SIMURP
Strategic Irrigation Modernization and
Urgent Rehabilitation Project
IBRD Loan 8027-ID
ENVIROMENTAL AND SOCIAL MANAGEMENT
FRAMEWORK (ESMF)
March 2018
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Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
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TABLE of CONTENTS LIst of TABLE ........................................................................................................................... 2
LIST of FIGURE ....................................................................................................................... 3
LIST of ANNEX ........................................................................................................................ 4
ACRONYMS & ABBREVIATIONS........................................................................................ 5
PREFACE .................................................................................................................................. 6
CHAPTER I. INTRODUCTION .............................................................................................. 7
1.1 Project Background ................................................................................................... 7
1.2 Description of the Components ................................................................................. 7
1.2.1 Component A: Urgent Rehabilitation and Infrastructure Improvements .................. 7
1.2.2 Component B: Strategic Infrastructure Modernization ............................................. 9
1.2.3 Component C: Project Management ....................................................................... 11
1.3 Objective of The ESMF .......................................................................................... 11
1.4 Legal Framework .................................................................................................... 12
1.4.1 Government of Indonesia Regulations .................................................................... 12
1.4.2 World Bank Safeguard Policy ................................................................................. 13
1.4.3 Gap Analysis ........................................................................................................... 14
1.5 Environmental And Social Screening Tools ........................................................... 25
CHAPTER 2. ENVIRONMENTAL AND SOCIAL SCREENING REQUIREMENTS ....... 26
2.1. Scope of Activities .................................................................................................. 26
2.2. Safeguard Screening Procedure/Requirements ....................................................... 27
2.2.1 Screening Against Negative List ............................................................................. 29
2.2.2 Screening Against Potential Environmental and Social Impacts ............................ 29
2.3. Safeguard Screening Result of the 1st Year Activities ........................................... 34
2.4. Public Consultation and Disclosure ........................................................................ 41
CHAPTER 3. ENVIRONMENTAL MANAGEMENT .......................................................... 43
3.1. Environmental Management Procedures................................................................. 43
3.2. Document Review and Amendment........................................................................ 45
3.3. Monitoring and Evaluating Performance ................................................................ 46
3.4. Environmental and Social Consideration into the Design Process ......................... 49
3.5. Grievance Redress Mechanism ............................................................................... 50
CHAPTER 4. CAPACITY BUILDING, TRAINING, AND TECHNICAL ASSISTANCE . 55
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
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LIST of TABLES
Table 1 World Bank Policies Applicable to SIMURP ....................................................... 13
Table 2 Gap Analysis of Environmental and Social Assessment Requirements ............... 15
Table 3 Scoring Explanation for Likelihood and consequence ......................................... 25
Table 4 Risk Assessment Matrix........................................................................................ 25
Table 5 Subproject For Each Component .......................................................................... 26
Table 6 World Bank Policy for Environmental and Social Safeguards ............................. 27
Table 7 Environmental and Social Risk Assessment Result for 1st Year.......................... 36
Table 8 Safeguard Requirement for 1st Year Subproject in SIMURP .............................. 40
Table 9 Implementation of the Public Consultation for Draft ESMF SIMURP ................ 41
Table 10 Roles and Responsibilities .................................................................................... 43
Table 11 Overview of Review and Approval Mechanism ................................................... 46
Table 12 Tasks and Responsibilities for Environment and Social Issue ............................. 55
Table 13 Capacity Building and Indicative Budget (Environment) ..................................... 56
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
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LIST of FIGURES
Figure 1 Process of Screening In SIMURP ......................................................................... 32
Figure 2 Structure of Grievance Redress Mechanism ......................................................... 52
Figure 3. Illustration of Grievance Redress Mechanism Procedures ................................... 53
Figure 4 llustration of Grievance Redress Mechanism Procedures For SIMURP .............. 54
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
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LIST of ANNEX
Annex 1 List of Irrigation Areas for SIMURP .................................................................... 58
Annex 2 SIMURP Structure Organization .......................................................................... 60
Annex 3 Types of Activities that should be accompanied by EIA or UKL-UPL ............... 61
Annex 4 Screening for Environmental and Social Impacts ................................................. 63
Annex 5 Land Acquisition and Resettlement Policy Framework ....................................... 68
Annex 6 The Indigenous Peoples Planning Framework...................................................... 97
Annex 7 Grievance Redress Mechanism ........................................................................... 111
Annex 8 Chance Find Procedure ....................................................................................... 119
Annex 9 Pest Management Framework ............................................................................. 120
Annex 10 Typical Environmental Impacts and Mitigation Measures ................................. 125
Annex 11 Data Requirements in Preparing Environmental Documents ............................. 129
Annex 12 Procedure Preparation Document Environmental Management Efforts and
Environmental Monitoring Efforts (UKL-UPL) ................................................. 133
Annex 13 Guidelines for the Preparation of Environmental Documents the Environmental
Management Efforts and Environmental Monitoring Efforts (UKL-UPL) ........ 134
Annex 14 Format Warranty Statement for Implementation of environmental management and
montioring ........................................................................................................... 137
Annex 15 Format Statement of Environmental Management and Monitoring Statement
(SPPL) ................................................................................................................. 138
Annex 16 Distribution of IP Community in SIMURP Area................................................ 140
Annex 17 TOR for The Public Consultation of Environmental And Social Management
Framework (ESMF) SIMURP ............................................................................ 141
Annex 18 Summary of Public Consultation of Draft ESMF and First Year Activities ...... 146
file:///C:/Users/wb372703/AppData/Local/Microsoft/Windows/ESMF%20document%20(final)-1.doc%23_Toc509579416
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
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ACRONYMS & ABBREVIATIONS
B/BWS River Basin Unit (of the MPWH)
BAPPENAS National Development Planning Agency
BPN Land Administration Agency
CHE Complaint Handling Expert
CS Consultant Supervision
DD Detailed Design
DGWR Directorate General Water Resources
DLH Local-Government Environmental Office (at Provincial or District/Kota Level)
EIA National Required Environmental Impact Assessment
ESMF Environmental and Social Management and Monitoring Plan
ESMP Environmental and Social Management Framework
FGF Farmer Group Federation
GOI Government of Indonesia
ILL Irrigation & Lowland
IPPF Indigenous Peoples Planning Framework
LARPF Land Acquisition and Resettlement Policy Framework
MPWH Ministry of Public Works and Housing
NGOs Non-Government Organizations
CPIU Nasional Project Implementation Unit
CPMU Nasional Project Management Unit
O&M Operational and Maintenance
PIP Project Implementation Plan
SPPL Statement of Assurance for Implementation of Environmental Management and
Monitoring
(Surat Pernyataan Pengelolaan Lingkungan)
UKL-UPL Environmental Management and Monitoring Effort
WUA Water User Association
WUAF Water User Association Federation
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PREFACE
The new project aims at urgent rehabilitation and modernization of a number of irrigation schemes with
proposed interventions covering all 5 pillars of irrigation, water, infrastructure, management,
institutions and human resources, with the aim to create sustainability from environmental, technical,
socio-economic, managerial and financial perspective.
Implementation of strategic irrigation of modernization and urgent rehabilitation project (SIMURP) of
irrigation infrastructure will have an impact on the environment and social. SIMURP's activities are
expected to have an impact on land tenure and/or affect physical/cultural resources or the surrounding
environment.
This environmental and social management framework (ESMF) is intended as a guideline for the
executors and supervisors of SIMURP activities in implementing irrigation and river infrastructure
rehabilitation activities.
Hopefully this ESMF can give a benefits and guidance for all parties that related to planning,
implementation, and supervising the environmental and social on SIMURP.
Jakarta, March 2018
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CHAPTER I. INTRODUCTION
1.1 Project Background
The Strategic Irrigation Modernization and Urgent Rehabilitation Program (SIMURP)
responds to the needs as formulated in the Government’s Mid-Term Development Plan (RPJM 2015-
2019) using the five-pillar framework to promote rehabilitation and preparation of modernization of
existing national irrigated systems, referred to as ‘irrigation revitalization’. The proposed project will
focus on enabling some 110,000 hectares of national irrigation systems to be rehabilitated and to more
or lesser extent to be modernized through a revitalization program, while the Jatiluhur system
(224,000 hectares) will be the object of strategic modernization (component B). The rehabilitation
and modernization activities relate to enhanced service delivery and deal with system assessments,
management information and decision support systems, institutional strengthening, human resources
development and studies and designs for rehabilitation and modernization of irrigation, drainage and
flood management infrastructure. All these activities will follow the established principles and
practices of participatory irrigation management (PPSIP). The proposed SIMURP program consists
of 3 components that are aligned to the five pillars of modernization.
The project is designed around the five pillars that define the concept of irrigation
modernization in Indonesia. These are intended to support the Government’s efforts to address the
infrastructure, institutions, information and technical issues required to enhance irrigation efficiency
through a coherent participatory approach. The five pillars include elements of the ABCDE+F approach
advocated in the WBG Irrigation Modernization Paper. These are aimed at improving an existing
irrigation system to better meet participatory irrigation management services, to be more efficient,
effective and sustainable management. These pillars include: (i) Improving Water Security and
Availability; (ii) Rehabilitation and Upgrading of Infrastructure; (iii) Improvement of Management
Systems; (iv) Strengthening of Institutions; and, (v) Strengthening of Human Resources.
1.2 Description of the Components
1.2.1 Component A: Urgent Rehabilitation and Infrastructure Improvements
This component will support the rehabilitation and revitalization of about 100,000 hectares of
irrigated command area and the sub-Components are aligned with the Government’s five pillars of
modernization. This includes about 84,000 hectares of gravity irrigation systems and 16,000 hectares of
tidal irrigation systems. Five schemes, accounting for roughly 30,000 ha have been prioritized for the
first phase of implementation.
Activities to be financed under this component include: (i) water resource and system
performance assessments, including potential changes due to climate change; (ii) surveys,
investigations, and designs; (iii) infrastructure rehabilitation and upgrading, where relevant, including
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irrigation and drainage canals, river and canal flow control structures, along with storage facilities; (iv)
construction, rehabilitation, and upgrading of measurement devices; (v) construction, rehabilitation, and
upgrading supporting infrastructure, such as service roads, offices, training centers; as well as (vi)
support to development and improvement of tertiary systems. All these activities will apply the
principles of Participatory Irrigation Development and Management (PPSIP) and consider climate-
resilient management strategies for groundwater and surface water, improve resilience of infrastructure
to flood risks, change irrigation management strategies to reduce climate vulnerabilities (e.g. irrigation
schedules) and improve water efficiency by rehabilitation works of existing gravity-flow irrigation
systems. The activities will be implemented under five sub-components which are aligned with the
Government’s five Pillars of modernization.
Sub-component A.1: Enhancing Water Availability for Water Security. This
subcomponent will finance studies and surveys for water resources and system performance assessment
of 14 national irrigation systems comprising for the assessment of : (i) water availability, including
potential changes in the hydrological cycle due to climate change and water needs under various
management and service delivery scenarios; (ii) present management practices and service delivery
performance; (iii) water shortage risks and physical and non-physical options for mitigation; (iv)
desired levels of irrigation and drainage services; (v) options/scenarios for physical and non-physical
measures to enable delivery of desired services; (vi) Sediment management to maintain canal
conveyance capacities through the survey, feasibility assessment, design and construction of erosion
control measures in the catchments and siltation basins and flushing facilities at the entrance of the canal
systems.
Sub-component A.2: Rehabilitation and Improvement of National Irrigation Systems of
84,000 hectares of Upland Irrigation in 12 Systems and rehabilitation of 16,000 hectares in two lowland
systems with tidal irrigation and improvement of tertiary units. This sub-component will support climate
resilient sites surveys, investigations, detailed planning, design, and construction supervision.
Investigation for the lowland systems will include preparation of safeguards requirements, especially in
the relation to management of acidity leaching processes and effectiveness of tidal irrigation systems.
This includes measures to improve the soil carbon pool through sustainable water and land management
practices. Tertiary unit improvement will support the participatory planning and implementation of
development and improvement of tertiary irrigation and drainage systems in the 14 selected systems to
enable introduction and sustainable implementation of climate smart agriculture, including modernizing
agricultural technologies and programs to cope with climate change condition.
Sub-Component A.3: Irrigation Management Modernization. This sub-component will
support the modernization of irrigation systems management for the 14 national schemes covered under
Component A. The management modernization strategy is aligned with the Government’s
Modernization Pillar 3 - Improvement of Management Systems. Activities financed under this sub-
Component include: (i) the preparation, introduction and operationalization of a system management
plan including hydrological data gathering; (ii) establishment of asset management systems; (iii)
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benchmarking of the performance assessment; (iv) development of irrigation management cooperation
including preparation of Cooperation Memorandum of Irrigation Management and development of
financial scheme cooperation; (v) installation of SCADA and Decision Support System; (vi)
improvement of Water Distribution efficiency and Maintenance Condition and (vii) climate smart
agriculture and pilot of agriculture process management.
Sub-Component A.4: Irrigation Management Institutions. Supports the modernization of
irrigation management institutions and associated human resources towards transparent, accountable
and service oriented irrigation and drainage agencies, and strengthening and empowerment of
coordination platforms and water user associations and their federations in the systems covered under
components A. This sub-component is aligned with the Government Pillars 4 on Institutions. Activities
financed under this sub component will focus on the Modernization of irrigation management
institutional arrangements, and their coordination platforms and the associated regulatory frameworks,
towards transparent, accountable and service oriented irrigation and drainage agencies. Activities
financed under this component include studies, training needs assessments, training and workshops and
development of training material as well as provisions for training facilities and equipment.
Sub-Component A.5: Human Resources Development. This sub-component focuses on
shortage of staff in the national irrigation service institutions to redirect the human resources
development to staffing gains to balance management processes and technology enhancement.
Activities under the sub-component intend to incentivize these staff in the institutions by provision of
training to introduce and acquire knowledge and operational methods of irrigation modernization
technologies introduced under the Project. This subcomponent finances (i) training of government
agencies in irrigation scheme operation in the 14 selected systems; (ii) formation and training of water
user organizations; (iii) Gender analyses and assessments to better inform approaches, Implementation
of these activities will be done under the sub-components.
1.2.2 Component B: Strategic Infrastructure Modernization
This component will support the increase of serviceability of the Jatiluhur Irrigation Scheme
(240,000 ha) through modernization of existing management and 176,000 hectares of infrastructures.
Activities under this component will focus on improvement of the East (ETC - 90,230 ha) and North
(NTC - 85,945 ha) Tarum Canals along with pilot projects in the Binong and Patrol sections of the East
Tarum Canal command area to pioneer irrigation management principles and infrastructure
modernisation under SIMURP followed by a stepwise approach to implementation across the entire JIS.
Specific activities will include: (i) water resource assessments, sharing and optimization; (ii) diagnostic
scheme reviews; (iii) surveys, investigations and designs with modernization principles in PPSIP; (iv)
upgrading and modernizing of river infrastructure, where relevant, including irrigation and drainage
canals, and storage facilities, incorporating climate-resilient (such as enhanced reservoir, slope
protection, etc.) and water-efficient features; (v) flow control structures; (vi) measurement devices; (vii)
supporting infrastructure, such as service roads; as well as; and (viii) support to development and
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improvement of tertiary systems to facilitate introduction of climate smart agriculture.
Sub-component B.1: Enhancing Water Availability for Water Security. For Jatiluhur
Irrigation System, hydrological assessments on water availability have been carried out under the
preparatory studies. This sub-component will finance studies and investigations concerning: (i) water
availability and water needs under various management and service delivery scenarios of the Jatiluhur
Bulk System and Secondary Systems; (ii) Assessment of present management practices and service
delivery performance; (iii) Assessment of water shortage risks and physical and non-physical options
for mitigation; (iv) definition of desired levels of irrigation and drainage services at bulk delivery and
secondary systems; (v) options/scenarios for physical and non-physical measures to enable delivery of
desired services; and (vi) Sediment management measures to maintain canal conveyance capacities
through the survey, feasibility assessment, design and construction of erosion control measures in the
catchments and siltation basins and flushing facilities at the entrance of and within the canal systems
Sub-component B.2: Detailed Planning, Design and Implementation of the rehabilitation
and modernization of the bulk water system, which includes (i) the East and North Tarum Canal, the
Curug and Welahar Headworks Canal flow regulation and measurement systems, sediment management
provisions and inspection/maintenance roads; (ii) Detailed Planning, Design and Implementation of the
secondary systems in the Jatiluhur service area; and (iii) Participatory Planning, Design and
Improvement of tertiary units, which will support the participatory planning, design and construction
process of the tertiary irrigation and drainage systems that are managed by legalized WUAs.
Sub-Component B.3: Modernization of Irrigation Management in Jatiluhur Irrigation
System. The Jatiluhur Irrigation Systems fall under the management responsibility of the PJT2 while
capital investments and the assets are the responsibility of the BBWS Citarum. The PJT2 needs to secure
bulk water supply for irrigation and other water users and operate the secondary irrigation systems. In
particular, their responsibility includes the bulk entitlements and allocations for irrigation, the adequacy
of the hydrological monitoring network and information management, river flow regulation and main
and secondary offtake structures, and erosion and sedimentation management works. Activities
financed under this sub-Component include: (i) the preparation, introduction and operationalization of
a system management plan including hydrological data gathering; (ii) establishment of asset
management systems; (iii) evaluation of irrigation systems performance; (iv) development of irrigation
management cooperation; (v) installation of advanced information system, telemetry and tele-control
irrigation system; (vi) modernization of water irrigation allocation and distribution; and (v) climate
smart agriculture and pilot of agriculture process management.
Sub-Component B.4: Irrigation Management Institutions. Activities financed under this
sub component will and focus on modernization of irrigation management institutional arrangements to
enhance effectiveness of service delivery options in the context of the PP7/2010 concerning the mandate
of PJT2, and their coordination platforms towards transparent, accountable and service oriented
irrigation and drainage agencies. Therefore, activities financed under this component include (i)
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
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Institutional reviews to assess current management arrangements and inform future institutional options
in the context of outsources management to PJT2; (ii) Support for enhancement of the legal and
regulatory framework on national and local level for Jatiluhur irrigation management; (iii) Investigation
and piloting of possibilities for outsourcing of irrigation management tasks through maintenance
contracts, management contracts or partnerships with WUAF/WUAG; (iv) Strengthening of existing
river basin and irrigation management institutions like the B/BWS, Basin Management Platforms
(TKPSDA), and District-level Irrigation Commissions (KOMIR) and establishment of a Jatiluhur
specific KOMIR; (v) Establishment and strengthening of the Modernized Irrigation Management Units
(UPIM) and rapid O&M Taskforces (UPKM) for the Jatiluhur system under the PJT2 for the Bulk water
supply system and under the BBWS Citarum for the secondary systems; and (vi) Development of a
modified strategy for organization of water users in the Jatiluhur Area to accommodate the transition in
land ownership, tenure and agriculture practice. Establishment and gender sensitive strengthening of
modified Water Users Associations and their federations (WUA, WUAF, WUAG).
Sub-Component B.5: Human Resources Development. This subcomponent finances (i)
establishment and strengthening of Water User Associations (WUA) and WUA Federations (WUAF);
(ii) establishment and strengthening of the Irrigation Commissions (KOMIR); (iii) strengthening of
Citarum river territory organizations (BBWS) and PJT2; (iv) Development and implementation of
training programs for irrigation service development and irrigation system modernization for
Government Agencies , Basin Organizations and Water User Federations leadership; (v) Training in
modernized irrigation service delivery for Irrigation Commission (KOMIR) and Basin Technical
Coordination Committee (TKP SDA) in Jatiluhur; (vi) Training implementation serving the introduction
of Climate Smart Agriculture and irrigation management to WUA and WUAFs; and (vii) Gender
analyses and assessments to better inform approaches, and training programs that will be implemented
under these sub-components.
1.2.3 Component C: Project Management
This component will provide support to overall project management and implementation
through: (i) the Central Project Management Unit (CPMU) within Ministry and Project Implementation
Units (PIU) at river basin organizations to provide the necessary support services for timely and
effective project implementation, including monitoring & evaluation, procurement, financial
management, safeguard compliance and monitoring, etc.; (ii) Technical Assistance for the river basin
organizations and other implementing entities to ensure timely and effective implementation; (iii)
support to the National Steering Committee for Water Resources; and (iv) the incremental operating
costs of the CPMU and the PIUs for activities related to project implementation.
1.3 Objective of The ESMF
The purpose of this Environmental and Social Management Framework (ESMF) is to ensure
that all components of SIMURP are carried out in sustainable way by managing environmental and
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
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social aspects of certain activities. The ESMF will clarify the principles, rules, guidelines and
procedures and organization arrangements to be applied to environmental and social management plans
for SIMURP components. The ESMF will guide:
1. The preparation of environmental and social management plan for proposed
subprojects/activities under SIMURP (ESMP, LARAP, IPP) during project implementation;
2. Specify the appropriate roles and responsibility and outline the necessary reporting procedures
for managing and monitoring environmental and social concerns related to the components.
3. Understanding of project funding required to implement the ESMF requirements
Any component that cannot be implemented according to the ESMF will not be funded under
the project. This ESMF is applicable to SIMURP.
1.4 Legal Framework
Regulations of Government of Indonesia and the World Bank Policies are used as the basis for
preparing the ESMF
1.4.1 Government of Indonesia Regulations
The following regulations serve as the basis for the overall approach of this ESMF:
• Law No. 32 Year 2009 on Environmental Protection and Management
• Law No.2 Year 2012 on Land Procurement for Development for the Public Interest
• Law No. 7 Year 2012 on Social Conflict Handling
• Law No. 5 Year 1990 on Conservation of the Living Natural Resources and Their
Ecosystems
• Law No. 11 Year 2010 on Cultural Conservation
• Government Regulation (PP) No.6 Year 1995 on Crop Protection
• Government Regulation (PP) No. 27 Year 2012 on The Environmental Permit
• Government Regulation (PP) No. 2 Year 2015 On Social Conflict Handling
• Government Regulation (PP) No. 37 Year 2010 On Dam
• Presidential Regulation No.71 Year 2012 on the Implementation of Land Procurement for
Development for Public Interest, and its amendment
• Presidential Regulation No. 40 Year 2014 on Changes to The Presidential Regulation No.71
Year 2012 on Land Acquisition for Public Interest
• Presidential Regulation No. 56 Year 2017 on Community Social Impact Handling
• Ministry of Environment Regulation (Permen LH) No. 5 Year 2012 on Type of Activities
Required EIA
• Ministry of Environment Regulation (Permen LH) No. 13 Year 2010 on Environmental
Management Efforts and Environmental Monitoring Effort (UKL-UPL) and Statement
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Letter of Assurance for Implementation of Environmental management and Monitoring
(SPPL)
• Ministry of Environment Regulation (Permen LH) No. 16 Year 2012 on Guidelines for
Preparation of Environmental Documents
• Ministry of Environment Regulation (Permen LH) No. 17 Year 2012 on Guidelines for
Public Participation in Environmental Assessment Process and Environmental Permit
• Ministry of Environment Regulation (Permen LH) No. 08 Year 2013 on Procedure of
Assessment and Examination of Environmental Documents and Environmental Permit
Issued Process
• Ministry of Public Work Regulation No. 10/PRT/M/2008 on Type of Business Plan and/or
Activities under Public Works that Required Environmental Management Efforts and
Environmental Monitoring Efforts (UKL-UPL) document.
• Ministry of Public Work and Housing Regulation (Permen PUPR) No. 27/PRT/M/2015 on
Dam.
• Minister of Agriculture Decree No. 887/Kpts/OT.210/9/1997 on Pest Management Minister
of Social Regulation No. 10 Year 2014 On Social Counseling
• Regulation of the Head of BPN RI Number 5 Year 2012 on the Technical Guidance on the
Implementation of Land Procurement.
• Minister of Home Affairs Regulation no. 52 Year 2014 on Guidelines for the Recognition
and Protection of Indigenous Peoples.
1.4.2 World Bank Safeguard Policy
The following policies serve as the basis for the overall approach of this ESMF are mention in
Table 1.
Table 1. World Bank Policies Applicable to SIMURP
Policy No Safeguard Title Policy Objective
OP/BP 4.01 Environmental Assessment To help ensure the environmental and social
soundness and sustainability of investment projects
and to support integration of environmental and
social aspects of projects into the decision-making
process.
OP/BP 4.04 Natural Habitats To promote environmentally sustainable
development by supporting the protection,
conservation, maintenance and rehabilitation of
natural habitats and their function.
OP/BP 4.09 Pest Management To minimize and manage the environmental and
health risks associated with pesticide use and
promote and support safe, effective and
environmental sound pest management.
OP/BP 4.10 Indigenous Peoples To design and implement project in a way that
fosters full respect for indigenous peoples’ dignity,
human rights and cultural uniqueness and so that
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Policy No Safeguard Title Policy Objective
they: (1) receive culturally compatible social and
economic benefits; and (2) do not suffer adverse
effects during the development process.
OP/BP 4.11 Physical Cultural Resources To assist in preserving physical cultural resources
and avoiding their destruction or damage. PCR
includes resources of archeological, paleontological,
historical, architectural, religious (including
graveyard and burial sites) aesthetic or other cultural
significance.
OP/BP 4.12 Involuntary Resettlement To avoid or minimize involuntary resettlement and
where this is not feasible, to assist displaced persons
in improving or at least restoring their livelihood and
standards of living in real terms relative to pre
displacement level or to level prevailing prior to the
beginning of project implementation, whichever is
higher.
OP/BP 4.37 Safety of Dams To assure quality and safety in the design and
construction of new dams and the rehabilitation of
existing dams and in carrying out activities that may
be affected by an existing dam.
1.4.3 Gap Analysis
During the implementation of environmental and social screening, there are gaps between GOI
regulation and the World Bank policies. These gaps are reviewed in Table 2.
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Table 2. Gap Analysis of Environmental and Social Assessment Requirements
E&S Principle Scope/Topic WB Policy GOI Regulation Gap Identified Addressed in the
ESMF
OP 4.01
Environmental
Assessment
Reference to legal and
administrative
framework such as
international
environmental treaties,
agreement, international
standard policies, etc
OP 4.01 paragraph 3
OP 4.01 (Annex B)
EA takes into account
obligations of the country,
pertaining to project activities
under relevant international
treaties or agreement.
Ministry of Environment
Regulation No. 16/2012 section G.5
and B.4.a, stipulated that other data
and information required in
reporting environmental document
shall be incorporated including
reference to other requirements.
Lack of reference to legal and
administrative framework such
as international environmental
treaties, agreement, international
standard policies etc. The
current regulation only refers to
“other data and information”.
The ESMF follows OP
4.01. The subproject
environmental
document will also
cover this gap and
follow OP 4.01.
Project area of
influences
OP 4.01 paragraph 2
OP 4.01 (Annex B)
EA evaluates a project’s
potential environmental risks
and impacts in its area of
influence, identifies ways of
improving project selection
and sitting etc.
Ministry of Environment
Regulation No. 16/2012 section
B.4.c, requested project proponent
to provide information in detail on
this aspect with “map, scale of
operation and activities component”
that could be used to determine the
project area of influence,
availability of ancillary facilities
and associated facilities during
UKL UPL preparation as good
practice. However it does not state
about the project’s area of influence
outside the project’s footprints.
Lack of analysis about project
area of influence, ancillary
facilities, induced impacts and
site selection analysis for
activities require environmental
monitoring & management.
The subproject
environmental
document will cover the
project area of influence
as per OP 4.01.
Environmental Impact
Screening
OP 4.01 paragraph 8
OP 4.01 (Annex C)
Environmental screening of
each proposed project to
determine the appropriate
extent and type of EA.
Ministry of Environment
Regulation No. 16/2012 section 4.C
regulates the requirement to
evaluate all possible impacts from
the project and prepare mitigation
measures to tackle those issues.
Minister of Public Works
Regulation no.10/PRT/M/2008 on
Environmental screening based
on technical thresholds only will
result in inappropriate extent
and type of EA.
The subproject
environmental
document will include
the environmental
impact screening as
stipulated at Section
2.2.of the ESMF.
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E&S Principle Scope/Topic WB Policy GOI Regulation Gap Identified Addressed in the
ESMF
type of Business Plan and/or
Actiities Under Public Works
Require Environmental document
provides guidelines in determine the
appropriate estent and type of EA
However, further screening based
on significant environmental impact
evaluation is not clearly stated.
Environmental
Monitoring Data
OP 4.01 (Annex C)
Environmental monitoring
data to evaluate the success of
mitigation and to foster
corrective actions.
Ministry of Environment
Regulation No. 16/2012 Section C.3
clearly regulates the requirement for
data monitoring of UKL-UPL.
Insufficient follow up, analysis,
use of environmental monitoring
data for evaluation and
continual improvement.
The environmental monitoring
program is not sufficient or is
not corresponding to the scale of
the impact of the project.
The ESMMP and
environmental
document will address
the gaps as stipulated as
1.4.3 and include
appropriate
environmental
monitoring programs
appropriate to the scale
of the impact of the
project as stipulate at
Chapter 3.
Capacity Development
and Training
OP 4.01 Paragraph 13
(When the borrower has
inadequate technical capacity
to carry out environmental
safeguards management
functions, the project includes
components to strengthen that
capacity).
Not covered. Insufficient capacity
development and training for
ESMMP implementation
This is addressed in
Chapter 4 of this ESMF.
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E&S Principle Scope/Topic WB Policy GOI Regulation Gap Identified Addressed in the
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OP 4.01 (Annex C).
Paragraph 4
(Technical Assistance
program for ESMMP
implementation)
Intitutional arrangement
Institutional responsible
for the implementation
of environmental and
social management and
monitoring plan
(ESMMP)
OP 4.01 (Annex C)
Paragraf 4 and 5.
(ESMP must provide specific
description of institutional
arrangement and
implementation schedule for
mitigation and monitoring
measures)
Ministry of Environment
Regulation No. 16/2012 Section C.4
clearly regulates the institutional
arrangement for UKL UPL
implementation, monitoring and
reporting. Also, the frequency and
detail location of monitoring
implementation effort (section C.3).
No gaps identified.
Cost estimate of ESMP
to ensure « the adequacy
of financing arrangement
for ESMMP »
OP 4.01 (Annex C)
Paragraph 5.
(ESMP provides the capital
and recurrent cost estimates
and source of fund for ESMP
implementation.
Ministry of Environment Decree
No. 45/2005 concerning Guideline
for Compiling the EMMP
Implementation Report.
MPW Guidelines No.08/BM/2009
page 50 clearly specifies budget
allocation for environmental
management and monitoring studies
that shall include the cost for
personnel, equipment materials,
fields survey, laboratory analysis
and report preparation, etc
No gaps indentified
OP 4.04 Natural
habitat
Project consistency with
national and Regional
OP 4.04 - Paragraph 5. Ministry of Environment
Regulation no 16/2012 Appendix
IV about UKL UPL preparation
No gaps identified.
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E&S Principle Scope/Topic WB Policy GOI Regulation Gap Identified Addressed in the
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spatial planning for
conservation purpose
(Wherever possible, Bank-
financed projects are sited on
lands already converted).
BP 4.04--Paragraph 5.
(Project consistency with
national and Regional spatial
planning for conservation
purpose).
section B.4.a stipulated that any
project proposal shall be rejected if
the project is not in line with the
regional/district spatial planning
and with the Presidential Instruction
on 10/2011 about Forestry
Permit/Environmental Permit
moratorium at specific area (in
primary forest, wetlands and other
sensitive area etc.).
OP 4.09 Pest
Mangement
Address pest
management issues in
project environmental
assessment
OP 4.09
Address pest management
issues in the context of the
project environmental
assessment
Ministry of Environmental
Regulation Number 16 of 2012,
regulates the requirement to
evaluate all possible impact from
the project and prepare mitigation
measure to tackle those issues (for
example the impact to human health
from improper use of pesticides
Insufficient identification,
description and evaluation of
potential environmental impact
and its mitigation measures
related to indirect impact from
project that would increase
pesticide use
Covered in
Environmental
Document
If needed additional
supporting document
will be prepared.
OP 4.10
indigenous
peoples
Eligibility for
Indigenous Peoples.
IPs are covered when
screening identifies the
presence of IPs as per
characteristics in OP4.10
policy (which does not require
any legal recognition).
Indigenous Peoples are covered by
the land acquisition and
resettlement legislation once they
have been legally recognized1
Different ways to identify
Indigenous People.
The IPPF describes the
identifying
characteristics for IPs
following OP 4.10.
Screening tool /
checklist for identifying
IP are also provided.
Indigenous Peoples. Land of indigenous people is
addressed in both OP 4.12 and
OP 4.10. If land of IPs is to be
Land of indigenous people is treated
in the same way as other, if land
WB policy requires specific
engagement and broad
IPPF and LARPF
applies of a subproject
involve land acquisition
1In BPN and Forestry Regulations IP institution should be recognized by local government, while institutions that in favor of IPs prefer that the recognition comes from independent IPs Committee.
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taken, requires broad
community support and free,
prior and informed
consultation.
rights are recognized by relevant
local government
community support by
Indigenous Peoples.
and/or resettlement,
regardless of who own
the land. Consultation
as specified in the
LARPF and LARAP
should be consistent
with the IPPF (free,
prior and informed
consultation, broad
community support),
specifically tailored to
the local context and the
characteristics of the
affected persons (see
Annex 6).
IPPs will also be
prepared to address OP
4.10 requirements.
OP 4.11 Physical
cultural resources
Physical Cultural
Resources Management
Plan
OP 4.11 – Paragraph 17.
(For projects in which the
physical cultural resources
management plan incorporates
provisions for safeguarding
physical cultural resources,
supervision missions include
relevant expertise to review
the implementation of such
provisions.)
Law No. 5/1992 regarding Cultural
Property (Benda Cagar Budaya)
will be applied. It defines a cultural
property “of important value for
history, science, and culture", as
being “a man-made object or group
of objects”; movable (bergerak) or
immovable (tidak bergerak); aged at
least fifty years or natural objects
with high historical value.
No gaps identified.
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Law No. 11 of 2010 (Undang-
Undang Cagar Budaya No.
11/2010) on National Heritage,
especially prescribes guidance on
observation and data collection on
cultural heritage that may be
affected by project activities.
OP 4.12
involuntary
resettlement
Direct Impacts. Covers provision of benefits
to address direct social and
economic impacts caused by
loss of land, assets and
income.
Relates to compensation for loss of
land and assets also other losses that
can be accounted caused by taking
of land for a project. Once fair
compensation given, further
consideration and impact mitigation
are not elaborated.
Impact mitigation not elaborated
in the Indonesia regulation
Covered by the
evaluation methods as
specified in the MAPPI
Standards
Indirect impacts. States that indirect social and
economic impacts caused by
project should be addressed
under OP 4.01
Not covered, however indirect
impact regulated in Law No. 23 of
1997 on Environmental
Management (EIA/ESIA)
Indirect impact are not covered
in the land acquisition Indonesia
law
It will be covered in the
environmental
document
Related activities. Covers impacts that result
from other activities is if they
are (i) directly and
significantly related to the
proposed project; (ii)
necessary to achieve its
objectives; and (iii) carried
out or planned to be carried
out contemporaneously with
the project
Not covered Related activities are not
specific regulated in Indonesia
regulation
It is addressed in the
LARPF and will be
considered in the
LARAP process for
each subproject.
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Host Communities. Impacts on host communities
need to be considered, and
host communities need to be
consulted.
Not covered since option of
resettlement/relocation is not
sufficiently elaborated.
Resettlement is not sufficiently
elaborated in the Indonesia
regulation
This will be addressed
in the LARAP for each
subproject
Vulnerable Groups. Pay particular attention to the
needs of vulnerable groups
among those displaced,
especially those below the
poverty line, the landless, the
elderly, women and children,
Indigenous Peoples, ethnic
minorities, or other displaced
persons who may not be
protected through national
land compensation legislation.
Project Affected People are not
differentiated by vulnerability or
gender.
Indonesia regulation not specific
separation by vulnerability or by
gender
The LARAP will
include information on
the vulnerable groups
(women, very poor,
disable, etc.),
particularly during the
census survey.
Resettlement Planning
Instruments.
Different planning
instruments must be prepared
to achieve the objectives of
the policy (resettlement plan,
resettlement policy framework
or process framework) and
must cover all aspects of the
proposed resettlement.
Land acquisition plan based on a
feasibility study, the project
suitability to the spatial plan
Incomplete planning instrument Requirement to prepare
a LARAP when
subprojects involves
involuntary land
acquisition and
resettlement
Eligibility for No Formal
Legal Rights.
For those without formal legal
rights to lands or claims to
such land that could be
recognized under the laws of
the country, provide
resettlement assistance in lieu
of compensation for land to
help improve or at least
Does not cover squatters (unless in
good faith on public land),
encroachers and renters on private
land.
Landless and laborers are not
expected to be compensated and
provided rehabilitation measured; it
No formal legal right The LARPF specifies
that independent
licensed appraisers
compensation criteria
include among others,
assistance, livelihood,
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restore their livelihoods. Will
covers squatters and
encroachers
is the responsibility of the
landowner to compensate them.
and for people without
legal rights.
Land for Land
(Resettlement).
Preference given to land based
resettlement strategies for
displaced people whose
livelihoods are land based.
No time allocation and detail
procedures to implement this
resettlement scheme
No detail procedure mentioned
in Indonesia regulation
The Form of
compensation agreed
upon by PAPs with
agencies requiring land
as mention in Annex 5
point H.
Livelihood Restoration. The resettlement plan or
resettlement policy framework
also include measures to
ensure that displaced persons
are:
(i) Offered support after
displacement, for a transition
period, based on a reasonable
estimate of the time likely to
be needed to restore their
livelihood and standards of
living such support could take
the form of short-term jobs,
subsistence support, salary
maintenance or similar
arrangements; and
(ii) Provided with
development assistance in
addition to compensation
measures described in
paragraph 6 (a) (iii), such as
Once fair compensation given
further consideration and impact
mitigation are not elaborated.
Impact mitigation not elaborated
in the government regulation
LARPF includes
resettlement assistance
and livelihood
restoration.
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land preparation, credit
facilities, training, or job
opportunities.
Resettlement Cost. The full costs of resettlement
activities necessary to achieve
the objectives of the project
are included in the total costs
of the project.
Budget plan is part of land
acquisition plan but tend not
considering the resettlement cost.
Resettlement cost is not well
described in government
regulation
LARPF and LARAP
require that costs for
land acquisition and
resettlement is budgeted
Consultation and
Complaint Procedure.
Displaced persons should be
meaningfully consulted and
should have opportunities to
participate in planning and
implementing resettlement
programs (2.b)
Grievance mechanism should
take into account availability
of judicial recourses and
community and traditional
dispute settlement mechanism
Consultation to the Project Affected
People needed to get permit for the
proposed location of the project.
There is no prior consultation
before negotiation on option of
compensation. The grievance
redress mechanism is clearly
described and within the court it
will follows the court procedure.
Understanding the limitation and
over burden of the court system, the
effectiveness of the implementation
still in question
No prior consultation or public
consultation before negotiation
on option of compensation
LARPF and LARAP
require consultation and
implementation of
GRM. Overall, the
project has GRM in
place as a continuation
of the well-functioning
GRM system of the
SIMURP.
Monitoring of outcomes. Requirement to carry out
adequate monitoring and
evaluation of all activities set
out in the resettlement plan
Assess whether the objectives
of the resettlement instrument
have been achieved, upon
completion of the project,
taking account of the baseline
Monitoring and evaluation covers
the occupation, ownership,
utilization and benefit of the result
of land acquisition without clear on
when, how and what correction
measure could be enforced.
Not clear when, how and what
correction measure could be
enforced
LARAP specify the
requirement of
monitoring of land
acquisition and
resettlement activities.
Overall, the project is
required to monitor and
report the preparation
and implementation of
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E&S Principle Scope/Topic WB Policy GOI Regulation Gap Identified Addressed in the
ESMF
conditions and the results of
resettlement monitoring
LARAP (and ESMPs
and IPPs as well)
OP 4.37 safety of
dams
Design and Supervision
of Dam Safety
Policy requires that dams be
designed and its construction
supervised by experienced and
competent professionals. It
also requires that the
Borrower adopt and
implement certain dam safety
measures for the design, bid
tendering, construction,
operation, and maintenance of
the dam and associated works.
Government of Indonesia
Regulation No. 37/2010 concerning
Dam Safety.
No gaps identified.
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1.5 Environmental and Social Screening Tools
To determine the level of impacts on the environment and social, then screening is done by
using matrix risk assessment. The use of risk assessment is done because this screening is quite simple
and can be done quickly.
The assigned categories are based on a risk assessment matrix of likelihood and severity of
the consequence of impact. This matrix will indicate an environmental classification as extreme risk,
high risk, moderate risk, and low risk based on scoring. These risks are based on activities without the
mitigation measures that will be addressed in the Environmental and Social Management Plan (ESMP)
for each of the sub-project. Each likelihood and consequence will be scored based on the conditions in
the field. The information of scoring is explained in the below table.
Table 3. Scoring Explanation for Likelihood and consequence Score Likelihood Consequence
1 Rare: unlikely to occur during the
construction phase
Minor: no or minimal adverse environmental or
social impacts
i.e. little noticeable effects on ecosystem
2 Unlikely: May occur once or twice during the
construction phase
Moderate: limited adverse impacts on the
environment or on surrounding communities
i.e. short-term minor changes in ecosystems
3 Likely: likely to occur more than once or
twice during the construction phase
Major: major damage to the environment or to
surrounding communities
i.e. significant effects on ecosystem, with isolated
deaths of non-vulnerable flora and fauna
4 Certain: will occur more than once a week Catastrophic: unprecedented damage or impacts
involving the environmental or surrounding
communities
i.e. widespread effects on ecosystems, with deaths of
fauna/flora
The level can be justified by the scoring. The score of 1 until 3 fall into the low risk category.
The score of 4 – 8 fall into the moderate risk category. The score of 9 – 12 fall into the high-risk
category. The score of 16 fall into the extreme risk category. The low risk category is showing there is
no impact or very low impact or it can be reversible and the extreme risk category is showing the impact
is extreme high and it spread widely. It even could give catastrophic impact to a fauna/flora or even
human. The evaluation on the level of impact in SIMURP will use this assessment.
Table 4. Risk Assessment Matrix
Likelihood of
event
Severity of consequence of event
Catastrophic (4) Major (3) Moderate (2) Minor (1)
Certain (4) 16 12 8 4
Likely (3) 12 9 6 3
Unlikely (2) 8 6 4 2
Rare (1) 4 3 2 1
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CHAPTER 2. ENVIRONMENTAL AND SOCIAL SCREENING
REQUIREMENTS
2.1. Scope of Activities
The works under SIMURP have been scoped so as not to include any works with any major or
significant environmental or social impacts. Based on the pre-screening of each component the potential
adverse environmental impacts associated with these works and activities will mostly be construction-
related and will be local, minor and/or medium and reversible through the use of readily available and
simple mitigation measures that was applied for component A and Component B. Considering these
aspects, the project is considered Category B Project, in which the impacts are site-specific; few if
any of them are irreversible; and in most cases mitigatory measures can be designed more readily than
for Category A projects. If, in the detail preparation and screening of the subprojects under SIMURP
unexpectedly a potentially major negative or irreversible impact relating to the environmental or social
safeguards is identified, then that subprojects will subject to further studies and discussion for the World
Bank approval.
Table 5. Subproject For Each Component
Project
Component
Sub-project Location
(for 1st year) Component A. Urgent
Rehabilitation and
Infrastructure
Improvements
- Conduct the soil, topography and geotechnics survey and investigation.
- Prepare the technical design for rehabilitation and upgrading of irrigation canals (weir, primary canals,
secondary canals, tertiary canals and drainage
canals)
- Install the measurement devices and structures - Prepare the storage facility - Develop and improve the tertiary system. - Review the existing rules and regulation related to
modernization
- Strengthening the Irrigation Commission. - Establish and empowerment of water user
association (WUA)
- Develop and improve the rules and regulations to support the participative irrigation program.
- Improve community competency related to the modernization.
- Review the existing rules and regulation related to modernization
- Strengthening the Irrigation Commission. - Establish and empowerment of water user
association (WUA)
- Develop and improve the rules and regulations to support the participative irrigation program.
- Improve community competency related to the modernization.
Daerah irigasi (DI or
irrigation scheme)
Kedung Putri, DI
Pamukkulu, DI Jurang
Batu, and DI Talang
Component B.
Strategic
Infrastructure
Modernization
- Diagnose and review the existing scheme. - Conduct the soil, topography and geotechnics survey
and investigation.
- Prepare the technical design for rehabilitation and upgrading of irrigation canals (weir, primary canals,
DI Jatiluhur
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Project
Component
Sub-project Location
(for 1st year) secondary canals, tertiary canals and drainage
canals)
- Install the measurement devices and structures - Prepare the storage facility - Develop and improve the tertiary system - Review the existing rules and regulation related to
modernization
- Strengthening the Irrigation Commission. - Establish and empowerment of water user
association (WUA)
- Develop and improve the rules and regulations to support the participative irrigation program.
- Improve community competency related to the modernization.
- Review the existing rules and regulation related to modernization
- Strengthening the Irrigation Commission. - Establish and empowerment of water user
association (WUA)
- Develop and improve the rules and regulations to support the participative irrigation program.
- Improve community competency related to the modernization.
Component C. Project
Management and
Technical Assistance
for Implementation
- Project Management comprising: (a) CPMU, Project Management - Technical Assistance
(PMTA); (b) Bappenas, Impact Monitoring and
Evaluation (IMEU); and (c) Provision of Support to
PMUs and CPIUs.
- Technical Assistance comprising Technical Assistance as follows: (a) TA DED and
Construction Supervision for components A and B to
the CPIU Irrigation and Lowland; (b) TA
Modernization Management for Component C to the
CPIU Operation and Maintenance; (c) TA Institution
Modernization and Training for Component D
Empowerment to the CPIU Bina Penataan SDA; (d)
TA Consultant to the PIU in DGRD (Bangda) for
general institutional support and coordination for all
components.
DI Kedung Putri, DI
Pamukkulu, DI Jurang
Batu, DI Talang, and DI
Jatiluhur
2.2. Safeguard Screening Procedure/Requirements
Screening of SIMURP components is to ensure that each subproject is properly screened
for the level of potential environmental and/or social impact. Based on this screening process,
subprojects that may present significant impact concerns are identified and subject to secondary
screening or further detailed study. Screening for the subproject will follow the directions of World
Bank Policies (see Table 5) and government regulation for both environmental and social aspects.
Table 6. World Bank Policy for Environmental and Social Safeguards
Safeguard Policy Work Required
Environmental
Assessment (OP/BP 4.01)
Process of assessing projects potential environmental risks and impacts
whose breadth, depth, and type of analysis depending on the nature, scale,
and potential environmental impact of the proposed project. EA also
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Safeguard Policy Work Required
examines project alternatives, identifies ways of improving project selection,
siting, planning, design, and implementation by preventing, minimizing,
mitigating, or compensating for adverse environmental impacts and
enhancing positive impacts, and includes the process of mitigating and
managing adverse environmental impacts throughout project
implementation.
Natural Habitat (OP/BP
4.0.4)
Land and water areas where the ecosystems biological communities are
formed largely by native plant and animal species and human activity has not
essentially modified the area’s primary ecological functions, with specific
place or natural conditions in which a plant or animal lives.
Pest Management (OP/BP
4.09)
To minimize and manage the environmental and health risks associated with
pesticide use and promote and support safe, effective, and environmentally
sound pest management.
Indigenous Peoples
(OP/BP 4.10)
To determine whether indigenous peoples are present in, or have collective
attachment to the project area and to conduct the breadth, depth and type of
analysis in the social assessment are proportional to the nature and scale of
proposed project’s potential effects on the indigenous people. To avoid or
mitigate potentially adverse effects on Indigenous People caused by Bank-
assisted activities. Special action is required where Bank investments affect
IP whose social and economic status restricts their capacity to assert their
interests and rights in land and other productive resources.
Physical Cultural
Resources (OP/BP 4.11)
Movable or immovable property of great importance to the cultural heritage
of every people, such as monuments of architecture, art or history, whether
religious or secular; archaeological sites; groups of buildings which, as a
whole, are of historical or artistic interest; works of art; manuscripts, books
and other objects of artistic, historical or archaeological interest; as well as
scientific collections and important collections of books or archives or of
reproductions of the property defined above;
Involuntary Resettlement
(OP/BP 4.12)
The OP requires that an assessment is made of the likely social impacts of
projects, particularly as they entail acquisition of land, relocation of people,
loss of productive assets or access to services, both during the construction
and operational phases of project activities. The policy is intended to ensure
that resettlement activities should be conceived and executed as sustainable
development programs, providing sufficient investment resources to enable
the persons affected to share in project benefits, ensure that affected persons
are meaningfully consulted and are provided, where possible, opportunities
to participate in planning and implementation of resettlement and project
activities. The basic objective is to ensure that affected persons are provided
the means and resources to improve their livelihoods and standards of living,
or at least to restore them in real terms, to pre-project levels.
Safety of Dams (OP/BP
4.37)
To assure quality and safety in the design and construction of new dams and
the rehabilitation of existing dams, and in carrying out activities that may be
affected by an existing dam.
Process of subproject screening, assessment and identification of potential impact and
development of mitigation measure and safeguard instruments should be part of the project cycle,
project planning and project implementation document. There are two steps of safeguard screening
process that was done in SIMURP subproject which are:
1. Screening against negative list
2. Screening against potential social and environmental impacts.
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2.2.1 Screening Against Negative List
Negative List of Prohibited Activities: To avoid adverse impacts on the environment and people,
subproject proposals that involve the following activities are explicitly excluded from funding under
the SIMURP:
1. Larger-scale dredging and sludge removal (quantities above 500,000 m3).
2. Rehabilitation/remedial works inside natural habitats and existing or proposed protected areas.
3. Major rehabilitation/remedial works that expected to lead to significant negative environmental
impacts.
4. Likely to create significant land acquisition and involuntary resettlement.
5. Likely to create adverse impacts on ethnic groups or indigenous peoples within the village
and/or in neighboring villages or unacceptable to ethnic groups living in a village of mixed
ethnic composition
6. Loss or damage to cultural property, including sites having archaeological (prehistoric),
paleontological, historical, religious, cultural & unique natural values.
7. Purchase or use of pesticides, insecticides, herbicides and other dangerous chemicals; asbestos
and other investments detrimental to the environment.
8. Significant conversion or degradation of natural habitat or where the conservation and/or
environmental gains do not clearly outweigh any potential losses.
2.2.2 Screening Against Potential Environmental and Social Impacts
If a subproject proposal is not excluded from funding because of the negative list shown above,
the irrigation scheme applicant shall identify key safeguard issues and provide mitigation measures
relating to the following aspects:
• Civil works. DGWR will ensure that all irrigation schemes that involve civil works will comply
with GOI regulations. Mitigation measures will be prepared, incorporated, and implemented
for any proposal that involves construction work or changes to land or water use that may
generate negative environmental impacts. The first fundamental measure is to avoid or
minimize the negative impacts to the greatest extent possible through exploring alternate
subproject design. Small scale civil works activities may proceed with the application of best
engineering and housekeeping practices, or any other activity expected to produce modest, local
environmental impacts must produce a subproject Environmental and Social Management Plan.
• Land acquisition. Land acquisition must be avoided or minimized to the greatest extent possible
by exploring alternative irrigation scheme design. If necessary, small amounts of land
acquisition may be conducted in accordance with the principles and procedures described in
Land Acquisition and Resettlement Policy Framework (Annex 5). Prior consultation,
appropriate documentation, review and approval from the World Bank will be necessary.
• Indigenous peoples. No adverse impacts are anticipated on the indigenous peoples. If the
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subprojects will work in the area where the indigenous peoples are present, specific measures
and plans will be developed in accordance with the principles and procedures described in the
Indigenous People Planning Framework (Annex 6) to ensure that the indigenous community
who are vulnerable of being excluded from any development programs will receive culturally
compatible social and economic benefits.
Irrigation schemes that will involve only minor land acquisition or may have minor negative
effect on natural habitats, physical cultural resources, or cause other minor environmental or social
impacts and if the proposal will involve and affect indigenous peoples in positive manner are required
to develop EIA, UKL-UPL, SPPL, LARAP and/or IPP. In this context, “minor” denotes land acquisition
no greater than 10% of total holding of productive assets and affecting less than 200 persons or
involving no physical relocation. Additionally, “minor” environmental impact denotes a level that can
be fully mitigated by good engineering practice. The safeguard screening checklist is described in
Annex 4.
The work activities associated with SIMURP have been identified as part of site inspections
and review of existing (partial) surveys, feasibility studies, etc., of each of the 5 irrigation schemes. For
each of the irrigation schemes, a separate Project Implementation Manual as part of Project
Implementation Plan will be prepared featuring the technical and situational description of the site, and
description of operational and safety issues. From these the environmental and social impacts will be
identified to enable classification for assessment in accordance with Annex 4.
Potential environmental and social impact will be reviewed for each phase based on the activity.
There are potential social impacts such as change of land ownership due to land procurement activity.
In construction phase, the impacts are likely related to public health, transportation or access disruption,
domestic waste, air pollution, noise and construction waste. The detail potential impacts can be found
in Annex 10 details activities and possible impacts associated with the project and determine the
requirements associated with environmental assessment, and refer to Annex 11 for detail data
requirements in preparing environmental documents. T he screening process will determine type of
environmental documents required for each irrigation scheme or each component.
SIMURP will not fund any activity within critical natural habitats, declared forest and
wildlife reserves and protected areas. The works and activities of SIMURP are restricted to the
irrigation scheme without major downstream impacts, thus it would not have any adverse impact
on environmentally and socially sensitive areas. It will only support the activities within the existing
scheme, and will temporarily impact the aquatic ecosystem insignificantly.
A. Environmental Screening of SIMURP Activities
The screening of irrigation schemes will also determine the necessary level of environmental
assessment to be carried out. There are three types of national environmental assessment and
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
31
management measures in regards to decision-making process for approval to carry out business plans
and/or activities:
• Environmental Impact Assessment (Analisis Mengenai Dampak Lingkungan - EIA);
• Environmental Management and Monitoring Efforts (Upaya Pengelolaan Lingkungan – Upaya
Pemantauan Lingkungan - UKL-UPL); and
• Statement of Assurance for Implementation of Environmental Management and Monitoring (Surat
Pernyataan Kesanggupan Pengelolaan dan Pemantauan Lingkungan - SPPL). The SPPL is
strengthened in this ESMF by using an abbreviate ESMP for rehabilitation works that was taken
from the example of ECA Region of the World Bank group
(www.worldbank.org/safeguards/ESMP/ECA).
The illustration of the environmental screening process based on national standard is shown in
Figure 1. It’s shown that if the type of subprojects is included in list of type that required EIA as mention
in Annex 1a, the Proponent should prepare EIA Document. However, if not then the next screening is
based on the PU Regulation No. 10 Year 2008 regarding the business plan/activity type that required
UKL-UPL. If the type of subproject is not include in the list of EIA or UKL-UPL requirement, then the
proponent still have to prepare SPPL and process the environment permit. All the environmental
requirement has to be prepared before the project implementation. SIMURP has to allocate enough time
to process the environmental document and permit.
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
32
Figure 1. Process of Screening in SIMURP
Supplementary impact assessment may be required depending on the scope of activities of each
subproject for social issues. More specifically, the supplementary impact assessment will be required
when scope of activities includes land acquisition and/or resettlement activities and in the event, that
indigenous peoples are present in the areas of the subproject.
It is essential when determining the level of environmental assessment required as part of
SIMURP to identify the environmental and social impacts based on the activities to be undertaken.
Additionally, the rehabilitation of the irrigation scheme will support the irrigation of the
agricultural land where pesticides will be applied as common practices, however, the GOI along with
The World Bank promote the implementation of Integrated Pest Management (IPM) and the proper
handling practices of pesticides. The Integrated Pest Management will be done with related stakeholders
and government agencies (agriculture) according to task and function of each related stakeholders. The
ACTIVITIES
Ministry of Environment Regulation No. 5 Year 2012 on: Types of
Bussines Plan and/or Activities That Required Environmental Impact
Analysis Appendix I. List of Types of Business Plans and/or Activities
Required to Have Amdal
I. Field of Public Works
YES NO
EIA Ministry of Public Work regulation No. 10 Year 2008 on: Type of Business Plan
and/or Activities under Public Works that
Required Environmental Management
Efforts and Environmental Monitoring
Efforts (UKL-UPL) document
YES NO
SPPL UKL-UPL
Environmental and Social Safeguard Framework Strategic Irrigation Modernization and Urgent Rehabilitation Project (SIMURP)
33
Pest Management Framework is provided in the Annex 9. There is no rehabilitation or revitalization
work for dam in SIMURP. However, if there are requirements to conduct the dam safety assessment,
SIMURP will refer to DOISP report and/or Directorate of Operational and Maintenance, Directorate
General of Water Resource. Dam safety assessment for DI Jatiluhur has been prepared under DOIS
Project and have been submitted to WB.
B. Social Screening of SIMURP Activities
Most of the irrigation schemes and the community-based activities will not require acquisition
of land nor result in involuntary resettlement. Since the sub-projects are associated with upgrading and
minor remedial and rehabilitation of existing facilities there will be no significant alterations in the
existing land use patterns. However, a Land Acquisition and Resettlement Policy Framework (LARPF)
is prepared to give more flexibility during project implementation of the SIMURP where some proposed
activities may require additional land, temporarily or permanently, and presented in separate document
but is an integral part of this ESMF. The LARPF provides guidelines in preparing Land Acquisition
and Resettlement Action Plan (LARAP) in cases where land acquisition and resettlements is required
for the sub-projects (see Annex 5 for LARAP guidelines). If the land acquisition has an impact to Land
acquisition will affect less than 200 people and the land acquisition will take less than 10% of earning
assets of affected households, the proponent are required to prepared Abbreviated LARAP document.
If the impact of land acquisition will affect more than 200 people and will take up more than 10% of
household productive assets and/or involve physical relocation therefore the proponent should prepare
complete (full) LARAP document.
From the initial screening based on the available maps, data from the Ministry of Social
Welfare and the World Bank on locations of Indigenous Peoples, it appears that there are no
indigenous peoples living in the vicinity of the 5 irrigation schemes supported under SIMURP. The
Indigenous Peoples Planning Framework (IPPF) is prepared and presented in separate document as an
integral part of this ESMF, as guidelines in preparing Indigenous Peoples Plan for subprojects where
impacts on indigenous people are identified in the screening process in the subprojects proposed during
project implementation stage. List of distribution of indigenous peoples in the vicinity of the 5 irrigation
schemes are shown in Annex 16. Considering that the subproject will work on the existing irrigation
schemes already operating for years, it is very unlikely that the subproject will affect the indigenous
peoples.
In conducting the settlement of the conflict that emerged in the community during SIMURP
activities, the community approach was carried out by using social case work and/or social group work
approach. Social screening activity is done to determine the approach to be used. In solving the problem
can be by involving community groups through water user association (WUA) that exist in each region
and/or directly to individuals. This will be based from the problems that arise. Commu