ENVIRONMENT AND SOCIAL SAFEGUARDS POLICY FRAMEWORK Indigenous Peoples Planning Framework INDONESIA: Additional Financing to the Third Water Supply and Sanitation for Low Income Communities (PAMSIMAS) Project 1. INTRODUCTION The Project development objective of the parent Project, i.e., PAMSIMAS, is to increase the number oflow- income rural and peri-urban populations accessing improved water and sanitation facilities and practicing improved hygiene behaviors as part of the Recipient's efforts to achieve water supply and sanitation (WSS)- MDGs, through programmatic mainstreaming and scaling-up of a nationwide community-driven approach. The Project's development objective of the additional fmancing (AF) will remain the same as that of the PAMSIMAS. 2. OBJECTIVES OF THE SAFEGUARDS FRAMEWORK The social and environmental management framework provides general policies and guidelines to serve the following objectives: • Protect human health; • Prevent or compensate any loss of livelihood; • Prevent environmental degradation as a result of either individual investments or their cumulative effects; • Enhance positive environmental outcomes; • Avoid or minimize and mitigate adverse environmental, economic and social impacts. Implementation of this framework is built in to the Project oversight structures, guidelines and tools, as well as the terms of reference for the Central Project Management Unit, District Management Units and technical and community facilitators. The safeguards policies triggered are given in the following table. 3. SAFEGUARD POLICIES Yes No Environmental Assessment OP/BP 4.01 [X] [l Natural Habitats OP/BP 4.04 [l [X] Forests OP/BP 4.36 [l [X] Pest Management OP 4.09 [l [X] Phvsical Cultural Resources OP/BP 4.11 [l [X] Indigenous Peoples OP/BP 4.10 [X] [l Involuntary Resettlement OP/BP 4.12 [l [X] Safety of Dams OP/BP 4.37 [l [X] Proiects on International Waterways OP/BP 7.50 [l [X] Projects in Disputed Areas OP/BP 7.60 [l [X] I The Project has been classified as Category B given that it is unlikely to lead to significant adverse social and environmental impacts, with a community-based approach to the provision of water supply and sanitation. There would be a range of potential site-specific environmental impacts that could take place in subprojects under PAMSIM:AS AF, as observed under the WSLIC-2 and PAMSIMAS Projects, for which an appropriate level of mitigation is required, as further detailed below. World Bank Environmental Assessment and Indigenous People's safeguards policies are triggered. Project Technical Manuals will be updated from time to time to accommodate lessons learned and improve Project's quality, hence the mitigation measures to manage the potential environmental and social impacts. 4. ENVIRONMENTAL AND SOCIAL SCREENING 4.1 Environmental The PAM SIMAS AF will support a national program and cover approximately 5,000 new villages in around 156 districts/kabupatens across 32 provinces (some are located in ongoing PAM SIMAS districts/kabupatens). From the physical environmental perspective, therefore, the physical development components of the Project will be implemented across the length and breadth of Indonesia's highly varied climatic, geological, agricultural and ecological zones. This will likely encompass zones where there are already significant pressures on water resources, as well as areas that are prone to natural disasters. Some may be in fragile locations potentially susceptible to damage to their physical and biotic environments. Indonesia's environmental review procedures are broadly acceptable to the Bank and will form the framework for PAMSIMAS AF's approach to environmental management. New developments are screened as follows: • AMDALs (environmental impact assessment) are required for large Projects in the following areas: marine/freshwater conservation areas, peat areas, water catchment areas surrounding lakes and reservoirs, areas surrounding springs, scientific areas, areas susceptible to natural hazards, coastal mangrove areas, coastal edges, forest protected areas, and cultural reserves. No subprojects will be allowed in national parks, forest parks, or nature tourism parks. Villages in protected areas will be screened out during the Project short listing process. (PERMENEGLH 05/2012 Concerning Types of Businesses Activities Required to Complete an Environmental Impact Assessment). For PAMSIMAS AF development of a water source with a yield greater than 500 liters/sec or single water systems with a service area greater than 1,500 Ha will require an EIA. It is extremely unlikely that any subproject will be close this said size and coverage. • UKL-UPLs are required for smaller subprojects leading to more localized environmental impacts, although the scale of most PAM SIMAS AF subprojects (which are community based) ordinarily will not be large enough to require a UKL-UPL. KEPMEN PU-17/KPTS/M/2003 for UKLIUPL (Concerning Decisions on Types of Activities in the Field of Public Works that are Required to Prepare UKL and UPL); and Permen LH 13/2010 for UKL-UPL and SPPL defme large water and sanitation systems for metropolitan areas ouly. For PAM SIMAS AF development of water source with a yield between 100 and 500 liters/sec., or single system with service areas between 250 and 1,500 Ha will require an UKL-UPL. However, where subprojects are proposed in and around sensitive sites such as protected areas or watershed protection zones, a UKL/UPL may be required. • Standard operating procedures (SOPs) and/or Environmental Code of Practices (ECOPs) for environmental management are applied to all other types of activities. It is likely that most of the proposed PAM SIMAS AF subprojects will fall into this category, both in relation to the community water supply and village development grants components. 2 Environmental risks are likely to be associated primarily with the community water supply component (Component 3) and, to a lesser extent, the district and village development grants (Component 4). The water supply component will provide grants for communities to plan, build and manage water supply systems based on a menu of possible technical options. However, since the scale/size of most subprojects is expected to be small, no major adverse environmental impacts are expected. In addition, the technical options will not include options that are known to lead to significant residual environmental impacts or to place a substantial environmental management responsibility on local communities during the operational phase. For example, part of the process of site selection for water supply schemes will include water quality testing to ensure that potential sources meet Goi 'clean water' standards 1• Net environmental benefits are expected to accrue from the environmental sanitation improvements the Project will bring. The types of positive and negative environmental impacts that may be associated with the Project interventions include: Positive Impacts • Improved water quantity and quality delivered to customers, with consequent positive impact upon community health; • Improved protection of (spring) water resources and watersheds; • Greater coverage (coupled with increased use) of improved latrines, resulting in a reduction in defecation in filed and streams, thereby improving both soil and water quality and reducing water- borne disease vectors; • Improved drainage by reducing the incidence of broken and leaky pipes, and by installation of proper wastewater drainage around water points; • Improved grey water, black water, and solid waste management at community level and elementary school - although experience under WSSLIC and PAMSIMAS indicates that inappropriate solid waste management (SWM) practices continue to be a problem in some participating communities, leading to pollution of water sources; • Communities trained in the use of simple technologies for community-based water quality monitoring; and • Improved community and school awareness of health and environmental issues (which are ultimately components of the same goals), etc. Negative Impacts • Provision of greatly increased quantities of water generates wastewater (both clean overflow water and grey water) management more problematic; • Increased competition over access to/use of water resources; • Broader coverage of water distribution points increases the need for and cost of monitoring the condition of expanded facilities; • Poorly design or improperly built or located sanitation facilities can result in cross contamination between latrines and shallow water tables, adversely impacting water quality in shallow wells. Standard Operating Procedures or Environmental Code of Practices for environmental management defmed in the Project Technical Guidelines which lay out design specifications, construction procedures, and operation and maintenance procedures for rural water and sanitation systems will be sufficient to manage most environmental concerns, provided that guidelines are followed and supervision corrects implementation mistakes promptly. A simple water quality testing protocol will be followed, in view of the fact that the objective of the project is to provide communities with clean water, rather than drinking water. This means that water provided will have to be boiled by communities in advance, as is common practice in most rural areas and in some urban areas. 3 Prior to approval by the District PMUs, community water supply and sanitation subprojects will be screened by the DMAC to ensure that no higher order environmental review (AMDAL!UKL-UPL) is required, in consultation with local environmental agencies or Bapedaldas. The screening thresholds listed above will be used to determine AMDAL!UKL-UPL requirement. Secondary screening will be carried out to establish whether a particular subproject is likely to be within or adjacent to a sensitive area. Sensitive areas are defmed as follows under this framework: a. National park b. Forest park c. Wildlife reserve d. Protected flora area e. Conservation forest f. Watershed protection forest g. National cultural preserve h. Traditional/religious buildings i. Marine reserves J. Coastline and dune systems k. Mangrove and wetland areas 1. Steep slopes (>40%) Any subprojects which are likely to impact on environmentally sens1l!ve areas will apply special conditions for siting, design and O&M of water supply schemes, detailed in the Project Technical Manual. All screening results will be documented by the DPMUs for consolidation at the CPMU level on a six monthly basis. Any subprojects requiring AMDAL!UKL-UPL will be immediately reported by the DPMU to the CPMU and WBOJ. The district and village development grants component will provide financial incentives to approximately 25% of participating of districts/villages to scale up and enhance the sustainability of water supply, sanitation and hygiene assistance provided. The grants will be ranging from USD 5,000 to USD 35,000 for the village level. They will not be used for income generating activities that might lead to significant negative environmental consequences (agro-processing, other household based processing activities). As with most such initiatives, the use of a list of activities that will not be eligible for support on environmental grounds (negative list) is normally found to be the most efficient way of addressing any residual environmental safeguard issues. No subprojects with the following characteristics will be supported under PAM SIMAS AF: • Pesticides, ozone-depleting substances, tobacco or tobacco products; • Asbestos containing materials; • Subprojects producing liquid or gaseous effluents and emissions, with the exception of nonnal sanitation needs for individual households; • Hazardous materials and wastes, including use, production, storage or generation of hazardous wastes; • Subprojects or activities with the potential for significant conversion or degradation of critical forest areas or related critical natural habitats (as defined in OP 4.36 on Forests); • Mining or excavation of live coral. DPMUs and DMAC will be responsible for ensuring that the negative list approach is applied, and that revisions are made to the list, as necessary, with support from the CMAC. As a pilot activity, this component will be subjected to rigorous monitoring and evaluation, including an assessment of residual environmental and social impacts. 4 4.2 Social a. The inclusion of vulnerable/disadvantaged people The key social issue is the potential exclusion of vulnerable/disadvantage people, such as women, the poorest, ethnic minority and indigenous peoples (if they are present) either on the selection of the participating villages or on the community decision making process. Some examples of potential social Issues are: • Selection process of participating villages~ On one hand, the Project already determined pre- qualification criteria for participating villages which are, among other things, the number of low income households and the low level of water supply and sanitation facilities. On the other hand, the Project also requires for participating communities to contribute to 20% (16% in kind and 4% in cash) of the Project cost to participate in the Project. The criterion of willing and capable communities for providing such contribution might risk excluding a number of disadvantaged communities (including IPs communities if they are present) from Project participation. • Information dissemination for villages to participate in the Project sometimes does not reach remote areas where most of the vulnerable communities usually live. Even if it reached them, communities often have problems in understanding the application process due to complicated form to fill or too sophisticated language used. There should be some mechanisms in the selection process that will give vulnerable and disadvantaged communities the same level of playing field and understanding. • Community decision making process related to Project beneficiaries and sustainable pro-poor service delive1y. Demand-driven Project requires a high participation level of community members, including the vulnerable groups. Elite domination is the most common problem in such Projects, while vulnerable and disadvantaged groups often could not make their voice heard. At the end, there's a risk that the Project's benefit will skew to the better off and sustainable pro- poor service delivery will not be achieved. • Experiences from WSLIC-2 and PAM SIMAS show that although the Project is satisfactory in tem1s of increasing water service delivery to the participating villages and that the poor households have indeed benefited from the Project, sustainable pro-poor service delivery. However, in some cases poorer households may not get equal service level. As example: the richer HHs could buy electrical water pumps and install pipes directly from the well to their house. Poor HHs cannot do so. The problem of access to water will emerge when the water level decreases during dry season. During this time, the poor's access to water will be lower than richer households. In some of the villages visited, the BPSPAMS (water board) applied flat price for all users regardless to their social economic condition, and therefore provide no cross-subsidy to poor households. • The participation quality of the poor and women throughout the Project cycle is another major concern. Women are still largely involved in the soft non-technical part of the Project and the water committees continue to be dominated by male villagers. WSLIC-2 Project experience shows that election of Community Working Team (TKMs) and Management Body of water users (BPs) have often been conducted in a gender-insensitive way. Women are often excluded from decision making groups, while women in most low income communities are actually the primary household water and sanitation managers. Therefore their involvement in the Project's activities is in1portant for sustainability reasons. In PAM SIMAS, women involvement is improving, particularly in decision making process and as member of Community Board of Trustee (LKM) and BPSP AMS. 5 Project Technical Guidelines defmes methodology and approach that have to be applied throughout the Project cycle, from planning to operational and maintenance stage, which will assure the inclusion of vulnerable/disadvantage people. PAM SIMAS AF will use similar methodology applied in WSLIC-2 and PAMSIMAS, which is Methodology for Participatory Assessment (MPA). MPA is a comprehensive method for community's social assessment, which is recognize the importance of gender and poverty- sensitive approaches. Inclusion of women and the poor is assured by this approach, supported by Project policy, specific training and monitoring. Key features in methodology for participatory assessment that is critical to assure the inclusion of vulnerable/disadvantage people are as follows: • Wealth Classification: to classify the village population into three economic categories (rich, poor, and middle income) on the basis of locally specific criteria and using culturally appropriate terms. These classifications will be used to identify groups with which to hold focus group discussions, for mapping the access of the poor and rich to water supply and sanitation discussion. • Community/Social Map: to learn about the community's situation regarding the economic status of every household, based on the result from wealth classification, and water supply and sanitation facilities and access of the poor, rich and middle-income household. The community/social map is used at planning process to ensure that the poor is targeted as beneficiaries. • Separate Focus Group Discussion: some of the processes in MPA done in separate FGDs for women and men in better-off and poor groups of the community to ensure women and the poor have voice and choice in decision making. • Matrix Voting: to assess the division of skilled and unskilled and paid and unpaid work related to the water and/or sanitation services between women and men and between rich and poor. The inclusion of vulnerable/disadvantage people, women and the poor, in the process throughout Project cycle as well as the targeted beneficiaries is monitored and tracked in the Project monitoring infommtion system (MIS). b. Voluntary land donation from the community beneficiaries WSLICs and PAMSIMAS have implemented a land donation/contribution scheme for obtaining land needed for subproject from the community members. Experiences as of to date showed that there have been no negative social impacts to the community members as a result of voluntary land contribution. This is because decisions on land contribution were made voluntarily on landowners' initiatives with good consultation among community members and a relatively small-amount of land area involved in each subproject. In fact, voluntary land contribution has provided positive impacts on beneficiaries. For instance, facilities are located closer to the beneficiaries and construction of the approved subproject proposal was implemented relatively fast as land was already available. These practices will likely continue in the PAM SIMAS AF. Voluntary land donation for a subproject is acceptable with the following conditions: (a) Land donor receives direct benefit from the subproject and will not becoming worse-off after the land taking; (b) Land donor has been informed clearly of their right to refuse to donate at the public meeting prior to the decision on contributing the land voluntarily, but nevertheless he or she is still willing to donate without any pressure; 6 (c) There is options to adjust the subproject design or location in the case that land owners refuse to donate their land; (d) The land is identified by beneficiary conununities and confmned by technical staff to be suitable for the subproject and free from any environmental or health risks; (e) The impacts of the donation on the land owners are insignificant and do not result in displacement of households, or cause loss of households' incomes and livelihoods; (f) The donated land is free from any dispute on ownership or any other encumbrances; (g) Consultations with land donors or beneficiaries are conducted in a free and transparent manner; (h) Processes and results of consultation meetings, grievances and actions taken to address complaints are properly documented; and (i) Donated land is well-recorded and documented. The process of obtaining land through land contribution is as follows: (a) the Satlak submits a proposal to the LKM for review and approval. One item included in the proposal is identification of land needed and how the land will be obtained. In the case that the proposed subproject requires land, the proposal already identifies that land is available through contribution from member(s) of the conununity. (b) the LKM and the Project staff (CFTs) verify in the field and ensure that the land contributors have voluntarily agreed to donate his/her/their land for the proposed subproject. They also ensure that land contribution is made through participatory mechanisms. In many cases, the LKM and facilitators participate in the conununity meetings discussing the land contribution for a particular subproject. The LKM and Project staff obtain a statement letter (attached to the proposal) signed by the conununity member(s) who donate the land and witnessed by the chairperson of the conununity ("kepala dusun") or head of village, and by other witnesses. The letter contains, among others, name and address of land contributor(s); current use, location and size of the donated land; the purpose of land donation. (c) once a subproject proposal is approved by the LKM, the land owner who contributes the land points out the site on the ground where to build the facility. c. Indigenous Peoples PAM SIMAS AF does not target IPs specifically, but seeing IPs as part of vulnerable peoples. Indigenous peoples, as part of vulnerable groups, can easily be adversely affected by development Projects because of their special characteristics and because they are economically marginalized. As conununity driven Projects, P AMSIMAS AF should not negatively affect IPs, but some conditions may cause them to be left out from the Project. Most of IPs conununities occupy subordinate positions within local social structure. Some tribes rejected any modem systems, some have deeply hierarchical village structure, and their unique identities may exclude them from development planning process and getting benefit from a Project. Special actions should be taken to ensure that IPs's voices are heard, not only the elite of IPs, and that they are included in decision making process. Their specific characteristics should not exclude them from getting Project benefit equally as the non-IPs. Therefore the Project should be adaptive for specific condition in where IPs conm1unities are present. In reference to the World Bank Study (2010) for IPs Screening, the Project has made initial screening to all of 235 districts/kabupatens that were included in PAM SIMAS and those that would be included in the PAM SIMAS AF The screening showed that IPs conununities would presence in 125 out of these 235 districts/kabupatens. Confmnation on the existence of IPs conununities will be carried out during the selection of participating villages during Project implementation and potential in1pacts will be identified during the participatory conununity-self social mapping (!MAS). 7 5 PROPOSED MITIGATION AND MONITORING MEASURES The Ministry of Public Works (MPW) is the Executing Agency responsible for overall Project implementation including the implementation of environmental and social safeguards framework. The MPW is also the lead implementing agency, with components also to be implemented by the Ministry of Home Affairs (MoRA) and Ministry of Health (MoH). A Central Project Management Unit has been established within MPW at the national level, with a network of corresponding District PMUs (DPMUs). Consulting services to the Central Project Management Unit under MPW will be recruited to provide the additional capacity necessary to implement the framework. This will include one senior environmental specialist and one senior social safeguards specialist. The DPMUs and DMACs will be responsible for raising safeguard awareness for of the participating communities. The technical facilitators will also be trained to implement the frameworks. Further details of the proposed program of training is provided below and further sununarized in Section 7. A detailed technical manual has been developed by the Project to implement the environmental and social safeguards framework to be used during Project implementation at the community level. The technical manual includes among others: (a) environmental procedures for site selection (including laboratory based water quality testing), construction and operation and maintenance of community water supply schemes, including special conditions for environmentally sensitive areas. This will be supported by the development and integration of standard operating procedures/environmental code of practices for environmental management into the detailed designs for water supply schemes; (b) management of land donation which explains the requirements, procedures and format that records the donated land; (c) management of vulnerable groups including IPs communities which detail the screening and confirmation process, documentation of social mapping and consultation, as well as documentation of inclusion of their needs in the subproject designs. The technical manual will be improved from time to time to tailor with the local needs based on experiences and lessons learned. 5.1 Environmental For component 3, environmental impacts mitigation will apply an SOP/ECOP approach tailored specifically to water supply and sanitation subprojects and attached to the menu of possible types of subproject that the community chooses from. These have been developed by the CMAC, however need to be updated from time to time to accommodate lessons learned and improve Project quality. Eleven basic subproject types have been developed by the Project ranging from simple shallow well schemes, to gravity fed schemes, to pumped supply and treatment systems. For each system generic siting, construction and O&M type impacts will be identified, and mitigation and monitoring options provided. Implementation of these SOPs /ECOPs will require a program of training both for the community and technical facilitators, and for the communities themselves. The Project will design and deliver an environmental module within the fonnal training for facilitators to address environmental sustainability issues associated with community based provision of water and sanitation. The training will take into account the variations in environmental conditions than exist from one region to another. It will provide a focus on broader community awareness measures on environmental management to be delivered by the facilitators. The training module has been developed and delivered by a suitable trainer drawn from appropriate national or regional training institutions, with oversight and guidance provided by the CMAC. The district and village incentive grants under component 4 will apply a negative list approach, as detailed above. Sufficient resources will be built into the Project's monitoring budget to allow for an adequate sampling/spot checking approach to monitoring the actual environmental impacts of the grants and to amend screening procedures as necessary. 8 General orientation trammg on implementation of the safeguards framework including screening, environmental review and monitoring procedures will be required for all concerned CG and DG staff of the MPW and other implementing agencies, including MoHA, the MoH, as well as Kabupaten environmental authorities (Bapedaldas). One of the outputs of the training will be an agreed clause on environmental sustainability to be included within the proposed CG/DG Partnership Agreements on improving water, sanitation and hygiene practices. Field based environmental monitoring will be responsibility of MPW via the District PMUs, focusing on construction and operational phases of the community water supply and sanitation subprojects. The Project Operational Manual has include a field based monitoring protocol to assist the process, to be developed by the CMAC. DPMU staff and facilitators will be provided training in application of the protocol. Completed protocols will be collated by the DPMU and summarized in bi-annual reports as an input to routine supervision missions. In addition, The CPMU will develop an appropriate framework for environmental monitoring and report to be agreed with the World Bank within the first 6 months of credit effectiveness. A mid-term environmental review to assess the scale and direction (+ve/-ve) of emerging impacts will be carried out with specific focus on: uptake on the water supply and sanitation activities; and performance of the incentive grants. The results of the review will determine whether adjustments to the Project's safeguards approach are required, potentially including screening, technical design issues, and monitoring and reporting. 5.2 Social 1. Inclusion of vulnerable groups in all Project cycles The Proj eel will ensure that vulnerable groups including IPs communities have the same opportunities of inclusion in all Project cycles and in getting Project benefits as others who are better off. Subproject selection PAMSIMAS AF will adopt the WSLIC-2 and PAMSIMAS's mechanisms of the Project cycle to ensure that vulnerable groups are included in all steps of the Project Cycle. In sunnnary, the mechanisms are as follows: • The selection of participating village is based on criteria already determined. CPMU will be responsible to ensure that the criteria will be used across all provinces and districts. • There is a special arrangement for very poor villages, which could not afford a 20% contribution, for instance, cross subsidy arrangement. Alternatives of special arrangement and the strategy to induce social capital in the community are described in the Project manual. • The Project will ensure that information dissemination reaches all villages in each participating districts to ensure that all participating communities are aware of the program. Sets of socialization media such as poster, leaflet, banner, etc have been, and will be continuously produced and distributed to villages in participating districts. Application forms for and the announcement of the Project have been made in simple forms by using simple language that is easily understood by people, including vulnerable communities and is announced through any possible means to ensure that vulnerable communities know about the Project. District governments are encouraged to disseminate Project information through local radio and/or newspaper. Community decision making process The Project applies the following approaches to address the above mentioned risks: 9 a. Inclusion of the vulnerable group concept in Project implementation, which has been operationalized and detailed in the Project manuals (including in the Term of Reference and manual for facilitators and community group decision making process/consultation meetings). District consultants, community facilitators and other Project staffs have been trained in application of the concept. Special opportunity or events have been created to ensure a fair community decision making process between the elite and the vulnerable population. The Project also promotes greater participation and transparency in planning and decision making process at village level. b. A pro-poor system has been created to ensure that the Project's benefit will reach the vulnerable groups, for instance, cross subsidy system for water maintenance or water cost. CFT will facilitate community to create a pro-poor system so that poor households have equal access to water. A participatory social mapping is used to determine cross subsidy among communities member. The social mapping process will identify all community households as well-off, poor and in-between as has already been pioneered by WSLIC-2 and PAM SIMAS in Indonesia and widely institutionalized. The participatory planning and M&E purposes will be continued in PAM SIMAS AF. The social mapping process is free from elite domination. The participatory social mapping is used for ensuring equal access to the water facilities (deciding locations for water facilities so that all have convenient access, planning how people will share the burdens and benefits from the new systems fairly (task divisions for operation and maintenance, agreeing on tariff differentials to reflect differences in levels of service and consumption chosen by users ), and for assessing progress of subprojects. All stakeholders, including community members of all social and economic categories, Project facilitators and implementers use such transparency tools to plan and implement subprojects as well as for measuring outcomes. c. Selection of Project consultants has considered gender balancing, including the adoption, if needed, of gender affirmative action to create a gender sensitive Project. Although some areas (challenging geographical condition, remote, isolated, etc) face difficulty in recruiting qualified women consultants due to the challenges. d. CFTs play a critical role in building up awareness of gender equality within the community and in facilitating gender-sensitive processes. CFT should be able to play a role in encouraging women to play a bigger role in decision-making as women are primary managers of household water. Basic gender training followed up by on the job training and mentoring system has been given to CFTs to build up their gender-sensitive facilitation skills. Thereafter performance incentives will be applied for gender-and-poverty-sensitive CFT performance, and vice-versa, so that CFs becomes more accountable for gender and social equity in outcomes at community level. e. Mid-term social review to assess the scale and direction of emerging impact with a specific focus on is carried out, that includes among others: vulnerable people participation in all Project cycle and village team; proportion of poor people benefits from the Project, and special treatment for poor people in regard to user fee and any other contribution. A social impact evaluation related to the key issues above needs to be conducted at the end of the Project. The mid-term review will be prepared based both on field information and a review analysis of MIS, for example, representation of women in community groups supporting the Project. 2. Land donation No involuntary resettlement will be undertaken in this Project. Land needed or asset acquisition will be kept to a minimum. Any subproject proposal that would acquire productive assets (building, land, productive plant, etc.) will not be considered and the community should get alternative location for the water and sanitation facilities (pipe line, well location, etc.). As the Project generally needs only small piece of land for water supply and sanitation infrastructure, as has been the case of ongoing PAM SIMAS, the conununity is expected to use existing public spaces, or voluntarily contribute land needed by the subproject in exchange for the community's benefits from the Project. For land contribution, the following principles will be applied: 10 • The affected parties are not poor people. • The affected parties have been informed clearly about the Project and want to donate land without any pressure. They also have right to reject contributing their asset for the Project. • Affected land owners/customary users will be consulted through village meeting. • The location of facilities built should be agreed by the community to avoid donor's domination of the facilities. • Community Action Plans will include signed voluntary consent forms from the affected parties • The donated land will be recorded properly and well-documented. • If the asset owners reject to contribute their asset for the Project and there is no alternative location for the facility, the compensation will be provided at local market cost for affected assets prior to Project approval. Credit fund cannot be used for compensation. • Any grievances not resolved locally will be submitted to the Bupati (district head) for disposition. 3. Indigenous Peoples Since the Project has a nation-wide scope and there is a possibility of entering location where IPs communities are present, a framework to ensure that IPs communities are included in decision making process and they get equal benefit are prepared, in accordance with OP 4.1 0. This framework will be detailed and operationalized in the Project manuals whose purpose is to ensure that Project activities provide culturally appropriate benefits through informed participation. CFTs and other Project staffs will be trained in the application of these manuals. Beside framework that has been already developed, some principles need to be taken by the Project are: • Involvement of NGO or any person whose expertise in IPs communities and who are familiar working with them to get useful way for effective participation of IPs communities. • Direct consultation with the IPs cmumunities about their opinion of the Project, including their right to reject or involve, and to get their specific needs in terms of water facilities and sanitation behavior. • Adaptive approach for menu of technical option to cover specific system belongs to IPs communities that may be not in the Project list. • Improvement of information's quality through better facilitation and local language materials. • Monitoring and feedback mechanisms need to be sought from PAM SIMAS AF operating in areas where IPs communities exist to determine the most effective way of ensuring the full participation of IPs communities in the Project. 6 PUBLIC CONSULTATION The approach taken under the Project is community based, and builds on two successful phases of provision of community based water supply and sanitation under WSLIC-2 and PAM SIMAS. Component I on community empowerment and local institutional development supports the implementation of CDD approaches to planning, implementation and post construction management of water, sanitation and hygiene programs. Specifically, it supports villages within the preparation and implementation of Community Action Plans based on informed choices on community water supply, sanitation and hygiene behavior. The Project approach highlights disclosure and increased awareness among low income communities. It will help to make district level planning and implementation more open and transparent in the water and sanitation sector and to strengthen the capacity of poor villages in participating in these processes. This Enviromnental and Social Safeguards frameworks will be re-disclosed locally in Indonesian language in the Ministry of Public Works national website. 11 7 INSTITUTIONAL CAPACITY The Project's Executing Agency (EA) who is also the lead implementing agency is the MPW. This Ministry generally has a higher capacity to implement enviromnental and social safeguards than other line Ministries. The EA has managed several World Bank-supported infrastructure Projects, and in particular, has satisfactorily managed PAM SIMAS since the past five years, particularly in managing enviromnental and social safeguards. However, an enhanced program of orientation and training on safeguards for the EA, especially the DG Cipta Karya, will be required during the initial stages of the Project, both at central and district/kabupaten levels to support the PAM SIMAS AF. This capacity building efforts is mainstreamed within the context of the proposed Partnership Agreements to be evolved as a basis for roll out ofPAMSIMAS AF. 8 STAFFING PLAN AND SCHEDULE This enviromnental and social safeguards framework will be implemented under the overall guidance of the Ministry of Public Works. The key elements of the framework are detailed in the following table, including an indicative cost element to be reflected in the Project Implementing Plan. Item Needs Indicative budget A. Implemented/Ongoing Development of SOPs has been developed for basic Has been developed by the CMAC enviromnental Standard community water supply schemes, Operating Procedures for including special conditions for water supply and sanitation siting, construction and O&M in subprojects sensitive areas. Measures reflected in the Project Technical Manual. General safeguards Screening, environmental and social 2-3 regionally organized training events orientation training review and monitoring for central covering all participating districts and district govermnent, PMUs, CMAC and PMAC Social and enviromnental Social and enviromnental module 4-6 week consulting assigmnent to develop training for facilitators and has been incorporated into facilitator an appropriate module. DMAC training, and delivered by PMAC 6-8 training events (2-3 days) for facilitators Social and Enviromnental Specific module on social and 4-5 training events for Kabupaten engineer, training for DMAC environmental screening and to cover all provinces monitoring has been delivered for DMACs Design and roll out of Focus on siting and design issues, Carried out by facilitators via group awareness raising program water supply impacts and mitigation meetings, supplemented via appropriate for local communities measures media such as film (via DVD), poster, banner, etc. Integration of environmental Supporting weak existing capacity Incorporated into general safeguards clauses into CGIDG for environmental management orientation training, based on advice from Partnership Agreements within MPW Cipta Karya CMAC. B. Plan Midterm and final Review to apply a sampling/spot To be incorporated into ToRs for CMAC. environmental and social checking approach, with a focus on review more fragile locations, and/or areas with IPs. MIS information to be used as a basis for the review Independent monitoring on Sampling approach focusing on how 12 man-months social specialists (including social inclusion vulnerable and marginalized travel and accommodation) -potentially 12 Item Needs Indicative budget individuals and groups have been starting from year 2, four person week field involved in Project decision making visits to selected provinces to be carried processes. CMAC will fmalize every 3 months by a competent regionally- detailed ToRs and methods for this based organization (NGO, University). task. 13 Annex 1 Environmental Guidelines INDONESIA: Additional Financing to the Third Water Supply and Sanitation for Low Income Communities (PAMSIMAS) Project Introduction 1. PAMSIMAS AF will support a large number of small subproject investments in village level. It is expected to provide water and sanitation facilities, through the Community Block Grants. The low ceiling for individual activity indicates that none of these investments is expected to have any large scale, significant or irreversible environmental impacts. Environmental impacts would come mostly from poor site planning and management during subproject constmction activity; it is therefore, good housekeeping and the implementation of ECOPs will be highly promoted. 2. The Project has been classified as a Bank environmental safeguard category B. This guideline outlines the environmental screening procedures and guidelines to identifY, to review, and "red- flag" procedures to ensure that problems are corrected. Indonesia's environmental review procedmes are generally consistent with the Bank's and will form the framework of PAMSIMAS AF approach to environmental impacts management. Basic Principles 3. The basic environmental principles are: a. Proposals should avoid or minimize potential negative environmental impacts, and they should have explored viable alternative designs to minimize any potential negative environmental impact. b. Proposals should avoid protected areas so designated by the Ministry of the Environment (see the table below). c. Any proposal entailing a potential negative environmental impact shall be complemented by an environmental management and monitoring plans to mitigate the impacts. Environmental Screening Criteria 4. Subprojects will be checked against Government of Indonesia (GOI) screening criteria to ensme that no Project would necessitate a full environmental assessment. In an initial screening, the subproject type, scale, location, sensitivity, and the nature and magnitude of potential impacts, will be identified to classifY the proposal in one of four categories: b. Those that require ANDAL (full Environmental Assessments) for which the Ministry of Environment has set criteria (see the table below). These will be eliminated from consideration for PAMSIMAS AF financing. 14 c. Those that require environmental management and monitoring plans (UKL and UPL) based on limited but site specific studies. The Ministty of Public Works has set criteria to determine the need for UKL-UPL (see the table below). It is expected that none of the proposals submitted under either the Community Block Grants would fall under this criteria. However, this would apply for subprojects to be financed under the specialized program at the village level targeting the poorest. d. Those for which standard operating procedures (SOP) suffice, where generic good practice would protect the environment adequately. The DG Human Settlements has SOP guidelines for some types of subprojects (including measures to control dust, noise and traffic at construction sites; specifications for backfilling and re-vegetating disturbed areas to prevent erosion; and procedures to control negative impacts at solid waste transfer stations; etc.). This type of subproject should prepare the SPPL (Sural Pernyataan Kesanggupan Pengelolaan dan Pemantaun Lingkungan, or Environmental Management and Monitoring Statement). It is expected that some subprojects may fall under this category. e. Those that require no environmental study, where no construction, disturbance of land or water or discharge of pollutants are involved. It is expected that some subprojects may fall under this category. Table 2: Government Environmental Screening Criteria (by Regulation of the Minister of State for the Environment of the Republic of Indonesia) 15 SECT<)~ A]$ PROJECTS . UNITS: . ,,~AI', ·I\ /''•••· }IiKL/UPr ... ,·_._·.·, c. In small towns (Villages) km 5- <15 Kampung Improvement Large Towns ha >I Medium Towns ha >2 Upgrading ha >I - ? ANDAL (Concemmg Types ofBusmesses ActJVJI!es Requued to Complete an Environmental Impact Sources. PERMENEGLH 0:>/20J_for Assessment); KEPMEN PU~ 17/KPTS/M/2003 for UKUUPL (Concerning Decisions on Types of Activities in the Field of Public Works that are Required to Prepare UPL and UKL); and PennenLH 13120 I0 for UKL-UPL and SPPL. 5. Special screening will be applied on the following cases ("Negative List"): • Pesticide or herbicides: No subprojects using or producing these matetials will be financed. • Tobacco or tobacco products: production, processing, handling, storage or sale of tobacco or products containing tobacco will not be financed by the Project. • Ozone-depleting substance: No subprojects using or producing these materials will be financed. • Asbestos. No asbestos-containing materials will be financed. Special mitigation measures to address any issues with existing asbestos in any proposed subproject (e.g. construction of school sanitation facilities that may have used asbestos) will be applied. Linkage: no asbestos allowed in the subprojects although purchased as own/parties contributions. • Subprojects that produce liquid or gaseous effluents or emissions. No manufacturing or processing operations will be financed that would produce pollutant-bearing effluents or emissions unless: (a) the operations are small-scale; and (b) the cognizant Bapedalda (Local Government Agency for Environment Monitoring) reviews the design and certifies that it meets applicable water and air pollution control standards. • Hazardous materials and wastes. No subproject will be financed that uses, produces, stores or transports hazardous materials (toxic, corrosive or explosive) or generates "B3" (hazardous!Bahan Beracun dan Berbahaya) wastes. • Logging. Subprojects involving logging operations or procurement of logging equipment will not be financed. • Mining or excavation oflive coral or coral reef. • Development on protected areas. The Regulation of the Minister of the State for the Environment of the Republic of Indonesia, i.e., PERMENEGLH 05/2012, entitled Concerning the Types of Businesses Activities Required to Complete an Environmental Impact Assessment, prescribes that any business or activity that is located in a protected area or that may change the pmpose and/or designation of a protected area shall be required to prepare an ANDAL (see above). This includes: forest protection area; river edges; marine/freshwater conservation areas; nature tourism park; peat areas; areas surrounding lakes and reservoirs; coastal mangrove areas; water catchment areas; national parks; coastal edges; forest parks; cultmal reserves; areas surrounding springs; scientific research areas; natme conservation areas; and areas susceptible to natural hazards. 6. Design specifications including environment management consideration for clean water supply and sanitation facility will be applied to PAMSIMAS AF in the fonn of SOP. 16 Environmental Screening Process 7. Community implementation unit (Satlaks) will prepare a subproject proposal on a standard format provided by the CFT, signed by the group members. The standard format will include all items identified above that are not eligible for financing as part of the negative list. The proposals will include a desctiption of the activities proposed and compliance with any applicable guidelines on environmental impacts (as well as land/asset acquisition and impact on indigenous people). All proposals will be reviewed by Project staff for their feasibility, technical soundness, and compliance with guidelines, before they are considered by the village organization (LKM). Project staff will specifically screen proposals for any environmental impacts based on the guidelines above which will be included in the Project manuals. These will include special screening for all subprojects involving land and water use changes (i.e. reclamation, inigation); economic projects with environmental impacts to be sure those alignments, effluent, etc. meet best practice standards. LKMs with the assistance of facilitators will ensure that adequate mitigation measures are taken. The selection of proposals by the LKM for the Community Block Grant shall be made in a meeting publicized in advance and open to the public. Reporting 8. CFT and Consultant will aggregate and review environmental reports and flag them in their quarterly reports. The Project manual will include a matrix of likely environmental impacts and steps with which to address them. An experienced environmental consultant will be hired to summarize progress and monitor and measure the impact of the Project on the environment as part of the Project performance evaluation. Review of Experience to Date 9. All construction activities will have some impacts on the environment, although the significance is largely proportional to the scale. P AMSIMAS AF is concerned about preserving the environment and ensuring that any negative effects from P AMSIMAS AF activities are avoided or at least mitigated. PAMSIMAS AF subprojects will be planned and implemented through an intensive participatory process at the Community Implementation Unit (Satlak - Satuan Pelaksana) and Community Board of Tmstee (LKM - Lembaga Keswadayaan Masyarakat) levels. 10. Observations in some subprojects under previous WSLICs and PAMSIMAS suggest that environmental related-issues mainly occurred due to inadequate guidance, monitoring and supervision by CFTs, PMACs, and DMACs during the plauning and implementation stages. b. Environmental risks related to public toilets, sanitation and water supply activities: 11. Communities must consider the formation of an operations and maintenance committee for water or sanitation subprojects. For this type of environmental malfeasance on community projects, the proposed mitigation and prevention methods are proper training (on specific technical measures) and monitoring of the supervising field engineers, especially on site selection for water and sanitation subprojects, use of laboratory tested water quality from wells, and maintenance of the facilities. 17 12. Furthetmore, although clean water supply provision is one of the main infrastructures proposed by communities, to date most provisions have been built without laboratoty based water quality readings. Water quality tests should be taken once water supply provision is complete, especially for bore/well water. LKMs and Kades (heads of Village) should get assistance from the Dinas Kesehatan (Local Health Agency) in getting water quality readings and applying recommendations from the Din as (Local Government Agency), as necessary. Approach to Controlling Environmental Impacts in P AMSIMAS AF 13. The principle behind controlling environmental impacts in PAMSIMAS AF is to limit possible negative effects and to enhance the positive impacts of any infrastructure construction activity. As part of the planning process, a checklist of potential environmental problems is introduced (see table below), which then is followed up during and after implementation by the village and the technical facilitator. Each type of subproject is checked by CPT (WSS/technical) for the various treatments that must be perfmmed to avoid or repair environmental problems. At the midpoint of construction, the same form is brought out to the field and inspected again, at a time when it is still feasible to easily repair deficiencies. At the end of construction, the form is checked one more time against the original plan. CMAC updates the list on a regular basis to reflect environmental issues and proposed mitigation measures accordingly. 14. For each type of subproject, a technical standard is included in Project manuals. For example: septic tank of latrines have to be located at least ten meters away from any water supply, and located downstream as groundwater flows; and water supplies cannot be located near any potential source of contamination. 15. Based on expetiences under previous WSLIC and PAMSIMAS, below is the checklist of environmental issues and mitigation measures to be applied in PAMSIMAS AF: Table 3: Checklist of environmental issues and mitigation measures POTENTIAL NEGATIVE IMPACTS MITIGATION MEASURES Toilets Sanitation, and Water Suooly- Health Risks on the followin2: activities: Water level of the well almost the same as the soak away, - Check the direction of groundwater flow; the well well too close to the toilets and septic tank should be placed upstream - Build the soak away as far as possible away from the well (minimum 10 m) A well in the toilet: this is not acceptable due to high risk - Build a basin in each toilet room and fill them from of contamination the well by pipe channel or container - Keen the toilets clean and seoarate from the well The sewer pipe laid on the ground surface may become - Buny the sewer pipe all the way to the septic tank brittle from the sun's UV rays and could also be damaged - Install a ventilation pipe and a manhole access in the by people stepping on it or other impact septic tank. Incomplete septic tank structures Minimum equipment for a septic tank consists of: I. Access manhole with a lockable cover 2. Inlet pipe 3. Dividing waiJ of baffle 4. Overflow pipe 5. Ventilation pipe Incomplete MCK structures (Mandifbath, Cuci/wash, All essential elements of an MCK need to be included: Kakus/toilets) I. Toilet (s) 2. Toilet ventilation 18 POTENTIAL NEGATIVE IMPACTS MITIGATION MEASURES 3. Water basin with faucet and bottom outlet 4. Slab with raised edge for public washing area 5. Faucets to fill buckets 6. Notch to ditch for surplus water and flow directly to the existing ditch/drains Sewage which contains human waste carries pathogens - A sewer carrying human waste should discharge to a and must be treated before discharge into the ground or an treatment plant or a septic tank open water course - A septic tank or other type of settling tank will also partially treat sewage 19 ANNEX2 Indigenous Peoples Planning Framework INDONESIA: Additional Financing to the Third Water Supply and Sanitation for Low Income Communities (PAMSIMAS) Project IPs communities in PAMSIMAS I. To date, there has been no report on the involvement or impacts on IPs in WSLICs and PAMSIMAS. Preliminary screening in reference to the IP Study (2010) prepared by the Bank showed that 125 out of 235 districts covered under the Project may have IPs communities which may or may not involve or be affected by the Project. Since the study was prepared using various understanding on IPs characteristics and old information fi'om various sources including from government agencies, the presence of IPs communities as defined under the OP 4.10 in the villages in 125 districts will have to be verified and reconfirmed during the Project implementation. An Indigenous Peoples Plan (IPP) will be prepared during Project implementation (after the screening, verification and confirmation stage) in the case IPs will be affected by a subproject. In the case that IPs communities are the beneficiaries of the subproject, it will be adopt the planning and implementation process and procedures as currently adopted by the ongoing P AMSIMAS, whereby full consultation and participatory in decision making are made by the beneficiaries themselves. 2. As in the case of environmental and land acquisition/resettlement impacts, potential adverse impacts and positive effects of the Project on IPs, or involvement of IPs as beneficiaries will be identified once the villages are defined and subproject proposal is submitted by the Satlak. Screening, verification and confirmation will be canied out at the subproject proposal stage by the LKM and facilitators. Objectives 3. The design of this Project is structured to ensure the pruticipation and inclusion of various groups within communities in local level decision making over resource allocation. However, the Project recognizes that IPs form a particular group that merits a different approach and specific support. Therefore, in accordance with OP/BP 4.1 0, the following planning frrunework for addressing IPs will be adopted for the Project. 4. The objectives of this framework are to: • Ensure that IPs participate in and benefit from the Project; • Avoid or minimize potentially adverse effects of the Project on Indigenous Peoples, and if it is unavoidable, develop and implement mitigation measures based on free, prior, and infmmed consultation resulting in broad supports from the impacted IPs communities • Maximize the potential positive effects of the Project on the IPs, based on free, prior, and informed consultations with the IPs ensuring that the design and implementation of the Project incorporate aspirations and needs of the IPs. 20 Definition 5. "Isolated vulnerable peoples" is the term used officially by the Indonesian Government to describe groups that have the characteristics of "indigenous peoples" as used in OP/BP 4.10. This document will hereafter use the term "indigenous peoples" or IPs. 6. For the purposes of this Project, IPs are defined as those that present varying degrees of the following characteristics: • A close attachment to ancestral territories and to the natural resources in these areas; • Self-identification and identification by others as members of a distinct cultural group; • An indigenous language, different from the common regional language (e.g. Javanese); • The presence of customary social and political institutions; and • Primarily subsistence-oriented production Procedures and institutional arrangements 7. IPs communities are not prevalent in all the Project sites-they are likely to be found in particular kota!kabupaten of particular provinces. The following steps will be taken to ensure that, where IPs communities are presence and affected by the Project, it caters to their specific needs. a. Once the target villages are defined, the PMAC, DMAC, and facilitators will screen, verif'y and confirm on the presence of the IPs in reference to the above characteristics (point 6). In doing this, PMAC, DMAC and facilitators will consult experts, local universities or NGOs who have good knowledge or have worked on IPs in the area. Further, PMAC, DMAC and facilitators with the LKM will consult the local communities and potential IPs communities to confirm that they are IPs. b. In the case that the presence of IPs is confirmed and they will be part of or affected by the Project, facilitators together with the LKM, with the guidance of the PMAC, DMAC, will carry out a social assessment (SA) at the village level, based on free, prior and informed consultations, with the affected IPs communities. The format and contents of the SA will be provided in the Project's technical guidelines. Potential adverse and positive effects of the Project will be identified during the SA preparation. c. IPP will be prepared along with the CAP in the case that the Project affects (positive and adverse) IPs. In the case that IPs will be mostly the beneficiaries of the Project, the design and implementation of the subproject will accommodate the aspirations and needs of the IPs. In this case, the Project regular procedures as community-based with full participation of the beneficiaries will apply. The fmmat and content of IPP is provided in the Project's Technical Manual. d. CFTs will work closely with the LKMs or Satlaks during the preparation of the SA, the IPP and subproject proposals. The IPP will be prepared along with the CAP by the community under the coordination of LKM. e. Dming the CFT training, facilitators will be trained in the identification of IPs. Through the Community Participatmy Assessment exercise, facilitators will identif'y the presence and numbers of IPs in the community and report this to the PMACs and DMACs. f. For the areas where IPs communities are identified, PMACs and DMACs will organize training for relevant CFT in how to work with IPs communities in a useful way to identif'y mechanisms for effective participation through free, prior and informed 21 consultations, and address specific challenges in working with such groups, for example, how to deal with groups that may be in conflict with the larger community, etc. g. Since facilitators will be hired locally to the extent possible, they are expected to be familiar with such groups. They will also be rotated as necessary to ensure that those that have been trained in working with IPs, or have specific skills that would be beneficial in working with such groups, are made available in the right places. Management of CFT will be handled by the PMACs and DMACs. h. Where IPs communities are identified, efforts will be made to ensure that at least one Community Cadre is from the group and able to communicate easily with the group. 1. Where the IPs communities speak a language different from Bahasa Indonesia, relevant brochures and documents will be translated in the appropriate language. Provision has been made in the Project budget to allow for additional translations of relevant Project documents. 8. The above aims at ensuring that IPs communities participate fully in the Project with free, prior and informed consultations, are aware of their rights and responsibilities, and are able to voice their needs during the Community Participatory Assessment exercise and in the formulation of the CAP. The Project Management Unit will ensure that the above point 7 will be implemented and well documented during Project implementation. Monitoring and Grievance Procedures 9. The Terms of References for the CMAC, PMAC and DMAC include the responsibility for monitoring the treatment of isolated vulnerable people in the Project. Where IPs communities are identified, the PMACs and DMACs will be required to report on their participation in the Project. Provisions will be made in the Management Information System (MIS) to monitor the involvement of IPs communities. This will be followed by the CMAC as well as monitored during supervision missions. 10. The Project has a complaint system that allows community members to raise issues or complaints at various levels-at the village level, at the CMAC level (either at kota/kabupaten or province level), and at the national level. The Project has designated contact numbers for complaints through calls and short text message (SMS). There is a designated staff member at the CMAC, PMAC, and DMAC responsible for following up on complaints and ensuring that they are handled adequately. Where IPs communities are concerned, the CFTs/DMACs and PMACs will ensure that grievance redress mechanisms are developed in culturally appropriate ways in close collaboration with the relevant group. Disclosures 11. As is the case with other community documents, the IPP will be disclosed in the respective villages, and if necessary, it will be prepared in the language of the IPs. The IPP will be part of the CAP, as relevant. 12. In the case ofiPs is the most beneficiaries or all beneficiaries of the Project, all of the Project planning documents (CAP subproject proposal and its implementation repmt) will be disclosed at the village level as is the case for the regular procedures in the Project. 22