INTEGRATED SAFEGUARDS DATA SHEET APPRAISAL STAGE Report No.: ISDSA2494 Public Disclosure Copy Date ISDS Prepared/Updated: 13-Mar-2013 Date ISDS Approved/Disclosed: 14-Mar-2013 I. BASIC INFORMATION 1. Basic Project Data Country: Indonesia Project ID: P132585 Project Name: ID-TF NATIONAL PROGRAM FOR COMMUNITY EMPOWERMENT IN RURAL AREAS HEALTHY AND BRIGHT GENERATION (PNPM GENERASI) (P132585) Task Team Robert Wrobel Leader: Estimated 15-Feb-2013 Estimated 01-Apr-2013 Appraisal Date: Board Date: Managing Unit: EASID Lending Technical Assistance Loan Instrument: Sector: Health (34%), Primary education (33%), Other social services (33%) Theme: Child health (40%), Other human development (30%), Other social development (30%) Financing (In USD Million) Public Disclosure Copy Total Project Cost: 38.70 Total Bank Financing: 0.00 Total Cofinancing: Financing Gap: 0.00 Financing Source Amount Borrower 7.00 Indonesia - Program for Community Empowerment 31.70 Total 38.70 Environmental B - Partial Assessment Category: Is this a No Repeater project? 2. Project Objectives The PDO is to improve access to and utilization of health and education services in poor, rural sub- districts in the project provinces through empowerment of local communities and improved community capacity to foster improvements in service delivery. 3. Project Description Page 1 of 8 The proposed financing will expand PNPM Generasi coverage to approximately 400 rural kecamatan by 2013 and strengthen project implementation. The objective of improving access to and utilization of health and education services in poor, rural sub-districts through empowerment of local Public Disclosure Copy communities and improved community capacity to foster improvements in service delivery will be achieved through: (a) provision of direct grants to communities in a transparent manner to finance an open menu of activities aimed at achieving target health and education indicators; (b) support to communities’ participation in open and inclusive planning processes; and (c) enhancing the capacity of communities to engage with front-line service providers and local governments to diagnose and overcome constraints to service utilization and provision. The project consists of the following components: Component 1 (recipient-executed): Kecamatan (sub-district) Grants (US$ 30.5 million, $25.5 million in new grant financing). The bulk of the financing would be used to provide grants to participating kecamatan for investments that improve use and access of targeted health and education services. Communities invest kecamatan grants in demand-side support, such as scholarships for poor children, transportation and other in-kind subsidies, and supply-side activities, such as contract teachers, health, and education facilities, depending on where the need is greatest. This component also finances the administrative costs associated with planning for and preparation of sub-project proposals and training and capacity building for communities (Beneficiaries). Component 2 (recipient-executed): Community Empowerment and Facilitation Support (US$ 4.2 million, $3.7 million in new grant financing). This component will provide technical assistance to support: (a) Community empowerment and facilitation, including training to improve community skill levels in diagnosing and overcoming constraints to health and education service utilization; (b) Improved communications with and linkages to local government health and education offices and front line services providers and communities; Public Disclosure Copy (c) MIS database management. Component 3 (recipient-executed): Implementation Support and Technical Assistance (US$4.0 million, $2.5 million in new grant financing). These funds would strengthen the management and oversight capacity of the PNPM Generasi Secretariat in the Directorate General for Community Empowerment (PMD), Ministry of Home Affairs (MoHA). Funds would also cover government- sponsored workshops, coordination with other ministries, and field supervision. This component also supports training for PNPM Generasi facilitators at all levels of program delivery, including refresher training for existing staff, pre-service training for new staff, specialized training for district database operators, and regional evaluation workshops. Funds will support additional project technical assistance for health and education planning, and national database management. Sustained database support is needed to improve the performance of the program’s innovative information management system. 4. Project location and salient physical characteristics relevant to the safeguard analysis (if known) he proposed grant will support PNPM Generasi operations in up to 400 poor, rural kecamatan in eight existing provinces (West Java, East Java, North Sulawesi, West Nusa Tenggara (NTB), East Nusa Tenggara (NTT), Maluku, Gorontalo and West Sulawesi). PNPM Generasi applies the same Safeguards policies and mitigation measures as PNPM-Rural 2012-2014, which draws on 14 years of experience operating effectively across great topographic, ecological, biological, and social diversity. Page 2 of 8 The project primarily finances social investments in education and health, with a relatively small percentage of these investments used to construct or rehabilitate education and health infrastructure Public Disclosure Copy (e.g. kelas jauh, and early childhood development centers). The project also provides kecamatan grants to support sub-district and village level planning processes, including the provision of training and technical inputs to strengthen planning and implementation readiness. Planning includes a simple, community assessment of environmental impact where infrastructure projects are proposed. 5. Environmental and Social Safeguards Specialists Juan Martinez (EASIS) Dennie Stenly Mamonto (EASID) 6. Safeguard Policies Triggered? Explanation (Optional) Environmental Assessment OP/ Yes BP 4.01 Natural Habitats OP/BP 4.04 No Forests OP/BP 4.36 No Pest Management OP 4.09 No Physical Cultural Resources OP/ No BP 4.11 Indigenous Peoples OP/BP 4.10 Yes Involuntary Resettlement OP/BP No 4.12 Public Disclosure Copy Safety of Dams OP/BP 4.37 No Projects on International No Waterways OP/BP 7.50 Projects in Disputed Areas OP/BP No 7.60 II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the Restructured project. Identify and describe any potential large scale, significant and/or irreversible impacts: This project will not create any large-scale, significant, or irreversible environmental or social impacts, therefore the safeguard issues and impacts associated directly with the proposed project are insignificant, non-irreversible, and site-specific. Mitigation measures are carried out through community participation and community-based sub-project management. Safeguards guidelines for PNPM-Generasi are contained in the Implementation Guidelines for Social and Environmental Safeguards (IGSES) developed under the PNPM-Rural 2012-2015 program, which is an annex to the operations manual (PTO). The IGSES was revised during the preparation and appraisal of PNPM-Rural 2012-2015 to reflect recent lessons in implementing environmental and social Page 3 of 8 safeguards and the set of environmental code of practices for rural infrastructure. Experience implementing Generasi over the past five years suggests: Public Disclosure Copy Environmental Assessment. PNPM Generasi investments take the form primarily of social investments in education and health. From 2007 to 2011, investments in health and education infrastructure averaged less than $2,500 per village. These investments are small, discrete, and non-cumulative. As the umbrella program PNPM-Rural covers all rural sub-districts in the country with a wide range of activities proposed by communities, it is anticipated that there could be environmental impacts, and therefore PNPM-Rural triggers the Bank’s Policy on Environmental Assessment. In the sub-districts where PNPM Generasi operates, a team of three sub-district facilitators—two of which specialize in community empowerment and one of which is a civil engineer—assists local communities identify, plan, design, and implement sub-projects that improve community access to health and education services. Technical sub-district facilitators, with support and oversight from district technical consultants, are trained to assist communities to screen for possible environmental and social impacts. If environmental impacts are anticipated, facilitators provide guidance to the communities for developing and implementing measures to address and mitigate the impacts. Measures for mitigating negative impacts are included in the revised PNPM Generasi PTO, which includes the PNPM-Rural Implementation Guidelines for Social and Environmental Safeguards (IGSES), training procedures, field supervision and criteria for evaluation of the consultant civil engineers. The PNPM Generasi PTO was revised on April 25, 2012 to reflect the updated safeguards policies and mitigating measures in PNPM-Rural. The PTOs has been uploaded by PMU on the project website. An executive summary of the updated IGSES is attached. The implementing agency plans to print and distribute the PNPM-Rural 2012-2015 IGSES to PNPM Generasi facilitators by June, 2013. Indigenous Peoples: Indonesian communities covered by the World Bank's policy on indigenous people can generally be classified in two categories: a. Masyarakat Adat (MA)/Adat communities/Customary law communities. These are based Public Disclosure Copy 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, (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. The implementing agency should screen locations for this financing in 2010-2013 using the list of geographical distribution of IVPs (based on “Komunitas Adat Terpencil� or “KAT�) in Indonesia, as presented in the "EGIMap - Strengthening IPs Screening in Indonesia", 2010, World Bank. The PNPM Generasi Program Secretariat in PMD will use this as a reference for carrying out screening in PNPM Generasi locations. The Program Secretariat will ensure that the list is disseminated to provincial, district, and sub-district consultants and facilitators. In locations in which IVPs are Page 4 of 8 present, sub-district facilitators will ensure that the standard social mapping process applies cultural criteria in order identify IVPs and involve them in program planning, decision-making, and implementation processes as stipulated in the IGSES. The PNPM-Rural series of operations, Public Disclosure Copy of which PNPM Generasi is a part, has already applied good-practice principles for indigenous peoples’ participation and involvement, including: recruitment and tailored training for facilitators from the same ethnic groups; the use of local languages where needed; independent reviews by socio-cultural specialists; and modifications to the planning process to ensure free prior and informed consultations with broad community support. Under the proposed project, PNPM Generasi would benefit from the work in PNPM-Rural to further strengthen the capacity of program facilitators to address IP concerns through future rounds of facilitator training, and screening of locations for indigenous peoples will be strengthened. Furthermore, due to non- participation of some isolated communities in PNPM-Rural, a rapid social assessment was carried out during the preparation of PNPM 2012-2015, and the IGSES has been updated to take the recommendations into account. The ongoing PNPM Generasi operation is designed to specifically engage women as participants in program planning and decision making and respond to women’s basic needs by increasing access to health and education services. The project MIS shows that women have been the dominant participants in village-level participatory planning and decision-making (averaging over 60% of participants since 2007). Under the proposed project, PNPM Generasi’s target beneficiaries would continue to be pregnant women and those who have recently given birth, children under five, and primary school-aged children. PNPM Generasi implementing agency will work to expand engagement of the entire community in issues of maternal and child health, notably husbands and caregivers (e.g., grandparents and other extended family members) through partnerships with local civil society organizations and local health facilities. The PNPM-Generasi project will retain an Environmental Category B classification. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities Public Disclosure Copy in the project area: There are no potential significant long-term adverse impacts triggered by this project. Mitigation against any negative impacts can be managed through community-based approaches with good engineering design and construction practices. 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. N/A 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. As a support program of PNPM-Rural, all updated safeguards policies and mitigating measures defined in the IGSES are applicable and enforced through PNPM Generasi. During preparation of PNPM-Rural IV the borrower adopted new Implementation Guidelines for Social and Environmental Safeguards (IGSES) as a safeguards annex to the project’s operational manual (OM). The GOI updated the safeguards guidelines and included the revised IGSES as a supplement to the PNPM Generasi Operations Manual (PTO) on April 25, 2012. During the preparation of PNPM Rural 2012-15 the updated IGSES were distributed to all facilitators working on PNPM-Rural. The implementing agency plans to print and distribute the PNPM-Rural 2012-2015 IGSES by June, 2013. Page 5 of 8 A central focus recent Implementation Support has been to assess the extent to which PNPM Generasi consultants and facilitators are aware of the IGSES, as well as the effectiveness of the level of cooperation with PNPM-Rural consultants and facilitators to ensure the quality of the Public Disclosure Copy initial screening and mitigation processes conducted at the village, sub-district and district levels. Facilitators receive a 21-day pre-service training prior to deployment, as well as an annual nine day refresher training. The pre-service and refresher trainings include modules dedicated specifically to safeguards and the IGSES. These trainings were conducted for PNPM Generasi facilitators in October 15 – 21, 2012 and November 1-9, 2012. Future rounds of training in 2013 will re-emphasize safeguards issues. During project preparation of PNPM-Rural 2012-2015, the GOI updated the existing safeguards guidelines and consolidated the IGSES as a supplement to the Operations Manual/PTO. A rapid social assessment was carried out during the preparation of PNPM 2012-2015. The assessment focused on ways to encourage the participation of isolated communities in PNPM-Rural activities. The IGSES has been updated to take the recommendations into account. As a special program under PNPM-Rural, all updated safeguard guidelines in the Operations Manual are applicable and enforced through PNPM Generasi and are subject to be up-dated from time to time based on safeguards recommendations merged from joint World Bank and Government implementation support missions. For PNPM Generasi, the GOI updated the existing safeguards guidelines and included the revised IGSES as a supplement to the PNPM Generasi Operations Manual (PTO) on April 25, 2012. This manual had been uploaded by the PMU in the project website. The IGSES was disclosed in Bahasa Indonesia on PNPM-Rural website: www. pnpm-perdesaan.or.id on September 17, 2012. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. The key stakeholders and decision makers are villagers in rural areas. PNPM-Rural/PNPM Generasi social and environmental objectives and procedures are explained at inter-village Public Disclosure Copy meetings and during community-level trainings for village facilitators and for the TPKs (Village Implementation Teams). There are several ways in which PNPM-Rural/PNPM Generasi addresses indigenous and vulnerable groups: a. Developing dissemination and facilitation materials that are culturally appropriate, in collaboration with local communities; b. Using appropriate, inclusive decision-making mechanisms in environments where indigenous groups are politically and culturally marginalized, including free, prior and informed consultations leading to broad community support at the community level; c. Introducing innovative and effective ways to involve groups, such as women, that tend to be excluded from traditional institutions. In Generasi, these include the mobilization of “mother’s groups� (kolompok ibu) in each participating sub-village that are involved in project planning, counseling, and parenting activities. That said the task team implementing agency is aware that men play a key role in determining household decisions that affect nutrition and education of children. Project facilitators therefore also make efforts to involve husbands and fathers in local nutrition and parenting counseling sessions supported by the program; Page 6 of 8 d. Addressing concerns that marginalized indigenous groups are especially vulnerable to problems of elite domination and corruption. Adaptations include recruiting and training Public Disclosure Copy facilitators from marginalized communities, providing specialized logistical support (higher transport costs for facilitators to reach isolated areas), employing two village facilitators (one man and one woman) in all locations who are trained and mentored in order for them to gradually take charge of village planning and accountability meetings, proposal writing, and oversight. Furthermore, participatory consultation takes place in the form of inter-village, village, and sub- village meetings. Environmental and social screening and mitigation measures are identified and agreed among the beneficiaries during the preparation of the sub-project proposals and discussed during community meetings. The need and mechanisms for obtaining land (although rare in PNPM Generasi) are identified and agreed upon by program participants through the consultation process during the preparation of subproject proposals. Facilitation and verification of these processes, as presented in the IGSES, are documented in sub-project proposals by project facilitators, though the quality of documentation needs to be improved and will be closely monitored through PNPM Generasi. Disclosure is Mandatory. The PNPM Rural and PNPM Generasi Operations Manuals, including the IGSES, are disclosed in Bahasa Indonesia on the PNPM-Rural website http://pnpm-perdesaan. or.id/. An executive summary of the IGSES in English is available through the Bank’s InfoShop. Additional English-language material is available upon request. B. Disclosure Requirements Environmental Assessment/Audit/Management Plan/Other Was the document disclosed prior to appraisal? Date of receipt by the Bank 30-Aug-2012 Date of submission to InfoShop 05-Oct-2012 Public Disclosure Copy For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors "In country" Disclosure Indonesia 17-Sep-2012 Comments: IGSES disclosed in Bahasa Indonesia on the PNPM-Rural website http://pnpm- perdesaan.or.id/ Indigenous Peoples Development Plan/Framework Was the document disclosed prior to appraisal? Date of receipt by the Bank 30-Aug-2012 Date of submission to InfoShop 05-Oct-2013 "In country" Disclosure Indonesia 17-Sep-2012 Comments: IGSES disclosed in Bahasa Indonesia on the PNPM-Rural website http://pnpm- perdesaan.or.id/ Technical Assistance Project For a TA project which will finance the preparation of a specific safeguards instrument, please indicate type of document disclosed, if any. Page 7 of 8 If the project triggers the Pest Management and/or Physical Cultural Resources policies, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/ Public Disclosure Copy Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level OP/BP/GP 4.01 - Environment Assessment Are the cost and the accountabilities for the EMP incorporated Yes [ ] No [ ] NA [ ] in the credit/loan? OP/BP 4.10 - Indigenous Peoples If the whole project is designed to benefit IP, has the design Yes [ ] No [ ] NA [ ] been reviewed and approved by the Regional Social Development Unit or Sector Manager? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the Yes [ ] No [ ] NA [ ] World Bank's Infoshop? Have relevant documents been disclosed in-country in a public Yes [ ] No [ ] NA [ ] place in a form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Have satisfactory calendar, budget and clear institutional Yes [ ] No [ ] NA [ ] responsibilities been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included Yes [ ] No [ ] NA [ ] Public Disclosure Copy in the project cost? Does the Monitoring and Evaluation system of the project Yes [ ] No [ ] NA [ ] include the monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed Yes [ ] No [ ] NA [ ] with the borrower and the same been adequately reflected in the project legal documents? III. APPROVALS Task Team Leader: Robert Wrobel Approved By Sector Manager: Name: Jan Weetjens (SM) Date: 14-Mar-2013 Page 8 of 8