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DEDICATED GRANT MECHANISM INDONESIA Environmental and Social Management Framework

(ESMF)

Prepared by:

SAMDHANA INSTITUTE

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Abbreviations and Acronyms

CPF Community Participation Framework

DGM Dedicated Grant Mechanism

DGMI Dedicated Grant Mechanism Indonesia

EA Environmental Assessment

EIA Environmental Impact Assessment

ESMF Environmental and Social Management Framework

FIP Forest Investment Program

GOI Government of Indonesia

HCVA High Conservation Values Area

IPM Integrated Pest Management

IPLC Indigenous Peoples and Local Community

NOL No-Objection Letter

OM Operations Manual

PAPs Project Affected Persons

RAP Resettlement Action Plan

RMA Rencana Masyarakat Adat (Indigenous Peoples Plan)

RPLS Rencana Pengelolaan Lingkungan dan Sosial (Environmental and Social Management Plan)

SA Social Assessment

UKL and UPL

Upaya Pengelolaan Lingkungan dan Upaya Pemantauan Lingkungan

WB World Bank

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Table of Contents

AbbreviationsandAcronyms..................................................................................................ii

TableofContents...................................................................................................................iii

ListofTables...........................................................................................................................iv

ListofPicture..........................................................................................................................iv

ListofAnnexes.......................................................................................................................iv

1. Introduction.....................................................................................................................5

2. ProjectDescription..........................................................................................................6

3. NationalPoliciesandtheWorldBank.............................................................................9

4. EnvironmentalManagementandMonitoringFramework...........................................13

5. InformationDisclosure..................................................................................................20

6. GrievanceRedressMechanisms....................................................................................20

7. EvaluationandAudits....................................................................................................21

8. Institutional Arrangementand Capacity Building Measures........................................22

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List of Tables

Tabel1-LegalandInstitutionalFrameworkDGMI...............................................................11

Tabel2-PotentialImpactsandMitigationMeasures..........................................................14

Tabel3-EnvironmentalManagementandMonitoringPlan(ESMP/UKL-UPL)template…..16

Tabel4-KeyResponsibilityofEnvironmentalandSocialSafeguardImplementation...Error!Bookmarknotdefined.8

Tabel5-SummaryofResponsibilitiesofMajorActors........................................................22

Tabel6-BudgetEstimation..................................................................................................25

Tabel7-DaftarKategoriProyekMenurutBankDuniadanPemerintahIndonesia……………42

Tabel8-Struktur&SubstansiDokumenUKL-UPL……………….………………………….……..….……43

List of Picture

Picture1BriefSchemeonApprovalproceduresESMF..........................................................19

List of Annexes

Annex1-ProcedureofScreeningforNegativeList............................................................266

Annex2-CommunityParticipationFramework.................................................................277

Annex3-GuidanceforFPIC……………………………………………………………………………………….……31

Annex4-HandlingofVoluntaryLandDonation.................................................................344

Annex5-EnvironmentalManagementandMonitoringFramework…..……………………….……42

Annex6-TemplateforUKL-UPL…..…………………………………………………………….……………….…48

Annex7-FormatforSPPLApplication…….…………………...………………………………………………...49

Annex8-ProjectComponentsandSub-componentsofDGMI………………………………………….51

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1. Introduction Forest Investment Program (FIP) was formulated in 2009 as one of the programs under the CIF (Carbon Investment Funds) for bridging REDD funding from developed countries. FIP design gives importance to the active participation of Indigenous Peoples and local communities (IPLC) and the need for resources dedicated specifically to strengthen their capacity to participate in the FIP implementation. Hence the development of a special initiative, the Dedicated Grant Mechanism for IPLC (DGM), "to provide grants to IPLC in pilot countries or territories to support their participation in the strategies, programs and projects of FIP investment". Facilated by DKN, regional assemblies have been organised during Januari-June 2014 to select NSC. The NSC consists of 11 persons, representing 7 regions: Java, Sumatera, Kalimatan, Bali, Nusa Tenggara, Sulawesi, Maluku and Papua, plus 2 persons representing IPLC women groups appointed by the constituents through participatory process, and 2 persons representing government and DKN. NSC roles are:

a. Provides oversight to the DGM in the country and keep the functioning of the NEA under review

b. Agrees on eligibility criteria for funding in accordance with the criteria of this Framework Guidelines for Operations, with a 'no-objection' from participating MDBs

c. Reviews and makes funding decisions on eligible project proposals d. Participate in meetings of national REDD+ and FIP institutions e. Raises funds through other programs/mechanisms f. Reports to the GSC on national activities on a semi-annual basis g. Mediates conflicts related to DGM funding proposals

DGMI is managed by NEA and designated by NSC with primary roles:

a. Responsible for the execution of the DGM in the pilot country, including disbursements to grantees per agreement with the corresponding MDB

b. Responsible for oversight, reporting, fiduciary and environmental and social safeguards per MDB policies

c. Reports to the implementing MDB on the allocation and use of funds d. Serves as secretariat to the NSC e. Maintains communication with stakeholders in the country f. Provides information and assistance as needed to grantees g. Prepares information for and coordinates with the GEA

Operational principles and priorities, funding modalities and governance of special grant mechanism should be developed through extensive and transparent consultations with IPLC (and their designated organizations) throughout the project area, and to build on lessons learned from existing mechanisms.

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DGM Indonesia (DGMI) falls within project category B which is not expected to have significant environmental and social impacts, but still requires a safeguard framework to ensure the activities will not harm the IPLC, especially the most vulnerable groups among the communities in accordance with World Bank Environmental and Social Standards and the laws of the Republic of Indonesia. Based on the nature, scope and scale of the project, DGMI is expected to apply 6 WB ESS, namely for: ESS 1 Environmental Assessment, ESS 3 Pollution, ESS 5 Restriction on Land Use, ESS 6 Biodiversity and Natural Resources, ESS 7 Indigenous Peoples and ESS 8 Cultural Heritage. To meet the requirements of the safety framework above, the DGMI National Executing Agency (NEA) with participation of the National Steering Committee (NSC) prepare the terms of social and environmental safeguards (ESMF), to guide them in the implementation of the DGMI in identifying, selecting, and assessing environmental and social issues posed by sub-projects in specific locations. ESMF also explains the management and mitigation measures that must be applied, as well as management plans to be prepared by the project implementers before the implementation of sub-projects. In the event of future DGMI counterpart funding, the similar or more stringent ESMF applies especially for the more difficult project areas. The NSC and the NEA agrees to this. ESMF document is one of the primary reference documents required by DGMI. Proposals will not be funded without satisfactory compliance. To this end, ESMF information is made accessible and structured in a simple, clear, and concise manner, in order to be understood by users with various levels of knowledge and understanding of the framework, especially users at the site level. NEA will be transparent and enables all applicants to comply through coaching, consultations.

2. Project Description Consistent with the framework of the Global DGM, we separate Indigenous Peoples (IP) from Local Communities (LC). Such separation came naturally from the communities themselves, there were those who declared themselves as indigenous peoples and those who said they were not. The purpose of DGMI is to support the technical, institutional and communication capacities of IPLC to enhance tenure security, improve livelihoods, effectively participate in REDD + policy dialogue and enhance their land management. The DGMI explicitly stated in the PAD document: "IPLC increase capacity to participate in natural resource management through forest tenure security and increased opportunities to earn a living from forest management". Success in achieving DGMI objective is measured with 3 indicators:

a. IPLC are supported by local government for recognition of their customary land maps

b. Practices of sustainable land uses are adopted

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c. Number of beneficiaries, with minimun 30% are women

To date the exact location and specific activities DGMI are still very open, depending on the proposals submitted by the IPLC constituents. Generally, NSC is targeting 14 priority sites in seven regions. All activities are focused on three main components, namely: (1) Strengthen Capacity to Enhance IPLC's Tenure Security over forest lands; (2) Build IPLC's Capacity to Improve Livelihoods; (3) NSC Capacity Building and Project Management and M & E.

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 activities and income. Approximately 30% of the total beneficiaries will be women. NSC has decided that DGMI will give priority to people 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 among others mining and plantations).

Project Components

Full description of project components and subcompnents of DGMI can be seen in Annex 8. Among the project sub component, the need of ESMF will related to some sub-project component, as follows: Subcomponent 1.1. Community Outreach and Mobilization

1. This sub component will assist in explaining how resources associated with this project will be allocated, the procedures and criteria for identifying activities that the project will support, the duration of the project activities, and the compliance requirements. The outreach and mobilization will also provide IPLC with information on the challenges and opportunities raised from existing regulations in relation to their land tenureother efforts to clarify rights. It will also cover the responsibilities that communities would face should they pursue these opportunities. The outreach and mobilization will also cover relevant information on public and private resources for local development and processes and requirements for accessing these funds, including benefit sharing mechanism.

2. These activities are inline with safeguard approach to provide free and prior information to all beneficiaries and stakeholders. Important information among other are: all activities included in the negative list, therefore can be funded by DGMI, and the need of strong participatory framework requirement in all proposed project arctivites to prevent and minimize – both vertical and horizontal - conflict between beneficiaries and stakeholders.

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Subcomponent 1.2: Strengthen IPLC's Capacity to Enhance Land Tenure Security

3. The aim of this subcomponent is to assist IPLC advance in processes they are already engaged in to strengthen their tenure security. The support provided will be distinct for IP versus LC communities. This subcomponent will also help local communities that has been formally recognized through subnational regulation and interested in obtaining permits for social forestry to carry necessary steps.

4. This subcomponent would finance the generation of evidence for applications and support the communities to follow up on specific processes. It would provide technical assistance and capacity building for IPLC to assist them with collecting necessary information and documentation on their claims and to show that there are not contestations on the claims. Associated with the latter, the component would also assist with resolving conflicts that directly or indirectly negatively IPLC efforts for greater tenure security. The component would also support building IPLC’s capacity to engage in an efficient and informed manner with the decision-makers in government.

5. The selection of communities eligible for support from this component will be based on the following criteria: (i) evidence of districts willing to engage in recognition of IPLC and their claims for collective land rights, (ii) prior support in participatory mapping of land claims (including customary claims) and maps have already been completed or are pending finalization, (iii) areas are considered a priority for achieving the objectives of REDD+ (e.g., peatlands, lowlands, fire prone areas) or are part of the PIAPS and (iv) feasibility. The assessment of the criteria by which sites and communities will be selected will be elaborated in the project operational manual.

6. At present, the risk of conflict is minimized and the emerging safeguard policy will compile and guide existing local processes to secure smooth implementation. This is because of the advancing policies for rights recognition (see Table 2) and the DGMI year long consultation processes which ripened expectations, allowed for voluntary selection of representatives and resulted in meeting of minds among NGO and CBO alliances both at the center lead by the DKN and other national organizations like AMAN, KPA and other potential beneficiaries.

Subcomponent 1.3: Build IPLC’s Capacity to Improve Livelihoods

7. This subcomponent will assist IPLC with two dimensions of livelihoods: (i) capacity building of local facilitators, development of community investment plans, and prioritization of elements in the plan, and (ii) financing for priority livelihood activities that are widely accepted to contribute to sustainable management of forests and land.

8. This subcomponent would finance eligible livelihood activities identified in community plans that were developed based on the following criteria: (i) the proponents have recently obtained secure tenure over forest land or are in the

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process of obtaining secure tenure over forest lands, (ii) the activities are well aligned with activities proposed, where relevant, in the forest management plans or are activities that are widely accepted to result in sustainable management of forests and land, (iii) feasibility and potential for self-financing following the use of the grant, (iv) potential to leverage other sources of financing, and (v) the proposals are accompanied with evidence of community endorsement.

9. The criteria for eligible activities will ensure the minimum impacts of these sub component activities, however a negative list followed by community partisipatory frame work has to be implemented as safeguard instrument since the early stage of the project. A negative list has to be clearly announced by NEA/NSC since call for proposal.

Component 2: Inform Policy Processes and Dialogue

10. The 2 sub components will focus on strengthening the NSC to engage in policy processes related to REDD+, forest resource management, secure land tenure and improving IPLC’s livelihoods. This component will also build the capacity of the NSC and through the members of the NSC, their associated networks to bring the evidence from the activities supported by the DGM to the various dialogue processes. It will also help the NSC promote greater coordination among various IPLC initiatives that have similar objectives.

11. From safeguard point of view the component will not raise significant negative impacts. However, looking at many wild variables in the policy process and dialog, potential conflict may arise between NSC and government official and/or private company, especially caused by the different approach between positive laws and traditional wisdom in solving the issues concerned. Safeguard instrument will focus on improving the softskill capacity of NSC members on strategic communication ability, negotiation and lobbying, followed by strong evidences that significantly influence the policy improvement.

3. National Policies and the World Bank The Indonesia law and regulation provide guidance for management of environmental impact from project/activity. Law No. 32/2009 on Environmental Protection and Management and Ministry of Environment Regulation No. 5/2012 on types of activity that require AMDAL (analisis mengenai dampak lingkungan: environmental impact assessment). Article 22 and 23 of Law No. 3/2009 list criteria and type of activities requiring AMDAL. For activities with no significant negative impact to environment (article 22) and are not types of activities listed in article 23, AMDAL is not required. Article 3(4) of Ministry of Environment Regulation No. 5/2012 further stipulates that AMDAL is not required for activities that (c) support the conservation of protected area, (c) cultivation with no significant (adverse) impact to environment,

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and (e) cultivation by indigenous peoples in fixed area that does not reduce protected area function with close monitoring/supervision. For activities that do not require AMDAL, UKL-UPL (upaya pengelolaan lingkungan hidup environmental management plans – upaya pemantauan lingkungan hidup: environmental monitoring plans) and ijin lingkungan (environmental permit) may be required. If UKL-UPL is not required, project proponent should submit letter of commitment to implement environmental management and monitoring (surat pernyataan kesanggupan melakukan pengelolaan dan pemantauan lingkungan). The decision is made by district/provincial government environmental agency. The World Bank Environmental and Social Standards set out the requirements for the identification and assessment of environmental and social risks and impacts associated with projects supported by the Bank. The standards will: (a) support in achieving good international practice relating to environmental and social sustainability; (b) assist in fulfilling national and international environmental and social obligations; (c) enhance non-discrimination, transparency, participation, accountability and governance; and (d) enhance the sustainable development outcomes of projects through ongoing stakeholder engagement. The ten Environmental and Social Standards (ESS) establish the standards that the project will meet through the project life-cycle, as follows:

§ ESS 1: Assessment and Management of Environmental and Social Risks and Impacts;

§ ESS 2: Labor and Working Conditions; § ESS 3: Resource Efficiency and Pollution Prevention and Management; § ESS 4: Community Health and Safety; § ESS 5: Land Acquisition, Restrictions on Land Use and Involuntary

Resettlement; § ESS 6: Biodiversity Conservation and Sustainable Management of Living

Natural Resources; § ESS 7: Indigenous Peoples/Sub-Saharan African Historically Underserved

Traditional Local Communities; § ESS 8: Cultural Heritage; § ESS 9: Financial Intermediaries; and § ESS 10: Stakeholder Engagement and Information Disclosure.

The DGMI focus is to provide grants to enhance the capacity and support specific initiatives of Indigenous Peoples and Local Communities (IPLC). The project address land tenure security and lifelihood which has been recognize as national issue since long period. Table 1 summarize the policy frame work for DGMI.

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Tabel 1 Legal and Institutional Framework DGMI

Emerging Issue National Legal and Institutional

Frame Work Gaps/ Opportunity related to WB

Operational Policy Recognition of Rights for IP and the forest allocation for the LCs. But mechanisms for recognition of IP rights are requiring local governments regulations and caught in “legal dualism” where forests are managed and controlled by the state, within which “hutan adat” or customary forests are also included On the other hand, lack of clarity of tenure allow for allocation of forest permits in community land areas claimed and contested

The Constitution and basic laws reaffirm rights, in so far as they exist: UUD1945, TAP MPR/IX/2001, Forestry Law no 41/99, Agrarian Law 5/60, Village Law 16/2014, Maritime Law, Papua and Aceh Special Autonomy laws, etc. And policy changes have occurred in the judiciary, legislative and executive levels: MK 35, 45, PerPres 45/16 Agrarian Reform as one of the National Priority Program, setting up Task Force on Agrarian Reform, Task Force on Social Forestry, and Task Force on Masyarakat Adat, and IP4T

Gaps: UNDRIP has been ratified by GOI, although it has reservation on ILO 169 on the use of the term indigenous people. It accepsts MA/ML, Opportunity: MK 35/12: Hutan Adat (Customary forest) is not State Forest. IP has rights to manage their forests. Opportunity: Home Affairs Reg. No. 52/2014 / PerMen 10/2016 outlining procedures for: a) Identifying IPb) Validating IP andc) Declaring IP Opportunity: PerMen ATR no 10/2016 on Communal Land Rights of IPs granted to IP groups, cooperatives, farmers organizations, in specific areas (forests and plantations). Opportuntity: PerMen Nomor: P.32/Menlhk-Setjen/2015. Hutan Adat is not State Forests but as rights based forest owned by IP (pls check the meaning) Opportunity for Conflict Resolution: KLHK Dir Jen Conflict Res/ Permen 84/2015, Framework for handling various forest tenure related conflicts through RATA, AGATA, and resolved through Social Forestry with 6 schemes: Hutan Desa, HkM, HTR, Hutan Adat, Hutan Rakyat dan Kemitraan (Konservasi dan usaha kehutanan). Opportunity: Adat villages, as regulated in the Village Law, with regulatory powers offer opportunity to manage community Assets at Village administrative unit. Adat forests found in villages via MK35 Includes: Kawasan Perdesaan, UU Desa/UU Tata Ruang, Permen PPDT ttg Kawasan Perdesaan 2015, dengan 6 arahan pengembangannya Opportunity: Special Purpose Forest Areas (KDTK), for those hunter gatherers like “Orang Rimba” who will not fall under PS/RA

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Emerging Issue National Legal and Institutional Frame Work

Gaps/ Opportunity related to WB Operational Policy

Free and Prior Informed Consent

RSPO, FSC, CCBS, voluntary criteria for FPIC Law on Health also has FPIC which is oriented towards individual Law on Plantations 2014 requires FPIC. Even if there are various regulations on public consultation, very minimal is for FPIC. Other regions have FPIC provincial regulations (like Palu) DKN Public Consultation Protocol, DKN 2013, based on Cancun Agreement

FPIC construed broadly as Consent, vs FPIC as Broad Consultation only (WB) Many open public consultations have not fulfilled FPIC requirements except many REDD+ projects that require them. Strengthening of community participation is key to FPIC

Participation and Access to Information

UU No. 14 Tahun 2008 on Public Information mandates participation in development, implementation and monitoring. Almost all of policies and regulations on NRM that involve local communities mandate public consultation/ Taxpayers suit on Access to public information won.

Mandat UU No. 14 Tahun 2008 Need to be strengthened to emphasize public participation in natural resources management. KPH also requires public information and participation as it pertains to forest management at site level with IPLCs Strengthening participation is key instrument in trust building as it opens access to information Public Lawsuit on transparency of licensee information in NRM has not generated new implementing regulations yet

Livelihood and Social Inclusion

Village Law No. 6/2014 and its implementing regulation PP No. 43/ 2014 and PP No. 60 on Village Funds from APBN is the foundation for local governance, village development and community empowerment. Perpres 45/2016, is a national priority program for Agrarian Reform and local empowerment of the lowest 40% of poor village community groups. Village now becomes a self governing community not just an administrative unit under the local government. Villages have become more sovereign

Under village Law, IPLCs have broader opportunities for self-development. It is accompanied by a sufficiently large village financing system. Strengthening participation is a key instrument for empowerment

Environmental Aspect

Indonesian Environmental Law UU 32/2009 and Nature and

Not significantly different from WB standards except for the separation of

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Emerging Issue National Legal and Institutional Frame Work

Gaps/ Opportunity related to WB Operational Policy

Ecosystem Conservation UU No. 5/1990. This is strengthened by Law UU No. 26/2007 on Land Use Planning for mitigation of environmental and social impacts and licensing procedures. KLHS, PIL PP 71/2014 For Peatland Restoration and Protection

social and environmental aspects. Negative environmental impacts mitigation is a safeguard at site level.

4. Environmental Management and Monitoring

Framework

4.1. Preliminary Environmental and Social Assessments

The World Bank will likely rates DGMI as Category B that needs environmental and social impact assessment to ensure potential negative impacts can be mitigate as early as possible. Below are Environmental and Social Standards (ESS) relevant with DGMI activities: 1. Environmental Assessment (ESS 1). The activities to be financed by DGMI are

expected to have a positive impact on the environment as it seeks to promote sustainable management of natural resources on IPLC lands whose livelihoods are depended on. The proposed investments are not expected to have impacts. Certain activities (e.g. mapping, sustainable use of products, rehabilitation/ restoration) will be carried out in and/or arround forest and coastal areas. Assessements at screening and preparation stages and monitoring at impementation stage are directed to ensure investments achieve positive enrionmental adan sosical impacts and ensuring no/minimum significant adverse effects.

2. Pollution (ESS 3). DGMI will support IPLC activities to improve agriculture for food and commodity productions. Activities involving the use of agro-chemical and pesticides, however, will not be supported. The use of organic fertilizer and herb/insect/pesticide will be encouraged.

3. Restriction on Land Use (ESS 5). DGMI will not fund project involving resettlement and land acquisition. However, some activites to be supported may include restriction of access to natural resources (e.g. wood, food). The project

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may involved the use (borrow, donation) of lands for small building construction of e.g. nursery, processing workshop. Close consultation with affected people to be conducted to ensure mitigation of potential negative impact is in place and agreement and/or consent is secured.

4. Biodiversity and Natural Resources (ESS 6). DGMI will have positive impact on forest ecosystems, resulted from IPLC activities such as avoiding deforestation, regenerating degraded forests, protecting and enhancing biodiversity ecosystem services. DGMI will not fund activities involoving conversion of forest. Community activities to be supported may include forest restoration, non-timber forest products collection/processing, and agro-forestry. Impact assessment and mitigation measures will be developed for these activities.

5. Indigenous People (ESS 7). Indigenous peoples are the main beneficiaries of the DGMI. Preparation, implementation, and evaluation of funded activities will be carried out in participatory manner using culturally approriate mechanisms. Free, prior and informed consultation/consent (FPIC) process to be properly conducted.

6. Cultural Heritage (ESS 8). DGMI will not fund any activities that involved the removal, alteration or disturbance of any physical cultural resources. Assessements at screening and preparation stages will ensure that this is avoided and identify alternative (if any).

Based on the project design of DGMI the estimated environment and social impacts, as well as indicative mitigation and monitoring measures are presented in Table 2 below.

Table 2 Potential impacts and mitigation measures

Compo- nent

Activities Potential Negative Impacts

Mitigation

1.1 Information dissemination and stakeholder mobilization at sub project level

Latent conflict due to differing perceptions and expectations, including legal interpretation

Use DKN consultations protocols as reference point; verify potential multiple actors and alliances in potential sites before inviting participants

1.2 Adat area mapping

• Conflict with government

• Conflict with corporate license holders

• Internal conflicts within IPLC

• Use of standard participatory mapping processes (Guidelines from BRWA, JKPP, Chapin)

• Using the MoE&F decree no 84/2015 re conflict management

1.2 Legal recognition process of adat areas

• Conflict with private license holders

• Use of IP4T processes • Access and Use of

information on Perda

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Compo- nent

Activities Potential Negative Impacts

Mitigation

processes and systems • Advancing registration

of community legal entities

1.2 Social forestry licence for local community

• Conflict among community member due to differing perceptions and expectations.

• Land use and access restriction.

• Participatory process in the preparation of licence based on PIAPS

1.3 Increase capacity for improved livelihoods

• Increased pressure on land/ forest conversion

• Increase capacity for diverse sustainable production /income generation.

1.3 Development of local or rural livelihoods

• Internal conflict among IPLC members

• Loss of habitats • Loss of biodiversity • Pollution from use of

pesticides/agrochemical

• Apply negative list at sceening stage

• Participatory planning in proposal development

• Obtain environmental permits from government (UKL/UPL, SPPL)

2.1 Increase capacity of NSC for policy development and policy dialogue

• Lack of positive action or quick response from government

• Multistakeholder policy development training among local actors and decision makers

• Utilized national platforms such as Task Force on Social Forestry , Task Force Reform Agraria etc, to facilitate the “debottle necking”

*) Not all activities of DGMI have potential negative social and environmental impacts, only activities considered to be have potential negative impacts are included.

DGMI negative impacts may emerge from differences in perceptions, legal interpretation and expectations, data sets, pressure from cash needs that result in conflict. This may be between IPLC and government, between them and private sector, within regions and internal conflict between community members. At a level that is not too significant, the potential negative impact on the environment could be the loss of habitat with high conservation value, the loss of biodiversity, environmental pollution due to the use of pesticides.

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4.2. Environment and Social Management Plan DGMI activities will comply with all relevant World Bank ESS and Indonesian laws. Activities with adverse environment and social impact are ineligible to be funded by DGMI; they are included in the Negative List (see Annex 1). This is the main mitigation measure to avoid adverse environmental and social impact by not supporting activities that will resulted negative impact characterised by large scale, high in frequency and intensity, in long period, permanent/irreversible, as well as violate human rights and lower community wellbeing. For activity with minor negative environmental and social impacts, Environmental Management and Monitoring Plan shall be developed (Table 3) and applied consistently. 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.

Table 3. Environmental management and monitoring plan (ESMP / UKL-UPL) template

No

Impact & Risk Mitigation Plan Monitoring Plan

PIC Project Activity

Impact & risk

Significance Mitigation Action

Location Periods What to monitor

Location Period

Key elements and responsibility of the project implementation, stages and action pertaining to application of safeguards framework are as follow: CSO/CBO - Since the planning stage CBO/CSO must consider negative list – activity not funded by DGMI. Environmental and social safeguard framework must be developed. The planning process should be fully participatory, with consultation and consent from targeted IPLC beneficiaries. Proposals must include environmental management and monitoring plan/social. In the case the proposal does not yet include environmental and social management and monitoring plan, NEA will provide the time and cost for proposal revision. CSO/CBO needs to

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prepare environmental and social management and monitoring plan prior to project implementation. Mitigation measures and monitoring must be recorded in writing. NEA - At the call for proposals stage the negative list should have been stated explicitly. DGMI will not fund activity included in negative list. Activity with minor environmental and social impacts will require management and monitoring plan. NEA will organise environmental and social management training, so that CSO/ CBO could include it in the revised the proposal. Additional cost to develop environmental management plan and monitoring may be made available to CSO/ CBO proposal. NEA will monitor and report aggregate environmental and social performace of DGMI funded projects. NEA is responsible for supervision to ensure that environmental/ social management and monitoring plan is implemented by the CSO/CBO together with IPLC beneficiaries. NSC - Actively disseminate information on the negative list that are not financed DGMI to their constituents. Together with NEA, NSC also stressed the importance of stronger social and environmental and social safeguards. NSC monitors NEA and CSO/CBOs in the implementation of social and environmental safeguards framework. Based on the assessment of the potential negative impact, the framework of environmental and social safeguards DGMI focused on a few key instruments, namely:

1) Negative list of program/activities that are not funded, to be stated at of call for proposals stage, planning stage by CSO/CBO, and selection stage by the NEA/NSC.

2) Participation framework at the planning stage (proposal drafting) and the implementation stage, for use by CSO/CBO

3) Framework for environmental management and monitoring plan, used by CSO/CBOs in proposal development and project implementation stages.

4) Public access to information about the project safeguard issues, for use by the NEA.

5) Support Instrument: FPIC gudieline and Voluntary Land Lending Mechanism.

Stages of work, activities, assessment as well as the implementation and management of safeguards are outlined in Table 4 below.

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Table 4 Key responsibility of environmental and social safeguard implementation

No Stages NEA/NSC CSO/CBO 1 Screening Disseminate information to

potential recipient IP and LC on: ESS and negative list

Identification of social and environmental issues and develepment of alternative mitigation

2 Proposal development

Organised ESMF training. Review and assist in revision of proposal to comply with ESMF.

Commit to apply ESMF for mitigation measures (UKL/UPL (ESMP), SPPL)

3 Implementation Disclose relevant information to public

Implement and monitor/report Environmental Management Plans

Grievance at DGMI and government policy level

Grievance at project site

4 Post implementation

Monitoring and report aggregate impacts of overall project

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Picture 1 Brief Scheme on Approval procedures ESMF

Supervision, Monitoring, Audit and Reporting, UKL &

UPL/SPPL ilmplementation report, submitted to NEA and authorized persons

DGMI Action Plan indicating negative impact to social

and environment

Categorized as activities that must

undertake UKL/UPL

Impact identification (if any) on the environment and social

aspects and actions to mitigate/prevent Need EP

EP not needed

Not categorized as activities that need UKL/UPL

Compilation of UKL/ UPL by competent consultant

DGMI Action Plan

Screened through “Negative List”

Compilation of SPPL facilitated by

CSO/CBO/IPO

Approval by NSC/NEA

IMPLEMENTATION UKL and UPL/SPPL by IPLC

Facilitated by CBO/CSO/IPO

EnvironmentalPermitfromauthorities

Screened through “FPIC requirement”

Screened through “Community Participation

Framework”

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5. Information Disclosure

NSC/NEA should make good and reliable documentation, as well as provide access to information for the public relating to the implementation of the ESMF, including the participation processes and implementation of UKL/UPL or SPPL. Proposals that do not meet the requirements of public disclosure will not be financed DGMI. ESMF document (both in Indonesian and English) should be uploaded on the website of the World Bank and DGMI sites. In addition to the website based disclosure of information, a written document about ESMF must be displayed in places that are accessible to all levels of society who may be affected.

6. Grievance Redress Mechanisms

NSC/NEA will establish a grievance mechanism that will allow the public, communities or individuals affected to file complaints and to get a satisfactory response in a timely manner. The system will also record and document all complaints and follow-up. The system will be designed to receive ESMF related complaints associated with the DGM project I. At the project level, CSO/CBO involved should design a complaint mechanism for complaints related to the project. CSO/CBO should assign staff responsible for managing the system for handling complaints. The system will receive and appropriately follow up on complaints from the public, communities and individuals, both beneficiaries and other parties, 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 the requirements of GRM as specified. Complaints that arise as a result of project activities will be addressed through a complaint handling mechanism, based on the floowing 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 in the right and timely manner.

3) Livelihood support for IP and LC beneficiaries are given on time and in accordance with the approved plan;

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 and complaints and response mechanism and handling process should accessible by or made available to all levels and groups of people, for example, pasted on bulletin boards the village hall or through leaflets and booklets, as well as available online at DGMI site.

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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 conducted by CSO/CBO involving public figures (traditional leaders, religious leaders) and/or community members who have been selected, respected, and accepted by all community members. The selected community figures should have shown to have the capacity to handle a dispute or conflict in the community and inter-community level. CSO/CBO must provide personnel responsible for handling complaints at the site level and open a hotline access to all forms of complaints. Each complaint must be documented online to be accessed by the NEA. The complaint handling process should 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 the events for handling complaints at the site level. These events include the name of the person or group of people making complaints, address, the grievances, the complaint handling processes, and the decisions taken. National Level

Complaints outside the authority and/or the capacity of CSOs/CBOs are handled by Complaints Handling Unit at the national level under the responsibility of NEA/ NSC. The complaints include among others the vertical or horizontal conflict that cannot be handled at the site level. In this case the NEA/NSC should provide personnel responsible for handling complaints, as well as open hotline access for all beneficiaries and stakeholders. All complaints can be submitted through social media or anonymous reporting media managed by NEA. In terms of complaints involving government policy, NEA/NSC may request assistance from the DKN for handling complaints. The complaint handling process by NEA/NSC should be start within 30 days after the complaint is received. Based on the data and information collected, a decision must be taken no later than 60 days after the complaint is received. If necessary, the NEA/NSC may conduct studies or independent investigation to complement and provide insight into the problem and find s solution. NEA must document the actions for handling complaints at the site level. These include registering the name of the person or group of people making complaints, address, the I complaints, the complaint handling processes, and decisions taken.

7. Evaluation and Audits

Supervision, monitoring, evaluation and performance audit of ESMF will be conducted at the site level and overall DGMI. Audit at the site level will be conducted by the NEA

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who should provide personnel responsible for evaluations and audits at the site level. Audit in DGMI level should be done by independent parties involving the National Forestry Council (DKN) and the World Bank The audit will be focused on the process of planing and implementation of DGMI activities requring ESMF, including:

1. Record of FPIC process during proposal/ planning of activities and its implementation with IPCLs. Assessment is based on quality of decision whether it is genuinely made by IPCLs through culturally appropriate decision making mechanism, also implementation of plans to mitigate negatie impacts

2. Records of implementation of community participatory framework at the planning stage, to assess if the proposal/plan of activities are genuinely proposed IPCLs.

3. Records of implementation of community participatory framework at the planning stage, to assess if IPCLs proposed/plan of activities are accepted relevant stakeholders.

4. Eveidence of environmetal permit for relevant activities 5. Report of environmental management and monitoring plan accoring to UKL-UPL

or SPPL. 6. Feedbacks from IPLCs and stakeholders and results of negative impact mitigations.

8. Institutional Arrangement and Capacity Building

Measures

Institutional Arrangement

NEA / NSC is responsible for implementing and ensuring compliance with the ESMF. All sub-projects must be screened in accordance with the negative list and the implementation of ESMF the results of which must be documented. Table 5 Summary of Responsibilities of major actors

Roles ResponsibilitiesCSO/CBO (Project Proponents)

Preparation phase: • Read ESMF and its annexes; • Make sure there are no activities or budget allocated to activities as provided in the negative list;• Identification of potential impacts, prepare appropriate mitigation measures, as well as prepare the necessary documents and plans, (UKL / UPL and Environmental Permit). Interaction with the NEA is highly recommended. • All information regarding ESMF must be disclosed in a manner that is easily understood by all parties involved in the planning process.

The implementation stage:

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Roles Responsibilities• Implement the mitigation measures outlined in the document, especially outlined in UKL / UPL. The implementation results are well documented and to be submitted to the NEA.

NEA

Filter proposal / project plan to comply with the Safeguards Framework;• Record / administer all proposals and decisions for screening;• Highlight potential safeguard issues and provide recommendations for mitigation if required, based on discussions with the applicant and the parties affected by the project; If necessary, conduct a field visit to verify. • Facilitate agreement between stakeholders and CSO / CBO for mitigation of safeguard measures;• Confirm agreement on mitigation measures in a more personal conversation with the stakeholders affected;• Oversee the implementation of the ESMF; perhaps Special technical assistance will be needed;• Regular monitoring and supervision over the performance and results of the implementation of the ESMF including progress reports

World Bank Assist NEA / NSC in the preparation of the ESMF; • Review and assess documentation of Safeguards Framework, publish a "No Objection Letter" as appropriate• Monitor regularly the implementation of social and

environmental mitigation plan

Capacity Building, Training and Technical Assistance

NEA / NSC is responsible for ensuring that the capacity of CSOs / CBOs in implementing the ESMF has met the minimum requirements. Capacity building needs and budget requirements related to ESMF implementation will be provided through a training program on environmental and social awareness for the staff assigned by the CSO / CBO.

The main topics of the ESMF training program are as follows:

1. Environmental and social issues in DGMI projects2. Overview of policy and regulatory framework related to DGMI and social and

environmental management in Indonesia;3. The basic principles of the ESMF Framework to be adhered to and the mitigation

alternatives.4. Comparative Study on projects that have followed the provisions of the World

Bank-financed ESMF.

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Implementation Arrangements and Safeguards Budget

Environmental and Social Technical Experts (are are required in the implementation of the program DGMI, with the following tasks:

1. Help NEA / NSC in evaluating proposals/action plans in accordance with ESMF.

2. Help NEA / NSC in supervising and monitoring the ESMF document preparation by CSO / CBO.

3. Help the NEA / NSC in training programs on prepareation of ESMF documents and efforts to mitigate the negative environmental and social impacts at the proposal stage and during implementation of projects.

4. Help CSO/CBO/IPO in facilitating the planning that includes ESMF for IPLCs

5. Help CSO/CBO/IPO in implementing ESMF on site

6. Assist partners CSO/CBO/IPO in preparing edalam menyiapkan ESMF report

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The need for Environmental and Social Expert, overview of the activities and the estimated budget requirements are summarized in the following table:

Tabel 6 Budget Estimation

UnitCost FY1 FY2 FY3 FY4 Grand

(IDR) Total

Staffing 41,580,000 498,960,000 498,960,000 498,960,000 498,960,000 1,995,840,000

CapacityBuilding

-Outreach 63,750,000 382,500,000 191,250,000 191,250,000 765,000,000

-Coachingclinic 288,922,727 173,353,636 115,569,091 57,784,545 346,707,273

-TechnicalAssistance(included

inSupervision)

Monitoring&Evaluation

-Honorarium

10,909,091 30,000,000 43,636,364 43,636,364 30,000,000 147,272,727

-Travel 41,200,000 113,300,000 164,800,000 164,800,000 113,300,000 556,200,000

Studies/EnvironmentalPermits(incl.incommunity'sproposals)

documentdevelopmentneeds

(ie.SPPL)tobespecifiedinthe

individualproposal/grant

TOTAL 1,198,113,636 1,014,215,455 956,430,909 642,260,000 3,811,020,000

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Annexes

Annex 1 Procedure of Screening for Negative List

DGMI activities or sub-projects will comply with all relevant World Bank ESS and Indonesian laws. Activities ineligible to be funded by DGMI are listed in table below.

No Negative List Yes No 1 Conversion,deforestationordegradationoranyotheralterationofnatural

forestsornaturalhabitats

2 Builddrainagecanalsindeeppeat 3 Removaloralterationofanyphysicalculturalproperty(includessites

havingarcheological,paleontological,historical,religious,oruniquenaturalvalues)

4 Adverse/negativeimpactforindegenousandlocalcommunitiesintheprojectarea

5 InvolvingtheuseofpesticidesandinsecticidesoragrochemicalsprohibitedbytheGOI’sandotherinternationalregulations

6 Anyactivitywithpotentialenvironmentalandsocialimplicationsi.e.largeinfrastructure,newinfrastructureinenvironmentallysensitiveareas,infrastructurerequiringAMDAL,etc.

7 Tradingofwildanimalsandplantsthatareprotectedbylaws 8 Activitieswhichmayposehealthrisks 9 Forcedlandacquisition 10 Relocation/displacementofcommunitieswhoarelong-timeresidentofthe

projectarea

11 Acquisition/purchaseofland 12 Financingtheelectionorelectioncampaign 13 Involvepurchaseanduseofarmsand/orammunition

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Annex2–CommunityParticipationFramework

Deskripsi Kerangka CPF dikembangkan untuk melakukan mitigasi dampak DGMI, khususnya potensi konflik, baik konflik vertikal dengan pemerintah, konflik dengan pihak swasta, maupun konflik horisonal sesama anggota MAKL. Melalui asas partisipatif para pihak terkait, MAKL, instansi pemerintah terkait, swasta terkait dan anggota masyarakat di luar penerima manfaat di sekitar lokasi proyek didorong untuk berperan aktif dalam proses pengambilan keputusan pada tahap perencanaan dan pelaksanaan kerangka pengaman lingkungan dan sosial, baik secara langsung maupun tidak langsung.

Pedoman mengenai proses keterlibatan para pihak dan masyarakat dalam perencanaan dan implementasi DGMI sangat diperlukan, antara lain untuk menjamin terlaksananya hak dan kewajiban para pihak yang sejalan dengan Kerangka pengaman Lingkungan dan Sosial, serta mewujudkan pelaksanaan kerangka pengaman lingkungan dan sosial secara transparan, efektif, akuntabel dan berkualitas.

Tujuan Tujuan dari partisipasi masyarakat dalam kegiatan DGMI adalah: 1) MAKL yang menjadi aktor utama dalam pengambilan keputusan kegiatan DGMI

memahami potensi dampak negatif terhadap lingkungan dan sosial; 2) MAKL penerima manfaat mendapatkan informasi mengenai rencana kegiatan DGMI

sejak dini dengan memenuhi persyaratan FPIC sebagaimana disajikan pada Lampiran 3. 3) Mencegah terjadinya konflik, baik konflik vertikal maupun konflik horisontal.

Tata Cara Partisipasi Pada Tahap Penyusunan Proposal Partisipasi diwajibkan pada saat CSO/CBO menyusun proposal atau pada saat perencanaan kegiatan atau proposal dengan tujuan utama untuk memastikan bahwa rencana kegiatan adalah milik komuniti MAKL dan telah memenuhi syarat-syarat FPIC sebagaimana disajikan pada Lampiran 3. Proses partisipatif juga dirancang sedemikian rupa sehingga dapat mengantisipasi potensi konflik antar anggota MAKL dan mitigasi yang diperlukan. Desain proyek harus mentargetkan bahwa minimal 30% penerima manfaat adalah perempuan. Selain itu juga harus mentargetkan manfaat bagi kelompok rentan, misalnya: kelompok pemuda. Proses partisipasi harus melibatkan para pihak dengan melibatkan sebanyak mungkin perempuan dan perwakilan kelompok rentan. Proses partisipatif pada tahap penyusunan rencana kegiatan/proposal harus memenuhi tahapan berikut:

1. NEA/NSC menyampaikan informasi awal yang secara jelas menyebutkan ruang lingkup DGMI, peluang yang ditawarkan, serta manfaat yang dapat diperoleh MAKL. Penyampaian informasi awal harus menegaskan daftar negatif kegiatan yang tidak dapat didanai DGMI, baik melalui call for proposal, komunikasi dan informasi publik, baik dalam media cetak maupun online .

2. Berdasarkan konsultasi dengan anggota NSC regional, CBO/CSO/IPO menetapkan MAKL prioritas yang akan difasilitasi dalam penyusunan rencana kegiatan/proposal.

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3. CBO/CSO/IPO menyampaikan informasi awal yang secara jelas menyebutkan ruang lingkup DGMI, peluang yang ditawarkan, serta manfaat yang dapat diperoleh MAKL. Penyampaian informasi awal harus menegaskan daftar negatif kegiatan yang tidak dapat didanai DGMI.

4. Berikan waktu yang cukup agar informasi tersebut dapat mencapai seluruh lapisan masyarakat, termasuk perempuan, kelompok pemuda/remaja dan kelompok rentan lainnya.

5. Dorong mekanisme pengambilan keputusan sesuai norma/kebiasaan/adat yang berlaku agar secara sadar MAKL bersedia mengajukan proposal/rencana kegiatan DGMI. Dalam hal tertentu, mekanisme pengambilan keputusan perlu diperluas dengan melibatkan sebanyak mungkin perempuan dan perwakilan kelompok rentan.

6. Lakukan fasilitasi proses perencanaan secara partisipatif untuk mendapatkan peluang yang ditawarkan DGMI sesuai aspirasi MAKL. Buat kesepakatan mengenai baseline (potensi dan permasalahan), kesenjangan terhadap harapan masyarakat, kemudian tetapkan tujuan, sasaran, output, kegiatan, serta indikator keberhasilan rencana yang diusulkan.

7. Susun proposal lengkap oleh CSO/CBO/IPO sesuai dengan hasil perencanaan partisipatif yang telah dilakukan. Ungkapkan secara jelas isi proposal kepada masyarakat melalui mekanisme konsultasi terbuka.

8. Proposal yang siap untuk diajukan kepada NEA/NSC harus disertai dengan bukti persetujuan tertulis dari MAKL melalui lembaga yang ditetapkan bersama dalam proses partisipatif. Persetujuan secara eksplisit harus menyatakan: (1) keberterimaan tanpa pkasaan dari MAKL terhadap CSO/CBO/IPO yang menjadi fasilitator; (2) keberterimaan tanpa paksaan dari MAKL terhadap proposal/rencana kegiatan yang diusulkan CBO/CSO/IPO kepada NEA/NSC.

9. Dalam proposal disetujui namun dinilai belum sepenuhnya memenuhi syarat ESMF, NEA akan melakukan coaching clinic untuk memperbaik proposal hingga mendapatkan persetujuan NSC.

Tata Cara Partisipasi Pada Tahap Implementasi Sesuai dengan karakeristik DGMI, implementasi proyek/kegiatan harus dilakukan secara partisipatif dengan tujuan utama untuk mencegah atau mengelola potensi konflik yang diperkirakan akan terjadi, baik konflik vertikal dengan pemerintah, maupun konflik horisontal antar anggota masyarakat, baik dengan pihak di luar penerima manfaat ataupun antar anggota masyarakarat MAKL penerima manfaat, termasuk kelompok-kelompok rentan dan minimal 30% adalah perempuan.

Proses partisipasi, khususnya yang berkaitan pemetaan dan pengakuan wilayah adat merupakan isu sensitif yang perlu mendapatkan perhatian khusus. Dalam hal ini, inisiatif pemetaan dan pengakuan wilayah adat yang prosesnya telah dimulai oleh MAKL dapat diprioritaskan, sehingga dapat dipastikan tidak menimbulkan konflik pada eskalasi yang tidak bisa diputuskan dalam jangka waktu lama. Partisipasi berorientasi pada keberterimaan seluruh stakeholders kunci, termasuk namun tidak terbatas pada:

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1. Perwakilan kunci MAKL di dalam lokasi kegiatan 2. Perwakilan kunci MAKL yang ada di sekitar lokasi kegiatan 3. Perangkat desa terkait 4. Pengambil Keputusan pada instansi pemerintah terkait, khususnya: pengelola KPH,

UPT Pemerintah Pusat yang menangani Kawasan Hutan, Perhutanan Sosial dan Kemitraan Lingkungan, Dinas yang menangani urusan Kehutanan di tingkat provinsi, Dinas yang menangani masalah sosial dan Lingkungan Hidup di tingkat Kabupaten.

5. Swasta yang wilayah ijinnya terkait dengan MAKL penerima manfaat. Beberapa prinsip fundamental proses partisipasi dalam pemetaan dan pengakuan wilayah adat adalah: 1. Proses pemetaan harus mengadopsi penuh mekanisme pemetaan partisipatif wilayah

adat yang diakui para pihak, misalnya: Panduan Pemetaan Wilayah Adat dari BRWA dan JKPP.

2. Proses pemetaan harus dapat diintegrasikan dengan mekanisme pengakuan wilayah adat sesuai peraturan perundang-undangan yang berlaku agar mendapatkan dukungan penuh dari para pihak.

3. Seluruh proses kebijakan terkait dengan pengakuan wilayah adat diikuti oleh personil yang kompeten dari CBO/CSO/IPO dan NSC.

4. Seluruh kesepakatan proses partisipasi harus didokumentasikan, dilampiri dengan daftar hadir peserta dan dituangkan dalam laporan kegiatan.

5. Proses-proses partisipasi sebaiknya dipandu oleh tim atau seorang fasilitator yang memahami kepentingan MAKL penerima manfaat, namun mampu secara obyektif mengakomodasikan pendapat para pihak untuk mencegah dan atau mengelola potensi terjadinya konflik, baik konflik vertikal atau horisontal.

Selain pemetaan dan pengakuan wilayah adat, proses partisipatif juga digunakan dalam implementasi pengembangan mata pencaharian masyarakat, termasuk penyiapan ijin perhutanan sosial bagi masyarakat lokal. Proses ini lebih ditujukan untuk mengelola konflik horisontal antar anggota MAKL, meningkatkan efektivitas/efisiensi kegiatan dan memastikan pembagian manfaat yang adil dan merata bagi seluruh anggota MAKL, termasuk kelompok rentan dan minimal 30% perempuan. Dalam proses partisipatif ini, beberapa tahapan penting adalah:

1. Penyampaian informasi awal mengenai ruang lingkup, tujuan dan peluang pengembangan mata pencaharian yang akan diimplementasikan.

2. Melakukan pendalaman secara partisipatif apakah rencana pengembangan mata pencaharian yang pernah disepakati tidak/akan menimbulkan dampak negatif terhadap lingkungan dan sosial budaya masyarakat atau bertentangan dengan modal sosial yang dimiliki MAKL.

3. Menyiapkan rencana aksi mitigasi apabila diketahui bahwa memiliki dampak negatif. Apabila disyaratkan dalam peraturan daerah, mitigasi dampak negatif harus dituangkan dalam dokumen UKL/UPL atau SPPL untuk mendapatkan ijin lingkungan. Ijin lingkungan menjadi syarat dalam operasionalisasi kegiatan di lapangan.

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4. Menetapkan secara partisipatif kegiatan yang akan dilakukan dalam periode tertentu dengan tata waktu yang jelas.

5. Menetapkan lokasi secara partisipatif. Dalam hal lokasi kegiatan melibatkan tanah hibah/peminjaman/ijin dilewati, prosedur sebagaimana dituangkan pada Lampiran 4 harus diikuti.

6. Melakukan pembagian peran dalam implementasi kegiatan. 7. Melakukan pemantauan dan evaluasi patisipatif implementasi kegiatan secara

periodik.

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Annex 3 - Guidance for FPIC 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. FPICs are built on mutually accepted process between the full range of representative community member and CSO/CBO/IPO. FPICs 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 inline with 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.

FPICs 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, FPIC 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 % of female in the community will get 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 built on gender-sensitive and inter-generationally inclusive approaches. Effective FPICs 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 which 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;

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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 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 FPICs 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 FPICs during project implementation, monitoring, and evaluation, and

3. Any formal agreements reached with IPLCs and/or their representative institutions.

Requirements

To ensure that FPICs 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 FPIC; Project Operational Manuals on FPICs; 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

Free, Prior, and Record/minutes of discussions/consultations with community

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Consideration Requirements Informed Consultations

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; Agreements reached with IPLCs (e.g. Letters of Intent, Joint Statements, etc.) Action plan, e.g. development plan, etc.

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Annex 4 - Handling of Voluntary Land Donation

Pengembangan mata pencaharian seringkali membutuhkan lahan baik itu berasal dari tanah milik desa, communal maupun sumber-sumber lainnya seperti perolehan tanah dari hibah individu. Tanah yang dihibahkan atau dipinjamkan, serta bangunan dan/atau fasilitas yang dibangun untuk kepentingan IPLCs merupakan aset publik sehingga dalam pelaksanaan hibah tanah perlu mengacu pada peraturan adat yang berlaku atau Peraturan Menteri Dalam Negeri No.1 Tahun 2016 tentang Pengelolaan Aset Desa1.

Setiap kegiatan pembangunan yang didanai DGMI harus memiliki alternatif lokasi untuk memastikan bahwa hibah, ijin pakai dan ijin dilewati yang diberikan oleh pemilik tanah benar-benar dilakukan secara sukarela tanpa paksaan dan tanpa tekanan dari pihak manapun. Kegiatan/lokasi pembangunan perlu dipindahkan ketika pemilik lahan/tanah tidak rela secara penuh atau berada dalam paksaan.

Jika lahan yang dibutuhkan tidak bisa didapatkan secara hibah/hak pakai /ijin dilewati, maka masyarakat perlu memilih alternatif lokasi atau bentuk infrastruktur lain. Sebagaimana disyaratkan penggunaan dana DGMI tidak dapat dipergunakan untuk membeli tanah untuk menambah tanah kas desa/ulayat.

Penyediaan lahan dapat meliputi: (a) hibah tanah, (b) ijin pakai, dan (c) ijin dilewati:

Hibah hak milik atas tanah (hibah tanah) merupakan pelepasan hak kepemilikan tanah kepada pihak lain atas persetujuan pihak Penghibah dengan sukarela dan cuma-cuma serta tidak dapat ditarik kembali kepada pihak penerima hibah. Syarat hibah adalah sukarela, nyata (riil) dan adanya bukti penyerahan hak kepemilikan untuk sebagian atau seluruh tanah yang digunakan untuk kepentingan bersama. Dalam kesepakatan hibah perlu dijelaskan secara jelas kepada pemberi hibah bahwa bila mereka setuju meghibahkan berarti hak individu atas tanah tersebut secara penuh diserahkan kepada desa/lembaga adat. Area yang dipakai sejak dihibahkan akan menjadi milik desa. Hibah bersifat final dan dinyatakan secara tertulis dalam Surat Kesepakatan Hibah (Lampiran 1).

Ijin pakai adalah pemberian hak pinjam pakai kepada pihak lain secara tidak permanen atau atas dasar waktu tertentu yang disepakati bersama. Selama masa ijin pakai, pemilik tanah tidak dapat menggunakan tanah tersebut untuk kepentingannya. Ijin pakai harus diketahui dan dibuktikan dengan perjanjian tertulis yang ditandatangani oleh pemilik tanah dan pihak Desa yaitu Kepala Desa atau Tetua Adat (Lampiran 2).

Ijin dilewati adalah pemberian ijin menggunakan tanah untuk dilalui/dilewat infrastruktur yang didanai program demi kepentingan masyarakat (contoh: pemasangan pipa, lampu jalan, kabel listrik dll.). Pemilik tanah masih tetap dapat menggunakan tanah yang dilewati.

1Menurut Pasal 4 Ayat 3 Permendagri No. 1/2016, aset desa yang bersifat strategis dapat berupa tanah kas desa, tanah ulayat, pasar desa, pasar hewan, tambatan perahu, bangunan desa, pelelangan ikan, pelelangan hasil pertanian, hutan milik desa, mata air milik desa, pemandian umum, dan aset lainnya milik desa

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Ijin dilewati harus dinyatakan secara tertulis dalam Surat Kesepakatan Ijin Dilewati yang ditandatangan oleh semua pihak yang memberikan ijin (Lampiran 3)

Beberapa persyaratan yang harus dipenuhi dalam hibah/hak pakai/ijin dilewati adalah:

1. Pemberi hibah/hak pakai/ijin dilewati atas tanah harus memahami terlebih dahulu pengertian dan konsekuensi keputusannya atas pengalihan hak atas tanah/hak pakai/ijin dilewati. Khusus hibah tanah, konsekuensinya adalah berkurangnya hak atas luas tanah secara permanen sebesar tanah yang dihibahkan.

2. Pemberi hibah/hak pakai /ijin dilewati atas tanah telah mendapatkan informasi yang jelas mengenai kegiatan pembangunan desa, sehingga mau menghibahkan dan mengijinkan dipakai/dilewati tanahnya dengan sukarela dan tanpa paksaan.

3. Pemberi hibah/hak pakai/ijin dilewati atas tanah harus menerima kejelasan dan kelengkapan informasi dari isi surat perjanjian atas penggunaan tanahnya untuk kepentingan pembangunan desa.

4. Pihak desa/Lembaga Adat harus memastikan status tanah (sudah dilengkapi sertifikat atau belum serta jenis sertifikat) dan memastikan bahwa tanah tidak sedang dipersengketakan. Salinan bukti kepemilikan tanah dilampirkan dalam surat hibah tanah/Ijin Pakai/Ijin dilewati.

5. Hibah atas tanah secara sukarela diperbolehkan dengan pertimbangan bahwa pemberi hibah (pemilik tanah) memperoleh manfaat dari pembangunan dan tidak akan menjadi lebih buruk kehidupannya setelah tanahnya dihibahkan.

6. Seluruh dokumen perjanjian diadministrasikan sesuai tata aturan adat atau peraturan perundang-undangan yang berlaku.

CONTOH SURAT PERNYATAAN HIBAH TANAH

Saya yang bertandatangan di bawah ini:

Nama : No KTP : Pekerjaan : Alamat :

Selaku pemilik tanah berdasarkan Surat Bukti Kepemilikan yang sah Nomor....... Tanggal......... atau Surat Bukti lain yang sah…….(sebutkan), dengan ini menyatakan bersedia menghibahkan tanah dan aset lain di atasnya, jika ada kepada Pemerintah Desa/Lembaga Adat............................. (sebutkan) untuk dimanfaatkan bagi pembangunan ………………….bagi kepentingan masyarakat umum

Nama Kegiatan : Lokasi tanah : Luas tanah yang disumbangkan :

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Luas tanah sisa : Nilai aset lain yang disumbangkan : Penggunaan tanah saat ini : Status kepemilikan tanah :

(Sertakan batas dan status kepemilikan tanah dan denah yang jelas dengan orientasi lokasi yang jelas, bila perlu lengkapi dengan koordinat GPS)

Contoh:

Pernyataan ini dibuat dengan sebenarnya tanpa paksaan apapun untuk dipergunakan sebagaimana mestinya.

Tempat, tanggal dilakukannya kesepakatan

Yang memberi sumbangan tanah, Yang menerima sumbangan tanah atas nama Pemerintah Desa/Lembaga Adat

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Tanda tangan pemilik tanah di atas materai 6000

(……Nama……) (…..Nama…..)

Tanda Tangan Camat sebagai PPAT

(…....Nama…..)

Tanda tangan ahli waris:

Nama 1 tanda tangan

Nama 2 tanda tangan

Nama 3 tanda tangan

dst.

Tanda tangan saksi-saksi:

Nama 1 (perangkat desa/Adat) tanda tangan

Nama 2 (tokoh masyarakat/Tetua Adat) tanda tangan

Nama 3 (tetangga terdekat) tanda tangan

dst.

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CONTOH SURAT IZIN PIJAM PAKAI

Saya yang bertandatangan di bawah ini:

Nama : No KTP : Pekerjaan : Alamat :

Selaku pemilik tanah berdasarkan Surat Bukti Kepemilikan yang sah Nomor....... Tanggal ………. atau Surat Bukti lain yang sah ……….. (sebutkan) dengan ini menyatakan bersedia meminjamkan tanah dan aset lain kepada Pemerintah Desa/Lembaga Adat ……… (sebutkan) untuk kegiatan pembangunan.............. selama..... tahun bagi kepentingan masyarakat umum atau selama fasilitas masih berfungsi. Ijin pinjam pakai bisa diperbaharui sesuai kesepakatan.

Nama kegiatan : Lokasi tanah : Luas tanah yang dipinjamkan : Luas tanah sisa : Penggunaan tanah saat ini : Status kepemilikan tanah :

(Sertakan batas dan status kepemilikan tanah dan denah yang jelas dengan orientasi lokasi arah mata angina, bila perlu lengkapi dengan koordinat GPS)

Contoh:

Pernyataan ini dibuat dengan sebenarnya tanpa paksaan apapun untuk dipergunakan sebagaimana mestinya.

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Tempat, tanggal dilakukannya kesepakatan

Yang memberi izin, Yang menerima izin pinjam pakai

atas nama Pemerintah Desa/Lembaga Adat

Tanda Tangan Pemilik tanah

di atas materai 6000

(……Nama……) (…..Nama…..)

Tanda tangan ahli waris:

Nama 1 tanda tangan

Nama 2 tanda tangan

Nama 3 tanda tangan

dst.

Tanda tangan saksi-saksi:

Nama 1 (perangkat desa/lembaga adat) tanda tangan

Nama 2 (tokoh masyarakat/Tetua Adat) tanda tangan

Nama 3 (tetangga terdekat) tanda tangan

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CONTOH SURAT IZIN DILEWATI

Saya yang bertandatangan di bawah ini mewakili pihak pemilik tanah:

Nama : No KTP : Pekerjaan : Alamat :

Dengan ini menyatakan bersedia tanahnya dilewati fasilitas/pembangunan ………yang dibangun oleh pemerintah Desa/Lembaga Adat untuk dimanfaatkan bagi kepentingan masyarakat umum, selama jangka waktu … tahun atau selama fasilitas masih berfungsi. Surat izin tanah dilewati bisa diperbaharui sesuai kesepakatan dengan para pihak pemilik tanah.

Jumlah pemilik tanah yang dilewati : Dimensi tanah yang diperlukan (panjang dan lebar) : Lokasi tanah :

(Sertakan sketsa lokasi tanah yang dilewati pembangunan infrastruktur beserta keterangan yang sesuai seperti batas tanah, infrastruktur yang dibangun, orientasi lokasi arah mata angin, bila perlu lengkapi dengan koordinat GPS)

Contoh:

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Pernyataan ini dibuat dengan sebenarnya tanpa paksaan apapun untuk dipergunakan sebagaimana mestinya.

Tempat, tanggal dilakukannya kesepakatan

Perwakilan Pihak yang memberi Ijin Yang menerima izin atas nama Pemerintah Desa/Lembaga Adat

Tanda Tangan Pemilik tanah

di atas materai 6000

(Nama) (Nama)

LAMPIRAN

Kami yang bertanda-tangan dibawah ini menyetujui untuk memberi ijin dilewati untuk pembangunan ….

(Tanda tangan pemilik tanah yang dilewati pembangunan infrastruktur)

No. Nama Status tanah Tanda Tangan 1. Contoh:

Syukri Mahadi

Hak milik (letter C)

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Annex5–Environmental Management and Monitoring Framework

Tujuan pengelolaan dan pemantauan lingkungan adalah untuk menetapkan serangkaian kebijakan dan pedoman yang akan membantu NSC/NEA dalam penyaringan, penilaian, dan pengawasan aspek-aspek lingkungan hidup dan sosial dari semua proyek yang dibiayai DGMI. Proses penyaringan akan mengidentifikasi tingkat dampak dari setiap sub-proyek yang diusulkan dan jenis mitigasi yang diperlukan. Kharakateristik program/kegiatan DGMI, khususnya peningkatan penghidupan masyarakat berpotensi menimbulkan dampak lingkungan yang harus dikelola, sehingga memerlukan ijin lingkungan melalui penyusunan Upaya Pengelolaan Lingkungan dan Upaya Pemantauan Lingkungan (UKL/UPL) atau Surat Pernyataan Pengelolaan Lingkungan (SPPL). Patut dicatat bahwa lokasi kegiatan tidak berbatasan langsung dengan kawasan konservasi. Bila lokasi kegiatan berbatasan dengan kawasan konservasi, maka akan dikenakan wajib ANDAL, serta penyusunan RKL/RPL yang disyahkan pemerintah untuk medapatkan ijin lingkungan. Kegiatan yang termasuk kategori wajib ANDAL tidak akan dibiayai DGMI.

Diharapkan bahwa sebagian besar sub-proyek tidak akan memerlukan mitigasi dampak lingkungan yang khusus. Namun beberapa sub-proyek mungkin membutuhkan tambahan mitigasi dampak melalui penyusunan UKL/UPL untuk mendapatkan Ijin Lingkungan. Daftar kategori kegiatan/proyek Bank Dunia dan kaitannya dengan kebijakan Lingkungan Hidup di Indonesia dapat dilihat pada Tabel 7 dibawah ini.

Tabel 7 Daftar Kategori Proyek Menurut Bank Dunia dan Pemerintah Indonesia

Kate-gori Dampak Persyaratan

Bank

Persyaratan Pemerintah Indonesia

A Proyek-proyek yang menimbulkan dampak lingkungan yang merugikan, berkaitan dengan kepekaan, keanekaragaman, ireversibilitas (sifat tidak dapat dipulihkan), dan/atau dampak-dampak yang lain yang penting.

EA dan EMP menyeluruh

ANDAL dan RKL/UPL

B Proyek-proyek dengan volume dan ukuran kecil, yang menggambarkan dampak lingkungan yang dapat dipulihkan (reversible)

EA dan EMP sederhana

UKL/UPL

C Proyek-proyek bukan pekerjaan konstruksi, yang tidak menyebabkan tercemarnya udara, minyak dan air

Tidak diperlukan EA

Tidak diperlukan AMDAL, namun perlu dilengkapi dengan Surat Penyataan Pengelolaan Lingkungan Hidup (SPPL)

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UKL dan UPL berisi rencana mitigasi dan pemantauan standar untuk menutupi dampak khas dari setiap kegiatan konstruksi, termasuk pekerja/komunitas, kesehatan dan keselamatan, pengerjaan tanah dan pengelolaan sampah dan limbah B3. UKL/UPL harus disiapkan oleh lembaga yang kompeten dan mengikuti persyaratan yang tercantum dalam Permen LH No 16/2012. Secara umum, struktur dokumen dan matrik UKL-UPL dapat dilihat pada Tabel 8 dibawah ini

Tabel 8 Struktur & Substansi Dokumen UKL-UPL

Struktur Dokumen Penjelasan Substansi A Identitas Pemrakarsa 1. Nama Pemrakarsa 2. Alamat Kantor,

kode pos, No. Telp dan Fax. email.

B Rencana Usaha dan/atau Kegiatan

1. Nama Rencana Usaha dan/atau Kegiatan

2. Lokasi rencana usaha dan/atau kegiatan dan dilampirkan peta yang sesuai dengan kaidah kartografi dan/atau ilustrasi lokasi dengan skala yang memadai.

3. Skala/Besaran rencana usaha dan/atau Kegiatan

Tuliskan ukuran luasan dan atau panjang dan/atau volume dan/atau kapasitas atau besaran lain yang dapat digunakan untuk memberikan gambaran tentang skala kegiatan. Contoh: Bidang Pariwisata: luas lahan yang digunakan, luas fasiltas pariwisata yang akan dibangun, jumlah kamar, jumlah mesin laundry, jumlah hole, kapasitas tempat duduk tempat hiburan dan jumlah kursi restoran

4. Garis besar komponen rencana usaha dan/atau kegiatan

Pada bagian ini pemrakarsa menjelaskan: a. Kesesuaian lokasi rencana kegiatan dengan tata ruang

Bagian ini menjelaskan mengenai kesesuaian lokasi rencana usaha dan/atau kegiatan dengan rencana tata ruang sesuai ketentuan peraturan perundangan. Informasi kesesuaian lokasi rencana usaha dan/atau kegiatan dengan rencana tata ruang seperti tersebut di atas dapat disajikan dalam bentuk peta tumpang susun (overlay) antara peta batas lokasi proyek rencana usaha dan/atau kegiatan dengan peta RTRW yang berlaku dan sudah ditetapkan (peta rancangan RTRW tidak dapat dipergunakan). Berdasarkan hasil analisis spasial tersebut, pemrakarsa

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Struktur Dokumen Penjelasan Substansi selanjutnya menguraikan secara singkat dan menyimpulkan kesesuaian lokasi proyek dengan tata ruang, apakah seluruh lokasi proyek sesuai dengan tata ruang, atau ada sebagian yang tidak sesuai, atau seluruhnya tidak sesuai. Dalam hal masih ada hambatan atau keragu-raguan terkait informasi kesesuaian dengan RTRW, maka pemrakarsa dapat meminta bukti formal/fatwa dari instansi yang bertanggung jawab di bidang penataan ruang seperti BKPTRN atau BKPRD. Bukti-bukti yang mendukung kesesuaian dengan tata ruang wajib dilampirkan. Jika lokasi rencana usaha/atau kegiatan tersebut tidak sesuai dengan rencana tata ruang, maka formulir UKL-UPL tersebut tidak dapat diproses lebih lanjut sesuai dengan ketentuan pasal 14 ayat (3) PP No. 27 Tahun 2012. Disamping itu, untuk jenis rencana usaha dan/atau kegiatan tertentu, pemrakarsa harus melakukan analisis spasial kesesuaian lokasi rencana usaha dan/atau kegiatan dengan peta indikatif penundaan izin baru (PIPIB) yang tercantum dalam Inpres Nomor 10 Tahun 2011, atau peraturan revisinya maupun terbitnya ketentuan baru yang mengatur mengenai hal ini. Berdasarkan hasil analisis spatial tersebut, pemrakarsa dapat menyimpulkan apakah lokasi rencana usaha dan/atau kegiatan tersebut berada dalam atau di luar kawasan hutan alam primer dan lahan gambut yang tercantum dalam PIPIB. Jika lokasi rencana usaha/atau kegiatan tersebut berada dalam PIPIB, kecuali untuk kegiatan-kegiatan tertentu yang dikecualikan seperti yang tercantum dalam Inpres Nomor 10 Tahun 2011, maka formulir UKL-UPL tersebut tidak dapat diproses lebih lanjut. Kesesuaian terhadap lokasi rencana usaha dan atau kegiatan berdasarkan peta indikatif penundaan izin baru (PIPIB) yang tercantum dalam Inpres Nomor 10 Tahun 2011, berlaku selama 2 (dua) tahun terhitung sejak Instruksi Presiden ini dikeluarkan.

b. Penjelasan mengenai persetujuan prinsip atas rencana kegiatan Bagian ini menguraikan perihal adanya persetujuan prinsip yang menyatakan bahwa jenis usaha kegiatan tersebut secara prinsip dapat dilakukan dari pihak yang berwenang. Bukti formal atas persetujuan prinsip tersebut wajib dilampirkan.

c. Uraian mengenai komponen rencana kegiatan yang dapat menimbulkan dampak lingkungan Dalam bagian ini, pemrakarsa menuliskan komponen-komponen rencana usaha dan/atau kegiatan yang

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Struktur Dokumen Penjelasan Substansi diyakini dapat menimbulkan dampak terhadap lingkungan. Uraian tersebut dapat menggunakan tahap pelaksanaan proyek, yaitu tahap pra-konstruksi, kontruksi, operasi dan penutupan/pasca operasi. Tahapan proyek tersebut disesuaikan dengan jenis rencana usaha dan/atau kegiatan.

C Dampak Lingkungan yang Ditimbulkan dan Upaya Pengelolaan Lingkungan Hidup serta Upaya Pemantauan Lingkungan Hidup

Bagian ini pada dasarnya berisi satu tabel/matriks, yang merangkum mengenai: 1. Dampak lingkungan yang ditimbulkan rencana usaha

dan/atau kegiatan Kolom Dampak Lingkungan terdiri atas tiga sub kolom yang berisi informasi: a. sumber dampak, yang diisi dengan informasi

mengenai jenis sub kegiatan penghasil dampak untuk setiap tahapan kegiatan (pra-kontruksi, konstruksi, operasi dan pasca operasi);

b. jenis dampak, yang diisi dengan informasi tentang seluruh dampak lingkungan yang mungkin timbul dari kegiatan pada setiap tahapan kegiatan; dan

c. besaran dampak, yang diisi dengan informasi mengenai: untuk parameter yang bersifat kuantitatif, besaran dampak harus dinyatakan secara kuantitatif.

2. Bentuk upaya pengelolaan lingkungan hidup Kolom Upaya Pengelolaan Lingkungan Hidup terdiri atas tiga sub kolom yang berisi informasi: a. bentuk Upaya Pengelolaan Lingkungan Hidup, yang

diisi dengan informasi mengenai bentuk/jenis pengelolaan lingkungan hidup yang direncanakan untuk mengelola setiap dampak lingkungan yang ditimbulkan;

b. lokasi Pengelolaan Lingkungan Hidup, yang diisi dengan informasi mengenai lokasi dimana pengelolaan lingkungan dimaksud dilakukan (dapat dilengkapi dengan narasi yang menerangkan bahwa lokasi tersebut disajikan lebih jelas dalam peta pengelolaan lingkungan pada lampiran UKL-UPL); dan

c. periode pengelolaan lingkungan hidup, yang diisi dengan informasi mengenai waktu/periode dilakukannya bentuk upaya pengelolaan lingkungan hidup yang direncanakan.

3. Bentuk upaya pemantauan lingkungan hidup

Kolom Upaya Pemantauan Lingkungan Hidup terdiri atas tiga sub kolom yang berisi informasi: a. bentuk Upaya Pemantauan Lingkungan Hidup, yang

diisi dengan informasi mengenai cara, metode, dan/atau teknik untuk melakukan pemantauan atas kualitas lingkungan hidup yang menjadi indikator kerberhasilan pengelolaan lingkungan hidup (dapat termasuk di dalamnya: metode pengumpulan dan

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Struktur Dokumen Penjelasan Substansi analisis data kualitas lingkungan hidup, dan lain sebagainya);

b. lokasi Pemantauan Lingkungan Hidup, yang diisi dengan informasi mengenai lokasi dimana pemantauan lingkungan dimaksud dilakukan (dapat dilengkapi dengan narasi yang menerangkan bahwa lokasi tersebut disajikan lebih jelas dalam peta pemantauan lingkungan pada lampiran UKL-UPL); dan

c. periode pemantauan lingkungan hidup, yang diisi dengan informasi mengenai waktu/periode dilakukannya bentuk upaya pemantauan lingkungan hidup yang direncanakan.

4. Institusi pengelola dan pemantauan lingkungan hidup

Kolom Institusi Pengelola dan Pemantauan Lingkungan Hidup, yang diisi dengan informasi mengenai berbagai institusi yang terkait dengan pengelolaan lingkungan hidup dan pemantauan lingkungan hidup yang akan: a. melakukan/melaksanakan pengelolaan lingkungan

hidup dan pemantauan lingkungan hidup; b. melakukan pengawasan atas pelaksanaan

pengelolaan lingkungan hidup dan pemantauan lingkungan hidup; dan

c. menerima pelaporan secara berkala atas hasil pelaksanaan komitmen pengelolaan lingkungan hidup dan pemantauan lingkungan hidup sesuai dengan lingkup tugas instansi yang bersangkutan, dan peraturan perundang-undangan yang berlaku.

Dalam bagian ini, Pemrakarsa dapat melengkapi dengan peta, sketsa, atau gambar dengan skala yang memadai terkait dengan program pengelolaan dan pemantauan lingkungan. Peta yang disertakan harus memenuhi kaidah-kaidah kartografi.

D Jumlah dan Jenis Izin IZIN PPLH yang Dibutuhkan

Dalam hal rencana usaha dan/atau kegiatan yang diajukan memerlukan izin PPLH, maka dalam bagian ini, pemrakarsa menuliskan daftar jumlah dan jenis izin perlindungan dan pengelolaan lingkungan hidup yang dibutuhkan berdasarkan upaya pengelolaan lingkungan hidup.

E Surat Pernyataan Bagian ini berisi pernyataan/komitmen pemrakarsa untuk melaksanakan UKL-UPL yang ditandatangani di atas kertas bermaterai.

F Daftar Pustaka Pada bagian ini utarakan sumber data dan informasi yang digunakan dalam penyusunan UKL-UPL baik yang berupa buku, majalah, makalah, tulisan, maupun laporan hasil-hasil penelitian. Bahan-bahan pustaka tersebut agar ditulis dengan berpedoman pada tata cara penulisan pustaka.

G Lampiran Formulir UKL-UPL juga dapat dilampirkan data dan informasi lain yang dianggap perlu atau relevan, antara lain: 1. bukti formal yang menyatakan bahwa jenis usaha

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Struktur Dokumen Penjelasan Substansi kegiatan tersebut secara prinsip dapat dilakukan;

2. bukti formal bahwa rencana lokasi Usaha dan/atau Kegiatan telah sesuai dengan rencana tata ruang yang berlaku (kesesuaian tata ruang ditunjukkan dengan adanya surat dari Badan Koordinasi Perencanaan Tata Ruang Nasional (BKPTRN), atau instansi lain yang bertanggung jawab di bidang penataan ruang);

3. informasi detail lain mengenai rencana kegiatan (jika dianggap perlu);

4. peta yang sesuai dengan kaidah kartografi dan/atau ilustrasi lokasi dengan skala yang memadai yang menggambarkan lokasi pengelolaan lingkungan hidup dan lokasi pemantauan lingkungan hidup; dan

5. data dan informasi lain yang dianggap perlu.

Kegiatan yang tidak membutuhkan UKL/UPL tetapi membutuhkan pengelolaan dan pemantauan lingkungan perlu menyusun SPPL untuk mendapatkan ijin lingkungan. Format SPPL disajikan pada Lampiran 7

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Annex 6 – Template for UKL - UPL

Dampak Lingkungan Upaya Pengelolaan Lingkungan Hidup Upaya Pemantauan Lingkungan Hidup Institusi Pengelola Dan Pemantauan Lingkungan Hidup

Keterangan Sumber

Dampak Jenis Dampak

Besaran Dampak

Bentuk Upaya Pengelolaan Lingkungan Hidup

Lokasi Pengelolaan Lingkungan Hidup

Periode Pengelolaan Lingkungan Hidup

Bentuk Upaya Pemantauan Lingkungan Hidup

Lokasi Pemantauan Lingkungan Hidup

Periode Pemantauan Lingkungan Hidup

(Tuliskan kegiatan yang menghasil-kan dampak terhadap lingkungan)

(Tulis-kan dampak yang mungkin terjadi)

(Tuliskan ukuran yang dapat menyatakan besaran dampak)

(Tuliskan bentuk/jenis pengelolaan lingkungan hidup yang direncanakan untuk mengelola setiap dampak lingkungan yang ditimbulkan)

(Tuliskan informasi mengenai lokasi dimana pengelolaan lingkungan dimaksud dilakukan)

(Tuliskan informasi mengenai waktu/periode dilakukannya bentuk upaya pengelolaan lingkungan hidup yang direncanakan)

(Tuliskan informasi mengenai cara, metode, dan/atau teknik untuk melakukan pemantauan atas kualitas lingkungan hidup yang menjadi indikator kerberhasilan pengelolaan lingkungan hidup)

(Tuliskan informasi mengenai lokasi dimana pemantauan lingkungan dimaksud dilakukan)

(Tuliskan informasi mengenai waktu/periode dilakukannya bentuk upaya pemantauan lingkungan hidup yang direncanakan)

(Tuliskan institusi yang terkait dengan pengelolaan lingkungan hidup dan pemantauan lingkungan hidup)

(Tuliskan informasi lain yang perlu disampaikan untuk menjelaskan hal-hal yang dianggap perlu)

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Annex 7 - Format for SPPL Application

SURAT PERNYATAAN KESANGGUPAN PENGELOLAAN DAN

PEMANTAUAN LINGKUNGAN HIDUP (SPPL)

Kami yang bertanda tangan di bawah ini:

§ Nama : ............................................................................ § Jabatan : ............................................................................ § Alamat : ............................................................................ § Nomor Telp. : ............................................................................

Selaku penanggung jawab atas pengelolaan lingkungan dari:

§ Nama perusahaan/Usaha : ......................................................... § Alamat perusahaan/usaha : ......................................................... § Nomor telp. Perusahaan : ......................................................... § Jenis Usaha/sifat usaha : ......................................................... § Kapasitas Produksi : ......................................................... § Perizinan yang dimiliki : ......................................................... § Keperluan : ......................................................... § Besarnya modal : .........................................................

Dengan ini menyatakan bahwa kami sanggup untuk:

1. Melaksanakan ketertiban umum dan senantiasa membina hubungan baik dengan tetangga sekitar.

2. Menjaga kesehatan, kebersihan dan keindahan di lingkungan usaha. 3. Bertanggung jawab terhadap kerusakan dan/atau pencemaran lingkungan yang

diakibatkan oleh usaha dan/atau kegiatan tersebut. 4. Bersedia dipantau dampak lingkungan dari usaha dan/atau kegiatannya oleh pejabat

yang berwenang. 5. Menjaga kelestarian sumber daya alam dan lingkungan hidup di lokasi dan disekitar

tempat usaha dan/atau kegiatan. 6. Apabila kami lalai untuk melaksanakan pernyataan pada angka 1 sampai angka 5 di atas,

kami bersedia bertanggung jawab sesuai dengan peraturan perundang-undangan yang berlaku.

Keterangan:

a. Dampak lingkungan yang terjadi: 1. 2. 3.

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4. 5. dst.

b. Pengelolaan dampak lingkungan yang dilakukan: 1. 2. 3. 4. 5. dst.

SPPL ini berlaku sejak tanggal ditetapkan sampai dengan berakhirnya usaha dan/atau kegiatan atau mengalami perubahan lokasi, desain, proses, bahan baku dan/atau bahan penolong.

Menyetujui,

Kepala Instansi Lingkungan Hidup Provinsi/Kabupaten/Kota

N A M A

(..................................................)

NIP.

Tanggal, Bulan, Tahun

Yang menyatakan,

N A M A

(..................................................)

Catatan:

Contoh format di atas merupakan format minimum dan dapat dikembangkan.

Materai Rp. 6.000,-

Tanda tangan

Cap perusahaan

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Annex 8 - Project Components and Sub-components of DGMI Component 1: Grants to Strengthen IPLC Capacity to Enhance Tenure Security and Improve Livelihoods 22. This component will, through the provision of grants, build the capacity of IPLC to pursue: (i) clarity and security over their rights to land (including forest land) in rural areas, and (ii) improved livelihoods. This component will result in mechanisms, skills, and outputs that will assist the participating IPLCs to advance efforts to strengthen tenure and improve their well-being. It will help the participating IPLC to fulfill (to the extent possible) government requirements for greater land tenure security and access to services that improve livelihoods. 23. The selection of communities eligible for support from this component will be based on criteria such as: (i) community has started or has completed participatory mapping of territories or process for applying for social permits, (ii) 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), and (iii) feasibility (both financial and political). The latter will be determined based on evidence of districts’ willingness to engage in recognition of IPLC and their claims for collective land rights. There will be additional criteria, such as percentage of women beneficiaries, community support and organizations’ capacity, used to screen proposals (these are presented in Annex 1 and will be elaborated in the Project Operational Manual). 24. Grant proposals associated with this component will include a combination of activities for all three subcomponents or activities for subcomponent 1.1 and 1.2, or activities for subcomponent 1.1 and 1.3 (when there is tenure security). The project aims to issue 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. The first tranche of each grant will be for implementing subcomponent 1.1, and is expected to not exceed $7,500. Details regarding the activities, selection process, and the financing mechanism are described in Annex 1 and will be further detailed in the Project Operational Manual. Subcomponent 1.1. Community Outreach and Mobilization 25. The funds associated with this subcomponent will be accessible to non-governmental organizations (NGOs), CSOs, and CBOs that have been shortlisted following an open call for proposals. The support is to enable the short-listed proponents to sensitize their targeted beneficiaries 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. 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. Similar efforts will be made to provide the targeted beneficiaries with information on public and private financial resources for supporting local development and processes and requirements for accessing these funds. 26. The subcomponent will finance the costs of outreach materials, meetings, workshops, and, in some cases, community exchange visits.

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Subcomponent 1.2: Strengthen IPLC's Capacity to Enhance Land Tenure Security 27. This sub-component will support IPLCs ongoing efforts to claim tenurial rights, primarily through bolstering their claims for (a) customary forests (Hutan Adat); (b) communal land rights (applicable to both IP and LC); and (c) permits for forestlands (e.g., social forestry or community forestry). These three types of tenure security are the primary focus because they capture the three main forms of tenure IPLC have been striving to obtain in Indonesia The proposed support provided through this subcomponent will position the IPLC to strengthen security over the bundle of rights associated with access and land use. The IPLC will receive information on the documentation requirements for processing tenurial claims under the three target rights categories and guidance on how to secure these rights. Further, the selected IPLCs will receive assistance needed for compiling evidence regarding land areas, finalized land maps, liaising with local government officials for submission and processing of the applications for obtaining land use rights. 28. This subcomponent will 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 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 government and other external entities. This will include training based on the 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’s Capacity to Improve Livelihoods 29. This subcomponent will assist IPLC with two dimensions of improving livelihoods: (i) determining and agreeing on 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 will be the feasibility and potential for self-financing following the use of the grant (i.e., leveraging other sources of financing). 30. This grant financing will support training and technical support to local community facilitators, and support for these trained facilitators to assist with developing and refining community development plans. The training 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).

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Component 2: Inform Policy Processes and Dialogues 31. 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 key persons identified as representing groups of IPLC (e.g., persons from the CBOs/CSOs/NGOs receiving grants as part of 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. More specifics will be elaborated in the project operational manual and due consideration will be given to subnational dialogues. 32. 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 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. 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 evets, and how much financing will be allocated for this activity on an annual basis in the project operational manual. Component 3: Project Management and Monitoring and Evaluation 33. This component will include management and supervision of the project. Associated with management, it will finance the coordination meetings involving the NSC and NEA, and any regional meetings with DGM constituents 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 short-listed project proponents with support for improving the project design and implementation. 34. The component will also cover the costs of establishing and operating a monitoring and evaluation (M&E) mechanism that engages 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 and communications and feedback processes to ensure that the cause of the grievances inform any necessary modifications in project implementation. A focal person will be identified within the NEA to monitor and respond to concerns raised.