Indonesia - Fourth National program for Community Empowerment in Rural Areas Project : environmental assessment

E2808 EXECUTIVE SUMMARY FOURTH NATIONAL PROGRAM FOR COMMUNITY EMPOWERMENT IN RURAL AREAS IMPLEMENTATION GUIDELINES FOR SOCIAL AND ENVIRONMENTAL SAFEGUARDS SUPPLEMENT TO THE PNPM-RURAL OPERATIONS MANUAL June 7, 2011  EXECUTIVE SUMMARY IMPLEMENTATION GUIDELINES FOR SOCIAL AND ENVIRONMENTAL SAFEGUARDS IN PNPM-RURAL SUPPLEMENT TO PNPM-RURAL OPERATIONS MANUAL ABBREVIATIONS AND ACRONYMS BKAD Badan Kerjasama Antar Desa (Inter-Village Cooperation Body) Camat Sub-district Administrative Head FasKab Technical District Facilitator Teknik FK Fasilitator Kecamatan (Sub-district Facilitator) FT Fasilitator Tehnik (Technical Facilitator) FTKab Fasilitator Teknik Kabupaten (District Technical Facilitator) KAT Komunitas Adat Terpencil (Isolated and Vulnerable communities) KPMD Kader Pemberdayaan Masyarakat Desa (Rural Community Empowerment Cadres) KT Kader Tehnik (Technical Cadres) MAD (Musyawarah Antar Desa) Inter-Village Meeting MD Musyawarah Desa (Village Meeting) Musdus Musyawarah Dusun (Hamlet Meeting) O&M Operation and Maintainance PJOK Penanggung-Jawab Operasional Kegiatan (Local Project Manager at Sub- district level) PJOKab Penanggung-Jawab Operasional Kegiatan Kabupaten (Local Project Manager at District level) PL Pendamping Lokal (Local Facilitator) PNPM Program Nasional Pemberdayaan Masyarakat Mandiri Perdesaan (National Program Empowerment Community) PTO Technical Operations Manual RAB Rencana Anggaran Biaya (Budgeting) SPPB Surat Perjanjian Pemberian Bantuan (Aid Provision Agreement) TP3D Tim Pengelola dan Pemelihara Prasarana Desa TPK Tim Pelaksana Kegiatan (Village Implementation Team) TPU Tim Penulis Usulan (Writing Proposal Team) TV Tim Verifikasi (Verification Team) i Table of contents I. INTRODUCTION II. DEFINITION AND SCOPE III. APPLICATION OF SOCIAL AND ENVIRONMENTAL SAFEGUARDS IN PNPM-RURAL A. WHAT B. WHO C. WHY E B D. WHERE E. HOW IV. THE ROLES OF PNPM-RURAL ACTORS V. DOCUMENTATION AND REPORTING ii  I. INTRODUCTION These guidelines form a supplement to the PNPM-Rural Operations Manual and are aimed at providing a uniform understanding and clear direction for the implementation of safeguards policies for PNPM-Rural at all levels (including consultants, facilitators, government and the communities) in executing their activities in order to minimize negative impact on the community and the environment and to ensure compliance with applicable laws, regulations and policies. The Operations Manual for PNPM-Rural comprises three volumes, the project’s standard operating procedures and related annexes as well as the full Implementation Guidelines for Social and Environmental Guidelines (IGSES) which this document summarizes and which spans about 40 pages. Additional English language translations of key sections are available upon request. II. DEFINITION AND SCOPE 1. The social and environment safeguards triggered by PNPM-Rural are (a) Indigenous Peoples1 and (b) Environmental Assessment / Kajian Lingkungan Hidup. 2. Indigenous Peoples: These Guidelines contain procedures to ensure: (a) that all PNPM-Rural activities are evaluated and potential Indigenous Peoples’ are identified and any issues which affect Indigenous Peoples are handled before the commencement of any activities; and (b) the participation and inclusion of various groups (including women, the poor and isolated and vulnerable citizens) in local level decision making regarding the allocation of resources. 3. Environmental Assessment: These guidelines contain procedures to ensure that: (a) all PNPM-Rural activities are evaluated prior to implementation; (b) environmental issues have been identified and mitigating measures taken before the implementation of any activities which have the potential for a negative impact on the environment; and (c) further mitigating measures, as appropriate, are included in implementation arrangements for the activities. 4. In addition, PNPM-Rural is not allowed to fund activities detailed in the negative list: (a) Activities related to the military or army; activities related to political practices or parties. (b) Building/rehabilitation of government offices or religious facilities. I P I P K A T KAT I V B 1  (c) Purchase of chainsaws, weapons, explosive materials, asbestos, or other environmentally destructive materials (such as pesticides, herbicides, prohibited drugs, etc.) (d) Purchase of any fishing boat with capacity above 10 tons and any related equipment (eg drag nets). (e) Government officers’ salary. (f) Activities using child labor (below working age) per regulations of the Borrower. (g) Activities related to the production, storage or sale of goods with tobacco content. (h) Activities in locations which are stated as a natural preserve per the regulations of the Borrower, except in any case in which there is a written permit from the official responsible for management of any such locations. (i) Activities for mining or collecting or usage of reefs. (j) Activities related to management of water resources from any river that flows from or to a country other than the territory of the Borrower. (k) Activities related to relocating river lines. (l) Activities related to reclamation of land of more than 50 hectares. (m) Building any new irrigation network with an area of more than 50 hectares. (n) Activities to build a dam or water tank with large capacity of more than 10,000 cubic meters. 5. PNPM-Rural does not allow the involuntary acquisition of land or involuntary resettlement in any project activities, whether financed by PNPM-Rural or by other sources. Community members may provide land for PNPM-Rural projects through voluntary donation and voluntary donation with compensation (from sources other than Bank financing). This manual contains procedures to regulate the planning, documentation and verification procedures for voluntary donation and voluntary donation with compensation. III. APPLICATION OF SOCIAL AND ENVIRONMENTAL SAFEGUARDS IN PNPM-RURAL A. WHAT 6. PNPM-Rural uses a community-driven development approach, providing direct block grant financing to local communities at the sub-district level to finance an open menu of local development priorities – typically small scale social/economic infrastructure, education and health activities, and micro-loans to women’s savings groups – implemented with mechanisms to ensure broad-based participation and transparency. Between 75 – 80 percent of the block grant financing goes toward the small scale social/economic infrastructure, education and health activities, while between 20 – 25 percent goes toward micro-loans to women’s savings groups. 7. By way of example, the table below presents a typology of the environmental impacts that building a rural road could involve, broken down by type of impact: Table: Example of Environmental Impacts Category 1: Serious but local problems Category 2: Serious negative impact on 2  environment/social Water flow concentration Landslides Sale of land to outsiders Loss of productive land due to landslides Deforestation Increased sediment load due to road erosion Category 3: Negative impacts of slight Category 4: Unclear impacts, positive or probability or less important impact negative Air pollution from vehicles Establishment of small industries that Flooding due to improper siting of bridge potentially pollute the environment Increase in airborne dust Increased intensity in farming or livestock Increase in criminal activity in the village Residents seek employment outside the Noise pollution village Moving houses to roadside Outsiders move into the village Category 5: Clearly positive impact Category 6: Negative impact, but clearly acceptable to the local community Reduction in erosion from agricultural land due to application of improved technologies Traffic accidents Availability of construction materials in Loss of land required for road widening village Increase in communication, including access to health and education facilities 8. From the above table it can be seen that categories 1, 2, and 4 require special consideration from project planners. Category 1 includes problems of short-term impact even though the effects might be widespread. The principle behind managing environmental impacts in PNPM-Rural is to limit potential negative impacts and to develop the positive impacts of any infrastructure construction activity. 9. As a countrywide program, PNPM-Rural is implemented in areas inhabited by indigenous peoples, which in Indonesia can generally be classified into two categories: (a) Masyarakat Adat /Adat communities/Customary law communities. These are based on lineage or locality and are bound by customary law. Characteristics of these communities include: (i) self identification as a distinct indigenous cultural group; (ii) collective attachment to ancestral territories and to the natural resources in the territories; and (iii) customary cultural, economic, social, or political institutions; and (b) Komunitas Adat Terpencil (KAT)/Isolated and Vulnerable communities (IVPs). This is a government-designated category of customary law communities that live in isolated areas. The characteristics attributed to these communities include: (i) collective attachment to ancestral territories and to the natural resources in the territories; (ii) customary cultural, economic, social, or political institutions; (iii) an indigenous language. They are also identified by government as: (i) having a subsistence economy, 3  (ii) using simple tools and technology, (iii) having a high dependence on the environment and local natural resources, and (iv) having restricted access to social, economic, and political services. 10. PNPM-Rural follows best-practice principles for indigenous people’s involvement. Participation is entirely voluntary, and there are documented cases of very remote communities initially not accepting PNPM facilitators. Actions taken by the program include: free, prior and informed consultations leading to broad community support, recruitment and tailored training for facilitators from the same ethnic groups (e.g., barefoot engineers training in Papau and West Papua); local language translation; independent reviews by qualified socio-cultural specialists; and modifications to the planning process to reflect more closely traditional social units. 11. As the nature of the subprojects to be financed under the fourth PNPM-Rural project will be the same as the ongoing PNPM-Rural series, it would likely lead to similar environmental and social impacts, i.e., the environmental and social impacts would be insignificant, non- irreversible, and site-specific. Mitigation measures are done through community participation and community-based subproject management. 12. Activities aimed at social and environmental protection in all PNPM-Rural activities, through measures which are anticipatory, preventive and provide a mechanism for immediate response during implementation in the event that any issues arise which threaten and/or are damaging to the community or any of its members or the environment. The main instruments used to manage the safeguards aspects of the project are the PNPM-Rural Operations Manual and the IGSES which is a supplement to the manual. The Operations Manual and IGSES provide standard operating procedures, checklists, forms and training materials at all related levels and in all processes of PNPM-Rural, including: (a) Dissemination and socialization (b) Consensus building meetings (musyawarah) (c) Trainings (d) Writing of village proposals (e) Verification of village proposals (f) Decision on the proposals to be funded (g) Implementation of activities (h) Supervision and Monitoring (i) Facilitation and Problem Handling (j) Documentation and Reporting (k) Maintenance (O&M) B. WHO 13. These guidelines are applied by PNPM-Rural actors from all levels including consultants, facilitators, the government and the communities. 4 14. The practitioners from the community may include, among others, the Rural Community Empowerment Cadres or Kader Pemberdayaan Masyarakat Desa (KPMD) and Technical Cadres (KT), Writing Proposal Team or Tim Penulis Usulan (TPU), Village Implementation Team (Tim Pelaksana Kegiatan -TPK), Verification Team2 (Tim Verifikasi -TV), Village Infrastructure Management and Maintenance Team (Tim Pengelola dan Pemelihara Prasarana Desa - TP3D), Local Facilitator (Pendamping Lokal - PL), cooperating with the community and community leaders as well as the Inter-Village Cooperation Body (Badan Kerjasama Antar Desa -BKAD). 15. Assistance is provided to communities by sub-district facilitators (FK) and technical facilitators (FT) under the supervision of the District Facilitator Team, and Regional and National Management Consultant Teams, as well as government officials and oversight teams at all levels. C. WHERE 16. PNPM-Rural is a countrywide program that is being implemented in over 60,000 rural villages. D. HOW 17. Preparation and Socialization Stage. In the National, Provincial, and District workshops as well as the sub-district level Inter-Village Meetings (MAD) and the Village Meetings (MD) and hamlet meetings (Musdus), socialization, explanation, and discussion regarding the definitions and implementation of social and environmental safeguards must be on the agenda. 18. Planning Stage. As part of the regular PNPM-Rural planning cycle, safeguard policies are taken into consideration by the communities, from the earliest stages of proposal identification to the time of writing/formulating proposals and the proposal verification process, to the technical design process and prioritization of proposals by the MAD. 19. Implementation Stage. As part of implementation of all approved PNPM-Rural activities, especially infrastructure construction, PNPM-Rural actors are responsible for implementation of all environmental and social safeguards activities, including in the technical survey, placement/location of buildings, collection and allocation of natural materials, mobilization and usage of equipment (especially heavy machinery) ensuring there will be no disturbance or damage to the ecosystem or local social conditions. 20. The following meetings are standard in PNPM-Rural implementation. V T 5  (a) Village Consultation Meeting. Each village holds a meeting to discuss information resulting from the MAD. The village meetings held by those villages whose proposals are being funded must have on their agenda the procedures that must be observed in relation to the application of safeguards at the implementation stage. These include procedures for the procurement of materials and tools; the procedures for handling donations or community contributions (including land donations); and the socialization of plans for managing possible negative impacts due to the construction of PNPM-Rural infrastructure. The meeting also addresses other possible effects according to the input of Village Meeting participants. Training of the Community Implementation Teams is also conducted prior to actual implementation of sub-projects. (b) Pre-Implementation Meeting. Each village holds a pre-implementation meeting to agree upon the technicalities of implementation, which includes discussion of agreed to/needed implementation stage safeguard mitigation measures. (c) Infrastructure Construction Period. During the construction period, all aspects of the safeguards policy implementation arrangements must be followed including as noted in the forms attached to the village proposal as well as the Aid Provision Agreement Document (Dokumen Surat Perjanjian Pemberian Bantuan - SPPB/ Form 29). These provide guidance for implementation and supervision by the FT and FK of the TPK in handling social and environmental negative impact issues. Each District FT then conducts supervision using a supervision checklist which includes safeguard issues. (d) Operations and Maintenance Stage. Project facilitators and village teams mentioned will monitor the emergence of any negative effects which may occur, including any predicted earlier and noted in plans at the preparation stage, and exercise vigilance in observing negative changes occurring whether to the social or environmental conditions. 21. Completing the forms related to the implementation of the social and environmental safeguards is a compulsory part of the planning process. The same forms are brought to the field during the construction period and are checked while changes can still be made easily. At the end of construction, the forms are re-checked. The District technical/engineering consultant is responsible for checking all PNPM-Rural infrastructure project designs in the district and must reject designs without the completed relevant forms and may request explanations for designs which are thought to have potential problems. The provisions and forms which assist in the application of safeguards at each stage are, among others: (a) Special Village Meeting for Women (Musyawarah Desa Khusus Perempuan). Facilitators explain the application of safeguards to the women and address their concerns. (b) TPU Training. In training the Proposal Writing Team (Tim Penulis Usulan -TPU), the facilitator must explain how to complete: (i) Form 5 -- Activities proposal. (ii) Form 9 -- Table for procurement of land and assets. (iii) Form 9a -- Detailed list of land grants/donations. 6  (iv) Form 10 -- Checklist of all proposal documents as well as how to handle and report safeguard related issues should any occur. (c) Proposal writing process. During the process of proposal writing, TPU must include and explain in Form 5: (i) The possibility of social and environmental impacts occurring; any land requirements and the possibility of negative impacts on indigenous/customary communities (if any). (ii) The nature of any donations/grants. The agreed upon compensation must be recorded in Form 9, which is endorsed by the Village Chief, and must include a map and a sketch/layout of the impacted land. An agreement (part of form 9a) must be signed by all parties whose land is being impacted in any way. (iii) To ensure that the proposal is complete, including the minutes/statement of all land grants/donations, Form 10 as a control mechanism. When the checking of the process and all documentation has been completed and is certified to be correct, only then may the verification take place. Both processes and all agreements and documentation are subject to external re-examination at the verification stage. (d) Verification Team Training. The training for the Verification Team must explain, among other matters: (i) The definitions and the application of safeguards in PNPM-Rural (this manual). (ii) The negative list (iii) How to complete Forms 11 and 12 (proposal verification forms) (e) Proposal Verification Process. During the Verification process, in deliberations prior to making a recommendation, the Verification Team must verify: (i) The status of all land donations (before providing an assessment and recommendation in Form 11-- Proposal Verification) (ii) Before stating the results of the assessment of technical feasibility (using Form 12d) -- Infrastructure proposal verification form, the Verification Team makes an assessment of several issues, including but not limited to: 1) Whether or not there will be damage to the environment during or post-constructon and what mitigation measures are planned or needed and 2) the feasibility of all land donations. (f) Project Design and Budgeting Process (RAB). During the RAB preparation process, the FT and village technical cadre use Form 22-- Handling negative environmental impact issues to identify potential negative environmental impacts which could occur and would be detrimental to the community, and any likely negative environmental impacts. In all cases, plans for handling these impacts are captured. At the District level the Technical Facilitator (Fasilitator Teknik Kabupaten - FTKab) must conduct an inspection using Form 25--Inspection of design and RAB. 7  (g) MAD Proposal and Prioritization Process. During the proposal prioritization process, the Verification Team presents its technical findings, including safeguards related issues at the MAD. (h) SPPB Preparation. During the preparation of the Aid Provision Agreement Document (SPPB/ Form 29), the technical design drawings which have been declared appropriate by the FTKab, which include safeguards aspects, is attached to subproject proposals. IV. THE ROLES OF PNPM-RURAL ACTORS 22. The actors of PNPM-Rural can be delineated in three groups, which are Government Officials, Consultants and Facilitators, and the Community. Each has the following roles: (a) Government Officials: (a) the district level consists of the District Taskforce (Satker Kabupaten), Coordination team and the PjOKab (Local Project Manager at district level) and (ii) the sub-district level consists of the Camat (sub-district administrative head) and the PjOK (Local Project Manager at sub-district level). Their function is to oversee the PNPM-Rural activities, including counseling the community on their understanding of social and environmental safeguard policies and supervising implementation of mitigation plans and resolutions of any problems that may arise. (b) Consultants: At the national and regional level PNPM-Rural employs management consultants responsible for overseeing the technical aspects of the project, including safeguards. They oversee and provide technical assistance to the district and sub-district facilitators. This includes technical guidance and instructions for Facilitators: Facilitators are present at the district and sub-district levels. Facilitators at District Level are Empowerment District Facilitator, Financial District Facilitator and Technical District Facilitator. The Facilitators at the sub-district level are Empowerment Sub-district Facilitator, and Technical Facilitator. The district facilitators provide technical oversight to sub-district facilitators. In particular, facilitators are trained and required to have a good understanding of safeguard issues and procedures and utilize their knowledge and skills to explain safeguard regulations to communities and support the implementation of subprojects. The Technical District Facilitator (FasKab Teknik) is responsible to complete checklists for design quality and reject designs which do not meet the safeguard criteria. The FT is responsible for completing all of the required social and environmental safeguard forms. (c) Community. From a safeguards perspective, the community can be categorized into four groups: (i) Village government has the standing duty to oversee all activities in the village and is required to have an understanding of safeguards and the Negative List in order to be able to explain these to the general public; (ii) the Activities Management Team is a small team selected by the community to manage PNPM activities in the village;and (iii) KPMD and especially the Technical Cadres/KT, are required to be extremely familiar with the PNPM-Rural procedures, including safeguards policies, and explain these matters in the field. Although the TPK and KPMD are able to assist them, 8  the community in general should be familiar with the safeguards, especially regarding land donations as well as social and environmental impact issues. (iv) The Verification Team assesses whether the proposals selected by the village are appropriate and comply with safeguard policies and procedures. 23. There are three basic types of training in PNPM-Rural which address safeguards: pre-service training, refresher training and engineering specialist training (including for village technical cadres). Additional capacity building is conducted during the monthly coordination meetings, which have been expanded to include in-service training and coaching. The lessons learned from the implementation of previous projects will be included as material in facilitator trainings. V. DOCUMENTATION AND REPORTING 24. Documentation and reporting (referred to generally as Reporting) is a key element in controlling the program as well as a mechanism for providing feedback for policy makers. Reporting provides data or information regarding the development or progress of each stage of program implementation, the occurrence of constraints or problems, and the application and achievement of targets or objectives, including the application of safeguards in the implementation of PNPM-Rural. To date, the application of safeguards in PNPM-Rural has in principle been carried out by the program actors. Every time meetings on the stages of the activities are held, the meetings generate completed forms which are related to the implementation of activity at the various stages. The completed forms are archived and maintained at the sub-district as well as village level. These forms are an instrument to control program implementation by program actors at the sub-district, district, provincial and national levels. The channels and mechanisms for reporting are implemented in tiers, according to each reporting type, content and mechanism. 25. PNPM-Rural requires and has a dynamic complaints handling mechanism which allows all stakeholders— community members, facilitators, the government and all external stakeholders— the opportunity at anytime to submit their complaints, including any dealing with the application of safeguards policies. All complaints are documented and entered into a centralized complaints handling mechanism database. Consultant reports are stored locally and are documented at the provincial and national level. The project has a database for complaints received from all sources and the summarized complaints are published monthly on the PNPM-Rural website (http://www.ppk.or.id/). The project strives to resolve complaints at the local level as much as possible. The standard deadline for handling most complaints is two or three weeks. For more serious complaints, the standard for resolving complaints is a maximum of three months. If the complaint is not resolved within the timeframe, it is automatically forwarded to a higher level within project management for resolution. If necessary, the issue can be handled through the formal legal system. 9 10