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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)

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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

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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.

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(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:

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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

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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.

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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.

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(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.

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(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.