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September 17, 2012
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EXECUTIVE SUMMARY
IMPLEMENTATION GUIDELINES
FOR SOCIAL AND ENVIRONMENTAL SAFEGUARDS IN PNPM-RURAL
SUPPLEMENT TO PNPM-RURAL OPERATIONS MANUAL
ABBREVIATIONS AND ACRONYMS
BKAD Badan Kerjasama Antar Desa (Inter-Village Cooperation Body)
Camat Sub-district Administrative Head
FasKab Teknik Technical District Facilitator
FK Fasilitator Kecamatan (Sub-district Facilitator)
FT Fasilitator Tehnik (Technical Facilitator)
FTKab Fasilitator Teknik Kabupaten (District Technical Facilitator)
KAT Komunitas Adat Terpencil (Isolated and Vulnerable communities)
KPMD Kader Pemberdayaan Masyarakat Desa (Rural Community Empowerment Cadres)
KT Kader Tehnik (Technical Cadres)
MAD (Musyawarah Antar Desa) Inter-Village Meeting
MD Musyawarah Desa (Village Meeting)
Musdus Musyawarah Dusun (Hamlet Meeting)
O&M Operation and Maintainance
PJOK Penanggung-Jawab Operasional Kegiatan (Local Project Manager at Sub-district
level)
PJOKab Penanggung-Jawab Operasional Kegiatan Kabupaten (Local Project Manager at
District level)
PL Pendamping Lokal (Local Facilitator)
PNPM Program Nasional Pemberdayaan Masyarakat Mandiri Perdesaan (National Program
Empowerment Community)
PTO Technical Operations Manual
RAB Rencana Anggaran Biaya (Budgeting)
SPPB Surat Perjanjian Pemberian Bantuan (Aid Provision Agreement)
TP3D Tim Pengelola dan Pemelihara Prasarana Desa
TPK Tim Pelaksana Kegiatan (Village Implementation Team)
TPU Tim Penulis Usulan (Writing Proposal Team)
TV Tim Verifikasi (Verification Team)
ii
Table of contents
I. INTRODUCTION ................................................................................................................................ 1
II. DEFINITION AND SCOPE ................................................................................................................. 1
III. APPLICATION OF SOCIAL AND ENVIRONMENTAL SAFEGUARDS IN PNPM-RURAL ...... 2
A. WHAT............................................................................................................................................... 2
B. WHO ................................................................................................................................................. 4
C. WHERE ............................................................................................................................................ 5
D. HOW ................................................................................................................................................. 5
IV. THE ROLES OF PNPM-RURAL ACTORS ....................................................................................... 8
V. DOCUMENTATION AND REPORTING .......................................................................................... 9
1
I. INTRODUCTION
These guidelines form a supplement to the PNPM-Rural Operations Manual and are aimed at
providing a uniform understanding and clear direction for the implementation of safeguards
policies for PNPM-Rural at all levels (including consultants, facilitators, government and the
communities) in executing their activities in order to minimize negative impact on the
community and the environment and to ensure compliance with applicable laws, regulations and
policies. The Operations Manual for PNPM-Rural comprises three volumes, the project’s
standard operating procedures and related annexes as well as the full Implementation Guidelines
for Social and Environmental Guidelines (IGSES) which this document summarizes and which
spans about 70 pages. Additional English language translations of key sections are available
upon request.
II. DEFINITION AND SCOPE
1. The social and environment safeguards triggered by PNPM-Rural are (a) Indigenous
Peoples1 and (b) Environmental Assessment / Kajian Lingkungan Hidup.
2. Indigenous Peoples: These Guidelines contain procedures to ensure: (a) that all PNPM-Rural
activities are evaluated and potential Indigenous Peoples’ are identified and any issues which
affect Indigenous Peoples are handled before the commencement of any activities; and (b)
the participation and inclusion of various groups (including women, the poor and isolated and
vulnerable citizens) in local level decision making regarding the allocation of resources.
3. Environmental Assessment: These guidelines contain procedures to ensure that: (a) all
PNPM-Rural activities are evaluated prior to implementation; (b) environmental issues have
been identified and mitigating measures taken before the implementation of any activities
which have the potential for a negative impact on the environment; and (c) further mitigating
measures, as appropriate, are included in implementation arrangements for the activities.
4. In addition, PNPM-Rural is not allowed to fund activities detailed in the negative list:
(a) Activities related to the military or army; activities related to political practices or
parties.
(b) Building/rehabilitation of government offices or religious facilities.
1 “Indigenous Peoples” means those social groups in Indonesia that have a distinct social and cultural identity, and
that are susceptible to being disadvantaged in the development process affected by the Project or any part thereof as follows: (a) masyarakat adat (customary law communities) based on lineage or locality and bound by customary law with characteristics including: (i) self identification as a distinct indigenous cultural group, (ii) collective attachment to ancestral territories and to the natural resources in the territories; and (iii) and customary cultural, economic, social, or political institutions; and (b) Komunitas Adat Terpencil (KAT) (Isolated and Vulnerable communities), a category of customary law communities designated by the Borrower that live in isolated areas with characteristics including: (i) collective attachment to ancestral territories and to the natural resources in the territories; (ii) customary cultural, economic, social, or political institutions; (iii) an indigenous language; (iv) having a subsistence economy, (iv) using simple tools and technology, (v) having a high dependence on the environment and local natural resources, and (vi) having restricted access to social, economic, and political services.
2
(c) Purchase of chainsaws, weapons, explosive materials, asbestos, or other
environmentally destructive materials (such as pesticides, herbicides, prohibited
drugs, etc.)
(d) Purchase of any fishing boat with capacity above 10 tons and any related
equipment (eg drag nets).
(e) Government officers' salary.
(f) Activities using child labor (below working age) per regulations of the Borrower.
(g) Activities related to the production, storage or sale of goods with tobacco content.
(h) Activities in locations which are stated as a natural preserve per the regulations of
the Borrower, except in any case in which there is a written permit from the
official responsible for management of any such locations.
(i) Activities for mining or collecting or usage of reefs.
(j) Activities related to management of water resources from any river that flows from
or to a country other than the territory of the Borrower.
(k) Activities related to relocating river lines.
(l) Activities related to reclamation of land of more than 50 hectares.
(m) Building any new irrigation network with an area of more than 50 hectares.
(n) Activities to build a dam or water tank with large capacity of more than 10,000
cubic meters.
5. PNPM-Rural does not allow the involuntary acquisition of land or involuntary resettlement in
any project activities, whether financed by PNPM-Rural or by other sources. Community
members may provide land for PNPM-Rural projects through voluntary donation and
voluntary donation with compensation (from sources other than Bank financing). This
manual contains procedures to regulate the planning, documentation and verification
procedures for voluntary donation and voluntary donation with compensation.
III. APPLICATION OF SOCIAL AND ENVIRONMENTAL SAFEGUARDS IN
PNPM-RURAL
A. WHAT
6. PNPM-Rural uses a community-driven development approach, providing direct block grant
financing to local communities at the sub-district level to finance an open menu of local
development priorities – typically small scale social/economic infrastructure, education and
health activities, and micro-loans to women’s savings groups – implemented with
mechanisms to ensure broad-based participation and transparency. Between 75 – 80 percent
of the block grant financing goes toward the small scale social/economic infrastructure,
education and health activities, while between 20 – 25 percent goes toward micro-loans to
women’s savings groups.
7. By way of example, the table below presents a typology of the environmental impacts that
building a rural road could involve, broken down by type of impact:
3
Table: Example of Environmental Impacts
Category 1: Serious but local problems
Water flow concentration
Landslides
Loss of productive land due to landslides
Category 2: Serious negative impact on
environment/social
Sale of land to outsiders
Deforestation
Increased sediment load due to road erosion
Category 3: Negative impacts of slight probability
or less important impact
Air pollution from vehicles
Flooding due to improper siting of bridge
Increase in airborne dust
Increase in criminal activity in the village
Noise pollution
Category 4: Unclear impacts, positive or
negative
Establishment of small industries that potentially
pollute the environment
Increased intensity in farming or livestock
Residents seek employment outside the village
Moving houses to roadside
Outsiders move into the village
Category 5: Clearly positive impact
Reduction in erosion from agricultural land due to
application of improved technologies
Availability of construction materials in village
Increase in communication, including access to
health and education facilities
Category 6: Negative impact, but clearly
acceptable to the local community
Traffic accidents
Loss of land required for road widening
8. From the above table it can be seen that categories 1, 2, and 4 require special consideration
from project planners. Category 1 includes problems of short-term impact even though the
effects might be widespread. The principle behind managing environmental impacts in
PNPM-Rural is to limit potential negative impacts and to develop the positive impacts of any
infrastructure construction activity.
9. As a countrywide program, PNPM-Rural is implemented in areas inhabited by indigenous
peoples, which in Indonesia can generally be classified into two categories:
(a) Masyarakat Adat /Adat communities/Customary law communities. These are based on
lineage or locality and are bound by customary law. Characteristics of these
communities include: (i) self identification as a distinct indigenous cultural group; (ii)
collective attachment to ancestral territories and to the natural resources in the territories;
and (iii) customary cultural, economic, social, or political institutions; and
(b) Komunitas Adat Terpencil (KAT)/Isolated and Vulnerable communities (IVPs). This is a
government-designated category of customary law communities that live in isolated
areas. The characteristics attributed to these communities include: (i) collective
attachment to ancestral territories and to the natural resources in the territories; (ii)
customary cultural, economic, social, or political institutions; (iii) an indigenous
language. They are also identified by government as: (i) having a subsistence economy,
(ii) using simple tools and technology, (iii) having a high dependence on the environment
4
and local natural resources, and (iv) having restricted access to social, economic, and
political services.
10. PNPM-Rural follows best-practice principles for indigenous people's involvement.
Participation is entirely voluntary, and there are documented cases of very remote
communities initially not accepting PNPM facilitators. Actions taken by the program include:
free, prior and informed consultations leading to broad community support, recruitment and
tailored training for facilitators from the same ethnic groups (e.g., barefoot engineers training
in Papau and West Papua); local language translation; independent reviews by qualified
socio-cultural specialists; and modifications to the planning process to reflect more closely
traditional social units.
11. As the nature of the subprojects to be financed under the fourth PNPM-Rural project will be
the same as the ongoing PNPM-Rural series, it would likely lead to similar environmental
and social impacts, i.e., the environmental and social impacts would be insignificant, non-
irreversible, and site-specific. Mitigation measures are done through community participation
and community-based subproject management.
12. Activities aimed at social and environmental protection in all PNPM-Rural activities, through
measures which are anticipatory, preventive and provide a mechanism for immediate
response during implementation in the event that any issues arise which threaten and/or are
damaging to the community or any of its members or the environment. The main instruments
used to manage the safeguards aspects of the project are the PNPM-Rural Operations Manual
and the IGSES which is a supplement to the manual. The Operations Manual and IGSES
provide standard operating procedures, checklists, forms and training materials at all related
levels and in all processes of PNPM-Rural, including:
(a) Dissemination and socialization
(b) Consensus building meetings (musyawarah)
(c) Trainings
(d) Writing of village proposals
(e) Verification of village proposals
(f) Decision on the proposals to be funded
(g) Implementation of activities
(h) Supervision and Monitoring
(i) Facilitation and Problem Handling
(j) Documentation and Reporting
(k) Maintenance (O&M)
B. WHO
13. These guidelines are applied by PNPM-Rural actors from all levels including consultants,
facilitators, the government and the communities.
5
14. The practitioners from the community may include, among others, the Rural Community
Empowerment Cadres or Kader Pemberdayaan Masyarakat Desa (KPMD) and Technical
Cadres (KT), Writing Proposal Team or Tim Penulis Usulan (TPU), Village Implementation
Team (Tim Pelaksana Kegiatan -TPK), Verification Team2 (Tim Verifikasi -TV), Village
Infrastructure Management and Maintenance Team (Tim Pengelola dan Pemelihara
Prasarana Desa - TP3D), Local Facilitator (Pendamping Lokal - PL), cooperating with the
community and community leaders as well as the Inter-Village Cooperation Body (Badan
Kerjasama Antar Desa -BKAD).
15. Assistance is provided to communities by sub-district facilitators (FK) and technical
facilitators (FT) under the supervision of the District Facilitator Team, and Regional and
National Management Consultant Teams, as well as government officials and oversight
teams at all levels.
C. WHERE
16. PNPM-Rural is a countrywide program that is being implemented in over 60,000 rural
villages.
D. HOW
17. Preparation and Socialization Stage. In the National, Provincial, and District workshops as
well as the sub-district level Inter-Village Meetings (MAD) and the Village Meetings (MD)
and hamlet meetings (Musdus), socialization, explanation, and discussion regarding the
definitions and implementation of social and environmental safeguards must be on the
agenda.
18. Planning Stage. As part of the regular PNPM-Rural planning cycle, safeguard policies are
taken into consideration by the communities, from the earliest stages of proposal
identification to the time of writing/formulating proposals and the proposal verification
process, to the technical design process and prioritization of proposals by the MAD.
19. Implementation Stage. As part of implementation of all approved PNPM-Rural activities,
especially infrastructure construction, PNPM-Rural actors are responsible for implementation
of all environmental and social safeguards activities, including in the technical survey,
placement/location of buildings, collection and allocation of natural materials, mobilization
and usage of equipment (especially heavy machinery) ensuring there will be no disturbance
or damage to the ecosystem or local social conditions.
20. The following meetings are standard in PNPM-Rural implementation.
2 Verification Team is a team formed from members of the public who have the experience and specialized
expertise, both in technical infrastructure, savings and loans, education, health and community skills training according to the proposed activities submitted by villagers in the second village meeting where project/subproject proposals are discussed by the community.
6
(a) Village Consultation Meeting. Each village holds a meeting to discuss information
resulting from the MAD. The village meetings held by those villages whose proposals are
being funded must have on their agenda the procedures that must be observed in relation
to the application of safeguards at the implementation stage. These include procedures
for the procurement of materials and tools; the procedures for handling donations or
community contributions (including land donations); and the socialization of plans for
managing possible negative impacts due to the construction of PNPM-Rural
infrastructure. The meeting also addresses other possible effects according to the input of
Village Meeting participants. Training of the Community Implementation Teams is also
conducted prior to actual implementation of sub-projects.
(b) Pre-Implementation Meeting. Each village holds a pre-implementation meeting to agree
upon the technicalities of implementation, which includes discussion of agreed to/needed
implementation stage safeguard mitigation measures.
(c) Infrastructure Construction Period. During the construction period, all aspects of the
safeguards policy implementation arrangements must be followed including as noted in
the forms attached to the village proposal as well as the Aid Provision Agreement
Document (Dokumen Surat Perjanjian Pemberian Bantuan - SPPB/ Form 29). These
provide guidance for implementation and supervision by the FT and FK of the TPK in
handling social and environmental negative impact issues. Each District FT then
conducts supervision using a supervision checklist which includes safeguard issues.
(d) Operations and Maintenance Stage. Project facilitators and village teams mentioned will
monitor the emergence of any negative effects which may occur, including any predicted
earlier and noted in plans at the preparation stage, and exercise vigilance in observing
negative changes occurring whether to the social or environmental conditions.
21. Completing the forms related to the implementation of the social and environmental
safeguards is a compulsory part of the planning process. The same forms are brought to the
field during the construction period and are checked while changes can still be made easily.
At the end of construction, the forms are re-checked. The District technical/engineering
consultant is responsible for checking all PNPM-Rural infrastructure project designs in the
district and must reject designs without the completed relevant forms and may request
explanations for designs which are thought to have potential problems. The provisions and
forms which assist in the application of safeguards at each stage are, among others:
(a) Special Village Meeting for Women (Musyawarah Desa Khusus Perempuan). Facilitators
explain the application of safeguards to the women and address their concerns.
(b) TPU Training. In training the Proposal Writing Team (Tim Penulis Usulan -TPU), the
facilitator must explain how to complete:
(i) Form 5 -- Activities proposal.
(ii) Form 9 -- Table for procurement of land and assets.
(iii) Form 9a -- Detailed list of land grants/donations.
7
(iv) Form 10 -- Checklist of all proposal documents as well as how to handle and report
safeguard related issues should any occur.
(c) Proposal writing process. During the process of proposal writing, TPU must include and
explain in Form 5:
(i) The possibility of social and environmental impacts occurring; any land
requirements and the possibility of negative impacts on indigenous/customary
communities (if any).
(ii) The nature of any donations/grants. The agreed upon compensation must be
recorded in Form 9, which is endorsed by the Village Chief, and must include a
map and a sketch/layout of the impacted land. An agreement (part of form 9a) must
be signed by all parties whose land is being impacted in any way.
(iii) To ensure that the proposal is complete, including the minutes/statement of all land
grants/donations, Form 10 as a control mechanism. When the checking of the
process and all documentation has been completed and is certified to be correct,
only then may the verification take place. Both processes and all agreements and
documentation are subject to external re-examination at the verification stage.
(d) Verification Team Training. The training for the Verification Team must explain, among
other matters:
(i) The definitions and the application of safeguards in PNPM-Rural (this manual).
(ii) The negative list
(iii) How to complete Forms 11 and 12 (proposal verification forms)
(e) Proposal Verification Process. During the Verification process, in deliberations prior to
making a recommendation, the Verification Team must verify:
(i) The status of all land donations (before providing an assessment and
recommendation in Form 11-- Proposal Verification)
(ii) Before stating the results of the assessment of technical feasibility (using Form 12d)
-- Infrastructure proposal verification form, the Verification Team makes an
assessment of several issues, including but not limited to: 1) Whether or not there
will be damage to the environment during or post-constructon and what mitigation
measures are planned or needed and 2) the feasibility of all land donations.
(f) Project Design and Budgeting Process (RAB). During the RAB preparation process, the
FT and village technical cadre use Form 22-- Handling negative environmental impact
issues to identify potential negative environmental impacts which could occur and would
be detrimental to the community, and any likely negative environmental impacts. In all
cases, plans for handling these impacts are captured. At the District level the Technical
Facilitator (Fasilitator Teknik Kabupaten - FTKab) must conduct an inspection using
Form 25--Inspection of design and RAB.
8
(g) MAD Proposal and Prioritization Process. During the proposal prioritization process, the
Verification Team presents its technical findings, including safeguards related issues at
the MAD.
(h) SPPB Preparation. During the preparation of the Aid Provision Agreement Document
(SPPB/ Form 29), the technical design drawings which have been declared appropriate by
the FTKab, which include safeguards aspects, is attached to subproject proposals.
IV. THE ROLES OF PNPM-RURAL ACTORS
22. The actors of PNPM-Rural can be delineated in three groups, which are Government
Officials, Consultants and Facilitators, and the Community. Each has the following roles:
(a) Government Officials: (a) the district level consists of the District Taskforce (Satker
Kabupaten), Coordination team and the PjOKab (Local Project Manager at district level)
and (ii) the sub-district level consists of the Camat (sub-district administrative head) and
the PjOK (Local Project Manager at sub-district level). Their function is to oversee the
PNPM-Rural activities, including counseling the community on their understanding of
social and environmental safeguard policies and supervising implementation of
mitigation plans and resolutions of any problems that may arise.
(b) Consultants: At the national and regional level PNPM-Rural employs management
consultants responsible for overseeing the technical aspects of the project, including
safeguards. They oversee and provide technical assistance to the district and sub-district
facilitators. This includes technical guidance and instructions for Facilitators: Facilitators
are present at the district and sub-district levels. Facilitators at District Level are
Empowerment District Facilitator, Financial District Facilitator and Technical District
Facilitator. The Facilitators at the sub-district level are Empowerment Sub-district
Facilitator, and Technical Facilitator. The district facilitators provide technical oversight
to sub-district facilitators. In particular, facilitators are trained and required to have a
good understanding of safeguard issues and procedures and utilize their knowledge and
skills to explain safeguard regulations to communities and support the implementation of
subprojects. The Technical District Facilitator (FasKab Teknik) is responsible to
complete checklists for design quality and reject designs which do not meet the safeguard
criteria. The FT is responsible for completing all of the required social and
environmental safeguard forms.
(c) Community. From a safeguards perspective, the community can be categorized into four
groups: (i) Village government has the standing duty to oversee all activities in the
village and is required to have an understanding of safeguards and the Negative List in
order to be able to explain these to the general public; (ii) the Activities Management
Team is a small team selected by the community to manage PNPM activities in the
village;and (iii) KPMD and especially the Technical Cadres/KT, are required to be
extremely familiar with the PNPM-Rural procedures, including safeguards policies, and
explain these matters in the field. Although the TPK and KPMD are able to assist them,
9
the community in general should be familiar with the safeguards, especially regarding
land donations as well as social and environmental impact issues. (iv) The Verification
Team assesses whether the proposals selected by the village are appropriate and comply
with safeguard policies and procedures.
23. There are three basic types of training in PNPM-Rural which address safeguards: pre-service
training, refresher training and engineering specialist training (including for village technical
cadres). Additional capacity building is conducted during the monthly coordination
meetings, which have been expanded to include in-service training and coaching. The lessons
learned from the implementation of previous projects will be included as material in
facilitator trainings.
V. DOCUMENTATION AND REPORTING
24. Documentation and reporting (referred to generally as Reporting) is a key element in
controlling the program as well as a mechanism for providing feedback for policy makers.
Reporting provides data or information regarding the development or progress of each stage
of program implementation, the occurrence of constraints or problems, and the application
and achievement of targets or objectives, including the application of safeguards in the
implementation of PNPM-Rural. To date, the application of safeguards in PNPM-Rural has
in principle been carried out by the program actors. Every time meetings on the stages of the
activities are held, the meetings generate completed forms which are related to the
implementation of activity at the various stages. The completed forms are archived and
maintained at the sub-district as well as village level. These forms are an instrument to
control program implementation by program actors at the sub-district, district, provincial and
national levels. The channels and mechanisms for reporting are implemented in tiers,
according to each reporting type, content and mechanism.
25. PNPM-Rural requires and has a dynamic complaints handling mechanism which allows all
stakeholders— community members, facilitators, the government and all external
stakeholders— the opportunity at anytime to submit their complaints, including any dealing
with the application of safeguards policies. All complaints are documented and entered into a
centralized complaints handling mechanism database. Consultant reports are stored locally
and are documented at the provincial and national level. The project has a database for
complaints received from all sources and the summarized complaints are published monthly
on the PNPM-Rural website (http://www.ppk.or.id/). The project strives to resolve
complaints at the local level as much as possible. The standard deadline for handling most
complaints is two or three weeks. For more serious complaints, the standard for resolving
complaints is a maximum of three months. If the complaint is not resolved within the
timeframe, it is automatically forwarded to a higher level within project management for
resolution. If necessary, the issue can be handled through the formal legal system.