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Dedicated Grant Mechanism –Indonesia

Project Operations Manual1 Dated 21 June 2017

1 Prepared by the National Executing Agency (NEA- Samdhana Institute)

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Table of Contents Glossary of Acronyms .............................................................................................................................. 7

1. Background ...................................................................................................................................... 9

1.1. Purpose and structure of Project Operational Manual ................................................................ 9

1.1.1. Project Process Framework ................................................................................................. 10

1.1.2. Outline of the Project Operational Manual ......................................................................... 10

1.2. Process for Making Modifications to the Project Operational Manual ...................................... 10

1.3. The Legal Basis of Key Entities in DGMI ...................................................................................... 11

1.3.1. DGM-I General Assembly of Community Constituents ........................................................ 11

1.3.2. National Steering Committee. ............................................................................................. 11

1.3.3. National Executing Agency (NEA) ........................................................................................ 11

1.4. DGM-I Project Rationale ............................................................................................................. 12

1.5. DGM Project Development Objectives, Key Results, and Description ........................................ 12

1.5.1. Project Development Objective ........................................................................................... 12

1.5.2. Key Results Indicators – See Annex 1 .................................................................................. 12

1.5.3. Project Description .............................................................................................................. 12

1.5.4. Project Beneficiaries ............................................................................................................ 15

1.5.5. Project Costs and Financing (summary) .............................................................................. 16

2. Implementation Arrangement and Grant Making Policies and Procedures ........................................ 18

2.1. Institutional and Implementation Arrangements ....................................................................... 18

2.1.1. National Steering Committee .............................................................................................. 18

Table 2. Roles, Responsibilities and Expected Level of Engagement of the NSC ................................... 20

2.1.2. National Executing Agency .................................................................................................. 23

Table 4. Roles, Responsibilities and Level of Engagement of the NEA .................................................. 23

2.1.3. Roles and Responsibilities of NSC and NEA within Proposal Selection Phase ...................... 23

Table 5. Roles and Responsibilities of NSC and NEA within Proposal Selection Phase .......................... 24

2.1.4. Project Coordination ........................................................................................................... 25

2.1.5. NEA Staff – Project Management Unit/Secretariat ............................................................. 25

2.2. World Bank Implementation Support......................................................................................... 30

2.3. Grant Making .............................................................................................................................. 30

2.3.1. Eligibility Requirement ........................................................................................................ 31

2.3.2. Grant-making Process.......................................................................................................... 31

2.3.3. Reporting Requirement ....................................................................................................... 37

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2.3.4. Amendment to Grant Agreement ....................................................................................... 38

2.3.5. Financial Accountability of Grant Partners .......................................................................... 38

2.3.6. Suspension & Termination of Grant Agreement ................................................................. 39

2.4. DGM-I Project Implementation Timeline (including Grant Closure) ........................................... 39

Table 7. Project Activities Timeline of DGM-I Project ............................................................................ 39

3. Financial Management and Procurement ......................................................................................... 40

3.1. Financial Management ............................................................................................................... 40

3.1.1. Annual Work Plan and Budgeting ........................................................................................ 40

3.1.2 Fund Flow and Reporting Mechanism .................................................................................. 40

3.1.3. Internal Control ................................................................................................................... 40

3.1.4. Audit Arrangements ............................................................................................................ 41

3.1.5. Disbursement Arrangements............................................................................................... 41

3.1.6. Allocation of the Grant Proceeds......................................................................................... 41

3.1.7. Support from Financial Management Expert ...................................................................... 41

3.1.8. Supervision Plan .................................................................................................................. 41

3.2. Procurement .............................................................................................................................. 42

3.2.1. General Policy, Rules and Procedures ................................................................................. 42

3.2.2. Procurement Plan ................................................................................................................ 42

3.2.3. Procured Items .................................................................................................................... 43

3.2.4. Procurement Methods ........................................................................................................ 43

3.2.5. Procurement Processing and Review by the World Bank: .................................................... 46

3.2.6. Books and Record Keeping .................................................................................................. 47

3.2.6 Confidentiality Principles ...................................................................................................... 47

3.3. Anti-Corruption .......................................................................................................................... 47

3.3.1. Enhanced Disclosure Provisions and Transparency ............................................................. 47

3.3.2. Community Oversight .......................................................................................................... 47

3.3.3. Mitigating Collusion ............................................................................................................. 48

3.3.4. Sanctions & Remedies ......................................................................................................... 48

4. Safeguards ......................................................................................................................................... 48

4.1. The Environmental and Social Management Framework (ESMF) .............................................. 48

4.2. Environmental Safeguards .......................................................................................................... 49

4.3. Social Safeguards ........................................................................................................................ 49

4.4. Implementation of the ESMF ..................................................................................................... 51

4.5. Safeguards Institutional Arrangements ...................................................................................... 53

4.6. Capacity Building ........................................................................................................................ 57

4.7. Information Disclosure ............................................................................................................... 58

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4.8. Grievance Redress Mechanisms ................................................................................................. 59

4.9. Evaluation and Audits ................................................................................................................. 62

5. Monitoring, Evaluation, Communication and Outreach ..................................................................... 63

5.1 Overview ..................................................................................................................................... 63

5.2 Monitoring & Evaluation (M&E) System ...................................................................................... 64

5.2.1. Project and Sub-project Monitoring .................................................................................... 65

5.2.2. Financial Monitoring ............................................................................................................ 66

5.2.3. Grievance Redress Monitoring ............................................................................................ 67

5.2. Management Information System .............................................................................................. 67

5.3. Reporting Requirements ............................................................................................................ 67

5.4. Evaluations and Audits ............................................................................................................... 69

Evaluations .................................................................................................................................... 69

Audits ............................................................................................................................................ 70

5.5. Communications and Outreach .................................................................................................. 70

5.5.1 Human Resources for Communication ................................................................................. 70

5.5.2 Communications through the NEA and NSC ......................................................................... 71

5.5.3 Case Stories Sharing. ............................................................................................................ 71

6. Project Activity Implementation ......................................................................................................... 72

6.1 Project Activities and Results....................................................................................................... 72

6.2 Component 1: Implementation Details ....................................................................................... 72

Sub-component 1.1. Community Outreach and Mobilization ....................................................... 72

Sub-component 1.2. Strengthen IPLC's Capacity to Enhance Land Tenure Security, .................... 73

Sub-component 1.3. Build IPLC’s Capacity to Improve Livelihoods. .............................................. 76

6.3. Component 2: Implementation Details ...................................................................................... 77

6.4. Coordination between Components 1 and 2 ............................................................................. 78

6.5. Component 3: Project Management .......................................................................................... 78

Annex 1. Results Framework ................................................................................................................. 81

Annex 2 – ESMF Environmental and Social Management Framework .................................................. 87

Annex 3 – Term of References for DGM-I Personnel............................................................................. 88

DGM-I Project Leader ........................................................................................................................ 88

DGM-I Project Manager .................................................................................................................... 90

Project Grant Coordinator ................................................................................................................. 92

Capacity Development Coordinator/ ESMF Focal Point .................................................................... 95

Project Administrative Assistant ........................................................................................................ 97

Monitoring and Evaluation Coordinator ............................................................................................ 99

Project Finance Officer .................................................................................................................... 101

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Communication Coordinator ........................................................................................................... 103

DGM-I Safeguard Specialist ............................................................................................................. 105

DGM-I Gender Specialist ................................................................................................................. 107

Annex 3. Pemberian Hak Pengelolaan Hutan Desa (HPHD), A.Y. Firdaus, 2017 .................................. 109

Annex 4. Pemberian IUP HKm (Hutan Kemasyarakatan), A.Y. Firdaus, 2017....................................... 111

Annex 5. Pemberian IUP HTR (Hutan Tanaman Rakyat), A. Y. Firdaus 2017 ........................................ 113

Annex 6 - Concept Paper Template ..................................................................................................... 115

Concept Paper Submission Check List ............................................................................................. 116

Annex 7 - Proposal Format .................................................................................................................. 119

Annex 8 - Grantee Inquiry Form .......................................................................................................... 122

Annex 9 - Grantee Assessment Form .................................................................................................. 124

Annex 10 – Template of Sub-grant Agreement ................................................................................... 126

Annex 11- Template of Narrative Progress Report .............................................................................. 132

Template of ESMF Report ............................................................................................................... 133

Annex 12 - Template Financial Report ................................................................................................ 137

Sample of Simple Financial Report .................................................................................................. 137

Sample of Advance Financial Report ............................................................................................... 139

Annex 13 - Assessment on Environmental and Social Impacts ............................................................ 144

Annex 14 - Environmental Management and Monitoring Plan (ESMP) template ............................... 145

Annex 15 - Complain Form .................................................................................................................. 146

Annex 16 - DGMI Negative List ............................................................................................................ 147

Annex 17 - Screening against Environmental and Social Impacts........................................................ 149

Annex 18 - Environmental Code of Practices (ECOPs) ......................................................................... 150

Annex 19 - Guidance Note for Integrated Pest Management (IPM) ................................................... 154

Annex 20 – Protection of Physical Cultural Resources and Chance-Finds Procedures ........................ 156

Annex 21 – Community Participation Framework ............................................................................... 157

Description .................................................................................................................................. 157

Purpose ....................................................................................................................................... 157

Participation When Developing Proposals .................................................................................. 157

Participation During Implementation .......................................................................................... 158

Annex 22 – Guidance Note for Free, Prior, Informed Consultations ................................................... 160

Annex 23 - Handling of Voluntary Agreement on Use of Land ............................................................ 164

Annex 23.1. Sample of Agreement Letter for Voluntary Land Donation ..................................... 166

Annex 23.2. Sample of Agreement Letter for Use of Communal Land ........................................ 168

Annex 23.3. Sample of Agreement Letter for Land Easement .................................................... 170

Annex 24 – Environmental Permits and Management and Monitoring Measures ............................. 172

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Annex 24.1 – Template for Recapitulation of Impacts, UKL – UPL ............................................. 177

Annex 24.2 - Format for SPPL Application ................................................................................... 178

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Glossary of Acronyms

AMAN : Aliansi Masyarakat Adat Nusantara/ Indigenous Peoples' Alliance of the Archipelago

AMDAL : Analisis Mengenai Dampak Lingkungan/ Environmental Impact Assessment

AWP : Annual Work Plan

BRWA : Badan Registrasi Wilayah Adat/ Customary Territory Registration Agency

CBO : Community Based Organization

CPF : Country Partnership Framework

CSO : Civil Society Organization

DGM-I : Dedicated Grant Mechanism Indonesia

DKN : Dewan Kehutanan Nasional/ National Forestry Council

ED : Executive Director

ESMF : Environmental and Social Management Framework

ESMP : Environmental and Social Management Plan

ESS : Environmental and Social Standards

FIP : Forest Investment Program

GA : Grant Agreement

GOI : Government of Indonesia

GSC : Global Steering Committee

IP : Indigenous People

IPLC Indigenous People and Local Community

JKPP : Jaringan Kerja Pemetaan Partisipatif/ Particpatory Mapping Network

KPH : Kesatuan Pemangkuan Hutan/ Forest Management Unit

LC : Local Community

M&E : Monitoring and Evaluation

MOEF : Ministry of Environment and Forestry

NEA : National Executing Agency

NGO : Non-Government Organization

NSC : National Steering Committee

PAD : Project Appraisal Document

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PDO : Project Development Objectives

PMU : Project Management Unit

POM : Project Operational Manual

REDD : Reducing Emissions from Deforestation and Degradation

RFP : Request for Proposal

RFQ : Request for Quotation

SLMP : Sustainable Landscape Management Program

SPPL : Surat Pernyataan Kesanggupan melakukan Pengelolaan dan Pemantauan Lingkungan/ Letter of Commitment to Implement Environmental Management and Monitoring

WB : World Bank

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1. Background

1.1. Purpose and structure of Project Operational Manual The objective of Project Operations Manual (POM) for strengthening rights and economies of adat and local communities project (referred to as DGM-I) is to assist the Project Management Unit (PMU) under NEA (Samdhana Institute), the National Steering Committee, Implementing Agencies, all other relevant institutions and stakeholders and beneficiaries, engaged in project implementation.

The manual has been produced in accordance with the guidelines of the World Bank (WB), Grant Agreement (GA), Project Appraisal Document (PAD), Indonesian legislations while considering characteristics of the Project whilst building on the grant making experience of Samdhana Institute for IPLCs. Provisions of the Grant Agreement (GA) and/or Indonesian laws shall prevail in cases of contradictions.

The POM aims to: (i) provide guidance on how the project activities should be implemented, (ii) provide guidance on the role and responsibilities of all institutions and individuals involved in key areas of Project implementation; (iii) ensure implementation of the project in accordance with the WB requirements on procurement, financial management, institutional obligations, environmental and social safeguards; and (iv) increase transparency and accountability, while contributing to the achievement of targeted results. It describes in detail activities that will be carried out under the project; methodologies, selection criteria, and processes that will be utilized; and documents to be used during project implementation and supervision. More specifically, the POM provides: (i) description of optimal methods for project implementation; (ii) provision for standardization of operations; (iii) indication of approved methods, practices, obligations and authorities; and (iv) assists with decision making. Use of the POM helps achieve the agreed Project Development Objectives (PDOs) and targets set in the Results Framework (RF) in the most efficient manner. However, the POMs should not be interpreted in a rigid and inflexible manner as this is for guidance and to assist in project implementation.

Main principles and procedures are based on (i) simplicity; (ii) flexibility; (iii) completeness; and (iv) conformity legislations of Indonesia, experience of Samdhana in small grant giving and with the WB guidelines. The primary users of the POM are expected to be DGM-I Project Management Unit (PMU) staff including the project leader and grants manager, technical, procurement, financial, safeguards, monitoring and evaluation, operational and administrative staff. The POM will also be used by the CSOs including NGOs, CBOs, IPOs, for guidance on implementation of sub-grant activities.

All parties involved in the implementation of the project are to adhere to the POM, and as noted above, if there are any contradictions, the provisions in the GA and/or Indonesian laws shall prevail. Furthermore, The principles and procedures outlined in the POM and Environmental and Social Management Framework (ESMF) shall apply to all the activities that is supported as part of component 1 DGM-I, regardless the source of financing for the activity.

In the POM, the PMU is considered to include all the project staff that are formally noted as members of the PMU and the consultants recruited for the duration of the project to assist with project implementation. Where specific PMU staffs are responsible for an activity, this will be explicitly mentioned in the POM to the extent possible.

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1.1.1. Project Process Framework The DGM-I project follows the matrix of project development and management that includes 1) the grant giving process; 2) the monitoring and evaluation process; 3) following the project ESMF guidelines; and 4) a capacity development processes associated with the project. This provides a visual representation of the essential project process flows. For purposes of the DGM-I, the sub-project holders/ proponent or grantees will be known as “local partners”.

1.1.2. Outline of the Project Operational Manual The POM consists and is divided into six parts and includes several annexes. The six parts are the following:

1. Background 2. Implementation Arrangement and Grant Making Policies and Procedures 3. Financial Management and Procurement 4. Safeguard 5. Monitoring, Evaluation, Communication and Outreach 6. Project Activity Implementation

1.2. Process for Making Modifications to the Project Operational Manual

The POM is a living document. Following the original intent of the DGM-I, the key decision making body in terms of the approach and methodology for the implementation of the project is the NSC as representative of the constituents from the different regions of Indonesia and the women IPLCs in particular. While revisions of the POM maybe be required during Project implementation, the POM or its sections will be amended based on documented feedback from IPLCs and on review and approval of the NSC and submission of justification to the WB. Suspension of the project will be determined by any breech in the terms of the grant agreement between the World Bank and NEA.

Main principles and procedures will be revised as needed. In case of review of any main principle and procedure, the revised version of the POM will replace the previous one. The process for modifying the POM will include:

i. NEA/PMU making the modifications in track changes in the latest English version of the POM and preparing an email justifying the modification.

ii. The NEA/PMU, translates this into Bahasa Indonesia and proposes the revisions to the National Selection Committee (NSC) for review and approval.

iii. The NEA/PMU, revises the English versions of the POM based on the comments and inputs from the NSC.

iv. The NEA/PMU submits the modified POM with copy of justification to the World Bank for their questions of clarification.

v. NEA/PMU provides responses to questions of clarification to the World Bank and request for no objection letter from the World Bank on behalf of the NSC

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vi. World Bank provides no objection letter within which it is also specified which will be the valid version of the POM following the no objection

vii. The NSC approves the final version of the POMs.

viii. NEA/PMU modifies the POM in Bahasa Indonesia to be consistent with the English version of the POM and inform all parties that are using the POM.

1.3. The Legal Basis of Key Entities in DGMI

1.3.1. DGM-I General Assembly of Community Constituents The DGM-I General Assembly of Community Constituents are composed of Members of Community Chamber of the National Forestry Council/DKN(UU 41/1998), from indigenous peoples who are AMAN and Non-AMAN members, and local communities, invited to participate in the seven Regional Assemblies that elected the DGM-I representatives of their respective regions, to form the National Steering Committee (NSC).

1.3.2. National Steering Committee. The National Steering Committee are those elected by the DKN Assembly of IP and LC from the respective regions and two individuals representing women IPLCs. The NSC consist of representatives from Sumatra, Kalimantan, Java, Sulawesi, Maluku, Bali-Nusa Tenggara and Papua, and two women representative one from indigenous peoples and another from local communities. There is an appointed representative from DKN Community Chamber and the Ministry of Environment and Forestry (MOEF) as non-voting members. A representative of the World Bank will be invited as observer by the NSC.

1.3.3. National Executing Agency (NEA) NEA is selected competitively by the NSC. The NEA is required to have at least 10 years of focused IP and LC grant-making and facilitation of local community partnerships, as well as capacity to fundraise and negotiate grants for IPLC tenure, local empowerment and livelihoods. NEA sets up and implements the DGM for Indonesia. Samdhana Institute has been selected as the NEA for Indonesia.

NEA/ Samdhana Institute has been supporting IPLCs across Indonesia through its small grants mechanism and shall build upon these experiences to ensure that the DGM-I does benefit the IPLCs in the best possible way. The Project Management Unit and the project is lodged within the Samdhana Institute as the NEA. Samdhana Institute is a registered NGO in Indonesia and been managing project small grants since 2005. In the future, if and when the NSC decides that a separate legal entity needs to operate the DGM-I then the process of establishing such legal entity will be undertaken with support from the Samdhana Institute and future financing to be agreed with the DGM-I and/or other interested donors.

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1.4. DGM-I Project Rationale The DGM Global program is a demand-driven and needs based delivery mechanism, designed by and for IPLCs to channel funds effectively and efficiently to strengthen their visibility and recognize and enhance their roles in the Forest Investment Program (FIP), other REDD+ and related programs, and broader sustainable natural resource management at the local, national, and global levels. The DGM-I follows the framework of the DGM Global Program.

The DGM-I is designed to address both the immediate and systemic challenges of tenure security among IPLCs and to leverage the opportunities afforded by changes already under way in Indonesia. The DGM-I will support IPLC in scaling up their own learning and successes and contribute significantly to address the drivers of deforestation and climate change. Through this support, the DGM-I will contribute to efforts on tenure reform, which is a key part of the REDD+ agenda in Indonesia.

1.5. DGM Project Development Objectives, Key Results, and Description

1.5.1. Project Development Objective The project development objective is to improve the capacity of participating IPLC to engage in tenure security processes and livelihood opportunities from sustainable management of forest and land.

Responding to the DGM-I National Steering Committee’s priorities, the project will make a strategic contribution to the lives of IPLC households and their tenure security. The DGM-I aims to strengthen the capacity of IPLC households to obtain secure and equitable access – and control over – forest and agricultural land. This is an important key step to allow IPLC household to begin their engagement with FIP and other REDD+ related programs since access to land is critical requirement for IPLCs to obtain recognition from the state in Indonesia. It will particularly emphasize secure access for those communities who have already mapped their land areas as part of participatory land use mapping process initiated by CSOs and IPLCs themselves. Guided by principle of equality in the approach, DGM-I will pay particular attention to the inclusion of LC and IPs at all levels of process and project investments. To achieve this goal, the project will invest in select IPLC groups’ livelihoods priorities and at the same time enable them to become more effective in promoting and protecting IPLC tenure rights.

1.5.2. Key Results Indicators – See Annex 1

1.5.3. Project Description Component 1: Sub-grants to Strengthen IPLC Capacity to Enhance Tenure Security and Improve Livelihoods (USD 3,980,000) This component is aims to build the capacity of IPLC to pursue security over their rights to land in rural area and improved livelihood through provision of grants. The selection of IPLC eligible for support will be based on criteria agreed upon by the NSC. Meanwhile grant proposals associated with this component will include a combination of activities for subcomponent 1.2 and 1.3, or activities for subcomponent 1.2 or 1.3 separately.

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The project is expected but not limited to issue approximately 60 block grants over the course of the project life. Several of these grants will span multiple years. The minimum grant size is estimated to be $30,000 and the highest could be $100,000 which can be multi-institutional and or multiple year depending upon the needs and capacity of local IPLC organisations and their counterparts and decision of the NSC. Primary target proponent and beneficiaries of the grants are IPLCs. All sub-projects will include activities to increase awareness and update the local communities and indigenous people of relevant local and national development on tenure, livelihood or CBNRM in Indonesia.

Subcomponent 1.1. Community Outreach and Mobilization The funds associated with this subcomponent will be accessible preferably to Indigenous Peoples Organisations, Community Based Organisations of IPLCs but if appropriate also to non-governmental organizations (NGOs), CSOs working with IPLCs. The support will enable proponents to develop a project proposal that will provide the necessary information for the NSC’s review and decision making process. This is also a phase by which the NEA provides assistance and support to local IPLC groups as they frame and write their project and enable them to have productive discussions with the respective communities and other relevant stakeholders (e.g., local government) about the project scope and implementation arrangements, and to refine the project proposal to optimize the opportunities created by the DGM-I. For CSOs and NGOs, this will help them discuss this project in a transparent way with their target beneficiaries and other relevant stakeholders. The aim is to ensure that proposal beneficiaries have access to information about opportunities and requirements for tenure security and improving their livelihoods. The information is to help them determine how to most effectively use potential support from the DGM-I.

The subcomponent will finance the costs of project development tasks, meetings, workshops, and, in some cases outreach materials or community exchanges and other outreach or support actions.

Subcomponent 1.2: Strengthen IPLC's Capacity to Enhance Land Tenure Security This sub-component will support IPLCs ongoing efforts to claim land tenure rights, primarily through bolstering their claims for (a) customary forests (Hutan Adat); (b) communal land rights (applicable to both IP and LC); (c) customary village (Desa Adat); (d) permits for forestlands (e.g., social forestry or community forestry) as well as other existing land tenure instruments appropriate for the IPLC (recently MOEF outlines 6 forest management instruments for Social Forestry)2. Other types of tenure security may be available and useful depending on agreements between IPLC and government counterparts and can be supported during project implementation. The proposed support provided through this subcomponent will position the IPLC to strengthen security over the bundle of rights associated with rights, access and land use.

This subcomponent will also finance technical assistance and mentoring for IPLCs to assist them to collect/compile necessary evidence, information and documentation required for submission of their claims, as well as support costs for follow-up with competent and/or relevant authorities on the status of their application, targeted legal support for preparation of required documentation, technical support for further development of materials, travel and workshops. In addition, the subcomponent will also support dispute mediation, in case of conflicting claims, where necessary to ensure consensus among IPLCs and build up their capacity to engage in an efficient and informed manner with the decision-makers in the government and other external entities. This will include training based on the

2 See section 6.1. Project Activities and Results.

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guidelines and procedures of existing and alternative dispute resolution mechanisms, with an aim to improve the IPLC’s ability to engage in mediation and better resolution skills and techniques.

Subcomponent 1.3: Build IPLC Capacity to Improve Livelihoods This subcomponent will assist IPLC with different aspects of improving livelihoods which include but is not limited to: (i) determining and agreeing the priority livelihood activities for which they want to receive support from this project and (ii) financing for their priority livelihood activities that are widely accepted to contribute to sustainable management of forests and lands. There will be a set of criteria to describe the types of activities that would be eligible for support, such as alignment with existing forest management plans or part of a menu of activities that contribute to sustainable land management. Another consideration may be the feasibility and potential for sustainability following the use of the grant (i.e., leveraging other sources of financing).

This grant financing will also support training and technical support to local community facilitators, and support for these trained facilitators to assist with community organising, developing and refining community development plans or community based natural resource management plans. These will also enable facilitators to transfer their skills to youth and others who are interested in becoming facilitators. The grant financing will also finance meetings and activities for developing or refining community investment plans. The funds will also cover costs of agreed investments. These investments can range from investments in agroforestry technology to investments in value addition to investments in micro-hydro (to reduce reliance on wood energy). The DGM-I will not finance projects or elements of projects that are in the negative list of the ESMF and any type of projects that may result in adverse environmental and social impacts based on proposal screening results.

Component 2: Inform Policy Processes and Dialogue (USD 549,603) This component will focus on strengthening how IPLC representatives engage in national and subnational policy and decision-making processes that will inform issues regarding REDD+, addressing drivers of deforestation, landscape management and IPLC livelihoods. The support will be for either members of the NSC, or other emerging IPLC leaders (e.g., persons from the CBOs/CSOs involved in subproject under component 1 or persons leading dialogues on IPLC issues in national or subnational platforms (e.g., the task force on agrarian reform, or the proposed taskforce on IP issues)). The process of identifying the priority platforms will be based on a mapping the legitimacy of the platform, how it engages key stakeholders (actively or as passive participants) and the opportunities it offers for presenting key IPLC issues. This will include strategic discussions with CBOs, CSOs and NGOs engage in national and local processes addressing tenure, development and other related agenda. Advise will be sought from the DGM-I advisers and relevant experts on the most relevant policy processes and dialogue for engagement and discussions with the NSC facilitated as appropriate and needed. This may also benefit from inputs from NEA Policy Support Unit among others working in the field of securing tenure for IPLCs.

Subcomponent 2.1: Strengthen Capacity of NSC and Emerging IPLC Leaders This subcomponent will finance capacity building and technical assistance for IPLC to garner support and effectively share their perspectives on key issues, and to raise funds. It will also build capacity of

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CSOs/CBOs/NGOs that are receiving grants for implementing component 1. The funding provided by this subcomponent will cover the cost of compiling and packaging the evidence, and mobilizing support among different stakeholders. The allocation of resources will be spread out across the life of the project, prioritizing activities which IPLC groups can influence. Priority needs and corresponding actions will be discussed with emerging IP leaders and NSC and decided on by the NSC with advice from the DGM-I Advisers. The NEA will administer the funds for this component and handle all the associated procurement, and will detail a process for deciding which activities are eligible, and how the IPLC will self-select representatives for participating in these events, and how much financing will be allocated for this activity.

Subcomponent 2.2: Identify and Support Strategic Engagement in Policy Process and Dialogues This subcomponent would assist identifying the strategic policy process and dialogues in which the IPLC representative identified in subcomponent 2.1 would participate. The subcomponent would support activities related to IPLC strategic planning as well as support the NSC to become sustainable mechanism for addressing IPLC issues.

NEA will administer the funds and handle all the associated procurement and will deciding which activities are eligible and the amount of allocated fund.

Component 3: Project Management, Monitoring and Evaluation, and Institutional Development (USD 1,795,482) This component will include project management capacity development of sub-project partners, management and supervision of the project and monitoring and evaluation of and for the project. Associated with management, it will finance the coordination meetings involving the NSC and NEA, and any meetings including with DGM constituents for governance discussions, to provide updates of the program and sharing insights from activities. It will support the implementation arrangement associated with this project. It will also cover the costs of providing project proponents with support for improving the project design and implementation.

The component will also cover the costs of establishing and operating a monitoring and evaluation (M&E) mechanism that engages sub-project grantees, local communities and informs the implementation of the project in addition to tracking performance. The M&E system will also contribute to identifying lessons learned and will inform communications and outreach in components 1 and 2. This component will finance the implementation of a project grievance redress mechanism as well as communications and feedback processes to ensure that the cause of the grievances are inform to the NSC and the NEA and the NSC decides on any necessary modifications in project implementation. A focal point person will be identified within the NEA to monitor and respond to concerns raised and the NSC may form a committee to address grievances as necessary.

1.5.4. Project Beneficiaries The project beneficiaries include both indigenous peoples and local communities. For purposes of this project, indigenous peoples are defined as those social groups in Indonesia’s territory that refer to themselves as masyarakat adat and have a distinct, vulnerable, social and cultural identity, and that possess the following characteristics in varying degrees: (a) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; (b) collective claims to geographically distinct habitats or ancestral territories in the Project area and to the natural resources

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in these habitats and territories; (c) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and (d) an indigenous language and living in their ancestral lands.

Local communities, as distinct from indigenous peoples, are those who, while often long- term occupants of the lands they manage, choose not to self-identify as adat and may well not meet emerging government criteria for recognition of existence. Often, this means a variance in natural resources management approaches and tenure instruments, usually premised on individual access. This difference is most significant in context to rights recognized in Indonesia’s Laws, where time bound and conditional rights are awarded to individuals and cooperatives through the community forestry program.

The project will support work in communities in seven regions. To the extent possible, the project will focus on communities which have a) started a participatory land use mapping exercise; b) started a process of applying for social forestry and agrarian reform schemes; and c) live around or within forest landscapes that include but is not limited to vulnerable areas such as peat areas, upland-lowlands and fire-prone areas within forest areas. Recognizing the importance of forests to IPLC in small islands, the project will also ensure that the selection criteria do not inadvertently bias against competitive and eligible proposals from small islands. Approximately 30 percent of the direct beneficiaries will be women but this may improve as the projects are gender sensitized and strengthening of women’s participation and engagement become better integrated to the process. In addition, NGOs, CSOs, and CBOs will benefit from training provided to them to effectively management local community activities. District level government officials also will benefit from information sharing associated with this project.

1.5.5. Project Costs and Financing (summary) The financing for this project is from the DGM funding associated with the Forest Investment Program. This project will finance activities that are identified as priorities by the IPLC represented by NSC in order to better position them in the national dialogues on REDD+ and sustainable management of forest resources. There are numerous donors and development partners (e.g., Norway, Green Climate Fund) and development partners (e.g., Asia Foundation, Ford Foundation) that are also engaged in such activities, many of which are providing financing through many different Indonesian CSOs. This project will build on existing efforts to strengthen community planning and access to resources for livelihoods, while focusing on the integral role played by IPLC in improved governance and management of natural resources. The project will link to other on-going efforts being supported by the World Bank such as the Forest Investment Program and the One Map program to further strengthen learning and relevance across these programs.

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Table 1. Summary of Project Cost per Component

Project Component Project Cost

(USD)

Grant Financing

(USD)

Percent Financing

1. Sub-grants to Strengthen IPLC Capacity to Enhance Tenure Security and Improve Livelihoods

3,980,000 3,980,000 100%

2. Inform Policy Processes and Dialogue 549,603 549,603 100%

3. Project Management, Monitoring and Evaluation, and Institutional Development

1,795,482 1,795,482 100%

Total Cost 6,325,085 6,325,085

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2. Implementation Arrangement and Grant Making Policies and Procedures

2.1. Institutional and Implementation Arrangements The project institutional structure is summarized below. Each implementing entities responsibilities are described in this subsection

Diagram 1. DGM-I Project Structure3

2.1.1. National Steering Committee A National Steering Committee (NSC) is established in each FIP pilot country to oversee the DGM implementation in the respective country. In Indonesia, the NSC was established in June 2014 following a consultative process that was facilitated by the Community Chamber of the National Forestry Council (DKN – Dewan Kehutanan Nasional). It resulted in the selection of nine IPLC representatives, including seven men and women representing IPs and two representatives for indigenous women and local communities. Subsequent to the formation of the NSC, representative of the Ministry of Environment and Forestry and DKN invited to participate in the NSC as described in section 1.3.2.

The NSC will oversee the DGM implementation in the respective country. The NSC, assisted by the National Executing Agency (NEA), will provide a semi-annual progress report on the implementation of the program to the Global Steering Committee (GSC). The NSC will provide materials/ simple writing as materials for NEA to be developed for semi-annual progress report. The NSC’s main role will be to ensure that the selection of proposals and awarded grants benefit local IPLCs. It will do this by deciding on priorities for the DGM-I (as already agreed in PAD), reviewing and deciding on the proposals, participate in the monitoring of the progress of the project grants (at least 1 time per year and limited to each NSC’s region) and ensuring that the NEA’s processes are responsive to IPLC needs and situation. The NSC will participate in national REDD+ coordination committees or equivalents in the country and ensure that DGM lessons are transmitted to ongoing national processes. The NSC will actively seek feedback from the IPLCs on the program, identify needs, and collect and send ideas to the GSC to be

3 This figure may change based on the governance discussions and decisions of the NSC and as per the Constituent Assemblies’ recommendations.

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supported by the Global Component during the GSC meeting. One or two IPLC members from the NSC will participate as members in the GSC.

The first meeting of NSC during the implementation will table for discussion the governance process and the term to be followed for members of the NSC. The meeting is expected to take place at least 30 days after the project implementation starts. The agreed governance process will be reflected in NSC Governance Section (Section 2.1.1) of the POM within 30 days after the governance arrangement is agreed, and will be submitted as a revision of the POM to the Bank. The NSC will ensure that the governance process is in compliance with the requirements of the DGM global program. The term of the NSC will take effect as soon as the NSC decides on the governance process to be followed for the DGM-I. The next meeting will coincide with the review from the first call for proposals. The NSC may decide to form working committees to ensure effective and efficient governance. These will be specified in NSC Governance Section of the POM (Section 2.1.1) within 30 days after the decision to form working committees is taken.

The next DGM-I General Assembly will be set by the NSC during its first meeting in the implementation phase. The DGM-I General Assembly of Community constituents (sitting per region) will participate in periodic evaluation (every 2 years) of program starting from DGM-I Project commencement and may decide to change or extend the term of their elected Representatives. The DGM-I General Assembly will review, debate, revise, reject or approve the decision of the NSC with regards to the governance process. A NEA staff member or a local hired facilitator will assist the NSC to record the process and taking notes if changes/ revisions are made at the General Assembly. NEA will then follow up upon the changes/ revisions made.

Within project implementation, the NSC has the principal role and responsibilities as follows (including level of engagement).

Grants Making Committee

The main responsibility of Grants Making Committee is to participate in the selection process alongside NEA. The Committee consists of all voting member of NSC, which comprises of representative from 7 region and 2 representative from local community and women indigenous. To avoid conflict of interest, an NSC member can not join voting/ funding decision of proposal coming from his/ her region. However, he/ she is allow to give further explanation in regards to the proposal activity.

Grievance Redress Mechanism (GRM) Committee

The main responsibility of GRM Committee is to address necessary grievance follow up needed when grievance occurs or is reported during project implementation. GRM Committee consists of 4 member of NSC, including the non-voting member. At present, the member who are assigned to the GRM Committee comprises of representative from DKN, representative of indigenous women, representative of Sumatra Region and representative of Sulawesi Region. The member of this committee may be change as necessary and depending to the type or origin of grievance. Mechanism to rotate the member has yet stipulated. Once it is determined, it will become the subject of POM revision.

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Finance Committee

Finance Committee consist of 4 voting member of NSC. The main assignment of this committee is to review any budget related decision/ policy required by NEA. At present the committee member consists of NSC Chairman, NSC Vice-chairman, NSC Secretary and NSC representative from Papua. The member of this committee may be change as necessary. Mechanism to rotate the member has yet stipulated Once it is determined, it will become the subject of POM revision.

Table 2. Roles, Responsibilities and Expected Level of Engagement of the NSC

No. Role and Responsibilities Level of

Engagement4

1. Review and approve NEA’s annual work plan and grant giving selection criteria for funding in accordance with the criteria responsive to the local socio-cultural and political situation in Indonesia and wherever possible consistent with Global DGM Framework Guidelines for Operations

Endorsing

2. By using grant giving selection criteria, recommendation from NEA Technical Advisers as well as their knowledge and experience, make funding decisions on sub-grantee proposals

Contributing

3. Provide oversight on overall project implementation and functioning of NEA Leading

4. Review activity progress Following

5. Promote learning from the project lessons learned Leading

6. Report to Global Steering Committee (GSC) on a semi-annual basis (with support from the NEA)

Owning

7. Mediate conflict related to DGM-I project implementation Contributing

8. In regards to Project Component No. 2, participate in meetings of the other national REDD+ committees and FIP institutions, ensuring that DGM lessons are transmitted to on-going national process

Leading

4 See the description of engagement level below.

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Diagram 2. NSC Level of Engagement based on Gideon Rosenblatt's Engagement Pyramid

Table 3. Description of Engagement – Gideon Rosenblatt

Engagement Level Description

Observing Interested in and have awareness on the issue. NSC/ NEA takes occasional glances at the issue. Communication focus on information sharing and awareness building.

Following NSC/ NEA Understands and is interested in and cares somewhat about the issue.

NSC/ NEA receives ongoing stream of communications focused on information sharing and piquing interest. NSC reading and watching direct communications on the issue.

Endorsing NSC/ NEA Believes in the issue and having enough trusts to approve the use of their name to endorse the issue. NSC/ NEA conduct regular, direct mass communications to inform and pique interest. NSC/ NEA have simple, quick acts with little risk or investment of resources; commitments limited enough to be made on impulse.

Contributing NSC/ NEA contributes significant time, financial or social capital to the issue. NSC/ NEA conduct regular, direct mass communications to inform and pique interest, accompanied by periodic, personal email, phone calls or face-to-face meetings to share information and coordinate. NSC/ NEA giving significant contributions of time and resources become an expression of values and beliefs.

Owning NSC/ NEA Fully invested in the issue’s mission success. NSC/ NEA conduct regular, direct mass communications to inform and pique interest, accompanied by regular personal email, phone calls and face-to-face meetings to collaborate on ongoing projects. NSC/ NEA have investments of time, financial and social capital increase, often blurring together. These investments confer a sense of ownership of the on-going work.

Leading NSC/ NEA leads others in carrying out the work. NSC/ NEA conduct regular, direct mass communications to inform and pique interest, accompanied by regular personal email, phone calls and face-to-face meetings to support the mission.

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Communication flow is often initiated by NSC/ NEA. NSC/ NEA becomes the engager, so deeply committed to the mission the subject now focus their energy on engaging and leading others in the work.

2.1.1.1. The Tenure for NSC Member The tenure for NSC member is 4 year starting from 2014 when the members were first elected. Considering DGM-I project commencement delay, the current NSC member will serve the board until 2019 and will guide the first DGM-I grant giving process and ensure DGM-I priorities are in place. Approaching 2019 and in preparation for the end of the tenure, NSC member will consult their constituency in regards to member replacement and hold an internal evaluation. Half of the current member will be replaced by new people and half of the member will stay on board. The objective to replace only half of the original member is to retain institutional historical knowledge of DGM-I, maintain the main vision, objective and originality of the program without abiding the dynamic progress of the program. Further, keeping half of the original member will ensure smooth transition process between the old and new member. Decision to choose which member tenure ended will be based on the merit of NSC internal evaluation and consultation to the constituent.

If a necessity to expand representation of other constituencies arise in the future, it will be an internal subject of discussion of the NSC member. The discussion will covers the member selection mechanism and his/ her function within NSC governance structure

2.1.1.2. Selection of NSC Member Approaching 2019 and after NSC meeting, each of the NSC member will address their constituent and inform them about the following points:

- Report consisting achievement and list of activities of NSC member during his/ her tenure - The incoming tenures of NSC member and (if needed) any necessary follow up action. - Financial status of DGM-I project.

The next tenure for NSC member will start from 2019 until the following the end of the project. .

2.1.1.3. Replacement of NSC Member in-between Tenure Time The replacement of NSC member in-between tenure time will be limited to when the member resign or deem unfit to perform their duties5. The replacement will follow the process of NSC Selection Member if there is a scheduled Regional Assembly meeting or a process decided by the NSC. The replacement process will start when an NSC member raises a related issue to the board or when the member concerned submit a letter of resignation to the NSC Chairman. The NSC Chairman will acknowledge the letter in writing and NSC will decided on the next course of action.

2.1.1.4. Performance Assessment of NSC Member At the end of tenure term, the member of NSC will be evaluated by using the following tools:

1. Self-evaluation form 2. Internal NSC meeting to discuss self-reflection on the work of the NSC (What has been

established? What is need to be improved? What is need to be maintained? Etc.) 3. Develop a report consisting achievement and list activities of NSC member during his/ her

tenure which will be presented during constituent meeting in the region.

5 Deem unfit to perform duties includes: having health issues, conflict of interest, move to other countries, level of engagement, non performing and/ or personally request for resignation.

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4. Evaluation from NEA Advisors. 5. Feedback received or collected from the IPLCs in the region represented.

2.1.2. National Executing Agency The NSC is assisted by a National Executing Agency (NEA). NEA run as a secretariat for NSC and as the Project Managemnt Unit for the DGM-I. The NEA was selected following a competitive bidding process. NEA is responsible for the day-to-day implementation of the project for ensuring the project is implemented in accordance with the POM and for all the monitoring and reporting obligations. It is also responsible for supporting the NSC in providing semi-annual progress reports on the implementation of the program to the DGM Global Steering Committee.

The NEA works in partnership with IPLCs, CSOs/CBOs and NGOs that work directly with community groups. The NEA will help IPLCs, CSOs/CBOs conceptualize, carry out and evaluate, and when necessary in partnership with IPLC, their grant financed projects. The NEA will administer the grant mechanism at a scale and scope that is aligned with IPLC, CSO/CBO capacity and will bring in consultants/technical support as needed to respond to the capacity needs identified in the initial and ongoing project assessments.

Table 4. Roles, Responsibilities and Level of Engagement of the NEA

No Role and Responsibilities Level of

Engagement6

1 Responsible for the execution of the DGM in the pilot country, including disbursements to grantees per agreement with the corresponding MDB Managing DGM-I project implementation on daily basis through the PMU

Leading

2 Responsible for reporting on and compliance with fiduciary and environmental and social safeguards as per the World Bank’s policies

Leading

3 Report to the World Bank on the allocation and use of funds Leading

4 Serve as secretariat to the NSC Following

5 Maintain communication with stakeholders in the country Following

6 Provide information and assistance as needed to grantees Leading

7 Prepare information for and coordinates with the Global DGM Executing Agency

Contributing

2.1.3. Roles and Responsibilities of NSC and NEA within Proposal Selection Phase Clear roles and responsibilities of NSC and NEA during the proposal selection phase is a key factor for project success. It helps understand what is expected from NSC and NEA. NSC provides strategic direction, support, guidance and oversight of progress. NSC does not usually work on the project, but

6 See Discription of Engagement in previous page.

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the NEA. Roles and responsibilities of NSC and NEA during the proposal selection are generally defined as follows:

Table 5. Roles and Responsibilities of NSC and NEA within Proposal Selection Phase

Major Tasks Role and Responsibilities

Remarks NSC NEA

Promotion and information sharing on funding facility

Prepares information and materials for distribution

Proposal development

Provides proposal development support based on needs assessed and requests

NEA and NSC agree on timeframe for proposal submission.

Proposal submission

Receives Proposal Proposal submitted beyond the deadline will not be processed to the next step.

Conduct administration inquiries and assessments to ensure due diligent

Proposal review Reviews proposal and engages with applicants on revisions

Proposal review should take into account contribution of the project to achievement of priorities set by NSC, national development priorities and outcomes of DGM-I

Provide opportunities for capacity development as part of project development process

Receive revised proposal or responses to questions from CBOs/CSOs

Proposal selection and decision

Reviews NEA recommendations and shortlist and decide which proposals selected to be funded

Prepare recommendations and shortlist for NSC decision

Recommendation highlights balance of project coverage in each region

Project Contracting and administration

Prepare grant agreements and send to selected applicants for review

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Major Tasks Role and Responsibilities

Remarks NSC NEA

Project monitoring Participate in monitoring visits/ missions

Prepare and use M&E tool

Schedule and conduct monitoring visits /missions with NSC members

Project Reporting Receive, review, follow up, and record reports from the sub-project

Develop Quarterly Monitoring Reports & Financial Reports

Lessons Learned Bring lessons learned to national and global events as appropriate

Compile lessons learned and provide avenue for lessons sharing and support NSC in sharing this at national and global events.

Develop Lessons Learned Report every 2 years

Feedback and grievance redress

Listen to feedback from project proponents and IPLCs and have sub-committee to address feedback and grievances.

Receive and document feedback and grievances

Mediation of conflict as needed

Assign staff to handle grievance procedure for project.

DGM-I reporting Review report and provide feedback to NEA.

Develop Annual Report and share with NSC before submission to World Bank

2.1.4. Project Coordination As the National Executing Agency, Samdhana Institute will establish DGM-I Project Management Unit (PMU). The PMU will be responsible for the project management and daily coordination with NSC and IPLC/ CSOs. In addition to that, to ensure that the project also benefited from Samdhana’s strength, the pre-existing Capacity Development, Strategic Partnership and Policy Units of Samdhana Institute will also be involved in undertaking strategic engagement with key government agencies and CBOs/ CSOs networks. The PMU will also be responsible to conduct daily coordination with the NSC, World Bank and other relevant DGM-I stakeholders.

2.1.5. NEA Staff – Project Management Unit/Secretariat NEA comprises of nine positions with complementing roles and responsibilities. Of which eight will be hired as a regular Samdhana staff, and one position - the Technical Team will be hired under a

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consultant scheme. A third of the time will be for an ESMF specialist and another third will be for a gender specialist. The last third includes consultants with expertise on but not limited to land tenure, CBNRM, livelihoods and policy work. Recruitment of Technical Team should be based on the need during the course of DGM-I implementation. The positions are:

1. Samdhana Project Leader for DGM-I 2. DGM-I Project Manager 3. Project Grant Coordinator 4. Capacity Development Coordinator/ ESMF focal point 5. Project Admin Assistant 6. Monitoring and Evaluation Coordinator 7. Project Finance Officer 8. Communications Coordinator 9. NEA Advisors/ Consultants Team (including an ESMF Adviser and Gender Adviser)

Samdhana has agreed with the current NSC to explore the incubation of the institutionalization of DGM-I in addition to Samdhana main assignment as grant administrator. Samdhana Institute as the NEA will adopt and (if needed) revise the existing grant making mechanism to the operationalization of the DGM-I. The Project Leader of this DGM-I Project will be accountable to the Executive Director of Samdhana and will lead the PMU of DGM-I. Project Manager will oversee the day-to-day management of the project with support from PMU Team that includes: Project Grants Coordinator, Capacity Development Coordinator, Finance Officer, Monitoring and Evaluation Coordinator, and Communication Coordinator. The team will ensure the daily business process of DGM-I project implementation. The finance officer of the project will also operate as part of the whole finance team of Samdhana to ensure that the project finance is not only compliant to World Bank processes but to internal Samdhana processes as well. A percentage time of the Finance Manager for Samdhana in Indonesia will also be devoted to the DGM-I to ensure fiduciary responsibility of NEA as the contracting party with the World Bank. Following the Samdhana granting processes, a group of DGM-I advisers will be convened to provide advise not only in the grant selection but also in overall project direction. The DGM-I advisers will be composed of individuals who are respected IP, Community Leaders and Advocates in Indonesia. The DGM-I advisers will also have a contract and terms of reference to guide their roles and responsibilities. The DGM-I Advisers does not replace the role of the NSC in anyway. In addition to the DGM-I Advisers, a pool of experts (i.e. Gender, Livelihood, Finance, Capacity Development, Community-based Natural Resource Management) will provide advice and technical inputs to the project and sub-projects as needed. The experts will be recruited not only from the current Samdhana’s Fellows but more widely as needed. Their work, like any consultant, will be based on an agreed terms of reference and timeline. Samdhana will issue an individual consultancy contract for each particular advisor to secure work commitment to this project. Financial management support will be provided by the current Samdhana Finance team with the responsibility for internal audit under the authority of the Head, Finance. Other technical support may be provided as needed from other Samdhana units.

Diagram below shows organizational chart for DGM-I project. The roles and functions of proposed full time positions are described below

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Diagram 3. DGM-I Project Structure

Note: Yellow highlight posts represent function outside DGM-I Project Structure. The project leader is also not full time and will only spend 20% of his time on the project. He/ She will have other institutional functions in the organization.

The DGM-I Project Structure General Roles and Functions is as follows (see Annex 2 for detail term of reference)

a. Project Leader Reporting directly to the Executive Director of Samdhana Institute, the Project Leader leads the project on behalf of the NEA and is the accountable staff on the timely project implementation, project reporting and the meeting the deliverables of the project overall. The Project Leader is accountable for the achievement of project components and targets as approved by the NSC. The Project Leader is responsible for ensuring secretariat support to the NSC is provided by the NEA. He/she will ensure that the DGM-I PMU can draw on the rest of the Samdhana staff, Fellows and Partners as needed and appropriate. The Project Leader, on behalf of NEA will be responsible for the development and facilitation of the governance process of the NSC including but not limited to, the rotation of members and the reporting back to the Constituency of IPLCs in the regions. The project leader is also primarily responsible for the relation of the DGM-I to DKN, FIP and relevant government agencies as well as the World Bank.

b. Project Manager Supervised by Project Leader and oversight of the Samdhana Executive Director, the Project Manager is responsible for day-to-day management of DGM-I Project Management Unit throughout the duration of the project. The Project Manager reports regularly and liaise closely with the Project Leader and keeps the Samdhana Executive Director informed as necessary. He/she will ensure the implementation of DGM-I grant making activities, problem solving activities, capacity building activities as well as optimal allocation of resources based on identified priorities. This position is also responsible for ensuring effective flow communication

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between Samdhana Institute, NSC, the World Bank and other relevant stakeholders on the day to day management of the project. He/she keeps Samdhana management informed of any potential challenges, delays, conflicts that may arise as a result of implementation of the project.

c. Grants Coordinator:

Under supervision of Project Manager, Project Grant Coordinator support the business process of grant giving activities. The incumbent shall responsible in making various assessment to support the preparation of grant giving activities, including conduct field visit to various grant locations and ensure requirement compliance by the grantee applicants. The grants coordinator will facilitate the project development process and support In coordination with Project Finance Officer, the incumbent shall ensure proper submission of sub-project reporting (financial and progress report). In coordination with Monitoring and Evaluation personnel, the incumbent shall contribute to the activities knowledge sharing.

d. Capacity Development Coordinator As the overall purpose of this project is to build the capacity of the IPLCs. The Capacity Development Coordinator will lead in assessment of the needs of the NSC, IPLC leaders and sub-project proponent. This position will ensure that the capacity and capability building actions are effective and addresses the needs of the target audience as well as conduct capacity building oversight and advisory. Documentation, monitoring and evaluation of the capacity building efforts of the project will be his or her main concern. In consultation with the various staff of Samdhana and its partners, he/she will identify potential resource persons, technical assistance or opportunities for the NSC, IPLC leaders and sub-project proponents. Together with the M&E co-ordinator, he/ she will monitor development progress of IPLCs.

e. Finance Officer Reporting to DGM-I Project Manager and Samdhana’s Finance Manager, Project Finance Officer provides overall financial support to the project and ensure financial management of the project. The incumbent shall work in close collaboration with the Grant Coordinator to ensure accountability of grant giving activities, including conducting capacity building to the grantee partners and liaise with the World Bank personnel. When needed, Project Finance Officer shall conduct field visit to occasionally perform spot check on grantee financial report. The incumbent shall also assist in the preparation of Project Audit.

f. Project Administrative Assistant Under supervision of Project Manager, Project Admin Assistant shall carries out a range of tasks related to project logistic and administrative. The Project Admin Assistant shall provide support to project implementation process, such as conducting procurement, travel arrangement, asset documentation and financial procedure compliance. When needed, the incumbent shall also perform other tasks assigned by the Project Manager.

g. Project Monitoring and Evaluation Coordinator Under supervision of Project Manager, Project Monitoring and Evaluation Coordinator will develop a detail result framework with quantifiable indicators for baseline and target of the

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DGM-I project. The incumbent shall ensures that minimum monitoring and evaluation requirement for the project are met. The incumbent shall responsible in conducting monitoring and evaluation of the sub-project, ensure sufficient activity reporting is in place and carried out according to schedules, as well as ensure finding follow up to the hire management. The incumbent shall produce regular overall monitoring and evaluation reports and in coordination with Samdhana’s Communication Personnel produce DGM-I lessons learned reports. The incumbent shall contribute the activities knowledge sharing.

h. Project Communication Officer Under supervision of Project Manager and Project Monitoring and Evaluation Coordinator, Project Communication Officer is responsible to support the implementation of communications and advocacy strategies. The incumbent shall responsible in managing DGM-I presence at the website, conduct social media management to increase DGM-I visibilities, as well as conduct collection of success stories and lessons learned for potential publications. In coordination with Project Monitoring and Evaluation Coordinator, the incumbent shall manage grievance system and pursue the follow up action to the higher management.

i. DGM-I Advisers Under coordination of Project Manager, DGM-I Advisers will be responsible in reviewing the concept papers. By using their expertise and experience the Advisers shall select potential concept papers to be developed as a full proposal. Their advice will be documented and form part of the inputs for the NSC review and approval of concept notes for development into full proposals. The Advisers shall provide advice, direction and guidance to the applicant to ensure good proposal development as needed and funding is available. The advisers will work in close coordination with the Project Manager, Grants Co-ordinator and Capacity Development Coordinator. During implementation process, the DGM-I advisers will provide advise also on component 2 and improvement of project achievement as effectivity as needed and appropriate.

j. Safeguards Adviser The Safeguard Adviser will advise the project manager and the grants coordinator on the review of the proposals and their adherence to the ESMF. He/she will ensure that the ESMF framework is understood by the NSC, the whole PMU, the sub-project proponents or partners and as needed other stakeholders. He/she will ensure that the grievance process is set up within the NEA and that the compiled grievances received by NEA are addressed in a timely and effective manner. Further, he/ she shall work with the Capacity Development Coordinator to safeguards related capacity building (training development, mentoring, workshops) and ensure that proper safeguards oversight is in place. The Safeguards Adviser will work part-time based on the necessity needed by the project.

k. Technical Advisers/Consultants This will be consultancies for specific expertise needed in project implementation and can be available on a small discrete amount of time with specific deliverables either to the project or the sub-projects as necessary. Technical Advisers or Consultants may come from the pool of

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Samdhana Fellows or not. This will be contracted out as consultants and follow the policies and procedure for consultancies in Samdhana.

2.2. World Bank Implementation Support

As indicated in the Project Appraisal Document of the World Bank, the World Bank will provide continuous support to the NEA to ensure smooth implementation and achievement of the PDO. This will include coordination with other World Bank-financed projects, including the FIP-financed project, One Map project, and other activities associated with the landscape program, will focus on integrating outputs and activities associated with the DGM-I with these projects. For example, efforts will be made, when appropriate, to locate activities focused on improving livelihoods of IPLCs in communities where there also is support from the FIP-financed project. This would allow the proposed activity in the DGM-I to leverage investments and technical assistance from the FIP-financed project Specifically the World Bank team will provide (a) advisory support on application of safeguards instruments developed during project preparation, specifically the ESMF; (b) review of detailed implementation of various project activities to ensure their compliance with the World Bank’s safeguards policies; c) advisory support on the implementation of the M&E approach in the project; Financial Mangement and Procurement reviews, including reviews of IFRs and audit reports. The procurement implementation support will include advisory support to the NEA and CSOs/CBOs and hands-on training to the NEA on procurement arrangement and contract administration for the project, including the use of STEP. At least two formal implementation support missions will be planned per year with the NEA, with joint reviews carried out on implementation progress, achievement of results; legal conditions associated with the Grant Agreements and technical inputs will be provided by technical specialists (including thematic, safeguards, and M&E) and the task team leaders. Technical specialists on the following aspects will be part of the team: land rights and land-use planning, community-based natural resource management, CDD mechanisms, rural development (with an understanding of these processes in adat communities), and, when needed, Indonesia’s Village Law.

2.3. Grant Making The project is expected to issue approximately 60 grants to the sub-projects over the course of the project life. Several of these grants will span multiple years. The minimum grant size is estimated to be $30,000 and the highest could be $100,000 which can be multi-institutional and or multiple year depending upon the needs and capacity of local IPLC organisations and their counterparts and decision of the NSC. Exception for the Sub-component 1.1 that comprises of community outreach, mobilization, socialization and awareness raising, the grant is expected not to exceed $7500.

DGM-I grants priority will be for project developed by IPOs and CBOs. However, CSO lead grants will also be welcome. In general, there will be two levels of grant making to include the following:

• Grants with the amount of USD 30,000 ≤ to < USD 50,000 • Grants with the amount of USD 50,000 ≤ to ≤ USD 100,000

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Two types of grants are to be considered, pro-active or responsive grants. These will all depend on the priorities to be set by the NSC. On the first year, 14 multiple community grants are expected to be developed covering the 7 regions in Indonesia. Which are:

- Java - Bali and Nusa Tenggara - Sumatra - Kalimantan - Sulawesi - Maluku - Papua

2.3.1. Eligibility Requirement Only a legally registered association (perkumpulan) can apply for DGM-I grants. The Outreach/ Awareness Raising Grant is accessible to IPO, CBO or CSO that have been short-listed following an open call for proposals.

A non-register perkumpulan or local organisation i.e. cooperative but represented by a legally registered perkumpulan or CSO will also be eligible. Legally registered perkumpulan will represent non-register perkumpulan as a fiscal sponsor. This may also apply if the applicant is part of a coalition where the legally registered organisation can sign the Grant Agreement with NEA if selected. NEA will deal with the principal organisation, who coordinates with their partners within the coalitions. The fiduciary responsibility and all the legal accountabilities for the sub-grant lies with the organisation signing the agreement with NEA.

2.3.2. Grant-making Process The overall grant-making process consist of the following steps. The review will be done against the set of criteria primary agreed in PAD:

(i) community has started or has completed participatory mapping of territories or process for applying for forestry permits,

(ii) intervention areas are part of vulnerable landscapes (e.g., peatlands, lowlands, fire prone areas, small islands that are subject to pressure from industries such as mining and plantations),

(iii) leverage other public, donor, or private support, and

(iv) feasibility (both financial and political)

Below diagram shows the grant-making work flow including detail of each step.

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Diagram 4. Overall Grant Making Process

Step 1: Call for Proposals (Apply for Component 1.1, 1,2 and 1.3) At the earliest stage of project implementation, NEA (under responsibility of Project Manager) issues a Call for Proposal (CFP). The CFP publicized on DGM-I’s Website, national newspaper and through other channels that maximize exposure to potential applicant. The website provides detail information on CFP such as Concept Paper submission deadline, Proposal submission deadline, various templates needed, etc. In addition to that the NSC and NEA will inform potential applicants about the opportunity for receiving support from DGM-I. The potential applicant is expected to send the Concept Paper and then the Full Proposal before each respected deadline. Late submission will not be processed to the next step except for emergency or urgent action grants. Situations or proposals meriting for urgent action will be decided by the NSC.

Step 2: Proposal or Concept Paper Submission The NEA will receive and score proposals from the CSOs, and CBOs interested in working in one or more of the seven regions. The review will be done against the set of criteria primary above and additional criteria agreed by NEA and NSC that the World Bank has provided no objection to.

Every proposal and Concept Paper submitted shall use the DGM-I template which is accessible through the DGM-I Website. Applicants who choose to directly send a Full Proposal without going through Concept Paper process must pay attention to the Environmental and Social Management Framework (ESMF) Negative List (stated at the Concept Paper Check List). Proposals containing elements from the negative list will NOT proceed to the next stage for approval.

All Concept Papers or Full Proposals must be submitted on or before the deadlines set by the NEA. All late submissions will not be processed to the next step.

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Step 3: Pre-selection Process Concept Paper and Proposal received will go through screening consisting of administration checking and review against ESMF Negative List. In addition to that, NEA will also conduct an assessment of potential risk and conflicts through NEA current networks.

Diagram 5. Grant Making Pre-selection Process

Concept Paper Screening The Concept Paper Check List will be used to screen every received Concept Papers. This Check list will be made available on the website for transparency along with the criteria (see criteria on page. 31)

Once it is cleared, the papers will be reviewed by the DGM-I Advisers to get initial feedback and eventually recommendations for full proposal development. To review the Concept Paper, the Advisers will use agreed criteria (stated above). The recommended Concept Paper will be asked to be developed into a Full Proposal.

By using a Concept Paper Check List, the NEA can assess what kind of support can be given to the applicant during writing process. The Check List provides a simple tool to assist NEA personnel in determining whether an applicant will need funding assistance or technical assistance in writing their proposal.

Full Proposal Screening Every Full Proposal will be screened administratively using List of Supporting Document for Proposal Submission. The proposal should be submitted along with supporting document requirements. Prior to

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the submission, the NEA personnel shall inform the applicant that lack of supporting documents might lower its Proposal Score in the Selection Process.

A direct send proposal (proposal without Concept Paper) will need to be screened against ESMF Negative List as well as screening of potential risks and conflict prior entering Shortlist process.

Technical Assistance Based on Concept Paper Screening, the NEA can determine follow up action for the applicants which can include providing technical assistance to write a full proposal.

An applicant is deemed eligible to receive technical assistance if it meets the following criteria:

• The applicant is a registered legal entity but has little/less fund management capacity or experience when their concept paper was selected;

• The applicant needs to consult and get consensus from the community for the project or in the case of CSO, an FPIC from their target IPLCs;

• The applicant is deemed to have minimum capacity in writing their own proposal and willing to work on results framework and planning or an ABM but still need assistance to produce a good quality one or undertaking product development and marketing;

• And any other criteria/reasons that the NEA, Advisers or NSC deems essential for project implementation by the proponent.

Step 4: Proposal Writing The proposal shall be written using provided template and submitted within the approved timeline. Prior to proposal writing, the applicant shall receive information on ESMF Negative List. This also applies to applicant who directly writing a full proposal without prior sending a Concept Paper. The applicant shall also receive information on the following budget requirement:

• The maximum amount budget designated for community outreach and mobilization is USD 7,500

• The maximum amount budget designated for operational cost is 15% of the total budget. • Justification for proposal above threshold should be made subject to the World Bank no

objection. During this stage, a technical assistance is provided by NEA for applicant who need one. NEA will conduct field visits, as needed, to validate the proposals and work with the CSOs, and CBOs on engagement with the communities to refine the proposals. The NEA will also transfer knowledge to the DGM-I grantees during field visits and via coaching-clinics or other on-demand capacity building activities.

Step 5: Proposal Review and Shortlist Once every proposal is cleared administratively through Organization Capacity Assessment, it will be reviewed by NEA with the support of DGM-I Advisers to get shortlisted. At this stage, the proposal substance will be assessed against programme eligibility.

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During shortlist process, NEA and/ or the Advisers is allow to request further inquiries to the applicant. They are also allow to request proposal refinement if deem necessary. Proposal refinement is allow until Selection Process begin.

After this process is completed, to determine the shortlisted proposals the NEA will share their scoring of proposals, against the criteria agreed during preparation (as specified in the PAD), and their list of finalists with the NSC. In parallel, NEA will also send list of shortlisted proposal to the World Bank to inform that the shortlist process has been completed and request for a No Objection from the World Bank.

Step 6: Proposal Selection Process The NSC meeting is the highest decision making in the grant making process. Prior to the NSC meeting, DGM-I PMU will do a dry run of the screening process in preparation for the meeting. When needed, the Executive Director of Samdhana and other NEA staff may participate in this dry run. One government representative and member of Dewan Kehutanan Nasional who sit as permanent observer within NSC will also be invited to the NSC Meeting. The Project Manager, with support from the PMU staff will present the summary of each proposal highlighting important factor to consider.

Upon hearing the presentation and reviewing the proposal, the NSC Member will review NEA list of priority proposals and followed by voting decision to award the grant.

To prevent conflict of interests in the Selection Process, an NSC Member is not allowed to vote on a proposal originating from the region he/she represents. However, he/she may be respond to questions of clarification and information from the other members of the NSC.

Diagram 6. Overall Proposal Selection Process

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At the end of the meeting, NSC will make a final decision. NSC may also request additional information from applicants if deemed necessary. For proposals coming from applicant without a proven track record, NSC may request NEA to conduct a site visit and/ or suggest smaller funding amounts or that NEA administer the funding in several tranches dependent on evidence of implementation. Decisions by NSC meetings are recorded in meeting minutes. A score sheet for each proposal will also be documented alongside questions, concerns and recommendations. The PMU will assign at least two note takers for each NSC meeting. The meeting minutes will be signed by the NSC Chairman or appointed alternate person and filed as supporting document for further contract development. Following the voting decision, NEA will send a request for No Objection from the World Bank stating the selection process has been complete and that the NEA has complied with the agreed process.

Following NSC’s meeting and World Bank No Objection, NEA will notify in writing all applicants of funding decisions. NEA should ensure that the notification mechanism is accessible and transparent to all applicants. Proponents of disapproved proposals or needing additional information will also be notified in writing. Disapproved proposals are not encouraged to be submitted in the next calls. Project proponents are encouraged to submit a new proposal that carefully aligns with the priorities of the DGM-I.

Step 7: Contract Signing Based on Signed NCS Meeting Minutes, the NEA engages the selected proponents to process the Grant Agreement. Negotiations may be possible within this step in regards to fund release schedule. Agreement between NEA and grantee recipient shall include, among other things, financial management requirements as follows:

- Grantee agrees to provide Financial Reports to NEA consist of comparison of actual expenditure to the approved budget and explain significant variances. Financial Reports are to be accompanied with evidence of expenditures.

- Grantee allows NEA internal and external auditors access to the financial records to determine that funds are used for purposes intended.

- Grantee agrees to provide Narrative Report contains activities’ progress to accompany the Financial Report.

NEA will follow a proforma agreement based on existing practices with some adjustments to allow for the WB requirements. The draft of agreement (see Annex 10. Template of Grant Agreement) will be sent to the grantee for review. When the grantee agree with Terms and Conditions, the grantee will print the Agreement in at least 2 copies. The two original copies will be signed by the grantee first and counter signed by NEA once it is returned. One copy of the signed agreement will be sent to the grantee for keeping and one will be retained by NEA for its own records.

Step 8: Fund Transfer The fund transfer will be done once agreement is signed by both parties and will follow the schedule in the agreement. The grantee shall provide NEA with an Organization Bank Account. An individual bank account is not allowed to receive DGM-I grant fund. An exclusive separate bank account will need to be provided.

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The fund transfer will be in tranches, depending upon grant agreement. The maximum amount for the first tranche is 30% of the total budget which include the implementation of Subcomponent 1.1. (community outreach, mobilization, socialization, awareness raising, etc.) that expected to not exceed USD 7500. The minimum amount for the last tranche should be 10% of the total budget. The last tranche will be made upon submission and approval of the Final Financial Report and Final Narrative Report. If the proposal request an amount above the threshold, a justification should be made subject to World Bank approval.

2.3.3. Reporting Requirement The grantee shall be required to submit 2 types of reports to the NEA: financial and narrative reports. Each of these reports will be submitted as per the schedule of reporting agreed on in the grant agreement correspond to the schedule of the payment tranches in the Grant Agreement between NEA and grantee.

These reports will be reviewed as per the proposed project by NEA and following standard financial procedures and requirements. Satisfactory reports are required before release of subsequent tranches or any new proposals from the proponent being accepted for review.

Financial Report One of the anticipated risks in grant management is the possibility of misuse of funds or inaccurate reporting. The following measures may be taken to reduce the risk of misuse of funds or inaccurate reporting:

- Strengthening grantee recipient accountability, legitimacy, self-regulation systems and financial management capacity;

- Conducting financial capacity assessment prior to selection process to understands the future financial risk;

- Providing capacity support for grantees to ensure proper financial management - Arranging frequent spot checks and field visit to oversee financial management practices - Frequent payments subject to submission of proper financial and progress report and

achievement of expected deliverables - Maintaining field presence for regular monitoring of grants and provide continuous support - Training NEA and field staff involved in grant management on financial accountability

The Financial Report will be reviewed by finance personnel. The report will be verified against its supporting documents. The grantee partner is oblige to send all require supporting documents along with the Financial Report. When needed, the finance personnel shall conduct verification to verify the report, including visiting the ground locations. To assess the capacity of each grantee in fulfilling report requirement as well as equipped them with proper knowledge of good reporting, the NEA will train all grantee recipients in making reports. This training will be done prior activity commencement.

Spot check and/ or audits may be conducted alongside the monitoring and evaluation of project progress. Potential cases of fraud will be investigated immediately by the finance unit of NEA.

The partner shall submit Financial Reports as scheduled and using provided basic templates. Which template is used will be depending upon the capacity of the grantees. Grantee who requested fund

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from $50,000 to $100,000 will use the Advance Financial Report based on an assumption that the grantee is already have a sufficient capacity of fund management.

To avoid gap in the subproject implementation, grantee is allowed to send the Financial Report to NEA once the fund disbursement has reached 80% of the previous received tranche. Exception applied for the Final Payment. To request for the Final Payment, grantee shall send the Final Financial Report once all activities in subproject are complete.

Progress or Narrative Report Progress or narrative reporting is an essential part of project management to keep track of the project progress. The progress report will be brief and sum up the key points within project activities. The report shall include the following information:

- Report Date - Budget Cost - Overall status - Progress Summary - Key issues - Identified Risk or Obstacles - ESMF Report

This report shall be submitted by the Grantee to NEA Grant Team along with Financial Report. The Monitoring and Evaluation personnel shall review and record the report on to the Project Database.

2.3.4. Amendment to Grant Agreement A grant agreement may be amended based on discussion between NEA and the grantee for substantive and/or project and financial adjustments and improvements. The key here would be to ensure an efficient amendment process allowing quick response to the changing needs in the field.

When NEA and the grantee agree on an amendment in principle, the relevant NEA staff will need to initiate the amendment process. An amendment to the grant agreement will be drafted by the NEA staff. The request of the grantee and other supporting documents will be provided to accompany the draft amendment. When it is finalized, the proposed amendment will be sent to the Grantee proponent for signing.

The grant agreement amendment is limited to a No Cost Extension or make substantive and/or financial adjustments and improvements. A With Cost Extension is not allowed under DGM-I grant scheme.

2.3.5. Financial Accountability of Grant Partners NEA will conduct site visits to selected grantees who are still developing their capacity on financial management as part of its role in mentoring and coaching indigenous peoples and local communities. NEA assigns a financial staff who reviews the financial report submitted by the communities. When needed, NEA also assign an external auditor to conduct field audit to some grantees to check the financial management systems of the grantee as well.

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2.3.6. Suspension & Termination of Grant Agreement As per Article 1 of Agreement Termination Section of the Grant Agreement, NEA will use a formal constructive negotiation in an attempt to resolve dispute/ conflict related to grantee’s project delivery.

When constructive negotiation fails, as per article 2 of the Agreement Termination Section of the grant agreement, NEA may consider suspending grant support if a grantee fails to meet its responsibilities outlined in the agreement and its work plan/ results framework. The suspension may remain until the grantee meets the target.

Partial or full termination of a grant agreement is the last resort. NSC approval of the termination must be sought in advance.

2.4. DGM-I Project Implementation Timeline (including Grant Closure)

Table 6. Project Activities Timeline of DGM-I Project

Project Activities Year

Remarks 1 2 3 4

Call for Proposal x x x

Call for Proposal is held within the 3 consecutive year starting immediately after project commencement. There will be no call for proposal in year fourth and the project will focus on closing preparation.

Proposal review x x x Proposal review and contract signing are held based on proposal submission from the call for proposal Grant contract signing x x x

Capacity building x x x x

Capacity building will be done throughout the project lifetime. Starting from proposal development until completion of the sub-project.

Monitoring x x x x Monitoring of the progress will be done in every quarter.

Reporting x x x x Annual report will be done every year to show the progress.

Evaluation x x Evaluation will be done in every 2 years to ensure the project is on track and meeting its target.

Project Closure x Project closure and its preparation will be done in the fourth year of the project.

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3. Financial Management and Procurement

NEA records its transactions and prepares its financial statements in compliance with applicable Indonesian Financial Reporting Standards. It has an established set of internal controls for receipts and disbursements. In addition, NEA has established standards for the preparation of financial reports on the actual versus forecasted use of funds.

3.1. Financial Management 3.1.1. Annual Work Plan and Budgeting At the beginning of project commencement, NEA will submit an Annual Work Plan (AWP). The AWP shall be submitted every year. However, due to the late project commencement, an 18-months Work Plan is set for the first project implementation. The AWP consist of priorities set forth by NSC, list of activities planned and a budget based on NEA forecast on the activities. The AWP is approved by NSC and submitted to the World Bank for No Objection.

After 18 months of implementation, a new AWP will be made and taking into account the latest review of project implementation and (if any) new priorities set by NSC.

A mid-term revision of AWP is allowed if deemed necessary depending on approval from NSC and No Objection from the Bank.

3.1.2 Fund Flow and Reporting Mechanism A request for fund transfer is made by NEA based on 6 month forecast. A Quarterly Financial Report is submitted to the Bank along with a Quarterly Monitoring Report. This report is submitted no later than 45-days after previous quarter end.

3.1.3. Internal Control NEA has developed an accounting policy and internal controls system for all employees to assure the following measures:

• Transactions are executed in accordance with management’s general or specific authorization; • Transactions are recorded to permit preparation of financial statements in conformity with

generally accepted accounting principles or any other criteria applicable to such statements and to maintain accountability for assets;

• Access to assets is permitted only in accordance with management’s general or specific authorization; and

• Recorded accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to any differences.

NEA also strongly maintains the following prohibitions:

• No false, artificial, or fictitious entries shall be made on the books or records of any company or business for any reason.

• No payment on behalf of NEA shall be made or approved with the understanding that it will or might be used for something other than the stated purpose.

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• No undisclosed or unrecorded fund, account, or asset of NEA may be maintained or established for any purpose.

• No action may be taken, either directly or indirectly, to fraudulently influence, force, manipulate, or mislead our independent accounting system.

DGM-I Project follows the above Accounting Policy for its implementation.

3.1.4. Audit Arrangements To ensure integrity and transparency of the organization financial management, NEA undergoes an external audit annually for its whole operation. For DGM-I, a specific project audit will be held annually as well following the calendar year. The audit will be based on Term of Reference agreed by the World Bank. DGM-I audit report is submitted no later than 6 months after end of each calendar year.

3.1.5. Disbursement Arrangements Disbursements represent payment through cash on hand or cash in bank. This will follow the disbursement procedures of NEA. Disbursements are made for the following transactions:

• Payment of advances • Payment of bills • Payment of salaries and honorarium • Payment of authorized reimbursements • Payment of approved grants

Meanwhile, disbursement arrangements from World Bank to NEA will follow the disbursement letter as part of the grant agreement between World Bank and NEA.

3.1.6. Allocation of the Grant Proceeds Grants are restricted funds to be spent based on agreed budget allocation as stipulated in the proposal/ project with donors/ funding partners and the approved grant agreements.

3.1.7. Support from Financial Management Expert NEA head of the Finance Unit serves as an internal finance management expert for the project finance management. Additional external financial management experts may be consulted as needed for project implementation or for potential new and bigger co-finance.

3.1.8. Supervision Plan Please refer to the project structure described in Annex 3. The Finance Officer of the project will be supervised by the Finance Manager of NEA and to ensure that he/ she follows Standard Financial Procedures of NEA. In turn, the Finance Manager will be supervised and supported by NEA Head of Finance to ensure finance oversight. Finance capacity is built among partners and any suspicion of financial fraud is prevented or addressed immediately and overall sound finance management of the project is ensured. Matrix management by the project manager allows for the Finance Officer to respond to the operational needs of the DGM-I and specific tasks associated with project implementation as agreed with the NSC and the World Bank.

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3.2. Procurement

3.2.1. General Policy, Rules and Procedures Procurement of goods, small works, non-consulting services and consulting services by NEA will be carried out in accordance with: (i) The provisions of the respective Grant Agreement or Sub-Grant Agreement as applicable, which

include by reference the Guidelines for Procurement of Goods, Works and Non Consulting Services Under IBRD Loans and IDA Credits and Grants by World Bank Borrowers of January 2011 revised July 2014, and also the Guidelines Selection and Employment of Consultants Under IBRD Loans and IDA Credits and Grants by World Bank Borrowers of January 2011 revised July 2014,

(ii) The provisions of this Project Operation Manual (iii) NEA’s Procurement Guideline and Procurement Documents to the extent that they are not

inconsistent with the provisions of the Grant Agreement and this Operational Manual. The Operational Manual includes specific guidance for further strengthening the procurement procedures and standard forms of NEA’s own Procurement Guidelines to enable greater competitiveness, economy, efficiency and transparency in the procurement process.

(iv) In case of any conflict between NEA’s procurement procedures/ documentation, the Operational Manual, and the Grant Agreement, the provisions of the Grant or Sub-Grant Agreements, including the World Bank’s Procurement and Consultant Guidelines, shall prevail.

(v) . The sub-project or grantee shall use their own organization procurement policy to the extent that they are not inconsistent with the provision of General Guideline of Grant Management for NEA Partners and the Grant Agreement. In case of any conflict, the General Guideline of Grant Management for NEA Partners and the Grant Agreement shall prevails.

3.2.2. Procurement Plan Immediately after the project commencement, NEA will develop a procurement plan that should list procurement packages, estimated cost, procurement method as well as a schedule outlining the planned timeline of when good, works, non-consulting services and consulting services will be procured. The procurement plan will cover a period of at least the first 18 months of the project and will be updated at least once every 12 months, or as needed. NEA will use the Bank’s online procurement planning and tracking tools (“STEP”) to prepare, clear and update its procurement plans and conduct all procurement transactions. All Procurement Plans for DGM-I Project and their updates or modification shall be subject to the World Bank’s prior review and no objection. Procurement of goods or service of less than USD 500 or equivalent are not required to be listed in the Procurement Plan. However, a complete list of all procurement and the related documentation should be maintained and available in the DGM-I PMU and NEA’ records.

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3.2.3. Procured Items Goods are tangible products procured from a supplier. Goods divided by non-consumable goods and consumable goods or recurrent operational expenditure items. Non-Consumables goods examples include but are not limited to: computer hardware (including its software), office equipment, furniture, and audio-visual equipment. Consumables goods or recurrent operational expenditure items examples include but are not limited to: food (coffee, tea, and sugar), office supplies, livestock, fertilizers, and other low value perishable items. Small works are a simple form of work carry out by a vendor. Examples include but are not limited to: small construction works or maintenance, land preparation/cultivation for community organic agriculture or livestock production. Non-consulting Services are “non-technical” services from a service provider. Examples include but are not limited to: printing service, web and graphic design, photographer and video documentations, health service provision, event organizer for workshop, and skilled labour such as painters, carpenters, electricians. Consulting Services are “technical” services from individual consultants or consulting firms for providing advisory services or technical assistance. Examples include but are not limited to: gender specialist, livelihood specialist, environmental specialist, land tenure specialist, conflict mediators, economists, and trainers. 3.2.4. Procurement Methods 3.2.4.1. Shopping (obtaining at least 3 quotations) Shopping is procurement method shall be used for all items (goods, small works, non-consulting services and consulting services) with small value contract (a small value contract should normally not exceed USD 200,000 for small works and non-consulting services and USD 100,000 for goods). The method is based on comparing written quotations obtained from several suppliers (for goods), from several companies or service providers (for small works and non-consulting services) with minimum of three (3), to assure best value for money7. Written Quotations from the suppliers may be submitted by letter, facsimile, electronic mail or (if necessary) directly obtain quotation from the local supplier by an NEA personnel. The evaluation of quotations will be based on value for money. A written Request for Quotations (RFQ) from DGM-I PMU to supplier is imperative for all types of contract under shopping method. The RFQ shall indicates description of required goods or services, required minimum technical specifications, required quantity, delivery address, quotation deadline submission, expected delivery period and payment terms. After the deadline of quotation submission, the PMU shall immediately send results of the solicitation process and awarding the contract based on solicitation criteria. In addition the following provisions against (i) Corrupt, fraudulent, collusive, coercive, and obstructive practices: "All bidders, suppliers, contractors and their agents (whether 7 Value for money does not necessary means the most economical price. It is based not only on the minimum purchase price (economy) but also on the maximum efficiency and effectiveness of the purchase.

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declared or not), subcontractors, sub-consultants, service providers or suppliers, and any personnel thereof, shall observe the highest standards of ethics during the procurement and execution of the contract. Bidders shall not be under a declaration of ineligibility for corrupt and fraudulent practices issued by the Bank. The Bank’s sanctions procedures and the list of debarred firms and individuals are publicly disclosed on the Bank’s external website www.worldbank.org/procure. The Supplier/Service Provider shall also permit the Bank and/or persons appointed by the Bank to inspect the Supplier’s/Service Provider’s offices and/or accounts and records of the Supplier/Service Provider and its sub-contractors relating to the performance of the Contract, and to have such accounts and records audited by auditors appointed by the Bank if required by the Bank." and (ii) conflict of interest: “A firm shall be considered ineligible to participate in the contract in case of a conflict of interest which includes submitting more than one bid (except as a sub-contractor), or if the firm (including its personnel) has a close business or family relationship with a professional staff of the Purchaser who: (i) are directly or indirectly involved in the preparation of the request for quotations, or specifications of the contract, and/or the bid evaluation process of such contract; or (ii) would be involved in the implementation or supervision of such contract unless the conflict stemming from such relationship has been resolved in a manner acceptable to the Bank throughout the procurement process and execution of the contract.” shall be added to the RFQ as well as in the Purchase order. When the item procured is a service that require “technical capacities” from the service providers and/or the suppliers, the DGM-I PMU shall provide the solicitation criteria along with request for quotation letter. The service providers and/or suppliers will need to send required supporting documents along with the offer price. 3.2.4.2. Direct Contracting and Direct Purchase Direct contract or direct purchasing may be used for procurement of small value contract (below USD 1000 or equivalent) for example off-the-shelf goods, commodities and simple works. For procurement items with value above USD 1000 direct contracting method is applied on exceptional basis. When the competitive method is not justified on the basis of cost, efficiency or the DGM-I PMU has been unable to obtain at least three (3) quotations, DGM-I PMU shall provide a note explaining the reasons and justifications why the competitive method could not be applied and obtain an approval from NEA authorized official. 3.2.4.3. Selection of Individual Consultants Individual consultants are employed on assignments for which: (a) teams of personnel are not required; (b) no additional outside (home office) professional support is required; and (c) the experience and qualifications of the individual are the paramount requirement. When coordination, administration, or collective responsibility may become difficult because of the number of individuals, it would be advisable to employ a firm. Individual consultants are selected on the basis of their qualifications for the assignment. Advertisement is encouraged, but is not required. Consultants expressing interest do not need to submit proposals. Consultants shall be selected through comparison of qualifications of at least three qualified candidates among those who have expressed interest in the assignment or have been approached directly by DGM-I PMU and/or NEA. Individuals considered for comparison of qualifications shall meet the minimum relevant qualifications and those selected to be employed by DGM-I PMU

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and/or NEA shall be the best qualified and shall be fully capable of carrying out the assignment. Capabilities may be based on academic background, experience, and, as appropriate, knowledge of the local conditions, such as local language, culture, administrative system, and government organization.

Individual consultants may be selected on a sole-source basis only in exceptional cases and with due justification if DGM-I PMU and/or NEA confirm that it presents a clear advantage over competition (a) for tasks that are a continuation of previous work that the consultant has carried out and for which the consultant was selected competitively; and (b) when the individual is the only consultant qualified for the assignment The justification for sole source selection based on the above circumstances must be documented in the evaluation report and prior approval of the NEA’s authorized official must be obtained. In addition, NEA’s should obtain prior approval of their concerned officer.

3.2.4.4. Selection of Consulting Firm Consultant firm selection will be mainly used for selection of auditors and shall follow the method Selection Based on the Consultants' Qualifications (CQS). In the CQS method, the NEA shall prepare the TOR and obtain expressions of interest that include information on their experience and qualifications, eventually through a Request for Expression of Interest (REOI) as may be needed, from as many firms as possible, and at least three qualified firms with relevant experience. Firms having the required experience and competence relevant to the assignment shall be assessed and compared, and the best qualified and experienced firm shall be selected. Only the selected firm shall be asked to submit a combined technical and financial proposal and, if such proposal is responsive and acceptable, be invited to negotiate a contract. Both technical and financial aspects of the proposal may be negotiated. If the negotiations fail with the selected firm, NEA will document the reasons in the evaluation report and move to negotiations with the second most qualified firm after obtaining internal approval from the NEA’s authorized official. The minutes of negotiations shall be prepared and signed by both parties. NEA may use their own standard forms of contract for selection of consulting firms and individual consultants, but should ensure that their selection and contract forms include the following provisions when using their own standard forms under the Project:

• Provision against Corrupt, fraudulent, collusive, coercive, and obstructive practices with the following text: "The Client, consultants and their agents (whether declared or not), subcontractors, sub-consultants, service providers or suppliers, and any personnel thereof, shall observe the highest standards of ethics during the selection and execution of the contract. Consultants shall not be under a declaration of ineligibility for corrupt and fraudulent practices issued by the Bank. The Bank’s sanctions procedures and the list of debarred firms and individuals are publicly disclosed on the Bank’s external website www.Worldbank.org/procure. The Consultant shall also permit the Bank and/or persons appointed by the Bank to inspect the Consultant’s offices and/or accounts and records of the Consultant and its sub-consultants relating to the performance of the Contract, and to have such accounts and records audited by auditors appointed by the Bank if required by the Bank."

• Provision against conflict of interest with the following text: “Consultants (including their experts and other personnel, and sub-consultants) shall be considered ineligible to participate in the contract in case of a conflict of interest which includes submitting more than proposal (except as a sub-consultant), or if the consultant (including personnel of a consulting firm) has a close business or family relationship with a professional staff of the Client who are directly or indirectly involved in any

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part of: (i) the preparation of the TOR for the assignment, (ii) the selection process for the contract, or (iii) the supervision of such contract may not be awarded a contract, unless the conflict stemming from this relationship has been resolved in a manner acceptable to the Bank throughout the selection process and the execution of the contract.”

Single Source Selection may be used only on exceptional basis with due justification if NEA confirms that it presents a clear advantage over competition under the circumstances: (a) for tasks that represent a natural continuation of previous work carried out by the firm when the original selection was carried competitively or (b) when only one firm is qualified or has experience of exceptional worth for the assignment. In all such cases, NEA is not required to issue an RFP. The justification for Single Source Selection based on the above circumstances must be documented in the evaluation report and prior approval of the NEA’s authorized official must be obtained. In addition, NEA should obtain prior approval of their concerned officer.

3.2.4.5. Payment Method

When prospective bidders are invited to submit quotation, the invitation should indicate the currency in which bidders should state prices as well as the currency in which payment will be effected. For purposes of comparing prices of offers received, it is recommended to request all bidders to submit offers in single currency.

Payment negotiation may be carried out with the selected bidders regarding payment terms.

Advance Payment

If an advance payment is agreed to, all reasons therefore shall be documented. If the contract calls for an advance payment, the advance payment, in all cases, should not exceed 30 percent of the total contract amount. Examples of activities that may justify an advance payment are (1) mobilization costs (small works); (2) start-up costs (services); or (3) design costs.

3.2.5. Procurement Processing and Review by the World Bank: All procurement planning and transaction processes should be processed through the Bank’s online system - Systematic Tracking of Exchanges in Procurement (STEP). Annual Procurement Plans of NEA and any subsequent updates, shall be subject to the Bank’s prior review and no objection before commencement of the procurement process. All contracts under the Project shall be subject to the Bank’s ex-post review, which means that the DGM-I PMU and/or NEA can award the contract following the required procurement procedures and the Bank will subsequently check during project supervision the compliance with the agreed procurement procedures. A firm or individual sanctioned by the Bank shall be ineligible to be awarded a Bank-financed contract or to benefit from a Bank-financed contract, financially or in any other manner, during the period of time determined by the Bank. The Bank’s sanctions procedures and the list of debarred firms and individuals are publicly disclosed on the Bank’s external website www.worldbank.org/procure. The Bank’s listing of temporarily suspended firms and individuals are recorded in STEP and can be also accessed through the client connection.

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3.2.6. Books and Record Keeping The NEA as well as grantee organizations shall retain all documentation with respect to the procurement process and implementation of all contracts up to 7 years and 6 months after the closing date of the Grant Agreement. This documentation should include, but not be limited to:

• Procurement Plan. • Cost Estimate. • Copy of the RFQ or RFP sent to suppliers/ service providers. • Original quotations submitted by suppliers/ service providers (Expression of Interest, CVs, and

proposals by consultants). • Evaluation Form signed and dated by all members of the Procurement Committee from within

NEA and by the authorized approving official of the NEA. • Signed Contract/ Purchase Order. • Confirmation of receipt of delivered goods/ non-consulting/consulting services. • Copy of deliverables or goods obtained. • Copies of checks for payments made, and all correspondence with supplier/service provider.

3.2.6 Confidentiality Principles Any related information with proposal evaluation, and recommendation of proposed candidates should not be provided to consultants, bidders or individuals until the decision to award a contract is taken.

3.3. Anti-Corruption The “World Bank Guidelines on Preventing and Combating Fraud and Corruption in Projects” dated October 15, 2006 and revised in January 2011, stipulates the need to prevent and combat fraud and corruption, including in recipient-executed trust fund grants. The following anti-corruption provisions apply at the grant and sub-grant level.

3.3.1. Enhanced Disclosure Provisions and Transparency The project will simplify disclosed materials and make them readily available to the public. This can be through NEA’s website. Specific disclosure measures related to information will include, but not be limited to: • Overview of activities and locations of the project; • Public disclosure of annual procurement plans and schedules (and their updates) and the same will

be also initiated through STEP; • All short lists of consultants contracted for the project will be made publicly available. All

information regarding contracts awarded will be publicly disclosed; • Disclosure of audit reports and mid-term reviews; • Available conduits/channels for complaints.

3.3.2. Community Oversight The Project recognizes that greater oversight by communities is likely to reduce the risk of corruption and misuse of power. Beneficiary participation and empowerment are core values of the Project that will be operationalized by putting in place mechanisms for enabling the active participation of program beneficiaries in all phases of the sub-project cycle, including design, monitoring and evaluation. Mechanisms will also be put in place to enable beneficiaries’ access to key information regarding the program and its sub-projects.

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3.3.3. Mitigating Collusion Opportunity for collusion and fraud exist in any project. However, due to the participatory and transparent nature of the Project, many of the possible risks are significantly reduced. Transparent procurement under the program with appropriate oversight is the starting point for reducing the likelihood of collusion Performance of the project consultants/contractors/suppliers will be monitored and evaluated by the stakeholders. Interim audits by the Bank will be conducted if necessary in addition to NEA’s internal control arrangements.

3.3.4. Sanctions & Remedies Clear sanctions and remedies are an important final step in the effort to fight corruption. This project will apply a zero-tolerance policy to corruption. Evidence of corruption, collusion or fraud will be grounds for terminating the relevant grant agreement, possibly with additional penalties. In cases of corruption, disbursement can be suspended or stopped completely if cases are not dealt with effectively. CSOs/ CBOs will follow the systems of NEA in applying sanctions and remedies related to mismanagement or corruption in sub-grants and funds allocated for the Project. Where necessary, NEA may amend their sub-grant agreement or in extreme circumstances, terminate the agreement.

4. Safeguards

4.1. The Environmental and Social Management Framework (ESMF) As per the World Bank guidelines: “Environmental and social management framework (ESMF) is an instrument that examines potential risks and impacts when a project consists of and/or is financing activities and/or series of sub-projects with potential adverse risks and impacts on people and the environment. The ESMF serves as an overarching framework to mitigate potential risks and impacts since such risks and impacts may not be known or identified until the program or sub-project details have been identified in the proposals and implemented in proposed project areas. As a framework, the ESMF sets out the principles, rules, guidelines and procedures to address the environmental and social safeguards requirements for DGM-I-financed activities and is further operationalized through this section in this POM. This POM therefore contains required measures and plans to reduce, mitigate and/or offset adverse risks and impacts, provisions for estimating and budgeting the costs of such measures, and information on the parties responsible for addressing project risks and impacts, including their capacity to manage environmental and social risks and impacts as specified in an Environmental and Social Management Plan (ESMP) for each proposal (See Annex. 14). The ESMP shall include to the extent possible adequate information about locations where subprojects are planned to be implemented, including any potential environmental and social risks and impacts (e.g. conflict potentials, lack of participation and access to DGM-I benefits, etc.); and mitigation measures that might be expected to be used. The level of details and resources to be mobilized in the ESMP shall be commensurate to potential risks and impacts identified during the proposal screening process and further refined during the proposal development stage where prior consultations and risk assessment could be supported through the technical assistance provided under the TA grants.

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Integral to the Community Participation Framework (CPF – Annex 6 of the ESMF) is the obligation for NEA and NSC to ensure that both IPs and LCs have equal access to DGM-I benefits. To this end, outreach and communication strategies need to be tailored to ensure a wide coverage to the extent possible and each NSC member is mandated to outreach both IPs and LCs. The 14 earmarked projects targeted for the seven regions represented in the DGM-I shall consider equal access for both IPs and LCs and any exemption shall be justified and documented. In addition, to promote gender equality, project design should make sure that at least 30% of beneficiaries are women. To achieve these objectives, DGM-I will invest in capacity strengthening for IPLCs both during proposal development and project implementation.

4.2. Environmental Safeguards The environmental safeguards in the ESMF is designed to safeguard IPLCs from localized environmental impacts of proposed local community actions such as pesticide leakage into water systems, inadvertent tree cutting, forest use conversion, exploitation of environmental services etc. Whenever possible, the proponents will avoid projects that have significant environmental impacts and therefore may require full environmental impact assessments such as AMDAL as per-GOI’s regulations or ESIA as per-the WB’s OP 4.01 on Environmental Assessment. But if necessary, for example, for a mini-hydro project, a simple environmental impact assessment, such as UKL/UPL, following government regulations will form part of the proposal and will be funded by the project. Proposals with elements in the negative list are to be discouraged and not included for funding under the DGM-I, and therefore, may need to be revised. Formulation of specific activities in the negative list was based on results of the public consultations on the ESMF in December 2016. Relevant instruments applicable under the Environmental Safeguards requirements for the DGM-I are included in the ESMF, and project proponents are required to implement and monitor relevant provisions particularly on the following instruments in the ESMF: preliminary screening of the negative list (Annex 16), Screening against Environmental and Social Impacts (Annex 17), Environmental Code of Practices (ECOPs – Annex 18), Guidance Note for Integrated Pest Management (IPM – Annex 19), Protection of Physical Cultural Resources and Chance-Finds Procedures (Annex 20), and Environmental Permits and Management and Monitoring Measures (Annex 24).

4.3. Social Safeguards The ESMF is intended to reduce, mitigate and/or offset risks that may affect vulnerable groups including indigenous peoples (Masyarakat Adat), local communities, women,the youth, people with special needs, and other minorities. The very nature of the DGM-I sets it apart from typical World Bank Infrastructure lending projects. Most of the WB funded infrastructure projects demand social safeguards that would protect indigenous people and local communities from for example displacement, tension and disputes, and access restrictions due to project activities. The key beneficiaries of the DGM-I are Indigenous Peoples and Local Communities in seven regions across Indonesia. The key activities to be funded are intended to build their capacity to secure their land tenure, improve their livelihoods and capacity to engage in associated policy dialogue. Therefore, social inclusion and equitable access to benefits for both IPs and LCs is center to the DGM-I implementation. The priority sub-project proponents are organisations of IPLCs themselves and proposals will be solicited from these organizations to reflect their respective community’s priorities. However, the

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DGM-I does not restrict proposal submission from IPLC ogranizations and open to other NGOs or CSOs provided that they have secured free prior informed consent from the target communities. Such applications will be subject to further verification by the NEA and NSC. For the DGM-I, the Social Safeguard is primarily to make sure that benefits accrue to IPs and Local People, prevent capture of benefits by local elites and provide accessible and flexible funding to local IPLCs. It is also designed to optimize benefits from the sub-projects beyond the lifetime of the project for the IPLCs. Needed meetings and consultations will be funded as part of the sub-projects (either as project preparation or part of project implementation whichever is appropriate).

This project ESMF will be complemented by NEA’s gender sensitivity and pro-active women’s guidelines for small grants. (See Gender and Vulnerable Group Considerations, page. 52). Relevant instruments and frameworks in the ESMF that shall be implemented and monitored by project propoents to ensure compliance with the social safeguards requirements of the DGM-I include: preliminary screening of the negative list (Annex 16), Screening against Environmental and Social Impacts (Annex 17), Community Participation Framework (Annex 21), Guidance Note for Free, Prior, Informed Consultations (Annex 22), Handling of Voluntary Agreement on Use of Land (Annex 23)

For both environmental and social safeguards, an Environmental and Social Management Plan (ESMP), outlining an implementation plan of relevant aspects of these instruments shall be developed based on project needs and potential risks identified during the proposal screening stage. Project proponents could access technical assistance to develop project-specific ESMPs during the proposal development stage.

A simple generic template for an ESMP is presented in Annex 14. The plan is designed to assess the effectiveness and efficiency of the environmental management measures undertaken. As necessary it includes measures so that the negative impacts can be prevented or minimized. Also included are monitoring variables, location, and timing/ frequency for supervision.

To ensure legitimacy and promote broader stakeholder participation, an ESMP is developed in a participatory manner with participating communities and other stakeholders that are key to the implementation of mitigation measures and action plans set out in the ESMP. The development of ESMP should start with participatory screening and asessments of environmental and social safeguard risks (see Annex 1 and 2 of the ESMF). Project activities are assessessed based on potential impacts and proposed mitigation action plans including budgeting will be included as part of community proposals. The development of the ESMPs will be integral part of proposal development and guided by this ESMF and reference guidance notes to fully align with the provisions set out by the WB’s safeguard policies and GOI’s regulations on social and environmental management. Consulation processes and participatory assessments of social and environmental risks will tap into community mobilization and outreach grants (sub-component 1.1.) where project proponents will proactively seek communities’ inputs on strategic measures and mitigation plans for risks associated with sub-project activities. ESMPs will also contain measures to promote community participation in the implementation of agreed safeguard action plans. ESMPs will be a living safeguards instrument for project propoents and should be reviewed on a regular basis and revised/updated if deemed necessary during project implemenation. Any amendments of the ESMP will have to be approved by NEA with endorsement from NSC. Capacity building provisions on the development and implementation of ESMPs for implementing entities and participating

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communities will be built into community proposals prior and during project implementation. Day-to-day oversight of ESMP implementation will be the responsibility of implementing entities and regular monitoring will be carried out by NEA and NSC. Progress of ESMP implementation will inform the status of DGM-I safeguard implementation overall.

4.4. Implementation of the ESMF Implementation of the ESMF is to ensure that DGM-I assesses potential environmental and social risks and impacts of project activities, examine project alternatives, identifies ways of improving project selection, siting, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental and social impacts and enhancing positive impacts throughout project implementation. DGM-I favors preventive measures over mitigatory or compensatory measures whenever feasible.

The project is expected to generate net positive environmental and social outcomes because it seeks to promote forest and natural resource management, climate change adaptation for IPLCs, tenurial security and sustainable development. Any unintended adverse impacts triggered and/or associated with project interventions are anticipated to be minor and site-specific.

Proposed activities under this component will have to go through preliminary screening to identify potential impacts and safeguard requirements, which include the following processes:

a. Screening against the DGMI Negative List (see Annex 16). The NEA in consultation with the NSC has established a Negative List for the project to ensure that any proposal not aligned with GOI regulations or initiatives with potential adverse impacts will not be financed;

b. Screening against the Environmental and Social Safeguards Risks (See Annex 17) to assess potential risks of eligible activities and local capacity to manage such risks. The exercise will be led by the NEA and NSC, in collaboration with project proponents. This exercise will result in recommendations for strengthening safeguard management, including alternative and preventive measures, capacity building, technical assistance, and oversight.

c. Shortlisted proposals are required to provide evidence of broad community support through free, prior and informed consultations to seek broad community support and ensure that communities have a full and accurate understanding of the initiatives proposed (see Annex 20) on the guidance note for free, prior and informed consultations). Since DGM-I is intended to focus on both IPs and LCs, they will be fully involved and have equal access to information and opportunities to DGM-I benefits. These consultations are also intended to serve as a follow-up assessment of potential risks and impacts that may not be identified during the preliminary screening processes. The results of the consultations shall be documented and attached in the proposals.

d. An Environmental and Social Management Plan (Annex 14) will be prepared by project proponents to lay out key measures needed to manage environmental and social aspects of the program. This tool will also be used as a key instrument for budgeting and resource allocation exercise to ensure that adequate financing and needed resources are in place to manage risks and leverage positive benefits for participating communities. Integral to this ESMF, an Environmental Code of Practices (ECOPs) has been prepared to guide implementing units on how to prevent and/or minimize impacts/risks to environment and human health. The ECOPs will be used as basic standards for the development of risk mitigation action plans e.g.

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ESMP, environmental permit (UKL/UPL), SPPL, etc. as needed and contains provisions for a range of sectors relevant for DGM-I, including agroforestry, home-based industry, farm, fishery, seedling and community timber activities (See Annex 18);

Gender and Vulnerable Group Considerations

DGM-I has established guidance to ensure that the potential development project risks to women and other vulnerable groups are identified and addressed as part of the social assessment process. The consultation process should include the views, concerns and priorities of men and women as well as the needs of disadvantaged and vulnerable groups. NSC DGMI agreed that beneficiaries will cover minimally 30 % of woman, plus all vulnerable group in the community.

As per the findings of the gender mainstreaming report, the implementation of this component will incorporate the following five core elements:

a. Provide information on opportunities for grant financing to diverse women’s organisations prior to selecting the proponents, and for those that are selected in this process, ensure that women representatives from the CSO and CBOs participate;

b. Ensure women and men’s equal involvement in the delivery of information and training; c. Provide gender-sensitive information in terms of substance and delivery; d. Adopt informal communication channels; and e. Focus, through this process, on informing changes in attitudes, behaviour, and community and

institutional rules to enhance community’s acceptance of women’s involvement in information delivery and mobilisation.

To simplify matters and ensure that the ESMF does not act as hindrance for processing project grants, the ESMF consultations held in December 2016, recommended and the NSC agreed that activities that will have significant adverse impacts are ineligible to be funded. Below negative list used as first screening of incoming proposals.

Table 7. ESMF Negative List

No Negative List

1 New settlements or expansion of settlements within conservation forests, protected areas and parks;

2 Any activity that can potentially lead to and/or result in destruction and/or relocation of physical cultural resources;

3 Any activity that can potentially lead to and/or result in conversion of primary forest and/or natural habitats;

4 Purchase and/or use of hazardous chemicals including but not limited to pesticide and insecticides that are that are classified as IA or IB by WHO and GOI’s regulations.

5 Land acquisition/purchase of land;

6 Activities where community endorsement and broad support through free, prior, and informed consultations is not obtained, or evidence for such support is not available;

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7 Any activity with potential negative environmental and social impacts, i.e. large infrastructure, new infrastructure in environmentally sensitive areas, infrastructure requiring AMDAL.

8 Any activity associated with political campaigns and election; and/or associated with elite capture

9 Poaching and/or trade of protected species and animals;

10 Purchase of substances and/or activities which may pose health risks;

11 Purchase of weapon and/or ammunition;

12 Activities carried out in relation to adjudication of lands under dispute;

13 Removal or alteration of any physical cultural property (includes sites having archeological, paleontological, historical, religious, or unique natural values);

14 Conversion, deforestation or degradation or any other alteration of natural forests or natural habitats including, inter alia, conversion to agriculture or tree plantations

15 Activity which cause negative impact to Woman and Children

16 Construction of canal in deep peatland

To ensure that the potential applicants are well informed about the Negative List and ineligible activities under DGM-I, NEA shall actively disseminate safeguards information and relevant requirements during sub-project preparation phase (Concept Paper development and Proposal development). The information will also be displayed in the website as well as in the Concept Paper Submission Check List. This will ensure that the DGM-I is in compliance with both the WB Environmental and Social Safeguards as well as GOI’s regulations.

4.5. Safeguards Institutional Arrangements Key elements and responsibility of the project implementation, stages and action pertaining to application of safeguards framework are outlined in the Table 8. Key Responsibility of Environmental and Social Safeguards, page. 54. Institutional arrangement and coordination are as follow: CSO/CBO - Since the planning stage CBO/CSO must consider the negative list and other ineligible activities under the DGM-I. The planning process should be fully participatory, with consultation and consent from targeted IPLC beneficiaries. Final proposals must include an approved environmental social management plan (ESMP). Information on tenure status and existing conflicts need to be identified in the proposals. In cases where shortlisted proposals have not included an ESMP or where the proposed ESMP is not adequate, the NEA shall request project proponents to revise or improve the proposed ESMP with possible technical assistance and resources based on needs. Implementation of the ESMP shall be monitored and documented in progress reports submitted to the NEA. NEA - At the call for proposal stage, information about safeguards requirements, including the negative list shall be socialized to interested CSOs/CBOs. During the proposal selection stage/shortlisting, screening processes against the negative list and potential social and environmental risks and impacts will be conducted by an expert panel commissioned by the NEA to assess feasibility of the proposals as

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well as the level of risks and impacts that must be mitigated and monitored if the proposals are approved. NEA will organise environmental and social management training and/or workshop during the proposal development stage for shortlisted CSOs/CBOs to ensure that the ESMP is adequate and acceptable. Associated costs to implement environmental and social management and mitigation measures shall be included in the proposals. The NEA will monitor and report aggregate environmental and social performace of DGMI funded projects. NEA is responsible for safeguards supervisions and enforcement of necessary measures and capacity building to ensure that ESMPs are implemented and risks and impacts are adequately managed. NSC – Each NSC member is responsible to actively disseminate information about safeguards and ineligible activities (e.g. the negative list) to their respective constituents. Together with the NEA, NSC is also responsible to ensure implementation of social and environmental and social safeguards and flag risks and impacts that need to be managed or issues that need to be resolved. NSC monitors the NEA and CSOs/CBOs in the implementation of ESMPs. Further division of responsibilities for each stage of project implementation is detailed below:

Table 8. Key Responsibility of Environmental and Social Safeguards

No Stages NEA/NSC CSO/CBO 1 Call for Proposal - Facilitation socialization

and outreach on the Negative List and safeguard measures (esp. requirements for free, prior and informed consultations with target communities)

Understand and reflect commitment to safeguard requirements in the project papers and consult with NEA/NSC for further clarification

2 Screening - Screen and assess compliance and adequacy of safeguard measures proposed for activities in the proposals;

- Provide feedback for further improvements and rank proposal quality by incorporating safeguard criteria

Identify social and environmental issues and developf alternative and/or mitigation plan;

3 Proposal development

- Provide coaching clinic/capacity building/workshops on safeguards, e.g. training on

- Refine safeguard measures in the proposals, including budget, requirement for environmental permits, ESMP, Grievance Redress, and

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free, prior, and informed consultations, Community Participation Framework, ESMF, ECOPs, etc.);

- Provide technical support particularly for development of ESMP (incl. budgeting) including requirements for environmental permits, and other safeguard tools where relevant

community participation and outreach;

- Commit to applying ESMF on impact mitigation measures;

- Consult with NSC/NEA on the refinement of safeguards measures for specific sub-project activities;

4. Proposal Validation (priority lists)

- Verifying that community broad support has been obtained in a good faith by cross-checking with community representatives (to be documented);

- Assessment of social and environmental risks as part of criteria for proposal selection;

- Facilitate NEA/NSC visits and provide relevant information as part of the validation assessments;

5. Community Outreach and Mobilization (sub-component 1.1.)

- Provide oversight and technical advice to ensure that use of community outreach and mobilization grants could be used optimally to reach the most vulnerable communities.

- Further consultations with target communities (on the basis of free, prior, informed, consultations) and obtaining evidence of community broad support;

- Socialization and outreach of the need for safeguard measures and participatory development of ESMP and strategies to promote gender mainstreaming and social inclusion;

- Report to the NEA/NSC on the use of grants;

6. Proposal Selection

- Assessing the adequacy of safeguard instruments (i.e. ESMP), including budgeting and resources allocated, the need for environmental permits and other necessary measures where

- Inform NEA/NSC if there are changes in the proposals or design of the sub-activities;

- Furnish NEA/NSC in cases when supplemental information is required

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relevant (this needs to involve safeguards advisers in NEA for technical judgement);

- Informing project proponents on the results as well as rationale for selection (this may also include feedback for further improvement).

- Manage Grievance Redress Mechanism (GRM) in cases of complaints regarding proposal selection;

7 Implementation - Regular monitoring on project implementation;

- Regular reporting on progress of safeguards implementation to the WB (as part of progress reports);

- Managing GRM and resolving complaints filed, conducting due diligence/investigation if considered necessary;

- Providing capacity building (training, coaching, mentoring) for project proponents and participating communities on safeguard implementation;

- Disclose relevant information to public

- Implement, monitor and report Environmental and Social Management Plans and other safeguard commitments on a regular basis;

- Manage GRM at the site level; - Provide technical assistance to

participating communities, or liaise with relevant government agencies and other stakeholders to seek support;

- Managing asset inventory (if DGM-I invests in physical goods) and asset handover, including clarification of ownership

8 Post implementation

- Monitor and report aggregate impacts of overall project;

- Collecting lessons-learnt and identify pending issues;

- Monitor completed projects , collect lessons-learnt and identify pending issues;

- Furnish relevant information to NEA/NSC on project related activities.

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Diagram 7. ESMF Approval Procedures

4.6. Capacity Building DGM-I recognizes that capacity for implementing safeguard measures required in the ESMF may greatly vary across project proponents. Acknowledging such constraints, NEA/NSC will be responsible to ensure that capacity building components are integral to the project design, and gradually build on previous efforts to leverage understanding and awareness of safeguards amongst key actors. There are several steps envisioned under the DGM-I implementation where safeguard capacity building will be focused:

Prior to Project Implementation NEA and WB team (TTL and Safeguard specialists) are responsible to facilitate safeguard workshops to key personnel in the NEA, NSC representatives and potential CSOs/CBOs (whenever feasible) prior to the start of DGM-I.

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Proposal Validation Once the list of priorities of submitted proposals is finalized, by taking into account the recommendations of the NSC, the NEA and respective NSC member in the regions will conduct field visits if necessary to validate the proposals and work with CSOs/CBOs to engage the communities to refine the proposals, design safeguard measures based on activities proposed and ESMPs, as well as estimate resources required, including obtaining environmental permits if needed (this may require technical judgement by safeguards advisers in the NEA). Project proponents will continue to consult with safeguard specialists in NEA and NSC member for any safeguard related matters prior to the finalization of the the proposals.

Coaching Clinic

In the subproject preparation and implementation, a series of coaching clinic will be delivered to DGM-I grantees to foster awareness, buy-in and adherence with the ESMF and related safeguard measures needed to manage social and environmental risks as well as improve community participation in the project. Through this coaching clinic, project proponent can further refine safeguard measures tailored for each proposal, particularly the ESMP as this needs to be budgeted in the proposals and also identify gaps that need to be addressed prior to implementation, particularly on oversight and capacity building issues.

1. Community participation approaches, particularly in the areas of free, prior and informed consultations and gender mainstreaming;

2. Potential environmental and social issues in DGMI projects and risk mitigation/management, 3. Overview of policy and regulatory frameworks related to DGMI and social and environmental

management in Indonesia, procedures for obtaining environmental permits; 4. Design and development of ESMPs, integrating provisions of land and resource management,

pest management, PCRs, community participation, and free, prior and informed consultations.

Implementation Support Implementation support will mostly be provided by safeguard and technical specialists in NEA and NSC members. The NEA will provide technical assistance to project proponents and participating communities to develop and implement necessary safeguards plans and/or to obtain environmental permits if needed. To the extent possible, capacity building activities will be tailored to the needs of each CSO/CBO. The NEA will conduct regular oversight of the ESMF implementation and provide refresher training/workshops. CSOs/CBOs will report their progress on the implementation on a periodical basis and issues must be flagged as early as possible to allow timely remedial actions.

4.7. Information Disclosure NEA should develop reliable documentation and record keeping, as well as provide access to information for public relating to ESMF. Proposals that do not meet the requirement for public disclosure on the result of Assessment on Environmental and Social Impacts will not be financed by DGM-I. The assessment result will be recorded on DGM-I monitoring system and accessible through DGM-I website.

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4.8. Grievance Redress Mechanisms A local complaints handling system will be designed for the projects proposed by CSOs/CBOs (in consultation with target beneficiaries) that will allow beneficiaries and other stakeholders to lodge complaints and receive feedback and resolution on aspects related to project implementation. The complaints handling system will be adapted to the needs of the different types of marginalized groups (including indigenous people) benefitted by the program to ensure that it is accessible, responsive and accountable to them and to other relevant stakeholders.

NEA is responsible for coordinating the complaints handling system and will develop a strategy for ensuring that it is accessible and responsive to the different stakeholders of the program. A SMS/ internet based receiving window is under consideration. NEA will manage a database of complaints lodged, follow-up actions taken, and sanctions applied and this will be publicly available to increase participants’ involvement in the program and increase the likelihood of them raising concerns. NEA will ensure that complaints will be addressed and resolved in a professional and timely fashion, and without risk of reprisal to 'whistle blowers' in public.

This mechanism will allow general public, communities or individuals affected to file complaint and to get satisfactory response in a timely manner. A designated NEA personnel will record and document all complaints and follow-ups.

At the project level, CSO/ CBO involved should agree on a complaint handling mechanism for complaints related to their project. CSO / CBO whenever possible should assign person responsible for managing the complaint handling system. The system will receive and appropriately follow up on complaints from the public, communities and individuals, both beneficiaries and others, in a timely manner. CSO/ CBO can use the complaint handling system that already exists, if it is in place and is functioning properly with procedures and mechanisms in accordance with specified NEA requirements.

Complaints that arise as a result of project activities will be addressed through a complaint handling mechanism, based on the following principles:

1) The rights and interests of the parties related to the project are protected; 2) The problems faced by the stakeholders that emerged from the process of implementation of

the project are resolved appropriately and timely manner. 3) Livelihood support for IPLC beneficiaries are given on time and in accordance with the approved

plan; However, NEA is cognizant that elite capture is prevented to ensure equity in benefit sharing amongst IPLCs.

4) The public is aware of their rights, and are able to access the grievance procedure free of charge;

5) The grievance mechanism is in accordance with the policies, laws and regulations applicable in Indonesia.

Information on procedures for complaint, response mechanism, and handling process is available through DGM-I Website.

In addition to addressing complaints via website, the NEA (Communication Coordinator) provide off-line platform to receive complain. The complaint can be sent via post address of DGM-I PMU/ NEA Office or it can also be sent through SMS system mentioned earlier. A dedicated NEA personnel (Communication Coordinator) will records all receive complain including its follow up action.

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The Grievance Redress Mechanism are to be designed at two levels, as follows:

Field level: Handling of complaints at the site level is conducted by CSO/CBO involving public figures (traditional leaders, religious leaders) and/or community members who are respected and accepted by all community members. The selected community figures should have the capacity to handle a dispute or conflict at intra-community and inter-community levels. CSO/CBO must assign a person(s) responsible for handling complaints at the site level and when possible and applicable open a SMS hotline access to all forms of complaints. Each complaint must be reported in writing to NEA as soon as possible if in between reporting period or as part of the regular reporting schedule.

The complaint handling process should follow traditional conflict resolution processes of an IPLC as a first option. If no traditional process is available then NEA will recommend to CSO/CBO the succeeding process described: to start within/ not more than 14 days after the complaint is received. Based on the data and information collected, decisions must be made not later than 30 days after the complaint is received. If necessary, investigations may be conducted to complement and deepen data and information. CSO/CBO must document complaint handling system at the site level. These include name of person or group of people failing complaint, address, the grievances, handling process, and decision taken.

Diagram 8. Grievance Redress Mechanism at the Field Level

National Level: Complaints outside the control and / or capacity of CSO/CBO are handled by complaint handling unit at national level under the responsibility of NEA. The complaints may include vertical or horizontal conflict that cannot be handled at the site level. In this case the NEA will assign personnel responsible for handling complaints and handle this according to the grievance procedure for the DGM-

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I. All complaints can be submitted through the SMS/internet mechanism designed for the DGM-I. For complaints pertaining to government policies, NEA may request assistance from the DKN or any other relevant government agency to assist in handling the complaints.

The complaint handling process by NEA should be started within 30 days after the complaint is received and recorded by the DGM-I PMU. Based on the data and information collected, a decision must be taken no later than 60 days after the complaint is received assuming that its resolution is entirely within the control of the NEA and/or NSC. If necessary, NEA may conduct study or independent investigation to provide insight into the problem and find solution. NEA documents the handling of complaints at the site and national levels. These include registering the name of person or group of people filing the complaint, address, the complaint, handling processes, and decision taken. When needed conflict mediation may be a recourse taken by NEA. This process will also be funded by the project.

Figure 1. Grievance Redress Mechanism at the National Level

Important lessons learned from resolved issues will be communicated through discussions and/or website to reduce the likelihood of recurrence.

Every complaint received via SMS or internet mechanism will be recorded including its follow up measures and status. This will allow NEA to track down all complaints including mapping geographical area where the complaint most generate and help improve the project mechanism.

Resolution and Closure

All complaints will be responded in writing within the above mentioned timeline. The written response will indicate which entity (NEA or NSC) handling the complaint. Regardless where the complaint is handled, NEA dedicated personnel will make brief written note on the options discussed with the

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complainant(s) and the agreed action(s) to be taken to resolve the issue. Following implementation of the agreed action(s), the outcome will be recorded and both parties will sign.

In case that the agreements are reached through direct conversations, all supporting documents of meetings (i.e. minutes of meeting) will be filed for record keeping.

4.9. Evaluation and Audits Supervision, monitoring and evaluation of ESMF will be conducted at the site level and overall DGM-I. Audit at the site level will be conducted by NEA that should assign personnel responsible for evaluation and audit at the site level. Evaluation at the DGM-I level may be done by independent parties.

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5. Monitoring, Evaluation, Communication and Outreach

5.1 Overview The NEA is responsible for establishing and operating a monitoring and evaluation system and communication and outreach strategy that engages local communities and informs the implementation of the project by tracking performance

Monitoring, Evaluation, and Learning is critical for the DGM-I to achieve its goals, to ensure sustainability of the results, and to provide upward and downward accountability. The purpose is to track project performance, to find out what works and improve implementation of DGM-I through the use of both process and outcome monitoring and evaluation. Although all stakeholders have roles and responsibilities for robust MEL, the NEA will play pivotal roles in collecting, updating, aggregating, and evaluating, and reporting data. NEA has primary responsibility for managing monitoring, evaluation and learning with input and oversight from Indonesia NSC, DKN and relevant Indonesia government authorities.

The Monitoring and Evaluation system will be used to primarily monitor the achievement of the project outputs and outcomes and feed information into the associated indicators under the results framework. The outputs and corresponding indicators are as follows (For detail see Annex 1. Result Framework.)

Project Level Indicators

1) Participating IPLCs submit evidence for recognition of tenure to the government (number of communities)

2) Sub-projects successfully completed and achieved their objectives which are consistent with FIP objectives (percentage)

3) DGM Program participants who benefit (monetary or non-monetary) from grant activities, disaggregated by gender (number).

Intermediate Result Indicators 1.1) Participating IPLCs aware of tenure processes/ map validation processes at the local level 1.2) Participants in consultationactivties during project implementation 1.3) Number of community investment plans developed in participatory manner 2.1) Participating IPLCs who share lessons/ experience from the project in regional/ national policy dialogues on the FIP and other REDD+ process. 3.1) Grievances registered related to delivery of project benefits addressed. The direct beneficiaries are expected to (a) receive support to strengthen the security of tenure and develop / strengthen their community development plans and (b) receive support for livelihood and income generating activities from a menu of options (the latter will be availed by those who can show secure tenure over the land). A minimum of 30% of the total beneficiaries is expected to be women. In addition CSOs/ CBOs will benefit from training provided to them to effectively manage project activities. District level government officials also will benefit from information sharing associated with this project.

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To achieve the above indicators, NSC has decided that DGM-I will give priority to communities but will not be limited to who: 1) Have started or completed mapping their territories; 2) Have started or are preparing or proposing permit processes to customary forests and social

forestry; and 3) Living in vulnerable areas such as peat, lowland areas prone to fires in forest areas and small islands

(who face the pressure from industries such as mining and plantation). The above priorities will be taken into consideration within the proposal selection process.

5.2 Monitoring & Evaluation (M&E) System This overall monitoring system is designed to ensure effective multi-stakeholder (NSC, NEA, sub-project) monitoring for results supported through on-site monitoring, regular reporting, financial expenditure tracking as well as overall governance of the project (i.e. transparency of information, participatory process in decision making and ability of communities to file complaints and receive feedback/ follow up of their complaints). The following principles apply: participatory and transparency, evidence based, culture and gender sensitivity, promoting downward accountability to target IPLCs as well as upward accountability by sub-project holders, promote mutual learning and focus on emerging outcomes or outputs as well as effective implementation of actions.

The monitoring system for DGM-I is intended to achieve the following purpose:

• Results Orientation: Ensure appropriate measurement and assessment of project performance to effectively improve performance and achieve results

• Quality Assurance: Ensure quality in project activities through monitoring of project delivery and identifying issues that need corrective action and ensure additional assistance is provided early.

• Accountability: Ensure accountability is in use within the project implementation through heavy emphasis of financial reviews to make sure that the fund are being properly used to achieve project output.

• Transparency: Ensure transparency in the project activities, finances and results to all relevant stakeholders.

• Learning: Ensure that the project has a learning mechanism for purpose of improving on-going implementation and guiding new initiatives. And to identify key lessons learned and success stories for sharing amongst partners and wider public.

In order to achieve the above purpose, the monitoring system for this project will seek to apply the following measures:

• Resources. Provision of appropriate resources for Monitoring and evaluation: the project will dedicate staff time to ensure proper implementation of monitoring systems, including monitoring coordinator and financial officer. This will be complemented by existing Samdhana staff who may be called on as needed and appropriate for knowledge management, including monitoring or internal evaluation. External evaluators will also be commissioned at least two times within the project time frame.

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• Lessons from other project implementation of NEA will inform the project monitoring and evaluation.

• Management Information System. The Monitoring framework will utilize the current information management database used by the NEA for its other projects. This system will be adapted to the needs of the DGM-particularly in relation to monitoring the sub-projects.

• Result Oriented: priority is placed on result monitoring and regularly scheduled review meetings to take status of the achievement results.

• Template-based System: the project will seek to apply a template-based system to structure monitoring information and ensure its collection on a regular basis.

• Joint Monitoring: when needed, monitoring may include joint monitoring activities with the NSC member and other partners at sub-project level and with either the WB, advisers and Samdhana management staff for the project leve monitoringl.

• Operational Effectiveness: ensure proper application of NEA’s internal control framework and reviews of operational effectiveness.

• Downward Accountability: the project will seek to identify monitoring approaches (ie participatory processes) that promote downward accountability in the monitoring framework.

5.2.1. Project and Sub-project Monitoring There are two levels of monitoring – the project level monitoring and the sub-project level monitoring.

At the project level, the monitoring plan will include the following for overall project monitoring:

1) Quarterly Progress Report towards achievement of project components. The reports include quarterly financial accounting statements reflecting the expenditure of DGM-I funds on the implementation of the project against planned activities and time schedules as well as problem encountered or foreseen and other information related to the project implementation. The report also includes monitoring against agreed indicator in result framework (see Annex. 1)

2) Yearly Annual Report summarizing of project components and activities undertaken, achievement against the goals and objectives as well as provisional financial data for the full implementation period, submitted no later than 6 months after previous year end. This report should cover the implementation of the project in relation to its goals, objectives and against agreed indicator in result framework (see Annex.1) as well as prepared in accordance with NEA’s accounting and reporting procedures providing detailed information on the achievement of the goals and objectives set.

3) Lessons Learned Report will be prepared every 2 years as a complementary to the Annual Report. The lessons learned summarizing the project implementation issues as well as significant impact. It will also enable partners to provide feedback to the NEA process to improve the project implementation delivery.

4) Regular project finance/ variance reports will be provided on a bimonthly (if not monthly) basis to the project leader, the executive director and project manager. This will ensure we monitor “burn rates” of this small grant mechanism as much as project deliverables based on rates of expenditures.

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At the sub-project level, overall monitoring will ensure effective multi-stakeholder monitoring of activities supported through through on-site monitoring visits, review of sub-project reports, and financial expenditure tracking.

The following is expected:

1) Baseline development for all project sub-projects to include ESMP, baseline situation on tenure, livelihood, CBNRM, organisation and capacity needs of target IPLCs.

2) Development of individual sub-project monitoring plans as part of project proposal development and negotiations.

3) Intermediate and Final Reporting. Each sub-project will be required at the minimum one final report and depending on the project size and content an intermediate report. Some reports will need additional information such as attendance sheets, training reports as evidence for conduct of consultations and trainings for example. Training reports may need to show simple pre-post tests results as well. Pictorial documentations will be required of all reports as appropriate and for communications purposes. Reports will need to include achievement of expected results/outputs as well as challenges faced in achieving results/outputs and beyond the conduct/completion of activities only. It will include progress on securing tenure, livelihood and CBNRM, organizational and capacity development.

4) Monitoring visits may be conducted for select number of sub-project proponents. DGM-I staff may be complemented by other NEA staff with relevant skills, NSC members, or Advisers or consultants depending on what is being monitored.

5) Capture of information from grantees into monitoring database. Information from the proposals, reports and monitoring visits will be compiled in the Saleforce database. The M&E co-ordinator together with the Project Manager and Grants co-ordinator will develop the analysis from this data.

5.2.2. Financial Monitoring The project’s financial resources will be managed through a series of controls at various levels. Samdhana has a financial system that has been reviewed and assessed by the World Bank and found suitable for managing the DGM-I. All financial transactions are monitored, recorded, analysed and reported through in compliance with NEA’s Financial Policy. Approved project budgets and expenditures will be shared with relevant parties for transparency purposes.

Payments to the responsible parties will generally be made by NEA. Payments are made on the basis of payment schedules articulated in the contract or grant agreement. Payment schedules are linked into achievement of agreed outputs.

All partners and contractors receiving funds from the project are subject to financial monitoring by NEA. Financial monitoring includes:

• Verifying accuracy and completeness of financial information, including review of supporting documents and test of expenditure details;

• Requesting clarification or additional information as required to verify and justify expenditures; and

• Providing advice and technical assistance to grantee on measures necessary to enhance their project financial management;

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The finance unit of NEA will assess the financial reports submitted for sub-projects and consider site based monitoring or spot checks in aid of improving partner project finance management and reporting but also to monitor potential fraudulent transactions.

5.2.3. Grievance Redress Monitoring The grievance redress monitoring system will be designed to allow complaint to be tracked down and monitored. An SMS system will be set in place to provide another mechanism in addition the usual website, telephone and face to face mechanism of communicating grievances. The system will track and report on:

• Number of complaints/feedback received • Number of complaints that have reached agreement • Number of complaints that have gone to mediation • Number of complaints that have not reached agreement • It will also track the types of complaints commonly made and this could flag a systemic

challenge that may need adjustments to project implementation.

5.2. Management Information System A relational database will be used to collect, organize, and present monitoring data. NEA will customize this cloud-based information management system to the specifications and needs of the DGM-I. Users directly access the system on computer or mobile phone versions (mobile phone version works in offline mode for remote locations without consistent internet connection). The database platform has extensive capabilities to aggregate and present information entered into the database and filter this information based on location, year, and other criteria. The system has advanced security features to prevent access breaches and NEA will conduct systematic back-up procedures to ensure data security. The system will be tested out intensively for three months before the actual grant activities begin to ensure that the system can run smoothly and to troubleshoot any potential issues beforehand.

5.3. Reporting Requirements This table indicates reporting requirements in the course of the project:

Table 9. Reporting Frequency

Report Frequency Content

NEA Reports

Quarterly Monitoring Report Semester Project implementation status

Issues and mitigation

Based on the Grant Agreement NEA shall prepare the report based on monitoring and evaluation the progress of the Project and prepare Project Reports in accordance with the provisions of Section 2.06 of the Standard Conditions and on the basis of the indicators set forth in the Project

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Operations Manual. Each Project Report shall cover the period of one (1) calendar semester, and shall be furnished to the World Bank not later than one (1) month after the end of the period covered by such report

Quarterly Financial Report Quarterly Status of DGM-I fund

Based on the Grant Agreement, NEA shall uphold the following actions:

1. NEA shall ensure that a financial management system is maintained in accordance with the provisions of Section 2.07 of the Standard Conditions.

2. NEA shall ensure that interim unaudited financial reports for the Project are prepared and furnished to the World Bank not later than forty-five (45) days after the end of each calendar quarter, covering the quarter, in form and substance satisfactory to the World Bank.

3. NEA shall have its Financial Statements for the Project audited in accordance with the provisions of Section 2.07 (b) of the Standard Conditions. Each such audit of the Financial Statements shall cover the period of one (1) fiscal year of the Recipient. The audited Financial Statements for each such period shall be furnished to the World Bank not later than six (6) months after the end of such period.

Annual Reports (update to NSC and World Bank)

Annually Status of implementation, challenges, performance of CSO/CBOs, emerging risks and mitigation

Midterm Review Report 1 time at the end of the project 2nd

year.

a consolidated mid-term review report for the Project, summarizing the results of the monitoring and evaluation activities carried out from the inception of the Project in accordance with the monitoring and evaluation plan, and setting out the measures recommended to ensure the efficient completion of the Project and to further the objectives thereof.

Completion Report to World Bank (Implementation Completion and Result Report – ICR)

End of Project Effectiveness, efficiency, relevance, impacts, sustainability; replication; significant change stories and lessons learned.

NEA shall prepare the Completion Report in accordance with the provisions of Section 2.06 of the Standard Conditions. The Completion Report shall be furnished to the World Bank not later than six (6) months after the Closing Date.

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Grantee Report to NEA

Grantee Interim Financial Report Based on agreed schedule

Progress status of fund disbursement along with supporting documents

Grantee Final Financial Report End of activities Final status of fund disbursement along with supporting document

Grantee Progress Report Based on agreed schedule

Key achievements; progress against activities and outputs, communications, challenges, cross cutting issues.

Grantee Completion Report End of project Effectiveness, efficiency, relevance, impacts, sustainability; replication; significant change stories and lessons learned.

5.4. Evaluations and Audits

Evaluations Towards the end of the project the NEA will assess the extent to which working with CSO/ CBOs has strengthened the capacity of IPLCs to pursue tenure security and improvement in livelihoods. By using comparison data gathered from project commencement, as project is implemented and towards the end of the project, alongside advise from DGM-IAdvisers and the NSC on dynamics of the enabling environment, the change process could be tracked throughout the project life. Two types of evaluations will be conducted during the project life, an internal evaluation with the purpose of organizational learning (measuring effectiveness and efficiency of the project to improve the project implementation) and external evaluation conducted by independent evaluator. Both evaluations will be conducted at mid-term and towards the end of the project.

Table 10. Various Evaluations Conducted During Project Implementation

No Description Purpose Responsible

Party Timeline

1 Impact assessment Assess to what extend the programme have made improvement in the IPLC

NEA Towards the end of the project

2 Internal evaluation Assess project effectiveness and efficiency to improve project implementation

NEA & NSC Midterm & towards the end of the project

3 Project evaluation (external)

Promote transparency and assess project effectiveness and efficiency to improve project implementation; assess achievements of project’s objectives

Independent Consultants

Midterm & towards the end of the project

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Audits Internal financial audits are described in the Section 3 on Financial Management. NEA will follow its internal audit policies. For project grant monitoring internal spot audits will be undertaken by NEA Finance unit to catch early enough financial mismanagements so they can be corrected as early as possible.

Meanwhile for external audit, an Independent auditors will be contracted for the whole project on an annual basis separate from the institutional audit of NEA. Examples of grants may be included in the DGM-I project external audit. Some proponents of big project grants may also be requested to undertake external audits and this will be included in their project budget.

5.5. Communications and Outreach External communications or Outreach of this project will focus on both the promotion of the grant facility to target beneficiaries as well as other stakeholders to include but not limited to national and local governments, local and national CSOs as well as the donor community. This will also include outreach on relevant policy development on tenure, livelihood and CBNRM. These may include actions to support Component 2 of the DGM-I but also to support fundraising for DGM-I. Funds will also be allocated in each project to ensure that IPLCs on the ground are up to date on developments on policy dialogues relating to tenure, livelihoods and CBNRM. Printed materials and infographics will be produced for promotion of the DGM-I. Announcements on the call for grants will be posted in the website of DGM-I but also will use other media forms to reach out (including social media). Traditional communication tools and avenues will also be taken advantage of to promote the granting facility, stories from IPLCs, lessons learned and announcements from the NSC.

5.5.1 Human Resources for Communication There will be one full time communication personnel for the DGMI. However, communication is a task for the different personnel of the DGM-I depending on the target audience.

Communication in the DGM-I context will pertain to communication with IPLCs, CBOs and CSOs partners and the wider public and this will be on continuing basis as well as communication with the NSC and other partners in relation to strategic direction and impact of DGM-I.

The Communication personnel in coordination with Grants Team will be responsible in handling communications on project information, progress and other related matters to the general public. While the Grants Team will focus on handling communication to grantees on related to grant making procedure, the Communication Personnel will focus in handling general update/ exposure of the project as well as receiving grievances to be followed up internally within tiered level of project grievance mechanism (see Section 4.8). The communications Personnel also will be responsible for packaging information for dissemination to IPLCs, CBOs, CSOs and other audiences in Indonesia. He/she will also be responsible to communicating with counterpart communication personnel in the WB and the GEA.

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5.5.2 Communications through the NEA and NSC In addition the above, IPLCs, CSOs and CBOs are encouraged to communicate with the NSC members as well as other NEA’s staffs in regards to general project implementation or more widely to provide feedback or share information at any given time. Meetings by the NSC with their respective constituents are also projected as part of either project development, project promotions, project implementation, monitoring and/or reporting. Communications with the government, particular agencies as part of the Communications with FIP and other relevant government and donor agencies will be handled by the NEA but also through the NSC with support from the NEA. Communications or dialogues as per this project are projected as part of component 2 of this project.

5.5.3 Case Stories Sharing. Presentations or case stories from sub-projects may be shared by partners to communicate to other IPLCs and CSOs and CBOs, lessons learned, innovations and adaptations.

From the sub-project reports, NEA may wish to compile selected stories or cases on securing tenure, livelihoods and CBNRM. Similarly, stories on policy dialogues by NSC and IPLC leaders may be documented and communicated by NEA and the NSC to a wider audience in multi-media platform to include the web, blogs or publications.

A more detail Communication Plan will also be prepared within 10 weeks after recruitment of Communication Personnel) and will cover different media forms.

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6. Project Activity Implementation

6.1 Project Activities and Results The project activities are dominated by provision of grants, policy dialogues, training and non-training capacity development schemes. The grants allow for IPLC led actions as well as actions initiated by local CSOs and CBOs to benefit target IPLCs in 7 “regions” across Indonesia. Learning by doing is the key mode of capacity development through grants. But within these grants there may be training activities focused on improving the capacity to secure tenure, improve livelihoods and undertake CBNRM schemes by IPLCs.

NEA with support from the DGM-I advisers will lead on the development of capacity of NSC and selected IPLC leaders in engaging in policy dialogues at the local, national and global levels as part of Component 2. NEA will also lead in ensuring that potential grantees receive the necessary training or assistance towards effective project implementation. This includes capacity development in project development and planning, ensuring environmental and social safeguards are in place, gender sensitivity and balance is practiced, financial management capacity, assessment, monitoring and evaluation, reporting etc. NEA with advise from the DGM-I advisers will also implement activities to strengthen the NSC for effective and accountable governance of the DGM-I.

A Project Management Unit within NEA will take the lead in project activity implementation. Relevant staff of NEA will provide support as needed.

6.2 Component 1: Implementation Details Component 1 comprises of three sub-components: 1.1. Community Outreach and Mobilization, 1.2: Strengthen IPLC's Capacity to Enhance Land Tenure Security, and 1.3: Build IPLC’s Capacity to Improve Livelihoods. These component is primarily to be disbursed through small grants.

Sub-component 1.1. Community Outreach and Mobilization The grant for Sub-component 1.1. is aimed at ensuring the potential beneficiaries of the project have necessary information about opportunities and requirements for achieving tenure security and improving their livelihoods.

Implementation of Section 1.1 can be done in 2 ways. The first is as a separate stand alone awareness raising grant. The second is to integrate this activity into a project proposal coming from and as part of a bigger grant under sub-component 1.2 and 1.3.

a. The existence criteria and requirement for recognition as a community; b. Processes to obtain recognition of customary land; c. Processes to obtain clear rights to land and resources (e.g., through issuance of social forestry

permits); d. Opportunities about public and private resources for local development and processes and

requirements for accessing these funds; e. Procedures associated with existing fiscal transfer mechanisms (Dana Desa and Alokasi Dana

Desa) and how they are programmed and from other financing opportunities (e.g., REDD+, KPH financing, and so on). and

f. Responsibilities that communities would face should they pursue these opportunities.

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Project proponents could aim to for example raise awareness on specific issues. For example, it could assist communities to improve their understanding on how they could participate in benefit sharing regimes from carbon financing, payment for ecosystems services, make the most of opportunities for partnerships with KPHs, and so on. Both sets of outreach and awareness raising information will be provided in manner that is sensitive to local context and gender dimensions. It could also assist IPLCs, if necessary to access other funding windows that support the purposes of DGM-I.

The sub-grants for sub-component 1.1 is also aimed at support for the preparation of the project by the project proponents. This will include but not limited to the necessary consultations, meetings, and information sharing with the potential beneficiaries of the project. This is partly to support the preparations for project implementation necessary as well for the implementation of the environmental and social safeguards for the sub-project. The project in coordination with partner CBOs and CSOs share and disseminate the information to improve beneficiaries understanding of the opportunities and requirements for tenure security, livelihood and CBNRM. The activities that will likely to be financed meetings, workshops, project development, consultations and other actions that will ensure that IPLC beneficiaries understand and are able to make informed decision on their participation or not. In case of CSOs, this will include actions to secure FPIC from target IPLCs. .

Sub-component 1.2. Strengthen IPLC's Capacity to Enhance Land Tenure Security, This component is focused on building capacity and supporting IPLCs in advancing their interests to secure tenure using at least 5 of the available tenure instruments within government. However, this does not limit the project to exploring other innovative land tenure instruments or taking advantage of government opportunities when this is presented to IPLCs. To achieve the PDO, the competitive grants that are part of subcomponent 1.2 can be used by the recipients to obtain or provide the following type of support and conduct the following types of activities:

For IP communities that are already engaged in the mapping process is suggested to conduct the following activities:

a. Determine whether to pursue (Customary Forest) Hutan Adat status (see point 3.5 below) or to pursue recognition of communal rights (See Annex 3-5). For communities who wish to pursue Customary Forest, the Project may support through the following activities:

b. Obtain formal recognition of the adat community’s living in the Province or Distict through Provincial or Distirct Regulation (Perda)

c. Submit an official application to the MOEF and copy to Provincial or District Government d. Conduct follow up action to the MOEF by setting up team formation under Directorate General

of Forest Planning to carry out area identification and verification e. Work with the above mentioned team to clarify to the extent in which the community has

fulfilled criteria requirement (i.e.: customary rules over the area, customary structure) and that there are no other contested claims.

f. Follow up action to pursue the Ministry’s/ Provincial’s government decision on the application g. If the application is accepted, conduct follow up action to other relevant units within MOEF to

obtain declaration that the customary forest is a private forest and ensure administration process to taking out the area from the state forest.

h. Other activities that may be needed to support land tenure security.

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For communities who would like to pursue Collective Land Rights (Hak Communal), the project may support through the following activities:

a. Finalization of mapping process that they have initiated (including to the extent possible identifying land status (full or partial forest or plantation area)

b. Compile any additional evidence that would be useful for the process of applying for their existence and claims (e.g. written evidence that the land is being managed according to customary rules, written evidence of organizational structure)

c. Prepare the application to the Governor or District Head d. Support follow up action to the Governor or District Head to ensure that a team (Tim IP4T) is

formed in timely manner and propose the Customary Leader that may be participate in the team.

e. Support follow up action to the Tim IP4T to ensure timely conclusion of the identification and verification process.

f. Support follow up action to other government agencies needed to ensure the issuance of Collective Land Rights.

g. Support other actions needed to facilitate the securing of Collective Land Rights

For local communities that has been formally recognized through Sub-national Regulation and interested in obtaining permits for Social Forestry (see MOEF Decree No P. 83/2016), the project may support to carry out the following steps:

a. Review the areas that are being considered for social forestry by reviewing the online database of Social Forestry Indicative Map (Peta Indikatif Perhutanan Sosial – PIAPS) which have been revised by MOEF every six months (as regulated by MOEF Decree No.22 Year 2017).

b. Submit an official application to MOEF or to MOEF together with Provincial or District Government.

c. Support evidence and other necessary requirement compilation to fulfil required criteria to be eligible for Social Forestry Permit of the MOEF

d. Support follow up action to other government agencies needed to ensure the permit issuance. e. Support other actions needed to facilitate the permit issuance.

Table 11. Social Forestry (Community Based Forest Management – CBFM) Schemes Available through the Ministry of Environment and Forestry (MOEF Decree No. P. 83/ 2016)

Social Forestry Scheme

Subject Object Utilization Requirements

1. Customary Forest - Hutan Desa (HD) see Annex 3

Village governance

Village cooperative

Village owned company

On the Protected Forest

Area Utilization

Environmental Services

Utilization of Forest Product Non-timber

On the Production Forest

Area utilization

Environmental Service

Utilization of forest timber product implemented based on approved Customary Forest Management Plan

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Utilization of Forest Product (timber & non-timber)

2. Community Forest - Hutan Kemasyarakatan (HKm)

Local communities

Combined Forest – Farmers Group

Cooperative

On the Protected Forest

Area Utilization

Environmental Services

Utilization of Forest Product Non-timber

On the Production Forest

Area utilization

Environmental Service

Utilization of Forest Product (timber & non-timber)

Utilization of forest timber product implemented based on approved business plan

3. Community Forest Plantation - Hutan Tanaman Rakyat (HTR)

Individuals

Forest Farmer Group

Forest Farmer Cooperative

Village mentor

On the Production Forest

Utilization of forest timber from Community Forest Plantation and old grove

Utilization of forest timber product implemented based on approved business plan

4. Local Partnership - Kemitraan Kehutanan

Local Community On the Protected Forest

Utilization of forest product non timber

Environmental service

Draft of Cooperation Agreement

On the Production Forest

Utilization of forest product (timber & non-timber)

Environmental service

Draft of Cooperation Agreement

5. Privately Owned Community Forest - Hutan Adat (HA)

Indigenous People On the Protected Forest

Utilization of forest product non timber

Environmental service

Not allowed to alter forest utilization

Will use traditional tools

On the Conservation Forest

Utilization of forest product non timber

Environmental service

On the Production Forest

Utilization of forest product (timber & non-timber)

Environmental service

6. Privately-owned forests by individuals - Hutan Rakyat (HR)

Local Communities Non State Forest Areas (APL)

Timber and Non Timber Production

Evidence of land ownership to get access for loan and capacity building

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Process to register the Private Forest as Forest Area according to Ministry of Agrarian and Spatial Planning Decree No. 32/ 2014

By supporting the above major activities, the project is designed to achieve the following changes:

• IPLCs awareness on tenure processes increased • Quality of women’s participation in decision making improved • NSC capacity as IPLC representative and to negotiate is increased and strengthened

For IPLC who wants to obtain their rights through Village Autonomy Law (Law No 6/ 2014) the project could support the following activities (based on the Ministry of Home Affair Decree no 1/2017 on Village Set Up, the process to establish Adat Village (Desa Adat)):

• Activities to support application to transform Ordinary village to Adat Village. The merging or separating Adat Village from Ordinary Village should be done from local initiatives at the village level. The application sent to the District Government in a form of process verbal attach with application letter signed by the village head.

• Activities to support application review process and its follow up to the District Government (including verification process).

• Activities to support the preparation of District/ Provincial Regulation (Perda). • Inauguration of the Adat Village. The adat village head originated from the adat village will be

inaugurated by the district head/Bupati, and received the same status as ordinary village head, and the adat village received the same same status with the ordinary village. The structure of the adat village will follow the adat structure which stated in the District Regulation.

• Activities to support socialization for the District Regulation. The District Regulation should regulates at least : the set up of the Adat Village, jurisdiction of adat village, innaguration and cancelation of adat village head, the organizational structure of the adat village and its scope and working relations, establishment of consensus building (musyawarah), adat village regulations, and the management of the adat village assets.

Sub-component 1.3. Build IPLC’s Capacity to Improve Livelihoods. Indigenous Peoples and Local Communities, that are the target beneficiaries of the DGM-I, may propose actions that will support their attempts to develop livelihood options. CSOs may also work with IPLCs for proposals that will focus on improving livelihood opportunities for IPLCs. These livelihood options could include but not limited to the following:

a) Research, planning and development of livelihood options to benefit particular communities; b) Purchase of seeds, plants and other materials for the purpose of generating income and

subsistence for target IPLCs; c) Purchase of equipment and small infrastructures that are needed for livelihood activities; d) Trainings for livelihood activities; e) Product development, packaging and support to develop and access markets;

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f) Promotions and other marketing actions; g) Support for licensing, permits and other legal requirements to improve livelihoods of IPLCs h) Other livelihood options and actions to sustain livelihood actions.

Consideration will be taken to make sure that the environmental and social impact of these proposals are addressed as part of the proposal. These proposals will ensure equitable and just benefit sharing for IPLCs and prevent elite capture as part of its objectives.

All these sub-projects will be reviewed to make sure that they do not discriminate rather they provide the same opportunities for men, women and youth. Livelihood opportunities lead by women will be encouraged. At least 14 longer term projects are targeted for the 7 regions represented in the DGM-I. These projects are intended to be addressing the combination of tenure and livelihood or CBNRM initiatives.

6.3. Component 2: Implementation Details This component will focus on strengthening the capacity of NSC and IPLC’s representatives to engage in policy processes related to REDD+, forest resource management, secure land tenure and improving IPLC’s livelihoods. Advise from the DGM-I advisers will be sought to identify priority opportunities for policy dialogue every semester and plan out how the NSC members and the selected IPLC leaders can best engage in this opportunities. Administered by the NEA, the funding provided by this subcomponent will cover the cost of the following major activities:

a. Dialogues (including mobilizing support among different stakeholders), cross learning, preparing training materials or packaging information;

b. Development of training materials to build the skills of current and future NSC members from strategic planning, to situation analysis, to leadership development, to policy development and other knowledge and skill sets effectively represent issues. i.e. obtaining information on priority concerns and presenting these issues in a manner that is compelling to decision makers, building networks, alliances and partnerships with government, donors, other associations and those who may not seem to be conventional allies (based on principles of constructive engagement), and engaging in relevant policy processes;

c. Assist the NSC and its networks to identify which of the development processes affect their lives significantly and develop a strategic way of influencing the processes;

d. Assist the NSC and IPLC leaders in strengthening national networks and institutional development of indigenous peoples and local communities around Indonesia towards effective engagement in policy dialogues; and

e. Assist the NSC in reviewing and developing an effective and accountable governance mechanism for the NSC

The selection of new NSC members will follow a participatory process of selection facilitated by the DKN and to be funded through this component. A governance manual including an updated terms of reference for each NSC member will be completed by the NEA with advise from the DGMI Advisers and final concurrence of the current NSC members. Meanwhile, the selection of IPLC leaders to receive capacity building will be based on proposals from the NSC, DGM-I advisers and other relevant agencies or discussions. NEA will compile the nominations

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and the final list endorsed by the DGM-I advisers and approved by the NSC. The decision for selection is based on IPLC leaders relevant background and/ or the usefulness of the training subject to the IPLC leaders’ community. After receiving training/ capacity building, the IPLC leaders expected to apply the knowledge to their community or in policy dialogues at the local, national or global levels. .

6.4. Coordination between Components 1 and 2 The project takes careful consideration of the linkages between Component 1 and 2. In the stage of proposal review and selection, the capacity of NSC in defining and using the eligibility criteria under Component 2 will determine the quality of project activities supported under Component 1. Likewise, the capacity of partners and IPLCs to withdraw evidences and lessons learned of the project activities supported under Component 1 will determine the quality of policy influencing processes by the NSC.

All activities under Component 2 are designed to strengthen project sustainability at beneficiary level supported under Component 1. The Component 2 will focus on building capacity of NSC and IPLCs to claim their civil and economic rights in a manner that is socially and locally sound. This will include a guided peer learning such as cross visits where the IPLCs determine their capacity requirement to claim their rights and identify their peers to learn from the meeting with stakeholders and constituents as well as participation on policy dialogues.

The DGM-I Project Management Unit of NEA will have regular meetings and the timings of implementation of actions in component 1 and 2 will be coordinated during those meetings. Similarly, the advisers meetings will follow the logical flow of actions and their inputs optimized for guiding implementation of Component 1 and 2. For the initial year, the advisers and NEA’s own policy support and capacity development programmes will play a critical role in informing Component 2. Lessons learned from component 1 will be compiled when the first reports start coming in from the sub-grantees. This will be augmented by information from results from project monitoring. Partners’ meetings will be organized by NEA to facilitate learning and lessons sharing from the second year of the project implementation and yearly after this. In addition, the lessons from Component 1 will be shared and derived from sub-grantees during the partners’ meetings and then these could inform the implementation Component 2 and vice versa. Tenure issues may be addressed better if IPLC leaders have better understanding of the policy environment, policy opportunities and policy developments at national and local leaders. NEA is part of a coalition of organisations in Indonesia focusing on IPLC issues and in particular securing tenure of IPLCs. In the second semester of 2017, a national tenure conference is to be hosted by the Ministry of Environment and Forests. This will be the first opportunity for NSC and IPLC leaders to engage at the national level on policy dialogues addressing the progress of implementation of the commitments made in another conference held in Lombok 6 years ago. Similar opportunities may arise in the future at the national and local levels and NEA will make sure that the DGM-I is informed and able to maximize this opportunities for more effective project implementation. There will also be regular meetings to include the DGM-I PMU and the NEA’s other programmes for policy support, capacity development and sustainable land and seascapes to ensure that this exchange happens and DGM-I fully benefits from the experience, strength, network and engagements of NEA.

6.5. Component 3: Project Management As agreed in the Project Appraisal Document, this component will finance assistance to the subgrantee to comply with World Bank fiduciary and safeguard policies. The component also include providing guidance to subgrantees that have not received such support before and ensuring that all interested

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parties are familiar with the project requirements and guidelines (including providing training and mentoring to comply with World Bank requirements). An overall training on financial reporting and management will be provided to familiarize subgrantee to the administration requirement as well as regular hands on technical assistance from the Project Team.

This component will also support the design and implementation of strategy for the continued communication (exchange) between NSC and the people it represents and ensure there is adequate knowledge management within NEA. The strategy implementation will assist the NSC to champion the interests and views of their constituents and build the authority of the NSC among other stakeholders. This strategy will address how the NSC members will solicit views and interests of their constituents and how the NSC will report back to these stakeholders on the advancements in addressing the identified issues. Assisted by Communication Personnel of NEA, the NSC member will conduct regular socialization on DGMI to their constituents and will build up an effective way to capture the NSC constituents view/ interest including conducting a necessary follow up as needed.

Lastly, this component will finance the cost of monitoring compliance with safeguards, monitoring and evaluation, financial management, procurement, safeguard, communication/ knowledge managent and the project grant management team. The team will ensure the quality of overall project management through thorough supervision of the project implementation including monitor management of grievance redress mechanism as well as identifying and sharing lessons learned to the relevant parties.

Project Management and Secretariat to the NSC

The DGM-I Project Management Unit will lead the project management for this project on behalf of NEA. The project leader and project manager will regularly report to NEA Senior Management Team as part of NEAs responsibilities to make sure the DGM-I fully benefits from the experience of NEA, its network and partners. Regular updates on grievances will form part of the agenda for these meetings. NEA conducts an annual assessment and planning session and the DGM-I will follow a similar pattern. However, the project management unit will conduct regular project team meetings as well to make sure that project implementation is progressing. This will include following the progress of each component of the project.

Call for proposals will be made on annual basis unless otherwise decided by the NSC. The call for proposals will request for concept papers initially. Full proposals will be welcome but will wait for the rest of the full proposals to be tabled for review and decision by the NSC. The PMU with support from NEA management team will identify a pool of DGM-I advisers and contract them to provide relevant advise for project implementation. These advisers can also help review concept papers and proposals prior to final selection process by the NSC. The NSC will be equipped to enable them to undertake review of concepts and proposals and perform their other responsibilities. The PMU that each NSC is able to participate and contribute to the decision making process not only through face to face meetings but through remote communications as well.

An Annual Work Plan (AWP) developed by NEA will be presented to NSC every year. It comprises detail activities to be implemented throughout the year and equipped with available budget. NSC is expected to approve the plan prior its execution. The AWP will also need to receive the no objection from the World Bank prior to its execution

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An annual face to face meeting of the NSC will be coordinated in addition to the project proposal review meetings to make sure that the NSC is updated on progress and challenges the DGM-I implementation is facing and the status of project disbursement. This also allows for involvement of the NSC in an annual evaluation of the project and will give NSC general knowledge of project financial status. General information obtain from this meeting can be shared to the constituents when the NSC member address them to update the project implementation status.

Monitoring and Evaluation

The monitoring and evaluation is described in Section 5 of this document. The overall objective of this project is therefore to build capacity and capabilities of IPLCs to secure tenure, improve their livelihoods and community based natural resource management efforts. It will be important to establish the baselines for each sub-projects so we can determine if we are moving IPLCs beneficiaries towards or closer to their objective of having secured tenure and access to resources.

Finance Management

Financial Management is described in Section 3 of this document. Graft and corruption will not tolerated in the implementation of the DGM-I. Potential situations will be investigated and addressed promptly with appropriate and suitable remedies. Support will be provided by NEA Finance Team to the PMU as well as to prospective sub-project proponents.

Networking, Policy Support and Fundraising

Project development and fund raising for potential complementary funding for DGM-I may also be undertaken by the NEA as part of its support for the NSC. Fundraising opportunities may be explored together with the NSC. This project will take advantage of the network of partners that NEA has built across Indonesia and South East Asia these past 12 years. Of particular importance would be the network of NEA on policy research, development and engagement on IPLC tenure and livelihood related issues. Similarly, poverty alleviation takes more than just a small grant to lift communities from this situation. With this project we are providing some opportunities for IPLCs that they would not otherwise have to improving their livelihoods. However, success in livelihood activities again does not lie entirely in the hands of IPLCs. They will need to be dealing with bureaucracies, markets and other challenges. The aim then of the project is primarily to build capacity and capability of IPLCs. Linking them to other organisations, local governments, markets and other players related to their journey to secure tenure and access to resources is part of the function of the NEA.

Ensuring flexibility and accountability

Flexibility, timeliness and appropriateness has been the hallmark of Samdhana’s small grant making. Securing tenure is a long term process and small grants only provide support to IPLCs at certain points and time in this long term aspiration of IPLCs to secure their rights and have access to resources. Issuance of tenure or permits are the government of Indonesia’s responsibility at different levels of government. This is not within the control of the project but we can support IPLCs and CSOs to influence these processes.

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Annex 1. Results Framework

Project Development Objectives

PDO Statement

To improve participating indigenous people and local communities’ (IPLCs) capacity to engage in tenure security processes and livelihood opportunities from sustainable management of forest and land

These results are at Project Level

Project Development Objective Indicators

Cumulative Target Values

Indicator Name Baseline YR1 YR2 YR3 YR4 YR5 YR6 YR7 YR8 YR9 End Target

1. Participating IPLCs submit evidence for recognition of tenure to the government.

(Number)

0.00 0.00 10.00 20.00 30.00 30.00

2. Participants in the capacity development activities with increased role in the FIP and other REDD + processes at local, national or global levels (Percentage)

0.00 60.00 70.00 75.00 75.00 75.00

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3. DGM Program participants who benefit (monetary or non-monetary) from livelihood only grant activities, disaggregated by gender (Number).

0.00 0.00 300.00 550.00 700.00 700.00

DGM Program participants who benefit (monetary or non-monetary) from livelihood only grant activities - female

( - Sub-Type: Breakdown)

0.00 0.00 100.00 165.00 210.00 210.00

.

Intermediate Results Indicators

Cumulative Target Values

Indicator Name Baseline YR1 YR2 YR3 YR4 YR5 YR6 YR7 YR8 YR9 End Target

1.1 Participating IPLCs aware of tenure processes/map validation processes at the local level (Percentage)

0.00 60.00 60.00 60.00 60.00 60.00

1.2. Participants in consultation activities during project implementation

(Number) - (Core)

0.00 2400.00 3500.00 4500.00 4500.00 4500.00

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Participants in consultation activities during project implementation - female

(Number - Sub-Type: Breakdown) - (Core)

0.00 720.00 1050.00 1350.00 1350.00 1350.00

1.3 Number of community investment plans developed in participatory manner

(Number)

0.00 5.00 10.00 20.00 20.00 20.00

2.1. Participating IPLCs who share lessons/experience from the project in regional/national policy dialogues on FIP and other REDD+ processes (Number)

0 0 20 40 60 60

3.1. Grievances registered related to delivery of project benefits addressed (%)

(Percentage) - (Core)

0.00 50.00 60.00 70.00 70.00 70.00

.

Indicator Description

Indicator Name Description (indicator definition etc.) Frequency Data Source / Methodology Responsibility

for Data Collection

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1. Participating IPLCs submit evidence for recognition of tenure to the government (number).

IPLCs who have submitted evidence for recognition of tenure to the government. The term “evidence” will include evidence for recognition of legal personality which includes evidence of territory, adat rule and institutions. For recognition of rights, evidence will constitute the application which includes a community map. For forest permits evidence will include compiled information such as: (a) a list of candidate names local community group members in HKm known by the village chief / headman; (b) general description of areas, among others, the physical state of the region, the social economy, and potential areas; and (c) a map of the proposed location at least a scale of 1: 50,000 in the form of written documents and electronic copies in the form of a shape file.

Yearly Project Management Information System; related documentations collected by CSOs (e.g. copies of maps; registration receipts, etc); monitoring/ supervision data from CSOs, AMAN, and Pemda

NEA

2. Participants in the capacity development activities with increased role in the FIP and other REDD + processes at local, national or global levels (%)

Number of participants who were provided with capacity building to augment the role of IPLC in FIP and other REDD+ processes as a percentage of the total number of participants who benefited from capacity building.

Yearly Documentation/report from NSC/CSOs on participant (number); ex-post survey by NEA

NEA and NSC

3. DGM Program participants who benefit (monetary or non-monetary) from livelihood only grant activities, disaggregated by gender (number).

Reflects number of participants who are benefiting from grants for subprojects hat only focus on livelihood activities (so not the grants combining tenure security and livelihood activities). It is estimated that 30% of participants are female. Total number of grants for subprojects on livelihood only is expected to be 16.

Yearly Beneficiaries data by facilitators

Survey using phone call/text message by independent consultant to cross check. More comprehensive survey by independent firm will be conducted if external funding can be secured

NEA

DGM Program participants who benefit (monetary or non-monetary) from livelihood only grant activities - female

Reflects number of female participants who are benefiting from grants that only focus on livelihood activities (so not the grants combining tenure security and livelihood activities). Total number of grants for livelihood only is expected to be 16.

Yearly Beneficiaries data by facilitators

Survey using phone call/text message by independent consultant to cross check. More comprehensive survey by

NEA

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independent firm will be conducted if external funding can be secured

Intermediate Results Indicators

Indicator Name Description (indicator definition etc.) Frequency Data Source / Methodology Responsibility

for Data Collection

1.1 Participating IPLCs aware of tenure processes/map validation processes at the local level (percentage).

Measurement only for IPLCs who attended the socialization. Yearly Pre/post-test from CSO/IPLC. NEA

1.2 Participants in consultation activities during project implementation (number)

This indicator measures the level of community engagement in project implementation.

Yearly Monitoring data by CSO/IPLC; attendance list from the forum

NEA

Participants in consultation activities during project implementation - female

This indicator measures the level of women’s engagement in project implementation.

Yearly Monitoring data by CSO/IPLC; attendance list from the forum

NEA

1.3 Number of community investment plans developed in participatory manner

This indicator measures primarily investment plans related to livelihood opportunities that contribute to sustainable management of forests and lands

Yearly Monitoring data by CSO/IPLC; documentation of investment plans with minutes of meetings from the forum

NEA

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2.1. Participating IPLCs who share lessons/experience from the project in regional/national policy dialogues on FIP and other REDD+ processes (Number)

This indicator measures capacity of participating IPLCs in expressing and advocating their concerns in FIP and other REDD+ policy dialogues as results of trainings provided by the DGM-I.

Yearly Relevant documentations from policy dialogue events such as speaker notes/PPT; minutes of meeting (including agenda and attendance list); video/audio recording of the meetings/events

NEA and NSC

3.1 Grievances registered related to delivery of project benefits addressed (%)

This indicator measures the transparency and accountability mechanisms established by the project so the target beneficiaries have trust in the process and are willing to participate, and feel that their grievances are attended to promptly.

It is understood that local sensitivities and tensions will not allow grievance or redress mechanisms to be established in all projects.

Yearly Management Information System data NEA

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Annex 2 – ESMF Environmental and Social Management Framework

Attached on separate document.

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Annex 3 – Term of References for DGM-I Personnel

DGM-I Project Leader

Role:

DGM-I Project Leader

Report to:

Executive Director

Overall Purpose of the Position:

1. To provide guidance on the project's overall strategies and ensure the project complements the overall Samdhana structure/programmes and vice versa;

2. To act as the focal point for the WB and the NSC and ensure Samdhana delivers project objectives by ensuring the support needs of the project are provided in a timely and most cost effective and efficient way.

Responsibilities:

INTERNAL

a. Oversee overall direction of the DGM-I project and monitor project progress; b. Support the Project Manager on strategic issues and conflict resolution as needed to

deliver project objectives in a transparent, efficient and effective manner; c. Ensure effective and efficient co-ordination and complementation of the DGM-I project

with other Samdhana initiatives/projects and vice versa; d. Perform delegated functions from the Executive Director as needed related with GDMI

Project; e. Monitor and evaluate DGM-I project grants manager and other relevant HR practices as

needed; f. Ensure regular updates are provided to the ED and the Management team of Samdhana

Institute (including all programming, financial and administrative matters);

EXTERNAL

a. Represent Samdhana as NEA to Donors and Partners and other legal entities as delegated by the Executive Director;

b. Act as focal person for the WB in behalf of Samdhana Institute and ensure regular updates are provided to the ED and the Management team of Samdhana Institute (including all programming, financial and administrative matters);

c. Establish and maintain relationships and act as the key focal point of the Project to the NSC members and the relevant government agencies;

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d. Ensure effective communication and good co-ordination with Global Executing Agency related with DGM-I Project;

e. Monitor and support NSC in the handling of grievances and complaints received

Working Relationships:

Internal : Executive Director, Head of Unit, Project Manager, Finance Manager, Administrative Assistant

External : Partners, NSC

Qualifications :

Education:

Post graduate degree or equivalent working experience preferably with 10 or more years of progressive management experience in a voluntary sector organization;

Experiences:

Over 10 years of knowledge and work on overall policy development environment in Indonesia relating to tenure, livelihoods and/or CBNRM;

Knowledge, Skills, Abilities and Attitude:

a. Knowledge of current community challenges and opportunities relating to the vision and mission of the Samdhana Instutute and DGM-I;

b. Knowledge of human resources management preferred; c. Knowledge and experience of budget management; d. Knowledge and experience of project management; e. Good oral and written English and Bahasa Indonesian required ;

Other:

Type of employment, Part Time

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DGM-I Project Manager

Role:

DGM-I Project Manager

Report to:

DGM-I Project Leader

Overall Purpose of the Position:

1. To take responsibility for overall day to day management of the DGM-I project and the DGM-I staff;

2. To ensure that the proposals and sub-grants are dealt with in a fair and timely manner; 3. Ensure that Project guidelines and processes are followed.

Responsibilities:

a. Manage, develop and deliver DGM-I project to ensure that the expected objectives and deliverables of the project are achieved;

b. To ensure that grants review and selection process is followed in a manner that is responsible, professional, fair, financially sound, participatory, sensitive to IPLC needs and in accordance with Samdhana policies and procedures;

c. Ensure that the Grants Making process is efficient and effective in identifying the right grantees, releasing timely and appropriate grants and monitoring use of the grants by the grantees;

d. Plan: Determine strategies to move the Project forward, create and implement actions plans, and evaluate the process and results;

e. Organize: Set priorities, develop a work schedule, monitor progress towards goals, and track details, data, information and activities;

f. Make Decisions: Assess situations to determine the importance, urgency and risks, and make clear decisions which are timely and in the best interests of the project;

g. Solve Problems: Assess problem situations to identify causes, gather and process relevant information, generate possible solutions, and make recommendations and/or resolve the problem;

h. Undertake all relevant HR functions together with the DGM-I Project Leader, ED and relevant unit heads;

i. Keep Samdhana management informed of the project progress, challenges and feedback on a regular basis and if and when management decisions are needed for project implementation;

j. Regularly reports directly to the DGM-I Project Leader, Executive Director (ED) of Samdhana Institute (NEA) and to the NSC in behalf of the NEA;

k. Support the NSC in the performance of its role and responsibilities by acting as the Secretariat of the NSC;

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l. Ensure effective and efficient flow of communications between and among the NEA, the NSC and the WB;

m. Focus on IPLC Needs: Anticipate, understand, and respond to the needs of IPLC to meet or exceed their need: Positively influence others to achieve results that are in the best interest of the project;

n. Facilitate development of capacities of NSC members in relation to grants making, project development and management, project review and monitoring and other gaps that may be identified;

o. Develop capacities of grantees to help them develop proposals and implement their projects;

p. Ensure that M&E system is working and that project progress is communicated to stakeholders.

Working Relationships:

Internal : Project Leader, Finance Manager, ESMF/Gender Advisor, DGM-I Advisor, Samdhana Consultant, Capacity Dev Coordinator, Grants Coordinator, M&E Coordinator, Administrative Assistant

External : Partners, NSC

Qualifications :

Education:

Graduate degree required and post graduate preferred;

Experiences:

At least 4-5 years actual knowledge and experience in grant making in Indonesia; Experience in working on project management for at least 4 years; Have work progressively within development sector in Indonesia for at least 7 years; Knowledge. Skills, Abilities and Attitude:

a. Knowledge of human resources management preferred; b. Knowledge and experience of project management including planning and budget

management; c. Knowledge and experience in grants monitoring and capacity development of CSOs and IPLCs; d. Knowledge of current community challenges and opportunities relating to grant making; e. Good inter-personal skills and attitude; f. Good oral and written English and Bahasa Indonesian Languages required; g. Willing to travel for extended periods of time outside of Jakarta and Bogor

Other:

Type of employment, Full Time – specifiy for one year with opportunity for renewal based on performance (please enter this into the terms for all the TOR)

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Project Grant Coordinator

Role:

DGM-I Grants Coordinator

Report to:

HEAD, Grants for Tenure, Livelihood & Communty Based Natural Resource Management (TLC) Unit

Overall Purpose of the Position:

Manages the process of giving grants from various donors ensuring that grantees are qualified, their projects are aligned to the purpose of the donor and supports the strategies of Samdhana in a manner that is fair, efficient, effective, financially sound and sensitive to Indigenous People/Local Community (IPLC).

Responsibilities:

Management of Donation intended for Grants

a. Coordinates with Donor on the requirements of the donation and the details of the agreement;

b. Ensures the projects supported by the donation conforms with the Donor’s requirements; c. To ensure that the grants review and selection process in a manner that is responsible,

professional, fair, financially sound, participatory, sensitive to IPLC needs, in accordance with Samdhana policies and procedures;

d. Assist the project proponents (IPLCs) in project development and preparation with assistance from the Finance Unit and Capacity Development Unit;

e. Follow Samdhana’s general Standard Operating Procedures (SOPs) for Grants Making process from call for concept notes, assessment of proponents, receipt of proposals review, approval, contracting, monitoring, reporting, grant project assessment and analysis;

f. Communicate and co-ordinate with project proponents as needed; g. Ensure that grants are disbursed and received by the grantees in a timely manner and as per

the contract any other requirements are received by the grantees;

Monitoring and Evaluation

a. Regularly monitors progress of the grantees and reports to Head, Grants for TLC Unit; b. Monitors and evaluates the impact of the grants on the grantees; c. Coordinates closely with the Project Development, Monitoring, Evaluation and

Communications Unit to ensure regular monitoring, assessment and analysis of the grants and the project and ensure project progress is communicated to stakeholders.

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Coordination

a. Closely coordinate with Capacity Development Unit regarding addressing the capacity needs of the grantees;

b. Closely coordinate with the Land and Seascapes Unit regarding areas of the units site projects where small grants can support;

c. Closely coordinate with the Policy, Advocacy Unit regarding issues, concerns, proposals drawn from small grants assessments and analysis;

d. Closely coordinate with the Project Development, Monitoring, Evaluation and Communications Unit to provide assistance and inputs from small grants learnings when developing projects to raise funds;

e. Closely coordinate with the Partner Development and Fellows Unit to provide inputs in the process of developing partners;

f. Closely coordinate with the Finance, Human Resources and Administrative regarding the support requirements of the grants making process.

Finance, HR and Admin

a. Perform HR functions of a unit head such as guiding, mentoring and evaluating the units staff; b. Ensure that staff of the unit follows the HR, Finance and Administrative policies and procedures.

Others

Perform other tasks and functions assigned by the Deputy Executive Director (DED) and Executive Director (ED)

Working Relationships:

Internal: All Units of the organization

External: Grantees, Donors, Advisers

Qualifications:

Education:

University degree or equivalent working experience preferred;

Experience:

a. 10 or more years of progressive management experience in a voluntary sector organization b. With at least 5-7 years of experience in relevant environment and development work and if

possible grants facilitation or project development or management c. Knowledge and experience of budget management; Extensive experience in technical support

work preferably in an development organization

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Knowledge, Skills, Abilities and Attitude:

a. Understanding of IPO or CBO and Civil society organizations and the field of participatory governance;

b. Focus on IPLC Needs: Anticipate, understand, and respond to the needs of IPLC to meet or exceed their expectations within the project parameters;

c. Communicates Effectively: Speaks, listens and writes in a clear, thorough and timely manner using appropriate and effective communication tools and techniques.

Other:

Type of Employment, Full time

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Capacity Development Coordinator/ ESMF Focal Point

Role:

DGM-I Capacity Development Coordinator

Report to:

DGM-I Project Manager

Overall Purpose of the Position:

1. To co-ordinate the capacity development actions related to the DGM-I project and ensure that the grantees, advisers and NSC are fully aware of the DGM-I project grant requirements;

2. Ensure that the grantees are fully aware of the DGM-I project grant requirements.

Responsibilities:

a. Assess the capacities of Grantees and NSC members and develop training and capacity development programs in coordination with Finance Manager, Grants Coordinator and M&E Coordinator;

b. Develop capacity development plan for NSC Members and monitor progress against it, to cover: 1.Strengthening NSC leadership knowledge and skills; 2.Knowledge on Tenure Security process and Livelihood activities; 3.Skills in assessing concept notes and proposals; 4.Skills in selection of consultants, specialists, and trainers; 5.Other knowledge and skills as NSC member.

c. Develop capacity development plan for Grantees and monitor progress against it, to cover: 1.Strengthening IPLC leadership knowledge and skills; 2.Knowledge on Tenure Security process and Livelihood activities; 3.Skills in selection of consultants, specialists and trainers; 4. Skills in development of training modules, capacity building track records, and design of training plan; 5. Other knowledge and skills as NSC member.

d. Develop plan in creating an enabling environment for project implementation at national, local and community levels in coordination with the Policy Support, Linkages and Advocacy Unit;

e. Coordinates implementation of trainings and communication interventions under all the components of the project;

f. Ensure adequate visibility of the project activities and achievements considering IPLCs needs, prevention targets of DGM-I Project requirements;

g. Ensure timely submission of all the reports under Strengthening and capacity building as required by the DGM-I Project;

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h. Provide recommendations for further improvement of the overall course of implementation for the IPLC organizations and CSO that take part in the implementation of DGM-I Project;

i. Ensure effective implementation of the activities of grantees within Strengthening of Tenure Security and livelihoods;

j. Coordinates with the M&E Coordinator and the Communications Coordinator to ensure regular monitoring, assessment and analysis of the capacity development plan/implementation of the project and ensure project progress is communicated to stakeholders.

k. Perform other tasks assigned by Line Manager

Working Relationships:

Internal : Project Manager, Monitoring and Evaluation Coordinator, Grants Coordinator

External : Partners, NSC

Qualifications :

Education:

S1 with at least 5-7 years of experience in relevant environment and development work and if possible grants facilitation or project development or management

Experiences:

a. Facilitating and encouraging open communication in the team, communicating effectively; has excellent oral communication skills and conflict resolution competency to manage inter-group dynamics and mediate conflicting interests of varied actors;

b. Maturity and confidence in dealing with IPLC Leader and NSC members; c. Promotes a knowledge sharing and learning culture in the team through leadership and personal

example;

Knowledge, Skills, Abilities and Attitude:

a. Leadership and Self-Management; b. Focus on result and responds positively to feedback; c. Demonstrates good oral and written communication skills.

Other:

Type of employment, Full Time

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Project Administrative Assistant

Role:

DGM-I Administrative Assistant

Report to:

DGM-I Project Leader

Overall Purpose of the Position:

1. To provide administrative assistance in general project implementation 2. To manage day-to-day liaison with grantees/partners. 3. To provide comprehensive secretariat and administrative support to the DGM-I Project

Manager, including taking of minutes, making travel arrangements, conduct simple procurement and related tasks.

Responsibilities:

a. Provide assistance to the project team in terms of logistics and administrative matters; b. Support the project team in organising meetings, events and other activities by the project;

Prepare minutes of project meetings. Prepare all documentation of project meeting. c. Provide support in terms of travel arrangements; asset documentation and monitoring in

coordination with the Finance Officer handling NEA's Asset Management; d. Support the NSC members and project management team particularly but not limited to travel

arrangements and financial procedures compliance; e. Provide administrative support to the NSC meetings as needed; f. Provide logistics and administrative support for meetings, events and other project activities at

field level as requested; g. Co-ordinate compliance of project with Samdhana finance, human resources and

administrative processes. h. Perform other responsibilities and tasks assigned by the Project Manager as needed for project

implementation and compliance with the NEAs and WB’s standard Financial, administrative and legal requirements.

i. Be responsible for day-to-day project correspondence, information sharing and filing ensuring that appropriate follow-up actions are taken. Assist in preparing evaluation reports, annual project reports, and update projects files.

j. Responsible for the administrative part of preparing grant contracts approved by the NSC; k. Prepare and secure the contracts for human resources/service providers needed for project

implementation. l. Perform other tasks assigned by Line Manager

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Working Relationships:

Internal : Project Leader, Finance Team, Project Manager, Samdhana – Head, HR&A

External : NSC, World Bank

Qualifications:

Education:

Minimum of a bachelor’s degree in related field;

Experiences:

a. Minimum 2-3 (two-three) years of work experience in programme development. b. Demonstrated experience in writing project proposal c. Cross-sectoral knowledge and exposure towards multi-sectoral issues in development

cooperation sector is considered s an advantage. d. Demonstrated experience working with local governments, IPO, CBO and CSO

Knowledge, Skills, Abilities and Attitude:

a. Excellent communication and writing skills (Indonesia and English). b. Experience in working in an international environment, respecting different cultures and

nationalities. c. Experience conducting simple procurement process to support project activities. d. Shows patience and persistence, and ability to identify strategic issues, risks, and opportunities

for developing and enhancing projects/ programmes. e. Advanced MS office skills. f. Honest, trustworthy and demonstrates sound work ethics. g. Ability to quickly establish professional rapport with colleagues and other persons. h. Ability to work under pressure and to deadlines required. i. Positive work ethic with a willingness to learn.

Other:

Type of Employment, Full time

99

Monitoring and Evaluation Coordinator

Role:

DGM-I Monitoring and Evaluation Coordinator

Report to:

DGM-I Project Manager

Overall Purpose of the Position:

To coordinate all the monitoring and evaluation activities as well as database management of the project.

Responsibilities:

a. Manage the project monitoring and evaluation system following the NEA’s M&E system; b. Ensure that necessary data/information/reports required to generate project reports to

stakeholders are appropriately provided accurately and on time; c. Co-ordinate reports on M&E to the PMU/NEA as well as the NSC and the World Bank as

needed; d. Manage the conduct of the impact analysis of the grants and extracting lessons learned; e. Coordinate with the Communication Coordinator in updating the NEA website and other

communication media forms as needed; f. Coordinate with the Communications Coordinator in monitoring the grievances received; g. Co-ordinate monitoring visits/missions by the NSC members and NEA staff as needed and

in consultation with the Project Grants Coordinator; h. Co-ordinate external monitoring from the NEA’s and/or consultants as needed and in

consultation with the Project Grants Manager;

Working Relationships:

Internal : Project Manager, Monitoring and Evaluation Coordinator, Grants Coordinator

External : Partners, NSC

Qualifications :

100

Education

A university degree in a related field. A postgraduate degree is an advantage;

Experiences

S1 with at least 5-7 years of experience in relevant environment and development work and if possible M&E

Knowledge, Skills, Abilities and Attitude

a. Minimum of five (5) years of progressively responsible professional work experiences in program monitoring and evaluation;

b. Proven experience in strategic approaches for program monitoring and evaluation and assessment of best practices and lessons learned;

c. Solid experience in monitoring and evaluation methodologies including quantitative and qualitative approaches;

d. Facilitating learning oriented analysis and presentation sessions of M&E data with multiple stakeholders;

e. Familiarity with and a supportive attitude towards processes of strengthening organizational M&E and reporting capacity;

f. Fluency in English and Indonesia

Other:

Type of employment, Full Time

101

Project Finance Officer

Role:

DGM-I Finance Officer

Report to:

DGM-I Finance Manager

Overall Purpose of the Position:

1. To ensure that the expenditures for the DGM-I are recorded and expenses follow the WB and Samdhana financial policies and procedures;

2. To support the Project Grants Manager in day to day financial management of the projects.

Responsibilities:

a. Responsible for updating and maintaining the DGM-I Project's financial records by recording the day to day financial transactions accurately and on time following the NEAs financial SOPs;

b. Assist in the preparation of budgets, procurement plans, financial reports together with the Project Finance Manager and the NEA’s Head Finance Unit/Internal Auditor;

c. Ensure compliance of project with the NEA’s SOPs on Finance, Human Resources and Administrative processes as well as World Bank procedures when applicable;

d. Submit the updated Project’s financial report to the NEA, the NSC and the World Bank through the NEA’s Finance Manager and DGM-I Project Manager;

e. Oversee the disbursement and release of funds for the grantees as per contract following the NEAs general Standard Operating Procedures for disbursement of funds to grantees;

f. Provide financial management support to the Project Manager and the Project Grants Coordinator as needed.

Working Relationships:

Internal : Finance Manager, Project Manager, Administrative Assistant

External : NSC, World Bank

Qualifications:

Education:

Bachelor’s degree in accounting, finance or like degree. A professional accounting qualification;

102

Experiences:

a. At least 3-5 years of hands on experience in accounting, including general ledger, cash management, financial planning, budgeting, and monitoring of grant compliance required.

b. At least five years of experience managing finance for donor contracts.

Knowledge, Skills, Abilities and Attitude:

a. Knowledge of Indonesian Financial Accounting Standards, Tax, and Indonesian Financial Reporting Standards.

b. Familiarity with accounting software, especially Quick book. c. Ability to research the most cost efficient way to use financial resources of the project. d. Track record of accuracy in work, efficiency and ability to work with a team. e. Track record of honest, discretion, and ability to keep confidential information. f. Proficiency in both English and Bahasa Indonesia languages (oral and written) preferred

Other:

Type of employment, full time

103

Communication Coordinator

Role:

DGM-I Communication Coordinator

Report to:

DGM-I Monitoring and Evaluation Coordinator

Overall Purpose of the Position:

1. To manage the communications and outreach requirements of the project and facilitate the capture of stories and translation of these to digestible media forms;

2. Develop a system to compile the feedback and grievances received from the web and other information sources and to ensure that all grievance, complaints and feedback are conveyed/ transmitted to relevant project staff;

Responsibilities:

a. Identify and prioritize critical DGM-I Project objectives, products and activities and Develop Communications Plan that can achieve higher visibility through various media support;

b. Prepare messages, stories, news, project information, project achievements, advocacies, etc. for dissemination by coordinating with/interviewing and capturing through various media (audio, video, etc.) from Grantees, NSC members, DGM-I project staff on relevant stories, experiences, lessons, etc. that are for sharing with stakeholders;

c. Develop/write communication and promotional materials (articles, twits, stories, videos, audio, etc.) for dissemination with stakeholders through various communication means;

d. Develop, manage and regularly update the DGM-I website, newsletter and related on-line tools; e. Ensure that communication and promotional materials are released in the appropriate media

on time for the materials to be accessed by stakeholders; f. Maintain good relations with media people; g. Monitor and report results and impacts of DGM-I communications activities ; h. Assist in developing DGM-I internal knowledge base; i. Support/coordinate DGM-I participation in national and international events in particular in

the preparation of materials; j. Develop the grievance mechanism and act as focal point for coordinating the grievance

mechanism; k. Refer grievances, complaints and feedback from various means to the appropriate NEA staff

and/or NSC; l. Monitor that all grievances, complainants and feedback are addressed by the respective NEA

staff or the NSC; m. Coordinate with the Capacity Development Coordinator on developing capacity for staff, IPLCs

and other CSOs on use of web based information and facilities i.e. portals and Managing the web information of the project;

n. Participate in the assessment and analysis of impacts of grants.

104

o. Perform other tasks assigned by Line Manager

Working Relationships:

Internal : Monitoring and Evaluation Coordinator, Grants Coordinator, Capacity Development Coordinator

External : Media partners

Qualifications :

Education:

S1 with at least 3-4 years of experience in communications and media functions

Experiences:

a. Excellent verbal and written communications skills; b. Experience in communications, development, women’s empowerment, public health, or

related fields required. Knowledge of international programs, strategies donors and organizations strongly preferred.

c. An established track record in communications and media outreach. In particular, familiarity with content - management - based websites;

d. Knowledge of communications, outreach, knowledge dissemination and knowledge management practices are a plus

e. Experience liaising with local media representatives. f. Proven experience in social media and Microsoft Office Suite applications

including Word, Excel, PowerPoint, and Outlook, and desktop publishing applications.

Knowledge, Skills, Abilities and Attitude:

a. Demonstrated ability to take initiative and work independently; b. Fluency in English is required; c. Demonstrated excellence in writing, editing and formatting for a variety of mediums. d. Graphic design (e.g., Adobe Creative Suite) and photography and video editing

skills are an advantage. e. Written and verbal fluency in English and Bahasa Indonesia. f. Demonstrated competence to assess priorities, manage a variety of activities in a

time-sensitive environment, and meet deadlines with attention to detail and quality.

g. Must be a team player and able to maintain a flexible work manner and schedule h. Willing to travel, as needed

Other:

Type of employment, Full Time

105

DGM-I Safeguard Specialist

Role:

DGM-I ESMF Specialist

Report to:

DGM-I Project Manager

Overall Purpose of the Position:

To provide guidance and advice and any other form of assistance needed by the project regarding ESMF compliance of grantees.

Responsibilities:

a. Provide overall environmental and social management advise during the implementation of DGM-I;

b. Support and advise the Grantee in addressing a variety of environmental and social issues at all the stages of the implementation of the DGM-I Project and in environment and social safeguards related to training/awareness raising and coordination activities;

c. Monitor compliance of the project with the Environmental and Social Management Framework (ESMF) of the project;

d. Prepare necessary documents, such as environmental guidelines and tools in consultation with NSC and help the Grantees in managing additional and/or special studies/assessment, if necessary;

e. Ensuring that each subproject and activities under the project is subjected to the Project ESMF process and procedures;

f. Conduct environmental and social safeguard orientation & awareness, and training (ESMF) if needed;

g. Review project activity plan and design to ensure environmental factors and mitigations are incorporated, and project/activity documents and environmental documents are in harmony.

Working Relationships:

Internal : Project Manager, ESMF Specialist, DGM-I Advisor

External :

106

Qualifications:

Education:

a. A university degree in a related field. A postgraduate degree is an advantage; b. Minimum of five (5) years of progressively responsible professional work experiences in

Environmental and Social Issues;

Experiences:

a. Must be able to work with multiple people of different background and be a good team member;

b. Strong interpersonal and communication skills, commitment to team work and to work across disciplines;

c. Consistently approaches work with energy and a positive, constructive attitude; d. Demonstrates good oral and written communication skills in substantive and technical

areas; e. Demonstrates openness to change and ability to manage complexities;

Knowledge, Skills, Abilities and Attitude:

a. Excellent writing, editing and analytical skills and capability of working independently; and b. An ability to work effectively, take initiative and deliver results, even under pressure, and

willing to visit sites in remote areas.

Other:

Type of employment, Part Time

107

DGM-I Gender Specialist

Role:

DGM-I Gender Specialist

Report to:

DGM-I Project Manager

Overall Purpose of the Position:

To provide guidance and advice and any other form of assistance needed by the project regarding gender issues, initiatives, etc.

Responsibilities:

a. Provides advise on: Socially and culturally sound approaches to address gender gaps and promote

evidence-based decision making in interventions and use of knowledge tools and products;

Share best practices, trends, knowledge and lessons learned in CBNRM that NSC and NEA could consider in mainstreaming gender during the DGM-I project implementation and identify specific factors that influence successes and also failures in gender mainstreaming in CBNRM;

Reliable and measurable indicators to allow results tracking and outcome delivery for gender mainstreaming, and

Strategies to promote evidence-based decision making in interventions that are supported by the DGM Indonesia project.

a relevant section in the social assessment report that is a gender analysis of the IPLC which covers issues such as rights, tenure, livelihood options, social dynamics and how they have changed overtime and what influences such changes

Working Relationships:

Internal : Project Manager, ESMF Specialist, DGM-I Advisor

External :

Qualifications:

108

Education:

S3 with at least 5-8 years of experience/ University degree of familiarity with gender and development issues in the Indonesia particularly on women’s economic empowerment, political leadership, and gender based violence

Experiences:

At least 5 years demonstrated experience in developing, implementing, evaluating gender-focused and gender mainstreaming programs;

Knowledge, Skills, Abilities and Attitude:

a. Excellent writing and analytical skills; and b. Ability to work within a multicultural team

Other:

Type of employment, Part Time

109

Annex 3. Pemberian Hak Pengelolaan Hutan Desa (HPHD), A.Y. Firdaus, 2017

Desa atau Gab. Desa

Menteri LHK

Dirjen PSKL Gubernur Bupati/ Walikota

Ka. UPT Ka. KPH Ka. Dishut Prov

Tim Verifikasi

Pokja PPS

Waktu Proses Syarat

1 Permohonan diajukan kepada Menteri (Ps.9 (1)

Tembusan ke Gubernur, Bupati/ Walikota, Ka. UPT, Ka. KPH (Ps. 9 (1). Pokja PPS dapat memfasilitasi permohonan.

2 Dirjen PSKL melakukan verifikasi adm. permohonan

verifikasi administrasi (Ps.10 (1)

3 Hasil Verifikasi adm. Lengkap / Tidak Lengkap

dikembalikan jika syarat adm. Belum lengkap (Ps. 10 (2)

4 Pemohon melengkapi kekurangan syarat adm permohonan

7 hari permohonan yang telah lengkap, dikirim kembali ke Dirjen PSKL dengan tembusan kepada Menteri (Ps.10 (3) (4)

5 Dirjen PSKL memerintahkan verifikasi permohonan

2 hari jika UPT tidak berkedudukan di prov dimaksud, maka Dirjen Ka UPT di lingkup KLHK lainnya. (Ps.10(5)

6 Ka. UPT membentuk tim Verifikasi

1 hari tim verifikasi terdiri dari: dinas prov/kab/kota yang menangani bidang kehutanan; UPT terkait, KPH dan anggota PPS (Ps.11(1)

7 Tim verifikasi bekerja memverifikasi

7 hari tim verifikasi langsung bekerja sejak dibentuk. (Ps.11(2)

8 melaporkan hasil verifikasi

laporan hasil verifikasi disampaikan ke Ka UPT, dan Ka UPT selanjutnya menyampaikan kepada Dirjen PSKL (Ps.11(3)

9 penerbitan HPHD oleh Dirjen an. Menteri LHK

5 hari

10 penyerahan SK HPHD kepada pemohon

Bagan Alir Permohonan Hutan Desa via MenLHK

keterangan:

garis proses

Pelaksana Proses Proses Alur

garis tembusan ketidaklengkapan syarat

HPHD diterbitkan apabila hasil verifikasi menyatakan permohonan telah sesuai persyaratan (Ps. 12)

Perdes / Perdat tentang Lembaga Desa / Adat; Kepdes tentang Org. Lembaga Desa / Adat, Kop Desa, BUMDes; Gambaran Umum Fisik, Sosek, Potensi Kawasan, Peta 1:50.000 Tertulis dan Digital (Ps.8 (7))

No.Keterangan

2 hari

belum lengkap

sudah lengkap

belum lengkap

sudah lengkap

1

2

3

4

5

6

7

8

9

10

110

Desa atau Gab. Desa

Menteri LHK

Dirjen PSKL Gubernur Bupati/ Walikota

Ka. UPT Ka. KPH Ka. Dishut Prov

Pokja PPS

Waktu Proses Syarat

1 Permohonan diajukan kepada Gubernur (Ps.13 (2)

Tembusan kepada Menteri dapat dilakukan secara online (Ps.13(3)

2 Ka.Dinashut melakukan verifikasi adm. permohonan

verifikasi administrasi (Ps. 14(1)

3 Hasil Verifikasi adm. Lengkap / Tidak Lengkap

dikembalikan jika syarat adm. Belum lengkap (Ps.14(2)

4 Pemohon melengkapi kekurangan syarat adm permohonan

7 hari permohonan yang telah lengkap, dikirim kembali ke Ka Dishut (Ps.14(3)

5 Ka Dishut melakukan verifikasi permohonan

7 hari Ka Dishut dalam memverifikasi dapat dibantu oleh Pokja PPS, Ka. UPT, Ka. KPH (Ps 14(6)

6 Ka. Dishut menyiapkan konsep SK HPHD

3 hari konsep SK HPHD disiapkan untuk Gubernur, 3 hari sejak diterimanya hasil verifikasi (Ps.15(1)

7 penerbitan HPHD oleh Gubernur

5 hari Ps. 15 (2)

8 Dirjen PSKL meminta keterangan kepada Gubernur

3 hari apabila Gubernur tidak menerbitkan HPHD dalam tenggat waktu yang ditentukan (Ps.15(3)

9 Dirjen PSKL meminta hasil verifikasi kepada Ka Dishut

2 hari apabila tidak memberikan keterangan yg diminta Dirjen (Ps.15(4)

10 Ka Dishut menyerahkan hasil verifikasi kepada Dirjen PSKL

3 hari Ps. 15 (5)

11 Dirjen PSKL an. menLHK menerbitkan HPHD

5 hari jika hasil verifikasi menyatakan permohonan memenuhi syarat (ps.15(6)

Keterangan

Perdes / Perdat tentang Lembaga Desa / Adat; Kepdes tentang Org. Lembaga Desa / Adat, Kop Desa, BUMDes; Gambaran Umum Fisik, Sosek, Potensi Kawasan, Peta 1:50.000 Tertulis dan Digital (Ps.8 (7))

2 hari

keterangan:

garis prosesgaris tembusan ketidaklengkapan syarat

Bagan Alir Permohonan Hutan Desa via Gubernur

No. Proses AlurPelaksana Proses

belum lengkap

sudah lengkap

1

3

4

6

5

2

7

8

9

10

11

111

Annex 4. Pemberian IUP HKm (Hutan Kemasyarakatan), A.Y. Firdaus, 2017

Kel. Masy Menteri LHK

Dirjen PSKL Gubernur Bupati/ Walikota

Ka. UPT Ka. KPH Ka. Dishut Prov

Tim Verifikasi

Pokja PPS

Waktu Proses Syarat

1 Permohonan diajukan kepada Menteri (Ps.9 (1)

Tembusan ke Gubernur, Bupati/ Walikota, Ka. UPT, Ka. KPH (Ps. 20 (1). Pokja PPS dapat memfasilitasi permohonan.

2 Dirjen PSKL melakukan verifikasi adm. permohonan

verifikasi administrasi (Ps.21 (1)

3 Hasil Verifikasi adm. Lengkap / Tidak Lengkap

dikembalikan jika syarat adm. Belum lengkap (Ps. 21 (2)

4 Pemohon melengkapi kekurangan syarat adm permohonan

7 hari permohonan yang telah lengkap, dikirim kembali ke Dirjen PSKL dengan tembusan kepada Menteri (Ps.21 (3) (4)

5 Dirjen PSKL memerintahkan verifikasi permohonan

2 hari jika UPT tidak berkedudukan di prov dimaksud, maka Dirjen Ka UPT di lingkup KLHK lainnya. (Ps.21(6)

6 Ka. UPT membentuk tim Verifikasi

1 hari tim verifikasi terdiri dari: dinas prov/kab/kota yang menangani bidang kehutanan; UPT terkait, KPH dan anggota PPS (Ps.22(1)

7 Tim verifikasi bekerja memverifikasi

7 hari tim verifikasi langsung bekerja sejak dibentuk. (Ps.22(2)

8 melaporkan hasil verifikasi laporan hasil verifikasi disampaikan ke Ka UPT, dan Ka UPT selanjutnya menyampaikan kepada Dirjen PSKL (Ps.22(3)

9 penerbitan IUP HKM oleh Dirjen an. Menteri LHK

5 hari

10 penyerahan IUP HKM kepada pemohon

Daftar nama masy setempat calon anggota HKm yang diketahui oleh Kades; Gambaran Umum Fisik, Sosek, Potensi Kawasan, Peta 1:50.000 Tertulis dan Digital (Ps.19 (5))

2 hari

Bagan Alir Permohonan IUP HKm via MenLHK

No. Proses AlurPelaksana Proses Keterangan

IUP HKm diterbitkan apabila hasil verifikasi menyatakan permohonan telah sesuai persyaratan (Ps. 23)

keterangan:

garis prosesgaris tembusan ketidaklengkapan syarat

belum lengkap

sudah lengkap

belum lengkap

sudah lengkap

1

2

3

4

5

6

7

8

9

10

112

Kel. Masy Menteri LHK

Dirjen PSKL Gubernur Bupati/ Walikota

Ka. UPT Ka. KPH Ka. Dishut Prov

Pokja PPS

Waktu Proses Syarat

1 Permohonan diajukan kepada Gubernur (Ps.24 (2)

Tembusan kepada Menteri dapat dilakukan secara online (Ps.24(3)

2 Ka.Dinashut melakukan verifikasi adm. permohonan

verifikasi administrasi (Ps. 25 (1)

3 Hasil Verifikasi adm. Lengkap / Tidak Lengkap

dikembalikan jika syarat adm. Belum lengkap (Ps.25(3)

4 Pemohon melengkapi kekurangan syarat adm permohonan

7 hari permohonan yang telah lengkap, dikirim kembali ke Ka Dishut (Ps.25(4)

5 Ka Dishut melakukan verifikasi permohonan

7 hari Ka Dishut dalam memverifikasi dapat dibantu oleh Pokja PPS, Ka. UPT, Ka. KPH (Ps.25(6)

6 Ka. Dishut menyiapkan konsep IUP HKm

3 hari konsep SK HPHD disiapkan untuk Gubernur, 3 hari sejak diterimanya hasil verifikasi (Ps.26(1)

7 penerbitan IUP HKm oleh Gubernur 5 hari Ps. 26 (2)

8 Dirjen PSKL meminta keterangan kepada Gubernur

3 hari apabila Gubernur tidak menerbitkan HPHD dalam tenggat waktu yang ditentukan (Ps.26(3)

9 Dirjen PSKL meminta hasil verifikasi kepada Ka Dishut

2 hari apabila tidak memberikan keterangan yg diminta Dirjen (Ps.26(4)

10 Ka Dishut menyerahkan hasil verifikasi kepada Dirjen PSKL

3 hari Ps. 26 (5)

11 Dirjen PSKL an. menLHK menerbitkan IUP HKm

5 hari jika hasil verifikasi menyatakan permohonan memenuhi syarat (ps.26(6)

garis tembusan ketidaklengkapan syarat

Bagan Alir Permohonan HKm via Gubernur

No. Proses AlurPelaksana Proses Keterangan

Daftar nama masy setempat calon anggota HKm yang diketahui oleh Kades; Gambaran Umum Fisik, Sosek, Potensi Kawasan, Peta 1:50.000 Tertulis dan Digital (Ps.19 (5))

2 hari

keterangan:

garis proses

sudah lengkap

1

3

4

6

5

2

7

8

9

10

11

belum lengkap

113

Annex 5. Pemberian IUP HTR (Hutan Tanaman Rakyat), A. Y. Firdaus 2017

Kel. Masy Menteri LHK

Dirjen PSKL Gubernur Bupati/ Walikota

Ka. UPT Ka. KPH Ka. Dishut Prov

Tim Verifikasi

Pokja PPS

Waktu Proses Syarat

1 Permohonan diajukan kepada Menteri (Ps.31 (1)

Tembusan ke Gubernur, Bupati/ Walikota, Ka. UPT, Ka. KPH (Ps. 31 (1). Pokja PPS dapat memfasilitasi permohonan.

2 Dirjen PSKL melakukan verifikasi adm. permohonan

verifikasi administrasi (Ps.32 (1)

3 Hasil Verifikasi adm. Lengkap / Tidak Lengkap

dikembalikan jika syarat adm. Belum lengkap (Ps. 32 (2)

4 Pemohon melengkapi kekurangan syarat adm permohonan

7 hari permohonan yang telah lengkap, dikirim kembali ke Dirjen PSKL dengan tembusan kepada Menteri (Ps.32 (3) (4)

5 Dirjen PSKL memerintahkan verifikasi permohonan

2 hari jika UPT tidak berkedudukan di prov dimaksud, maka Dirjen Ka UPT di lingkup KLHK lainnya. (Ps.32(6)

6 Ka. UPT membentuk tim Verifikasi

1 hari tim verifikasi terdiri dari: dinas prov/kab/kota yang menangani bidang kehutanan; UPT terkait, KPH dan anggota PPS (Ps.33(1)

7 Tim verifikasi bekerja memverifikasi

7 hari tim verifikasi langsung bekerja sejak dibentuk. (Ps.33(2)

8 melaporkan hasil verifikasi laporan hasil verifikasi disampaikan ke Ka UPT, dan Ka UPT selanjutnya menyampaikan kepada Dirjen PSKL (Ps.33(3)

9 penerbitan IUP HTR oleh Dirjen an. Menteri LHK

5 hari

10 penyerahan IUP HTR kepada pemohon

IUP HTR diterbitkan apabila hasil verifikasi menyatakan permohonan telah sesuai persyaratan (Ps. 34)

keterangan:

garis prosesgaris tembusan ketidaklengkapan syarat

Daftar nama masy setempat calon anggota Kel. HTR yang diketahui oleh Kades atau Akte Koperasi, Nama Anggota, KTP, Surat Ket. Domisili Koperasi; Gambaran Umum Fisik, Sosek, Potensi Kawasan, Peta 1:50.000 Tertulis dan Digital (Ps.30(5))

2 hari

Bagan Alir Permohonan IUP HTR via MenLHK

No. Proses AlurPelaksana Proses Keterangan

belum lengkap

sudah lengkap

belum lengkap

sudah lengkap

1

2

3

4

5

6

7

8

9

10

114

Kel. Masy Menteri LHK

Dirjen PSKL Gubernur Bupati/ Walikota

Ka. UPT Ka. KPH Ka. Dishut Prov

Pokja PPS

Waktu Proses Syarat

1 Permohonan diajukan kepada Gubernur (Ps.35 (2)

Tembusan kepada Menteri dapat dilakukan secara online (Ps.35(3)

2 Ka.Dinashut melakukan verifikasi adm. permohonan

verifikasi administrasi (Ps. 36 (1)

3 Hasil Verifikasi adm. Lengkap / Tidak Lengkap

dikembalikan jika syarat adm. Belum lengkap (Ps.36(3)

4 Pemohon melengkapi kekurangan syarat adm permohonan

7 hari permohonan yang telah lengkap, dikirim kembali ke Ka Dishut (Ps.36(4)

5 Ka Dishut melakukan verifikasi permohonan

7 hari Ka Dishut dalam memverifikasi dapat dibantu oleh Pokja PPS, Ka. UPT, Ka. KPH (Ps.36(6)

6 Ka. Dishut menyiapkan konsep IUP HTR

3 hari konsep SK HPHD disiapkan untuk Gubernur, 3 hari sejak diterimanya hasil verifikasi (Ps.37(1)

7 penerbitan IUP HTR oleh Gubernur 5 hari Ps. 37 (2)

8 Dirjen PSKL meminta keterangan kepada Gubernur

3 hari apabila Gubernur tidak menerbitkan IUP HTR dalam tenggat waktu yang ditentukan (Ps.37(3)

9 Dirjen PSKL meminta hasil verifikasi kepada Ka Dishut

2 hari apabila tidak memberikan keterangan yg diminta Dirjen (Ps.37(4)

10 Ka Dishut menyerahkan hasil verifikasi kepada Dirjen PSKL

3 hari Ps. 37 (5)

11 Dirjen PSKL an. menLHK menerbitkan IUP HTR

5 hari jika hasil verifikasi menyatakan permohonan memenuhi syarat (ps.37(6)

garis tembusan ketidaklengkapan syarat

Bagan Alir Permohonan HTR via Gubernur

No. Proses AlurPelaksana Proses Keterangan

Daftar nama masy setempat calon anggota HKm yang diketahui oleh Kades; Gambaran Umum Fisik, Sosek, Potensi Kawasan, Peta 1:50.000 Tertulis dan Digital (Ps.19 (5))

2 hari

keterangan:

garis proses

sudah lengkap

1

3

4

6

5

2

7

8

9

10

11

belum lengkap

115

Annex 6 - Concept Paper Template

Name of Applicant

Title of the Proposed Project

Requested Budget IDR

Duration of Proposed Project

Contact Details

Date and Place of Registration

1. Brief Description of Proposed Activity (max 600 words): Please provides a brief analysis of the problem or opportunity which will be addressed by your activit(ies). Describe overall objectives and expected results of your proposed project. Also, describe involvement of other partners and their role if any. Include information on direct beneficiaries and geographical focus.

2. Relevance of Proposed Activity (max 600 words): Demonstrate how your proposed activit(ies) is relevant to the expected results and requirements outlined in the ‘call for concept notes’. Also explain how your proposed activities are relevant to targeted beneficiaries and what the added value of your proposed activities will be.

3. Sustainability (max 300 words): Explain how your proposed activities will be sustained after the completion of grant funds. Indicate how your project can be replicated and expanded.

4. Experience (max 600 words): Did you implement a similar project in the past? If yes please very briefly describe the project, indicate its budget and key achievements. Why do you think you have the sufficient expertise to implement your proposed activities?

Duly authorized to sign on behalf of the applicant:

Name

Position

Date

Signature

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Concept Paper Submission Check List

To be filled by the Applicant

Name of Organization: ______________________

1. Have you submit Concept Paper using provided template? ☐ Yes ☐ No 2. Have you provided Deed of Establishment of your organization? ☐ Yes ☐ No If your answer is “No”, please provide reason:

3. Have you provided your organization structure? ☐ Yes ☐ No If your answer is “No”, please provide reason:

4. Provide your organization previous experience in project* management.

☐ Yes ☐ No

If your answer is “No”, please provide reason:

5 Provide your organization standard Financial SOP that regularly use

within your daily activity. ☐ Yes ☐ No

If your answer is “No”, please provide reason:

5. Provide your organization list of assets that useful to support the

activity proposed in the Concept Paper ☐ Yes ☐ No

If your answer is “No”, please provide reason:

6. Do you need a fiscal sponsor* to manage your proposed activity? ☐ Yes ☐ No If your answer is “Yes”, please provide reason and name of potential fiscal sponsor:

*A project means programme/ activity funded by government, donor, third party donation, fund collective membership and other resource mobilization.

** A fiscal sponsor is a nonprofit organization that provides fiduciary oversight, financial management, and other administrative services to help build the capacity of your projects.

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IMPORTANT: This particular grant is not eligible for the following activities (Negative List). Inclusion of one or more of these activities within your work-plan will cause rejection to your proposal.

No Negative List

1 New settlements or expansion of settlements within conservation forests, protected areas and parks;

2 Any activity that can potentially lead to and/or result in destruction and/or relocation of physical cultural resources;

3 Any activity that can potentially lead to and/or result in conversion of primary forest and/or natural habitats;

4 Purchase and/or use of hazardous chemicals including but not limited to pesticide and insecticides that are that are classified as IA or IB by WHO and GOI’s regulations.

5 Land acquisition/purchase of land;

6 Activities where community endorsement and broad support through free, prior, and informed consultations is not obtained, or evidence for such support is not available;

7 Any activity with potential negative environmental and social impacts, i.e. large infrastructure, new infrastructure in environmentally sensitive areas, infrastructure requiring AMDAL.

8 Any activity associated with political campaigns and election; and/or associated with elite capture

9 Poaching and/or trade of protected species and animals;

10 Purchase of substances and/or activities which may pose health risks;

11 Purchase of weapon and/or ammunition;

12 Activities carried out in relation to adjudication of lands under dispute*;

13 Removal or alteration of any physical cultural property (includes sites having archeological, paleontological, historical, religious, or unique natural values);

14 Conversion, deforestation or degradation or any other alteration of natural forests or natural habitats including, inter alia, conversion to agriculture or tree plantations

15 Activity which cause negative impact to Woman and Children

16 Construction of canal in deep peatland

*Adjudication means payment made to the government officials in relation to conflict arbitration. Not included mediation, litigation, negotiation, and facilitation process. (Gamal Pasya and Martua Sirait, Analisa Gaya Bersengketa, Panduan Ringkas untuk Membantu Memilih Bentuk Penyelesaian Sengketa Pengelolaan Sumberdaya Alam, the Samdhana Institute, 2011, p.19)

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To be filled by Samdhana Institute:

Priority Classification

☐ Community has started or has completed participatory mapping of territories or process for applying for social permit

☐ Propose area/s are part of vulnerable landscapes (e.g. peatlands, lowlands, fire prone areas, small islands that are subject to pressure from industries such as mining and plantation

☐ Feasibility (financial, socio-cultural and political). This will be determined based on evidence of districts’ willingness to engage in recognition of IPLC ad their claims for collective land rights.

Remarks:

Recommendation to proceed:

☐ Qualify for Technical Assistance from Samdhana Institute.

☐ No need to receive technical assistance

☐ Rejected due to inclusion of Negative List

Remarks:

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Annex 7 - Proposal Format

Part I – ORGANIZATIONAL DESCRIPTION/ HISTORY (max 600 words)

This section will provide general overview of your organization and its relevant experience related to the Call for Proposal. This section should include:

• The organization history • The organization structure – including which structure that will be funded by the

requested grant • Relevant experience and accomplishment • Relevant established partnerships and/ or relationship that will be important to

carrying out the activities funded by the grant • Information about prior grant received • Explanation of how the description you provide makes your organization an

appropriate grantee.

Part II - BRIEF PROJECT DESCRIPTION (max 1500 words) This section will provide general overview of the proposed project in relation to the objectives of the call for proposal. Briefly state the current context related to the proposed project, target beneficiaries & geographical focus and how your project will address the problem or opportunity and achieve intended results. Part III - SITUATION ANALYSIS (max 1000 words) Describe the situation by referring to relevant reviews as well as figures and explain the problem or opportunity to be addressed. Explain the institutional and legal framework and the intended beneficiaries.

NAME OF THE APPLICANT

PROJECT TITLE

CONTACT DETAILS (Tel., address, fax)

AMOUNT OF GRANT REQUESTED …………………………………………… IDR

DURATION OF THE PROJECT FROM Date/Month/Year TO Date/Month/Year

TARGET GROUPS/ BENEFICIARIES

GEOGRAPHICAL FOCUS

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Part IV - STRATEGY (max 1000 words) This section should detail how the project will achieve its intended result and what approaches will be used to maximize the impact as well as ensure sustainability. Please also indicate any potential risks and issues related to your project implementation and how you plan to address them. Part V - RESULTS FRAMEWORK & WORK PLAN

Outcome:

EXPECTED OUTPUTS

And baseline, indicators including annual targets

PLANNED ACTIVITIES

List activity results

TIMEFRAME

Risk & Assumption Resource

needed

RESPONSIBLE PARTY

Month 1

Month 2

Month 3

Month 4

Output 1

Baseline:

Indicators:

Targets:

Output 2

Baseline:

Indicators:

Targets:

Output 3

Baseline:

Indicators:

Targets:

Part VI - MANAGEMENT ARRANGEMENTS (max 1 page for the structure and 1000 words for the description) Draw propose organizational structure and personnel required to implement the proposed project. Define roles and responsibilities of personnel or parties to be involved. Describe the proposed internal control arrangements to provide oversight of the project.

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Part VII - MONITORING AND EVALUATION (max 600 word) Please describe how you will monitor and evaluate your project. Part VII- BUDGET Please note that the maximum operating cost for the proposed activities is 15% of the total budget. What is include in the operating cost?

- Salary - Equipment rental - Office Supplies - Communication - Premises

General Category of Expenditures Unit cost Quantity Total

Programme Activities - Component. 1

• Training/Seminar/ Workshops, etc.

- Component. 2 • Training/Seminar/

Workshops, etc. Etc.

Personnel

Transportation

Premises

Contracts (Audit)

Equipment/Furniture

(Specify)

Other [Specify]

Total

Duly authorized to sign on behalf of the applicant:

Name Position Date Signature

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Annex 8 - Grantee Inquiry Form

To be fill in by Applicant.

GENERAL INFORMATION

1. Organization Name

2. Address

3. Telephone & Fax

4. Email

5. Website

6. Status and Notary Deed Number/ other similar identity

7. Provide Organization Board Structure and Name

Name Title

8. Name of Director or Lead Manager

9. Contact Number

Project Title

Organization Information

Number of fix staffs:

Number of part-time staffs: Number of Volunteer:

Funding Sources

(Current on-going donors)

Name of donor organization Amount of grant receives

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Name of bank account

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Annex 9 - Grantee Assessment Form

To be filled in by NEA

Name of Organization :

Assessor Name Programmatic:

Financial:

Organization Description

Operating Environment

Explain external factor that could impact organization capacity in conducting the work

Governance and Leadership Describe the organization’s governance structure and current leadership management

Financial Management Capacity How does the organization conduct its financial recording?

Is there any separation of authority to approve financial usage?

Is there any established system on financial reporting to the donor or to the member of organization?

Please request for random sampling of financial reporting developed by the applicant. How does the result shows?

Is there any concern or highlight that will need further attention? If yes, please describe.

Financial Reporting Aspect Does the applicant keeping track on how much the organization spend per programme?

Is there any regular Annual Financial Report?

Is the report developed based on PSAK 45 [Indonesian Standard Financial Reporting for NGO]?

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Is the Financial Report audited by donor or by independent auditor?

Track Record Cooperation with Samdhana Institute (if any) Only apply if the organization have track record working with Samdhana Institute. Is there any concern or highlight based on previous organization performance as Samdhana’s partner or grantee? If yes, please describe.

Other Remarks and Recommendation Please provide final remark and recommendation on the organization assessed.

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Annex 10 – Template of Sub-grant Agreement [Place and date] [Name of the Grantee] [Address of the Grantee] [Phone number] [E-mail address]

Sub-grant Agreement # [Contract Number]

[Activity Title]

Perjanjian Sub-grant (selanjutnya disebut "Perjanjian") yang dibuat antara Samdhana Institute dan Institusi Penerima: [insert name of recipient institution] BAHWA Samdhana Institute (selanjutnya disebut "Samdhana") tengah melaksanakan proyek yang didefinisikan dalam Grant Agreement "Penguatan Hak dan Ekonomi Masyarakat Adat dan Masyarakat Lokal" (SCF-FIP Nomor HibahTF0A4242). BAHWA Samdhana ingin memberikan dana kepada [lembaga penerima] (selanjutnya disebut "Mitra") dalam konteks Proyek dan melalui persyaratan dan ketentuan yang ditetapkan dibawah ini. BAHWA "Mitra" siap dan bersedia menerima dana dari Samdhana melalui administrasi Samdhana untuk kegiatan yang disebutkan di atas dengan syarat dan ketentuan tersebut. 1. TUJUAN Perjanjian ini menjelaskan mengenai syarat-syarat dan ketentuan yang berlaku bagi Mitra untuk melaksanakan kegiatan-kegiatan nirlaba

Sub-grant Agreement (hereinafter referred to as the “Agreement”) made between the Samdhana Institute and the Recipient Institution: [insert name of recipient institution] WHEREAS the Samdhana Institute (hereinafter referred to as “Samdhana”) is implementing the project defined in the Grant Agreement “Strengthening Rights and Economies of Adat and Local Communities” (SCF-FIP Grant Number TF0A4242). WHEREAS Samdhana desire to provide funding to the [recipient institution] (hereinafter referred to as “the partner”) in the context of a Project and on the terms and conditions hereinafter set forth. WHEREAS “the partner” is ready and willing to accept such funds from Samdhana through the administration of Samdhana for the above-mentioned activities on the said terms and conditions. 1. OBJECTIVE This Agreement describes the terms and conditions applicable to the Partner to carry out the non-profit activities proposed by your

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yang diajukan oleh organisasi anda, yang akan didukung oleh Samdhana melalui Program [activities name] 1.1. Pelaksanaan Kegiatan yang akan dilaksanakan adalah seperti tercantum pada proposal yang telah disepakati (Lampiran 1). 1.2. Jangka Waktu Kegiatan yang tercakup oleh Perjanjian ini akan berlangsung dalam [activities length], dimulai secara efektif pada [tanggal mulai] dan berakhir pada [tanggal selesai].

1.3. Total Dana Hibah Sesuai dengan kegiatan yang akan dilakukan oleh mitra dan sesuai dengan rencana anggaran yang telah disepakati pada Lampiran 2, Samdhana akan mengalokasikan total dana sebesar [Insert total budget in numbers and in sentence] kepada Mitra. Dana hibah ini tidak boleh digunakan untuk kegiatan yang bersifat profit dan mengandung tindak kekerasan, dan hanya dapat digunakan untuk mendukung kegiatan mitra sesuai dengan anggaran kegiatan terlampir.

Rekapitulasi Anggaran yang Disetujui Lihat Lampiran 2 [Insert budget table to Annex 2]

1.4. Pembayaran Samdhana akan mengirimkan dana hibah kepada Mitra dengan skema sebagai berikut ini: [Insert payment tranches and its term of conditions] 2. KEWAJIBAN-KEWAJIBAN MITRA 2.1. Mitra harus bertanggung jawab terhadap hal-hal yang tercantum pada Lampiran 3 – Logical Framework. [Insert Logical Framework to Annex 3]

organization, which will be supported by Samdhana through [activities name] 1.1. Implementation The activities to be carried out are as stated in the agreed proposal (Annex 1). 1.2. Time period The activities covered by this Agreement will take place in [activities length], commencing effectively on [commencing date] and ending on [completion date] 1.3. Total Grant Fund In accordance with the activities to be undertaken by the partner and in accordance with the agreed budget plan in Annex 2, Samdhana will allocate a total of [Insert total budget in numbers and in sentence] to Partners. This grant should not be used for profit-oriented and violent related activities, and may only be used to support partner activities in accordance with the accompanying activity budget. Approved Budget Recapitulation See Annex 2 [Insert budget table to Annex 2] 1.4. Payment Samdhana will transfer the fund to the Partner with the following schemes: [Insert payment tranches and its terms of conditions] 2. PARTNER OBLIGATIONS 2.1. The Partner shall be responsible for the items listed in Annex 3 – Logical Framework or any other appropriate project frameworks. [Insert Logical Framework to Annex 3]

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2.3. Mitra harus mengirimkan laporan dengan jadual sebagai berikut : [Insert list of reports and due date]

2.4. Mitra diharuskan untuk menyimpan seluruh catatan/dokumentasi penggunaan dana hibah (invoice, kwitansi atau bukti pembayaran lainnya) untuk keperluan kegiatan yang dilaksanakan dalam Perjanjian Kemitraan ini dalam jangka waktu pelaksanaan kegiatan sampai dengan [ubah sesuai persetujuan dengan donor, cth: tujuh (7) tahun enam (6) bulan] setelah kegiatan selesai dilaksanakan. 2.5. Transaksi yang dianggap valid adalah transaksi yang terjadi di dalam jangka waktu Perjanjian ini. 2.6. Mitra wajib untuk segera mengembalikan sisa dana yang tidak terserap terkait dengan kegiatan yang dilaksanakan oleh Mitra kepada Samdhana. Kesepakatan jumlah dana yang harus dikembalikan adalah sesuai dengan hasil akhir pemeriksaan laporan keuangan yang dilakukan oleh Samdhana. 2.7. Syarat-syarat dan Ketentuan lainnya a. Setiap perubahan terhadap kerjasama ini

(baik terkait agenda kegiatan maupun rencana anggaran biaya) harus melalui kesepakatan kedua belah pihak dan dibuat tertulis kedua belah pihak.

b. Untuk kepentingan penguatan lembaga/organisasi, Mitra terbuka memberikan akses jika sewaktu-waktu Samdhana menganggap perlu untuk melakukan monitoring, evaluasi, assemen dan/atau audit (baik proyek maupun organisasi)

c. Berdasarkan peraturan perundangan-undangan yang berlaku : - Setiap organisasi berbadan hukum

yang mendapatkan dana hibah sampai dengan Rp. 500.000.000, perlu

2.3. The Partner must submit the report with the following schedule: [Insert list of reports and due date] 2.4. The Partner is required to keep all supporting documents/ records (invoices, receipts or other proof of payment) for the activities carried out under this Grant Agreement within a period of [change based on donor requirement, i.e. seven (7) years six (6) months] after the completion of the activities. 2.5. A transaction considered valid if it is occurs within the term of this Agreement. 2.6. The Partner is required to immediately refund the remaining funds that are not use to carry out the activity to Samdhana. Agreement on the amount of funds that must be returned is in accordance with the final report review conducted by Samdhana. 2.7. Other Terms and Conditions a. Any changes to this cooperation (whether

related to the activity or budget plan) shall be subject to agreement by both parties and shall be made in writing by both parties.

b. For the purpose of strengthening the institution/ organization, Partner will provide access if at any time Samdhana require to conduct monitoring, evaluation, assessment and / or audit (both for the project or organization)

c. Based on the prevailing laws and

regulations: - Any organization with legal entity

obtaining grant funds up to Rp. 500,000,000, should publish its financial report.

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mempublikasikan laporan keuangannya.

- Setiap organisasi berbadan hukum yang mendapatkan dana hibah minimal Rp. 500.000.000, harus menginformasikan laporan keuangan proyek maupun organisasi kepada publik.

3. KETENTUAN UMUM 3.1. Samdhana tidak memberikan ganti rugi atas kerugian, tuntutan, kelalaian, kerusakan, tindakan atau cara kerja yang timbul atau berkaitan dengan kinerja Mitra atas kewajiban-kewajiban yang tercantum dalam Perjanjian ini. 3.2. Samdhana tidak bertanggung jawab atas asuransi jiwa, kecelakaan, perjalanan, atau segala bentuk asuransi lainnya terkait dengan pelaksanaan kegiatan Mitra. 4. PEMUTUSAN PERJANJIAN KEMITRAAN 4.1. Samdhana dan Mitra akan menerapkan prinsip musyawarah, jika dihadapkan pada keadaan perbedaan pendapat atas isi dari Perjanjian ini. 4.2. Samdhana maupun Mitra dapat setiap saat dapat memutuskan atau menunda pelaksanaan Perjanjian ini dengan mengirimkan pengajuannya secara tertulis, setelah bermusyawarah. Samdhana dan Mitra akan melakukan pertemuan koordinasi dan musyawarah untuk menentukan langkah terbaik bagi keberlanjutan Perjanjian ini, setelah salah satu pihak mengirimkan surat pengajuan dan menunda pelakasanaan Perjanjian ini. 5. HAK CIPTA 5.1. Untuk tujuan pasal ini, istilah "Karya" mengacu pada semua karya kepengarangan dan penemuan yang dibuat sesuai dengan kesepakatan ini, termasuk, namun tidak

- Any organization with legal entity that obtains a minimum grant of Rp. 500,000,000, must publish its project and organization financial reports to the public.

3. GENERAL PROVISIONS 3.1. Samdhana will not indemnify any losses, claims, omissions, damages, actions or modes arising out of the Partner’s performance related to the obligations set forth in this Grant Agreement. 3.2. Samdhana shall not be liable for life, accident, travel, or any other form of insurance related to the conduct of Partners activities. 4. TERMINATION OF THE GRANT AGREEMENT 4.1. Samdhana and Partners shall apply the principle of constructive negotiation, if faced with a disagreement over the content of this Agreement. 4.2. Samdhana and Partner at any time may be able to break off or postpone the implementation of this Agreement by sending a request in writing after conducting a constructive negotiation. Samdhana and Partner will conduct coordination meetings and negotiate to determine the best course of action to continue this Agreement, once one of the parties sends a request letter to break off or postpone of the implementation of this Agreement. 5. COPYRIGHT 5.1. For the purposes of this clause the term “Works” refers to all works of authorship and inventions created pursuant to this agreement, including, but not limited to, films, photographs,

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terbatas pada, film, foto, karya grafis, peta, rekaman video, buku, artikel, tulisan, Dan materi yang mencakup karya kepenulisan, penemuan dan semacamnya yang diproduksi selama atau setelah jangka waktu Perjanjian ini. 5.2. Mitra dengan ini mengalihkan secara sah dan menyerahkan kepada Samdhana semua hak, kepemilikan dan kepentingan, di Indonesia dan seluruh dunia, segala hal yang terkait Karya, termasuk hak cipta dan hak patennya. Mitra setuju untuk mengambil tindakan apa pun yang diperlukan untuk membantu Samdhana dalam menegaskan dan melindungi hak-hak tersebut. 5.3. Samdhana setuju untuk menggunakan Karya secara eksklusif untuk penggunaannya sendiri dan tidak melepaskan Karya kepada pihak lain. 5.4. Mitra tidak berhak menggunakan Karya kecuali sejauh yang disetujui secara tertulis dari Samdhana. 5.5. Samdhana tidak akan menolak untuk menyetujui penggunaan Karya dimana penggunaan itu semata-mata untuk aktifitas non-komersial. 6. PENANGGUNG JAWAB KEGIATAN Dari pihak Samdhana, penanggung jawab atas implementasi Perjanjian ini adalah [Insert Samdhana contact person name & email]. Sedangkan yang bertanggung jawab atas urusan administrasi dan keuangan adalah [insert secondary contact person & email] Dari pihak Mitra, penanggung jawab atas implementasi Perjanjian ini adalah [insert grantee contact person & email] yang juga bertanggung jawab secara penuh terhadap implementasi kegiatan-kegiatan seperti tercantum pada Lampiran 1.

graphic works, maps, video recordings, books, articles, writings, and materials embodying such works of authorship and inventions whether produced during or after the term of this Agreement. 5.2. The Partner hereby irrevocably transfers and assigns to Samdhana all rights, title and interest, in Indonesia and throughout the world, in the Works, including the copyright and patent thereof. The Partner agrees to take whatever steps are necessary to assist Samdhana in asserting and protecting such rights including acknowledging source of grant. 5.3. Samdhana agrees to use the Works exclusively for its own use and to not release the Works to any other parties. 5.4. The Partner shall not be entitled to use any of the Works except to the extent agreed to in writing from Samdhana. 5.5. SAMDHANA will not unreasonably refuse to consent to the use of the Works where that use is solely for non-commercial purposes. 6. RESPONSIBLE PARTIES From Samdhana, the person in charge of the implementation of this Agreement is [Insert Samdhana contact person name & email]. While administrative and financial affairs will be handled by [insert secondary contact person & email] From the Partner, the person responsible for the implementation of this Agreement is [insert grantee contact person & email] who is also fully responsible for the implementation of activities as listed in Appendix 1.

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Kedua pihak menyatakan kesepakatan atas semua persyaratan dan ketentuan-ketentuan sebagaimana tercantum dan dinyatakan dalam Perjanjian ini. Bila mana terjadi konflik antara Grant Agreement dan Sub-grant Agereement ini, Grant Agreement akan berlaku.

The parties hereby agree on all the terms and conditions set forth in this Agreement. In case of conflict between the Grant Agreement and this Sub-Grant Agreement, the Grant Agreement shall prevail.

On behalf of Samdhana Institute, On behalf of [insert grantee recipient name], [Insert name of Samdhana representative] [Insert name of Grantee representative] [Insert title] [Insert title] Date: Date: Mohon kirimkan copy Perjanjian Kemitraan yang sudah ditandatangani melalui email untuk memfasilitasi proses pencairan dana. Perjanjian Kemitraan yang asli dan sudah ditandatangani mohon dapat dikirimkan ke alamat berikut dengan menggunakan pos tercatat. Please send a copy of the signed Grant Agreement via email to facilitate the transfer of fund. Please send the original copy of the signed Grant Agreement via registered post service. Perkumpulan Institut Samdhana Jl Guntur 32 Bogor 16151- Indonesia Tel. +62 251-8313947 Lampiran 1 – Proposal (Kerangka Logis) yang Disepakati Lampiran 2 – Rencana Anggaran Biaya yang Disepakati Lampiran 3 – Format Laporan Keuangan (format laporan keuangan dalam versi Excel dilampirkan terpisah)

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Annex 11- Template of Narrative Progress Report

Project Title Organization Name Reporting Period Amount Tranche Received Total Grant Amount

Section 1: Summary Please describe the summary of project progress.

Section 2: Project Component and Progress Please describe the project components, its deliverables and detail progress update.

Section 3: Challenges and Issues Please describe the challenges and issues encountered during activity implementation. How does your organization overcome it?

Section 4: Incoming Activities and Plan Please describe your incoming activities within the project components and your implementation plan.

Prepared by Name and title Signature

Date

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Template of ESMF Report

This report shall be submitted together with the Narrative Report

No Target Performance Report

Q1 Q2 Q3 Q4 Result* Description Result* Description Result* Description Result* Description

1 All grievance/ conflict

were handled (escalation)

2 No forest and/ or ecosystem destruction

3 No pollution (land, water, air)

4. No activity listed on ESMF Negative list carried out during project implementation

*Result: [x]unattainable [o]on track [v] achieved

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Result: (x) happened (v) not happened (o) don’t know

No Target Performance Q1 Q2 Q3 Q4

Result Remarks Result Remarks Result Remarks Result Remarks 1 Is there any fatal work

incident happened in the community? Adakah kecelakan kerja fatal - masyarakat?

v No fatal work incident happened due to the absence of field work. Tidak terjadi insiden kecelakaan kerja fatal dikarenakan belum ada kegiatan lapangan

v No fatal work incident happened in the community. Tidak terjadi insiden kecelakaan kerja fatal yang dialami oleh masyarakat

2 Is there any fatal work incident happened to the implementing team? Adakah kecelakan kerja fatal - tim pelaksana?

x The field coordinator experienced motorcycle incident when headed to the office. He experiencing minor injury Koordinator lapangan mengalami insiden berupa kecelakaan sepeda motor ketika hendak menuju kantor yang mengakibatkan luka dan cedera ringan

v No fatal incident happened to the team. Tidak terjadi insiden kecelakaan kerja fatal yang dialami oleh tim pelaksana

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Result: (x) happened (v) not happened (o) don’t know

No Target Performance Q1 Q2 Q3 Q4

Result Remarks Result Remarks Result Remarks Result Remarks 3 Is there any forest

destruction happened? (forest encroachment) Terjadikah kerusakan hutan? (pembukaan, penebangan, perburuan/konflik, kebakaran) berkurang dan hilang

v No forest encroachment within the vicinity of program locations. Tidak terjadi perambahan maupun penebangan liar disekitar lokasi sasaran program akibat kegiatan proyek

v Due to 100 ha reforestation in HKm in 5 villages no forest encroachment or illegal logging within the vicinity of program locations and Rinjani National Park tidak terjadi perambahan maupun penebangan liar disekitar lokasi sasaran program dan juga di kawasan Taman Nasional Gunung Rinjani akibat kegiatan penanaman 100 ha di lahan HKm di 5 desa

4 Is there any land, water or air pollution happened due to waste disposal? Adakah pencemaran (tanah, air, udara) akibat pembuangan limbah?

v No pollution happened because the field work have not started yet. Tidak terjadi pencemaran lingkungan dikarenakan memang belum ada kegiatan lapangan

v No pollution happened although the field work have started. Tidak terjadi pencemaran lingkungan meskipun aktivitas dilapangan sudah mulai berjalan

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Result: (x) happened (v) not happened (o) don’t know

No Target Performance Q1 Q2 Q3 Q4

Result Remarks Result Remarks Result Remarks Result Remarks 5 Is there any impending

conflict/ grievance that escalate? Adakah aduan/konflik yg tidak ditangani - terjadi eskalasi?

v So far no conflict/ grievance Tidak ada aduan atau keluhan sejauh ini

x There is complain from the community (grant beneficiary) in 4 villages related to transportation fund reimbursement (the amount is lower compare to other project). Terdapat keluhan dari beberapa masyarakat penerima manfaat program di 4 desa terkait penggantian uang transport yang nominalnya berbeda (lebih rendah) dengan proyek lainnya

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Annex 12 - Template Financial Report

Please refer to Excel Document for ease reference.

Sample of Simple Financial Report KERTAS KERJA LAPORAN SUB-GRANT # AAAAAAA (sebutkan nomor kontrak)

Nama Lembaga : Judul Kontrak : No. Kontrak : Periode Laporan :

Tanggal

Nomor

urutan

bukti

Keterangan Jumlah Checking

Kegiatan

Supporting staff

Reporting

Operational Kantor Lokakarya

Diskusi dengan

masyarakat

Seminar hasil

penelitian

Media Kampany

e

-

2-Feb-15 1 konsumsi pertemuan lokakarya

100.000

-

100.000

3-Feb-15 2 Beli ATK diskusi dengan masyarakat

50.000

-

50.000

-

-

-

-

138

-

Total Biaya periode … s/d ….

150.000

-

100.000

50.000

-

-

-

-

-

139

Sample of Advance Financial Report

Laporan Keuangan Berbanding Anggaran (Kemajuan dan Akhir)

Project No.: 123

Nama Project (Title): Pelatihan Budidaya Karet

Mitra Pelaksana (Implementing partner): Organisasi ABC Untuk Periode (For the Period): 1/7/2012-31/7/2012

Mata uang (sesuai perjanjian) (Currency - As per agreement): Rupiah

Ringkasan Anggaran (Budget Overview)

a. Jumlah anggaran total (Total Budget Amount): 2.000.000

b. Jumlah yang telah diterima (Amount Received to Date): 1.000.000

c. Jumlah yang telah diserap (Amount Expended to Date): 200.000

d. %tase dari jumlah yang telah diterima (% Expended of Amount Received) 20%

e. Jumlah permohonan dana berikutnya (Amount of Next Payment Request)

500.000

(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11)

No Kegiatan Approved Budget Expenditures

Balance

140

(The rows below to reflect the actual budget approved by Samdhana)

Biaya per

Satuan (Unit Cost)

Satuan (Uni

t Type)

Volume

(Unit Quantity)

Total Anggara

n (Approved Total Budget)

Jumlah pengelua

ran sebelumn

ya (Expendit

ures in Previous

Reporting Periods)

Pengelu

aran periode berjalan (Expenditure in

Reporting Period

Total pengelu

aran kumulatip (Total Cummul

ative Expendit

ure)

% yang telah

dibelanjakan (% Expend

ed agains approv

ed budget)

Sisa Dana

(Remaining

Balance)

Biaya-biaya Project (Project Costs)

1 Activitas 1: (input nama kegiatan ) dan lengkapi perincian anggaran di bawah

1,1 Pelatihan - -

-

-

-

-

- #DIV/0!

-

1.1.2 Konsumsi

50.000 orang

37

1.850.000

-

200.000

200.000

11%

1.650.000

1.1.3 Transportasi

50.000 hari 3

150.000

-

-

0%

150.000

1,2 Perlengkapan (dirinci) -

-

#DIV/0! -

dll. Input anggaran2 yang lain -

-

#DIV/0! -

Subtotal

2.000.000

-

200.000

200.000

10%

1.800.000

2 Kegiatan 2: (input nama kegiatan) dan lengkapi perincian anggaran di bawah

2,1 dll -

-

#DIV/0! -

2.1.2 dll -

-

#DIV/0! -

141

dll. dll -

-

#DIV/0! -

Subtotal -

-

-

-

#DIV/0! -

etc Input kegiatan-kegiatan yang lain.

dll -

-

#DIV/0! -

dll -

- #DIV/0!

-

dll -

-

#DIV/0! -

Subtotal -

-

-

-

#DIV/0! -

Biaya-biaya Operasi (Operational Costs) 3 Gaji/Upah pegawai

3,1 Manager Project -

- #DIV/0!

-

3,2 Manager Keuangan -

-

#DIV/0! -

3,3 Administrasi

dll. dll -

-

#DIV/0! -

dll -

-

#DIV/0! -

dll -

-

#DIV/0! -

Subtotal -

-

-

- #DIV/0!

-

4 Transportasi

4,1 Sewa -

-

#DIV/0! -

4.2. Akomodasi -

-

#DIV/0! -

4,3 Tranport lokal

142

dll -

-

#DIV/0! -

dll -

-

#DIV/0! -

Subtotal -

-

-

-

#DIV/0! -

5 Biaya-biaya kantor

5,1 Perlengkapan (dirinci) -

- #DIV/0!

-

5.1.1 Kertas -

-

#DIV/0! -

5.2. Dokumentasi/pelaporan -

-

#DIV/0! -

5.2.1 Fotocopy -

-

#DIV/0! -

dll -

-

#DIV/0! -

dll -

-

#DIV/0! -

Subtotal -

-

-

-

#DIV/0! -

TOTAL

2.000.000

-

200.000

200.000

10,00%

1.800.000

Catatan: - Pengeluaran adalah jumlah total yang dibelanjakan, baik melalui transfer bank ataupun transaksi tunai.

Laporan ini harus ditandatangani oleh pihak yang berwenang, Duly Authorized to sign the Report for and on behalf of

Yang menandatangani, atas nama (nama institusi Mitra Pelaksana)

(Name of Organization)

Tanggal (Date)

143

Tanda tangan/Stempel Signature/Stamp of Entity/Date

Nama penandatangan Name of Representative

Alamat: Address:

Telepon/Fax: Telephone/Fax:

144

Annex 13 - Assessment on Environmental and Social Impacts

Proposal Title :

Submitted by :

Location :

Proposed Fund Request :

Proposed Activities/Sub-

Activities

Implementing Entities/ Partners

Potential Risks Are the risks manageable

(context, geographic,

capacity, commitment,

etc.)

Do implementing

entities/partners have capacity to

monitor and manage risks?

Does the proposal include

adequate resources for

risk management?

Recommendation for inclusion and/or exclusion in the

proposals, including capacity building and additional resources if

needed. Environmental Social Yes No Yes No Yes No

Prepared by:

Date:

145

Annex 14 - Environmental Management and Monitoring Plan (ESMP) template

Impact & Risk Mitigation Plan Monitoring Plan Who

Project activity Impact & risk Significance Mitigation action

Location Periods What to monitor

Location Period

146

Annex 15 - Complain Form

Name Email Address and Contact

Community Origin Complain Objective (Region, NSC, NEA)

Complain title Description

147

Annex 16 - DGMI Negative List

DGMI activities or subprojects will comply with all relevant World Bank environmental and social safeguard policies and Indonesian laws. Activities ineligible to be funded by DGMI listed below are included, but not limited to:.

No Negative List Yes No Remarks

1 New settlements or expansion of settlements within conservation forests, protected areas and parks;

2 Any activity that can potentially lead to and/or result in destruction and/or relocation of physical cultural resources;

3 Any activity that can potentially lead to and/or result in conversion of primary forest and/or natural habitats;

4 Purchase and/or use of hazardous chemicals including but not limited to pesticide and insecticides that are that are classified as IA or IB by WHO and GOI’s regulations.

5 Land acquisition/purchase of land;

6 Activities where community endorsement and broad support through free, prior, and informed consultations is not obtained, or evidence for such support is not available;

7 Any activity with potential negative environmental and social impacts, i.e. large infrastructure, new infrastructure in environmentally sensitive areas, infrastructure requiring AMDAL.

8 Any activity associated with political campaigns and election; and/or associated with elite capture

9 Poaching and/or trade of protected species and animals;

10 Purchase of substances and/or activities which may pose health risks;

11 Purchase of weapon and/or ammunition;

12 Activities carried out in relation to adjudication of lands under dispute;

13 Removal or alteration of any physical cultural property (includes sites having archeological, paleontological, historical, religious, or unique natural values);

14 Conversion, deforestation or degradation or any other alteration of natural forests or natural habitats including, inter alia, conversion to agriculture or tree plantations

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15 Activity which cause negative impact to Woman and Children

16 Construction of canal in deep peatland

149

Annex 17 - Screening against Environmental and Social Impacts

Following Preliminary Screening against the Negative List, the NEA and NSC in collaboration with sub-project proponents will screen and assess proposed subproject activities with regards to potential risks and their management. This exercise will produce recommendations whether or not particular activities should be financed although they have passed the negative list in light of the risks foreseen. The recommendations will also include preventive measures, capacity building, technical assistance and oversight to strengthen risk management.

Proposed Activities/Sub-Activities

Implementing Entities/

Partners

Potential Risks Are the risks manageable (context, geographic, capacity, commitment, etc.)

Do implementing entities/partners have capacity to monitor and manage risks?

Does the proposal include adequate resources for risk management?

Recommendation for inclusion and/or exclusion in the proposals, including capacity building and additional resources if needed.

Environmental Social Yes No Yes No Yes No

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Annex 18 - Environmental Code of Practices (ECOPs) A. Agro-Forestry

1. To participate in providing policy provisions to provide incentive to farmers adopting agro

forestry (such as, land control or credit) and mitigate financial risks related to interventions, if possible. Threat of decreased firewood availability may not be an adequate incentive for the farmers to grow trees. Farmers are often as interested in other wood products as they are in non-wood products (such as construction poles, fruits or medicines);

2. To train farmers and field staff utilize field intervention, Training shall also include field visits by farmers and field staff to promising livelihood activities;

3. To build a partnership between the project and farmers. Farmers should have an opportunity during project identification and implementation process to convey their needs and choice in relation to biological and social economic interventions;

4. To develop a mechanism that enables farmers to cover operational costs, maintain control over trees, and receive technical advice. A revolving fund, association coordination or annual gathering can ensure support to project beneficiaries.

B. Home Industry / Small Industry 1. To ensure that the management plan can answer the anticipated use of natural resources

and potential environmental impacts. Issues that must be addressed in the management plan should include:

• Information on the area, scope and location of activity; • Raw materials (namely, wood, drinking water, and fuel) and required storage

facility; • Types and distance of contaminating disposal; • Evaluation of impacts of industrial activities; • Availability of disposal channel; • Placement and disposal of solid waste.

2. Monitor and diminish losses from environmental impact in each process of production. 3. Ensure that the financed activities do not use, produce, store or relate to hazardous

substances (toxic, rust or explosive) or substances resulting in “B3” waste (Toxic and Hazardous Substances) (as recorded in the list of Negative Protection regulations).

C. Farm

Animal droppings can maintain the fertility of soil and replace soil nutrition when collected and treated accordingly. On a contrary, uncontrolled droppings can pollute water and endanger human’s or animal’s health. For instance, dropping bacterial organisms can pollute drinking water supplies with nitrate.

Animals’ droppings can be managed by:

a. Preventing the rainfall from entering, irrigation and surface water nozzle into animals pen and storage facilities;

b. Preventing keeping too many animals in a pen; c. Shoveling/removing droppings from the breeding pens; d. Covering droppings with absorbent materials; e. Removing lumps of droppings / animals droppings;

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Complaints of odor from a farm can be minimized by:

a. For a sensitive environment, choosing a location and design of a farm prudently with adequate distance between supports;

b. Taking into consideration the existing direction of the wind, especially during dry season;

c. Optimizing frequency of cleaning of pens; d. Maintaining dust at low level since the odor is absorbed and carried by granules

of dust; e. Number of animals should not exceed the recommended density; f. Ventilation that can maximally shed the odor during cleaning of pens; g. Utilizing solid vegetation as support partition to circulate air flow (to disintegrate

odor), filter dust and relocate odor from sensitive areas; h. Placing halls of pens thoroughly, in relation to the direction of disposal of odor;

and i. Collecting droppings and manure under a weather-resistant cover, before

relocating the droppings and manure from the location. j. Utilizing healthily formulated livestock feed.

D. Fishery

1. Conditions of fish cultivation

Characteristics of good fish:

a) Shape: good shape b) Color : bright and glossy c) Scale : no sign of loss of scale d) Movement : active and showing normal movement e) Reflex : trying to escape when touched f) Feeling : slick texture

Transportation of fish:

a) Fish can be transported in a plastic or polyethylene container and open container such as drum, aluminum filled with oxygen.

b) Support power of container / beg depends on • Size and health condition of fry • Distance and time used • Water temperature • Availability of dissolved oxygen

c) Normally 8.000 – 10.000 fry (10 and 5 cm) can be transported in a drum (200 liter) for 12 – 14 hours

d) The following table can help plan the transportation of fry for 5 – 6 hours Size Type of material of container

30 liter capacity Drum (200 liter) Total Per liter Total Per liter

Spawn 50000 1700 _ _ 1 - 2 cm 3000 100 20000 100 2 - 3 cm 200 30 10000 50

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10 - 15 cm 100 3 1400 7

Ways to keep fish alive:

a) Check the quality of soil and water of the embankment before releasing the fry b) Ensure the embankment is free from:

o Grass and predator fish o Mollusk / barnacle o Predators such as snakes, frogs, birds, insects, etc.

c) Ensure that fry is placed in different ponds according to age and size groups d) Ensure the availability of fish natural fodder e) Use healthily formulated additional fodder

2. Conditions for equipment to catch fish:

a) Type and size of the equipment must follow the regulations of Government of Indonesia (Letter of Decision of Minister of Marines and Fishery Affairs No. 6/2010)

o Jaring lingkar (surrounding nets); o Pukat Tarik (seine nets); o Pukat hela (trawls); o Penggaruk (dredges); o Jaring angkat (lift nets); o Alat yang dijatuhkan (falling gears); o Jaring insang (gillnets and entangling nets); o Perangkap (traps); o Pancing (hooks and lines); o Alat penjepit dan melukai (grappling and wounding)

b) The equipment shall not cause damages to the environment

c) The equipment shall be made from environmental friendly materials

E. Tree saplings / vegetation seeds

Tree saplings / vegetation seeds should be:

1. In good condition. 2. Healthy (free from diseases, fungus, bacteria, and virus). 3. Buds and roots are well grown. 4. Local original species. 5. Legalized from its known origin or local source (if possible)

Storing of seeds should meet the following:

1. It should use bales / poly-bags for packaging 2. Moss bales/poly-bags need to be kept wet until usage 3. It should be stored in a cool storage with adequate ventilation 4. Cultivation may be immersed in cultivation solution prior to transportation 5. It should protect the seeds from overly hot or cold weather 6. To know the number of trees to be planted, one must know the following:

a. Areas that need to be planted b. Placement of distance of seeds

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F. Community Timber Activities

DGM-I may finance commercial harvesting operations only when, on the basis of the applicable social and environmental screening and assessment, it is determined that the areas affected by the harvesting are not critical forests or related critical natural habitats and that are no land use conflicts with local communities or indigenous peoples.

Harvesting operation by local communities under forest community management or under joint forest management arrangements are eligible to project support if: (a) have achieved a standard of forest management developed with meaningful participation of locally affected communities in a manner consistent with the principles outlined below; or (b) adhere to a time-bound action plan to achieve such standard:

a) compliance with relevant Indonesian laws; b) recognition of and respect for any legally documented or customary land tenure and

use rights as well as the rights of indigenous peoples and workers; c) measures to maintain or enhance sound and effective community relations; d) conservation of biological diversity and ecological functions; e) measures to maintain or enhance environmentally sound multiple benefits accruing

from the forest; f) prevention or minimization of the adverse environmental impacts from forest use; g) effective forest management planning; h) active monitoring and assessment of relevant forest management areas and; i) The maintenance of critical forest areas and other critical natural habitats affected

by the operation.

DGM-I will not finance industrial scale-harvesting, i.e. carried out by firms (in opposition to local communities and forests operating under joint forest or community management). NEA, NSC and project proponents (CSOs/CBOs) will monitors all such operations with meaningful and documented participation of participating communities. All of the above requirements should be assessed, documented and reflected in the progress implementation reports of participating CSOs/CBOs.

154

Annex 19 - Guidance Note for Integrated Pest Management (IPM)

Integrated Pest Management (IPM) refers to “the careful consideration of all available pest control techniques and subsequent integration of appropriate measures that discourage the development of pest populations and keep pesticides and other interventions to levels that are economically justified and reduce or minimize risks to human health and the environment. IPM emphasizes the growth of a healthy crop with the least possible disruption to agro-ecosystems and encourages natural pest control mechanisms”. DGM-I recognizes IPLC’s local wisdoms in managing pests and will support communities to mainstream such local knowledge into the ESMP. IPM is not a single pest control method, but rather a series of pest management assessments, decisions, and controls. The following elements of the IPM will need to be established in the development ESMP

1. Identify and Monitor Pests - Not all insects, weeds, and other living organisms require control. Many organisms are innocuous, and some are even beneficial. IPM programs work to monitor for pests and identify them accurately, so that appropriate control decisions can be made in conjunction with action thresholds. This monitoring and identification removes the possibility that pesticides will be used when they are not really needed or that the wrong kind of pesticide will be used.

2. Set Action Thresholds - Before taking any pest control action, IPM first sets an action threshold, a point at which pest populations or environmental conditions indicate that pest control action must be taken. Sighting a single pest does not always mean control is needed. The level at which pests will either become an economic threat is critical to guide future pest control decisions.

3. Prevention - as a first line of pest control, IPM programs work to manage the crop, lawn, or indoor space to prevent pests from becoming a threat. In an agricultural crop, this may mean using cultural methods, such as rotating between different crops, selecting pest-resistant varieties, and planting pest-free rootstock. These control methods can be very effective and cost-efficient and present little to no risk to people or the environment;

4. Control - Once monitoring, identification, and action thresholds indicate that pest control is required, and preventive methods are no longer effective or available, IPM programs then evaluate the proper control method both for effectiveness and risk. Effective, less risky pest controls are chosen first, including highly targeted chemicals, such as pheromones to disrupt pest mating, or mechanical control, such as trapping or weeding. If further monitoring, identifications and action thresholds indicate that less risky controls are not working, then additional pest control methods would be employed, such as targeted spraying of pesticides. Broadcast spraying of non-specific pesticides is a last resort.

The project will not procure or use pesticides and chemical fertilizers that are classified as IA or IB by WHO and GOI’s regulations. DGM-I will encourage use of organic fertilizers for activities related to agriculture and agroforestry. However, since small quantities of eligible pesticides may be procured and used, the project will screen at the project level and when justified, assess the potential environmental and social impacts associated with use, storage and disposal. The project will not finance any pesticide without clear guidance and monitoring of safeguard specialists nor without targeted training on use, storage and disposal nor without the right equipment and installations necessary for the products to be used safely and appropriately. In the event pesticides must be used for project activities, the following criteria apply:

155

1. They must have negligible adverse human health effects; 2. They must be shown to be effective against the target species; 3. They must have minimal effect on non-target species and the natural

environment. The methods, timing, and frequency of pesticide application are aimed to minimize damage to natural enemies. Pesticides used in public health programs must demonstrate to be safe for inhabitants and domestic animals in the treated areas, as well as for personnel applying them;

4. Their use must take into account the need to prevent the development of resistance in pests.

Relevant specialists in the NEA and/or local agricultural extension officers will provide technical assistance for implementing CSOs/CBOs and target communities in the event of pesticide use:

1. Provides an assessment of current relevant pest management practices; 2. Identifies specific practices and conditions that could and should be improved

(e.g. calendar-based spraying, use of overly toxic or otherwise inappropriate pesticides, failure to apply available non-chemical methods, insufficient access of farmers to information about IPM, policy biases towards chemical control, deficiencies in institutional capacity to implement IPM and control of pesticide use, etc.);

3. Provides measures and activities to be taken under the project to improve the situation;

4. Provides a monitoring scheme to determine the effectiveness of these measures and enable correction where necessary.

156

Annex 20 – Protection of Physical Cultural Resources and Chance-Finds Procedures

Since physical cultural resources, both tangible and intangible, are irreplaceable and has an intrinsic value to the identity and existence of certain communities, dynamic efforts to maintain and develop the existence and functions of cultural heritage. DGM-I will not finance any activities that have intended adverse impacts on physical cultural resources, including removal or alteration of any physical cultural property (includes sites having archeological, paleontological, historical, religious, or unique natural values) and/or restriction of access of certain communities to such sites. However, in circumstances where project activities unintentionally discover any cultural object or property during their implementation such as (but not limited to) an archeological or historical location, a cultural remnant or relic, a cemetery or a tomb during an excavation or construction, the implementing CSOs/CBOs and communities should:

1. Stop any activities in the discovery area; 2. Describe the discovered site or area to the NEA and NSC for follow-up actions; 3. Secure the location to avoid damage to or the loss of the relics. If there is any ancient

relic or historical remnant discovered, local communities need to be mobilized to guard the areas;

4. prohibit the collection of the relics by individuals and/or workers; 5. with endorsement from community representatives, immediately notify the local

authority; 6. The local authority should protect and preserve the location before setting the next

program procedure. Any decision should be consulted with communities through free, prior and informed consultations with regards to the management of discovered cultural property/sites.

7. An evaluation of the discovery by an archeologist may be needed to assess the significance of the discovery against criteria related to cultural heritage, including the aesthetics, the history, science or research importance, social science and economic values;

8. Mutually acceptable decision should be made with communities and local authority regarding the handling of the discovery. This will include changes in the project layout, conservation, maintenance, restoration and rescue (such as when finding an immovable historical ruin that has cultural or archeological value);

9. The implementation of decisions regarding discovery management conveyed in writing to community representatives and the relevant local government offices; and;

10. Construction may be resumed after permission has been given by the communities and the local authority responsible for the protection of cultural physical objects.

157

Annex 21 – Community Participation Framework

Description The Community Participation Framework (CPF) is developed to mitigate the impacts of DGMI-funded projects, particularly in regard to potential conflict, both vertical conflict with the government, conflict with the private sector, as well as horizontal conflict between members of IPLCs. Through the participatory approach, relevant parties, IPLCs, government agencies, private sector and non-beneficiary communities around the project site are encouraged to play an active role in the decision-making process at the planning and implementation of the environmental and social safeguards framework, either directly or indirectly. Guidelines on the involvement of stakeholders and the public in the planning and implementation of DGMI are highly necessary, among others, to ensure that the rights and obligations of stakeholders are duly upheld in line with the Environmental and Social Safeguards Framework, and to guarantee that this Framework is implemented in a transparent, effective, accountable manner.

Purpose The purpose of community participation in DGMI activities are as follows: 1) IPLCs as the main decision-makers of DGMI activities gain full understanding of the

potential negative environmental and social impacts; 2) IPLCs as beneficiaries can obtain information on planned DGMI activities from the outset

by meeting the Free, Prior, Informed Consultations requirement as provided in Annex 22;

3) To prevent vertical and horizontal conflicts.

Participation When Developing Proposals Participation is required when CSOs/CBOs develop proposals or activity plans. This is necessary to ensure that IPLCs have a strong sense of ownership toward the planned activities, having met the Free, Prior, Informed Consultations requirement as presented in Annex 22. The participatory process is also designed in a way that can help anticipate potential conflicts among IPLCs and the necessary mitigation measures. Project design should make sure that at least 30% of beneficiaries are women. Furthermore, it should also target vulnerable groups, such as youths. The participatory process must engage as many women and vulnerable group representatives as possible. During activity planning/proposal development, the participation process should include the following stages:

1. NEA/NSC provides preliminary information which clearly describes DGMI’s scope, opportunities offered and the benefits that IPLCs will enjoy. Such information should include a negative list of activities which cannot be funded by DGMI, through calls of proposal as well as communication and public information, both in print and online media;

2. Based on consultation with regional NSC members, CBOs/CSOs identify priority IPLCs who will receive facilitation for developing their proposal/activity plan;

3. CBOs/CSOs provides preliminary information which clearly describes DGMI’s scope, opportunities offered and the benefits that IPLCs will enjoy. The information conveyed should emphasize on the negative list of activities that cannot be financed by DGMI;

4. Allow for enough time to ensure that the information reaches all layers of society, including women, youths/teenagers and other vulnerable groups.

5. Develop decision-making mechanisms tailored to local norms, customs and traditions which will create interests among IPLCs to submit DGMI proposals/activity plans. In

158

certain aspects, such mechanisms need to be broadened to engage more women and representatives from other vulnerable groups.

6. Facilitate a participatory planning process to ensure that the opportunities offered under DGMI are in line with IPLC aspirations. Reach an agreement on baseline information (potentials and problems) and the expectation gaps before determining the goals, targets, outputs, activities and indicators of success for the proposed plan. In the event that there are impacts overseen from the proposed activities, for instance certain community groups giving up their access to land and natural resources due to conservation or issuance of land titles, there is a need consult with potentially affected communities/groups with regards to mitigation measures. Evidence of such consultations and agreements reached must be duly documented.

7. Proposals are fully developed by CSOs/CBOs according to the outcomes of the participatory planning process. Openly communicate to the public on the content of the proposal through a consultation mechanism.

8. Proposals ready for submission to NEA/NSC must be supported by a written approval from IPLC through an institution appointed jointly from a participatory process. The approval should explicitly state (1) the IPLC’s acceptance of the CSO/CBO as facilitator at its own free will; and (2) the IPLC’s acceptance of the proposal/activity plan submitted by the CBP/CSO to NEA/NSC, without coercion of any kind.

9. If the proposal is approved but does not fully meet ESMF requirements, NEA shall hold a coaching clinic to improve the proposal for gaining NSC’s approval.

Participation During Implementation Given DGMI’s characteristics, the project/activity must be implemented in a participatory manner for the main purpose of preventing or managing potential conflicts, both vertically with the government and horizontally among community members, either with non-beneficiaries or among beneficiary IPLC members, including vulnerable groups, of which at least 30 percent are women. The participatory process, particularly relating to the mapping and recognition of customary land, is a sensitive issue that warrants special attention. The initiative to map out customary land and seek due recognition – a process which IPLCs have started – should be given priority. This can help prevent long, drawn-out conflicts from further escalating. Participation is oriented to the acceptance of all key stakeholders, including but not limited to:

1. Key representatives of IPLCs in the project location 2. Key representatives of IPLCs around project location 3. Relevant village authorities 4. Decision-makers in the relevant govenrment agencies, especially Forest Management

Unit (FMU) administrators, national government bodies dealing with forest areas, social forestry and environmental partnership, provincial forestry offices, as well as district social affairs and environmental offices.

5. Private entities whose concession areas are related to beneficiary IPLC.

Several basic principles that underpin the participatory process for community land mapping and recognition:

1. The mapping process must fully adopt a participatory mechanism that all parties recognize, for example the Guidelines for Customary Land Mapping from BRWA and JKPP.

159

2. The mapping process must be integrated into the customary land recognition mechanism that is in accordance with existing laws and regulations in order to gain the full support of parties concerned.

3. All policy processes related to customary land recognition are to engage competent people from CBOs/CSOs and the NSC.

4. All agreements reached during the participatory process must be documented, enclosed with the attendance list of participants, and presented in an activity report.

5. The participatory process should be guided by a team of facilitators or a facilitator who understands the needs and aspirations of beneficiary IPLC, yet can objectively accommodate the views and opinions of all parties to prevent and or manage potential vertical and horizontal conflict.

Apart from customary land mapping and recognition, a participatory approach is also applied to livelihood development, including in making the necessary preparations related to social forestry permits for local communities. This process is primarily intended to manage horizontal conflict among IPLC members, increase activity effectiveness/efficiency, and ensure the fair and equitable distribution of benefits for all IPLC members, including vulnerable groups, of which 30 percent should at least be women. In this participatory process, the key stages are as follows:

1. Delivery of initial information on the scope, goals and opportunities for livelihood development programs to be implemented.

2. Conduct more in-depth participatory assessments on whether the agreed upon planned livelihood development activities will/will not adversely affect the community’s environment and social and cultural dimensions, or will/will not be inconsistent with IPLC’s social capital.

3. Develop a mitigation action plan, if negative impacts are anticipated. If required by local laws, mitigation measures must be set out in the UKL/UPL (Environmental Management and Monitoring) document or SPPL in order to obtain environmental permits. Such permits are a requirement for field implementation of activities.

4. Through a participatory approach, decide on activities to be conducted within a specified period of time with clear timetables.

5. Determine locations in a participatory manner. When project locations involve land donation/land use permit/easement permit, the procedure set forth in Annex 23 should be followed.

6. Delegate roles for implementing activities. 7. Periodically monitor and evaluate activity implementation in a participatory manner.

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Annex 22 – Guidance Note for Free, Prior, Informed Consultations

The extent, frequency and degree of engagement required by the consultation process should commensurate with the identified project risks and adverse impacts and with the concerns raised by IPLCs. Free, Prior, Informed Consultations are built on mutually accepted process between the full range of representative community member and CSO/CBO/IPO. Free, Prior, Informed Consultations serve at least two purposes:

1. Provide a platform to undertake a process of consultations in good faith and in a manner that provides IPLCs with opportunities to express their concerns, views on DGMI benefits, risks, impacts, and mitigation measures and explore ways to leverage willingness to involve in DGMI are culturally and socially acceptable benefits.

2. Provide an entry point for CBO/CSO/IPO to engage with IPLC’s institution and decision making process based on local/customary mechanism.

Free, Prior, Informed Consultations should be orientated towards obtaining broad community support and by which, broad community support consists of a collection of expressions by community members and/or their recognized representatives in support of the proposed project/sub-project activities. In the unique DGMI approach, Free, Prior, Informed Consultations should use IPLCs’ institution and local/customary decision making processes mechanism during planning stage. Gender perspective should be added to make sure that at least 30 percent of women in the community will benefit from the project. As many as possible female have to be involved in the decision making process at planning stages. The Community Participation Framework needs to be based on gender-sensitive and inter-generationally inclusive approaches. Effective Free, Prior, Informed Consultations are built upon two-way processes that should:

1. Involve members of affected communities and their recognized representative bodies and organizations in good faith.

2. Capture the views and concerns of men, women and vulnerable community segments including the elderly, youth, displaced persons, children, people with special needs, etc. about impacts, mitigation mechanisms, and benefits where appropriate as reflected in SIAPs and CSPs. If necessary separate forums or engagements need to be conducted based on their preferences.

3. Begin early in the process of identification of environmental and social risks and impacts and continue on an ongoing basis as risks and impacts arise.

4. Be based on the prior disclosure and dissemination/socialization of relevant, transparent, objective, meaningful, and easily accessible information that is in a culturally appropriate language(s) and format and is understandable to affected IPs. In designing consultation methods and use of media, a special attention needs to be paid to include the concerns of Indigenous women, youth, and children and their access to development opportunities and benefits.

5. Focus on inclusive engagement on those directly affected than those not directly affected;

6. Ensure that the consultation processes are free of external manipulation, interference, coercion and/or intimidation. The ways the consultations are designed should create enabling environments for meaningful participation, where applicable. In addition to the language(s) and media used, the timing, venues, participation

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composition need to be carefully thought through to ensure everyone could express their views without repercussions.

7. Be documented. Where there is broad support from IPLCs’ to the project, CSO/CBO/IPO should prepare:

1. Documented evidence of Free, Prior, Informed Consultations as well as measures taken to avoid and minimize risks and adverse impacts to environment and socio-cultural aspects. This includes list of participants, meeting minutes and other documentation (e.g. photos, video, etc.);

2. Action plan and recommendations for Free, Prior, Informed Consultations during project implementation, monitoring, and evaluation, and

3. Any formal agreements reached with IPLCs and/or their representative institutions. Requirements

To ensure that Free, Prior, Informed Consultations can be ascertained, the following requirements are needed to determine whether:

- The level of engagement in a way that enables informed participation of IPLCs is acceptable;

- The level of support and dissent among IPLCs for the project is taken into account into decision making and development of mitigation measures.

Consideration Requirements

Project’s strategy and principles on engagement

Community Participation Framework to mainstream Free, Prior, Informed Consultations;

Project Operational Manuals on Free, Prior, Informed Consultations;

Budget and personnel provisions;

Consultation schedules and other supporting documentation.

Stakeholder identification and analysis

Stakeholder analysis as part of the Social Assessment; needs to be built on gender-sensitive and inter-generationally inclusive approaches

Community Engagement

Consultation plan, public consultation and disclosure plan, and stakeholder engagement plan;

Schedule and record of community engagement including discussions and consultations with community members and their representatives.

Information disclosure Disclosure plan, including schedules

Materials prepared for disclosure and consultations;

Record/minutes of discussions/consultations with community members and their representatives

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Consideration Requirements

Free, Prior, and Informed Consultations

Record/minutes of discussions/consultations with community members and their representatives;

Documentation of measures taken to avoid/minimize risks to and adverse impacts on environment and socio-cultural aspects of IPLCs based on community feedback;

Draft of Action Plan, reflect that proposed project/sub project is owned by IPLCs’;

Consultations with vulnerable groups

Engagement and public consultation plan

Record/minutes of discussions/consultations with members and representatives of vulnerable groups

Documentation of measures taken to avoid/minimize risks to and adverse impacts on vulnerable groups based on community feedback

Draft of Action Plan

Grievance redress mechanism

Organizational structure and responsibilities and procedures to manage grievances;

Record of grievances received, including expressions of support or dissent;

Record/minutes of discussions with community members or representatives with regards to grievance redress.

Feedback to IPLCs (to demonstrate that concerns and recommendations have been accommodated in the project and rationale why recommendations have not been accommodated)

Documentation of risk mitigation measures

Record/minutes of discussions with community members and their representatives;

On-going reporting on implementation of Action plan;

Revisions in project/sub-project activities and Action Plan;

Surveys/interview records.

Formal expressions of support or dissent

Record/minutes of meetings/public consultations with community members and their representatives;

Formal letters/written petitions of support/objection submitted by the community and/or their representatives;

Informal expressions of support or objection

Photographs, media reports, personal letters or third party accounts (NGOs, CBOs, etc.)

Evidence of good faith consultations

Face-to-face interviews with community members/representatives in the consultations;

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Consideration Requirements

Agreements reached with IPLCs (e.g. Letters of Intent, Joint Statements, etc.)

Action plan, e.g. development plan, etc.

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Annex 23 - Handling of Voluntary Agreement on Use of Land Livelihood development in many cases requires the availability of land, either collectively-owned or borrowed land from individuals. Borrowed land, as well as buildings and/or facilities constructed in the interest of IPLCs are common assets, and as such should be implemented according to the prevailing customary law or Home Affairs Ministerial Regulation No. 1/2016 regarding Rural Asset Management.

DGMI-funded development activities must have an alternative location, ensuring that any borrowed land, land use permit or easement permit is granted by the landowner voluntarily, without coercion or pressure from anyone. A development activity/site needs to be relocated when the landowner’s consent was not fully obtained or was given under duress.

If the plot of land required for the development activity cannot be obtained through borrowing/land use permit/easement, the community needs to seek an alternative location or other forms of infrastructure. Under DGMI terms and conditions, funds may not be utilized for acquiring land to expand rural customary territories. Any decision involving the use of land borrowed must not affect the livelihoods of the owning households and should not exceed more than 10% of the original total land size.

Land may be made available through: (a) borrowing, (b) land use permit, and (c) land easement:

Borrowed Land refers to the relinquishing the use of land to another party upon the voluntary consent of the Owner, for no compensation, and for a certain period of time. The requirements of borrowed land is that it should be voluntary, real and accompanied with proof of transfer of ownership rights to the property, in part or in whole, to be used for the community’s collective interests. Based on the agreement, the owner must be made explicitly aware that if he or she agrees; all individual rights to the property, during the period of the agreement, shall be fully transferred to the village/customary institution. The decision will be declared final, and documented in the Voluntary Agreement on Use of Land (Annex 23.1).

Use permit refers to the conferring of the right to borrow and use land to another party, not permanently or for a specified duration agreed by all parties, during which time the owner may not utilize the property for his or her own interests. The use permit must be made known and verified through a written agreement signed by the owner and village representative, i.e., village head or customary elder (Annex 23.2).

Easement permit refers to consent for allowing infrastructure financed by the project to pass through the land in the community’s shared interests (e.g., installation of pipes, street lighting, electric cables, etc.). The landowner may still use the land on which the infrastructure passes through. An easement permit must be in writing through an Agreement Letter for an Easement of Right of Way to be signed by all parties concerned (Annex 23.3).

Several requirements must be met in regard to land donation/use permit/easement permit:

1. The landowner must have prior information and full understanding of the consequences of his or her decision to handover the right to land/use/easement. For land donation, it would mean permanently waiving the right to land according to the size of property bequeathed.

2. The land owner is provided with the necessary information in a clear manner on the rural development activity from which he or she will wish to donate land or allow the use or easement of property, voluntarily, without coercion.

3. The landowner must have clear and complete information on the content of the agreement for access to his or her land in the interest of rural development.

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4. The village authority/customary institution must verify the land’s status (whether it comes with a certificate or not, the type of certificate) and that the land is not in dispute. A copy of the land deed is enclosed with the Agreement Letter of Land Donation/Land Use Permit/Land Easement.

5. Voluntary agreement for use of land is allowed if the donor (landowner) benefits from the development, and his or her life will not become worse after the land is donated.

6. All agreements must be documented according to customary rules or existing legislation.

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Annex 23.1. Sample of Agreement Letter for Voluntary Land Donation

I, the undersigned:

Name : ID Card No. : Occupation : Address :

As the owner of the land by virtue of a valid Title Deed Number....... Date......... or other valid written proof…….(specify), hereby declare my willingness to let the land and other assets thereon, if any, to the Village Government/Customary Institution.............................(specify) to be utilized for the development of …………………. for the benefit the community at large, for the period of ……., subject to extension as necessary.

Name of activity : Location of land : Size of land : Size of remaining land : Value of other assets : Current use of land : Ownership status :

(Please provide the demarcation of boundaries and ownership status of the land, and a clear map with the location and orientation, if necessary complete with the GPS coordinates)

Example:

This statement is hereby duly made without coercion of any kind and to be used accordingly.

Place, date

Owner, Recipient,

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On behalf of the Village Authority/Customary Institution Signature of landowner on a IDR 6000 stamp duty (……Name……) (…..Name…..)

Signature of Sub-District Head as PPAT (Official Certifier of Title Deeds)

(…....Name…..)

Signature of inheritors:

Name 1 signature

Name 2 signature

Name 3 signature

etc.

Signature of witnesses:

Name 1 (village official/customary institution) signature

Name 2 (community figure/customary elder) signature

Name 3 (closest neighbor) signature

etc.

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Annex 23.2. Sample of Agreement Letter for Use of Communal Land

We, the undersigned:

Name of representative(s): ID Card No. : Occupation : Address :

As the owner of the land by virtue of a valid Title Deed Number....... Date......... or other valid written proof…….(specify), hereby declare our willingness to let the land and other assets to the Village Government/Customary Institution.............................(specify) to be utilized for the development of ………for a period of……years for the benefit of the community at large, or for as long as the facility remains functioning. This land use permit can be renewed upon agreement.

Name of activity : Location of land : Size of land : Size of remaining land : Current use of land : Ownership status :

(Please provide the demarcation of boundaries and ownership status of the land, and a clear map with the location and orientation, if necessary complete with the GPS coordinates)

Example:

This statement is hereby duly made without coercion of any kind and to be used accordingly.

Place, date when the agreement is entered into

Grantor, Grantee,

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On behalf of the Village Authority/Customary Institution

Signature of landowner

On IDR 6000 stamp duty

(……Name……) (…..Name…..)

Signature of community members:

Name 1 signature

Name 2 signature

Name 3 signature

etc.

Signature of witnesses:

Name 1 (village authority/customary institution) signature

Name 2 (community figure/customary elder) signature

Name 3 (closest neighbor) signature

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Annex 23.3. Sample of Agreement Letter for Land Easement

I, the undersigned represent the landowner:

Name : ID Card No. : Occupation : Address :

Hereby declare the willingness to allow easement through the property for the facility/construction of ……. to be developed by the Village Government/Customary Institution to be utilized for the benefit of the community at large for a period of ….. years or for as long as the facility remains functioning. This easement permit can be renewed upon agreement from the landowner.

Number of owners of land on which easement is sought : Dimension of the land required (length and width) : Location of land :

(Please provide a drawing of the property showing the location on which the infrastructure will be built, including information on the demarcation of boundaries, planned infrastructure, orientation and direction, and if necessary provide the GPS coordinates)

Example:

This statement is hereby duly made without coercion of any kind and to be used accordingly.

Place, date when the agreement is entered into

Representative of Grantor Grantee on behalf of the Village Authority/Customary Institution

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Signature of landowner

On IDR 6000 stamp duty

(Name) (Name)

Attachment:

We, the undersigned, have agreed to allow easement for the development of …................

(Signature of the owners of land on which the infrastructure will be built on)

No. Name Land Status Signature

1. Example:

Syukri Mahadi

Ownership rights (letter C)

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Annex 24 – Environmental Permits and Management and Monitoring Measures

The purpose of Environmental Management and Monitoring is to establish a set of policies and guidelines that will help NSC/NEA in screening, assessing, and monitoring the environmental and social aspects of all projects financed by DGMI. The screening process will identify the degree of impact of each proposed sub-projects and types of mitigation measures required. DGMI projects, especially those related to livelihood improvement may lead to possible environmental impacts that need to be managed; thus requiring environmental permits by developing the UKL-UPL (Environmental Management and Environmental Monitoring Scheme) document or issuing SPPL. It should be noted that project locations must not directly share borders with conservation areas. Otherwise, the submission of an Environmental Impact Analysis Report (ANDAL) is required, in addition to the RKL/RPL (Environmental Management/Monitoring Plan), which must be ratified by the government in order to secure the necessary environmental permit. Projects which require AMDAL will not be financed by DGMI. It is expected that most sub-projects will not require specific mitigation measures for environmental impact. However, several sub-projects may need additional mitigation measures by preparing the UKL-UPL in order to obtain environmental permits.

UKL and UPL contain mitigation plans and monitoring of standards to address the typical impacts of construction activities, including workers/community, health and safety, land-related work, and waste management, including hazardous and toxic waste. UKL-UPL must be prepared by competent institutions, and must meet the requirements laid out in Environment Ministerial Regulation No. 16/2012. The UKL-UPL document structure and matrix are provided in Table 5 below.

Structure and substance of UKL-UPL document

Document Structure Explanation of Substance

A Identity of Initiator

1. Name of Initiator

2. Office address, post code, phone and fax no., email

3.

B Activity Plan

1. Name of Activity

2. Location of planned activity and enclose the cartographic map and/or an illustration

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Document Structure Explanation of Substance

of the location with the appropriate scale

3. Scale/Magnitude of planned activity

Specify the size and or length and/or volume and/or capacity or other measurements that can illustrate the scale of the activity.

Example: Tourism industry: size of land used and tourism facilities to be developed; number of rooms, laundry machines, and holes; and seating capacity of entertainment centers and restaurants

4. Overview of activity plan components

In this section, the initiator explains on the following: a. compatibility of project location with the spatial plan

This section describes the compatibility of the project location with the spatial plan as set out in prevailing laws and regulations. This information may be presented by overlaying the map of project location boundaries with the existing spatial plan (RTRW) that has been ratified (a draft RTRW may not be used). Based on the spatial analysis, the initiator briefly explains and concludes on the compatibility of the project location with the spatial plan; on whether all project locations are consistent with the spatial plan, or that some or all are not in alignment. If there are still obstacles or doubts over the information on compatibility with RTRW, the initiator may request for formal evidence/judgment from authorized agencies responsible for spatial planning, such as BKPTRN or BKPRD. Evidence that support the compatibility with the spatial plan must be enclosed. If the project location is not in aligment with the spatial plan, the UKL-UPL document cannot be processed further according to Article 14 clause (3) Government Regulation No. 27/2012. Furthermore, for certain activity plans, the initiator must conduct a spatial analysis on the compatibility of the project location with the Indicative Map of Moratorium on New Forest Licenses (PIPIB) attached to Presidential Instruction No. 10/2011, or revised regulations, or the issuance of new regulations on this subject matter. Based on the spatial analysis, the initiator can conclude on whether the project location is inside or

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Document Structure Explanation of Substance

outside of the primary forest or peatland covered in PIPIB. If it lies within the PIPIB area, except for certain activities exempted in Presidential Instruction No. 10/2011, the UKL-UPL document may not be processed any further. The compatibility of the project location with PIPIB as provided in Presidential Instruction No. 10/2011 is applicable for 2 (two) years effective from the date in which the Presidential Instruction was issued.

b. Explanation on in-principle approval of the activity plan This section focuses on the need for approval in principle from the authorized party stating that the type of planned activity in principle can be conducted. Formal proof of the in-principle approval must be enclosed.

c. Description on activity plan components that may cause environmental impacts In this section, the initiator presents the components of the planned activity that may impact on the environment. The description may be structured according to the project implementation stages, namely pre-construction, construction, operation and closing/post-operation. These stages may differ according to the type of planned activity.

C Environmental Impacts and Efforts to Manage and Monitor the Environment

This section essentially contains a table/matrix that cover the following: 1. Environmental impacts caused by the proposed

project The column on Environmental Impacts consists of three sub-columns that provide the following information: a. source of impact: information on the type of

impact generating sub-activities for every activity stage (pre-construction, construction, operation and post-operation);

b. type of impact: information on all environmental impacts that may arise from activities at every stage involved; and

c. degree of impact: information on quantitative parameters, the degree of impact must be measured quantitatively.

2. Environmental management The colummn on Environmental Management

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Document Structure Explanation of Substance

consists of three sub-columns on the following information: a. type of environmental management effort:

information on the proposed type/form of environment management effort for each anticipated environmental impact;

b. location of environmental management effort: information on the location where the environmental management effort will be carried out (a narrative may be provided stating that a clearer description of the location is presented in the environmental management map enclosed in the UKL-UPL document); and

c. period of environment management effort: information on when such planned effort will be implemented.

3. Type of environmental monitoring

The column on Environmental Monitoring consists of three sub-columns containing the following information: a. type of environmental monitoring: information on

the methods and/or tehcniques for monitoring the quality of the environment as an indicator of success for environmental management (may include the data collection method and analysis on environmental quality, etc.);

b. location of environmental monitoring; information on the location where monitoring activities will be conducted (a narrative may be provided stating that a clearer explanation on the location is presented in the environmental monitoring map as part of UKL-UPL annexes); and

c. period of environmental monitoring: information on when the planned monitoring activities will be conducted.

4. Environmental management and monitoring

institutions The column on Environmental Management and Monitoring Institutions contains information on the relevant entities involved in environmental management and monitoring that will: a. manage and monitor the environment; b. oversee the implementation of environmental

management and monitoring activities; and c. receive periodic reporting on the outcomes of

fulfilling the commiment to manage and monitor the environment according to the respective

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Document Structure Explanation of Substance

institution’s scope of duty, and pursuant to existing laws and regulations.

In this section, the initiator may provide a map, sketch or drawing with the appropriate scale in relation to the environmental management and monitoring program. The enclosed map must follow cartographic standards.

D Number and type of environmental management and monitoring (EMM) permit required

In this section, if the proposed activity plan requires an EMM permit, the initiator presents a list of the necessary permits (number and type) for environmental management and protection.

E Letter of Statement This section provides the initiator’s statement/commitment to undertake UKL-UPL, in writing, bearing the initiator’s signature on a stamp duty.

F References This section presents the list of sources of data and information for preparing the UKL-UPL document, including books, journals, articles, papers and research reports. The list must follow the rules for presenting references.

G Annexes Other pertinent data and information considered necessary may also be included in the UKL-UPL document, such as the following: 1. formal proof stating that the type of activity in

principle can be conducted; 2. formal proof that the activity plan is compatible with

the existing spatial plan (as confirmed in a letter issued by the National Spatial Planning Coordination Agency (BKPTRN), or other agencies responsible for spatial management);

3. other details on the activity plan (if necessary); 4. a cartographic map and/or illustration of the location

with the appropriate scale to describe the location for the environmental management and monitoring activities; and

5. other data and information deemed necessary. Activities that do not require a UKL/UPL document, but must develop the necessary environmental and monitoring measures should issue an SPPL in order to obtain environmental permits. The SPPL format is provided in Annex 24.2.

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Annex 24.1 – Template for Recapitulation of Impacts, UKL – UPL

Environmental Impact Environment Management Effort (UKL) Environment Monitoring Effort (UPL) Executing Institutions Forms of UPL

Remarks Magnitude of Impact Magnitude

of Impact Forms of UKL

Location of UKL

Duration of UKL

Forms of UPL Magnitude of Impact

Forms of UKL

Location of UKL

Duration of UKL

(List the measure-ments that can state the magnitude of impacts)

(List the forms/type of environ-ment manage-ment plans to manage each impact) g

(List the information about the locations where the environ-ment manage-ment will be conducted)

(Provide information on time period for the planned environ-ment manage-ment efforts)

(Provide information on ways, methods, and/or techniques to monitor environmental qualities, which are the indicators for success. Of environment management efforts).

(List the measurements that can state the magnitude of impacts)

(List the forms/type of environment management plans to manage each impact) g

(List the information about the locations where the environment management will be conducted)

(Provide information on time period for the planned environment management efforts)

(Provide information on ways, methods, and/or techniques to monitor environmental qualities, which are the indicators for success. Of environment management efforts).

(List the measurements that can state the magnitude of impacts)

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Annex 24.2 - Format for SPPL Application

LETTER OF COMMITMENT FOR ENVIRONMENTAL MANAGEMENT AND MONITORING (SPPL)

We, the undersigned:

Name : ............................................................................ Position : ............................................................................ Address : ............................................................................ Phone : ............................................................................

As the party taking responsibility for the environmental management of:

Name of company/business : ......................................................... Address of company/business : ......................................................... Phone no. of company/business : ......................................................... Type/nature of business : ......................................................... Production capacity : ......................................................... Permit already held : ......................................................... Purpose : ......................................................... Amount of capital : .........................................................

Hereby declare our commitment to:

1. Maintain public order and work toward fostering good relations with nearby communities. 2. Maintain the health, hygiene and beauty of the project location. 3. Be accountable for any environmental damage and/or pollution caused by the activity. 4. Be willing to be monitored for environmental impacts arising from the activity by the authorized

officer. 5. Conserve the natural resources and environment at the location as well as around the project

location. 6. Take responsibility if we fail to keep to Commitment 1 to 5 above, according to existing laws and

regulations.

Explanation:

a. Environmental impacts that have occurred: 1. 2. 3. 4. 5. etc.

b. Measures taken to deal with the environmental impacts: 1. 2. 3. 4. 5. etc.

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The SPPL shall be effective from the date it was issued until the completion of the activity, or there is a change in location, design, process, raw material and/or supporting material.

Approved by,

Head of Provincial/District/City Environmental Agency

N A M E

(..................................................)

Employee ID No.

Date, Month, Year

Declared by,

N A M E

(..................................................)

Note:

The format above is the minimum requirement and can be developed further.

IDR 6,000 stamp duty Signature

Company seal