures (key performance indicators for the

maintenance unit: i.e. cost reduction and operational performance improvements) to be

covenanted for the metro operator.

Task 2: Financial and Economic Analysis

The Consultant will prepare a financial and economic analysis of the proposed investment,

which should include the following:

the updated implementation plan including works schedule, rolling stock procurement and

commissioning and O&M period

operational projections (including demand projections) clearly showing how the

Company’s operations will develop in future;

a detailed analysis of cost savings and benefits to the Company (e.g. maintenance costs,

materials, energy costs, etc.) for each Project component as a result of Project

implementation;

a financial model for a period of 15 years from 2019 including affordable fare assumptions;

calculation of the Financial Internal Rate of Return (“FIRR”) of the proposed Project, and

provide assumptions and justifications;

calculation of the Economic Internal Rate of Return (“EIRR”) of the proposed Project and

provide assumptions and justifications; and

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assessment of the affordability of proposed fare levels for customers, particularly mid and

low level income households and other vulnerable groups and propose recommendations

for adjustment of proposed fare structure.

Feasibility study of the project

financial analysis of the City for the last three years.

The Consultant will prepare a financial model of the City including financial projections for 15

years (i.e. base case, optimistic, pessimistic, FX stress scenarios etc), which shows if City has

robust financial status to implement the Project in line with public finance standards.

The projections should contain reasonable assumptions and projections and be agreed with the

Bank.

Task 3: Environmental and Social Due Diligence

Categorised IESE. The Project will be categorised once more information becomes available

on the line alignment, below and aboveground project components, and land acquisition.

The E&S assessment process will be commensurate with, and proportional to, the potential

impacts and risks of the Project and the Client’s existing and future operations. The assessment

will cover, in an integrated way, all relevant direct and indirect environmental and social

impacts and risks of the Client’s operations, the Project and the relevant stages of the project

cycle (e.g. pre-construction, construction, operation, and decommissioning or closure and

reinstatement).

An Environmental and Social Audit is required to assess the Client’s current and proposed

operations in terms of compliance with national legislation, national or local permitting

requirements, the relevant provisions of the EBRD Environmental and Social Policy and

Performance Requirements and pertinent EU environmental standards. Further, the audit must

review possible historical environmental and social issues, such as potential contamination of

soil and/or groundwater or land acquisition disputes. The audit shall also include

recommendations for the implementation phase in terms of E&S resources.

The Environmental and Social Assessment will also determine whether further studies are

required, focusing on specific risks and impacts, such as climate change, human rights and / or

gender.

As part of the E&S Assessment and E&S Audit, the Consultant is also required to conduct a

gender analysis in order to assess whether women or men would be disproportionally affected

by the proposed investment and to identify any opportunities to address their needs and

concerns so as to enable them to benefit to a greater extent from the Project activities.

The Project shall be structured to conform to EBRD PRs and other E&S requirements. The

Consultant must include a PR compliance table in their reports to demonstrate how the Project

each PR.

The Consultant will present a report which assesses, and so far as possible, quantifies all the

environmental and social impacts of the Project. Where there are potential negative impacts of

the Project, appropriate mitigation measures should be proposed and costed.

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The Consultant will prepare the following deliverables:

E&S Audit and Assessment Report

Environmental and Social Action Plan (ESAP)

Stakeholder Engagement Plan (SEP)

Land Acquisition and Livelihood Restoration Plan (LALRP)

Non-Technical Summary (NTS)

The Consultant will review (but not be limited to) the existing studies and baseline data

available from the City. Following the review of available data, the Consultant will visit the

site, to obtain any supplemental information needed to complete the E&S Assessment and carry

out the on-site activities necessary to fulfil the E&S Audit reporting requirements. Following

completion of the data review and site visit the Consultant will deliver a summary of key

findings.

More details on the scope of work of the environmental and social assessment and deliverables

are provided in ANNEX I.

Task 4: Operational and Institutional Assessment

The Consultant will:

Prepare an overview of the Company’s history including the current legal and constitutional

status and ownership, the regulatory structure, the Board and management structure and

memberships, and the management decision making structure;

Review the operations of the Company and assess it against equivalent companies along

with description and staffing of the main operational and administrative departments;

Describe the billing/fare and accounting system and assess the effectiveness of the

accounting and finance departments;

Describe how financial allocations from the State and City budgets to the Company are

being calculated, claimed and paid; and

Review management practices and use of KPIs as management tools and performance

incentives

Provide any recommendations for operational or financial management improvements both

in general or which should be covenanted in the EBRD loan agreement.

Task 5: Restructuring Measures for Izmir Metro

The Consultant will, on behalf of the Bank, and in consultation with the Company, the City of

Izmir and the Ministry of Transport and Communications:

Support the company in reviewing existing PSC performance and monitoring indicators,

asset management practices, operation of park-and-ride facilities and further efficiency

improvements and private sector involvement.

Assess capabilities of the City of Izmir in metro service planning, contracting and service

monitoring;

Identify strategies to improve the Company’s O&M activities;

However, detailed preparation and approval of afore mentioned measures are not part of these

services, which will be performed under a separate assignment, also with support of the Bank.

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Task 6: Assessment of potential for land value capture to support metro development

Land value capture aims to retrieve the economic benefit from land value increase and generate

a local-based funding source to complement existing public funds for future operation and

expansion. Such funding sources need to consider enforcement feasibility and degree of

revenue autonomy at regional and local levels.

The Consultant shall perform a strategic assessment of potential for land value capture methods

and recommend a course of action, for possible support under the transition impact agenda of

the Bank. The study will consider at least two general categories of instrument, namely those

that elicit revenue from existing urban fabric, through municipal taxes, special assessment

districts or other such mechanisms, and those that generate income through sale/lease of land

for development or joint development of land in areas that will be strongly served by the metro

system. The Consultant shall use key findings from international experience of urban transport

funding, including the land sales and leaseholds (e.g. Cairo, Mumbai), property taxes and

betterment levies (e.g. Bogota, Durban), business rate/council tax supplements (e.g. UK),

transport tax (e.g. France), value capture finance (e.g. Brazil, Australia, Hong Kong, US), with

specific assessment of applicability in the Izmir context.

The study shall:

Consult with city authorities and land development agencies, regarding land policies,

regulations, policies and practices, development plans within the metro project area and

plans and views on developing LVC policies in the city

Review existing fiscal and regulatory policy towards land value capture, notably

including notably commercial, business rates and council taxes, property development

taxes; identification of revenue-raising authority (whether local or national)

Perform outline assessment of real estate market indicators/property prices, trends and

main parameters and coefficients for metro development, based on distance from metro

station (500m, 1km, 2km) and available local (e.g. Izmir, Istanbul metro etc), as well

as international, data and experience

Outline institutional, legal and regulatory constraints for land value capture methods,

including site developments

Compile a schedule of all potential development zones along the length of the proposed

route indicating the scale of the opportunity, and the specific nature of the opportunity

– defined in terms of positive attributes and development constraints.

Based on above assessment and relevant consultations and specialist knowledge and

experience, the Consultant shall prepare a strategic ‘quality based’ assessment of possible LVC

options, using outline ‘likely range estimates’, including inter-alia:

Financial impact (scale of possible benefits)

Economic case (level of alignment with economic benefits- equity, efficiency etc)

Process issues for revenue collection/fund management, capacity requirements

Outline nature, scale of legal, regulatory and institutional constraints

Likely level of public acceptability, affected actors and level of resistance (outline

stakeholder assessment)

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The Consultant shall recommend most viable LVC options for further study, and outline a

course of action, including next steps for their development in Izmir, and potentially other cities

in Turkey.

Task 7: Review anticipated transition agenda of the Bank

In order to enhance sustainability of the Project, the Consultant will undertake the following

tasks:

The Project is expected to result in significant reductions in air pollutant and GHG

emissions compared to current operations achieving a transport modal shift from high-

carbon modes such as private cars and minibuses to metro systems having zero carbon

emissions profile at the local level.

The implementation of a Corporate Development Programme (“CDP”). In the first

metro project for IMM, the Bank provided technical assistance to review and improve

existing Key Performance Indicators (“KPIs”) and their public disclosures as well as

increased non-fare revenue share to 4%, and private sector involvement for cleaning

and security services as well. As a continuation of the CDP, the Bank will provide

technical assistance to encourage more private sector participation and reduce costs

which would support the underlying financial performance objective under CDP, as

well as establish the merits of creating a formal Fixed Asset Management division

within Izmir Metro, in line with industry best practice, which will plan and receive

budget for routine and periodic maintenance in accordance with strict cost and quality

controls based on availability/functionality standards. The consultants are expected to

provide information as to what activities shall be included under the CDP, such as the

support of the creation of a formal Fixed Asset Management division within Izmir

Metro, enhanced disclosure of KPIs, and the development of corporate development

and training programmes via collaboration with the Izmir Metro Company and focusing

on the corporate development angles.

Possible development of Land Value Capture methods. In this instance, the Bank may

consider additional technical assistance for further studies and actions identified under

task 6.

With respect to the above, the Consultant will review the anticipated transition impact agenda

of the Bank and advise on:

Main issues and challenges

Principal data sources, institutional and legal framework

Outline scope for future assignment to be implemented with Bank support

4.1 DELIVERABLES

All deliverables will be submitted in draft and final versions, in English, as Word documents.

Executive summary of reports and summary papers (main findings/gaps and recommendations)

will be also prepared in Turkish, both hardcopies and softcopies. All final reports, as listed

below, will be submitted to the Bank (to EBRD Istanbul and London offices) in English, as

hardcopies and soft copies. The financial model will also be submitted in MS Excel file format.

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Payment and deliverable schedule will be adjusted as per relevant components - timelines are

shown below.

Document No. copies in

English

No. copies in

Turkish

Deadline for

submission

Inception Report 4 3 M + 2 weeks

Draft Technical Due Diligence Report including

economic and financial assessment, review of

design and tender documents

4 3 M + 6 weeks

Final Technical Due Diligence Report including

economic and financial assessment, review of

design and tender documents

4 3 M + 8 weeks

Draft Operational and Institutional review

including recommendations for PSC and for

anticipated transition agenda

4 3 M + 8 weeks

Final Operational and Institutional review

including recommendations for PSC and for

anticipated transition agenda

4 3 M + 10 weeks

Final Report 4 3 M + 12 weeks

M = commencement date of the assignment

Please see ANNEX I for Task 3: Environmental and Social Due Diligence deliverables.

All reports will be submitted to the Bank in hard copy and as consolidated PDF files. The

financial model will also be submitted in MS Excel file format.

Comments on draft versions are expected to be provided by the Bank within 1 week from report

submission. The Consultant will submit final versions 1 week after receipt of comments.

The final report will provide a summary of outputs produced under the study, key issues

addressed and summary of recommendations.

4.2 PROJECT DISSEMINATION

4.2.1 Knowledge Platforms

Subject to approval by Client and in order to ensure links into emerging international online

project information platforms for the infrastructure sector, the Consultant will facilitate the

upload and updating of non-confidential Project information on-line via:

International Infrastructure Support System (http://public.sif-iiss.org/) - an online cloud

based project preparation and management tool, which provides templates for

infrastructure projects, with the aim of improving the quality, consistency and

transparency of project preparation and designed to speed up the delivery of

infrastructure in the public sector across the developing world.

Global ViP (https://www.gvip.io/mygvip) – an online public utility tool which uses

social networking technology to tap into a large pool of sector experts who can be

consulted to improve project design , hence providing infrastructure project decision-

makers, public and private sector users just-in-time access to expertise

worldwide. GViP is aimed to address the issue of project development and project

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preparation by allowing project developers (public and private) rapid, accurate, access

to global expertise.

The overall aim is to disseminate EBRD project information on-line and ultimately to increase

project quality, reduce project development costs, and reduce project preparation time. On this

task, the Consultant will report to IPPF representative, as instructed by the Bank. Further

information on IISS and GViP can be provided to the Consultant at the start of the assignment,

including User Guides on these Platforms.

4.2.2 Project Profile

The Consultant will produce a 2-page “Project Brief” outlining the project background,

description, context and outcomes of the Project – to be used by the Bank in its reporting to

other stakeholders internally and externally. An example Project Brief shall be provided to the

Consultant at the start of the assignment.

5. CONSULTANT’S PROFILE

The Consultant’s team will need to demonstrate in-depth experience with similar projects,

preferably in Turkey or in the region. The following experts considered necessary for

successful implementation of this assignment:

Key experts

(i) Project Manager - transport planner/specialist

(ii) Local project manager – transport specialist

(iii) Rail infrastructure specialist (civils, M&E)

(iv) Rail systems specialists (power, communication, signalling)

(v) Transport economist-traffic modeller

(vi) Urban development and land value capture specialist

Other experts

(i) Health and safety specialist with experience in tunnel works

(ii) Financial expert

(iii) Legal expert (PSC)

(iv) Other support experts, as deemed necessary by the Consultant.

The Consultant will be responsible for the mobilisation of the right mix of qualified foreign

and local experts, as required, for the different tasks outlined above. Key experts will preferably

have 15 years’ experience in the activity which they are proposed for in a similar position

including urban transport/rail projects; other experts will preferably have 5-10 years’

experience. Since most documentation is in Turkish, the team should include sufficient Turkish

speaking experts notably the local project manager-coordinator and other experts and/or

support experts.

The Consultant will ensure good working practice with locally available skills and capacity

and is encouraged to source locally available experts, where possible.

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In this respect, the Consultant is also encouraged to complement the team with local Young

Professionals (“YP”) when appropriate. A YP should be a recently graduated Turkish national,

with at least a Master’s degree in a field relevant to the Project. The objective is for practical

knowledge transfer to occur between experienced professional consultants and the YP. This

will be an opportunity for the YP to gain real-world sector experience, acting as a junior

member of an international consulting team.

Please also see below specific qualification requirements:

Position Qualification Requirements

Project Manager - B.Sc. degree in civil engineering or similar.

- Preferably 15 years’ experience in urban rail design and construction

or construction supervision

- Preferably 8 years as project manager or team leader for similar

projects

- At least 5 years’ experience in procurement rules of Multilateral

Development Banks and implementation of contracts under FIDIC

conditions of contracts.

- Fluent in English

- Fluency in Turkish would be an advantage.

Local Project Manager - B.Sc. degree in civil engineering or similar.

- Preferably 15 years’ experience in urban rail design and construction

or construction supervision

- Preferably 8 years as project manager or team leader for similar

projects

- At least 5 years’ experience in procurement rules of Multilateral

Development Banks and implementation of contracts under FIDIC

conditions of contracts.

- Fluent in Turkish and English.

Rail Infrastructure

Specialist & Rail

Systems Specialist &

Transport Economist –

Traffic Modeller

- B.Sc. degree in civil engineering or similar.

- Preferably 10 years’ experience in urban rail design, construction

and/or construction supervision.

- Experience in preferably minimum 2 similar assignments (review of

or design of urban rail network infrastructure).

- Have all the relevant qualifications requested by the Turkish laws to

review designs and technical specifications for works in the urban rail

sector.

- Experience in procurement rules of Multilateral Development Banks

and implementation of contracts under FIDIC conditions of contract.

- Fluent in English.

- Fluency in Turkish would be an advantage.

Financial Expert - B.Sc. degree in finance, accounting, economics or similar relevant

qualifications.

- Preferably 10 years’ experience in accounting, audit or finance.

- Experience in financial reporting for projects financed by Multilateral

Development Banks of International Donors.

- Expertise in setting up financial management system suitable for the

Project and to satisfy the Multilateral Development Banks or

International Donors requirements for disbursement.

- Knowledge of requirements of Turkish legislation concerning issues

relevant to this procurement would be an advantage.

- Fluent in English.

- Fluency in Turkish would be an advantage.

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Environmental

Specialist

- B.Sc. degree in biology, environment or similar.

- Preferably 5 year’s experience in environmental studies and EIA

impact assessment.

- Specific experience in environmental requirements according to Local

law.

- Fluent in English.

- Fluency in Turkish would be an advantage.

Health and Safety

Specialist

- B.Sc. degree in relevant sector.

- Preferably 5 years’ experience in similar projects.

- Specific experience in safety of construction for infrastructural

projects.

- Good knowledge and understanding of EBRD’s environmental and

social requirements and past experience of assistance in their

successful implementation.

- Fluent in English.

- Fluency in Turkish would be an advantage.

Social Specialist - B.Sc. degree in relevant sector.

- Preferably 5 years’ experience in similar projects within the required

sector.

- Good knowledge and understanding of EBRD’s environmental and

social requirements and past experience of assistance in their

successful implementation.

- Fluent in English.

- Fluency in Turkish would be an advantage.

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ANNEX I

Environmental and Social Assessment for EBRD

TERMS OF REFERENCE

a. Applicable Requirements

The E&S Assessment is to be carried out by the Consultant in accordance with:

Applicable local, national and regional requirements, including those related with

environmental and social impact assessments;

The EBRD’s ESP (2019) (and the incorporated Performance Requirements (PRs)), and

relevant European Union (EU) requirements (including, but not limited to, the EU EIA

Directive and Industrial Emissions Directive);

Relevant international conventions and protocols relating to environmental and social

issues, as transposed into national legislation

b. Environmental Objectives

The objective of the Consultant is to identify and assess the potentially significant existing and

future adverse environmental and social impacts associated with the proposed Project, assess

compliance with applicable laws and the EBRD ESP and PRs, determine the measures needed

to prevent or minimise and mitigate the adverse impacts, and identify potential environmental

and social opportunities, including those that would improve the environmental and social

sustainability of the Project.

The assessment process will be commensurate with, and proportional to, the potential impacts

and issues of the Project. The assessment will cover, in an integrated way, all relevant direct

and indirect environmental and social impacts and issues of the Project and the relevant stages

of the Project cycle (e.g. pre-construction, construction, operation, and decommissioning or

closure and reinstatement).

The Environmental and Social Assessment will also determine whether further studies are

required, focusing on specific risks and impacts, such as climate change, human rights and / or

gender.

As part of the E&S Assessment, the Consultant is also required to conduct a gender analysis in

order to assess whether women or men would be disproportionally affected by the proposed

investment and to identify any opportunities to address their needs and concerns so as to enable

them to benefit to a greater extent from the Project activities.

c. Scope of Work

The Consultant will:

Identify existing and Project-related environmental and social impacts and risks;

Describe and characterise a relevant environmental and social baseline commensurate with

the risks posed by the current site operations and the Project;

Develop a draft E&S Assessment report in accordance with the Bank’s requirements as

defined in the ESP, including a Compliance Summary table with the Bank’s PRs;

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Prepare a draft Stakeholder Engagement Plan (SEP), a grievance mechanism, draft

Environmental and Social Action Plan (ESAP) and draft Non-Technical Summary (NTS);

Identify gender gaps with respect to service provision and career opportunities at the

Company with a view to establishing interventions and structuring the dialogue with the

client to address these gaps

Determine emissions savings of the Project, including CO2 and toxic emissions (NOx,

SOx, CO, PM etc) based notably on modal transfer from existing transport mode.

Identify if any additional studies will be required to cover relevant aspects in greater

detail (e.g. biodiversity, land acquisition and livelihood restoration plan,

retrenchment/demobilisation plan, contractor control management plan etc,). (Any such

work, if required to be undertaken, will be commissioned under separate Terms of

Reference); and,

Finalise all documentation further to the EBRD, other lenders’ (if involved) and Company’s

comments.

d. Review of Available Data and Site Visit

The Consultant will review (but not be limited to) the existing studies and baseline data

available from the City. Data and documentation are in English and Turkish. This list is not

exhaustive and the Consultant must be prepared to review, and also request, further

documentation that does not appear above.

Following the review of available data, the Consultant will visit the site, to obtain any

supplemental information needed to complete the E&S Assessment. Following completion of

the data review and site visit the Consultant will deliver a summary of key findings (see section

3.3.1).

e. Environmental and Social Assessment

i. Environmental and Social Assessment

A. Project Description & Identification of Relevant Associated Activities & Operations

The Consultant will prepare a description of the Project including details of any alternatives1

considered for the Project and information on neighbouring operations and activities. In

accordance with EBRD PR1, paragraph 9, the Consultant will identify:

(i) Any potentially significant environmental and social and gender issues or risks associated

with relevant other activities or facilities, which are not part of the Project but which may

be directly or indirectly influenced by the Project, exist solely because of the Project or

could present a risk to the Project;

(ii) Cumulative impacts of the Project in combination with impacts from other relevant past,

present and reasonably foreseeable developments;

(iii) Unplanned but predictable activities enabled by the Project that may occur later or at a

different location; and,

(iv) Environmental and social risks associated with the primary supply chains central to the

Project’s core operational functions.

1 Project alternatives to include: Zero (“no project”) alternative, siting and routing alternatives, infrastructure

and traffic connection alternatives, design alternatives

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B. Analysis of Legal Requirements

The Consultant will identify applicable local, regional and national environmental and social

/labour laws and regulatory requirements of the jurisdictions in which the Project operates,

including those laws implementing host country obligations under international law. The

Consultant will analyse local/national assessment and permitting requirements and the EBRD

environmental and social requirements and compare them within a gap analysis in tabular

format, presented to the structure of the EBRD PRs.

The Consultant will determine the compliance of the Project with the applicable requirements,

together with the status of any material permits or authorisations that are required. For example,

if a Land Acquisition/Livelihood Restoration Plan etc. are available the Consultant shall review

the information on legal requirements to confirm if any gaps exist with the PR5 requirements.

C. Baseline Conditions

The E&S Assessment will include a review of the aspects of the physical, biological and socio-

economic environment likely to be affected by or might affect the proposed Project. It will also

include a high level assessment of the environmental, safety and social aspects of the existing

metro system. Indicative guidance on the contents of the overall assessment is provided in

Annex 1.

The baseline assessment will include consideration of the inter-relationship between the

relevant factors, as well as the exposure, vulnerability and resilience of these factors to

natural and manmade disaster risks.

Project Assessment

In accordance with the Bank’s ESP (2014), the Consultant will analyse the potential

environmental and social impacts and risks of the Project, as well as opportunities that the

Project may provide, including infrastructure development (e.g. water, wastewater, a heat and

electricity distribution networks, transportation access) and other associated facilities, for

which the EBRD financing is being sought.

The E&S Assessment will include a review of the likely effects of the proposed Project on the

physical, biological and socio-economic environment to provide an identification and

characterisation of potential E&S impacts, including beneficial (as well as adverse) impacts.

The E&S Assessment will include a detailed review of the safety features and tunnel integrity

considering the risk of seismic events in the region. It will also address any risks that the project

might pose to the stability of nearby buildings.

This review will be structured to include all relevant stages of the Project’s life, eg.

construction, operation and maintenance, closure and decommissioning, and residual E&S

impacts. The level of analysis and reporting will be commensurate with the risk magnitude of

the identified issues. Indicative guidance on the contents of the overall assessment is provided

in Annex 1.

D. Management of Impacts and Issues

For each identified adverse future impact, issue and/or risk, the Consultant will propose

measures to avoid, minimise, mitigate or compensate for them.

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EBRD PR Compliance Assessment

Based on the results of the E&S Assessment, the Consultant shall evaluate the compliance

status of the Project with the EBRD PRs using the format provided in Annex 2.

f. REPORTING

Upon completion of Sections 3.4 and 3.5, the Consultant shall prepare the following reports of

the assessment findings.

i. Summary of Key Findings

On completion of the data review and site visit the Consultant will deliver a Summary of Key

Findings to present the initial findings of the work to-date. This report will summarise the key

issues that have been identified and, if necessary, will highlight the need for any additional

studies, eg. in relation to resettlement, livelihood, retrenchment, biodiversity, etc. This

document will be delivered by email or in presentation format.

ii. E&S Assessment Report

The Consultant will provide a concise but comprehensive report of the overall E&S

Assessment. The guidance for the report content provided in Annex 1 may be used to structure

the report but the Consultant is expected to use their professional experience to determine the

final contents.

iii. Environmental and Social Action Plan (ESAP)

The Consultant shall develop a comprehensive ESAP to address issues identified during the

E&S Appraisal. The ESAP will focus on those issues that are required to bring the operations

into compliance with the EBRD’s requirements and will be presented and sequenced by PRs.

Actions identified must be numbered, clearly defined, indicate a time frame for completion

(with specific reference to those actions that must be completed before financial close if

appropriate) and a responsible party specified. Further, each item must contain a description of

the factors that will be used to determine when the identified action is closed/completed. The

Consultant will also inform the Company about any material budget implications of ESAP

items (although this information may not be required in the public domain).

The ESAP will be compact and, if needed, details will be included in sub-plans referenced in

the main ESAP.

The required format the ESAP is given in Annex 3.

iv. Stakeholder Engagement Plan (SEP)

The Consultant shall prepare a draft SEP in compliance with the PR10. The scope and level of

detail of the SEP will be scaled to fit the needs of the Project and the objectives of EBRD PR10.

Following review of the Project operations, the Consultant will propose a format best suited

for the specific Project needs. Guidance for the contents of an SEP is provided in Annex 4.

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v. Land Acquisition and Livelihood Restoration Plan (LALRP)

1.1.1. The Consultant shall prepare a draft Land Acquisition and Livelihood Restoration Plan

(LALRP) in line with the principles and requirements of EBRD PR 5 (if required).

vi. Non-Technical Summary (NTS)

The Consultant will prepare, in consultation with the Company, a concise, over-arching,

standalone NTS. The NTS will be written in non-technical language and the Consultant will

ensure that the NTS can be used to demonstrate compliance with the EBRD requirements, and

provide confirmation that the documents are ready for public disclosure.

An indicative list of issues for the NTS is given in Annex 5.

4. IMPLEMENTATION ARRANGEMENTS, REPORTING AND DELIVERABLES

The contract is expected to have a total duration of approximately 8 weeks. The Consultant

will report to the EBRD’s Operation Leader, whilst liaising with the City and the Company,

and the State as necessary.

The Consultant will be responsible for arranging its work from its home/local offices, and for

covering all costs associated with accommodation, travel and living expenses,

communications, materials, printing and report preparation etc. The EBRD will provide access

to all relevant information in its possession, to enable work to commence full speed under each

assignment. Further information is expected to be provided by the Company. Once mobilised,

the Consultant is expected to liaise with the Company for the completion of their tasks.

The Company is expected to provide furnished and serviced office accommodation for the

Consultant, plus suitable office space for meetings. They will also provide access to all relevant

information, studies, reports, legal documents etc. at no cost to the Consultant, although it may

be expected that the Consultant will need to source considerable additional data for the

assignment. The materials will be delivered to the Consultant in the original version (i.e. not

necessarily in English).

a. DELIVERABLES

All deliverables will be submitted in draft and final versions, in English, as Word documents.

Executive summary of reports and summary papers (main findings/gaps and recommendations)

will be also prepared in Turkish, both hardcopies and softcopies. All final reports, as listed

below, will be submitted to the Bank (to EBRD Istanbul and London offices) in English, as

hardcopies and soft copies. The financial model will also be submitted in MS Excel file format.

Payment and deliverable schedule will be adjusted as per relevant components - timelines are

shown below.

Document No. copies in

English

No. copies in

Turkish

Deadline for

submission

Summary of Key E&S Findings 4 3 M+ 3 weeks

Draft Environmental and Social Due Diligence

Report, which includes a PR compliance table

(see Annex 1)

4 3 M + 8 weeks

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Draft Land Acquisition and Livelihood

Restoration Plan ( if required) 4 3 M + 8 weeks

Draft Environmental and Social Action Plan

(ESAP) (see Annex 3) 4 3 M + 8 weeks

Draft Stakeholder Engagement Plan (SEP) (see

Annex 4) 4 3 M + 8 weeks

Draft Non-Technical Summary (NTS) for

disclosure to the public (see Annex 5) 4 3 M + 8 weeks

Final documentation The final versions of the

SEP and NTS, LALRP 4 3 M + 8 weeks

Final Report 4 3 M + 8 weeks

M = commencement date of the assignment

All reports will be submitted to the Bank in hard copy and as consolidated PDF files.

Comments on draft versions are expected to be provided by the Bank within 1 week from report

submission. The Consultant will submit final versions 1 week after receipt of comments.

The final report will provide a summary of outputs produced under the study, key issues

addressed and summary of recommendations.

5. CONSULTANT’S PROFILE

The Consultant’s team will need to demonstrate in-depth experience with similar projects,

preferably in Turkey or in the region. The following experts considered necessary for

successful implementation of this assignment:

Key experts

(vii) Local project manager

(viii) Environmental specialist with extensive experience in ESIAs and E&S due

diligence and EHS audits

(ix) Social specialist with experience in Turkey, including public consultation in the

local context, gender expertise, land acquisition and resettlement expertise and,

(x) Labour expert with experience in labour audits in line with national laws and ILO

standards.

Other experts

(v) Health and safety specialist with experience in tunnel works

(vi) Other support experts, as deemed necessary by the Consultant.

The Consultant will ensure good working practice with locally available skills and capacity

and is encouraged to source locally available experts, where possible.

In this respect, the Consultant is also encouraged to complement the team with local Young

Professionals (“YP”) when appropriate. A YP should be a recently graduated Turkish national,

with at least a Master’s degree in a field relevant to the Project. The objective is for practical

knowledge transfer to occur between experienced professional consultants and the YP. This

will be an opportunity for the YP to gain real-world sector experience, acting as a junior

member of an international consulting team.

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ANNEX 1

SAMPLE REPORT FORMAT FOR AN E&S ASSESSMENT REPORT (GREENFIELD)

Note: The following is an indicative list of issues for possible inclusion in an E&S Assessment

report for a Greenfield Project. The Consultant is expected to use its professional judgement to

determine what issues (either listed below or additional) are relevant to the Project. Issues which

are not relevant to this project should be covered by a short statement that they have been

considered but do not apply in this case.

Executive Summary

A concise summary description of the Project, its rationale, the existing operations and overall

setting, significant environmental and social impacts, recommended mitigation and enhancement

measures, monitoring proposals, and the extent of the Client’s commitment to these

recommendations and proposals.

1 | Project Description

Precise description of the Project within its geographical, environmental and socio-economic

context. This should include information on whether and how the Project is part of a wider

development plan/programme. A systematic comparison of feasible alternatives to the project in

terms of location, project technology or design in terms of potential environmental and social

impacts. This should include the ‘do-nothing’ option.

2 | Legal Requirements

Outline of the policy, legal and administrative context of the ESIA summarising the environmental

and social and project approval requirements of the Bank, co-financiers and applicable

regional/global conventions or agreements. The timeframe for public consultation, project

appraisal and implementation should be outlined.

Applicable IFI Environmental and Social Assessment procedures

Host Country, Regional and International Regulatory Framework, standards and

guidelines, treaties applicable

Approach to benchmarking

3 | Baseline Conditions

A description of relevant aspects of the physical and natural environment and socio-economic

conditions in areas affected by the existing operations and the Project to include, inter alia:

Air emissions and noise;

Biological and ecological resources (fauna, flora, biodiversity, protected species, critical

habitats, ecosystems);

Climatic factors and climate change (e.g. greenhouse gas emissions, including from land

use, land use change and forestry, and sectors of population more affected by climate

change);

Cultural heritage, including architectural and archaeological heritage;

Geomorphology and geology;

Land (past and current use, permanent or temporary acquisition);

Land use patterns

Landscape and visual aspects; and,

Material assets;

Mitigation potential and impacts relevant to adaptation;

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Other social issues: community, settlement patterns and residential properties, vulnerable

groups

Public and / or site specific transportation system;

Socio-economic status of the population (disaggregated by gender, age, ethnicity, and other

social characteristics);

Soil (organic matter, erosion, compaction, sealing);

Stakeholder engagement practices

Water (accessibility, quantity and quality, surface and groundwater) and waste water

management;

Labour standards (national laws and ILO standards)

Worker and public health and safety;

4 | Potential Impacts

Identification of the potential environmental and social impacts that could be associated with the

existing operations and the Project, including those of an indirect and cumulative nature. Impacts

which are unlikely to arise or be insignificant should be recorded, together with the rationale for

why they are considered to be unlikely or insignificant. Potential impacts must be considered at

the following levels:

Local impacts

National impacts

Regional/Global impacts

5 | Characterisation of Impacts and Opportunities

Identification and characterisation of positive and negative environmental and social impacts in

terms of magnitude, significance, reversibility, extent and duration. The possibility for cumulative

impacts is to be considered. Quantitative data must be employed to the greatest extent possible.

The chapter should also identify opportunities for environmental and social enhancement and

identify key uncertainties and data gaps. Both the existing operations and the following Project

stages must be considered in this evaluation where appropriate:

Construction phase

Operation and maintenance

Closure and decommissioning

Residual environmental and social impacts

6 | Management of Impacts and Issues

An outline of the feasible cost-effective measures to avoid, minimise, mitigate or compensate for

environmental and social impacts to acceptable levels and address other environmental and social

issues; such as the need for worker health and safety improvements, inter-agency coordination,

community involvement, institutional strengthening or training within the executing agency/

governmental agencies/Client or at the community level. Additionally, an outline of any measures

that would enhance environmental and social aspects within the area affected by the Project and

the existing operations and characterisation of the nature of any residual environmental and social

impacts or issues that have not been addressed. A description of the financial provisions for

potential risks (for example escrow accounts and insurance cover to provide for inter alia

abandonment and decommissioning, site remediation and oil spills and other emergencies). Both

the existing operations and the following Project stages must be considered where appropriate:

Construction

Implementation and maintenance

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Closure and decommissioning

Residual environmental and social impacts

7 | Monitoring and Supervision

A description of how environmental and social impacts and issues will be monitored and managed

in practice; including an indication of how the Project will be supervised by lenders and

governmental agencies. Estimates should be provided for capital expenditure and operation and

maintenance costs where possible. The following stages must be considered where appropriate:

Construction

Implementation and maintenance

Closure and decommissioning

8 | Mitigation and Management Plan

A record of all measures required to address environmental and social impacts and issues as well

as monitoring and supervisory activities associated with these should be consolidated in tabular

form. This should also indicate institutional responsibilities, timeframes and associated costs.

Appendices

Names of those responsible for preparing the E&S Assessment

References and sources of information

Records of public meetings and consultations held

Supporting technical data

EBRD Compliance Summary Table (see Annex 2)

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ANNEX 2

ENVIRONMENTAL AND SOCIAL ASSESSMENT: COMPLIANCE SUMMARY TABLE

Introduction

The Compliance Summary provides a systematic review of project compliance with the EBRD Environmental and Social Policy, as defined through the

applicable Performance Requirements (PRs). Scope of compliance is all PRs applicable to non-FI projects. The review is intended to provide a baseline

against which to judge future performance of projects through the annual environmental and social reporting process.

Between 2 and 10 indicators are identified for each of the applicable PRs: 1, 2, 3, 4, 5, 6, 7, 8 and 10.

Guidance

For all PRs (Indicators with whole number references) provide a summary of overall compliance with the PR. Justification for any derogation from a

PR should be summarised and supporting documents referenced.

For each indicator within a PR, please complete the 3 steps below:

1. Decide whether the indicator is applicable. For Category A and B projects the starting point is that all indicators are applicable unless the

project has no significant aspects relevant to the indicator (i.e. no risks), in which case the indicator should be scored "NA" and a brief summary

of the reason given. For Category C projects the starting point is all indicators are NA unless the project has a significant aspect relevant to the

indicator (i.e. there is a material risk).

2. Decide whether an opinion is possible. If not (for example if the indicator will apply, but it is too early in the project) score as "NOP" and

provide a brief summary of why. Where lack of opinion represents a material omission to the review refer to where this is addressed in the report

and summarise any recommendations.

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3. Score the indicator as follows and provide brief justification.

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 measure 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.

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. The table below illustrates the approach to be taken.

Risk

High PC MN MN

Medium PC PC MN

Low FC PC PC High Medium Low Confidence

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KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

1 Assessment and Management of Environmental and Social Impacts and Issues

Summary:

1.1 Environmental and Social Assessment

1.2 Environmental and Social Management Systems

1.3 Environmental and Social Policy2

1.4 Environmental and Social Management Plan

1.5 Organisational Capacity and Commitment

1.6 Supply Chain Management

1.7 Project Monitoring and Reporting3

2 Labour and Working Conditions

Summary:

2.1 Human Resource Policies and Working Relationships

2.2 Child and Forced Labour

2.3 Non-Discrimination and Equal Opportunity

2.4 Workers Organizations

2 Where the project represents a substantial extension to the client activities, confirm that Policy and supporting management systems and plans are appropriate for the new activities.

3 At appraisal stage there will be limited information. Compliance assessment should address specific plans for monitoring and reporting (against for example ESAP requirements) and

also consider whether there is evidence of weak monitoring/reporting by client on other relevant projects - which may reduce confidence in future performance.

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KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

2.5 Wages, benefits, and conditions of work and accommodation

2.6 Retrenchment4

2.7 Grievance Mechanism

2.8 Non-Employee Workers

2.9 Supply Chain

2.10 Security Personnel Requirements

3 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:

3.1 Resource Efficiency

3.2 Pollution Prevention and Control - Air emissions

3.3 Pollution Prevention and Control - Waste waters

3.4 Greenhouse Gases5

3.5 Water

3.6 Wastes

3.7 Hazardous Substances and Materials

4 Will not be applicable to many projects at appraisal stage. However evidence, within the last 3 years of client approach to retrenchment which is not compatible with the Policy should

be taken into consideration.

5 Particular attention should be given to client demonstration of consideration of alternatives. Projects expected annually to produce more than 25,000 tonnes of Co2 equivalent should

provide an emission inventory and plans for annual reporting.

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KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

4 Health and Safety

Summary:

4.1 Occupational Health and Safety

4.2 Community Health and Safety

4.3 Infrastructure, Building, and Equipment Design and Safety

4.4 Hazardous Materials Safety

4.5 Product and Services Safety

4.6 Traffic and Road Safety

4.7 Natural Hazards

4.8 Exposure to Disease

4.9 Emergency Preparedness and Response

5 Land Acquisition, Involuntary Resettlement and Economic Displacement

Summary:

5.1 Avoid or minimise displacement

5.2 Consultation

5.3 Compensation for displaced persons

5.4 Grievance mechanism

5.5 RAP/LRP documentation

5.6 RAP/LRP implementation

5.7 Monitoring

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KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

6 Biodiversity and Living Natural Resources

Summary:

6.1 Assessment of Biodiversity and Living Natural Resources

6.2 Conservation of Biodiversity

6.3 Sustainable Management of Living Natural Resources

7 Indigenous People

Summary:

7.1 Indigenous People Assessment

7.2 Adverse Effects Avoidance and Indigenous Peoples Development Plan

7.3 Information Disclosure, Meaningful Consultation and Informed Participation

7.4 Grievance Mechanism and Prevention of Ethnically Based Discrimination

7.5 Compensation and Benefit-Sharing

7.6 Impacts/Relocation on Traditional or Customary Lands and Cultural Heritage

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KPI Ref.

Performance Requirement Score Comments/ Issues Actions Required ESAP Ref.

8 Cultural Heritage

Summary:

8.1 Assessment and Management of Impacts on Cultural Heritage

8.2 Consultation with affected communities and other stakeholders

8.3 Project use of Cultural Heritage

10 Information Disclosure and Stakeholder Engagement

Summary:

10.1 Stakeholder Engagement Plan

10.2 Operational Grievance Mechanism

Overall Compliance

National Environmental, Social, Health and Safety Requirements

EU Environmental, Social, Health and Safety Requirements

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ANNEX 3

ENVIRONMENTAL AND SOCIAL ACTION PLAN TEMPLATE

No. Action

Environmental & Social Risks

(Liability/Benefits)

Requirement

(Legislative, EBRD PR, Best

Practice)

Resources, Investment Needs,

Responsibility Timetable

Target and Evaluation Criteria

for Successful Implementation

Status

PR1 Assessment and Management of Environmental and Social Impacts and Issues

1.1 Develop and implement an EMS

Optimisation of environmental management though a formalised system. Provide resources for training and monitoring of emissions

EBRD PR1

Voluntary and best practice

Own resources, external consultants

Cost

Assign responsibilities

20xx Develop and implement an EMS

Attain ISO 14001 or equivalent certification

Annual EHS Report to the Bank

PR2 Labour and Working Conditions

2.1

PR3 Resource Efficiency and Pollution Prevention and Control

3.1

PR4 Health and Safety

4.1

PR5 Land Acquisition, Involuntary Resettlement and Economic Displacement

5.1

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No. Action

Environmental & Social Risks

(Liability/Benefits)

Requirement

(Legislative, EBRD PR, Best

Practice)

Resources, Investment Needs,

Responsibility Timetable

Target and Evaluation Criteria

for Successful Implementation

Status

PR6 Biodiversity and Living Natural Resources

6.1

PR7 Indigenous People

7.1

PR8 Cultural Heritage

8.1

PR10 Information Disclosure and Stakeholder Engagement

10.1

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ANNEX 4

GUIDANCE FOR A STAKEHOLDER ENGAGEMENT PLAN

The following is an indicative list of issues for possible inclusion in a Stakeholder Engagement

Plan. The Consultant is expected to use its professional judgement to determine what issues

(either listed below or additional) are relevant to the Project.

A Stakeholder Engagement Plan will need to:

Briefly identify the Project location and areas subject to impact (e.g., list of

communities)

Record what the Project is legally required to do regarding disclosure and consultation

Identify all stakeholders, including stakeholder maps (if relevant)

Identify any specific groups who might be considered vulnerable or need more support

in the consultation process, e.g. because of their level of literacy, gender, socio-

economic level, ethnicity/language, or location (e.g., proximity of the project to school,

hospital, etc.). For each identified group, specify how meaningful consultation will be

undertaken

Report on any previous consultation and disclosure activities

Define which documents will be released, including a schedule, and in what language(s)

Define where documents will be available (physical and online addresses) , e.g. provide

names of specific newspapers, bulletin board locations, etc.

Define how people will be notified of the document availability

State the beginning and end dates of the consultation

Provide a table or list of meetings, activities or opportunities for comment. If

locations/dates are not yet known, state how people will be informed of the dates

State who/where should comments be sent to, what will happen to them and how people

will be advised of the outcomes

Define how grievances will be handled (including a specific public grievance process)

Define the monitoring and reporting activities for the stakeholder engagement process

Define the responsibilities for delivering the stakeholder engagement process

The SEP should be concise and not exceed 15 pages in length, excluding annexes.

Please also see guidance note:

http://www.ebrd.com/downloads/about/sustainability/grievance-mechanism.pdf

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ANNEX 5

INDICATIVE LIST OF ISSUES FOR A NON-TECHNICAL SUMMARY

The following is an indicative list of issues for possible inclusion in a Non-Technical Summary.

The Consultant is expected to use its professional judgement to determine what issues (either

listed below or additional) are relevant to the Project.

Non-Technical Executive Summary

1 | Project Description

A concise and comprehensive description of the Project

Proposed works and subsequent maintenance/operation

Scheme map and typical cross sections

2 | Background

Rationale of the Project, the need for the scheme and scheme objectives

Legal aspects and compliance with relevant environmental and social laws

Current environmental and social situation and considerations

History of the Project development and planning; including an outline of the main

alternatives that were studied, their environmental and social impacts, and the reasons

for making the final selection

3 | Process

ESIA process carried out and integration with design

A statement of the national EIA process’s compliance with the EU EIA Directive

Public consultations and disclosure and dealing with objections

4 | Environmental Benefits, Adverse Impacts and Mitigation Measures

Land use planning and changes

Water resources, impacts and management measures

Habitats, ecology (flora and fauna) and nature conservation, impacts and management

measures

Landscape and visual impacts, impacts and management measures

Air quality, impacts and management measures

Traffic, noise and vibration; impacts and management measures

Waste management

Raw material sourcing and transportation, including borrow pits

Road safety, impacts and management measures

Associated infrastructure impacts and management measures

Cumulative impacts

Induced (indirectly consequential) impacts

Occupational health and safety issues; including explosives safety

Disruption, health and safety during construction

Consistency with policy, law and other plans

Environmental management plans, mitigation measures and compensatory measures

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5 | Social Benefits, Adverse Impacts and Mitigation Measures

Socio-economic impacts; including gender and management measures (taking into

account gender specificities and needs)

Impacts on businesses and employment

Impacts to existing infrastructure and public services

Local traffic and access impacts

Land acquisition and resettlement (cross reference any resettlement report that is being

developed)

Community impacts (confirm that no Roma are known to utilise the land and/or corridor

route)

Labour issues and standards

Public road safety; including health and safety mitigation in the design

Social management plans, mitigation measures and compensatory measures

Cultural heritage, impacts and management measures

6 | Monitoring of Impacts

Process for monitoring the identified impacts

On-going solicitation of further comments

Process for addressing any issues arising