world bank · 2020. 8. 28. · environmental and social safeguard framework strategic irrigation...

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


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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


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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


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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


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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)


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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


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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.


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.


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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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.


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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ESMF

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)


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.


18


ESMF

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.


19


ESMF

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.


20


ESMF

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.


21


ESMF

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,


22


ESMF

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.


23


ESMF

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


24


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.


25

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


26

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


association (WUA)



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


27

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


association (WUA)



- Review the existing rules and regulation related to modernization


association (WUA)



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


28

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.


29

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


30

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


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.


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


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