environmental and social management framework (esmf...

Environmental and Social Management

Framework (ESMF)

MINISTRY OF ENVIRONMENT AND FORESTRY

JAMBI PROVINCE

REPUBLIC OF INDONESIA

NOVEMBER 2019

ESMF Document – Jambi i

TABLE OF CONTENTS

TABLE OF CONTENTS .....................................................................................I

LIST OF TABLES............................................................................................ IV

LIST OF FIGURES .......................................................................................... IV

LIST OF ABBREVIATIONS ............................................................................ VI

EXECUTIVE SUMMARY............................................................................... VIII

1.0 INTRODUCTION .....................................................................................1

1.1 STRATEGIC ENVIRONMENTAL AND SOCIAL ASSESSMENT (SESA) .............................................................................................................. 3

1.2 ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) .............................................................................................................. 4

1.3 LINK WITH EXISTING SAFEGUARDS INSTRUMENTS FOR REDD+ ......... 6

1.4 APPROACH AND METHODOLOGY .............................................................. 7

1.4.1 Data Collection ................................................................................... 8

1.4.2 Analysis .............................................................................................. 8

1.5 SCOPE OF THE ESMF .................................................................................... 8

1.6 STAKEHOLDER CONSULTATIONS .............................................................. 9

1.7 STRUCTURE OF THE ESMF ........................................................................ 18

1.8 PUBLIC DISCLOSURE .................................................................................. 20

2.0 PROGRAM DESCRIPTION ..................................................................21

2.1 COMPONENT 1: STRENGTHENING POLICY AND INSTITUTIONS.......... 21

2.1.1 Sub-component 1.1: Institutional Strengthening ............................. 22

2.1.2 Sub-component 1.2: Enabling Environment for ER Program ......... 22

2.1.3 Sub-component 1.3: Policy and Regulation .................................... 23

2.2 COMPONENT 2: IMPLEMENTING SUSTAINABLE LAND MANAGEMENT .............................................................................................. 24

2.2.1 Sub-component 2.1: Integrated Forest and Land Management .................................................................................... 24

2.2.2 Sub-component 2.2: Private Sector Partnerships for Improved Forest and Land Management ........................................ 25

2.3 COMPONENT 3: PROJECT MANAGEMENT, MONITORING AND EVALUATION, AND REPORTING ................................................................ 26

3.0 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORKS...................28

3.1 GOVERNMENT OF INDONESIA REGULATIONS ....................................... 28

3.2 WORLD BANK SAFEGUARDS POLICIES .................................................. 31

3.2.1 OP 4.01 Environmental Assessment ............................................... 31

3.2.2 OP 4.04 Natural Habitats ................................................................. 31

3.2.3 OP 4.09 Pest Management ............................................................. 32

3.2.4 OP 4.10 Indigenous Peoples ........................................................... 32

ESMF Document – Jambi ii

3.2.5 OP 4.11 Physical Cultural Resources ............................................. 33

3.2.6 OP 4.12 Involuntary Resettlement................................................... 33

3.2.7 OP 4.36 Forests ............................................................................... 34

3.3 INSTITUTIONAL FRAMEWORKS................................................................. 34

3.4 GAP ANALYSIS ............................................................................................. 35

3.5 OTHER PROJECTS AND PROGRAM SAFEGUARDS ............................... 42

4.0 ASSESSMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND MITIGATION MEASURES ...........................................................44

4.1 SUMMARY OF ENVIRONMENTAL AND SOCIAL RISKS .......................... 44

5.0 ESMF IMPLEMENTATION....................................................................50

5.1 ENVIRONMENTAL AND SOCIAL PROCEDURE ........................................ 50

5.1.1 Negative List Screening ................................................................... 53

5.1.2 Screening of Environmental and Social Risks ................................ 53

5.1.3 Preparation of Environmental and Social Management Plans ....... 57

5.1.4 Review and Approval ....................................................................... 57

5.1.5 Implementation of Safeguards and Verification .............................. 57

5.1.6 Monitoring and Reporting ................................................................ 57

5.2 MANAGEMENT OF INDIRECT RISKS AND IMPACTS ............................... 57

5.3 MANAGEMENT OF RISKS ASSOCIATED WITH POLICY DEVELOPMENT ............................................................................................. 58

6.0 PROJECT INSTITUTIONAL ARRANGEMENTS .................................60

6.1 INSTITUTIONAL ARRANGEMENTS AT THE ACTIVITY LEVEL ............... 63

6.2 CAPACITY BUILDING PLAN AND INDICATIVE FINANCIAL REQUIREMENTS ........................................................................................... 67

6.3 SAFEGUARDS MONITORING AND REPORTING ...................................... 73

6.3.1 Regular Safeguards Monitoring ....................................................... 73

6.3.2 Regular Safeguards Reporting ........................................................ 73

6.3.3 Safeguards Reporting through SIS REDD+ .................................... 78

6.4 INFORMATION DISCLOSURE ...................................................................... 79

6.5 FEEDBACK GRIEVANCE REDRESS MECHANISM ................................... 79

ANNEX 1. J-SLMP AND ERP NEGATIVE LIST ............................................76

ANNEX 2. SCREENING AGAINST ENVIRONMENTAL AND SOCIAL RISKS ...................................................................................................77

ANNEX 3. ENVIRONMENTAL CODES OF PRACTICES ..............................78

ANNEX 4. GUIDANCE NOTE FOR INTEGRATED PEST MANAGEMENT ..................................................................................101

APPENDIX 5 BIODIVERSITY MANAGEMENT FRAMEWORK AND GENERAL GUIDELINE FOR HIGH CONSERVATION VALUE ASSESSMENTS ................................................................................. 112

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ANNEX 6. EXAMPLE TERMS OF REFERENCE FOR ENVIRONMENTAL ASSESSMENTS, MANAGEMENT AND MONITORING (UKL-UPL & SPPL ACCEPTABLE TO THE BANK) .................................................................................................120

ANNEX 7. FEEDBACK GRIEVANCE AND REDRESS MECHANISM (FGRM) ...............................................................................................124

ANNEX 8. INDIGENOUS PEOPLES PLANNING FRAMEWORK (IPPF) ..................................................................................................124

ANNEX 9. RESETTLEMENT PLANNING FRAMEWORK (RPF) AND PROCESS FRAMEWORK (PF) ..........................................................124

ANNEX 10. PHYSICAL CULTURAL RESOURCES – CHANCE FIND FRAMEWORK (PCR-CFP) .................................................................124

ANNEX 11. MINUTES OF MEETING – STAKEHOLDER CONSULTATIONS ..............................................................................124

ANNEX 12. ASSESSMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND MITIGATION MEASURES FOR ERP SUB COMPONENTS ...................................................................................125

ANNEX 13. TOR FOR ENVIRONMENT AND SOCIAL SAFEGUARD TEAM ..................................................................................................135

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LIST OF TABLES

Table 1 Summary of stakeholder consultations in Jambi. ...................................................... 11

Table 2 Summary of gap analysis of key considerations. ...................................................... 37

Table 3 J-SLMP Project Typology and Mitigation Measures .................................................. 47

Table 4 E&S Risk Classification ............................................................................................. 54

Table 5 Sub-project Risk Classification .................................................................................. 55

Table 6 National Agencies Involved in the Implementation of the J-SLMP ............................ 60

Table 7 The Sub-National Agencies and Organizations Involved in the Implementation of the Jambi Emission Reduction Program (ERP). .......................... 61

Table 8 Safeguards Framework and Responsible Institutions. .............................................. 63

Table 9 Indicative Capacity Building Program Plan for J-SLMP and ERP Safeguards. ......... 69

Table 10 Target Group and Participant for Training and Workshop for J-SLMP and ERP Safeguards........................................................................................................ 71

Table 11 Indicative Financial Requirements for Safeguards and Capacity Building Programs ................................................................................................................... 72

Table 12 Summary of Relevant E&S Indicators to Monitor/ Track during over the J-SLMP Implementation. .............................................................................................. 74

LIST OF FIGURES

Figure 1 Phases of BioCF ISFL financing to support and reward reducing emissions in Jambi ........................................................................................................................... 1

Figure 2 SESA Process during the Pre-Investnent and ERPD Phases ..................................... 3

Figure 3 Relationship between Main Drivers of Deforestation and Degradations with J-SLMP Components. .................................................................................................. 27

Figure 4 ESMF Implementation Flowchart. ............................................................................. 52

Figure 5 Institutional Chart for Implementing the Safeguards Tools of the ESMF. .................. 53

Figure 6 Institutional Arrangements of ERP at the Provincial Level. ....................................... 62

Figure 7 Institutional arrangements of ERP at the District/City Level. ..................................... 63

Figure 8 Safeguards Reporting through SIS REDD+ .............................................................. 79

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ESMF Document – Jambi vi

LIST OF ABBREVIATIONS

BRWA Badan Registrasi Wilayah Adat/Customary Territory Registration Agency

CPF Community Participatory Framework

CSO/CBO Civil Society Organisation/Community-Based Organisation

CBFMMS Community-Based Fire Management and Monitoring System

DGCC Directorate General of Climate Change

DPMPD District Community Empowerment and Village Government Service

EA Environmental Assessment

EIA/AMDAL Environmental Impact Assessment/ Analisis Mengenai Dampak Lingkungan

ESMF Environmental and Social Management Framework

FIP Forest Investment Program

FMU Forest Management Unit / Kesatuan Pengelolaan Hutan, KPH

FPIC Free, Prior, Informed Consultations

GOI Government of Indonesia

GSC Global Steering Committee

HCVA High Conservation Values Area

HCVF High Conservation Value Forest

IP Indigenous Peoples

ISPO The Indonesian Sustainable Palm Oil standard

IPM Integrated Pest Management

JKPP Jaringan Kerja Pemetaan Partisipatif/Participatory Mapping Network

NEA National Executing Agency

NOL No-Objection Letter

NSC National Steering Committee

OPD Organisasi Perangkat Daerah

PAPs Project Affected Persons

PDO Project Document Output

PHPL Pengelolaan Hutan Produksi Lestari (Sustainable Production Forest Managemnet)

POM Project Operations Manual

PMU Program Management Unit

REDD+ Reducing Emissions from Deforestation and Degradation

RIL-C Reduced Impact Logging-Carbon

RMA Rencana Masyarakat Adat/Indigenous Peoples Plan

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

RPHJP Rencana Pengelolaan Hutan Jangka Panjang (Long Term Forest Management Plan)

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RSPO Roundtable on Sustainable Palm Oil

SA Social Assessment

SEKDA Sekretaris Daerah (Local Government Secretary)

SPPL Surat Pernyataan Kesanggupan melakukan Pengelolaan dan

Pemantauan Lingkungan/ Letter of Commitment to Implement

Environmental Management and Monitoring

UKL - UPL Upaya Pengelolaan Lingkungan/Environmental Management Plan -

Upaya Pemantauan Lingkungan/Environmental Monitoring Plan

WB World Bank

ESMF Document – Jambi viii

EXECUTIVE SUMMARY

The Jambi Jurisdictional Emission Reduction Program (ERP) builds on the substantial commitments

of the Government of Indonesua (GoI) and the Government of the Province of Jambi to reducing

emissions from deforestation and forest degradation.

The World Bank‟s BioCarbon Fund Initiative for Sustainable Forest Landscapes (BioCF ISFL)

provided phased financing to implement the above program. First, US$1.5 million in preparation

funding was provided to the GOI to prepare a Project to improve the enabling environment for

reducing emissions in Jambi. Second, a pre-investment grant financing with a value of US$13.5

million is currently being prepared for the Jambi Sustainable Landscape Management Project (J-

SLMP) to implement improvements to the enabling environment, including cross-sectoral coordination

and testing land use approaches to reduce emissions in Jambi. This ESMF addresses environmental

and social management for J-SLMP and lays the groundwork for the future ERP in Jambi.

J-SLMP‟s proposed development objective is to improve sustainable landscape management that

reduces land-based GHG emissions in Jambi. The achievement of this objective will be measured

through the following indicators a) land area under sustainable forest management and/or restoration

practices (ha), b) GHG Emission reductions in Jambi (MtCO2e) and c) number of people reached with

benefits (assets and/or services) (% women).

Under this pre-Investment grant, technical assistance will be provided to support ERP design and

systems strengthening to build government capacity to access and utilize performance-based

incentives for reduced deforestation, degradation and land use change, including safeguards. As

such, the program will support analytics, capacity building, design of subprograms to test different

incentives models and stakeholder engagement. Key analytical areas include land and resource

tenure, understanding local drivers of deforestation and how best to address them, and legal,

institutional and policy analysis and stakeholder assessments.

J-SLMP will support a combination of enabling conditions and promotion of sustainable management

practices that will directly address the underlying drivers of emissions resulting from sectoral activities

including, timber plantations, estate crops, subsistence agriculture, aquaculture, and unsustainable

logging practices. The project design considers the distribution of remaining forests, the threats to

those forests, and the key stakeholders involved in the respective areas. This program consists of

three components, as follows:

Component 1 on Strengthening Policy and Institutions: the objective of Component 1 is to

enhance effective land management regulation and enforcement in Jambi with a focus on

harmonizing policies and approaches that are critical for managing emissions from land use, including

peat management, fire prevention and management, and green growth. This component will address

issues concerning the lack of institutional capacity to ensure good forest and land-use governance.

This Component aims for improving the regulatory and institutional frameworks in forestry and other

land-based sectors, as well as strengthening the instrument for enforcing such policies.

Component 2 on Implementing Sustainable Land Management: the objective of Component 2 is

to integrate forest and land management in Jambi, particularly through sustainable forest

management, agriculture intensification and diversification, conservation and restoration, and value

chain sustainability. This component will particularly address lack of sustainable practices in land and

resource management.

ESMF Document – Jambi ix

Component 3: Project Management, Monitoring and Evaluation, and Reporting: this component

envisages overall management of the J-SLMP implementation, and supports collaboration among

stakeholders in sustainable forest management. Component 3 aims to support national and

provincial‐level Project coordination and management, particularly to achieve the Project‟s

objectives, including Annual Work Plans and Budgets (AWPBs); fiduciary aspects (Financial

Management (FM) and procurement); human resource management; safeguards compliance

monitoring; monitoring and evaluation (M&E); knowledge management and sharing; and the

implementation of strategies for communication and stakeholder engagement.Beside overall project

monitoring and evaluation this component also address emission monitoring, evaluation and

reporting.

The J-SLMP is expected to generate overall positive environmental impacts at global, national, and

local levels through a reduction of land-based carbon emissions, increased carbon storage, reduced

land degradation, and protection of globally threatened ecosystems and endemic biodiversity. The

Project triggers OP 4.01 Environmental Assessment, Natural Habitats (OP/BP 4.04), Forests (OP/BP

4.36), OP 4.11 Physical Cultural Resources, Pest Management (OP 4.09), the Involuntary

Resettlement (OP 4.12) and the Indigenous Peoples (OP 4.10) policies of the World Bank.

The potential key environmental risks identified include loss of natural habitats and key biodiversity

species at areas designated as conservation/protected forest, through contamination of soil and

water, and health risks associated with the use of pesticides and as result of poor waste management

practices. Successes in reducing impacts on forests could lead to displacements of these impacts to

other areas (leakages). Potential environmental risks such as reversals may be triggerred by social

aspect (social forestry and alternative livelihood) that cannot provide adequate economic incentives.

The potential key social risks identified include risks associated with activities conducted in areas

under existing and potential conflicts, encorachments and/or disputes or areas with overlapping

boundaries and/or claims, between customary and common/formal laws e.g., claims by Marga

Serampas community within Kerinci Seblat National Park, and Orang Rimba and Talang Mamak

territory in Bukit 30 National Park. Additional risks include livelihoods impacts such as displacement

due to bans on oil palm plantation and artisanal mining activities, loss and/or damage to physical

cultural resource, community and health safety risks for fire prevention and suppression activities, lack

of awareness, management capacity and participation of community in managing social forestry,

institutional capacity constraints to manage potential environmental and social risks at field level, as

well as gender inequalities and social exclusion.

Based on the assessment of potential environmental and social impacts, and with reference to the

applicable World Bank Operational Policies, an Environmental and Social Management Framework

(ESMF) has been prepared as an operational guideline for the management of environmental and

social risks and impacts of J-SLMP. The ESMF is supported by Indigenous Peoples Planning

Framework (IPPF), Resettlement Planning Framework and Process Framework (RPF and PF) and

Feedback and Grievance Redress Mechanism (FGRM).

The ESMF establishes the modalities and procedures to address and mitigate the potential adverse

environmental and social impacts from the implementation of J-SLMP activities through employing

best practices. The ESMF procedures include: (i) consultations and engagement with relevant

stakeholder groups; (ii) capacity building measures; (iii) environmental and social impact screening

and assessments; (iv) development of environmental and social management plans with reference to

environmental codes of practices, environmental permitting requirements, high conservation value

ESMF Document – Jambi x

assessments and management, the RPF and PF, IPPF, and physical cultural resource management;

v) monitoring and reporting, including management of grievances through the project‟s FGRM.

A series of multi-stakeholder consultations has been undertaken as part of J-SLMP and a jurisdiction-

wide ER Program preparation. A full-documentation of these consultations has been provided as part

of the preliminary SESA. These consultations supported multi-stakeholder dialogues on potential

drivers of land conversions and drivers of deforestation and forest degradation, which can be

attributed to peatland conversion for palm oil, conversion of natural forests into timber plantation and

encroachment in national parks. Participants include national and sub-national government agencies,

CSOs/NGOs in Jambi Province, and village representatives, including Adat community

representatives. Issues around lack of inter-sectoral coordination and capacity constraints to

effectively manage the project activities are particularly acute within FMUs. In addition, overlapping

land claims as a result of past licensing practices have also been attributed to tenure conflicts,

involving local and Adat communities, particularly in oil palm plantations.

ESMF Document – Jambi 1

1.0 INTRODUCTION

The Government of Indonesia (GOI) has made significant international commitments to reduce

Indonesia‟s GHG emissions, recognizing that land use and forestry sectors are the primary sources of

emissions (49 percent in 2010). At the Conference of Parties meeting in Paris in 2015, the GOI

pledged through its Nationally Determined Contribution (NDC) to reduce its GHG emissions by 41

percent by 2030 with international assistance (29 percent with its own resources) relative to a

business-as-usual (BAU) scenario. For Indonesia to reach a target of 41 percent, emissions need to

decrease by 1.081 million tonnes of carbon dioxide equivalent (MtCO2e), with 60 percent of this

target to come from the forestry sector. According to recent analysis, Indonesia is on track to increase

emissions from forests between 2020 and 2030 despite current policies, commitments, and plans,

underscoring the important of increased ambition, enforcement, and interventions for sustainable land

management.

Building on earlier experience in East Kalimantan Province through the Forest Carbon Partnership

Facility (FCPF) support, BioCarbon Fund Initiative for Sustainable Forest Landscapes (BioCF-ISFL) is

currently being prepared to replicate the provincial initiative in East Kalimantan to contribute to the

NDC objective. BioCF ISFL promotes reduction in greenhouse gas emissions from the land sector,

from deforestation and forest degradation in developing countries (REDD+), and from sustainable

agriculture, as well as smarter land-use planning, policies and practices. The World Bank supported

the GoI under BioCF-ISLF platform through phased financing (see Figure 1).

Figure 1 Phases of BioCF ISFL financing to support and reward reducing emissions in Jambi

First, US$1.5 million in preparation funding was provided to the GOI to prepare a Project to improve

the enabling environment for reducing emissions in Jambi. Second, the subsequent phase of BioCF

ISFL grant financing (US$13.5 million) for the Jambi Sustainable Landscape Management Project (J-

SLMP) to implement improvements to the enabling environment, including cross-sectoral coordination

and testing land use approaches to reduce emissions in Jambi. This ESMF and its associated

frameworks, including the Indigenous Peoples Planning Framework (IPPF), Resettlement Planning


Framework (RPF) and Process Framework (PF), and Feedback and Grievance Redress Mechanism

(FGRM) have been prepared to address specific investments under the pre-investment grant. Future

results-based ER Program will build on these framework instruments, including capacity

strengthening measures financed under the pre-investment grant. Environmental and Social analysis

of this future ERP is currently being undertaken as part of the SESA process which is expected to

conclude prior to the Emission Reductions Purchase Agreement (ERPA) signing.

In order to achieve ERs at scale, the Project will need to leverage resources from complementary

programs in Jambi. The private sector, in particular, has an essential role to play in land management

in Jambi, especially considering plantation crops alone cover almost one-third of the land area in the

province. To support this, a coordinated and complementary Bank-executed (BETF) operation, to be

funded by the BioCF ISFL, is being prepared to support private sector engagement in Jambi.

Collectively, the J-SLMP, private sector BETF operation, and complementary funding from other

sources will strategically target resource gaps and promote the reduction of emissions from land use

in Jambi.

The BioCF ISFL has further committed to purchasing emission reductions (ERs) from Jambi through a

forthcoming ERPA with a contract value of up to US$70 million. The GOI has indicated their political

will and buy-in for the J-SLMP through its preparation, earnest efforts to link the Project‟s activities

with ongoing initiatives to scale-up action on sustainable land use, and through a Letter of Intent to

proceed with negotiating an ERPA. This jurisdictional ERP will advance the implementation of REDD+

at the national level, and thus contribute to the achievement of nationally and internationally

significant emissions reductions. This Program is also expected to assist Indonesia in achieving its

climate resilience targets and international commitments.

J-SLMP will provide technical support for ERP program design and systems strengthening to build

government capacity to access and utilize future performance-based incentives for reduced

deforestation, degradation, and land-use change. As such, the project will support analytics, capacity

building, design of subprograms to test different incentives models, and stakeholder engagement as

well as testing sustainable land use management practices and enforcement and their overall

safeguards management. Key analytical and capacity strengthening areas include land and resource

tenure, understanding local drivers of deforestation and how best to address them, and legal,

institutional and policy analysis, and stakeholder assessments.

In Jambi, national safeguards-related initiatives such as The Principles, Criteria, and Indicators for

REDD+ Safeguards (PRISAI)1 and the Safeguards Information System (SIS)2 will be applied. All of

these safeguards initiatives are aligned with the Cancun Principles. Further efforts were made to

incorporate the local context of Jambi into these mechanisms. The ESMF has been developed in

conjunction with the relevant safeguards principles, criteria, and indicators (PCIs) addressed in these

safeguards' initiatives. Linkages with existing safeguards under the World Bank‟s financed

investments are further discussed in Section 1.3.

1 PRISAI, was conducted to further elaborate the Cancun safeguards. PRISAI outlines 10 principles, 27 criteria and 99

indicators, with an expanded focus on finance and fiduciary aspects. PRISAI was initially designed as a framework to filter, monitor, and evaluate REDD+ activities at the project and jurisdiction levels. PRISAI has been tested in several sites in Jambi, Central Kalimantan, and Jambi provinces, and mainstreamed into the SIS-REDD+.

2 SIS-REDD+ has been established as a web-based platform to monitor safeguards performance across program

interventions.


Consultation processes as well as the analytical components in the SESA to date have been used to

inform the development of the ESMF. The SESA will continue to serve as a tool to mainstream

environmental and social considerations into the ERP design. Both the SESA and ESMF along with

its associated frameworks, including IPPF, RPF and PF, and FGRM represent integral parts of the

REDD+ readiness components. These safeguards instruments will be tested and continue to be

refined as part of the overall capacity strengthening support under the pre-investment grant. The

safeguards instruments under J-SLMP will be revisited to assess their level of adequacy and

effectiveness, including allocation of resources for capacity strengthening and supervision prior to

ERPA appraisal. Overall safeguards management for the future ERP will be reviewed and cleared by

the World Bank prior to the signing of the ERPA.

1.1 STRATEGIC ENVIRONMENTAL AND SOCIAL ASSESSMENT (SESA)

The SESA is an integral component of this ESMF. The overall SESA process serves as a platform to

enable consultations with a broad range of national and sub-national stakeholders, including

potentially affected communities to integrate social and environmental concerns into the upstream

policy-making process and project-level ER Program design. The SESA represents GoI‟s efforts to

identify potential environmental and social (E&S) risks associated with each of the program activities

and mainstream E&S risk mitigation measures and good practices to address potential adverse

impacts and leverage positive benefits that may accrue from the proposed activities.

The SESA process has been initiated as part of J-SLMP preparation. Initial findings have been used

to inform the development of the ESMF and its associated frameworks to address environmental and

social risks under the project. The SESA process will continue during J-SLMP implementation in

parallel with formulation of result-based Emission Reduction Program Document (ERPD). The SESA

serves as a tool to guide potential investments in the future ER Program towards compliance with the

World Bank‟s safeguards policies and mainstream good practices in sustainable land and natural

resource management. An interim SESA report is presented as a standalone document in conjunction

with the ESMF. The SESA process is expected to conclude prior to ERPA appraisal.

2020 2026 2025 2019

Pre-Investment

Preparation

Interim SESA

ERPD

Final SESA

2021 ERPA

Figure 2 SESA Process during the Pre-Investnent and ERPD Phases


The development of SESA was aligned with the Government Regulation (Peraturan Pemerintah – PP)

no. 46/2016 on the guideline for Strategic Environmental Assessments.

1.2 ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)

The ESMF and its associated frameworks serve as an instrument to assess and manage potential

E&S risks and impacts under J-SLMP (see Chapter 2). These frameworks set out the principles,

rules, guidelines, and procedures for screening, assessment, and follow-up on the anticipated

environmental and social impacts of project activities.

Future jurisdictional ERP will warrant further assessments in light of relevant environmental and social

risks as well as institutional capacities. Hence, the above frameworks will be re-assessed, with

potential additional resources and capacity strengthening measures to enable effective management

of environmental and social aspects under the ERP.

At the readiness stage, the project was rated as Category B under the World Bank‟s OP/BP 4.01

(Environmental Assessment). The E&S risks were rated as substantial, mainly due to social risks

concerning tenure and natural resource conflicts. Such a preliminary risk assessment has been

revisited as part of the initial SESA process, involving various consultations with a broad-range of

stakeholders. As indicated from the interim SESA findings, key risks are mostly associated with

drivers of deforestation in timber plantation (Hutan Tanaman Industri – HTI) which include

encroachment in protected/conservation areas, existing tenurial conflicts between people and private

companies (forestry, mining and palm oil concessions), conflicts stemming from competing natural

resource use within forestry and palm oil companies. Lack of sustainable agricultural practices have

also resulted in peatland and forest fires

Baseline assessments in Jambi Province focus on the Performance Evaluation Area (Wilayah

Penilaian Kinerja – WPK). This area will be the accounting area for the future ERP. The total area of

WPK is 2,262,723 hectares consisting of mineral soil and peatland areas. Within this WPK, there are

1,392,464 hectares of plantations (mostly oil palm, rubber and cocoa), 183,283 hectares mining

consession area (mostly has not been exploited yet), and 562,657 hectares of forest concessions and

plantations.

Based on a conflict database compiled by the Impartial Mediation Network in 2017, there are 135

conflicts within forest estate areas. Some of the current conflicts are considered legacies from

previous government policies, in particular, incomplete forest area establishments. Competing claims

present challenges in determining the authenticity of customary claims in Jambi. Encroachments have

resulted in the deforestation (average deforestation rate in Jambi is 1.6% per year, including from

illegal mining activities).

The ATR/BPN (Agraria and Spatial Planning/Land Agency) Ministry has issued a Ministerial

Regulation No.3/2011 concerning management, assessment and handling of tenurial conflicts,

followed by a Ministerial Regulation No. 6/2018 concerning Systematic and Complete Land

Registration (Pendaftaran Tanah Sistematik Lengkap or hereafter PTSL) to clarify land tenure and

use in non-forest areas (Area Penggunaan Lain or hereafter APL). Prior to such issuance,

Presidential Regulation No. 88 Year 2017 concerning Land Tenure Settlements within Forest Areas

(Penyelesaian Penguasaan Tanah didalam Kawasan Hutan or hereafter PPTKH) was issued with the


objective to enable multi-stakeholder collaboration in clarifying and addressing land tenure rights

within forest areas (or Kawasan Hutan). Such policy reform provides an enabling environment for

confirming land tenure as well as addressing land tenure conflicts involving communities in the ER

accounting area. Further institutional capacity strengthening, and coordination will be required

amongst sub-national government agencies in implementing these policies and enforcing relevant

regulations, particularly with regards to issuance of new concessions in Jambi Province.

As part of the ESMF, the proposed measures to enhance the institutional capacities and to address

the Environmental and Social risks and impacts are elaborated further in section 4.1 and 4.2 under

chapter 4. In addition, J-SLMP will provide necessary technical support to ensure adequate measures

are in place to address risks and impacts associated with project activities and long-term safeguards

system strengthening to support the ERP implementation.

Under any circumstance, potentially high-risk activities such as tenure conflict settlement will

not be carried until certain conditions “readiness criteria” i.e. the legal framework, meditation

and institutional capacities, consultation and institutional collaboration are in place.

The ESMF provides an analysis of potential risks and impacts associated with J-SLMP and has

included safeguard measures based on the relevant typology of activities (refer Chapter 2). J-SLMP is

not envisaged to create significant negative environmental and social impacts and are expected to

yield net positive environmental outcomes through institutional capacity strengthening and pilot-

testing of sustainable land and resource management options. The ESMF seeks to mainstream

measures and good practices to ensure that the activities will not harm the environment, Indigenous

Peoples and local communities, especially the most vulnerable groups within the WPK.

Based on the nature, scope and scale of the program, J-SLMP is expected to trigger seven WB

safeguards policies, which include:

a. OP/BP 4.01 Environmental Assessment;

b. OP/BP 4.04 Natural Habitats;

c. OP/BP 4.36 Forests;

d. OP/BP 4.11 Physical Cultural Resources;

e. OP/BP 4.09 Pest Management;

f. OP/BP 4.10 Indigenous Peoples and;

g. OP/BP 4.12 Involuntary Resettlement.

The rationale for triggering the above policies is presented in Chapter 3.0 on Policy, Legal and

Institutional Framework. J-SLMP triggered OP/BP 4.12 on Involuntary Resettlement as a precaution

measure to address downstream impacts associated with access restrictions and risks of livelihood

displacement following implementation of the project activities as well as responding to the design of

future ERP. J-SLMP does not involve land acquisition or anticipates the need for involuntary

resettlement to achieve the objectives of the project. A Resettlement Planning Framework, which

includes a Process Framework to address access restrictions, has been developed as part of the

ESMF.


OP/BP 4.10 on Indigenous Peoples is triggered to acknowledge the presence of community groups

that possess the criteria as defined in the policy in WPK. An Indigenous Peoples Planning Framework

(IPPF) has been developed as part of the ESMF. Through implementation of the IPPF, the J-SLMP

and future ERP seek measures to: a) ensure free, prior and informed consultations to obtain broad

community support in line with the national SIS-REDD+, and b) avoid potentially adverse effects on

Indigenous Peoples‟ communities or when avoidance is not feasible, minimize, mitigate or

compensate for such effects. The IPPF also seeks to ensure that Indigenous People receive social

and economic benefits that are culturally appropriate and gender and inter-generationally inclusive.

The scope of the ESMF consists of principles, procedures and measures to manage potential

environmental and social risks that may arise from J-SLMP implementation. The ESMF seeks to

mainstream measures to enhance participation and opportunities for Indigenous Peoples and local

communities to benefit from sustainable land use and forest management. The framework includes

supplementary annexes applicable for relevant activities under the project and shall be used in

conjunction with the applicable provisions of the World Bank‟s safeguards policies to ensure a

comprehensive approach towards management of environmental and social aspects.

1.3 LINK WITH EXISTING SAFEGUARDS INSTRUMENTS FOR REDD+

Previous and on-going safeguards preparation processes have been instrumental in bringing together

international good practices for adoption in the country‟s safeguards systems, and particularly, the

relevant REDD+ system. Starting from the mandate of COP 16, safeguard mechanisms known as

Cancun Safeguards is used as a foundation for developing safeguard mechanism specific for

Indonesia. Through Cancun Safeguards, UNFCCC requires that REDD+ implementation worldwide is

equipped with strategies for mitigating environmental and social risks consisting of strategic

environmental and social assessment (SESA), safeguard mechanism and safeguard information

system (SIS) to allow registration and monitoring of safeguards.

In Indonesia, key readiness processes have been led by the GoI and supported by various

development partners, including NGOs and CSOs working in Jambi. Stakeholders‟ inputs and

concerns have been collected in a participatory manner, involving a series of national and sub-

national consultative workshops, Focus Group Discussions (FGDs), informal discussions with target

communities and document reviews. The SIS-REDD+ consultation process, for example, was

intensively carried out in 2011 and 2012, involving multi-stakeholders, including community

representatives. The SIS development represents the earlier process for safeguards preparation

under REDD+, including SIS-REDD+ consultation and testing in Jambi.

The GoI has mainstreamed environmental and social risk mitigation measures into the ER program

development through an interlinked process for the development of key safeguards instruments

specific to REDD+. These instruments include:

a. the REDD+ Safeguards Information System (known as SIS-REDD+); and

b. the national safeguards framework (known as PRISAI (Prinsip Kriteria Indikator Safeguards

Indonesia).

The SIS-REDD+ has been established as a web-based platform to monitor safeguards performance

across program interventions. The SIS-REDD+ will integrate Jambi contexts (i.e., issues specific for

Jambi Province). Safeguards compliance standards shall be consistent with World Bank safeguards


principles and include safeguards performance indicators that must be achieved by program entities.

Efforts to synchronize the national safeguards frameworks and the ESMF for J-SLMP have been

made as part of the project preparation.

The ESMF and its associated frameworks, including FGRM will serve as reference safeguards

instruments that will bring together previous safeguards initiatives into a more comprehensive

framework for the purpose of J-SLMP and set the foundation of the safeguards system under the

future ERP. An interactive web portal for SIS-REDD+ (http://ditjenppi.menlhk.go.id/sisredd/ - under

construction) administered by the Directorate General of Climate Change (DG of CC) of MoEF has

been developed and will continue to be supported under J-SLMP to enable accessible and direct

reporting of safeguards performance across implementing entities.

Indonesia is equipped with a strong legal framework for the management of environmental and social

impacts of development activities, which are applicable for activities under the J-SLMP and future ER

program. Relevant mechanisms include mandatory Environmental Impact Assessments (AMDAL,

UKL/UPL), Strategic Environmental Assessments (KLHS) for policy development and spatial planning

processes, and the Sustainable Production Forest Management (PHPL) system. In addition, there

are a number of existing certification schemes that can be relied upon for specific ER activities, such

as the Indonesian Ecolabel Institute (Lembaga Ekolabel Indonesia/LEI), the Forest Stewardship

Council (FSC), and the Verification System of Timber Legality (SVLK) standards for ensuring

sustainable forest management practices. In the oil palm sector, the Roundtable for Sustainable Palm

Oil (RSPO) and the Indonesian Sustainable Palm Oil (ISPO) set out compliance standards for the

management of environmental and social aspects along oil palm value chains. These safeguards

instruments contain specific mechanisms for oversight of environmental and social aspects of specific

programs, grievance redress mechanisms, and reporting compliance based on self-assessments and

independent audits. The ESMF developed under the program will therefore build on the existing

country systems (whenever relevant and consistent with the J-SLMP and future ER program) and

ensure that any gaps against the World Bank‟s safeguards policies are addressed.

The integration of the existing safeguards instruments and use of country systems are further

discussed in Chapter 4.0 (this document) on management of E&S risks and impacts.

1.4 APPROACH AND METHODOLOGY

This ESMF takes into account lessons learned and important insights gleaned from implementing

safeguards on other projects in Indonesia and in particular Jambi. These include:

a. The need to build in-house capacity at each of the implementing agencies to screen, assess,

manage and monitor environmental and social safeguards issues;

b. The importance of timely, systematic and inclusive consultations with all stakeholders,

including culturally and socially appropriate consultation approaches for Indigenous Peoples

and Adat communities, respecting social structures, language, cultural norms, and availability;

c. The need to establish a responsive and accessible Feedback and Grievance Redress

Mechanism (FGRM) at the outset of ERP implementation. The FGRM will also serve as an

“early warning system” and provides locally accessible mechanisms for dispute resolution;

and

http://ditjenppi.menlhk.go.id/sisredd/


d. The need to make adequate budgetary and resource provisions to ensure effective

implementation, institutional capacity strengthening and management of all safeguard

aspects in the ERP.

The key processes for the development of the ESMF are summarized as follows:

1.4.1 Data Collection

Similar to SESA, data collection for ESMF considers secondary data sources consisting of:

Existing and valid regulations and laws related to forestry, and social and environmental

management in Indonesia which were analyzed to establish linkages with World Bank

safeguard policies and potential institutional arrangements;

Capacity for performing environmental and social management, track record and fiscal

capacity to ensure adequate resources to implement ESMF and monitoring based on the

agreed safeguards principles, criteria and indicators;

Data and information relevant to the future ERP as well as contextual analysis to inform

assessments of potential risks and impacts; and

Results of research and studies that have been validated by scientific communities and/or

consensus among key stakeholders to strengthen the contextual analysis.

Primary data sources were collected from a series of technical discussions and semi-structured

interviews with stakeholders‟ representatives. Additionally, primary data sources include the results of

public consultations, which involved community representatives. As part of this ESMF consultations, a

community consultation at village and district level have been conducted between April and May

2019. A record of the consultation can be found in Annex 11.

1.4.2 Analysis

Based on the primary and secondary data collected, a risk and impact analysis for the ESMF takes

into considerations the following aspects:

A predictive analysis of impacts based on risks identified in the SESA. Probability of

occurrence and severity of impacts are assessed to determine priorities for the management

of risks. The higher probability of occurrences, and the more severe the impacts, will require

more intensive management and supervision as well as resource allocation;

Identification of environmental and social measures to address the identified potential risks

and impacts; and

Analysis of coherence with the country systems to identify if the existing safeguards

measures under specific activities can properly mitigate/avoid risks and which gap filling

measures will be required.

1.5 SCOPE OF THE ESMF

The ESMF governs the overall management of E&S risks for implementation of activities under J-

SLMP. The main users of the ESMF include the Directorate General of Climate Change as the

National Focal Point of REDD+, Jambi Development Planning Agency (BAPPEDA), Jambi


Environmental Service (DLH) and also, all sectoral agencies at the local government levels including

the Governor of the Province, as well as the implementing agencies and partners at the district and

village levels (see Section 6.0 on the institutional arrangement).

The scope of the ESMF and its associated frameworks responds to identified environmental and

social risks of J-SLMP (refer to Chapter 4). The project boundaries are further described in Section 3.

The ESMF includes screening and management of all relevant E&S risks and impacts where

mitigation measures fall under the purview, capacity and authority of the implementing agencies and

development partners. At the program level, DGCC and BAPPEDA will provide technical support for

the management of FGRM and monitoring of E&S safeguards (preferably involving the use of SIS

REDD+3 that links to the Cancun Principles to allow monitoring at the national level, and technical

capacity building to implementing agencies to ensure implementation of the E&S provisions in the

ESMF.

A framework approach was adopted since specific locations will be decided during project

implementation. The ESMF adopted a risk management hierarchy which, first and foremost, avoids

adverse impacts whenever feasible. In circumstances where risks and impacts are inevitable and/or

foreseen, mobilization of resources for mitigation measures will be commensurate to the risk levels

and adapted as risks emerge and/or change during implementation.

Future ERP operation will build on the ESMF and its associated frameworks, subject to further

assessments as part of the on-going SESA process, which is expected to conclude prior to the

appraisal of Emission Reduction Payment Agreement (ERPA). Resourcing arrangements, including

capacity building aspects will be revisited and potentially strengthened to respond to the wider scope

of Program implementation and inclusion of additional activities.

1.6 STAKEHOLDER CONSULTATIONS

The development of the draft ESMF and its revisions was undertaken through a series of stakeholder

consultations conducted at the national and regional levels (provincial, district and village levels). The

main purpose of the stakeholder consultations is to seek inputs for the ESMF revisions from the

potential client organizations, key central agencies, relevant NGOs and other institutions; as well as to

disclose the ESMF to the related stakeholders.

The approach that has been adopted for the identification of stakeholders has been mainly through

self-selection. At the national level, the Ministry of Environment and Forestry (MoEF) coordinates with

relevant ministries and agencies to nominate relevant stakeholders for consultations. At the sub-

national level, such a self-selection process has been supported by local agencies. Indigenous

Peoples have been engaged through civil society organizations (CSOs), as well as through

Indigenous Peoples‟ institutions at the village level.

An analysis and mapping of stakeholders‟ influence and impact (both positive and negative) on the

ERP is provided in the SESA document separate to the ESMF, which forms the basis for engaging

the key stakeholder in the development of the ESMF. In particular, stakeholders who hold relevant

information on the ERP were also engaged in the development of the ESMF. These include those

who were involved in formulating the PDO and managing the knowledge/data relevant to the ERP.

3 Assuming that SIS REDD+ is operational and accessible at sub-national level.


The consultation process has been ongoing since 2016. Information resulting from this process is

incorporated into the formulation of this ESMF. Additional consultations in 2018-2019 are summarized

in Table 1 and full documentation of these consultations is appended in the preliminary SESA report

(refer Appendix A.3).


Table 1 Summary of stakeholder consultations in Jambi.

Topic What is the Issue Relevance to REDD+ Recommendations

Kick-Off Meeting Joint

Preparation Mission

BioCF ISFL

PDO result-chain

Annual Work Plan

Procurement Plan

Draft Grant Agreement

Aide of Memoire

ToR Individual Consultant

Concept Note

MRV, Safeguards, and

initial design of the ERP

The key points discussed were related to the internal arrangement within the

government of Indonesia especially DJPPI, BAPPENAS and Government of

Jambi related to the implementation of BioCF-ISFL, the role of stakeholder in

Jambi in anticipating of BioCF ISFL preparation and implementation,

cmmittmen t from Jambi Government to implements BioCG-ISFL, the ole of

Consultants in preparing related documents for BioCF-ISFL, especially on

safeguards as strictly followed up by the WB, Grant Agreement preparation

and signing for BioCF-ISFL between the World Bank and KLHK.

Some of the emerging concerns were related to the readiness of Government

of Jambi to prepare and implement the BioCF-ISFL and the complicated

vertical and horizontal coordination as currently experienced in most cases in

Indonesia, including in Jambi.

From the meeting it was observed that the Government of Jambi demonstrated

positive development toward the preparation and implementation of BioCF-

ISFL as shown from the issuance of Government Decree on the Formation of

BioCF Team/Taskforce and increased understanding on the part of the Jambi

Government on the role of BioCF-ISFL as a long term, low carbon, and green

development for Jambi. In addition, the consultation also discussed how to

foster active participation of key stakeholders in Jambi, finalization of ToR for

individual consultants to support the preparation of BioCF-ISFL including the

consultant on safeguards.

Agreed actions include increasing communication between Bappenas and

Ministry of Finance related to Grant Agreement, as well as with the Jakarta and

Jambi-based teams tasked for the preparation of BioCF-ISFL PDO and other

documents, and increasing stakeholders‟ involvement and participation in ERP

development in Jambi.

Joint Mission BioCF-ISFL PPG Procurement, Lol,

Financial agreement progress,

AWP

ERP Document

Part of REDD+

readiness process

The mission agreed that continued refinements of the results framework and

monitoring arrangements with interactive follow-up sessions and email

communication with the M&E specialist were expected to take place in the next

four months and would be presented in the next mission.



Result chain & Pre-invesment

activities

Agriculture framework

Private sector

ER allocation

Benefit Sharing Mechanism

Safeguards

Focus group discussion

(FGD) of identification of

potential locations for

deforestation and forest

degradation and peat

damage (1)

Identification WPK REDD+

Deforestation and forest

degradation

As a document that

supports the

preparation of ERP

The SESA needs to portray the causes/drivers of deforestation and forest

degradation & strategy for handling these issues to inform the ERP

design.

Key issues discussed include prevention and control of land and forest

fire, poverty in relation to deforestation, leakages to neighbouring

provinces, inadequate numbers of patrol team, tenurial conflicts, sub-

optimal forest governance, the needs to link with the provincial action plan

(RAD/Rencana Aksi Daerah) on greenhouse gas emission, roles and

responsibilities(involvement) at th district level, eco-tourism and non-

timber forest product (and their marketing) as non carbon benefit,

consideration for mangrove in BioCF, Palm oil as potential carbon

sequestration, the needs for FGRM at village and sub-district levels,

credible MRV and carbon accounting;

Emerging concerns include: greed and speculation, which may contribute

to forest degradation, lack of equipment at FMU level for fire prevention /

control, implementation of sustainable agriculture policies (includingnon

burning methods) and incentives for zero-fire, the needs for formal

agreement to prevent leakage to neighboring provinces, the need to

clearly define performance areas, the need to consider

aspirations/concerns from key stakeholders in defining performance areas,

biodiversity outside protected areas.

Agreement on follow-ups are: Manggala Agni to provide capacity building

and community-based fire prevention, Manggala Agni will support FMU for

fire prevention and control, Agriculture Agency to enforce sustainable

agriculture (organic pesticides, allocation of sustainable agriculture areas),

increase recruitment of Masyarakat Mitra Polhut (Community Patrol Team)



to increase patrol efforts, use of existing regulation and guidelines (e.g.,

Ecolabel, HCV, RSPO, and ISPO) as safeguard instruments,

acknowledgement of customary communities, support for customary

communities, collaboration with local communities on ecosystem

restoration.

The obstacles to the implementation of the Jambi ERP include,

procedurally, the issuance of the Decree regarding the involvement of

elements from the SKPD (provincial agencies) Other main obstacles

include the lack of capacity/guidance to effective implement safeguard

mechanisms. Collaboration with NGOs and academics may be able to

address this shortcoming.

Data used for ERP, at least for the last 10 years to ensure the use of most

recent data (reflecting current situations and dynamics of land-based

sectors in Jambi Province)

There may be inconsistencies in data and maps, even though such data

and maps are sourced from the government agencies. Concensus need tp

be established to justify data sources and relevant data custodians,

In KPH/National Park/Tahura/BPHP Units, relevant issues include

community forest encroachment expansion, forest fires, illegal logging,

unlicensed plantations (oil & rubber), expansion of plantation businesses,

forest encroachment for oil palm and rubber, encroachment in the inter-

zone buffer zones, weak good governance implementation across

stakeholders, tenure conflicts, peat decomposition, illegal mining, land use

(mining, gardens, agriculture), unsustainable forest management

The agency mapping for data availability is in accordance with the

required basic data requirements, which can be enhanced and revisited

based on deliberative discussions and stakeholder engagement

processes. This suggest that data may come from different sources, and

data mainstreaming may need to be done to ensure consistencies of data;

Pre-identification of the main drivers that cause issues in the forestry

sector will be revisited in accordance with the next plan of follow-up

discussions

Focus group discussion Identification WPK REDD+ Verification of Main Participants to complete information related to the main causes of



(FGD) of identification of

potential locations for

deforestation and forest

degradation and peat

damage (2)

Deforestasi and degradation

Drivers & Causes

of Deforestation

and degradation

Screening of SESA

Issues

Identification of

Social &

Environmental

Impacts

PDO and ERP

Consolidation

Identification of the

Area of Public

Consultation

deforestation and forest degradation, with supporting data available

Participants presented their understanding about the social and

environmental impacts, along with the required strategy and directions for

the ERP moving forward. Such information has been used to inform and

strengthen the PDO

Based on the stock-taking of issues and screening of spatial data

processing, several issues have been addressed. A short list of agreed

issues include TBD

Based on the issue categories emerging from the FGDs, several

alternative locations for public consultations were proposed. Expert views,

for spatial data processing and specific themes may be called for enable

robust analysis.

Key issues discussed in this session included: the needs for socialisation

of BioCF at the district level, artisanal mining as driver of deforestation,

illegal use of forest areas (encroachment), infrastructure development

(e.g., road) in forest areas, weak forest governance, changes of

traditional/subsistence economy into transactional economy, unclear

village boundaries, lack of conservation awareness amongst

communities/corporations/government agencies, social conflicts, human-

wildlife conflicts, non-sustainable agriculture (extensification and non-

organic pesticides/fertilisers), imbalance in the value chain (middlemen‟s

excessive profits);

Emerging concerns identified form this discussion are: influx of migrants

from other provinces, conflicting development interests/agendas,

inadequate resources for effective forest management, weak cross-

sectoral coordination, lack of community empowerment programs, and

limited access to information regarding licensing policies;

Concensus on follow-ups are: establishing a joint task force for law

enforcement, partnership to include forest encroachers and convert them

to support sustainable forest management, coordination between national

and sub-national agencies, ensuring clear mandates for provincial and

district governments, designing and implementing community

development programs, empowering village communities, including

ensuring enabling regulations for village development, implementing



participatory mapping for boundary demarcation, improving information

systems, implementing conservation awareness initiatives, improving

synergy between social forestry working groups with the Forestry Agency,

formulating conflict resolution strategies, and development of creative

economic schemes.

Interview the perceptions

of key stakeholders in the

sample districts (Bungo,

Merangin, Sarolangun,

Kerinci and Tanjung

Jabung Timur)

Interview related to the Bio Carbon

Fund, drivers of deforestation,

related stakeholders, fund

management mechanisms,

important issues and future

expectations

Verification of Main

Drivers & Causes

of DD

Screening of SESA

Issues

More than half of the respondents demonstrated lack of awareness of the

details of the emission reduction program, its relevance to REDD +, and the

role of sub-national stakeholders in the implementation process later. Most of

these stakeholders expect that the program can be applied at the local

level/district level, to enable fair sharing of the Program‟s benefits.

Focus group discussion

(FGD) of six villages

(Beringin Tinggi, Guguk,

Kandis Dendang, Pandan

lagan, Sungai beras, &

Rantau kermas) and 1

indigenous people

Natural resource management, root

causes, relevant stakeholders and

solutions

SESA & ESMF Main issues raised were related to forest conversion to oil palm, illegal logging,

encroachment, limited alternative livelihood, and the use of chemical

agriculture inputs

Discussions on measures to address environmental and social issues include:

improving access to markets, stabilising prices for daily needs (sembako),

improving skills and technoogy for added value, identification of NTFP

potentials (non-carbon benefit), development of village enterprise (BumDes),

improving access for ecotourism, community-based patrol implementation,

stopping illegal mining operation, community-based peatland rehabilitation,

training on prevention and control of forest fire, peatleand rewetting, non-

burning method for agriculture, allocation of sustainable agriculture (especially

for marginal and isolated communities, including customary communities),

production and use of organic fertilisers/pesticides, socialisation of social

forestry schemes, increasing gender participation in sustainable land use,

increasing commitment of companies (inclusion of local communities in

companies‟ business),

Public consultations and

focus group discussions

in Tanjung Jabung Timur

To inform the preliminary results of

the SESA and ESMF (including all

annexes)

SESA & ESMF

(including all annexes)

The main purpose of these consultation was to obtain feedback from local

stakeholders on the draft safeguard documents being prepared by consultants.

In addition, the consultation also served an opportunity to introduce BioCF-

ISFL for sub-national stakeholders who were not aware of the proposed



and Merangin districts program.

Some of the issues raised in Tanjbtim District were related to community

economic development aspects, including support to non-timber forest product

(NTFP) marketing and peatland management. The following were some of the

main issues discussed:

Focus of the district in next Medium-Term Development Program 2021-

2026 is sustainable peatland management under the flagship of “Peatland

Friendly District”. This is due to the coverage of peatland ( 62% of the

district‟s administrative areas). Subsequent FGDs will discuss strategy to

promote “Peatland Friendly District” for Tanjabtim.

High rates of land conversion from agriculture to Oil Palm were considered

as a driver of forest degradation.

There is a potential for developing Social Forestry (SF) in Tanjabtim

(currently there are 8 SF licences in Tanjabtim). Focus will need to be

placed in the whole aspect of social forestry starting from preparation for

licencing, forest management, production, marketing, and up to

processing of non timber forest products.

Recurrence of forest fires is still one of the main deforestation issues in

Tanjabtim due to its large peatland coverage. Efforts to prevent and

control forest fires were usually intensified during the long dry season or El

Nino years.

While there is a regulation on the protection of prime agriculture land

(LP2B), its implementation is still problematic due to untargeted subsidies

from the government. Thorough evaluation of the implementation of this

regulation will need to be carried out to find out best future

implementation.

The government has encouraged the communities to plant Jelutong trees,

which is considered an appropriate agricultural commodity for peatland.

However, market for latex extracted from Jelutong is still limited (note:

Jelutong is one of the commodities to be supported by BioCF).

In Merangin District, some of the important issues were related encroachment

and illegal claims of forest land especially by in-migrants (mostly from South

Sumatra, Lampung and Bengkulu leading to further deforestation and social

conflicts), emerging roles of Indigenous Peoples seeking recognition from the

government, unclear village boundaries leading to conflicts between villages.



It was expected that with the support from BoCF-ISFL, issues related to the

markets for some Non-Timber Forest Products (Jelutong in Tanjabtim) and

products from social forestry could be resolved as Bio-CF-ISFL will provide

expertise to help with this issue. To deal with forest and social conflicts, beside

supporting local institutions to deal with these issues especially on capacity

building and budget increase, the role of local communities and local wisdoms

and local NGOs should be revitalized in solving some of the issues related to

deforestation and social issues.


1.7 STRUCTURE OF THE ESMF

This ESMF is structured in a manner that provides clear guidance to implementing agencies. It

provides an overall framework that applies when specific Operational Policies are triggered. In such a

case, the ESMF framework will provide a specific action plan (ESMP) to address issues triggered by

J-SLMP implementation. The structure of the ESMF will also be linked to institutional arrangement to

ensure that relevant agencies are designated and mobilized according to the ESMP.

A review of the country policy, legal and institutional frameworks, and the World Bank Safeguards that

govern the environmental and social aspects of J-SLMP is provided in the ESMF. The program

description lists the project components, and together with a review of the legislations and safeguards

which forms the basis of the gap analysis. Where gaps and/or risks were identified, specific safeguard

instruments have been developed to address these. The safeguard instruments include the screening

of activities, application of codes of practices and guidance notes, guideline for High Conservation

Value and related environmental impact assessments, environmental permit, FGRM, IPPF, RPF and

PF and guidance for chance find of potential cultural sites and/or objects. These instruments are

provided in the ESMF annex sections.

This ESMF document is structured into the following chapters:

Executive Summary. Summary of the purpose and contents of the ESMF.

Chapter 1. Introduction. Provides information on the background and scope of the ESMF in

conjunction with the SESA, the approach and methodology.

Chapter 2. Program Description. Describes the purpose and objectives of the Emissions

Reduction Program including the program components and sub-components, and their

expected outcomes.

Chapter 3. Policy, Legal and Institutional Frameworks. Identification and review of

applicable Government of Indonesia regulations and World Bank Safeguard Policies triggered

by the Emission Reduction Program.

Chapter 4. Assessment of Environmental and Social Risks and Mitigation Measure.

Describes the assessment and management of the anticipated environmental and social gaps

and risks, ESMF implementation and safeguard instruments, institutional arrangements,

procedures for review and clearance of component activities, safeguards monitoring and

reporting, information disclosures and Feedback Grievance Redress Mechanism.

Chapter 5. ESMF Implementation. Adress the environmental and social procedure,

safeguards policy requirement, management of leakages and reversals, risks associated with

policy development, capacity building plan and indicative financial requirements, safeguards

monitoring, reporting and staffing, information disclosure, environmental and social

management plan, environmental code of practices, FGRM, and safeguards application for

benefit sharing plan,

Annexes include:


- Annex 1 ERP Negative List. The negative list outlines activities with potential

significant safeguards implications. This list will be used as the basis for the preliminary

screening of environmental and social risks and inform the inclusion of activities under J-

SLMP. Activities in the negative list will not be included under the project;

- Annex 2 Screening against Environmental and Social Risks. Activities will be

screened and assessed based on their potential risks and impacts. Such screening will

preliminary define the required safeguards management and recommendations to

address the identified risks and impacts (preventive measures, capacity building,

technical assistance and oversight to strengthen risk management);

- Annex 3 Environmental Codes of Practices for relevant physical investments under J-

SLMP. Environmental Code of Practice will be needed for activities that can potentially

impact the ecosystem (e.g., non-forest timber product extraction, agroforestry,

home/small industry, small farming and fishery, nursery, community timber plantation,

and ecotourism);

- Annex 4 Guidance Note for Pest Management. The ERP recognizes local wisdoms in

managing pests and will support communities to mainstream such local knowledge into

the environmental management plan. Such pest management is not a single pest control

method, but rather a series of pest management assessments, decisions, and controls;

- Annex 5 General Guidelines for High Conservation Value (HCV). Undertaking HCV

represents one of the key safeguards processes for identification and assessments of

environmental and social risks of key forest activities in WPK. The HCV provides

screening information on concentrations of significant biodiversity values, significant

large landscape-level areas with naturally occurring species, rare-threatened and

endangered ecosystems, ecosystem services, areas fundamental for local communities,

and areas of traditional cultural identity;

- Annex 6 Terms of Reference (TOR) for Environmental Permits, Management and

Monitoring Measures. The TOR outlines the required screening process to identify the

degree of impact of each proposed sub-project. Some activities under J-SLMP may

require environmental permits through the development of UKL-UPL (Environmental

Management and Environmental Monitoring Scheme) document or issuance of a SPPL

(Statement/Commitment Letter for conducting Environmental Management). Activities

under sustainable land and resource management under J-SLMP may involve land fire

prevention and suppression programs, social forestry, sustainable agriculture,

sustainable mangrove, alternative fresh-water fish activities, ecotourism and silvofishery

initiatives, which warrant further impact assessments and close monitoring and

supervision by implementing agencies;

- Annex 7 Feedback Grievances and Redress Mechanism (FGRM). FGRM is a tool for

early identification, assessment and resolution of complaints or disputes encountered

during J-SLMP implementation. The FGRM will ensure that relevant concerns and

suggestions received from the broader stakeholders, including target communities are

incorporated and addressed at the planning and implementation stages of each activity.

The ESMF notes that it is important to strengthen the current FGRM systems that are

already in place and managed by various agencies/entities at the national, provincial and


district/city levels to better respond and manage complaints, inquiries, and potential

disputes and/or conflicts as a result of the J-SLMP implementation;

- Annex 8 Indigenous Peoples Planning Framework (IPPF). The IPPF establishes a

screening process, an engagement strategy as well as requirements for free, prior, and

informed consultations if J-SLMP activities affect Indigenous Peoples and other

community groups who meet the criteria under OP 4.10. In the event that J-SLMP

activities are assessed to result in potential adverse impacts on Indigenous Peoples, the

IPPF provides a framework for the preparation of an Indigenous Peoples Plan (IPP)

through meaningful engagement and consultations with affected communities. Such

consultations are expected to lead to broad community support to J-SLMP interventions

as well as identification of opportunities to share the project benefits.

- Annex 9 Resettlement Planning Framework (RPF) and Process Framework (PF) to

address access restrictions. An RPF and PF have been developed as a precautionary

measure to address downstream risks associated with involuntary resettlement and

access restrictions as a result of J-SLMP implementation. These frameworks require

that if involuntary resettlement and access restriction risks are expected to occur during

J-SLMP implementation, each project-affected person will be consulted, compensated at

replacement costs and assisted with restoration measures to help them improve or at

least maintain the living conditions and capacity to earn income as before the project.

- Annex 10 Physical Cultural Resources - Chance Find Framework (PCR-CFF). The

preparation of the PCR-CFP aims to protect physical cultural resources from the adverse

impact(s) of J-SLMP activities and support preservation; and promote fair sharing

of benefits from the use of Physical Cultural Resources (PCR).

- Annex 11 Minutes of Meeting of Stakeholder Consultations.

- Annex 12 Assessment of Environmental and Social Risks and Mitigation

Measures, and;

- Appendix 13 TOR for Environmental and Social Team. This appendix outlines the

scope of responsibilities for environmental and social safeguards staff assigned to

oversee ERP implementation.

1.8 PUBLIC DISCLOSURE

The draft ESMF has been shared with various stakeholders in a number of meetings conducted in

Jambi Province as well as with the stakeholders in at least two districts in Jambi. Final disclosure of

the document in both Bahasa Indonesia and English will be made following the World Bank review

and clearance, expected in October 2019. All instruments required under the ESMF, such as IPPs,

ESMP, Plan of Action to address impacts of access restrictions, and sub-manuals will be disclosed

through the national and sub-national website platforms (http://ditjenppi.menlhk.go.id/peraturan-

perundangan.html).

http://ditjenppi.menlhk.go.id/


2.0 PROGRAM DESCRIPTION

Jambi has articulated its vision for low-carbon development in the Green Growth Plan (GGP) through

six intervention areas that the J-SLMP and forthcoming ER Program are consistent with. The J-SLMP

and ER Program form a critical part of the GGP given that they are a strategic umbrella for multi -

sector, multi-stakeholder interventions across land uses in Jambi. Together, they will contribute to a

transformation in how landscapes are managed in Jambi to deliver multiple benefits such as climate

change mitigation, improved livelihoods and environmental services, and strengthened coordination

and partnerships with key stakeholders.

The Project‟s proposed development objective (PDO) of J-SLMP is to improve sustainable landscape

management that reduces land-based GHG emissions in Jambi. Specifically, the J-SLMP will foster

equitable and low-carbon development by addressing drivers of emissions, deforestation, and land

degradation primarily through strengthening policies and institutions and implementing sustainable

land management approaches. The achievements of the PDO will be measured through the following

indicators: a) land area under sustainable forest management and/or restoration practices (ha), b)

GHG Emission reductions in Jambi (MtCO2e), and c) number of people reached with benefits (assets

and/or services and % of women).

The J-SLMP and its activities have been designed to address identified gaps and to scale successful

approaches throughout Jambi to maximize available Project financing. As part of this process, the

GOI, including national and provincial governments, conducted an analysis of activities that would

support the above PDO. Specifically, activities were prioritized based on five criteria: 1) expected

impact on reducing emissions; 2) geographic prioritization given the landscape in Jambi (including a

spatial planning approach); 3) livelihood impacts for communities and smallholders; 4)

complementarity and ability to leverage other programs and initiatives being implemented by the

government, CSOs, development partners, communities, and the private sector; and 5) the unique

value that the World Bank Group provides on sustainable land use, particularly as it relates to

governance, policy, and regulations.

Below is a summary of the three project components under J-SLMP.

2.1 COMPONENT 1: STRENGTHENING POLICY AND INSTITUTIONS

This component will address issues concerning the lack of institutional capacity to ensure good forest

and land-use governance. This Component aims for improving the regulatory and institutional

frameworks in forestry and other land-based sectors, as well as strengthening the instrument for

enforcing such policies. Specific gaps in governance that will be addressed by the Project include

those related to: consistent approaches and tools (including spatially explicit information) for peatland,

forest, and fire management; coordinated enforcement and implementation of sustainable land use

approaches; transparent monitoring of changes and social issues related to land use; and stakeholder

capacity to engage and manage their natural resources sustainably, including through alternative

livelihoods to ensure their continued development. Furthermore, this component will support national

and provincial governments, communities, and other stakeholders to effectively achieve the objectives

of the Project. This component will be implemented through technical assistance and capacity

building activities.


2.1.1 Sub-component 1.1: Institutional Strengthening

This Sub-component aims to strengthen coordination and decision making across sectors (forestry,

plantation and mining) to address primary drivers of emissions from land use in Jambi. Under the

jurisdictional ERP, this Sub-component will support the preparation of policies to support green

growth development (i.e., Green Growth Plan: GGP) in line with Jambi TUNTAS vision. Specifically,

institutional strengthening will target forestry, plantation and mining sectors. These sectors are often

associated with drivers of deforestation from land use, land use change, and forestry (LULUCF), and

from forest/land fire. Furthermore, institutional strengthening will also include translation of policies

into technical guidelines to allow field-level implementation. Vertical coordination between provincial

and district governments will also be strengthened in the context of law enforcement and conflict

resolution. Synchronization of these policies and regulations will involve stakeholder consultation to

gather input on institutional management. Additionally, policy synchronization with Peat Restoration

Agency (Badan Restorasi Gambut – BRG) is needed to ensure institutional strengthening for

managing peatland beyond forest designations

Institutional strengthening will also encourage clear definition of institutional mechanism to allow

collaboration among government, private sector, and civil societies. Collaborations will also be

established between Forest Management Unit (Kesatuan Pengelolaan Hutan – KPH) and the

surrounding communities to promote sustainable forest management. Sustainable forest

management will include stakeholders‟ involvement in reporting and monitoring of policy

implementation (will be part of the proposed FGRM). Effective FGRM will support this component to

continuously improve policies and its implementation through relevant institutions.

2.1.2 Sub-component 1.2: Enabling Environment for ER Program

Support improvements to the enabling environment for an ER Program represents the key aspect in

bridging International REDD+ standards for implementation at local scale under jurisdictional

approach. REDD+ readiness includes preparation of comprehensive system to measure GHG

emissions. Valid methods for such measurements may require transfer of knowledge and skills from

experienced professionals to the local experts/institutions. The following activities will create

conditions and a framework to enable development of results-based ERP:

a. GHG emissions accounting for Agriculture, Forestry, and Other Land Use (AFOLU);

b. Monitoring and reporting of land and forest resources changes, including a functioning MRV

system;

c. Development of a Benefit Sharing Plan (BSP);

d. Development of a Feedback and Grievance Redress Mechanism (FGRM); and

e. Support for implementation of environmental and social safeguards.

Capacity building to implement REDD+ plays important role to support forest protection and

monitoring, as it will be the responsibility of relevant management unit such as the FMU. Proper

measurement of GHG emission will involve inventory and estimation of forest biomass in peat and

mineral ecosystems. This will also involve sample selection in peat and mineral ecosystem to monitor

the carbon stock. REDD+ readiness requires that institutions in Jambi Province are capable of


finalizing and legalizing the FREL (Forest-Reference Emission Level)4. Upon finalization, the system

will continue to be used in the process of monitoring land and forest resources, reporting changes and

verifying of emissions reductions (MRV). Valid carbon accounting will be the basis for benefit sharing

mechanism as the part of incentive scheme in implementing the ERP.

REDD+ readiness also requires that the safeguard framework and instruments are prepared for

Jambi context. A comprehensive and robust safeguard system will need to be developed by provincial

institutions with supports from consultants, NGOs, communities and private sector. Implementation of

the safeguard frameworks being prepared with support from J-SLMP needs to be assess during ERP

readiness phase, where relevant aspects of legal frameworks, capacity building, and access to

finance are considered to ensure effective implementation and monitoring of safeguard measures

Risks of reversals and displacement will need to be considered in readiness phase. Communication

and coordination mechanisms among stakeholders are required to address these risks. Strategies for

mitigating the risks of reversals and displacements need to be documented as parts of the

requirements from ISFL and World Bank. Additionally, FGRM will also contribute to addressing the

risks by providing means for identifying potential grievances and conflicts that may lead to reversals

and displacement.

2.1.3 Sub-component 1.3: Policy and Regulation

This component will support the consolidation and strengthening of policies and regulations for

sustainable land use, including at national and provincial levels. Particular focus has been given to

policies and regulations for green growth, private sector development, fire, and peatland management

in order to effectively address drivers of emissions, improve livelihood opportunities for land users,

and ensure the long-term sustainability of approaches in Jambi. Specific activities include support for

provincial regulations (Perdas) for fire and peatland management, a permanent moratorium on

peatland conversion, and improvement of land-based licenses and modifications to Ecosystem

Restoration Concessions (ERCs) to increase private sector investment

Approach in this sub-component is designed to assist sub-national government in reviewing policies

and regulations to ensure effective implementation of future ERP in Jambi. Such policies will include

establishment of a fiscal incentive system to channel funds to sub-national level and communities.

Stakeholder consultation processes have identified that timber plantation and peat land fires

contribute to the deforestation from LULUCF and peatland sources respectively. Evaluation on

moratorium for new timber plantation licenses will be done to define the contribution of this policy

towards protection of the remaining forest. Evaluation will also be done to identify socio-political

implications of this moratorium.

Evaluation of policy and regulation will also be done to identify the status of peatland management

practices. It is expected that the provincial regulations support the peatland rewetting, revegetating

and revitalization strategies of peatland restoration agency (BRG). Additionally, this sub-component

will assist provincial government evaluate the possibilities to support national level policy such as

peatland moratorium.

Evaluation of policy and regulation will also be conducted in the context for supporting multi-

stakeholder collaboration on sustainable forest management system. Additional context will include

4 Also includes the decision if peat decomposition will be a significant emission factor.


evaluation of policies and regulations to ensure institutional capacity to support biodiversity protection

as non-carbon benefits and enhancing private sector participation in generating ER benefits.

2.2 COMPONENT 2: IMPLEMENTING SUSTAINABLE LAND MANAGEMENT

This component addresses the lack of sustainable practices in land management. This issue was

raised during stakeholder consultations. Poor land management has also resulted in tenurial conflicts

involving agricultural practices in forest area (encroachment). This issue is relevant with the drivers of

deforestation from both LULUCF and peatland.

The objective of Component 2 is to integrate forest and land management in Jambi, particularly

through sustainable forest management, agriculture intensification and diversification, conservation

and restoration, and value chain sustainability. As with Component 1, peat management, fire

prevention and management, and green growth, including through private sector engagement will be

priorities. Component 2 will be supported primarily through physical investments, though

complemented by technical assistance and capacity building. Together with Component 1, these

activities aim to address the drivers of emissions, including weak governance, by providing resources

to test sustainable land use management practices and enforcement in Jambi, including in support of

the Project‟s objectives.

2.2.1 Sub-component 2.1: Integrated Forest and Land Management

This component will provide support for integrated forest and land management through the

consolidated and coordinated management of forest and land resources, targeting peatland and fire

as key sources of emissions. Engagement of government, communities, private sector, and civil

society are central to achieving this objective.

Specific activities include:

a. Sustainable forest management to support the remaining natural forest, forest rehabilitation,

strengthening of FMU‟s institutional capacity including procurement of facilities and

infrastructure and monitoring the implementation of sustainable production forest

management (PHPL); and;

b. Conservation and restoration activities implemented by the government (at various levels) to

reduce emissions, working with smallholders, communities and plantations in or near High

Conservation Value (HCV) areas (i.e. forests, peat, and mangroves). In particular, restoration

and management of priority peatlands, promotion of alternative crops in degraded areas, and

development of incentive mechanisms to prevent encroachment of smallholders are

approaches that are likely to have significant impacts on ER targets. These activities will also

include clarification of smallholder land use rights to promote sustainability over the long-term.

c. Social forestry support will be provided to facilitated new licences, strengthening of

institutional capacity and developneg of social forestry business strategy. To support social

forestry, the J-SLMP and ERP needs to prepare a process that includes socialization, FPIC,

and conflict resolution mechanism. Conflicts may arise due to overlap between forest and

plantation concessions. Conflict resolution mechanism needs to be integrated in the FGRM.


Multi-stakeholder forum or association may also be optimized for FGRM and conflict

resolution mechanism.

Sustainable forest management may also include High Conservation Values (HCV) and/or

biodiversity conservation. Conservation areas (e.g., nature reserves and national parks) are present

in the Performance Evaluation Area (Wilayah Penilaian Kinerja – WPK), so collaborations with

conservation area authorities such as BKSDA and National Park is included as part of this strategy.

Additionally, biodiversity conservation may be regarded as non-carbon benefit of the ERP.

To complete the process of improvement, monitoring and evaluation of HCV (High Conservation

Value) areas in production forests by the private sectors/concession holders will be included in the

management plan. J-SLMP will benefit from involvement of local communities and private sector to

protect the conservation forests, including compliance with zero-burning policy. Additional values from

biodiversity conservation includes conservation of forest wildlife flagship species, enhancing capacity

of staffs of BKSDA and national parks on SMART patrol, resort-based management, as well as

human-wildlife conflict resolution.

On the peatland issue, J-SLMP will consider a) restoration of degraded peat lands, b) ecosystem

restoration (on peat and mineral forests); and c) development of concept on planting for land

rehabilitation, conservation of soil and water, and agroforestry. Improvement of forest management

will also benefit from infrastructure development (for conservation of soil and water), and

decentralized forest management system through FMUs. Decentralization will allow adjustment to the

local context and needs, as well as integration of community empowerment, social forestry, and

recognition of indigenous rights.

2.2.2 Sub-component 2.2: Private Sector Partnerships for Improved Forest and Land Management

This component will also support private sector partnerships for improved forest and land

management which will leverage private sector funding, investment and expertise to support GHG

emissions reductions in Jambi. Specifically, these activities aim to create engagement models and

mechanisms that could be replicated and scaled up with private sector actors.

Specific activities include:

a. Agriculture, plantation, and agroforestry intensification and diversification that target

smallholders to facilitate productivity enhancements to reduce emissions in priority areas

(e.g., HCV areas, peatland, primary forest borders, etc.), including through replanting,

agroforestry and intercropping. The aim will be to leverage commercial bank financing, private

sector offtake, and expertise to ensure sustainable investments; and

b. Value chain sustainability targeting private sector actors, including large corporates, who are

potential change agents, including through support for traceability and sustainable sourcing,

coordination of stakeholders in key value chains, and support for standards that promote

sustainable practices, including the Indonesian Sustainable Palm Oil (ISPO) and Roundtable

on Sustainable Palm Oil (RSPO) certifications, as well as other sustainability standards,

including a potentially new standard for rubber.

This sub-component focuses on private partnerships to implement productivity-enhancing technology

and farming practices. This approach is aimed to promote intensification that would reduce the


demands for land expansion. In parallel, sustainable investment and partnership mechanisms will be

introduced to encourage green development. This sub-component will benefit from good governance

(Component 1), as it will provide clear information on land use policy, licensing process, and clear

demarcation for subsequent GHG inventory. This will also be strengthened through value chain

coordination, multi-stakeholder dialogue, and capacity building to encourage sustainable practices.

Under this sub-component, the project aims to provide support for private sector to establish

partnership with farmers‟ groups. This approach will help enhance the knowledge on sustainable

forest management among farmers‟ groups and develop supply chain management tools to facilitate

compliance with certification standards including “no-deforestation and no-fire” sustainability aspects.

Partnership will also include the needs to balance conservation and economic goals. Ecological

aspects in HCV management are applicable for business ventures under ISPO certification for

plantation sector. Additionally, such balance will also be achieved through jurisdictional management

tools to ensure compliance with “no-deforestation and no-fire” principles. Capacity for conflict

resolution and FGRM will contribute to achieving optimal partnerships.

2.3 COMPONENT 3: PROJECT MANAGEMENT, MONITORING AND EVALUATION, AND REPORTING

This component envisages overall management of the J-SLMP implementation, and highlights the

roles shared among stakeholders in sustainable forest management. Due to the variation of activities

and multi-stakeholder involvements, benefit sharing mechanism as incentive scheme needs to be

considered.

Effective and efficient management of program activities become the backbone for the success of

future ERP implementation, which J-SLMP seeks to support. Management, monitoring, and

evaluation applies to multi-stakeholder operations under the project and the future ERP. Under

public-private partnership mechanism, monitoring and evaluation system needs to be transparent and

accessible to all stakeholders.

This component will finance activities related to national and provincial‐level project coordination and

management, particularly to achieve the project‟s objectives, including AWPB; fiduciary aspects (FM

and procurement); human resource management; safeguards compliance monitoring; M&E;

knowledge management and sharing; and implementation of strategies for communication and

stakeholder engagement.

Funds will cover a portion of the costs for the PIUs/PMUs‟ contractual staff, and operations and

maintenance costs, such as office space rental charges, vehicles and fuel, and office equipment,

among others. It will also finance the costs of Project supervision and oversight provided by the

National Steering Committee, Provincial Task Force, and Project Preparation Team, as well as other

Project administration expenses.

Program management and subsequent monitoring will refer to how J-SLMP contributes to addressing

the drivers and underlying causes of deforestation and forest degradation and how the project

supports enabling environments for the future ERP (refer to Figure 3).


Figure 3 Relationship between Main Drivers of Deforestation and Degradations with

J-SLMP Components.

Consultation process will be undertaken to discuss how J-SLMP support the ERP preparation and

future implementation, including how the project contributes to addressing the drivers of deforestation

and forest degradation. Key aspects to consider during program monitoring and evaluation include

overseeing environmental and social risks that may emerge during J-SLMP implementation, which will

be expected to overlap with the future ERP operation.


3.0 POLICY, LEGAL AND INSTITUTIONAL FRAMEWORKS

3.1 GOVERNMENT OF INDONESIA REGULATIONS

Activities under the J-SLMP and future ERP should adopt sustainable development principles,

including environmental, social, cultural, and economic considerations, consistent with applicable

national and regional regulations. This ESMF document adopt the Government of Indonesia‟s (GoI)

laws and regulations to the extent that they are in compliant with the World Bank Policies on

Environmental Assessment (OP 4.01), Natural Habitats (OP 4.04), Water Resource Management (OP

4.07), Indigenous Peoples (OP 4.10) and Physical Cultural Resources (OP 4.11). Specific provisions

are described in the ESMF to address any aspect of the Bank policies that are not fully addressed

through GoI laws and regulations. Applicable National and Regional regulations for the ERP related to

environmental and social aspects are outlined as follows:

Law No. 6 of 2014 on Villages. This law has significant implications for the forestry sector by

expanding the authority of villages to manage their own assets and natural resources,

revenue and administration. It specifically reallocates a specific portion of the state budget to

village administrations, providing all of Indonesia‟s villages with annual discretionary funding

for making local improvements that support poverty alleviation, health, education and

infrastructure development.

Law No. 23 of 2014 on Regional Governance. This law effectively weakens Indonesia‟s

system of regional autonomy by withdrawing authority over natural resource management

(including forestry) from district and city governments and shifts it to provincial and national-

level governments.

Law No. 18 of 2013 on the Prevention and Eradication of Forest Degradation. This law

strengthens law enforcement by providing additional legal certainty and defining the penalties

for those engaged in forest destruction. It clearly defines which activities are banned, on the

part of individuals and organized groups who are complicit in illegal logging activities, as well

as organizations involved in the illegal timber trade and officials engaged in the falsification of

permits.

Law No. 32/2009 concerning Environmental Management and Protection. For the government

executing agency (National and Regional level), this Law provides has the mandate for the

Province and District to develop a Strategic Environmental Assessment, that will guide

regional spatial planning for development. This Law also requires has obligated any

development program by private sector to implement proper environmental and social

considerations including environmental assessment, management planning and monitoring;

Law No. 26/2007 concerning Spatial Planning. It amends Law No. 24/1992 (Spatial Planning

Act) in the context of decentralization, urbanization, and other factors. It grants authority over

spatial planning to provincial governments (pemerintah provinsi) and district governments

(pemerintah kabupaten and pemerintah Kota). Provision of this authority is not stipulated

within previous spatial planning laws. It also provides some new ways for enhancing

development control including zoning, planning permits, implementation of incentives and


disincentives, including administration and criminal sanction. Law No. 26/2007 also

acknowledges the importance of public participation in spatial planning.

Law No. 41/1999 concerning Forestry. The 1999 law includes some conservation-oriented

policies. It divides forests into three categories, including: Conservation Forests, Protection

Forests and Production Forests. It also empowers the Ministry of Forestry to determine and

manage Indonesia‟s Kawasan Hutan (National Forest Estate);

Government Regulation (PP) No. 24 Year 2018 concerning Electronic Integrated Permitting

Services (OSS);

Ministry of Agrarian and Spatial Plan/Head of National Land Agency No. 6/2018 concerning a

Complete and Systematic Land Registration (PTSL);

Presidential Regulation No. 88/2017 concerning Resolution of Land Conflict within Forest

Area (PPTKH);

Government Regulation (PP) No. 46 Year 2016 concerning Guidelines on Implementing

Strategic Environmental Assessment;

Ministry of Environment and Forestry Regulation No. 83/MENLHK/SETJEN/KUM.1/10/2016

concerning Social Forestry;

Ministry of Environment and Forestry Regulation No. P.84/Menlhk-Setjen/2015 concerning

Tenurial Conflict Management within Forest Area (PPTKH). This regulation was enacted to

support settlements of land occupancies, including conflicts within forest areas, by way of a

joint taskforce involving ATR/BPN, MoEF, and MoHA under coordination of the Coordinating

Ministry of Economic Affairs (CMEA);

Government Regulation (PP) No. 27/2012 concerning Environmental Permit, Regulation of

the Minister of Environment No. 16/2012 concerning Guidelines for Preparing Environmental

Documents (AMDAL, UKL/UPL, and SPPL);

Other applicable environmental standards such as water quality, air quality, and erosion

control.

The J-SLMP and future ERP activities will potentially involve and impact Indigenous Peoples (IPs)

and should provide benefits to and manage impacts on Indigenous Peoples (IPs). Government of

Indonesia‟s policy on Indigenous Peoples includes:

UUD 1945 (Amendment) Article 18, clause #2 and Chapter 281 clause # 3. Article 18B(2)

(second amendment) states that „The state recognizes and respects indigenous peoples and

their traditional rights providing these still exist and are in accordance with the development of

the people and the principles of the Unitary State of the Republic of Indonesia, which shall be

regulated by law‟. Article 28I(3) (second amendment) states that „The cultural identities and

rights of traditional communities shall be respected in accordance with the development of the

times and civilization‟

Law 6/2014 on Villages. Gives local communities the opportunity to propose becoming an

indigenous village (desa Adat), with substantial opportunities to self-govern based on

traditional laws and customs. Article 76 makes specific reference to communal land (tanah


ulayat) as a village asset if a village has been legally recognized as an Adat village by district

or provincial legislation;

Law 39/2014 on Plantation Development, Article 12(1) states that, „in the case of land require

for plantation businesses, companies must consult indigenous land rights holders to obtain

agreement on the delivery of land and compensation‟. Article 17(1) states that „The relevant

authorities are prohibited from issuing plantation permits over the land of indigenous

communities. Article 55(b) states that „[Individuals are prohibited from] working, using,

occupying and /or controlling public land or the land of indigenous peoples for the purpose of

conducting a plantation business. Article 103 states that „Any officer who issues a plantation

permit over land with indigenous rights holders […] shall be punished with imprisonment of

five years or a fine of IDR 5 billion‟;

Law No. 41 on Forestry amended through the Constitutional Court Decision No. 35/PUU-

X/2012. The Constitutional Court ruled that Adat forests are not part of the state forest

(Kawasan Hutan). This Court decision modified the sub-classification of what was known as

forest areas as: Titled Forests (Hutan Hak), and State Forests (including concessions, village

forest programs as Hutan Desa, and Hutan Hak – those areas held by Adat communities).

This decision further implied that Adat forests, wherever legally recognized, would be

assumed to be collectively owned forests of Indigenous Peoples and Adat communities (i.e.

part of the Titled Forests category);

Law 5/1960 on Basic Agrarian Principles (BAL). Recognizes Adat law as the law that is most

relevant to most Indonesians, and the basis of Indonesian land law, thus reversing the

dualism of western versus Adat law, which is specifically cited as undermining legal certainty;

Presidential Decree (Keppres) No. 111/1999 concerning Development of Isolated Indigenous

Community (KAT) which provides a broad definition of Indigenous Peoples and the need for

government assistance;

Regulation of the Minister of Land Agency and Spatial Development No. 9/2015 on the

Procedures to Establish the Land Communal rights on the MHA Land and Community Living

in the Special Area (non-forest estates);

Provincial Regulation (PERDA) no. 7/2013, PERDA No 2/2014 and PERDA No 8/2016 all

concerning the recognition of customary communities (Masyarakat Hukum Adat), including

Marga Serampas.

MOHA Regulation No. 52/2014 on the Guidelines on the Recognition and Protection of MHA

(Masyarakat Hukum Adat);

In addition, there are two draft bills that are yet to be legislated, including draft bill on the

recognition and protection of the rights of Customary Law Communities (Masyarakat Hukum

Adat) and Land Law.

The above regulations will support the J-SLMP and future ERP, and no contradictions are foreseen in

the regulatory framework. Implementation on Presidential Regulation No. 88/2017 must be carefully

planned and implemented, so the approach involving modification of forest areas (e.g. into other use

areas) and Agrarian Reform policy (Tanah Obyek Reforma Agrarian – TORA) will not cause

deforestation or land degradation. Additionally, Constitutional Court Rule (Putusan Mahkamah


Konstitusi – MK) No. 35/2012 should be interpreted responsibly, so it does not provoke massive land

claims within forest areas. These challenges are discussed further in Chapter 4.0 (this document).

3.2 WORLD BANK SAFEGUARDS POLICIES

The operational Policies (OP) for safeguards that are relevant to the ERP are summarized as follow.

3.2.1 OP 4.01 Environmental Assessment

The World Bank requires environmental assessment (EA) of projects proposed for Bank financing to

help ensure they are environmentally sound and sustainable and that potentially affected people have

been properly consulted. The policy describes the objectives and recommended procedures and

instruments for its implementation. This policy is considered to be the umbrella policy for the Bank's

environmental safeguards.

J-SLMP is expected to generate mainly positive environmental and social outcomes, as it is designed

to improve land governance, increase capacity and seek to reduce emission level from plantation and

forestry sectors. This project also provides sustainable and low carbon emission livelihood. However,

potential adverse environmental and social impacts are expected for all components. Consequently,

proposed activities under these components will have to go through negative and preliminary

screening to identify potential impacts and safeguards requirements. The screening process consists

of:

Screening against the Negative List (Annex 1). This list was established as the first screening

process to ensure that the activities do not contribute to escalating the drivers for

deforestation and forest degradation. Additionally, any activities not aligned with GOI

regulations and, those with potential adverse impacts will not be supported;

Screening against the Environmental and Social Risks (Annex 2) to assess potential risks of

eligible activities and local capacity to manage such risks;

Preparation of an Environmental and Social Management Plan as one of the safeguard

instruments that provides key measures needed to manage environmental and social aspects

of the program; and

Compliance with an Environmental Code of Practices (ECOPs) that has been prepared to

guide implementing units on how to prevent and/or minimize impacts/risks to the environment

and human health (Annex 3). The ECOPs will be used as basic standards for the

development of risk mitigation action plans (e.g. ESMPs, environmental permit [UKL/UPL],

SPPLs) as needed and contains provisions for a range of sectors relevant for the ERP,

including agroforestry, home-based industry, farming, fisheries, seedling and community

timber/social forestry activities, and ecotourism.

3.2.2 OP 4.04 Natural Habitats

The Natural Habitat Policy is triggered because some of activities in components 1 and 2 may have

impacts on natural habitats such as agroforestry/social forestry, land use management, Non-Timber

Forest Product (NTFP) harvesting, timber sub-projects, etc. The projects will not support initiatives

that would potentially lead to conversion and/or degradation of critical or non-critical natural habitats

and conversion of habitat of the endangered species. The ESMF includes measures to promote


sound management of natural resources, natural habitats as well as conservation of endangered

species. Project activities will strive to promote good practices in forest management, including

innovative ideas to protect environmentally sensitive habitats and enhance the project‟s positive

impacts on the environment. Efforts for the identification of natural habitats will be done through

existing safeguard mechanism such as High Conservation Value (HCV) studies that are commonly

carried out for natural resource management programs.

3.2.3 OP 4.09 Pest Management

The Pest Management policy is triggered as proposed activities (components 1 and 2) may lead to

acquisition, use and disposal of small quantities of pesticides (for short term use). The project will not

procure or use pesticides and chemical fertilizers that are classified as IA or IB by WHO and GOI‟s

regulations. J-SLMP and future ERP will encourage use of organic fertilizers for activities related to

agriculture and agroforestry. However, since small quantities of eligible pesticides may be procured

and used, the project will screen at the project level and when justified, assess the subsequent

potential environmental and social impacts.

The project will not finance any pesticide without clear guidance and monitoring of safeguard

specialists nor without targeted training on use, storage and disposal or without the right equipment

and installations necessary for the products to be used safely and appropriately. The ESMF has

incorporated an IPM guidance note (Annex 4) and Environmental Code of Practice (Annex 3) that

every activity involving uses of pesticides or pest management is required to adopt.

3.2.4 OP 4.10 Indigenous Peoples

OP 4.10 is triggered since the activities under J-SLMP will be implemented in areas claimed by

communities who can be categorized as Indigenous Peoples as per-OP 4.105 and therefore, may

have impact on their claims and access to land and natural resources. Furthermore, some of the J-

SLMP activities under the project may also be implemented in areas where there is co-existence

between Indigenous Peoples and Adat communities and therefore, it is important to establish a robust

community engagement strategy as well as fair benefit sharing processes to maintain stakeholders‟

traction and buy-in to the project activities. The project must be implemented in a culturally and

socially appropriate manner when implementation concerns with Indigenous Peoples based on the

principles of free, prior and informed consultations. J-SLMP communication and community

engagement strategy must also ensure that target communities have a full and complete

understanding of the initiatives proposed.

The ESMF applies to all communities with Indigenous Peoples characteristics6 regardless of the

presence of legal recognition and therefore, the provisions of the OP 4.10 apply to address potential

risks and protect the rights of these groups during J-SLMP implementation.

5 These criteria include a) self-identification as members of a distinct indigenous cultural group and recognition of this

identity by others; b) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories; c) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and d) an indigenous language, often different from the official language of the country or region. 6 In conjunction with OP 4.10, the term Indigenous Peoples in this document is used in a generic sense to refer to a distinct,

vulnerable, social and cultural groups with the following characteristics in varying degrees: a) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others; b) collective attachment to geographically distinct habitats or ancestral territories in the project area(s) and to the natural resources in these habitats


Application of the ESMF will not be conditional upon Adat recognition and therefore, will allow broader

groups participating in J-SLMP and future ERP, including other communities who possess

characteristics as per-OP 4.10. Requirements for screening and free, prior and informed consultations

to obtain broad community support will be applicable prior to implementation of J-SLMP activities

where Indigenous Peoples‟ claims exist.

Recognizing possible constraints that Adat communities may face in participating in project activities,

facilitation and engagement with Adat communities will need to be tailored to enable these

communities to benefit from the program.

In circumstances, where ERP activities may result in restricting the access of indigenous peoples to

land use and resources, a Process Framework (PF) is provided by the ESMF to address such risk.

The purpose of the PF is to establish a consultative process by which communities potentially affected

by restrictions on land and natural resources for conservation and protection purposes can engage in

informed and meaningful consultations and negotiations to identify and implement means to mitigate

impacts of access restrictions. The PF will be strongly tied to the ongoing GoI‟s program on Social

Forestry and the broader Agrarian Reform Program, which are expected to benefit landless poor

communities within and/or surrounded by forest areas.

3.2.5 OP 4.11 Physical Cultural Resources

Physical cultural resources include movable and immovable objects, sites, buildings, and a group of

buildings, natural facilities and landscapes that have archaeological, paleontological, historical,

architectural, religious, aesthetic significance, or other cultural properties. The policy is triggered since

proposed sub-project activities may have impacts on the use of and access to sites with potential

cultural significance. This may be relevant with components 1 and 2 where sub-components and/or

activities. Studies of Jambi report several important physical and cultural sites and/or kingdoms such

as the megalithic artifacts in Kerinci District, Geopark in Merangin, Kerinci Lakes (Kaco, Duo, Nyalo,

Lingkat, Kerinci, Gunung Tujuh), Merangin Lakes (Pauh Depati IV), and Temple complex in Muaro

Jambi. Given the monarchy and colonial history of Jambi, undiscovered cultural sites are anticipated

and as such it is considered that J-SLMP efforts of improving spatial planning and sustainable

alternatives for communities may have potential impacts to the physical and cultural resources in

Jambi.

3.2.6 OP 4.12 Involuntary Resettlement

OP 4.12 is triggered when there is a possibility that J-SLMP activities may result in access restrictions

or restrictions of land use amongst forest dependent communities, including Indigenous Peoples as a

result of formalizing forest boundaries and zones within FMUs. The project will not require land

acquisition, which would result in direct involuntary resettlement and/or livelihoods displacement.

However, there may be residual risks of revocation of claims as a result of tenure regularization

and/or conflict resolution, which may result in resettlement or livelihoods displacement. Such risks

have been assessed as remote as the GoI seeks to adopt participatory dispute settlements through

mediation and non-litigation approaches to address tenure issues.

and territories; c) customary, cultural, economic, social or political institutions that are separate from those of the dominant society and culture; and d) an indigenous language, often different from the official language of the country or region.


Land and forest tenurial conflicts have been and will continue to be a major concern for the overall

social management of J-SLMP and future ERP operation. Such conflicts often involve Adat

communities who have claims before establishment of Forest Areas (Kawasan Hutan) and issuance

of forest concessions. Since 2012, Indonesia has mobilized significant efforts to identify existing

tenurial conflict and other land-use and forestry related conflicts, as well as develop relevant policies

and regulatory frameworks. J-SLMP will take into account an indicative tenurial conflict map that the

GoI has developed, with an inventory of 201 conflicts, mostly in Sumatera (60.7%) and Kalimantan

(16.4%). Such identification is currently on-going to further identify tenurial conflicts in forest areas

through a joint assessment between the Government and communities, including Adat communities

and identify ways forward to settle conflicts through consensus.

The ESMF developed under J-SLMP has incorporated a Resettlement Policy Framework (RPF) and

Process Framework (PF) to mitigate potential resettlement and access restriction risks resulting from

forest tenure settlements and boundary demarcation supported by project activities. These RPF and

PF have been developed in conjunction with the current GoI‟s frameworks on forest tenure

settlements,7 and will seek to address any gaps, particularly with regards to free, prior, and informed

consultations with affected parties, compensation and livelihoods restoration. The RPF and PF are

appended as a separate Annex (Annex 9) to the ESMF.

3.2.7 OP 4.36 Forests

The Bank's current forests policy aims to reduce deforestation, enhance the environmental

contribution of forested areas, promote afforestation, reduce poverty, and encourage economic

development.

Key activities under J-SLMP may bring about changes in the management; protection and/or

utilization of natural forests (e.g. support for NTFP and timber sub-projects). J-SLMP is expected to

bring positive impacts on forest ecosystems through promotion of forest conservation, sustainable

livelihoods, restoration of degraded lands, and protection and enhancement of ecosystem services

and biodiversity. Conversion of primary forests is included in the negative list, and is therefore, strictly

prohibited. The ESMP will outline key strategies to promote sustainable use of forest and mitigation of

impacts and risks if the project activities are implemented and/or affect forest areas such as, but not

limited to, forest restoration, plantations, non-timber forest products collection/processing and agro-

forestry activities. The ESMF includes code of practice for community timber activities. The ERP may

support harvesting operations conducted by small-scale landholders and/or by local communities

under a community forest scheme if such operations have achieved an acceptable standard of forest

management developed with meaningful participation of locally affected communities, consistent with

the principles and criteria of responsible forest management as outlined in the ESMF.

3.3 INSTITUTIONAL FRAMEWORKS

Implementation of ESMF in the ERP will assigned to the following levels of governance:

7 The refinement of community based conflict handling mechanisms will be conducted with adherence to relevant

regulatory frameworks for addressing tenurial conflict are, among others, Law no 7/2012 on social conflict management, MoEF Ministerial Regulation No P.32/Menhut-Setjen/2015 on Forestry Rights, MoEF Ministerial Regulation No 84/Menlhk-Setjen/2015 on Forestry Tenurial Conflict Handling, MoEF Ministerial Regulation No 83/Menlhk-Setjen/2016 on Social Forestry, MoEF Ministerial Regulation No 34/Menlhk-Setjen/2017 on the protection of local wisdom in natural resources and environmental management. MoEF Ministerial Regulation No 83/Menlhk-Setjen/2016 on Social Forestry.


National level policies (forest and protected areas): Policies mainly fall under the jurisdiction

of MoEF. Policies are related to forest area designation, issuance of licenses, moratorium on

licenses (PIPPIB), moratorium on peatlands, agrarian reform (TORA), social forestry, and

environmental partnership mechanisms. The policy of the Ministry of Home Affairs is relevant

to national policy on recognition of customary community (MHA);

National level policies (other use areas/APL): Policies related to land allocation validation falls

under the jurisdiction of the Ministry of Agrarian and Spatial Planning. Authorities for this

ministry are mandated to offices at the provincial level (Kantor Wilayah - Kanwil) and at the

district level (Kantor Pertanahan);

Provincial level policies: BAPPEDA plays an important role in ensuring synergy between

forestry and plantation sectors. Policies on forest management fall under the jurisdiction of the

Forestry Agency, while grass root implementation is administered through the FMUs (KPH).

Kesbangpol (National Unity and Political Stability Agency) and Infokom (Information and

Communication Agency) can potentially serve as support for provincial level policies,

especially on FGRM implementation. The Joint Secretariat on Forest Resource Management

(SEKBER) is not a regulatory instrument but is essential in supporting the BAPPEDA and

Forestry Agency, thus playing a crucial role the implementation of the ERP in Jambi Province.

Capacity gaps include the lack of capacity for FGRM, conflict resolution, and FREL, MRV,

and HCV assessment and management; and

District level policies: BAPPEDA plays an important role in the recognizing customary (Adat)

communities and in ensuring proper implementation of ER at the grass root level. The District

Agency for Village Empowerment and Development (Dinas Pemberdayaan Masyarakat dan

Pemerintahan Desa – DPMPD) is essential in ensuring policies for channelling funds to the

villages under the village fund (Dana Desa – DD) and village fund allocation (Alokasi Dana

Desa – ADD) from provincial and national government authorities. These institutions have the

capacity to support provincial policies on FGRM, conflict resolution, and HCV assessment

and management.

Recent changes in forestry regulations (e.g., social forestry, indigenous people/customary access,

environmental partnerships) and in ERP requirements, such as FPIC, FREL and MRV, mean that a

new approach at national and sub-national levels is required. These new regulations and

requirements may not be familiar to government officials at national and sub-national levels; therefore,

relevant capacity building sessions may need to be conducted. However, the most important aspect,

in light of the new developments, is the need to establish collaboration with NGOs. Such collaboration

would allow knowledge sharing between government and non-government organisations.

3.4 GAP ANALYSIS8

Overall there are no significant gaps between Indonesian safeguards and the World Bank safeguards

policies. A gap analysis was used to provide guidance for the development of ESMF, including gap

filling measures towards compliance with applicable World Bank‟s safeguards policies. The ESMF

highlights the need to strengthen the existing safeguards related to indigenous peoples, grievance

mechanism, access to forest resources, and environmental and social management and monitoring

8 This section is also complemented by similar analyses in the SESA (see Table 26) and Section 5.1 of ESMF. More analysis

will be provided in this section for final report.


program. Among the environmental and social risks, Indigenous Peoples and Involuntary

Resettlement are one of the important aspects that needs to be emphasized in the program-SLMP

design. Development of Indigenous Peoples Planning Framework (IPPF) and Process Framework

(PF) and ensuring inclusion into other management plan is crucial to ensure that the ER program

complies with the World Bank safeguard policies.

The following table describes the gaps analysis exercise of the key consideration issues of the ER

activities and how mitigation measures are built into the ESMF.


Table 2 Summary of gap analysis of key considerations.

Aspect World Bank Policy Indonesian Regulation Gap ESMF Role

OP 4.01 Environmental Assessment

Environmental

Assessment

OP 4.01 Paragraph 1 specifies

that projects funded by the World

Bank require an environmental

assessment.

Environmental and social assessments are

conducted through the AMDAL process in

accordance with the Ministry of Environment

Regulation No. 5 Year 2012 on business

activities mandatory to have AMDAL.

The assessment is also regulated by Government

Regulation No. 27 Year 2012 concerning

Environmental Permit, where each business

and/or activity (project) plan mandates an

Environmental Permit if an AMDAL or UKL-UPL

assessment is required

No gap. While UKL-UPL

(according to AMDAL

regulation) is based on

threshold values, this value has

already taken into

consideration the nature and

scale of the impacts. This is in

line with environmental

assessment of the Bank Policy

which is based on nature and

scale of the impact.

Environmental assessment

refers to the Indonesian

Regulations that require the

development of environmental

documents according to the

results of screening (Annex 6).

UKL-UPL assessments are

expected to be required for the

nature and scale of the ERP

activities.

Environmental

Screening

OP 4.01 Paragraph 8 states that a

screening process is required to

determine the scale/scope of the

project and the type of

environmental assessment

required.

Based on Minister of Environment Regulation No

5/2012, Appendix 1, a screening of potential

impacts is conducted to determine the type of

environmental documents that will be required

(AMDAL/UKL-UPL/SPPL) based on criteria

described in the regulation.

The screening process of the

regulation does not consider

social impacts due to land

acquisition/involuntary

resettlement, including access

restrictions, potential impacts

on Indigenous Peoples and

physical cultural resources in

relation to ER activities.

There may be lack of capacity

for addressing environmental

and social risks identified in this

screening process

ESMF provides negative list

and preliminary screening

process for ER activities that

include identification of potential

impact towards involuntary

resettlement/access restriction,

indigenous peoples, and

physical cultural resources.

(Annex 1 and 2)

Management

of

environmental

and social

impacts

OP 4.01 Environmental

Assessment

Environmental and social assessments are

conducted through the AMDAL process in

accordance with the Ministry of Environment

Regulation No. 5 Year 2012 on business

activities mandatory to have AMDAL.

The assessment is also regulated by Government

The management and

monitoring plan developed

through the AMDAL/UKL-UPL

process, in general, supports

the Bank requirement.

Capacity for management of

The ESMF strengthens the

AMDAL/UKL-UPL system by

providing specific

Environmental Codes of

Practices (ECOPs) for ER

activities such as agroforestry,



Regulation No. 27 Year 2012 concerning

Environmental Permit, where each business

and/or activity (project) plan mandates an

Environmental Permit if an AMDAL or UKL-UPL

assessment is required

environmental and social

impacts is needed for FMU,

private companies and

smallholder farmers (villages).

There is no integrated system

of conflict resolution across

sectors in Jambi.

aquaculture and ecotourism

(Annex 3).

Scope OP 4.01 Environmental

Assessment

For Category A projects, ESIA

TORs is required, and scoping

and consultation are conducted for

the preparation of the TORs for the

EA report.

Under Indonesian System, the scope of EA

consists of: (1) project announcement to the

public and inputs received; (2) preparation of

TOR; (3) EA studies; (4) EA review by EA

committee, (5) environmental permit or rejection

of EA (no permit).

Under the GoI regulation, the

AMDAL, UKL-UPL and/or

SPPL is not required or limited

to assessing associated

facilities, ancillary facilities,

induced impacts and site

selection analysis.

Consultations are required only

for the Terms of Reference and

AMDAL panel.

The SESA process will serve as

a plaform for broader public

consultations and engagement

on environmental and social

aspects of the ERP.

Public

Consultation


Assessment

- During EA process, the Borrower

consults project affected groups

and local NGOs about the

project‟s environmental aspects

and takes their views into

account.

- For Category A projects, the

Borrower consults these groups

at least twice: (a) shortly after

environmental screening and

before the TORs for the EA are

finalized; and (b) once a draft EA

report is prepared. In addition, the

Borrower consults with such

groups throughout project

Under Indonesian regulation (Law No. 32/2009

on Protection and Management of the

Environment and Ministry of Environment

Regulation No. 17/2012 on Community

Involvement in ES and Environmental Permit

Process, at least there are three levels of public

involvement and consultation processes: (1)

announcement of proposed project/activity in the

media or other means before ToR is prepared;

(2) consultation process where the responsible

agencies receive inputs from public through one

or two ways communication (meeting, interview,

etc); and (3) public involvement in the EA

committee to assess and approve the results of

EA studies, usually represented by independent

experts from university and representatives of

environmental NGO and/or community figures.

No gap. However, the quality of

public consultations vary and at

times will need to be improved

to enhance their accessibility

and inclusiveness.

ESMF will strengthen public

consultations especially through

the FPIC process. Project

activities expected to be

implemented during the pre-

investment grant, and hence

there will be resources for such

consultations. RBP will not

involved activities under

category A of the bank policy on

EA or that require full EA under

Indonesian Law.



implementation as necessary to

address EA-related issues that

affect them. For Category B

project at least one public

consultation needs to be

conducted.

- For meaningful consultations, the

Borrower provides relevant

project documents in a timely

manner prior to consultation in a

form and language that are

understandable and accessible to

the group being consulted.

- Minutes of the public meetings

are included in the reports.

Grievance

mechanism


Assessment

OP 4.10 Indigenous Peoples

Ministry of Environment and Forestry No. P.83

Year 2018 regarding Guidelines on Working

Arrangements for Law Enforcement on

Environment and Forestry Aspects at Regional

Level.

Ministry of Environment and Forestry No. P.22

Year 2017 regarding Management of Grievances

related to Indications of Pollution and/or

Environmental Damage and/or Harm to Forests.

There is no specific mechanism

for managing and resolving

grievances related to ER

activities.

The ESMF provides a

Feedback and Redress

Grievance Mechanism (FGRM)

for managing and resolving

grievances related to

implementation of ER activities

(Annex 7).

OP 4.09 Pest Management and OP 4.36 Forest

Possible

contamination

to soil and

water as

result of pest

management

practices

OP 4.09 avoidance of using

harmful pesticides. A preferred

solution is to use Integrated Pest

Management (IPM) techniques

OP 4.36 aims to reduce

deforestation, enhance the

environmental contribution of

forested areas, promote

Laws and regulation are in place on regulating

harmful pesticides and their usage.

Formulation and

implementation of pest

management plans are not

specifically required by the law.

Additionally, contamination to

soil and water is also relevant

with artisanal / illegal mining

activities.

The ESMF provides guideline

on establishing an integrated

pest management plan for the

ER activity base on best

international practices (Annex

4).



afforestation, reduce poverty, and

encourage economic

development

OP 4.04 Natural Habitats

Possible loss

of natural

habitats and

biodiversity

OP 4.04 promotes and supports

natural habitat conservation and

improved land use by

conservation of natural habitats

and the maintenance of ecological

functions.

Laws and regulations are in place on protection

of forests, threatened and endangered species at

the national and provincial levels.

There is no specific regulation

on assessing natural habitats

and key biodiversity areas.

High conservation values have

been identified for non-forest

designated lands.

There is no effective strategy to

halt massive encroachment

into the national park.

The ESMF provides guideline

for the development of a

management framework for

biodiversity through HCV

studies developed by FSC

(Annex 5) to identify and

manage natural habitats and

key biodiversity areas.

OP 4.10 Indigenous Peoples and Adat Land

Potential

impacts on

Indigenous

Peoples

The policy on indigenous peoples

underscores the requirement to

identify indigenous peoples,

consult with them, ensure that

they participate in, and benefit

from Bank-funded projects in a

culturally appropriate way – and,

that adverse impacts on them are

avoided, or where not feasible,

minimized or mitigated

Masyarakat Hukum Adat is recognized by the

constitution (article 18)

Adat land rights stipulated in Forestry Law No.

41/1999 and Ministry of Home Affairs No.

54/2014.

Jambi Government has issued a Provincial

Regulation on the Guidelines for the Recognition

of Masyarakat Hukum Adat in Jambi (Provincial

Regulation No. 1/2015)

The analysis provided in the

SESA document identified

overlapping areas between

Adat land and forest and

plantation concessions (Palm

Oil), which suggests potential

risks (e.g., tenurial conflicts and

access restrictions following

improved forest management).

The realization of Hutan Adat

rights is not a clear-cut

process. Before the MoEF can

transfer Hutan Adat rights to

communities, Masyarakat

Hukum Adat need to be

recognized by their regional

governments, either at the level

of district or province.

J-SLMP supports tenure

recognition for Adat

communities. The ESMF

consists of an IPPF to guide

engagement and management

of risks and impacts on

Indigenous Peoples (Annex 8).



OP 4.11 Physical Cultural Resources

Impacts on

physical

cultural

resources

OP 4.11 Physical Cultural

Resources. Identify and mitigate

potential impact towards physical

cultural resources for each sub-

project.

Law No. 11/2010 on Cultural Heritage states that

cultural heritage needs to be preserved and

protected. These sites are recognized by the

government through issuance of a decree.

The law is in accordance with

OP 4.11, however cultural sites

that have not been recognized

by the government, but have

cultural values need to be

preserved by the ERP (e.g.,

Megalithic artifact in Kerinci

and Geopark in Merangin).

Before the MoEF can transfer

Hutan Adat rights to

communities, Masyarakat

Hukum Adat need to be

recognized by their regional

governments, either at the level

of district or province

The ESMF provides a

framework for preserving and

reporting unexpected discovery

of physical cultural resources

(Annex 10)

OP 4.12 Involuntary Resettlement and Access Restriction

Involuntary

resettlement

and/or access

restrictions

Involuntary Resettlement is

triggered in situations involving

involuntary taking of land and

involuntary restrictions of access

to legally designated parks and

protected areas. The policy aims

to avoid involuntary resettlement

to the extent feasible, or to

minimize and mitigate its adverse

social and economic impacts.

The GoI‟s framework for handling tenure

settlements in Forest Areas (PPTKH) is set out in

the Presidential Regulation No. 88/2017. Several

measures to address forest occupation and/or

encroachments are informed by the functions of

the forest estates concerned (i.e. conservation,

protection and production).

Under the Agrarian Reform Program, the GoI is

committed to protecting the rights of the poor,

including informal occupants within the forest

estates (Kawasan Hutan).

Social forestry is considered as

the GoI‟s Process Framework

to provide forest dependent

communities access to land

and natural resources for

livelihoods. However, there is

lack of clearly and formally

recognized rights to customary

forest areas resulting in the

overlap of commercial land use

licenses with customary lands,

often resulting in conflicts or

dispossession, or both.

The ESMF contains an RPF

and PF to clearly define the

requirements, approach and

guideline for addressing

potential access restrictions and

involuntary resettlement in

conjuction with OP 4.12 (Annex

9).


3.5 OTHER PROJECTS AND PROGRAM SAFEGUARDS

There are three World Bank financed projects currently being implemented in Indonesia. These

include:

Forest Investment Project (FIP) 2: Promoting Sustainable Community Based Natural

Resource Management and Institutional Development. The project is currently being

implemented in KPH Kendilo. The project is designed to support and strengthen the national

effort to achieve REDD+ objectives by decentralizing forest management through the

operationalization of Forest Management Units (or KPH) to manage forest areas. The Project

aims to create the enabling conditions and capacity for management practices that are

aligned to local conditions and effectively reverses the trend of deforestation and forest

degradation. The Project has been classified as Category B1 by the WB, with seven WB

safeguards policies triggered: OP 4.01 on Environmental Assessment, OP 4.04 on Natural

Habitats, OP 4.36 on Forests, OP 4.11 on Physical Cultural Resources, OP 4.10 on

Indigenous Peoples, OP 4.12 on Involuntary Resettlement, and OP 4.09 on Integrated Pest.

An ESMF was developed and approved by the World Bank during project preparation and is

currently under implementation.

Dedicated Grant Mechanism Indonesia (DGM). The project aims to improve participation of

indigenous people and local community (IPLCs) capacity to engage in tenure security

processes and livelihood opportunities from sustainable management of forest and land.

DGMI provides small grants to CBOs/CSOs to build the capacity of participating IPLCs to

pursue: (i) clarity and security over their rights to land (including forest land) in rural areas,

and (ii) improved livelihoods. The project is a Category B under the World Bank OP 4.01 and

is not anticipated to create adverse E&S impacts. The project triggered six World Bank

safeguards policies including OP 4:01 Environmental assessment, OP 4:04 Natural habitats,

OP 4:36 Forests, OP 4:11 Physical cultural resources, OP 4:10 Indigenous peoples, and OP

4:09 Pest management. Similar to the FIP 2, an ESMF was developed and approved by the

World Bank during project preparation and is currently under implementation.

Program to Accelerate the Agrarian Reform/One Map. The objective of the project would be

to establish clarity on actual land use and land rights at the village level in the target areas

through the accelerated implementation of Agrarian Reform and One Map Policy. This would

enhance sustainable landscape management, land governance, social stability, access to

land for investments, inclusive growth, conflict resolution and environmental protection and

conservation. This would also include positive benefits to climate change adaptation and

mitigation. The project would target programs in the provinces of Sumatra (Riau, Jambi and

South Sumatra) and Kalimantan (East, Central, West and South). The project triggered the

following World Bank Safeguards Policies, including Environmental Assessment (OP/BP

4.01), Forests (OP/BP 4.36), Pest Management (OP/BP 4.09) and Indigenous Peoples

(OP/BP 4.10).

Since the ESMFs for the projects above have been approved by the World Bank and aligned with the

required E&S measures under the ESMF for the J-SLMP and future ERP in Jambi, safeguards

compliance for the other World Bank‟s projects in Indonesiai will therefore remain under the purview

of respective project implementing agencies. The World Bank, as financier and/or administrator of

these activities, will be responsible for reviewing and clearing the safeguard instruments under each


of the above operations, for ensuring that those instruments are consistent with the ESMF for the ER

Program, and for ensuring the compliance of the respective activities with the project safeguard

instruments through periodic supervision. Necessary coordination and collaboration will be made with

relevant implementing agencies under leadership and coordination from the DGCC and Jambi

Development Planning Bureau (BAPPEDA) during the project implementation.


4.0 ASSESSMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND MITIGATION MEASURES

A list of sub-components and activities with potential environmental and social risks that are expected

to be implemented within J-SLMP is provided in Annex 12. These areas are responsive to the priority

areas of support identified during several public consultation sessions with indigenous peoples, local

communities and other relevant stakeholders undertaken during the SESA process. The preliminary

assessment matrix in Annex 12 also provides the proposed mitigation measures for the identified risks

and proposed responsible agencies.

4.1 SUMMARY OF ENVIRONMENTAL AND SOCIAL RISKS

Environmental Safeguards: J-SLMP is expected to generate overall positive environmental impacts

at global, national, and local levels. This will be achieved through a reduction of land-based carbon

emissions, increased carbon storage, reduced land degradation, and protection of globally threatened

ecosystems and endemic biodiversity. Small-scale negative impacts may result from the support for

sustainable production activities under this Project that provides the grant financing for pre-investment

activities (upfront grant) prior to the planned ER Program.

The Project triggers Natural Habitat (OP 4.04) with more positive than potential negative impacts

expected on natural habitat. The overall Project aims to maintain and restore natural habitat since

degradation and deforestation in HCV areas are major contributors to emissions. These measures will

facilitate positive impacts that include, among others: restored and better maintained biodiversity,

environmental services and ecosystems; reduced deforestation and increased carbon uptake;

reduced degraded land; better protected forest areas and wildlife habitats; decreased fire hotspots;

enhanced ecosystems; reduced GHG emissions; reduced possible risks of changes in physical and

chemical properties of the soil; more appropriate measures for post-mining reclamation and

revegetation; better assurance for well qualified reclamation; and enhanced ecosystem sustainability.

These are in line with the current government regulatory frameworks on biodiversity, such as Law No

11/2013 on the ratification of the Nagoya Protocol of the Convention on Biological Diversity. Spatial

analysis shows that the proposed Project area (including forest and palm oil concessions) overlaps

with key biodiversity areas, and habitat of the endangered Sumatran Tiger (Panthera tigris sumatrae),

elephants and some migratory birds at Berbak National Park. There is also potential negative impact

from the incidental loss of HCV forests due to lack of oversight, control and monitoring of it in the

production forests or APL. In order to reduce the risk to biodiversity and potential wildlife habitat,

Biodiversity Management Framework and General Guideline for High Conservation Value

Assessments has been prepared as can be be found in ANNEX 5.

Other potential environmental risks include contamination of soil and water and health risks

associated with the use of pesticides and as result of poor waste management practices as a result of

agroforestry and agricultural activities.

In compliance with OP 4.01 on the environmental assessment, an initial identification of potential

risks, impacts, and proposed mitigation measures will be conducted. A SESA is being undertaken and

considers key risks and impacts and strategic options for management in this ESMF. These

safeguards processes will be the result of a long process of consultations and analyses during the

country‟s and provincial REDD+ Readiness process. Relevant risks and impacts along with their

mitigation measures have been assessed as part of the ESMF preparation under J-SLMP. The use of


the country safeguards instruments such as Environmental Impact Assessment (AMDAL) or UKL-UPL

will also be applicable per GOI‟s regulations on environmental management. Some preliminary

assessments as part of SESA and ESMF processes have been conducted and will be refined further

prior to the ERPA appraisal.

During J-SLMP implementation, sub-projects will be screened for environmental risks and impacts

including potential for increased pesticide use from agricultural intensification, pollution from

ecotourism or small-scale NTFP processing or cottage industries, unsustainable use of natural

resources from extractive projects, invasive species from productive and plantation activities, among

other impacts that will be considered in the ESMP to be prepared for the Project (OHS for small scale

infrastructure development has been included under ECOP, see ANNEX 3). The ESMP will include

measures and ECOP applied effectively in other projects in the country and region supported by the

Bank. Land tenure strengthening may lead to more intensive use or conversion of forest and natural

resources, however one of the Project‟s key objectives will be supporting villages, agriculture and

private sector through technical assistance to plan and sustainably manage their resources while

conserving critical habitat such as HCV forests within their lands.

Social Safeguards: potential social risks include risks associated with activities conducted in areas

under existing and potential conflicts and/or disputes or areas with overlapping boundaries and/or

claims, between customary and common/formal laws and processes and in areas with competing

claims especially with concessions, livelihoods impacts including displacement due to bans on oil

palm plantation and artisanal mining activities, impacts to indigenous peoples, loss and/or damage to

physical cultural resource, community and health safety risks for fire prevention and suppression

activities, lack of awareness, management capacity and participation of community in managing social

forestry, institutional capacity constraints to manage potential environmental and social risks at field

level, as well as gender inequalities and social exclusion.

Acknowledging that potential activities under J-SLMP will involve multiple stakeholders across

important sectors in land and natural resource management, institutional risks associated with

fragmented coordination and weak capacities to address potential social risks (i.e., managing

conflicts/disputes, lack of community participation, lack of access and inclusion of vulnerable groups

to benefit from the Project, etc.) have been envisaged. Thus, significant efforts and financing under

the J-SLMP will support institutional strengthening and multi-stakeholder coordination (Component 1).

Particular attention needs to be given to the social risks associated with improving land governance

conducted in areas under existing and potential conflicts and/or disputes or areas with overlapping

boundaries and/or claims, between customary and common/formal laws and processes, and in areas

with competing claims especially with concession areas. The baseline of Jambi shows that there are

overlaps between palm oil concessions and HTI areas, and between HTI and mining areas. Potential

disputes with the government will stem from private companies operating the concession areas, from

the local communities, and most importantly from indigenous peoples who own rights over adat land.

The issue is aggravated by the lack of dedicated grievance mechanism accessible by stakeholders to

submit complaints. With consideration of the existing grievance mechanisms at the regional and

national levels, and recognition of Customary Forests by local and national legislations, the ESMF

aims to complement the existing systems by providing a framework for managing grievances related

to competing claims and tenurial conflicts (refer Annex 7), and a framework for engaging and

consulting the affected indigenous peoples (refer Annex 8).


Resettlement risks are considered very remote as the GOI commits to ensuring amicable conflict

resolution and at the same time, seeks to facilitate social forestry schemes to enable forest dependent

peoples to obtain tenure security. However, there could be residual risks associated with restrictions

to land use following improvements in land governance, which may entail determination of forest

utilization blocks and forest tenure regularization. This may impact livelihoods patterns of forest

dependent communities, including Indigenous Peoples residing or utilizing areas in WPK. An RPF,

which includes a PF has been prepared to address such risks.

In the contexts of land tenure recognition, some communities may not fulfil the GOI‟s framework on

Masyarakat Hukum Adat or lack of clearly codified rights and hence may not be fully eligible to social

forestry and land tenure schemes, including Hutan Adat rights (C.1). These may have implications on

community expectations and the Project‟s ability to address disputes and conflicts. In addition, sub-

national capacities to undertake such recognition processes in a transparent and participatory manner

remains to be further assessed.

Various nature of tenurial and natural resource conflicts in Jambi requires different interventions and

efforts to address. Conflict typologies in Jambi Province can be generally categorized as follows: a)

overlapping land claims and encroachments in forest areas especially in the upstream (conservation)

zone, b) conflict with palm oil and industrial timber plantations due to overlapping land claims and

perceptions of inequitable benefit sharing in the middle (production) zone and c) a combination of

inter-communal conflicts and conflict with concession companies, mostly palm oil in the east

(distribution) zone. Such conflicts typically involve concession holders, FMUs, national park

managers, local communities including Adat communities as well as in-migrants from other regions

and a combination of these stakeholders. Tenurial conflicts in palm oil concessions are typically

complex and difficult to solve and sometimes involve violence. Such due to multiple interests and

stakeholders involved, often embroiled in local politics, length of such conflicts where they are allowed

to fester, institutional silos and capacities to address such conflicts.

Other relevant aspects that have also been considered under the risk assessment also include:

gender inequality in land use rights and access to natural resources which may prevent women from

fully accessing and participating in the Project, lack of participation amongst vulnerable groups,

including women and youth due to limited understanding, information or incentives to participate in

planning and decision-making processes; lack of access to agricultural technology, sustainable

markets and post harvesting technology for forest commodities; and potential lack of trust for forest

partnerships particularly in areas with history of conflicts.

The project focuses much on land and forest management, particularly peatland, forest fire

management and protection of remaining forest cover. Large portion of the funds will go to capacity

building and system strengthening activities (Component 1) and NRM pilot activities in select locations

(Component 2). The following Table 3 provides a breakdown of the project activities organized by

typologies.


Table 3 J-SLMP Project Typology and Mitigation Measures

Sub-component Activity Typology Relevant

OPs

Boundaries/

Targets

E&S aspects Mitigation Measures

Component 1. Strengthening Policy and Institutions (US$4 million)

Sub-component 1.1

Institutional

Strengthening

Cross-sectoral coordination

and decision making for

peatland, forest and fire

prevention management;

Operationalization of the joint

secretary;

Low carbon development

support for Jambi‟s Green

Growth Plan

Technical Assistance (TA)

for coordination and

planning

OP 4.01 on

EA

regarding

Public

consultation

Whole

province

Downstream

impacts (analysis

will be subject to

further policy

details during

implementation)

To be assessed as part of the

on-going SESA process as per

the World Bank‟s interim

guideline for TA

FGRM

Local capacity and social

inclusion for improved land

management:

FMU capacity improvement;

Establishment of social

forestry licenses,

Support to Adat recognition

Support to smallholder

replanting via improved

access to the Oil Palm

Plantation Fund

TA for capacity building

and conflict resolution,

good agricultural practices

OP 4.10 on

IP regarding

recogniation

of IP

WPK Potential exclusion

of groups without

recognizable rights,

potential conflicts in

areas with

overlapping claims,

potential expansion

of smallholder

plantation and

increased use of

pesticide

ESMF, IPPF, FGRM

Policy related aspects will be

addressed as part of the SESA

process.

Sub-component 1.2

Enabling Environment

for ER Program

GHG Emission Accounting

Monitoring and Reporting of

Land and Forest Resources

Changes

Development of Benefit

Sharing Plan (BSP)

Development of FGRM

Preparation of safeguards

instruments and system

strengthening for ER

Program

TA for capacity building

and multi-sector dialogue

and coordination and

mobilization of experts

OP 4.01 on

EA

regarding

Public

consultation

and GRM

WPK Institutional

capacities to

undertake inclusive

consultations,

potential exclusion

of groups without

recognizable land

rights for the

purpose of BSP

ESMF, RPF&PF, IPPF, FRGM

under the pre-investment grant

to set the building blocks

E&S aspects for the ER design

to be assessed as part of the



guideline for TA

FGRM


Sub-component 1.3

Policy and

Regulations

Support to consolidate and

strengthen policies and

regulations for sustainable land

use including at the national and

provincial levels, including:

Provincial regulation (Perda)

and permanent moratorium

related to peatland

Provincial regulation (Perda)

for fire

Improvement of Land-Based

Licenses and ERCs for

Private Sector Engagement

TA for policy

improvements and

development, stakeholder

coordination and policy

analysis

OP 4.01 on

EA

regarding

Public

consultation

OP 4.10 on

IP

Whole

province

Downstream

impacts (analysis

will be subject to

further policy

details during

implementation)

E&S aspects for the ER design

to be assessed as part of the



guideline for TA

FGRM

Component 2. Implementing Sustainable Land Management (US$8.15 million)

Sub-component

2.1: Integrated

Forest and Land

Management

Activities under sustainable forest

management include:

Fire management: hotspot

control, fire suppression,

emergency response,

rewetting

Natural resource monitoring

and conflict resolution:

stakeholder engagement,

development of forest

monitoring system, capacity

building for non-litigation

conflict resolution

Conservation and

restoration: peatland

restoration

Development of incentives

systems to prevent

encroachment

TA activities for capacity

building for fire brigades

and communities, conflict

resolution, forest

monitoring system

strengthening, law

enforcement

Physical activities:

Small-scale

infrastructure i.e.

peatland rewetting

(canal blocking);

Revegetation and

establishment of

community nurseries

OP 4.01 on

EA

regarding

EA

OP 4.04

and OP

4.36

OP 4.11

OP

WPK Occupational,

Health and Safety

(OHS) risks

particularly for fire

prevention and

suppression,

escalation and/or

exacerbation of

existing conflicts,

restrictions of land

use, lack of

community

participation/buy-in,

introduction of

invasive species

and increased use

of pesticide


Sub-component 2.2

Private Sector

Partnerships for

Activities under private sector

engagement include:

Sustainable agroforestry and

TA activities for capacity

building on good

agricultural practices and

OP 4.01 on

EA

regarding

WPK Lack of community

participation,

increased use of



Improved Forest

and Land

Management

intercropping for

intensification and

diversification

TA for technology transfer for

smallholder tree crop

productivity enhancement

Value chain sustainability

Promotion of alternative

crops and livelihoods in

degraded areas

Technical innovation to

support traceability and

sustainable sourcing

Support coordination of

stakeholders in value chains

technology transfer for

small holder farmers,

private sector engagement

and coordination and

innovation

Physical activities:

Establishment of

nurseries

Demonstration plots

Replanting and

revegetation

Agroforestry and

intercropping in

degraded areas

Purchase of

equipment, inputs

(seeds, seedlings)

EA

OP 4.04

OP 4.36

OP 4.09

pesticide,

introduction of

invasive species

Component 3. Project Management, Monitoring and Evaluation, and Reporting (US$1.35 million)

This component will finance

activities related to national and

provincial‐level Project

coordination and management,

particularly to achieve the

Project‟s objectives, including

AWPB; fiduciary aspects (FM and

procurement); human resource

management; safeguards

compliance monitoring; M&E;

knowledge management and

sharing; and implementation of

strategies for communication and

stakeholder engagement.

TA for the overall project

management

n/a n/a n/a n/a


5.0 ESMF IMPLEMENTATION

This section describes how the Environmental and Social screening and safeguards plans/documents

are conducted in accordance with the ESMF that also incorporates the Government of Indonesia

requirements. The screening and safeguards documents will be prepared by the implementing

agencies at the national, provincial and district levels. The implementing agencies may be assisted by

third party consultants for the preparation of the safeguards plan and provide capacity building. The

annexes of the ESMF provides frameworks on how those plans/documents are to be prepared and

implemented, in accordance with the ESMF.

5.1 ENVIRONMENTAL AND SOCIAL PROCEDURE

Environmental and social risks are expected to be minimized by strengthening safeguards supervision

and technical support for the project. An overview of the proposed measures under the ESMF to

address direct risks and impacts associated with the J-SLMP include:

a. Prior to the implementation of J-SLMP, relevant E&S capacity building and ESMF training will

be delivered to implementing agencies (OPDs) and development partners. On-going coaching

and monitoring will be provided by provincial E&S specialists supported by the safeguards

committees at the provincial and district levels.

b. An early screening of potential E&S red-flags, including checking against the negative list

(Annex 1) will be conducted by each implementing district under supervision of district

safeguard committees and will be technically supported by the provincial E&S specialists. In

the event that E&S risks are identified, and/or J-SLMP implementation is deemed to

potentially escalate existing risks (e.g. conflicts and/or disputes), necessary measures must

be in place before the activities in question start and/or continue. Such measures may range

from strengthening community engagement, putting in place E&S remediation measures,

mediation, technical support for the implementation of the ESMF to putting specific activities

on hold until E&S risks have been contained and/or addressed;

c. Implementation of an early E&S warning system through emissions reduction and protection

of natural habitats that the FGRM developed under the J-SLMP and future ERP. The FGRM

defines steps and procedures for risk reporting and grievances to respective safeguard

committees at the district and provincial level and finally to DGCC;

d. Building on the FGRM, J-SLMP during implementation seeks to introduce mechanisms for

strengthening processes to receive and respond to citizen feedback and ensure timely

responses. J-SLMP will put in place a strategy to ensure that the FGRM is widely

communicated, accessible and affordable. Furthermore, under J-SLMP, proportionate

resources and efforts will be invested in community dispute mediation processes, in a

culturally and socially acceptable manner. Such resource allocation will be revisited prior to

ERPA appraisal;

e. Stakeholder consultation and FPIC implementation from the preparation phase will be

continued at J-SLMP phase (pre-investment phase)

f. Strengthening J-SLMP communication and outreach strategy to enable broad traction across

stakeholder groups; and


g. On-going E&S monitoring, by capitalizing on the existing SIS REDD+ will be enhanced. SIS-

REDD+ requires REDD+ implementers to independently assess and report on safeguards

implementation. The system is intended to promote transparency and accountability from the

site level. For this purpose, the MoEF has formulated APPS (Alat Penilai Pelaksanaan

Safeguards or Safeguards Implementation Appraisal Tool). The tool was developed based on

the principles of simplicity, transparency, accountability, completeness, and comparability.

APPS provides a checklist of supporting documents required as evidence of REDD+

safeguards implementation as guided by ESMF and its annexes. It is provided along with the

complete PCI under SIS-REDD+ in the Annex and can be downloaded on the SIS-REDD+

website (http://ditjenppi.menlhk.go.id/sisredd/).

By ensuring that the above processes at the Program level are in place and adequately resourced,

E&S risks and subsequent impacts resulting from J-SLMP individual activities are expected to be

minimized and contained to a lower risk level over the life of the project. A critical objective of the

Program, as strengthened in the measures set out in this ESMF, is to prevent and reduce existing

conflicts and disputes. To do so, the ESMF has been strengthened with:

a. A FGRM for J-SLMP implementation, which is presented as a separate annex to the ESMF

(Annex 8). The FGRM proposed under the program seeks to set out relevant measures to

address grievances and emerging disputes and incorporate additional steps to strengthen

the existing Grievance Redress Mechanisms across project and sub-project levels. The

FGRM will be tested during the initial years of J-SLMP implementation and evaluated to

assess its effectiveness prior to ERPA appraisal. FGRM strengthening measures may be

introduced under the ERP operation.

b. Addressing risks and impacts on Indigenous Peoples, and customary communities through

an IPPF which form part of this ESMF. The IPPF is provided as Annex 9;

c. In addressing potential access restrictions and livelihoods displacement, an RPF which

includes a Process Framework (PF), has been developed as part of this ESMF as a

precautionary measure. These frameworks establish screening processes to identify and

respond to such risks, define roles and responsibilities, establish risk avoidance and if not

feasible, set out mitigation measures associated with access restrictions and livelihoods

displacement in accordance with OP 4.12.

The environmental and social management procedure for the J-SLMP key activities is illustrated in the

following flowchart (Figure 4). The preliminary overview of the institutional chart outlining the

institutions in charge and their responsibilities in implementing the safeguards tools of the ESMF is

also provided in Figure 5. The institutional chart will be further refined following formal assignment of

project personnel through the Jambi Governor‟s Decree.



Figure 4 ESMF Implementation Flowchart.


Figure 5 Institutional Chart for Implementing the Safeguards Tools of the ESMF.

5.1.1 Negative List Screening

J-SLMP sub-project activities will be screened against a negative list (see Annex 1) by the

implementing agencies (Organisasi Perangkat Daerah or OPDs) at the national and provincial levels.

Key activities that trigger one or more of the negative lists will not be financed under the project.

5.1.2 Screening of Environmental and Social Risks

J-SLMP activities that pass the negative list screening will then be further screened for potential

environmental and social risks by the implementing agency (OPDs, KPH and TN) at the national and

provincial levels with technical support and oversight from the provincial E&S specialists. Activities will

be screened and assessed on the basis of their potential risks and impacts (refer Table 4). Such

screening will preliminary define the required safeguards management and recommendations to


address the identified risks and impacts (preventive measures, capacity building, technical assistance

and oversight to strengthen risk management).

Table 4 E&S Risk Classification

Risk

Classification

Description Instrument(s)

High* Wide range of significant adverse risks and impacts on human

populations or the environment including i) long term, permanent and/or

irreversible and impossible to avoid entirely due to the nature of the

project; ii) high in magnitude and/or in spatial extent; iii) significant

adverse cumulative impacts or transboundary impacts; and iv) a high

probability of serious adverse effects to human health and/or the

environment (e.g., due to accidents, toxic waste disposal, etc.)

Some of the significant adverse ES risk and impacts of the Project

cannot be mitigated or specific mitigation measures require complex

and/or unproven mitigation, compensatory measures or technology, or

sophisticated social analysis and implementation.

Not applicable

Note: High risk sub-

projects will not be

permitted under J-

SLMP (refer

Negative List).

Substantial The Project may not be as complex as High-Risk Projects, its E&S scale

and impact may be smaller (large to medium) and the location may not

be in such a highly sensitive area, and some risks and impacts may be

significant. This would take into account whether the potential risks and

impacts have the majority or all of the following characteristics: i) mostly

temporary, predictable and/or reversible and the nature of the project

does not preclude the possibility of avoiding or reversing them; ii)

adverse social impacts may give rise to a limited degree of social

conflict, harm or risk to human security; iii) medium in magnitude and/or

spatial extent; iv) there is medium to low probability of serious adverse

effects to human health and/or the environment (e.g., due to accidents,

toxic waste disposal, etc.), and there are known and reliable

mechanisms available to prevent or minimize such incidents.

Mitigatory and/or compensatory measures may be designed more

readily and be more reliable than those of High-Risk Projects.

Environmental and

Social Assessment

(ESA) and

Environmental and

Social Management

Plan (ESMP)

Equal to AMDAL

and UKL-UPL in

Indonesia regulation

system (Minister of

Environment

Regulation No

5/2012)

Moderate Potential adverse risks and impacts on human populations and/or the

environment are not likely to be significant. This is because the Project

is not complex and/or large, does not involve activities that have a high

potential for harming people or the environment, and is located away

from environmentally or socially sensitive areas. As such, the potential

risks and impacts and issues are likely to have the following

characteristics: i) predictable and expected to be temporary and/or

reversible; ii) low in magnitude; iii) site-specific, without likelihood of

impacts beyond the actual footprint of the Project; and iv) low probability

of serious adverse effects to human health and/or the environment (e.g.,

do not involve use or disposal of toxic materials, routine safety

precautions are expected to be sufficient to prevent accidents, etc.).

The Project‟s risks and impacts can be easily mitigated in a predictable

manner.

Environmental and

Social Assessment

(ESA) and

Environmental and

Social Management

Plan (ESMP)

Equal to UKL-UPL

in Indonesia

regulation system

(Minister of

Environment

Regulation No

5/2012)

Low Potential adverse risks to and impacts on human populations and/or the

environment are likely to be minimal or negligible. These Projects, with

few or no adverse risks and impacts and issues, do not require further

ES assessment following the initial screening.

Code of

Environmental and

Social Practice

Equal to SPPL in


Indonesia regulation

system (Minister of

Environment

Regulation No

5/2012)

The following table provides classification of potetial sub-project activities based on their respective

risk levels.

Table 5 Sub-project Risk Classification

Project-Type Category C (SPPL/no

EIA)

Low Risk

Category B (UKL-UPL)

Medium Risk

Category A/B+ (AMDAL)

High Risk

Forest management and

agroforestry measures Sawmilling & timber

processing (<2,000 m3)

Small-scale NTFP

production and

processing (no threshold

defined)

Processing of rattan

(preservation and

heating)

Rice milling

Processing of plantation

crops

Processing and

packaging of crops,

forest products, and

NTFPs

Sawmilling & timber

processing (2,000-

6,000 m3)

Timber utilization

business operation in

community plantation

forests (≤10,000 ha)

Development of

plantation areas on non-

state forest land or state

forest land planned for

forest conversion

(seasonal: <3,000 ha,

perennial: <3,000 ha)

Medium-scale NTFP

production and


defined)

Breeding of natural

plants and/or wildlife in

captivity for trading (any

size)

Sawmilling & timber

processing (>6,000 m3)

Timber utilization


plantation forests

(>5,000 ha)

Timber utilization


natural forests (any size)

Development of

plantation areas on non-

state forest land or state

forest land planned for

forest conversion

(seasonal: >2,000 ha,

perennial: >3,000 ha).

Large-scale NTFP

production and


defined)

Projects involving earth-

moving activities

(>500,000 m³ of earth

moved)

Construction, operation

and maintenance of small-

scale facilities and

buildings (ecotourism,

processing, commercial

and/or administrative)

Construction of

ecotourism facilities

(building size:

<5,000 m²)

Construction of

processing facilities

(building size:<5,000 m²)

Construction of

commercial/administrativ

e buildings (building

size:<5,000 m²)

Construction of


(building size: 5,000–

10,000 m²)

Construction of


(building size: 5,000–

10,000 m²)

Ecotourism in

protection/production

forest (all sizes)

Development of (non-

theme) recreational

parks (<100 ha)

Tourist/visitor

Construction of


(building size:

>10,000 m² or land area:

>5 ha)

Construction of


(building size:

>10,000 m² or land area:

>5 ha) and

Development of (non-

theme) recreational

parks (>100 ha).


accommodation (all

sizes)

Other Furniture production

Small handicraft

production

Water bottling (any size)

Water consumption (e.g.

for bottling) in

production/protection

forest (<30% of water

discharge)

Water

consumption/drinking

water (50-250 l/sec from

river/lake 2.5-250 l/sec

from water spring

150 l/sec from

groundwater)

Water processing

installation (50-

100 l/sec)

Fish ponds with (semi)

advanced technology

(<50 ha)

Handicraft industry

(>30 employees)

Water bottling

(freshwater extraction

rate: >250 l/sec,

groundwater extraction

rate: >50 l/sec in area <

10 ha).

Fish ponds with (semi)

advanced technology

(>50 ha)

Technical thresholds:

AMDAL: Based on Minister of Environment Regulation No. 5/2012

UKL-UPL: Based on Circular Letter B-5362/Dep I-1//LH/07/2010 from the Ministry of Environment to all

Governors, Bupati‟s, and Heads of Environmental Agencies in Provinces and Districts (based on

Minister of Environment Regulation No.13/2010 on UKL UPL SPPL) and Ministry of Public Works

Regulation No. 10/PRT/M/2008

On the basis of the initial screening and further environmental and social assessments (i.e. on the

ground verification and consultations), risk classifications will be made and risk mitigation measures

will be mobilized. An example of a guideline of risk classifications is provided in Table 4 and Table 5.

Specifically, the screening will identify the safeguards instruments that are required to be applied for

the activity, as follows:

the relevant environmental codes of practices to be applied for the activity (refer Annex 3);

requirement for integrated pest management (refer Annex 4);

requirement for conducting HCV to preliminary identify potential impacts to indigenous

peoples and physical cultural resources (refer Annex 5);

requirement for developing environmental and social management plans (i.e. UKL-UPL or

SPPL as relevant (Annex 6).

FGRM (refer Annex 7)

IPPF to address risks and impacts on Indigenous Peoples (Annex 8);

RPF, covering a PF to address resettlement risks and access restrictions (Annex 9);

Chance Finds Procedures (Annex 10); and


Stakeholder consultations and community engagement will precede any activities under J-SLMP. If

the project will be implemented in areas where there is presence of Adat communities and/or other

community groups who meet the criteria of OP 4.10, Free, Prior and Informed Consent (FPIC) will

need to be obtained prior to any activity with potential impacts. These consultations and engagement

will be carried over during J-SLMP and future ERP implementation.

5.1.3 Preparation of Environmental and Social Management Plans

Following the screening and identification of required safeguard tools, the implementing agencies

(OPDs, KPH and TN) at the provincial and/or district levels will prepare the specific environmental and

social plan (ESMP), including environmental permits as relevant. Low risk sub-project activities may

adopt ECOPs. The implementing agency may obtain assistance from third party consultants in

preparing the required plans and/or permits to meet the safeguard requirements (refer Table 12).

5.1.4 Review and Approval

The safeguard committee at the district level will review the preparation of safeguards instruments as

proposed by field level project implementor (OPDs, FMUs, National Park Authority). Verification on

the quality of the environmental and social plans and permits will be made by the appointed E&S

specialists at the provincial level. J-SLMP will not entertaint project with high risk (see Table 4). For

substantial risk sub-projects as elaborated in Table 4 will need to be approved by the Provincial

Environmental Service/Provincial Safeguards Committe and, if needed DGCC. Whereas for moderate

risk sub-projects, approval will be obtained from respective District Environmental Services. ECOPs

will be adopted for low risk sub-projects and hence no separate ESMPs required. Instruments which

have been approved by these responsible agencies will be provided to the World Bank for review and

no objection.

5.1.5 Implementation of Safeguards and Verification

The safeguards will be implemented for the J-SLMP activities by the implementing agencies (OPDs)

following the endorsement of the environmental and social plans and permits. High-risk activities

which involve major physical construction or construction in environmentally sensitive areas will only

be commenced once relevant environmental permits and the environmental and social plan (ESMP)

have been completed and endorsed by the Executing Agency (DGCC and/or Provincial

SEKDA/BAPPEDA). Low risk activities must follow relevant ECOPs with technical support and

supervision from the Provincial E&S specialists.

5.1.6 Monitoring and Reporting

The DGCC, Provincial Sekda, and Provincial Taskforce and especially Provincial Safeguard

Committee will oversee the application of the ESMF (safeguards instruments) by the implementing

agencies (OPDs). The implementation reports will be communicated by the DGCC to the Bank (refer

section 4.8).

5.2 MANAGEMENT OF INDIRECT RISKS AND IMPACTS

Direct investments under J-SLMP are relatively small in comparison to the size of WPK. The project

focuses on technical assistance and institutional capacity and policy strengthening and hence are not


expected to result in indirect impacts associated with displacement and reversals. However, such

risks have been considered under the future ERP and will be assessed as part of the SESA process.

In the context of future ERP activities, indirect risks such as displacement/leakages and reversals are

considered in the following ways:

Displacement/leakages may emerge as risks attributed mainly to governance risks (i.e.,

regulatory aspects) that cannot restrict the expansion of timber/palm oil/mining concessions to

compensate for HCV allocation. Conventional practices (rather than sustainable ones) in

expansion areas of forest or palm oil concessions may constitute a risk of leakages; and

Reversals may be produced as the results of governance risks such as lack of regulation

enforcement to ensure sustainable forestry or plantation management, and lack of regulations

on benefit sharing mechanism. Other issues that may constitute reversals are lack of

participation in controlling fire, and tenurial conflicts (e.g., overlapping land use).

Successes in reducing impacts on forests at the jurisdictional level may lead to indirect environmental

and social risks such as leakage and reversals of these impacts to other areas. The indirect risks

around leakage and reversal prevention will be addressed in conjunction with support to community

welfare and livelihoods (including potential benefit sharing mechanism), access rights to use of land

and natural resources, protection of local wisdom, and gender equality and social inclusion (e.g.

participation of Indigenous Peoples and Customary communities as well as marginalized and

vulnerable groups). Addressing these issues is expected to feed into, and subsequently enhance the

program‟s benefit sharing mechanisms, forest governance, including prevention of leakage and

reversals, transparency and accountability. Interlinkages amongst these initiatives will continue to be

observed in the ERP design processes. Synergy and coordination between national, provincial and

district levels for safeguards management will continue to be defined and strengthened as the ER

Program is being prepared. The ESMF considers tracking and monitoring of key environmental and

social indicators for displacement/leakages and reversals as the ERP is being prepared.

5.3 MANAGEMENT OF RISKS ASSOCIATED WITH POLICY DEVELOPMENT

Policies, laws, regulations and standard operating procedures, which are to be reviewed and the

drafting of which technical assistance may be provided under J-SLMP will be assessed in light of

potential downstream E&S risks, especially land disputes and conflicts. Such processes will be

undertaken as part of the on-going SESA process.

Policy development and technical support under C.1 of J-SLMP seek to improve stakeholder and

community participation in policy and regulatory development through support being provided to

enhance community-level dialogue and consultations. J-SLMP implementation will also undertake

targeted activities to reach out and ensure participation and consultations with Indigenous Peoples,

Adat communities and other vulnerable groups.

E&S specialists attached to Provincial Safeguards Committee will assess the E&S implications of

each policy development and technical assistance activities under the project and will facilitate overall

coordination for the SESA process. If technical assistance and inputs are provided to regulations and

laws, the drafted amendments will be vetted by respective implementing agencies (OPDs), with

coordination from the Provincial Secretary (SEKDA)/BAPPEDA and DGCC, to enable consultative


processes and discussions with relevant stakeholders who may be impacted by such regulatory and

policy changes.

Where policy development and technical assistance are assessed by E&S specialists to potentially

have widespread and adverse E&S implications, the Provincial Safeguards Committee and Provincial

Secretary (SEKDA/BAPPEDA), in consultation with the relevant specialists, will determine if an impact

assessment is necessary or further consultations are required to ensure a broader inclusion of

stakeholders and enable E&S inputs to be mainstreamed in the overall policy development and

technical assistance processes.

When such an assessment (as a supplemental or update to the SESA) is required, it will be carried

out by a qualified independent expert or institution and will include recommendations for measures to

minimize negative E&S impacts, and the findings will be presented to stakeholders through J-SLMP

and ERP communication and consultation platforms. All documents (e.g. terms of references, draft

reports, etc.) will need to be sent to relevant stakeholders in advance of proposed public consultations

in order to allow proper review and meaningful engagement.

In particular, where E&S implications indicate potential for land disputes and/or conflicts, the following

alternative efforts should be considered to be undertaken by the relevant implementing agencies

(OPDs):

Incorporate approach for community engagement and participation for tenure settlements for

both forest and non-forest estates; and

Incorporate specific provisions under the FGRM on how grievances are handled for specific

cases on land disputes/conflict resolution.


6.0 PROJECT INSTITUTIONAL ARRANGEMENTS

The implementation arrangements for the J-SLMP are consistent with regulations on local

governments (i.e. Law No. 23/2014) which distributes functions and authorities on land use

management to national, provincial, and district governments. For the forestry sector, the provincial

government has authority over production and protected forest area utilization; the district government

has authority over management of Forest Parks; and all other forest areas are under the authority of

the central government through MoEF, including the implementation of the forthcoming ER Program

as the “Program Entity”. More specifically, MoEF through the MPI of the DG-CC will be the primary

managing agency in close coordination with other Directorates in DG-CC such as Sectoral and

Regional Resources Mobilization (Dit. M2SR), Sumatera Region Office of Land and Forest Fire and

Climate Change Management (Balai PPI Karhutla), and Green House Gases Inventory (Dit. IGRK).

Given the J-SLMP is taking a comprehensive landscape approach to reducing emissions and

improving livelihoods, the implementation arrangements reflect this through multi-sectoral

arrangements. In addition to DG-CC, the MoA is the main authority in charge for agriculture

development as part of J-SLMP. The Development Planning Ministry (Bappenas) is involved in the

implementation arrangements for the J-SLMP due to its essential role in overseeing the synergy

between these sectors, as well as between different levels of government (District, Province, and

Central).

Table 6 National Agencies Involved in the Implementation of the J-SLMP

National Agency Status Roles

Secretary General of Ministry of

Environment and Forestry

MoEF Representative Submission of ERPD

Chairman of Steering Committee

Signing ERPA

Director General Climate Change

(MoEF)

National Focal Point of

REDD+ and Technical

Advisory

Program Design

Consultation for Methodologies (technical

assistance)

Preparation for agencies for field

implementation

Consultation and Communication with

Facility Management Team

A member of Steering Committee

Management of the National Registry

Development and management of the FREL

Management of the Monitoring,

Measurement, and Reporting (MMR)

system

Finalization and implementation of

safeguards plans

Finalization and implementation of the

FGRM

Technical Assistance

Recommendation for Payment (BSM)

Ministry of Agriculture Program Design

Consultation for Methodologies (technical

assistance)

Preparation for agencies for field

implementation


National Development Planning

Ministry (Bappenas)

Program Design


Ministry of Finance (DG BLU) Financial Authority Oversees the BPDLH (BSM)

Channels funds to the BPDLH and

government agencies (BSM)



At the provincial level, the responsible party for J-SLMP implementation is the Provincial Secretary

(SEKDA)/BAPPEDA acting as the coordinator of PMU, supported by the Provincial Forestry Agency,

Environmental Service (Dinas Lingkungan Hidup). During implementation of the J-SLMP and future

ERP the Sekda/BAPPEDA will be advised by the Joint Secretariat (SEKBER), a multi-stakeholder

forum for the planning and implementation of REDD+.

The Joint Secretariat for Forest Resource Management (SEKBER) in Jambi Province is a key partner

in the implementation of the J-SLMP and future ERP Program. The SEKBER is a multi-stakeholder

organization that has coordinated the planning and implementation of low-emission development

(mainly in forestry/land-use sector) in Jambi Province. It has significant experience (as well as

operational infrastructure) in the management of donor development funding. A list of institutions and

their respective roles are provided in Table 7, while the institutional arrangement is shown in Figure 6.

Table 7 The Sub-National Agencies and Organizations Involved in the Implementation of the Jambi Emission Reduction Program (ERP).

Agency Status Role

Provincial Secretary

(SEKDA)/BAPPEDA (Tbd)

Executing Agency at

Province Level

Responsible for Implementation and

achievement of the J-SLMP and future ERP

Program in the Province

A member of the Steering Committee

Overseeing ESMF and safeguards

application and reporting by implementing

agencies

Joint Secretariat for Forest

Resource Management

(SEKBER)

Advisory Providing advice and inputs to local

government in relation to ER Program

A Member of Steering Committee

Jambi Forestry Agency Implementing Agencies Coordination of FMUs, as well as supporting

the provincial government for institutional

strengthening and capacity building

Jambi Environment Service

(Dinas Lingkungan Hidup),

looking after Povincial

Safeguards Committe

Implementing agency

Coordinatively overseeing

safeguards at the provincial

and district level

Local responsibility for Safeguards and

possibly9 REL and MMR

the J-SLMP and future ERP implementation

As coordinator of safeguards committee at

the provincial level, overseeing ESMF and

safeguards application and reporting by

implementing agencies

Other Provincial

Government Services (OPD)

Implementing Agencies J-SLMP and future ERP implementation

Leading consultation processes within their

respective jurisdictions

Applying ESMF and safeguards instruments

Provincial Planning Board

(BAPPEDA) Jambi Province

Coordinative implementation

at provincial level

Coordinate all activities of OPD in relation to

the J-SLMP and future ERP

Possible future responsibility for REL and

MMR

9 As of now, the negotiation is still taking place to put this office to manage the REL and MMR.


Agency Status Role

Development Partners

(Prov. & Kab/Kota)

Partner Provide supporting funds and technical

advice to SEKBER or District/City

Government

University/NGOs (Prov. &

Kab/Kota)

Partner Provide scientific supports and facilitation to

SEKBER and District/City Government

A Member of the Steering Committee

(observer)

District/City Secretary Executing Agency at

District/City Level and Feld

Site

Responsible for Implementation and

achievement of J-SLMP and ERP in the

District and Field Site

BAPPEDA District/City Coordinative implementation

at district/city level and field

site

Coordinate all activities done by OPD in

relation to J-SLMP and ERP at the

District/City level

Environment Service (DLH) Coordinatively overseeing

safeguards at the district

level

Coordinate Safeguard Committee at the

distrct level in implementing ESMF and

safeguards compliance

OPD District/City Implementing Agencies Implementing J-SLMP and future ERP in the

District/City and Field Site

Applying ESMF and safeguards instruments

Village Government Implementing Agencies –

Field Activities

Implementing J-SLMP and future ERP in the

District/City and Field Site

Figure 6 Institutional Arrangements of ERP at the Provincial Level.

At the district/city level, J-SLMP will be carried out by the District Secreatary Office overseeing project

implementation at the district level. The District Environmental Service (Dinas Lingkungan Hidup) will

be responsible to look after safeguard implementation for field activities. Each respective district/city

government will be responsible for the implementing of the J-SLMP in its region, building mainly on

the role of FMUs and National Park Authorirties to implement the ER program at the filed level.


Detailed institutional arrangements for the ERP at the district/city level can be seen in Figure 7. At the

village level, the village government, including the local community, is responsible for emission

reductions in their village region.

Figure 7 Institutional arrangements of ERP at the District/City Level.

6.1 INSTITUTIONAL ARRANGEMENTS AT THE ACTIVITY LEVEL

Institutional arrangements for ESMF implementation comprise of a three-tier system, i.e. district/city,

provincial, and national levels. The ESMF will be implemented by the various agencies at each of

these levels. The main implementing agencies will be the Program Management Unit (PMU) at the

national level and the Program Implementing Units or Program Implementing Agencies (PIU/PIA)

which will be the provincial taskforce with extension units at the district levels. The key elements and

responsibilities of project implementation, stages and actions pertaining to application of safeguards

framework are outlined in Table 8. The commitment of Bappeda (Development Planning Agency) of

Jambi to incorporate the ERP and allocation of budget in the provincial planning process is a good

example of an institutional arrangement. Additionally, budget for Resettlement Planning Framework

(RPF) and Process Framework (PF) needs to be considered in the overall allocation for Safeguard

implementation. Should either RPF or PF is not required, this budget allocation needs to be revised

through revision of state budget, before October each year. Revisions may include: cut-off from the

total budget, or re-allocation to other safeguard components.

Table 8 Safeguards Framework and Responsible Institutions.

Components Mitigation Plan Responsible Institutions

Strengthening Policy and

Institutions

Alternative economic program to

anticipate loss of livelihoood from

changes in NRM.. This may be

discussed as an output from village

planning / village funding program

(ADD or DD)

Village Development Agency

Provincial Development Planning

Bureau (BAPPEDA) and Provincial

Secretary (SEKDA)

Joint Secretariat (SEKBER)



technical support and facilitation to the

existing development fora (e.g., Forum

OPD, Forum DAS, and Forum KHP) to

improve cross-sectoral coordination

Facilitate multi-stakeholder

consultations to bridge central and

provincial government institutions, as

well as non-government entities

Selection and/or capacity building for

FMU staff for management of

environemntal and social risks

Capacity building on FREL and MRV to

ensure systematic accounting of GHG

emission (evoiding double accounting)

Enforcing the existing FGRM and

establish a project contact person

Proper schedule and programs

(including instructors) for capacity

building for the government and private

sector (ESMF and ESMP)

Collaboration with the law enforcement

agency to address unauthorised /

illageal activities

Development of a Biodiversity

Management Framework for the

Project

Addressing the risk of access

restrictions as a result of protected area

and HCV interventions

Regular monitoring of the Social

Forestry program and benefit sharing

mechanism to avoid further

encroachment and poor

Prepare an Indigenous Peoples Plan

(IPP) based on stakeholder and

community consultations and conduct

training to relevant stakeholders.

Strengthenig FPIC processess.

supporting SEKDA/BAPPEDA

Provincial Forestry Agency for

managing FMU operations

BPSKL, Provincial forestry agency,

Social Forestry Working Group,

Social Agency and other relevant

agencies

Provincial Environmental Agency/

Safeguard Committee, Forestry

Agency

Implementing partners, DKN, and

other partners, including NGOs and

Donor agencies.

Potential involvement of governor‟s

office and/or provincial secretariat as

a hub for FGRM mechanism

Legal Bureau (SEKDA) for

establishment of policies to support

the environemntal and safeguard

mitigation strategies. This includes

consideration of human rights issues

in law enforcement

DG Gakkum to set up rapid

response team (SPORC) in Jambi

Implementing Sustainable

Land Management

FPIC and concensus among

beneficiaries on the benefit sharing

mechanism (for ERP implementation).

This should be based on full

understanding of risks and benefits for

each stakeholder.

Formal agreement with local

communities including roles and

responsibilities for preventing

deforestation and land degradation

Concensus among stakholders on the

maps used for the ERP. Currently SK

863/2014 is used for forestry sector)

Alternative community economic

development program including access

DGCC as the Project Executing

Agency, and Provincial Forestry

Agency as Implementing Agency

Other entities: FOERDIA, SEKBER,

NGOs

Private companies (through CSR

and or other commitments)

District Government (Indigenous

Peoples)

Provincial and district plantation

agencies

Environmental services and/or

Safeguards Committee

FMUs, national park authorities



to finance, market, and technology for

sustainable agriculture and agriculture

intensification

Community training/capacity

development, RSPO and ISPO

Capacity building for FMUs and

relevant government institutions on the

ESMF and good NRM practices

Effective scheduling and planning for

safeguards monitoring and supervision.

Proper identification of credible trainers

and/or training institutions to deliver the

required capacity building sessions.

Social assessments to identify potential

impact on Indigenous Peoples and

other forest dependent communities.

Such assessments will inform the

scope of the IPP.

Livelihood activities under the Social

Forestry Program.

Enchancing benefit sharing mechanism

to esure equitable access and

incentives for sustainable NRM

Introduction of good and smart

agricultural practices (i.e. shifting to

organic fertilizers and pesticides)

Forest fire prevention (early warning

system) that includes participation of

local communities, sub-national

government agencies and the private

sector. This shall include safety training

to prevent hazards in fire prevention

and fire fighting activities

Alternative economic program to

anticipate loss of livelihoood from

changes in NRM practices. This may

be discussed as an output from village

planning / village funding program

(ADD or DD)

Program Management,

Monitoring & Evaluation and

Reporting

Capacity building on FREL and MRV to

ensure systematic accounting of GHG

emission (evoiding double accounting)

Village Development Agency

Provincial Development Planning

Bureau (BAPPEDA) and Provincial

Secretary (SEKDA)

Joint Secretariat (SEKBER)

supporting SEKDA/BAPPEDA

Safeguard Committee

Provincial Forestry Agency for

managing FMU operations

BPSKL, Provincial forestry agency,

Social Forestry Working Group,

Social Agency and other relevant

Monitoring of safeguards

implementation, including FGRM

oversight



agencies

Provincial Environmental Agency,

looking after Safeguards Monitoring

Forestry Agency

Implementing partners, DKN, and

other partners, including NGOs and

Donor agencies.

Potential involvement of governor‟s

office and/or provincial secretariat as

a hub for FGRM mechanism

Legal Bureau (SEKDA) for

establishment of policies to support

the environemntal and safeguard

mitigation strategies. This includes

consideration of human rights issues

in law enforcement

DG Gakkum to set up rapid

response team (SPORC) in Jambi

In order to better manage the safeguards implementation, safeguard committees will be established

at the provincial and district levels. The responsibility of the provincial level safeguard committee

includes:

1. Provide training

2. Monitor the implementation of safeguards policies

3. Project monitoring for compliance safeguards standard

4. Guide the implementation of FGRM and FPIC

5. Follow up and reporting

6. Feed information on SIS-REDD+ to national system (TBD)

In line with above, the responsibilities of the safeguard committees at district level are:

1. Implementing safeguards policies

2. Review project for safeguards application

3. Project monitoring for compliance safeguards standard

4. Guide the implementation of FGRM and FPIC

5. Follow up and reporting

6. Feed information on SIS-REDD+ to provincial system (TBD)

While the safeguards committee at the provincial level (under the coordination of environmental office)

will report to the provincial level implementing agency, in this case Bappeda or Sekretaris Daerah

(Provincial Secretary), the districts safeguard committee under the coordination of district

environmental office will report to Sekretaris Daerah (District Secretary). The provincial and district

safeguard committees will be supported by environmental and social management specialists at the

PMU.

The members of safeguard committee at the provincial and district level will consist of:


1. Provincial Environmental Service (Coordinator)

2. Forestry Service (member, only at provincial level)

3. Plantation Service (member)

4. Bappeda (member)

5. Agriculture Service (member)

6. NGOs (member)

7. University (member)

6.2 CAPACITY BUILDING PLAN AND INDICATIVE FINANCIAL REQUIREMENTS

The J-SLMP recognizes that capacity for implementing safeguard measures required in the ESMF

may greatly vary across project proponents. Acknowledging such constraints, the DGCC together with

the national project and sub-national project management units will be responsible to ensure that

capacity building components are integral to the project design, and gradually build on previous

efforts to leverage understanding and awareness of safeguards amongst key actors. In addition to

Component 2 of the J-SLMP, there are several steps envisioned under the J-SLMP implementation

where safeguard capacity building will be focused, including:

Community Participation Approaches, particularly free, prior informed consent;

Identification of potential environmental and social issues, as well as risk mitigation;

Overview of policy and regulatory frameworks related to J-SLMP and ERP and social and

environmental management in Indonesia, procedures for obtaining environmental permits;

Implementation of safeguard components, in particular Indigenous People‟s Planning

Framework (IPPF), Restriction Planning Framework (RPF), and Process Framework (PF);

and

Design and development of ESMPs, integrating provisions of land and resource

management, pest management, PCRs, community participation, and free, prior and informed

consultations.

Capacity building will also provide implementation support where safeguards and technical specialists

are assigned to assist throughout J-SLMP and ERP implementation.

1. Workshops for the J-SLMP and ERP are aimed to disseminate information and reach out to the

key players at the activity level. The workshops will be divided into two types:

Public Workshops. Public workshops will be organized for a wider audience of stakeholders

consisting of participants from the national and sub-national levels, media, researchers, public

forums, NGOs etc. Basic information about the J-SLMP and ERP, the framework for

environmental and social management as referenced in the ESMF will be part of the

workshop materials.

Thematic Workshops/Trainings. Thematic workshops and trainings will be implemented

based on the need assessment at the project activity level. Thematic workshops for each

component of the J-SLMP and ERP ranges from the sub-national to the village levels.

Example of such theme may be based on potential and/or existing cases at the project activity

level, which may include the approach to the resolution of access restrictions, tenure conflicts,


and how the safeguards tool in the ESMF can be referenced to manage such conflicts.

Thematic workshops will be conducted to ensure that the project implementation will be in

accordance with the ESMF.

The capacity building program for the J-SLMP and ERP including the objectives, indicator of success,

schedule, speaker and targeted audiences are provided in the following tables.


Table 9 Indicative Capacity Building Program Plan for J-SLMP and ERP Safeguards.

No. Training/Capacity Building Program Objective Indicator of Success Program Target Schedule Source/Speaker

1. Basic Training on Environmental and

Social Awareness

The general material will be related to the potential environmental and social risks of the J-SLMP and ERP. The scope of the training covers relevant assessments and development of risk mitigation instruments, including consultations (Annex 12 of the ESMF)

Disseminate information related to the environmental and social risks of the J-SLMP and ERP.

Foster stakeholder buy-in and understanding of the ESMF as a reference for the management of environmental and social aspects of the J-SLMP and ERP.

All stakeholders, specifically the implementing agencies/OPDs understand the basic environmental concepts, existing issues, and applicable regulations.

Program management units at national and sub-national levels, Economy Bureau, Village Development Agency

Implementing agencies (OPDs), FMUs

National Parks

Field facilitators

In the beginning of the program and annual refresher trainings for all ERP stakeholders.

Safeguards specialist at national or sub-national level

2. Technical / Thematic training: Training materials will be specific to the theme at the project activity level, which include the safeguards tools, contained in the ESMF including negative list screening, ECOPS, HCV, IPPF, FGRM, RPF/PF, and also hands on guidelines on how to utilize existing SIS-REDD system for safeguards reporting of the J-SLMP and ERP

Implementing agencies have fuller understanding of the use and implementation of the safeguards tools in the J-SLMP‟s ESMF at the project activity level.

Documented plans on how to implement the safeguard tools at the project activity level.

SIS-REDD+ is updated regularly with credible information

PMU, Economy Bureau, Implementing agencies (OPDs), FMUs, National Parks, Field facilitators

Early stage of the program and every quarterly during ERP implementation.

Safeguards specialist at national or sub-national level

SIS-REDD administrator

3. Public Workshops: Training material will

broadly include basic information on the J-SLMP and ERP components, the benefits and how the ESMF can mitigate the potential environmental and social risks.

Provide outreach on J-SLMP and ERP components to a wider audience and obtain support for the implementation of the ESMF

Improved understanding and support from the public on J-SLMP and ERP activities leading to overall success of the J-SLMP and ERP.

Economy Bureau

Implementing agencies (OPDs), field facilitators, targeted villages and communities, media, public forums, NGOs

Semi - annually DGCC, Program management units at national and sub-national levels, safeguards specialists

4. Safeguards Coaching/Mentoring:

technical support to ERP implementing agencies on the application of environmental and social safeguards within project activities.

Provide hands-on skills enhancement and awareness of environmental and social good practices, develop cadreship of environmental and social champions and/or local experts within implementing

Improved understanding and awareness amongst implementing agencies and enhanced in-house skills for the management of environmental and social aspects

Program

management units

at national and

sub-national

levels,

implementing

During ERP implementation

PMU environmental and social specialists


No. Training/Capacity Building Program Objective Indicator of Success Program Target Schedule Source/Speaker

agencies agencies (OPDs)

Field facilitators

4. Thematic Workshops: discussions on

managing resolution of potential and/or existing J-SLMP and ERP cases at the project activity level such as access restrictions, tenure conflicts to facilitate sharing of information on implementing the safeguards tools.

Sharing of information and good practices to enable discussions in implementing the safeguards tools in the ESMF to manage the environmental and social risks of the J-SLMP and ERP.

Implementing agencies (OPDs) and field facilitators at the project activity level can share information, raise constraints in project implementation and identify possible solutions.

Economy Bureau, implementing agencies (OPDs), SIS REDD administrator, field facilitators,

FMUs

NPs

safeguards specialists

Quarterly Safeguards specialists, implementing agencies (OPDs), field facilitators


Table 10 Target Group and Participant for Training and Workshop for J-SLMP and ERP Safeguards

No. Target Group Basic

Training

Technical/ Thematic Training

Public Workshop

Thematic Workshop

1. Project team and staff (PMU) √ √ √ √

2. Consultant and technical advisors √ √ √ √

3. Economy bureau √ √ √ √

4. Implementing agencies (OPDs) and Implementing entities (FMUs, NPs)

√ √ √ √

5. District and village governments √ √ √ √

6. Targeted village communities and forums

√ √ √ √

7. Field facilitators √ √ √ √

8. Media √

9. NGOs √

10. Academic community/researchers √

11. Environmental office/agencies √ √

12. National Land Agency (BPN) √ √

The indicative financial requirements per year for conducting the above capacity building programs

including outreach to the various stakeholders and communities, and also safeguards staffing,

monitoring and supervision activities and FGRM strengthening is provided in the following table.


Table 11 Indicative Financial Requirements for Safeguards and Capacity Building

Programs

Notes: estimated costs per component are currently being calculated and negotiated between DG PPI

and Jambi Government.


6.3 SAFEGUARDS MONITORING AND REPORTING

6.3.1 Regular Safeguards Monitoring

Supervision, monitoring, evaluation and performance review of ESMF will be conducted at the site

level and throughout the J-SLMP and ERP. At the sub-national level, it will be conducted by

Safeguards Committees either at the provincial or district levels who should provide personnel

responsible for evaluation and review at the site level. At the national level this should be done by

DGCC. The evaluation and review will be focused on the process of planning and implementation of

J-SLMP and ERP activities requiring an ESMF, including:

Record of Free, Prior, Informed Consultations process (leading to community consent) during

planning of activities and its implementation with indigenous people and local communities.

Assessment is based on the quality of decisions whether they are genuinely made by

indigenous people and local communities through culturally appropriate decision-making

mechanisms, and implementation of plans to mitigate negative impacts (further described in

the IPPF);

Records of implementation a of community participatory framework at the planning stage, to

assess if the activity involves indigenous people and local communities;

Records of implementation of community participatory framework at the planning stage, to

assess if indigenous people and local communities involved in or affected by the activities are

accepted by relevant stakeholders;

Evidence of environmental permit for relevant activities;

Report of environmental management and monitoring plan (e.g., ESMP) as well as the

implementation of UKL-UPL or SPPL as relevant; and

FGRM and Feedback from indigenous people and local communities and stakeholders and

results of negative impact mitigations.

6.3.2 Regular Safeguards Reporting

The results of monitoring are used as the basis for developing ESMF implementation reports which

will include evaluation and corrective actions for improvement. The implementing agency at the

central level will routinely consolidate ESMF reports and advise the Bank on the results. Relevant

groups of indicators from SIS REDD+ that are relevant with regular safeguards reporting are:

Indicators on policies to determine if relevant policies to support safeguards (policy, legal and

institutional frameworks) are developed and implemented;

Indicators on process to determine if safeguard mechanisms are properly designed and

implemented; and

Indicators on impact to determine if social and environmental risks are properly addressed.

The above indicators are monitored through a specific schedule. Timeline for reporting the ESMF

implementation on Environmental and Social Indicators and summary of issues is provided in Table

12. Channels for safeguard reporting through the SIS REDD+ is also shown in Figure 8.


Table 12 Summary of Relevant E&S Indicators to Monitor/ Track during over the J-SLMP Implementation.

E&S Indicators Project

Components

and/or Sub-

components

Summary of Issues Data Sources Timeline for Reporting Compliance

Documentation

Conflicts and disputes in

forest and non-forest

areas (e.g., plantation

conflicts, revocation of

mining permits,

encroachments

C1, SC 1.2

and 1.3

C2

Overlapping allocation and

concessions for oil palm and forestry

plantations

Unclear border of FMUs

Accumulation of unresolved

problems

Conflicting licenses

Lack of cross sectoral conflict

resolution mechanisms (e.g.,

plantation, forestry sectors and

environmental disturbances)

Lack of formal designation for

FGRM institution

Village

administration;

FMU;

FGRM mechanism

through SIS-REDD+

Quarterly SESA, ESMF, Land

Tenure Report

Access restriction to land

and natural resources

C1, SC1.3 Previous and existing uses by local

communities and indigenous people

Village

administration

FMU;

FGRM mechanism

through SIS-REDD+

Monthly ESMF, IPPF, FGRM

Social tensions due to

influx of migrants

C2. SC 2.1 Influx of migrants from other

provinces and plantation activities;

Disrespect to indigenous rights

Tenurial conflicts

Lack of cross sectoral conflict

resolution mechanisms (e.g.,

plantation, forestry sectors and

environmental disturbances)

Village

administration

FMU

National Parks

FGRM mechanism

Monthly ESMF, Land Tenure

Report, FGRM, IPPF



Components

and/or Sub-

components


Documentation

Lack of formal designation for

FGRM institution

Impacts received by

indigenous peoples

C1 SC 1.1,

SC1.2, SC

1.3.

Diminishing of cultural values

Indigeneous claims of land within

the WPK or within the

conservation/protected areas

Contradiction between customary

and national laws

FMU

National Parks

FGRM mechanism

Forum of indigenous

people (e.g., Forum

Luhak 16 in

Merangin)

Quarterly ESMF, IPPF, IPF, Land

Tenure Report

Loss/Damage to physical

& cultural resources

C2 SC 2.1,

2.2

Integrity of:

Tropical rainforest heritage sites

Geopark

Temple Complex in Muaro Jambi

Megalithic artifacts

Water resources (lakes)

District government

Archaeology Agency

(Balai Pelestarian

peninggalan

Purbakala)

Quartely ESMF, PCF-CFF

Community Health &

Safety

C2 SC 2.1 Health and safety issues related to

artisanal mining

Health and safety issue related to

forest fire

Health and safety issue related to

used of pestiside

FMU/TN

Private companies

Provincial Health

Agency

Quarterly ESMF, IPM

Awareness, management

capacity and participation

C3 SC 3.1,

3.2

Capacity for J-SLMP

implementation, monitoring and

evaluation

Benefit sharing mechanism

SEKDA/BAPPEDA

Province

SEKBER

DGPPI

Semi-annualy Capacity Analysis

Report

Institutional capacity to

manage potential

C1 SC 1.2. Risk mitigation capacities among the Provincial forestry Semi-annually Capacity Analysis



Components

and/or Sub-

components


Documentation

environmental & social

risk

C3 implementing units

Cross sectoral coordination in

managing the ennvironmental and

social risks

Capacity building needs for KHP

Officers is needed, especially to

implement & monitoring HCV, ISPO

among local government officers.

Lack of the ability of for

environmental conflicts mediation

Lack of capacity to implement

sustainable palm oil plantation

Agency

Kesbangpol

FGRM system

Plantation agency

FMU

Agraria offices

(province and

district)

Report

Gender and social

inclusion

C1

C2

C3

Gender sensitive programs

Gender mainstreaming within the J-

SLMP and ERP

Sub-optimal Involvement of women

to contribute in forest management

will help reduce encroachment, and

deforestation

Women

empowerment and

child protection

agency

Village Development

Agency

Annually (in paralell with

RPJMD evaluation)

SESA , ESMF

Area of forest

encroachment

C2 SC 2.1,

2.2

Encroachment and illegal activities

in forestry, protected and

conservation areas

FMU

National parks

Concession holders

Semi-annually ESMF, MRV

Fire hotspots

occurrences

C2 SC 2.1,

2.2

Uses of burning methods by

companies and smallholder palm oil

farmers

Weak adoption of ISPO/RSPO

Weak empowerment of MPA

FMU

Provincial Forestry

Agency

Village Government

(MPA)

Private companies

Quarterly ESMF, MRV



Components

and/or Sub-

components


Documentation

(MPA)

NASA sattellite

hotspot data

Loss of natural habitat

and Biodiversity

C2 SC 2.1,

2.2

Encroachment

Damage to wildlife corridor

Poaching activities

Non-carbon benefit (endangered

species conservation)

Overlapping with key biodiversity

areas, and endangered species

population

Community- based monitoring

efforts are not optimized

Lack of clear conservation

guidelines

BKSDA

National parks

FMU

DG GAkkum

Semi-annually Biodiversity and HCV

Studies

Contamination and

Pollution

C2 SC 2.1 Deterioration of water quality and

quantity downstream Batanghari

watershed

BPDAS

BWS Sumatra

DLH

Semi-annually DLH Annual Report and

Jambi Environmental

Status Report

Leakages and reversals C1 SC 1.1,

1.2, 1.3

C2 SC 2.1.

Lack of access to alternative

livelihood program to address

communities‟ economic needs (can

be developed from Village Funding /

DD/ ADD)

Unequal opportunity for participation

in J-SLMP

Lack of agreement on benefit

sharing mechanism

BAPPEDA/SEKDA

FMU

National Parks

BKSDA

Provincial Forestry

Agency

Village Development

Agency

Semi-annually ESMF, MRV


6.3.3 Safeguards Reporting through SIS REDD+

SIS-REDD+ requires REDD+ implementers to independently assess and report on safeguards

implementation. The system is intended to promote transparency and accountability from the site

level. For this purpose, the MoEF has formulated APPS, a Safeguards Implementation Assessment

Tool. The tool was developed on the principles of simplicity, transparency, accountability,

completeness, and comparability. APPS provides a checklist of supporting documents required as

evidence of REDD+ safeguards implementation. It is provided along with the complete PCI under SIS-

REDD+ in the Annex and can be downloaded on the SIS- REDD+ website

(http://ditjenppi.menlhk.go.id/sisredd/). The followings items constitute the main content of the SIS

REDD+, of which details are provided in each of this key content:

SIS-REDD+ aims to gather, process, analyze, and present the necessary information on how

safeguards are managed and respected in REDD+ activities, ranging from the project sites to district,

provincial and national SIS management units. To ensure efficiency, an institutional structure and

distribution of tasks and responsibilities for the information system from the site to national level have

been established. Further refinement is currently underway to achieve a well-established Safeguard

system. The responsibility to further develop, implement, and manage SIS-REDD+ is currently under

the REDD+ Division of MoEF.10

Two components were created to promote transparency and ease

access to safeguards information provided in SIS-REDD+:

a. A database, to manage data and information on safeguards implementation; and

b. A website, tracking progress on safeguards implementation

The SIS-REDD+ website provides a public access to REDD+ implementers or users to report their

activities by filling in the checklists and uploading necessary documents as required by the APPS.

Stakeholders can find a summary of both general REDD+ activities data and specific information on

REDD+ safeguards. The REDD+ Division at MoEF is also considering several options to link the web-

platforms to other forestry instruments with REDD+ relevant safeguards elements.

The SIS-REDD+ website is designed to provide comprehensive and up to date information on

safeguards implementation under REDD+, as well as other details of REDD+ (project names,

locations, implementers, partners, duration, scope of activities, key achievements as well as

challenges and supporting factors). As more data arrives, the website will eventually be able to

provide a summary of REDD+ activities in Indonesia in a more precise manner, for both general

and detailed information. Further user-friendly and more integrated data and information presentation,

such as maps, and graphics can be generated.

The National SIS Management Agency (PSIS-Nas) placed under the MoEF‟s REDD+ Division is

assigned as the administrator and manager and is mandated to maintain and further refine the system

as well as providing guidance to PSIS at sub-national levels. Including in PSIS-Nas roles and

generating analytical information (such as maps and graphics) on safeguards implementation. PSIS

Nas, serving as the national information focal point, is responsible in preparing information for the

MoEF, to be integrated into the National Communication and/or Biennial Update Report for

submission to the UNFCCC.

10

The responsibilities were previously under Pustanling of the former Ministry of Forestry, which changed to the Ministry of Environment and Forestry (MoEF).



With respect to Safeguad Information System reporting for Jambi, it is still being discussed on who will

be reporting it to the national system. The current thinking is that there will be three option as shown

under Figure 8. This figure also shows the safeguard monitoring and evaluation (M&E) system.

Direct reporting from FMU and NP to the national SIS-REDD+;

Indirect reporting through District Safeguard Committee;

Indirect reporting through Provincial Safeguard Committee.

Figure 8 Safeguards Reporting through SIS REDD+

6.4 INFORMATION DISCLOSURE

DG PPI, FCPF, SEKBER and Provincial Government (BAPPEDA/SEKDA) will maintain high-quality

reliable documentation, as well as provide access to information to the public relating to the

implementation of the ESMF, including the participation processes and implementation of UKL/UPL or

SPPL.

The ESMF document (both in Indonesian and English) and its associated instruments (RPF, PF, IPPF

and FGRM) will be publicly disclosed in DG PPI‟s websites (http://ditjenppi.menlhk.go.id/peraturan-

perundangan.html) and the World Bank through Image Bank. In addition to website-based disclosure

of information, relevant information pertaining to J-SLMP and safeguards management will be

consulted and made accessible to the public, including the target communities.

6.5 FEEDBACK GRIEVANCE REDRESS MECHANISM

The Feedback Grievance Redress Mechanism (FGRM) will utilize the existing systems through the

GAKKUM (law enforcement) unit under the MoEF at the national level which will be linked to the SIS

REDD+ reporting of safeguards implementation. Each implementing agency will implement the

existing FGRM mechanisms with oversight from the Provincial Executing Agency

(BAPPEDA/SEKDA). These systems allow the public, communities or individuals affected by the ER

activities to report complaints and obtain resolution in a timely manner. The system also records and

documents all complaints and tracking of resolution on a web-based platform through the SIS

http://ditjenppi.menlhk.go.id/peraturan-perundangan.html

http://ditjenppi.menlhk.go.id/peraturan-perundangan.html


REDD+. The provincial environmental and social specialists will provide technical support for

coordination of FGRM implementation, including management of grievances relating to J-SLMP. The

FGRM mechanism is presented in Annex 7.


ANNEX 1. J-SLMP AND ERP NEGATIVE LIST

ERP activities or subprojects will comply with all relevant World Bank environmental and social

safeguard policies and Indonesian laws. Activities ineligible to be funded by ERP/Carbon Fund listed

below are included, but not limited to:

No Negative List Yes No Remarks

1 Activities contributing to the drivers of

deforestation and forest degradation (illegal

logging, overlogging, uncontrolled burning and

mining)

2 New settlements or expansion of settlements

within conservation forests, protected areas and

parks;

3 Any activity that can potentially lead to and/or

result in destruction and/or relocation of physical

cultural resources;

4 Any activity that can potentially lead to and/or

result in conversion of primary forest and/or

natural habitats;

5 Purchase and/or use of hazardous chemicals

including but not limited to pesticide and

insecticides that are that are classified as IA or IB

by WHO and GOI‟s regulations

6 Activities where community endorsement and

broad support through free, prior, and informed

consultations is not obtained, or evidence for such

support is not available

7 Any activity associated with political campaigns

and election;

8 Poaching and/or trade of protected species and

animals;

9 Removal or alteration of any physical cultural

property

10 Activity which cause negative impact to Woman

and Children

11 Conversion or degradation of critical habitats,

including adjacent or downstream critical natural

habitats.

12 Activities or subprojects that contravene

applicable international environmental agreements

and/or conventions.

13 Conversion of primary forests.


ANNEX 2. SCREENING AGAINST ENVIRONMENTAL AND SOCIAL RISKS

Following Preliminary Screening against the Negative List, DGCC/FCPF/SEKBER/BAPPEDA/ SEKDA

in collaboration with subproject proponents will screen and assess proposed subproject activities with

regards to potential risks and their management. This exercise will produce recommendations

whether or not particular activities should be financed although they have passed the negative list in

light of the risks foreseen. The recommendations will also include preventive measures, capacity

building, technical assistance and oversight to strengthen risk management.


ANNEX 3. ENVIRONMENTAL CODES OF PRACTICES

This Annex provides comprehensive environmental guidance for activities that are expected or

forecasted to be taken place in BioCF WPK or the surrounding areas to complement statement letter

for environmental management (SPPL). It has to be read that this guideline or ECOP will not replace

the government safeguards system such as the application of UKL/UPL or SPPL as currently

regulated by Law No. 32/2009 on Protection and Management of the Environment and Government

Regulation, Ministry of Environment Regulation No. 5 Year 2012 on business activities mandatory to

have AMDAL, and Government Regulation No. 27 Year 2012 concerning Environmental Permit,

where each business and/or activity (project) plan mandates an Environmental Permit if an AMDAL or

UKL-UPL assessment. The following diagram should be used as guidance for screening of activities

to be supported by BioCF.

The followings are simple guidelines prepared in general for potential activities under BioCF

intervention that will complement SPPL. Again, ECOPS is only applied to Category C project

as outline above. More analysis will be done when BioCF Pre-Investment and ERP phases for Jambi

is completed so that clearer direction on intervention activities can be achieved.

A. Plantation Development

B. Small Construction Works

DISCLAIMER: J-SLMP will not provide funding for Category A project that requires environmental and social

impact assessment (ESIA)


C. Agro-Forestry

D. Home Industry

E. Farming

F. Fishery

G. Tree Sapling-Vegetation Seeds

H. Community Timber Activities

I. Ecotourism

J. Village Spatial Planning

K. OHS General Guidleines

A. Plantation Developments

The codes of practice for plantation developments aim to increase income of the community and

farmers, generate additional employment and help eradicate poverty in the rural areas by promoting

the management of productive, profitable and sustainable plantation forests. This environmental

protection guideline is prepared to ensure that forest plantations supported by the ERP are designed

and managed to achieve the highest level of productivity and financial viability with the least possible

negative impacts on local communities and the natural environment.

The most important pre-requisite to a successful plantation project is clear definition of management

objectives, including the following:

expected outcomes in terms of levels of productivity, rotation age and final products;

the rehabilitation and maintenance of land productivity;

soil and watershed protection;

habitat conservation and restoration; and

community participation and improved livelihoods.

The main objective for project activities under the ERP is to develop and manage productive and

profitable forest plantations in a sustainable manner.

Environmental protection measures are incorporated into the following plantation management

activities: site selection and landscape level planning and plantation design, site preparation,

plantation establishment, tending, pest management, fire prevention and control, harvesting and

access tracts improvement and maintenance.

1. Site Selection

Areas for commercial plantation forests must be carefully selected to ensure high productivity and

profitability to farmers, and to avoid adverse impacts to the local community and to the natural

environment. The forest plantation areas must be consistent with the spatial plan. The criteria for site

selection are shown in the table below.

Criteria Description

Forestland classification Production forestland

Vegetative cover 1) Only bare lands will be used for plantations. 2) Forest plantations of low quality. 3) Avoid projects in HCV forest or areas with important ecosystem services


Criteria Description

Slope Not more than 25

0 in slope

Accessibility Plantation sites must be within 2 km of existing all-weather roads.

Soil conditions Soil type other than laterite or sterile coastal sand, soil depth above 30 cm, pH above 4, and soil composed of less than 40% stones and coarse fragments.

Existing land use Not used for food production, grazing of livestock, production of Non-Timber Forest Product so as not to compromise food security and other critical household needs. Area has no cultural or spiritual significance.

Land allocation Land categorized by the spatial plan (national or local/regional) as land specified for other use (APL – Area Penggunaan Lain).

2. Plantation Planning

The Landscape Plantation Planning will be used for all forest plantation areas. This is to ensure that

stream banks are protected, and access tracts, fire breaks and fire lines are planned to benefit

plantation projects. The landscape plantation plan:

1) Defines areas for biodiversity conservation, stream bank protection, access tracts, fire breaks

and poor areas that are unsuitable for commercial forest plantations;

2) Guides plantation owners on appropriate plantation models, suitable species, intercropping

and other information necessary to prepare simple and practical individual forest plantation

management plan.

3) Can be used to obtain forest certification.

The Landscape Plantation Plan must include the following basic considerations and which are

properly delineated on a plantation plan map:

1) Slope and plantation operability:

No production plantations shall be allowed on slopes exceeding 25 o for reasons of both

slope instability and low productivity. Slopes between 20 – 25 o should have lower than

normal planting densities, 4 x 2 m or 1,100 trees per ha, to limit site disturbance during site

preparation, planting, tending and harvesting. Where site is suitable, such areas may be

planted to valuable timber species.

2) Buffer zone protection:

Buffer zone protection of reservoirs, entrenched streams, drainage canals where natural

vegetation will be retained, no clearing or ground disturbance will be allowed during plantation

establishment, and no clear cutting of trees will be allowed. Native vegetation in the buffer

zone may be established through Assisted Natural Regeneration (ANR) techniques

supplemented by the planting of ecologically important trees and other plants such as those

eaten by birds and other wild animals or economically important species like bamboo (for

poles), Canarium album (nuts), Areca cathechu (nuts), Tricanthera gigantea (forage for pigs,

cattle, goats, rabbits), Flemingia macrophylla (forage), Caliandra calothyrsus (forage).

The recommended buffer zone protection for rivers that have no embankments, and located

at rural areas (outside of cities) will refer to the Ministry of Public Works No. 28/PRT/M/2015

regarding Buffer Zone Protection for Rivers and Lakes, article 6, as follows:


i. Large rivers having watershed area of > 500 km2, at least 100 m of buffer zone from

the edges of the river along the length of the river;

ii. Small rivers having watershed area of ≤ 500 km2, at least 50 m of buffer zone from

the edges of the river along the length of the river.

3) Eroded areas:

Badly eroded areas characterized by deep gullies and land slips in road cuts and plantations

will be stabilized using appropriate vegetative and structural soil control measure.

4) In-plantation biodiversity:

Plantations are not forests; they are much more like agricultural systems and have many of

the same risks and uncertainties. Plantations can be made more like natural systems by

incorporating diversity (of genetic materials, species, age classes and spatial structure at the

landscape-level) to improve the ecological stability and resilience that limits the risk of failure

and reduces the necessity for artificial inputs to these simplified ecosystems. All plantations

over 50 ha should consist of several sub-compartments, the size and number of which will

depend on the scale of the plantation, comprising different tree ages (to promote structural

diversity), different species of indigenous and exotic trees, different genotypes within species,

and residual indigenous natural vegetation types. Wherever practical given the scale of the

plantation, design and layout should promote the protection, restoration and conservation of

natural communities. This can be accomplished by utilizing wildlife corridors, retention of

native tree species, stream protection corridors, sanitation and fire breaks of native vegetation

and a mosaic of different age and rotation periods to mimic the landscape patterns of natural

forest communities.

5) Access provisions:

Landscape plantation design must show the location of existing roads, access tracks and

trails that may be used for transporting seedlings and other plantation inputs, as well as in fire

prevention and control. Additional access tracks may need to be constructed for eventual

product extraction.

6) Fire breaks:

The Landscape Plantation Design must provide for the location, specifications, construction

and maintenance of fire breaks and fire lines. The design must maximize the use of the buffer

zones in streams and drainage canals, other native vegetation, as well as roads and access

tracks.

7) Poor sites:

Poor sites within the plantation block such as those with very shallow top soil, very stony

areas, or areas with over 25 degrees n slopes which are unsuitable for commercial plantation

forests should be delineated and earmarked for rehabilitation using assisted natural

regeneration and other afforestation techniques that promote the growth of native species.

This may be supplemented by planting leguminous species such as Tephrosia candida and

other local species.

3. Site Preparation


Site preparation are activities done before planting to improve existing site conditions and enhance

survival and promote fast initial growth of planted seedlings. This includes vegetation clearance to

reduce competition and fire risks, hole digging to improve soil structure and enhance root growth, and

basal fertilization to increase soil fertility.

1) Vegetation clearance

Environmental protection guidelines to be followed are the following:

o Broadcast burning cannot be used as a tool of site clearing and site preparation;

vegetation must be cleared by hand or machine.

o Avoid comprehensive vegetation clearance on sloping areas. Clear vegetation in strips or

on spots.

o Debris in vegetation clearance should be retained on site as source of nutrients and to

provide soil cover and help in reducing soil erosion.

o Mechanical extraction of tree stumps and roots will not be allowed on sloping areas; only

on flat terrain.

o Full cultivation will be allowed only on flat or slightly sloping terrain below 15 degrees.

Between, 16 to 20 degrees slope, cultivate in alternate strips. No cultivation is allowed

beyond 20 degrees.

2) Digging of planting holes

o Planting holes should not be excavated during the period of heavy rainfall.

o Back-fill the hole immediately as soon as possible to keep the loosened soil inside the

hole and minimize soil erosion.

o In sloping terrain, dig planting holes along the contour and in fish scale- like pattern.

3) Basal fertilization

o Apply basal fertilizer on the hole; broadcast application is not allowed.

o Use a container not bare hands in handling fertilizer.

o Record the kind, dosage and date of fertilizer application.

4. Intercropping

Any intercropping activities on sloping plantation sites should be carried out along the contour. No

intercropping will be allowed on slopes over 20 degrees and intercropping of root or tuber crops will

not be permitted over 15 degrees.

5. Tending

Weeding should be limited to what is absolutely necessary to maintain high survival and fast growth of

planted seedlings, employing spot weeding around the base of the seedlings, and slashing of

vegetation in other areas, so as to maintain ground cover. Vegetation debris from weeding and

slashing should be left on site as mulch.


Conduct singling during the dry season, when trees are about 4-6 months old and stems are still

small. Do not conduct singling without the proper tools.

Pruning is required only on plantations that aim to produce saw logs. It is not necessary if the final

product is pulpwood. It is also not necessary on species with good natural self-pruning characteristics

like Eucalyptus urophylla. It will be applied only on selected trees that will constitute the final crop

(saw logs). As in singling, prune only with the proper pruning equipment, never a knife. Make a clean

and straight cut at the outer edge of the branch collar. The branch collar must not be injured since this

is where the healing process starts. Cut pruning debris into shorter pieces and spread them evenly in

the plantation.

Thinning, as in pruning, is performed only on plantations where the objective is to produce saw logs.

Moreover, thinning is recommended only on good sites where the yield is high enough to warrant

additional investments in thinning and pruning. Conduct thinning when canopy begins to close and

competition for light begins. After selecting the trees to be retained, cut all others but with care so as

not to injure the retained trees.

After removing any usable stems, chop the thinning debris into shorter pieces and spread evenly on

the area.

6. Fire Prevention and Control

Forest fire prevention and control activities must be an integral part of the operational plan for the

plantation area. Such plans should establish a fire control organization, defined roles and

responsibilities, and detailed prevention, public education, patrolling, enforcement and fire response

programs.

In each plantation area, reduce amount of fuel in the plantation through timely and effective weed

control. Cut debris in weeding, pruning and thinning to small pieces, and pile them in between tree

rows. Compress the pile low by pressing or stepping on it.

If plantation is adjoining grassland or other fire prone areas, construct fire breaks of at least 10 meters

wide along the boundaries, at the onset of the dry season.

7. Access Tracks

Access within plantation blocks will be limited to that necessary to transport planting materials to the

site and to extract products from primary landings in the plantations to secondary landings at the road.

Such tracks should be wide enough for motorcycles and or small tractors. Plantation block plans must

show how the site is to be accessed; including details on location, design, construction and

maintenance.

All roads and access tracks must be properly located, designed, constructed and maintained. Roads

and trails must be constructed according to acceptable engineering standards and shall have regular

maintenance. Detailed access guidelines should be prepared early in subproject implementation and

may include design considerations such as the following:

1) primary extraction from felling site to the first landing at trackside will be by human labor or

draft animals, depending on the size of product (i.e. fuel/pulp wood vs sawlogs);

2) density of secondary extraction tracks shall be the absolute minimum consistent with the

practical distances of primary extraction;


3) tracks will be permitted to encroach into stream protection corridors only at points of crossing,

which must be in areas of stable, moderate terrain;

4) stream crossings should be rock-stabilized drifts; culverts should be employed only in extreme

cases where drifts are not practical;

5) tracks shall have a maximum width of 3 m, a maximum favorable grade of 15 degrees and a

maximum adverse grade of 10 degrees;

6) cut and fill slopes must be avoided wherever possible;

7) no yarding of logs or other products will be permitted on the surface of tracks;

8) track rights-of-way will be lightly slashed and vegetation cover will be maintained on the

running surface wherever possible;

9) all tracks on side-slopes shall be out-sloped or equipped with water-bars to disperse water

onto stable areas down slope; and

10) tracks will be inspected regularly during rainy periods in the first three years after construction

and during periods of active use, and immediate maintenance action taken to correct

problems of drainage or erosion.

8. Plantation Harvesting

Harvesting of trees and other products shall not result in long-term soil degradation or adverse

impacts on water quality and watershed hydrology. All logging operations must be strictly supervised

and enforced by DARD/DFD. For slopes over 15 degrees, logging coupes shall not exceed 10 ha

with at least 60 m between adjacent coupes logged the same year. For slopes less than 15 degrees,

logging coupes shall not exceed 20 ha, with at least 30 m between adjacent coupes felled the same

year. Ground vegetation shall be preserved as far as possible during logging and the site shall be re-

planted in the year following logging.

B. Small Construction Works

This ECOP is to be applied for projects involving small works

1. Objectives

This ECOP is prepared to manage small environmental impacts involving construction works. The

ECOP will be a mandatory part of construction contract or bidding documents so that contractor

complies with environmental covenants. The project owner and construction supervisors will be

responsible for monitoring of compliance with ECOP and preparing the required reports.

The PMU is responsible for ensuring that the ECOP is effectively implemented. The PMU will assign a

qualified staff to be responsible for checking implementation compliance of Contractors, and include

the following: (a) monitoring the contractors‟ compliance with the environmental plan, (b) taking

remedial actions in the event of non-compliance and/or adverse impacts, (c) investigating complaints,

evaluating and identifying corrective measures; (d) advising the Contractor on environment

improvement, awareness, proactive pollution prevention measures; (e) monitoring the activities of

Contractors on replying to complaints; (f) providing guidance and on-the-job training to field engineers

on various aspects to avoid/mitigate potential negative impacts to local environment and communities

during construction.

The Contractor is responsible for carrying out civil works and informs PMU, local authority and

community about construction plan and risks associated with civil works. As such, contractor is


responsible for implementing agreed measures to mitigate environmental risks associated with its civil

works. The Contractor is required to obey other national relevant legal regulations and laws.

2. Contractor‟s Responsibilities

The following table is an example and is not necessarily a full treatment of all requirements for a

specific subproject. For example, there might be requirements for developing an environmental impact

assessment (AMDAL or UKL-UPL) and/or reason to have contractor deal with sexually transmitted

diseases, medical and hazardous waste s (e.g., oil from vehicle repair and similar, fuel spills etc.).

Issues/Risks Mitigation Measure

1) Dust generation/ Air pollution

The Contractor implement dust control measures to ensure that the generation of dust is minimized and is not perceived as a nuisance by local residents, maintain a safe working environment, such as:

Water dusty roads and construction sites;

Covering of material stockpiles;

Loads covered and secured during transportation to prevent the scattering of

soil, sand, materials, or dust;

Exposed soil and material stockpiles shall be protected against wind erosion.

2) Water pollution

Portable or constructed toilets must be provided on site for construction

workers. Wastewater from toilets as well as kitchens, showers, sinks, etc.

shall be discharged into a conservancy tank for removal from the site or

discharged into municipal sewerage systems; there should be no direct

discharges to any water body.

Wastewater over permissible values set by Government of Indonesia

standards/regulations must be collected in a conservancy tank and removed

from site by licensed waste collectors.

At completion of construction works, water collection tanks and septic tanks

shall be covered and effectively sealed off.

3) Drainage and sedimentation

The Contractor shall follow the detailed drainage design included in the

construction plans, to ensure drainage system is always maintained cleared

of mud and other obstructions.

Areas of the site not disturbed by construction activities shall be maintained in

their existing conditions.

4) Solid waste

At all places of work, the Contractor shall provide litter bins, containers and

refuse collection facilities.

Solid waste may be temporarily stored on site in a designated area approved

by the Construction Supervision Consultant and relevant local authorities prior

to collection and disposal.

Waste storage containers shall be covered, tip-proof, weatherproof and

scavenger proof.

No burning, on-site burying or dumping of solid waste shall occur.

Recyclable materials such as wooden plates for trench works, steel,

scaffolding material, site holding, packaging material, etc. shall be collected

and separated on-site from other waste sources for reuse, for use as fill, or for

sale.

If not removed off site, solid waste or construction debris shall be disposed of

only at sites identified and approved by the Construction Supervision

Consultant and included in the solid waste plan. Under no circumstances

shall the contractor dispose of any material in environmentally sensitive

areas, such as in areas of natural habitat or in watercourses.

6) Chemical or hazardous wastes

Used oil and grease shall be removed from site and sold to an approved used

oil recycling company.



Used oil, lubricants, cleaning materials, etc. from the maintenance of vehicles

and machinery shall be collected in holding tanks and removed from site by a

specialized oil recycling company for disposal at an approved hazardous

waste site.

Unused or rejected tar or bituminous products shall be returned to the

supplier‟s production plant.

Store chemicals in safe manner, such as roofing, fenced and appropriate

labeling.

7) Disruption of vegetative cover and ecological resources

Areas to be cleared should be minimized as much as possible.

The Contractor shall remove topsoil from all areas where topsoil will be

impacted on by rehabilitation activities, including temporary activities such as

storage and stockpiling, etc; the stripped topsoil shall be stockpiled in areas

agreed with the Construction Supervision Consultant for later use in re-

vegetation and shall be adequately protected.

The application of chemicals for vegetation clearing is not permitted.

Prohibit cutting of any tree unless explicitly authorized in the vegetation

clearing plan.

When needed, erect temporary protective fencing to efficiently protect the

preserved trees before commencement of any works within the site.

The Contractor shall ensure that no hunting, trapping shooting, poisoning of

fauna takes place.

8) Traffic management

Before construction, carry out consultations with local government and

community and with traffic police.

Significant increases in number of vehicle trips must be covered in a

construction plan previously approved. Routing, especially of heavy vehicles,

needs to take into account sensitive sites such as schools, hospitals, and

markets.

Installation of lighting at night must be done if this is necessary to ensure safe

traffic circulation.

Place signs around the construction areas to facilitate traffic movement,

provide directions to various components of the works, and provide safety

advice and warning.

Employing safe traffic control measures, including road/rivers/canal signs and

flag persons to warn of dangerous conditions.

Avoid material transportation for construction during rush hour.

Signpost shall be installed appropriately in both water-ways and roads where

necessary.

9) Interruption of utility services

Provide information to affected households on working schedules as well as

planned disruptions of water/power at least 2 days in advance.

Any damages to existing utility systems of cable shall be reported to

authorities and repaired as soon as possible.

10) Restoration of affected areas

Cleared areas such as disposal areas, site facilities, workers‟ camps,

stockpiles areas, working platforms and any areas temporarily occupied

during construction of the subproject works shall be restored using

landscaping, adequate drainage and re-vegetation.

Trees shall be planted at exposed land and on slopes to prevent or reduce

land collapse and keep stability of slopes.

Soil contaminated with chemicals or hazardous substances shall be removed

and transported and buried in waste disposal areas.

11) Worker and public Safety

Training workers on occupational safety regulations and provide sufficient

protective clothing for workers in accordance with applicable Government of



Indonesia laws and regulations.

Install fences, barriers, dangerous warning/prohibition site around the

construction area which showing potential danger to public people.

The contractor shall provide safety measures as installation of fences,

barriers warning signs, lighting system against traffic accidents as well as

other risk to people and sensitive areas.

If previous assessments indicate there could be unexploded ordnance (UXO),

clearance must be

12) Communication with local communities

The contractor shall coordinate with local authorities (leaders of local

communes, leader of villages) for agreed schedules of construction activities

at areas nearby sensitive places or at sensitive times (e.g., religious festival

days).

Copies in Indonesian language of these ECOPs and of other relevant

environmental safeguard documents shall be made available to local

communities and to workers at the site.

Disseminate subproject information to affected parties (for example local

authority, enterprises and affected households, etc) through community

meetings before construction commencement.

Provide a community relations contact from whom interested parties can

receive information on site activities, subproject status and subproject

implementation results.

Inform local residents about construction and work schedules, interruption of

services, traffic detour routes and provisional bus routes, blasting and

demolition, as appropriate.

Notification boards shall be erected at all construction sites providing

information about the subproject, as well as contact information about the site

managers, environmental staff, health and safety staff, telephone numbers

and other contact information so that any affected people can have the

channel to voice their concerns and suggestions.

13) Chance find procedures

If the Contractor discovers archeological sites, historical sites, remains and

objects, including graveyards and/or individual graves during excavation or

construction, the Contractor shall:

Stop the construction activities in the area of the chance find;

Delineate the discovered site or area;

Secure the site to prevent any damage or loss of removable objects. In cases

of removable antiquities or sensitive remains, a night guard shall be arranged

until the responsible local authorities or the Department of Culture and

Information takes over;

Notify the Construction Supervision Consultant who in turn will notify

responsible local or national authorities in charge of the Cultural Property of

Viet Nam (within 24 hours or less);

Relevant local or national authorities would be in charge of protecting and

preserving the site before deciding on subsequent appropriate procedures.

This would require a preliminary evaluation of the findings to be performed.

The significance and importance of the findings should be assessed

according to the various criteria relevant to cultural heritage; those include the

aesthetic, historic, scientific or research, social and economic values;

Decisions on how to handle the finding shall be taken by the responsible

authorities. This could include changes in the layout (such as when finding an

irremovable remain of cultural or archeological importance) conservation,

preservation, restoration and salvage;

If the cultural sites and/or relics are of high value and site preservation is

recommended by the professionals and required by the cultural relics



authority, the Program Owner will need to make necessary design changes to

accommodate the request and preserve the site;

Decisions concerning the management of the finding shall be communicated

in writing by relevant authorities;

Construction works could resume only after permission is granted from the

responsible local authorities concerning safeguard of the heritage.

C. Agro-Forestry

1. To participate in providing policy provisions to provide incentive to farmers adopting agro

forestry (such as, land control or credit) and mitigate financial risks related to interventions, if

possible. Threat of decreased firewood availability may not be an adequate incentive for the

farmers to grow trees. Farmers are often as interested in other wood products as they are in

non-wood products (such as construction poles, fruits or medicines);

2. To train farmers and field staff utilize field intervention, Training shall also include field visits

by farmers and field staff to promising livelihood activities;

3. To build a partnership between the project and farmers. Farmers should have an opportunity

during project identification and implementation process to convey their needs and choice in

relation to biological and social economic interventions;

4. To develop a mechanism that enables farmers to cover operational costs, maintain control

over trees, and receive technical advice. A revolving fund, association coordination or annual

gathering can ensure support to project beneficiaries.

D. Home Industry / Small Industry

1. To ensure that the management plan can answer the anticipated use of natural resources and

potential environmental impacts. Issues that must be addressed in the management plan

should include:

a. Information on the area, scope and location of activity;

b. Raw materials (namely, wood, drinking water, and fuel) and required storage facility;

c. Types and distance of contaminating disposal;

d. Evaluation of impacts of industrial activities;

e. Availability of disposal channel;

f. Placement and disposal of solid waste.

2. Monitor and diminish losses from environmental impact in each process of production.

3. Ensure that the financed activities do not use, produce, store or relate to hazardous

substances (toxic, rust or explosive) or substances resulting in “B3” waste (Toxic and

Hazardous Substances) (as recorded in the list of Negative Protection regulations).

E. Farming

Animal droppings can maintain the fertility of soil and replace soil nutrition when collected and treated

accordingly. On a contrary, uncontrolled droppings can pollute water and endanger human‟s or


animal‟s health. For instance, dropping bacterial organisms can pollute drinking water supplies with

nitrate. Animals‟ droppings can be managed by:

Preventing the rainfall from entering, irrigation and surface water nozzle into animals pen and

storage facilities;

Preventing keeping too many animals in a pen;

Shoveling/removing droppings from the breeding pens;

Covering droppings with absorbent materials;

Removing lumps of droppings / animals droppings;

Complaints of odor from a farm can be minimized by:

For a sensitive environment, choosing a location and design of a farm prudently with

adequate distance between supports;

Taking into consideration the existing direction of the wind, especially during dry season;

Optimizing frequency of cleaning of pens;

Maintaining dust at low level since the odor is absorbed and carried by granules of dust;

Number of animals should not exceed the recommended density;

Ventilation that can maximally shed the odor during cleaning of pens;

Utilizing solid vegetation as support partition to circulate air flow (to disintegrate odor), filter

dust and relocate odor from sensitive areas;

Placing halls of pens thoroughly, in relation to the direction of disposal of odor;

Collecting droppings and manure under a weather-resistant cover, before relocating the

droppings and manure from the location; and

Utilizing healthily formulated livestock feed.

F. Fishery

1. Conditions of fish cultivation

Characteristics of good fish:

a) Shape: good shape

b) Color : bright and glossy

c) Scale : no sign of loss of scale

d) Movement : active and showing normal movement

e) Reflex : trying to escape when touched

f) Feeling : slick texture


Transportation of fish:

a) Fish can be transported in a plastic or polyethylene container and open container such as

drum, aluminum filled with oxygen.

b) Support power of container / beg depends on

Size and health condition of fry

Distance and time used

Water temperature

Availability of dissolved oxygen

c) Normally 8.000 – 10.000 fry (10 and 5 cm) can be transported in a drum (200 liter) for 12 –

14 hours

d) The following table can help plan the transportation of fry for 5 – 6 hours

Ways to keep fish alive:

a) Check the quality of soil and water of the embankment before releasing the fry

b) Ensure the embankment is free from:

Grass and predator fish

Molluscs / barnacle

Predators such as snakes, frogs, birds, insects, and so on

c) Ensure that fry is placed in different ponds according to age and size groups

d) Ensure the availability of fish natural fodder

e) Use healthily formulated additional fodder

2. Conditions for equipment to catch fish:

a) Type and size of the equipment must follow the regulations of Government of Indonesia

(Minister of Marines and Fishery Affairs Regulation No. 71/PERMEN-KP/2016 regarding

Fishing Areas and Placement of Fish Catching Devices in Indonesia Fisheries Management

Zone)


Jaring lingkar (surrounding nets);

Pukat Tarik (seine nets);

Pukat hela (trawls);

Penggaruk (dredges);

Jaring angkat (lift nets);

Alat yang dijatuhkan (falling gears);

Jaring insang (gillnets and entangling nets);

Perangkap (traps);

Pancing (hooks and lines);

Alat penjepit dan melukai (grappling and wounding)

b) The equipment shall not cause damages to the environment; and

c) The equipment shall be made from environmental friendly materials

G. Tree saplings / vegetation seeds:

Tree saplings / vegetation seeds should be:

1. In good condition.

2. Healthy (free from diseases, fungus, bacteria, and virus).

3. Buds and roots are well grown.

4. Local original species.

5. Legalized from its known origin or local source (if possible)

Storing of seeds should meet the following:

1. It should use bales / poly-bags for packaging

2. Moss bales/poly-bags need to be kept wet until usage

3. It should be stored in a cool storage with adequate ventilation

4. Cultivation may be immersed in cultivation solution prior to transportation

5. It should protect the seeds from overly hot or cold weather

6. To know the number of trees to be planted, one must know the following:

Areas that need to be planted; and

Placement of distance of seeds.

H. Community Timber Activities


ERP/Carbon Fund may support commercial harvesting operations only when, on the basis of the

applicable social and environmental screening and assessment, it is determined that the areas

affected by the harvesting are not critical forests or related critical natural habitats and that are no land

use conflicts with local communities or indigenous peoples. Harvesting operation by local communities

under forest community management or under joint forest management arrangements are eligible to

project support if: (a) have achieved a standard of forest management developed with meaningful

participation of locally affected communities in a manner consistent with the principles outlined below;

or (b) adhere to a time-bound action plan to achieve such standard:

1. compliance with relevant Indonesian laws;

2. recognition of and respect for any legally documented or customary land tenure and use

rights as well as the rights of indigenous peoples and workers;

3. measures to maintain or enhance sound and effective community relations;

4. conservation of biological diversity and ecological functions;

5. measures to maintain or enhance environmentally sound multiple benefits accruing from the

forest;

6. prevention or minimization of the adverse environmental impacts from forest use;

7. effective forest management planning;

8. active monitoring and assessment of relevant forest management areas; and

9. The maintenance of critical forest areas and other critical natural habitats affected by the

operation.

ERP/Carbon Fund will not finance industrial scale-harvesting, i.e. carried out by firms (in opposition to

local communities and forests operating under joint forest or community management). NEA, NSC

and project proponents (CSOs/CBOs) will monitors all such operations with meaningful and

documented participation of participating communities. All of the above requirements should be

assessed, documented and reflected in the progress implementation reports of participating

CSOs/CBOs.

I. Ecotourism

1. Strengthen the conservation effort for, and enhance the natural integrity of the ecotourism

areas

2. Respect the sensitivities of local cultures

3. Be efficient in the use of natural resources (water, energy)

4. Ensure waste disposal has minimal environmental and aesthetic impact

5. Develop a recycling program

6. Keep abreast of current environmental issues, particularly of the local area

7. Network with other stakeholders (particularly those in the local area) to keep each other

informed of developments and encourage the use of this Code of Practice


8. Endeavour to use distribution networks (e.g. catalogues) and retail outlets to raise

environmental awareness by distributing guidelines to consumers

9. Support ecotourism education/training for guides and managers

10. Employ tour guides well versed and respectful of local cultures and environments

11. Give clients appropriate verbal and written education (interpretation) and guidance with

respect to the natural and cultural history of the areas visited

12. Use locally produced goods that benefit the local community, but do not by goods made from

threatened or endangered species

13. Never intentionally disturb or encourage the disturbance of wildlife or wildlife habitats

14. Keep vehicles to designated roads and tracks

15. Abide by the rules and regulations of natural areas

16. Commit to the principle of best practice

17. Comply with Government of Indonesia Regulation requirements

J. Village Spatial Planning

This is a simple guideline of Environmental and Social Code of Practices (ESCOP) for reference on

the inclusion and consideration of good practices in environmental and social management in village

planning process.

The village planning development may also generate indirect negative environmental and social

impacts and the followings are the examples of potential impacts from the downstream activities of

village development planning:

1. Affect local and IP communities;

2. Lead to future land acquisition and resettlement;

3. Require relocation of people that may have substantial social implications;

4. Require the use of natural resources unsustainably (for example: excessive extraction of

groundwater, massive sand mining);

5. Lead to the increase of greenhouse gases emissions (for example: poor planning of the

energy use or preference to fossil fuel);

6. Lead to increase the vulnerability of these investments to climate-related hazards and other

natural hazards (earthquake, tsunami, etc.);

7. Lead to mismanagement of solid wastes and wastewater (for example: the absence of

allocation for local landfill and local wastewater treatment);

8. Steer the concerns on sensitive sites within or in the periphery of the village or district (for

example: cultural heritage sites);

9. Enable to generate other unidentified environmental and social risks and opportunities.


Specific for land use planning at the village level, the following issues are recommended to be

considered and integrated into the planning process:

1. Has the development plan identified land with legacy issues (such as historical legal cases,

contaminated soils, etc.) in the planning?

2. Has the development plan identified the need for land acquisition and the need for possible

relocation of people and people‟s assets in the downstream physical investment through

participatory approaches in consultation?

3. Has the development plan identified the presence of indigenous peoples and designed the

land use in village or district planning in a way that fosters full respect for Indigenous People‟s

dignity, human rights and cultural uniqueness?

4. Has the development plan identified the presence of physical cultural resources, designed

without removal or alteration of any physical cultural resources and/or restriction of access of

certain communities to such sites and included improvement in management and protection

of physical cultural resources?

5. Has the development plan identified the areas vulnerable to climate-related hazards and other

natural hazards (landslides, earthquake, tsunami)?

6. Has the development plan identified the areas with ecological values (such as forests) and

designed the plan to include care and management of such areas?

K. OHS General Guidleines

The sub-project implementors are obliged to protect the health and safety of all workers. This section

provides guidance and examples of reasonable precautions to be implemented in managing the key

risks to occupational health and safety.

Preventive and protective measures should be introduced according to the following order of priority:

1. Eliminating the hazard by removing the activity from the work process. Examples include

substitution with less hazardous chemicals, using different manufacturing processes, etc;

2. Controlling the hazard at its source through use of engineering controls. Examples include

local exhaust ventilation, isolation rooms, machine guarding, acoustic insulating, etc;

3. Minimizing the hazard through design of safe work systems and administrative or institutional

control measures. Examples include job rotation, training safe work procedures, lock-out and

tag-out, workplace monitoring, limiting exposure or work duration, etc; and

4. Providing appropriate personal protective equipment (PPE) in conjunction with training, use,

and maintenance of the PPE.

The application of prevention and control measures to occupational hazards should be based on

comprehensive job safety or job hazard analyses. The results of these analyses should be prioritized

as part of an action plan based on the likelihood and severity of the consequence of exposure to the

identified hazards.

Several considerations for OHS mitigation, amongst others, that are of relevance to the ERP sub-

project typologies include the following:


First Aid Facility. Qualified first-aid can always be provided. Appropriately equipped first-aid

stations should be easily accessible throughout the place of work. Where the scale of work or

the type of activity being carried out so requires, dedicated and appropriately equipped

firstaid room(s) should be provided. First aid stations and rooms should be equipped with

gloves, gowns, and masks for protection against direct contact with blood and other body

fluids. Remote sites should have written emergency procedures in place for dealing with

cases of trauma or serious illness up to the point at which patient care can be transferred to

an appropriate medical facility.

OHS Training. Provisions should be made to provide OHS orientation training to all new

employees to ensure they are apprised of the basic site rules of work at/on the site and of

personal protection and preventing injury to fellow employees. Training should consist of

basic hazard awareness, site specific hazards, safe work practices, and emergency

procedures for fire, evacuation, and natural disasters, as appropriate.

Rotating and Moving Equipment. Injury or death can occur from being trapped, entangled,

or struck by machinery parts due to unexpected starting of equipment or unobvious

movement during operations. Recommended protective measures include: Designing

machines to eliminate trap hazards and ensuring that extremities are kept out of harm‟s way

under normal operating conditions. Where a machine or equipment has an exposed moving

part or exposed pinch point that may endanger the safety of any worker, the machine or

equipment should be equipped with, and protected by, a guard or other device that prevents

access to the moving part or pinch point. Guards should be designed and installed in

conformance with appropriate machine safety standards.

Chemical Hazards. Chemical hazards represent potential for illness or injury due to single

acute exposure or chronic repetitive exposure to toxic, corrosive, sensitizing or oxidative

substances. They also represent a risk of uncontrolled reaction, including the risk of fire and

explosion, if incompatible chemicals are inadvertently mixed. Chemical hazards can most

effectively be prevented through a hierarchical approach that includes: Replacement of the

hazardous substance with a less hazardous substitute, implementation of engineering and

administrative control measures to avoid or minimize the release of hazardous substances

into the work environment keeping the level of exposure below internationally established or

recognized limits, keeping the number of employees exposed, or likely to become exposed,

to a minimum, communicating chemical hazards to workers through labeling and marking

according to national and internationally recognized requirements and standards, including

Materials Safety Data Sheets (MSDS), or equivalent, and training workers in the use of the

available information (such as MSDSs), safe work practices, and appropriate use of PPE.

Personal Protective Equipment (PPE). PPE provides additional protection to workers

exposed to workplace hazards in conjunction with other facility controls and safety systems.

PPE is considered to be a last resort that is above and beyond the other facility controls and

provides the worker with an extra level of personal protection. Recommended measures for

use of PPE in the workplace include: active use of PPE if alternative technologies, work plans

or procedures cannot eliminate, or sufficiently reduce, a hazard or exposure; identification

and provision of appropriate PPE that offers adequate protection to the worker, co-workers,

and occasional visitors, without incurring unnecessary inconvenience to the individual; proper

maintenance of PPE, including cleaning when dirty and replacement when damaged or worn


out; proper use of PPE should be part of the recurrent training programs for employees;

selection of PPE should be based on the hazard and risk ranking described earlier in this

section, and selected according to criteria on performance and testing established

L. Emergency Preparedness and Response Guideline

An emergency is an unplanned event when a project operation loses control, or could lose control, of

a situation that may result in risks to human health, property, or the environment, either within the

facility or in the local community. Emergencies do not normally include safe work practices for

frequent upsets or events that are covered by occupational health and safety.

Sub-projects that are engaging physical activities should have an Emergency Preparedness and

Response Plan that is commensurate with the risks of the activities being undertaken and that

includes the following basic elements:

Administration (policy, purpose, distribution, definitions, etc);

Organization of emergency areas (command centers, medical stations, etc);

Roles and responsibilities;

Communication systems;

Emergency response procedures;

Emergency resources;

Training and updating;

Checklists (role and action list and equipment checklist); and

Business Continuity and Contingency

If a local community may be at risk from a potential emergency arising at the facility, the project

should implement communication measures as appropriate to alert the community, such as: audible

alarms, such as fire bells or sirens, fan out telephone call lists, vehicle mounted speakers,

communicating details of the nature of the emergency, communicating protection options (evacuation,

quarantine), providing advise on selecting an appropriate protection option.

A mechanism should be provided for funding emergency activities and provision of emergency

resources. These emergency resources include, among others:

Medical Services. First aid attendants for the facility as well as medical equipment suitable

for the personnel, type of operation, and the degree of treatment likely to be required prior to

transportation to hospital should be considered to be provided.

Availability of Resources. Appropriate measures for managing the availability of resources

in case of an emergency include: i) Maintaining a list of external equipment, personnel,

facilities, funding, expert knowledge, and materials that may be required to respond to

emergencies. The list should include personnel with specialized expertise for spill clean-up,

flood control, engineering, water treatment, environmental science, etc., or any of the

functions required to adequately respond to the identified emergency; ii) Providing personnel

who can readily call up resources, as required; iii) Tracking and managing the costs


associated with emergency resources; iv) Considering the quantity, response time, capability,

limitations, and cost of these resources, for both site-specific emergencies, and community or

regional emergencies; v) Considering if external resources are unable to provide sufficient

capacity during a regional emergency and whether additional resources may need to be

maintained on-site.

Contact List. A list of contact information for all internal and external resources and

personnel should be provided for the sub-project. The list should include the name,

description, location, and contact details (telephone, email) for each of the resources, and be

maintained annually.

Training and Updating. The emergency preparedness facilities and emergency response

plans require maintenance, review, and updating to account for changes in equipment,

personnel, and facilities. Training programs and practice exercises provide for testing systems

to ensure an adequate level of emergency preparedness. Programs should: identify training

needs based on the roles and responsibilities, capabilities and requirements of personnel in

an emergency; develop a training plan to address needs, particularly for fire fighting, spill

response, and evacuation; conduct annual trainings or more frequent when the response

includes specialized equipment, procedures or hazards.

M. Guidelines for Forest and Land Fire Management and Suppression (covering Occupational,

Health and Safety Aspects)

Safety is a core value and is a critical part of all activities, from planning through restoration. One of

the most common reasons for establishing a fire management organization is to protect firefighters

and communities from unwanted fires. Firefighter safety begins with the provision of the proper safety

equipment and training to each personnel in fire suppression.

This sub section is prepared to provide guideline for fire prevention managers in managing health and

safety aspects of firefighters and community volunteers. This guideline has been adapted from the

FAO Fire Management: Voluntary Guidelines.

a. Fire prevention

Key actions for fire prevention include but are not limited to:

1. In areas in which objectives require minimizing the number of fires and the area burned, a

comprehensive prevention plan should be developed.

2. Prevention plans take into account traditional uses of fire, be based on laws or regulations

restricting fires and involve local community leaders and organizations.

3. Data collected on a monthly and annual basis on frequency, specific causes and locations of

human-caused fires, reasons for starting the fires, and area burned in order to establish an

effective prevention programme.

4. Fire prevention programs include information on the need to use and manage fire in certain

situations.

5. The appropriate use and management of fire can promote sustainable livelihoods.

b. Fire preparedness, including technical training


Fire preparedness includes training, equipping and staffing prior to the start of a fire. Safety training

includes education in the local weather and terrain, as well as in the flammability of fuels. Firefighters,

who may also involve community volunteers, must be trained to recognize the characteristics of fire

behaviour, such as intensities, spread rates and when a smouldering fire can re-ignite and begin to

spread. Firefighting crews need to understand how to monitor fires and to estimate potential changes

to avoid becoming trapped by an unanticipated change in spread or intensity. Training in the effective

use of equipment and fire suppression techniques is also important, and providing personal protective

equipment such as helmets, gloves, fire-resistant clothing and safety boots should be done.

Key actions for fire preparedness include but are not limited to:

1. Preparedness plans should include all activities to be undertaken prior to the start of a fire.

2. Safety considerations, both for firefighters and the public, be part of preparedness plan.

3. Plans and implementation should be based on an effective and cost-efficient mix of resources

and organizations.

4. Plans should take ecological considerations into account, such as the impact of suppression

actions on the environment and the role of fire in the ecosystem or in cultural areas.

5. Plans should include processes and procedures to assess risk and hazard and to determine

appropriate response and mitigation actions.

6. Plans should be based on predicted fire risks and capacities, including staffing and resources

identified that correspond to the level of risk.

7. Plans should assess the capabilities of remote communities and individuals living in outlying

areas to protect their own assets and assist fire services in all phases of fire management.

8. All training should be appropriate to local ecological, social and political conditions and should

be delivered to the same standard for full-time, paid, volunteer or other rural workers for the

expected fire characteristics.

c. Fire detection, communications and dispatching

Key actions for fire detection, communications and dispatching include but are not limited to:

1. A robust fire detection system should use an appropriate combination of remote sensing,

established land- or water-based locations, aerial routes and private citizen and rural

community networks.

2. A public communications system should be in place for the reporting of fires by private

citizens and agency personnel and for alerting managers, supervisors, landowners and

citizens.

3. A dispatch and communications system should be in place to determine the appropriate

response to a reported fire, mobilize and support initial-attack and backup fire suppression

resources, and provide appropriate information to responders, volunteers, landowners and

others involved in the incident response.A communications plan should be developed and

translated into local languages to inform the public of threats and potential severe conditions

and to provide prevention messages.


d. Initial Response

Key actions for initial attack/action include but are not limited to:

1. The initial-attack groups should be properly trained, equipped, supported and staffed to meet

local requirements.

2. All initial-attack actions should be based on the resource, cultural, economic and ecological

objectives and policies for the area, including the appropriate use of tactics and equipment.

3. The initial-attack groups should utilize local resources, if possible, in order to build support

within the community for fire management policies and plans and to gain from local

knowledge and experience.

4. The initial-attack groups should have access to communications systems to receive timely

information on fire starts, locations and status from official sources and from the public.

5. The initial-attack groups should be trained and prepared for the transition activities required

when fires escape and become larger, requiring large-fire suppression strategies and tactics

to be formulated and applied across the incident.

6. The initial-attack organization should be prepared for non-fire activities, such as protecting

private citizens and directing evacuation, and should be trained in rescue and emergency

medical procedures.

e. Large fire suppression and management

Key actions for large-fire suppression and management include but are not limited to:

1. Plans and procedures should be established for large-fire suppression based on expected

size, duration and complexity.

2. An extensive process should be in place to gather intelligence and information on all aspects

of a large fire in order to ensure effective planning, strategy formulation and community

involvement.

3. A versatile and expandable management system, such as Incident Command System (ICS),

should be used to manage fires of all sizes and complexities in order to minimize confusion

and risk during transition periods.

4. Pre-fire-season agreements should be prepared that provide for assistance during large fires

when local resources are fully committed.

5. A process of review, evaluation and training should be in place so that personnel recognize

the conditions under which a large fire is likely to occur and ascertain that prompt and

adequate steps are taken in anticipation of the event.

6. Plans should contain provisions for evaluating large fires to determine if some or all of the fire

can be managed in a manner that benefits the ecosystem, reduces the risk to fire suppression

personnel and minimizes costs.


7. Plans should include risk analysis of the probability and consequences of failure in meeting

plan objectives.

f. Managing multiple incidents

Key actions for managing multiple incidents include but are not limited to:

1. Prior to the start of the fire season, plans should be developed that provide for the

management, resource-allocation, prioritization and other transboundary actions required

during multiple incidents.

2. Consideration should be given to the possibility that additional fires will start and to the

allocating of suppression resources so as to reduce the potential of additional large and

damaging fires occurring in critical areas.

3. Through the use of incident command system in all jurisdictions and in response to any type

of fire or other emergency, the agencies, groups and other organizations involved will acquire

the experience to effectively use the system in transboundary and multiple fire situations.


ANNEX 4. GUIDANCE NOTE FOR INTEGRATED PEST MANAGEMENT

Integrated Pest Management (IPM) refers to “the careful consideration of all available pest control

techniques and subsequent integration of appropriate measures that discourage the development of

pest populations and keep pesticides and other interventions to levels that are economically justified

and reduce or minimize risks to human health and the environment. IPM emphasizes the growth of a

healthy crop with the least possible disruption to agro-ecosystems and encourages natural pest

control mechanisms”. ERP recognizes local wisdoms in managing pests and will support communities

to mainstream such local knowledge into the ESMP. IPM is not a single pest control method, but

rather a series of pest management assessments, decisions, and controls.

Two Provincial Agencies in Jambi, Agriculture (Dinas TPHP) and Plantation (Disbun) have aready had

detailed procedures for dealing with pest outbreaks. Not only that, they have established institutional

set up to deal with agriculture and plantation pest issues and to also provide natural pesticide to

control agriculture and plantation crop pests. Below are the reporting and surveillance procedures for

pest management in Jambi.


Source: Food Crop, Horticulture and Livestock Services

Currently Jambi has already actively participated in the efforts to reduce pest attacks through

Integrated Pest Management (IPM) in agriculture and plantation sectors. Up to know there are 16

Information and Service Units for Natural Pesticides (IPAH) across the province. These Units provide

information and services to farmers on how to use and get natural pesticides. In line with this,

Plantation Agency of Jambi has already developed Centre for Plantation Crop Protection (BPTP)11

that supervise 23 Plantation Crop Protection Unit across Jambi. These units are responsible for

monitoring cases of pest attacks and report back to BPTP for further advise on actions to be taken.

Both agencies also provide field schools for farmer on Integrated Pest Management.

The following elements of the IPM will need to be established in the development of the ESMP as part

of the UKL-UPL (please see Annex 6):

1. Identify and Monitor Pests - Not all insects, weeds, and other living organisms require control.

Many organisms are innocuous, and some are even beneficial. IPM programs work to monitor

11

Established through Governor of Jambi Regulation No.18/2018.


for pests and identify them accurately, so that appropriate control decisions can be made in

conjunction with action thresholds. This monitoring and identification removes the possibility that

pesticides will be used when they are not really needed or that the wrong kind of pesticide will

be used.

2. Set Action Thresholds - Before taking any pest control action, IPM first sets an action threshold,

a point at which pest populations or environmental conditions indicate that pest control action

must be taken. Sighting a single pest does not always mean control is needed. The level at

which pests will either become an economic threat is critical to guide future pest control

decisions.

3. Prevention - as a first line of pest control, IPM programs work to manage the crop, lawn, or

indoor space to prevent pests from becoming a threat. In an agricultural crop, this may mean

using cultural methods, such as rotating between different crops, selecting pest-resistant

varieties, and planting pest-free rootstock. These control methods can be very effective and

cost-efficient and present little to no risk to people or the environment;

4. Control - Once monitoring, identification, and action thresholds indicate that pest control is

required, and preventive methods are no longer effective or available, IPM programs then

evaluate the proper control method both for effectiveness and risk. Effective, less risky pest

controls are chosen first, including highly targeted chemicals, such as pheromones to disrupt

pest mating, or mechanical control, such as trapping or weeding. If further monitoring,

identifications and action thresholds indicate that less risky controls are not working, then

additional pest control methods would be employed, such as targeted spraying of pesticides.

Broadcast spraying of non-specific pesticides is a last resort. The project will not procure or use

pesticides and chemical fertilizers that are classified as IA or IB by WHO and GOI‟s regulations.

ERP will encourage use of organic )or readily biodegradable) fertilizers for activities related to

agriculture and agroforestry. However, since small quantities of eligible pesticides may be

procured and used, the project will screen at the project level and when justified, assess the

potential environmental and social impacts associated with use, storage and disposal. The

project will not finance any pesticide without clear guidance and monitoring of safeguard

specialists nor without targeted training on use, storage and disposal or without the right

equipment and installations necessary for the products to be used safely and appropriately. In

the event pesticides must be used for project activities, the following criteria apply:

1) They must have negligible adverse human health effects;

2) They must be shown to be effective against the target species;

3) They must have minimal effect on non-target species and the natural environment. The

methods, timing, and frequency of pesticide application are aimed to minimize damage to

natural enemies. Pesticides used in public health programs must demonstrate to be safe

for inhabitants and domestic animals in the treated areas, as well as for personnel

applying them;

4) Their use must take into account the need to prevent the development of resistance in

pests.

Relevant specialists and/or local agricultural extension officers will provide technical assistance for

implementing stakeholders and target communities in the event of pesticide use. For each ERP


component, the environmental mitigation plan (EMP) should include an Integrated Pest Management

Plan (IPMP) that:

1. Lists the banned pesticide use by the Government of Indonesia

2. Provides an assessment of current relevant pest management practices;

3. Identifies specific practices and conditions that could and should be improved (e.g. calendar-

based spraying, use of overly toxic or otherwise inappropriate pesticides, failure to apply

available non-chemical methods, insufficient access of farmers to information about IPM,

policy biases towards chemical control, deficiencies in institutional capacity to implement IPM

and control of pesticide use, etc.);

4. Provides measures and activities to be taken under the project to improve the situation; and

5. Provides a monitoring scheme to determine the effectiveness of these measures and enable

correction where necessary.

Minimal outline for IPMP:

A well-written, easy-to-follow IPM plan provides staff and management with a written document on

IPM procedures and policies for the facility. The plan should be a living document that is continually

updated as new pest situations and new procedures or activities within the facility arise. This allows

the facility to maintain a historical record of pest management procedures so the IPM coordinator can

act on pest issues, with noted positive and negative experiences of their predecessors. The IPMP

should be unique to each project activity, and minimally have the following sections:

1. Project description: describe the project and its salient features that will likely require pest

management measures.

2. Existing and anticipated pest problems: Prepare an overview of the crops cultivated/managed

in the project and the key pest and diseases problems experienced, especially by small holder

farmers. Provide estimates (preferably based on local studies) of the crop/economic losses

that can be attributed to the key pests, diseases and weeds.

3. Existing and proposed measures for pest control: Describe the current and proposed

methods for pest or vector management practiced in the country/region. Describe the non-

chemical pest control methods, IPM approaches that are available in the country. Describe

monitoring/sampling protocols, action thresholds and monitoring procedures. Assess if

envisaged pesticide use under the project is justified by (a) explaining the IPM approach and

the reason why pesticide use is considered, (b) providing an economic assessment

demonstrating that the proposed pesticide use would increase farmers'/KPH revenues,

provide evidence that the proposed pesticide use is justified from the best available

(preferably WHO-supported) public health evidence.

4. Roles and Responsibilities: define who in the KPH will be in charge of the data collection and

storage, reporting on IPM implementation. In the case of the use of chemical pesticides,

assign responsibilities for the procurement, application and disposal of pesticides and the

proper record keeping.

5. Monitoring and evaluation: define a reporting mechanism on the IPMP implementation,

emphasizing its efficiency and efficacy.


6. Capacity building: define any capacity building measures necessary for KPH management,

staff and beneficiaries to implement the IPMP.

NOTE: If any pesticides are required by the IPMP they will procured by the project must be manufactured, packaged, labeled, handled, stored, disposed of, and applied according to acceptable standards12. The project does not finance formulated products that fall in WHO classes IA and IB, or formulations of products in Class II13. List of Banned Pesticides use by the Government of Indonesia

The following is a list of banned pesticides according to Ministry of Agriculture Regulation No.

39/Permentan/SR.330/7/2015:

1. Pesticides classified as Class Ia and Class Ib according to the World Health Organization

(WHO);

2. Active ingredients and/or additives that have carcinogenic effect (Category I and IIa according

to the International Agency for Research on Cancer (IARC), mutagenic and teratogenic

according to the Food and Agriculture Organization (FAO), and the WHO;

3. Active ingredients and/or additives that cause medicinal resistance to humans; and

4. Active ingredients and/or additives that are classified as POPs (Persistent Organic Pollutants)

according to the Stockholm Convention.

There are at least 70 pesticides that are banned for use in Indonesia:

No. Active Ingredient CAS Number

1. 2,4,5-T 95-95-4

2. 2,4,5-T including its salts and derivative esters 93-76-5

3. 2,4,6-T 88-06-2

4. Aldicarb 116-06-3

5. Aldrin 309-00-2

6. Alachlor 15972-60-8

7. Alpha hexachlorocyclohexane 319-84-6

12

For pesticides application, storage and disposal guidelines please refer to http://www.fao.org/fileadmin/templates/agphome/documents/Pests_Pesticides/Code/Old_guidelines/ Ground_application.pdf, http://www.fao.org/fileadmin/user_upload/obsolete_pesticides/docs/small_qties.pdf

13 For reference on the substances please consult the World Health Organization. Recommended Classification of Pesticides by Hazards and Guidelines refer http://www.who.int/ipcs/publications/pesticides_hazard_rev_3.pdf

http://www.fao.org/fileadmin/templates/agphome/documents/Pests_Pesticides/Code/Old_guidelines/Ground_application.pdf

http://www.fao.org/fileadmin/templates/agphome/documents/Pests_Pesticides/Code/Old_guidelines/Ground_application.pdf

http://www.fao.org/fileadmin/user_upload/obsolete_pesticides/docs/small_qties.pdf

http://www.who.int/ipcs/publications/pesticides_hazard_rev_3.pdf



8. All Tributiltin compounds (tributyltin) including:

- Tributyltin oxide - Tributyltin fluoride - Tributyltin methacrylates - Tributyltin benzoate - Tributyltin chloride - Tributyltin linoleate - Tributyltin naphthenate

56-35-9

1983-10-4

2155-70-6

4342-36-3

1461-22-9

24124-25-2

85409-17-2

85409-17-2

9. 1,2-dibromo-3-chloroprophane/DBCP 96-12-8

10. Beta hexachlorcyclohexane 319-85-7

11. Binapacryl 485-31-4

12. Cyhexatin 13121-70-5

13. Chlorobenzilate 510-15-6

14. Dichloro diphenyl trichlrooethane/DDT 50-29-3

15. Dicofol 115-32-2

16. Dieldrin 60-57-1

17. 2,3-dichlorophenol 576-24-9



20. Dinozeb 88-85-7

21. Dinitro-ortho-cresol/DNOC with its salts:

- Ammonium,

- Potassium; and

- Sodium

534-52-1

2980-64-5

5787-96-2

2312-76-7

22. Dichlorvos 95828-55-0

23. Ethyl p-nitrophenyl benzenethiophosponate (EPN) 2104-64-5

24. Ethylene dichloride 107-06-2

25. Ethylene oxide 75-21-8

26. Endrin 72-20-8

27. Endosulfan 115-29-7

28. Endosulfan low grade

(Campuran antara alfa dan beta endosulfan)

115-29-7

29. Etilen dibromida (EDB) (ethylene dibromide) 72-20-8

30. Fluoroasetamida (fluoroacetamide) 640-19-7

31. Formaldehida (formaldehide) 50-00-0

32. Fosfor kuning (yellow phosphorus) 7723-14-0

33. Heptaklor (heptachlor) 76-44-8

34. Heksaklorobenzena (hexachlorobenzene) 118-74-1



35. Kaptafol (captafol) 2425-06-1

36. Klordan (chlordane) 57-74-9

37. Klordekon (chlordecone) 143-50-0

38. Klordimefon (chlordimefon) 19750-95-9

39. Leptofos (leptophos) 21609-90-5

40. Heksakloro Siklo Heksan (mixed isomers) (hexachlorocyclohexane) 608-73-1

41. Gama Heksakloro Siklo Heksan

(gamma HCH/lindan)

(gamma hexachlorocyclohexane)

58-89-9

42. Metoksiklor (metoxychlor) 72-43-5

43. Mevinfos (mevinphos) 26718-65-0

44. Monosodium metil arsenat (monosodium methylarsenate)/MSMA 2163-80-6

45. Monokrotofos (monocrotophos) 6923-22-4

46. Natrium dikromat (sodium dichromate) 7789-12-0

47. Natrium klorat (sodium chlorate) 7775-09-9

48. Natrium tribromofenol

(sodium trybromophenol)

591-20-8

49. Natrium 4-brom-2,5-diklorofenol (natrium 4-brom-2,5-dichlorophenol) 4824-78-6

50. Metil paration (methyl parathion) 298-00-0

51. Halogen fenol (halogen phenol) (including Penta)

Kloro Fenol (pentachlorophenol)/PCP) dan garamnya

87-86-5

52. Paration (parathion) 56-38-2

53. Salmonella based

54. Penta kloro benzena (pentachlorobenzene) 608-93-5

55. Arsen dan Senyawa arsen (arsenic compound) 1327-53-3,

007440-38-2

56. Merkuri dan Senyawa merkuri (mercury compound) 10112-91-1,

7546-30-7, 7487-

94-7, 21908-53-2

57. Striknin (strychnine) 57-24-9

58. Telodrin (telodrin) 297-78-9

59. Toksafen (toxaphene) 8001-35-2

60. Mireks (mirex) 2385-85-5

61. Asam sulfat (sulphur acid) 7664-93-9

62. Asam perfluoroktana sulfonat and its salts

(perfluorooctane sulfonic acid/PFOS, its salt)

1763-23-1

63. Perfluorooktana sulfonil fluorida (perfluorooctane sufonyl

fluoride)

307-35-7

64. Klorometil metil eter (Bis(chloromethyl)ether;

chloromethyl methyl ether (technical-grade)

542-88-1, 107-30-2



65. Kadmium dan senyawa kadmium (cadmium and cadmium compounds) 7440-43-9

66. Senyawa kromium (VI) (Chromium (VI) compounds) 18540-29-9

67. 4,4‟-metilenbis(2-kloroanilin) (4,4'-Methylenebis(2-chloroaniline) 101-14-4

68. Tris(2,3-dibromopropil)fosfat (Tris(2,3-dibromopropyl)

phosphate)

126-72-7

69. Prokarbazin hidroklorida (Procarbazine hydrochloride) 366-70-1

70. Antibiotics

Forest type project activities involving pest control measures must consider four aspects, namely:

1. Biological aspects of pest (insect, nematodes, fungi, etc.) to decide the right time to control

2. Technical aspects by using simple but effective means.

3. Economical aspect is the inexpensive cost of control or equal to the maximum value of the

loss that will be saved and

4. Ecological aspects are the controlling measures which avoid environmental pollution.

Pest control techniques can be applied naturally or artificially. Natural control is the ability to rely on

natural pest control components that live in environments without involving the human role. In the

contrary, artificial control techniques require humans role and can be physical-mechanical, in

silviculture, biological basis, per-laws and regulations, chemical and integrated pest management

(IPM).

Pest control in stand forest are conducted chemically and are ecologically very dangerous for the

environment and economically very costly, however, how this method can be done in the nursery.

Biological pest control, by using predators and parasites as well as planting superior pest-resistant

species has become priority alternative in the future because it has competitive advantages and

promising prospects.


The Basic Framework Table of Framework for Integrated Pest Management

Narrative Summary Expected Results Performance Indicators Assumptions/Risks

Objective:

Increasing the

awareness of all

stakeholders on IPM

approaches to

crop management,

and train the

facilitators, farmers

and plant foresters.

Members and

stakeholders understand

the importance of IPM

approach

The increased

application of IPM in

the Field

Reducing the use of

harmful pesticides in

the field

Regulations, the

provisions concerning

the application of IPM is

consistently implemented

by the Government.

Activity1

Launch

awareness programs

Stakeholders become

more aware of the

dangers of pesticides.

Benchmarks:

Electronic media, printed

materials, distributed

brochures to the

stakeholders in the field

Reduced accidents

in the handling, use,

storage, and disposal

pesticide.

The increasing use

of bio pesticides

IPM practices

adopted

KPH institution

regularly active in

information

dissemination program

Activity 2

The introduction of IPM

Increased use of organic

fertilizers

Benchmarks:

At project level,

introduction to IPM is

launched

In the Demonstration

Area in different pilot

KPHs the usefulness

of IPM is

demonstrated

Financial incentives

are provided for

farmers who

participate

Monitoring results of

the pilot project

Provincial governments is

convinced of the need to

introduce environmentally

friendly practices in the

forestry sector.

Activity 3

Strengthening

Institutional Capacity in

IPM

All KPH officials are

following the

development of IPM

Benchmarks:

Course on IPM for

Forestry and district

government facilitator

so they stay

updated of the latest

developments

Evidence of improved

official's knowledge

about IPM Agriculture

The provincial

government is

committed to encourage

and enable the officials

to follow IPM training

courses


Examples of Forest Pest Management

Research and Development Centre on Forest Productivity Enhancement has been successfully

controlling pests and diseases in sengon, Jabon and gmelina as follows:

Table of Type of forest pest and disease control

No. TYPE CONTROL

PEST

1 Eurema sp. (yellow

butterfly)

Insecticide with active ingredient Bacillus thuringiensis at a dose of

0.5 to 2 grams per liter of water and spray directly to the larval body.

Parasitoids Apanteles sp. (Hymenoptera).

Phyto-pesticides from suren leaves soaked for 24 hours then

squeezed, later the juice is sprayed.

2 Boktor/Xystrocera

festiva (borer pest on sengon stem)

The Beauveria bassiana fungus is obtained by blending 200 grams

of fungal inoculum then added to 8 liters of water (25gram per liter of

water).

Insecticide with active ingredient Bacillus thuringiensis at a dose of

0.5 to 2 grams per liter of water and spray directly on the larval body.

3 Pocket worm The Beauveria bassiana fungus is obtained by blending 200 grams

of fungal inoculum was added 8 liters of water (25gram per liter of

water).

Phyto-Insecticides from gadung yam juice 125g per liter of water,

mahogany seeds juice 150g per liter of water by spraying, bacok

oles and infusion

Insecticide with active ingredient Bacillus thuringiensis. Systemic

insecticide with active ingredient imidacloprid Confidor),

methamidophos + boron or borax (1: 10)

4 Uret Using entomopathogenic fungi Metarrhizium - Insecticide with active

ingredient fipronil (Reagent)

5 grayak worm Insecticide with active ingredient Bacillus thuringiensis, BPMC

(Baycarp) and imidacloprid

6 Leaf-eater worm Insecticides with active ingredient BPMC and

imidacloprid

7 Locust Insecticides with active ingredient BPMC and

imidacloprid

8 White lice Using wood vinegar + Bacillus thuringiensis,

9 kepik renda pest Insecticide with active ingredient imidacloprid

DISEASE

1 Karat tumor disease Materials used; lime, sulfur and salt (sulfur: limestone + 1: 1;

brimstone: salt = 10: 1; lime: salt = 10: 1; sulfur: limestone: salt 10:

10: 1). Treatment; sprayed and coated (materials to spray is more

liquid and filtered first, while it is more viscous material for coating).

Before the spraying and coating, first, eliminates gall on attacked

sengon plants, galls were collected and buried in the ground so as to

not contagious. After the galls removed, stem will be coated and

sprayed.

2 Spotting leaves

disease

Using wood vinegar 40cc per liter of water

Fungicide with active ingredients benomil and active ingredients

sulfur


No. TYPE CONTROL

3 Rotten root, tumbled

sprout and wilt

disease

Using antagonist fungicides Trichoderma and

Gliocladium

Fungicides with active ingredient triadimefon (Bayleton)

4 Embun tepung

disease

Using fungicide with active ingredient benomil


APPENDIX 5 BIODIVERSITY MANAGEMENT FRAMEWORK AND

GENERAL GUIDELINE FOR HIGH CONSERVATION VALUE ASSESSMENTS

1. OBJECTIVES

The objective of this Biodiversity Management framework is to define the approach that will be

adopted by the ERP in relation to the assessment, mitigation and management of potential

biodiversity issues and impacts.

2. BIODIVERSITY GOALS

The ERP seeks to ensure that the biodiversity in Jambi is not adversely impacted by the

implementation of sub-project activities. This goal is aimed to be achieved over the life of the sub-

project activities in the region.

To achieve this goal, the ERP commits to:

Identify important biodiversity features through identification of High Conservation Values

(HCVs) of relevance to the sub-project activities;

Develop an HCV management strategy and action plans (i.e. Biodiversity Action Plan) to

maintain and/or enhance biodiversity features/HCVs;

Develop a monitoring program on implementation of HCV management measures

capable of providing feedback and any required adjustments to the management strategy and

biodiversity action plan; and

Engage and consult with biodiversity stakeholders at all stages of the program and build

cross-sector partnerships with local communities, various levels of national government, non-

government organisations and academic institutions.

3. ENVIRONMENTAL ASSESSMENTS AND HIGH CONSERVATION VALUE

The ERP sub-project activities will undertake assessment of potential impacts on biodiversity features

and ecosystem services to meet national permitting requirements, and the World Bank OP/BP 4.04 on

Natural Habitats. All proposed sub-project activities will be subject to an appropriate level of

environmental assessment commensurate with the nature and scope of the proposed activities. The

guidance for the environmental assessment and permitting of sub-project activities will take account

the requirements of the ERP ESMF and include the national requirements for environmental

asessments.

Critical habitats are essentially those areas with high biodiversity values (HCVs) that are identified as

government protected forest areas and those considered important for endangered and endemic

species, migratory species, threatened and unique ecosystems and areas associated with key

evolutionary processes. The HCV process will identify and assess the existence of any HCVs (critical

habitats) at the sub-project sites and prepare the required HCV management strategy and action

plans, and monitoring program.


4. GENERAL GUIDELINE FOR HIGH CONSERVATION VALUE (HCV) ASSESSMENTS

The HCV process essentially comprises of several phases: i) HCV area identification phase, ii)

development of managmenet strategies and actions, and iii) monitoring impacts of operations.

The emissions reduction program should be oriented on the attempt to prevent or reduce declining

rate of biodiversity conservation, by not causing interference to the sustainability which support the

success of local community efforts and also to potential supporting values of successful value-added

development, shapes, and usage patterns of sustainable biodiversity

1. HCV Area Identification Phase

The identification and determination of High Conservation Value (HCVs) areas aims at understanding

the existence, condition, status, and policy management in each administrative district governments.

Hence the policy on area utilization in the landscape management in each district is based on the

values of the determining elements of environmental preservation. Elements include structure and

function of the biodiversity conservation value in a landscape.

HCV identification processes include six (6) stages: (1) desk study, (2) preparation of field verification,

(3) field verification, (4) analysis, evaluation, and delineation, (5) public consultation, and (6)

socialization and the determination of management typology. In summary, the work flow process of

defining and managing the valued areas is presented in the figure below

Stage 1: Desk study (data and information study)

This stage is the early identification, aims at determining the status of the region and the potential

biodiversity, the data or information obtained from BAPPEDA, the related planning offices including

BAPEDALDA, NGOs, universities, LIPI and other related parties. Outcomes of desk study stage are

the draft of delineation areas of valued biodiversity conservation area. Activities at this stage include

the following activities:

1) Interpreting satellite imagery map;

2) Overlaying the maps; interpretation of satellite imagery, zoning, land-use agreement, agro

ecological zones, biodiversity hotspots, topography, climate, and other related maps;

3) Analysis of historical land cover and space usage;

4) Analysis of the stability of the region;

5) Data collecting from public in relation to biodiversity at ecosystems, species and genetic level.

If there is no indication of valued areas for biodiversity conservation in the jurisdiction of a district

government, the identification will be stopped at this stage. Meanwhile if there is any indication of the

valued region for biodiversity conservation in the work area, then the identification continues to the

later stage. The results of this study become the first step. Furthermore, the results of this initial study

are used as a reference by departments/agencies to prepare field verification.

114

Stage 2: Preparation of verification/field studies

This is the stage where in-depth studies were conducted based on the data or information from various

sources, including data or reports from departments/agencies. Outcome of this stage is knowledge of

the conditions of ecosystems, species and genetic resources in areas suspected to have valued

biodiversity conservation. Then field verification methods are compiled as described in the table below

and the preparation of tally sheet/data collection form.

Stage 3: Field Verification.

Field verification activity is performed by agencies in accordance with the scope of their work and the

methods and tally sheet/form that has been designed on stage 2 activities.

Stage 4: Analysis, evaluation, and delineation.

This stage aims at delineating valued areas for biodiversity in the basis of data or information from

field verification results collected from the departments/agencies.

Stage 5: Public Consultation.

Aiming to get input from the public in order to clarify and enrich the areas that have significant value for

biodiversity conservation. The public consultation also aims at socializing the findings and delineation of

the valued areas for biodiversity conservation hence the stakeholders in the associated areas will be

actively involved so that the protection and conservation of biodiversity can be maintained in the long

term. In addition, to optimize decision-making which based on data and information and to ensure the

interests of the parties involved are accommodated. Public consultation is carried out by inviting

interested parties where valued areas for biodiversity conservation located. These stakeholders

include local governments, private sector, academia and the public and non-governmental

organizations.

Stage 6: Determination of Delineation.

At this stage the results of the delineation process for valued areas for biodiversity conservation are

being socialized to public, especially to stakeholders whose areas are included in the delineation, so

that the delineation can be determined and agreed upon by all related parties.

Stage 7: Determination of Valuable Areas.

HCV areas that have been identified and disseminated to all stakeholders may need to be appointed by

the district government based on law. The agreement on determining valued areas is used as input for

the preparation and/or evaluation of provincial or district spatial planning. It is necessary to provide a

legal basis for HCVs and provide direction for stakeholder management where HCVs are located. Thus,

HCVs as protected areas and/or cultivated area has strong position in the context of biodiversity

conservation and the preservation of supporting values on the success of sustainable development in

the region. Determination of HCVs is an enabling policy for the realization of regional

biodiversityobjectives in long-term.

115

Framework for initial identification of the valued areas for biodiversity conservation

No. Activity Purpose Output Source

A Identification of valued areas Status and Potential Biological diversity

A.1 Area status

1.1 Study of landscape and

seascape

Analysis of land cover Information on land cover conditions The land cover map (Bappeda, the DFS);

Agro-ecological zone map MOA);

Biodiversity hotspots map (Birdlife, CI, NC, WWF).

Spatial Analysis Land use information Land use maps (Bappeda, the

DFS, Ministry of Environment

and Forestry)

1.2 Study of the history of the

area and biodiversity

Analysis of the condition and status of the area

(past and present)

Data or information on changing

conditions and management of the area

Land use data according to time series

Public information

Research report

1.3 Study of the stability status of

the area

Analysis of the legality of the area (de jure and de

facto)

Data and information about the legal

status of the area

Legislation (laws, government

regulations, policies, etc.)

A.2 Biodiversity Potential

2.1 Study of potential

species

Analysis of the condition and status of the species

(past and present)


conditions management of the species

Agro-ecological zones

(MOA)

Public information

Research report

116


2.2 Study of potential Genetic

resources

Analysis of conditions and status of Genetic

resource (past and present)


conditions management of Genetic

resource

Agro-ecological zones

(MOA)

Public information

Research report

B Identification of Biodiversity condition in Areas Identified as Valued Areas for Biodiversity Conservation

B.1 Ecosystem Knowing the type of ecosystem in the study area

which has:

uniqueness or distinctiveness; and/or

high species diversity; and/or

Primary ecosystem which is the representation of the ecosystem that has been degraded.

Data and information on ecosystem:


high species diversity; and/or Primary ecosystem which is the representation of the ecosystem that has been degraded.

Field verification

Check-list (Under Important Ecosystem Criteria).

B.2. Species (Wild) Knowing plant and wildlife species in the study

area which have:


extinction threat; and/or

specific habitat needs either partly or fully

Data and information on the species:


extinction threat; and/or

specific habitat needs either partly or fully

Field verification

Check-list (Under Important Species Criteria).

117


Genetic Resources Knowing the varieties of plants, clumps of

animals/livestock, and fish strains in the study

area that have:

uniqueness or distinctiveness of genetic

resources; and/or

advantages in terms of resistance to pests and

diseases, and/or

advantages in terms of resistance to abiotic

stresses (extreme weather, soil acidity, etc.),

and/or

advantages in terms of productivity; and/or

advantages in terms of beauty and nature

relative to other species analyzed; and/or

high utilization potential in the future; and/or

socio-cultural and/or economy values for local

communities and on wider levels; and/or

high thrat of extinction rate

Data and information on the varieties of

plants, clumps of animals/livestock,

and fish strains

uniqueness or distinctiveness of

genetic resources; and/or

advantages in terms of resistance to

pests and diseases, and/or

advantages in terms of

resistance to abiotic stresses

(extreme weather, soil acidity, etc.),

and/or

advantages in terms of productivity;

and/or

advantages in terms of beauty and

nature relative to other species

analyzed; and/or

high utilization potential in the

future; and/or

socio-cultural and/or economy

values for local communities and/or

high threat of extinction rate

Field verification

Check-list (Under Important

SDG Criteria).


Simple tool to identify whether an area has significance value for biodiversity conservation or not, use the

following questions:

Table for Identification tool for HCVs

No Question Answer Remarks

1 Is the area a conservation area? Yes All conservation areas are critically

important for the preservation of

Biodiversity, if not, proceed to question

number 2.

No

2 Does the area have a unique

ecosystem?

Yes If yes, then the area has important value

for Biodiversity Conservation, if not,

proceed to question number 3.

No

3 Does the region have a particular

typical species?

Yes If yes, then the area has important value

for Biodiversity Conservation, if not,

proceed to question number 4.

No

4 Does the region have the typical

SDG?

Yes

No

If yes, then the area has an

important value for the Conservation of Biodiversity, if not, then the region has no significant value for Biodiversity Conservation

2. Developing Management Strategies and Actions

Development of management strategies and actions has purpose to maintain and/or enhance the

identified High Conservation Values and to maintain associated High Conservation Value Areas. These

strategies and actions are developed to provide the appropriate measures commnesuarte to the scale of

impacts by considering:

Best Available Information;

Consultations and solitations with Indigenous Peoples and/or interested and affected

stakeholders and/or experts; (people and communities who might be affected by the

management strategy and actions, such as indigenous peoples, forest dwellers, neighbouring

landowners, local processors, local businesses, forest workers*, land use right holders,

organizations acting on behalf of affected stakeholders, for example social and environmental

NGOs, labour unions, academics etc); and

Exploring opportunities for co-management of High Conservation Values.

When the strategy and action plan are completed, the engagement of experts is required to:

Assess the effectiveness of the management strategies actions to maintain and enhance High

Conservation Values and address identified threats. Effectiveness includes the concept that the

strategies prevent damage and avoid risks to High Conservation Values, even when the scientific


information is incomplete or inconclusive, and when the vulnerability and sensitivity of High

Conservation Values are uncertain;

Conduct field inspection and interview stakeholders to verify the management strategies actions

to maintain and enhance High Conservation Values* and address threats; and

Report the results of the review including recommending requirements for improvements where

results are insufficient.

3. Monitoring the Impact of Operations

The monitoring program evaluates:

The implementation of strategies;

The implementation of the action plan;

Compliance with agreements with Indigenous Peoples and local communities achieved through

Free Prior and Informed Consent;

The status of significant concentrations of biodiversity;

The status of areas on which the concentrations of biological diversity depend; and

The effectiveness of the management strategies and actions to fully maintain and/or enhance the

High Conservation Values. This means that the key metric is not if a plan has been implemented,

but if the plan has achieved the desired results.

The monitoring program should:

Be conducted with appropriate frequency to detect change. Some elements, such as Intact Forest

Landscapes, should be monitored annually to ensure there as been no change. Others, such as

carbon sequestration will likely not need to be monitored as intensively, depending on the nature

of management operations in the forest;

Consider all High Conservation Values in planning;

Include measurable targets;

Describe appropriate action based on observations on High Conservation Values presented by

Indigenous Peoples, affected and interested stakeholders, and experts;

Have sufficient scope, scale and frequency to detect changes in the High Conservation Values

relative to the initial baseline assessment;

Record the results of the monitoring; and

Provide analysis of the results.


ANNEX 6. EXAMPLE TERMS OF REFERENCE FOR ENVIRONMENTAL ASSESSMENTS, MANAGEMENT AND MONITORING (UKL-UPL & SPPL ACCEPTABLE TO THE

BANK)

The purpose of environmental assessments, management and monitoring is to establish a set of policies

and guidelines that will help the PMU/Safeguards Team or Committe in screening, assessing, and

monitoring the environmental and social aspects of all projects supported by ERP. The screening process

will identify the degree of impact of each proposed sub-projects and types of mitigation measures

required. J-SLMP and ERP projects, especially those related to livelihood improvement, small-medium

sized infrastructure development, and forest rehabilitation and restoration, may lead to possible

environmental impacts and/or risks that need to be managed, thus requiring environmental permits by

developing the UKL-UPL (Environmental Management and Environmental Monitoring Measures)

document or issuing SPPL. It should be noted that project locations must not directly share borders with

conservation areas. Otherwise, the submission of an Environmental Impact Analysis Report (ANDAL) is

required, in addition to the RKL/RPL (Environmental Management/Monitoring Plan), which must be

ratified by the government in order to secure the necessary environmental permit.

It is expected that most key activities will not require specific mitigation measures for environmental

impact. However, several key activities may need additional mitigation measures by preparing the UKL-

UPL in order to obtain environmental permits. UKL and UPL contain mitigation plans and monitoring of

standards to address the typical impacts of construction activities, including workers/community, health

and safety, land-related work, and waste management, including hazardous and toxic waste. UKL-UPL

must be prepared by competent institutions, and must meet the requirements laid out in Environment

Ministerial Regulation No. 16/2012 (Please see Environmental and Social Management Plan Template

below).

Activities that do not require a UKL/UPL document, but must develop the necessary environmental and

monitoring measures should issue an SPPL and registered at the local environmental office (no

environmental permit is needed). Please see the format for Statement of Undertaking for Environmental

Management and Monitoring Plan-SPPL attached to this Appendix).

The following matrix provide the ToR for preparing the UKL-UPL acceptable to the Bank. The TOR builds

upon the GoI requirements specified by the Ministry of Environment Regulation No. 16 Year 2012

regarding Guidelines for Preparing Environmental Assessment Documents (AMDALs and UKL-UPLs).

The UKL-UPL report essentially contains a summary of the project activities and impacts, and

environmental management and monitoring action plans.

DISCLAIMER: J-SLMP will not provide funding for Category A project that requires environmental and social impact

assessment (ESIA)


UKL-UPL TOR (GoI requirements) UKL-UPL Acceptable to the Bank

Identity of Initiator: Initiator name, business address,

postal code, telephone number, fax number and

email

Refer UKL-UPL, no additions required.

Project location and maps Refer UKL-UPL, no additions required.

Project size and scale Refer UKL-UPL, no additions required.

Project description/business activity plan: name of

project/business activity, map that is built in

accordance with cartography rules and/or an

adequate illustration of the location, scale/size of

project/business activity, outline of components of

the project/business activity

Refer UKL-UPL and add:

- Description of environmental and social

setting at the project site

- Summary of alternatives: sites and

technology considered

- Summary of current and future developments

- Basis of design for the project

Matrix on environmental and social impacts (source,

type and scale of impact), environmental and social

management and monitoring measures (activity,

location, and duration/timing), institution/person in

charge, remarks

Refer UKL-UPL and add:

- Identification of indirect and cumulative

impacts

- Identification of impacts from associated

facilities

- Identification of impacts on natural, modified

and critical habitats

- Identification of impacts on labor,

occupational health and safety and

community health and safety

- Identification of impacts related to gender and

violence

- Mitigation on creating grievance mechanism

- Cost estimates for management and

monitoring actions and sources of funds

- Capacity building and training plans for

project owner and contractors

- Institutional arrangements

Requirements for PPLH permits (environmental

protection and management)


Statement of assurance for UKL-UPL implementation Refer UKL-UPL, no additions required.

Biblical references Refer UKL-UPL, no additions required.

Appendices: principle permit, spatial conformity

letter, maps, specification/standard sheets, and/or

other supporting data



Environmental and Social Management Plan template.

No

Impact & Risk Mitigation Plan Monitoring Plan

Who Budget Key Activities Impact & Risk Significance

14

Mitigation

action Where When What Where When

14

Minimum, medium, high


Stamp duty of Rp, 6.000, - Signature

Company seal

FORMAT STATEMENT OF UNDERTAKING FOR ENVIRONMENTAL MANAGEMENT AND MONITORING (SPPL)

(For activity plan not requiring any UKL/UPL – based on the Regulation of the Minister

of Environment No.16/2012)

We, the undersigned below

Name :

Job position :

Address :

Phone Number :

As party in charge of the environmental management of: [Name of Company/Business :

Address company/Business :

Phone Number of the Company :

Type of Business :

Production Capacity :

Permit already obtained :

Purpose :

Amount of Capital :

Hereinafter, we confirm that we are capable and committed to implementing the action plans

on Environmental and Social Codes of Practices (ESCOPs), attached under Annex 3.

This SPPL shall be effective from the date of its issuance, up to the completion of our business

and/or project activity. If the project undergoes any change of location, design, process, type of

raw materials and/or supporting materials, this SPPL must be revised.

Date, Month, Year

(Name/NIP)

Registry number from the local environment agency

Date

Receiver

[Attached to the SPPL: select the relevant Environmental and Social Codes of Practices (ESCOP)]


ANNEX 7. FEEDBACK GRIEVANCE AND REDRESS MECHANISM (FGRM)

ANNEX 8. INDIGENOUS PEOPLES PLANNING FRAMEWORK (IPPF)

ANNEX 9. RESETTLEMENT PLANNING FRAMEWORK (RPF) AND PROCESS FRAMEWORK (PF)

ANNEX 10. PHYSICAL CULTURAL RESOURCES – CHANCE FIND FRAMEWORK (PCR-CFP)

ANNEX 11. MINUTES OF MEETING – STAKEHOLDER CONSULTATIONS


ANNEX 12. ASSESSMENT OF ENVIRONMENTAL AND SOCIAL RISKS AND MITIGATION MEASURES FOR ERP SUB COMPONENTS

Sub-components Activities E & S Risks Proposed Mitigation

Measures Responsible Agency

(Indicative)

Component 1: Strengthening Policy & Institutions

1.1 Institutional Strengthening

Upgrading SEKBER into

provincial institution on

climate change.

Risks associated with this Sub-

component include:

Environmental

Overall the strengthened SEKBER

will be positive for the environment

Unequal participation of members

may cost internal conflict leading to

ineffective role of SEKBER

Environmental

Clear role and

responsibility of SEKBER‟s

members

Provincial Development

Planning Bureau (BAPPEDA)

and Provincial Secretary

(SEKDA), especially the Legal

Beureu

SEKBER

Implementing partners, DKN,

and other partners, including

NGOs and Donor agencies.

Potential involvement of

governor‟s office and/or

provincial secretariat as a hub

for FGRM mechanism

Provincial Environmental

Service (DLH)

Provincial Forestry Services

FMUs

National Park Authorities

Social:

Potential conflict with other

provincial offices in terms of role an

responsibility

Social

Clear role and

responsibility mentioned in

the governor decree on the

formation of SEKBER

1.2. Enabling Environment for ER Program

Develop system of

monitoring, analysis and

reporting (MAR) for

comprehensive and

systematic accounting of

GHG emission and

removal in Jambi Province

Develop risk management

and BSM

Action and intervention for

financing plan

The risks associated with this Sub-

component are:

Environmental

Overal MAR will have no risks, but

incorrect data and analysys may lead to

bad decisison

Potential risk of ineffective safeguards

implementation leading to negative

environment impact

Lack of capacity in implementing

safeguards leading to weak safeguards

Environmental

Capacity building on FREL

and MRV to ensure


GHG emission (avoiding

double accounting)

Proper schedule and

programs (including

instructors) for capacity

building for government

and private sector (ESMF




(Indicative)

development

Assessment and planning

for ER Program

implementation

implementation and monitoring

Accumulation of social conflicts if not

properly mediated, or if the benefit

sharing mechanism is not accepted.

Social conflicts may create risk for

natural habitats and forest (OP/BP

4.04, 4.36) due to continued or

increased encroachment activities

resulting from the conflicts;

Exclusion of customary area from

existing forest area (enclave or

reduction of protected areas). This risk

is relevant with OP/BP 4.10 on

Indigenous peoples, as well as OP/BP

4.04 and 4.36 on natural resources and

forest.

During ERP, weak, inadequate, or

imbalanced benefit sharing mechanism

may cause social conflict, and may also

drive people back to the need for land

expansion to support livelihood. This

may pose risk for forest (OP/BP 4.10)

and/or natural habitat (OP/BP 4.04);

Double counting between voluntary

carbon standards and result-based

payment may cause ineffective benefit

sharing. Ineffective benefit sharing may

demotivate eligible beneficiaries to

revert back to land expansion for

livelihood. This may pose risk for forest

(OP/BP 4.10) and/or natural habitat

(OP/BP 4.04);

Deforestation and degradation may

and ESMP)

Ensure capacity building of

institution related to

safeguards implementation

and monitoring

BSM should be developed

based on comprehensive

consultation processes

invoving all relevant

stakeholders under the

principles of justice and

fainess, transparency, and

accountability

Capacity building and

training on Conflict

Resolution for field

implementing entities

(FMUs, NPs, NGO, Local

Government) will need to

be intensified to make

them more prepared for

solving conflicts in the field.

Social

FPIC prior to program

implementation to avoid

misperception and/or over

expectation

Consistency in monitoring

and law enforcement will

need to be in place




(Indicative)

occur outside the WPK (e.g., Mangrove

in Tanjung Jabung Timur District).

Mangrove area covers 4,126 ha. This is

relevant with OP/BP 4.04 and 4.36 on

natural habitat and forest respectively.

Social

Unauthorized activities may not be

handled in timely manner due to the

geographic and resource limitation of

Gakkum. Delay in handling the illegal

activities may create more damages to

the natural habitat and forests (OP/BP

4.04, 4.36, and/or 4.10);

Conflict escalation if excessive force

(i.e., police and military) is used to

handle unauthorized activities. Forceful

approach may lead to conflict and legal

prosecution towards law enforcement

agencies in the name of human rights

issues (OP/BP 4.12 should access

and/or livelihood restriction occurs);

Lack of recognition of indigenous

peoples may cause customary group to

be excluded from the list of eligible

beneficiaries. This is relevant with

OP/BP 4.10 on indigenous people. Due

to the lack of recognition, their existing

contribution to manage and protect

customary forests may not be

accounted for.

Persuasive approach and

mediation will need to be

use whenever possible to

avoid further conflict,

especially before excessive

law enforcement measures

applied

1.3. Policy and Regulation

Legalize the Jambi Green

Growth Plan (GGP)

Risks associated with this Sub-

component may include:

Environmental

Strengthen policy




(Indicative)

Supporting provincial

policy and regulation

(forest and land fire,

enforcement of national

policy, KEE, role of private

sector in policy and

regulation

Environmental

Overall the the legalization of GGP will

be positive for the environment

Potential risk of displacement due to

strengthened law enforcement

Delay in establishing the

policies/regulations. This will cause:

Delay in setting up community

empowerment and partnership

mechanism needed for conducting

Environmental Assessment (OP/BP

4.01) and developing Environmental

Action Plan (OP/BP 4.02);

Social

Access restriction due to the

enforcement of regulation may limit

livelihood option for local communities

(including encroachment). OP/BP 4.12

Delay in formal recognition of

Indigenous peoples (OP/BP 4.10), and

subsequent conflict resolution process

involving customary laws.

implementation that may

include establishing

incentive and dis-incentive

mechanisms

Empower existing

regulations (district and/or

province) that support

sustainable agricuculture

and corporate‟s

environmental and social

responsibilities.

Social

Dedicated FPIC for

indigenous peoples. This

includes recognition of

indigenous rights.

Revitalitation of Ministry of

Home Affairs Regulation

No 52/2014 on Recognition

of Indigenous People

Component 2: Implementing Sustainable Land Management 2.1: Integrated Forest and Land Management

Sustainable forest

managemet (protecting

remaining natural forest,

monitoring of PHPL,

rehabilitation, prevention

of forest and land fire at

peat land areas,

strengthening KPH, law

Risks associated with the

implementation of this Sub-component

are:

Environmental

Unequal opportunity to participate

among the communities. This is also

relevant with benefit sharing

mechanism that needs to be agreed

Environmental

Formal agreement with

local communities including

responsibilities for

DGCC as the Project

Executing Agency, and

Provincial Forestry Agency as

Implementing Agency

Other entities: FORDIA,

SEKBER, NGOs

Private companies (through

CSR and or other




(Indicative)

enforcement and conflict

resolution

Conservation and

restoration (forest

protection, institutional

capacity, law enforcement

and conflict resolution

Social forestry

Conservation partnership

Customary conservation

area in non-forest land

(APL)

Agriculture and

agroforestry intencification

and diversification

among the communities to avoid social

conflicts. Such conflict may lead to

continued (or increased) use of forest

land for cultivation (OP/BP 4.04 and

4.36 on natural habitat and forest);

Conflicting interest between livelihood

and conservation may threaten natural

habitats and forests (OP/BP 4.04 and

4.36);

Ineffective restoration model will yield

low survival rate, so the forest does not

fully regenerate to its natural state

(OP/BP 4.36);

Degradation of indigenous values due

to modern influences (OP/BP 4.10), so

these values can no longer be

optimized for managing the local

communities, or to maintain forest and

ecosystem (OP/BP 4.36 and 4.04);

Resources for village land use planning

may be limited, so this participatory

process may take longer than

anticipated. Limited resources may

reduce the quality of environmental

assessment (i.e., the presence of

ecologically important area) needed in

village land use planning (OP/BP 4.01

on environmental assessment and 4.04

on natural habitats).

Social forestry mechanism that does

not go beyond licensing (i.e., no post-

licensing activities), and do not

generate revenue for the groups will

preventing deforestation

and land degradation

Regular monitoring of the

Social Forestry program

and benefit sharing

mechanism to avoid any

failure that can be a trigger

to opening forest area

Attention to post licencing

social forestry supports

need to be prioritized

Development of

Biodiversity management

Framework for the Project

could be initited as part of

the wider biodiversity

studies

Implementation of HCV in

or along the plantation

areas will increase wildlife

protection

Forest fire prevention

(early warning system) that

includes participation of

local communities, and

private sectors. This shall

include safety training to

prevent hazards in fire

prevention and firefighting

activities

Review of local agriculture

regulation to find out best

solution to support

commitments)

District Government

(Indigenous Peoples)

Provincial and district

plantation agencies

FMUs, national park

authorities

BPSKL, Provincial forestry

agency, Social Forestry

Working Group, Social Agency

and other relevant agencies




(Indicative)

have risk of reversal. Group members

may not get adequate revenues and

may revert to illegal activities that

generate more revenue. Consequently,

this will create more damage to natural

habitats (OP/BP 4.04) and forest

ecosystem (OP/BP 4.10);

Agriculture intensification may result in

additional use of fertilizer and pestiside

leading to health and environment

issues (OP 4.09)

Avaibility of cheap and easy to get

plantation seedlings do to subsidies

may lead to plantation inside the forest

Forest fire prevention and control

activities may pose health and safety

hazard for the local communities

(members of MPA). Combined with the

lack of sufficient incentives to

compensate the hazards, MPA may

become inactive, and fire may not be

monitored or prevented properly. This

may create damages to the natural

peatland and forest ecosystems

(OP/BP 4.04 and 4.36);

Dependence on programs or supports

from companies will create

sustainability issues on DBA (fire free

villages) programs or other community-

based forest fire management (CBFFM)

programs. This may create risk of

reversal on the natural peatland and

forest ecosystems (OP/BP 4.04 and

sustainabale agriculture

practices

The use of organic fertilizer

and Integrated Pest

Management system

should be introduced or

reinforced.

Strict measures will need

to be applied for subsidized

seedlings

Social

Ensuring proper benefit

sharing that provides

economic incentives for the

members of MPA

FPIC and consensus

among beneficiaries on

benefit sharing mechanism

(including indigenous

people). This should be

based on full

understanding of risk and

benefits for each

stakeholder.

Addressing the risk of

access restriction due to

protected area and HCV

allocations

Partnership should be built

base on clear information

and strong consultation




(Indicative)

4.36).

Existing district regulations to support

sustainable agriculture and corporate

social and environmental

responsibilities cannot be implemented

properly, posing risk on natural habitat

(OP 4.04) and/or

contamination/pollution (OP 4.09)

Social

Recognition of indigenous people (OP

4.10) in implementing social forestry

mechanism has lead to the issuance of

indicative map of customary forest as

part of social forestry indicative map

Health and Safety hazard for the

communities involved in MPA, as well

as communities affected by the smoke

Partnership is missunderstood by

community causing more

encroachment

process including FPIC

To protect communities

from health and safety

hazard, proper training and

equipment will be needed

to fight forest fire

2.2: Private Sector Partnerships for improved Forest and Land Management

Value chain sustainability

Sub-component 2.2 needs to anticipate

risks, such as:

Environmental

Lack of market for Non-timber

forest products (NTFP) or forest

by-products. This will demotivate

the community groups who will

return to business as usual

activities of encroaching the forest.

This risk of reversal is relevant with

Environmental

Introduction of organic

fertilizers and organic

pesticides

Market link to ensure

revenue from NTFPs /

forest by-products (e.g.,

wood vinegar), as well as

product form social forestry

Post-licensing phase of the




(Indicative)

OP/BP 4.04 and 4.36 on natural

habitat and forests;

Unfair arrangement and/or weak

partnership between private

companies and local communities

may drive local communities to

expand the plantation in order to

gain more revenue. Plantation

expansion will create damage to

the forest and/or peatland

ecosystem (OP/BP 4.04). The use

of burning methods will damage

the peatland and forest areas

leading to emission and lost of

biodiversity (OP/BP 4.36);

Due to the lack of access to

organic pesticide, smallholder

farmers may still use inorganic

pesticides and fertilizers in their

plantation. The same case may

also apply to palm oil and

plantation companies participating

in the ERP. Therefore, OP/BP 4.09

on pest management may apply to

this Sub-Component;

Social

Intervention to increase capacity of

indigenous peoples poses the risk

of “modernization” that causes the

indigenous communities to

abandon their traditional values.

This is relevant with OP/BP 4.10

on indigenous peoples.

social forestry scenario to

ensure production and

revenue from social

forestry licenses

Implementation of HCV,

RSPO and/or ISPO

Social

Alternative community

economic development

program including access

to finance, market, and

technology for sustainable

agriculture and agriculture

intensification

Community

training/capacity

development, RSPO and

ISPO

Capacity building for FMU

and relevant government

institution on ESMF

Effective scheduling and

planning.

Proper identification of

credible trainers and/or

training institutions to

deliver the required

capacity building sessions.

FPIC prior to intervention

will increase understanding

and ownership of the

program




(Indicative)

Access restriction (OP 4.12) if the

program lacks inclusion of local

communities, and lacks gender

participation

IP Plan to identify potential

impact on indigenous

peoples (e.g., degradation

of traditional values)

Post-license livelihood

program of the Social

Forestry scenario and

benefit sharing mechanism

to avoid any failure that

can be a trigger to opening

forest area.

Gender mainstreaming to

ensure equal participation

among genders

Component 3: Project Management, Monitoring & Evaluation and Reporting

3.1. Project Management

Structure and financing

Management risk (e.g., delay and

insufficient M&E)

Implementation of project

cycle (Planning,

Organising, Actuating, and

Control)

DG CC BAPPEDA Forestry Service FMUs NPs DLH

3.2. Monitoring, Evaluation and Reporting

Mechanism tool and

implementation

Lack of knowledge and skill in

conduction emission monitoring and

reporting may hinder effort to calculate

emission reduction

Possible double accounting in areas

already involved in carbon trading or

those using different layers of GIS

system.

Ineffective monitoring system may

cause delay in responding to issues in

Environmental

Capacity building on FREL

and MRV to ensure


GHG emission (avoiding

double accounting)

SOP or fraerwork for

moniroting, evaluation, and

reporting should be

developed to make sure

effective and efficient

system in place.




(Indicative)

the field.


ANNEX 13. TOR FOR ENVIRONMENT AND SOCIAL SAFEGUARD TEAM

A JAMBI JURISDICTIONAL EMISSION REDUCTION PROGRAM

The Jambi Jurisdictional Emission Reduction Program (ERP) builds on the substantial commitments

of the GoI and the Government of the Province of Jambi to reducing emissions from deforestation and

forest degradation. At the pre-investment stage called Jambi-Sustainable Landscape Management

Project (J-SLMP), technical support provided through the BioCF financing includes support to

program design and systems strengthening to build government capacity to access and utilize

performance-based incentives for reduced deforestation, degradation and land use change. As such,

the program will support analytics, capacity building, design of subprograms to test different incentives

models and stakeholder engagement. Key analytical areas include land and resource tenure,

understanding local drivers of deforestation and how best to address them, and legal, institutional and

policy analysis and stakeholder assessments.

To support this achievement the Government of Indonesia in collaboration with the World Bank is

preparing the ERP. Through this collaboration, Central Government (hereafter “Government”) will

support the Local Governments. Funding this project will be a combination of funding support from the

World Bank and Government of Indonesia‟s own funds.

In accordance to the World Bank Operational Policy, especially with regards to the requirements for

environmental and social management, all programs funded by the World Bank are obliged to

develop an environmental and social management plan. This Environmental and Social Management

Framework (ESMF) is prepared as a project operational document that provides guideline for

assessing the potential impacts and preparing the environmental and social management plans for

ER Program in Jambi.

The ER program will support a combination of enabling conditions and promotion of sustainable

management practices that will directly address the underlying drivers of emissions resulting from

sectoral activities including, timber plantations, estate crops, subsistence agriculture, aquaculture, and

unsustainable logging practices. The program design considers the distribution of remaining forests,

the threats to those forests, and the key stakeholders involved in the respective areas. This program

consists of five components, as follows:

Component 1: Strengthening Policy and Institutions

This component will address issues concerning the lack of institutional capacity to ensure good forest

and land-use governance. This Component aims for improving the regulatory and institutional

frameworks in forestry and other land-based sectors, as well as strengthening the instrument for

enforcing such policies.


Component 2: Implementing Sustainable Land Management

This component addresses the lack of sustainable practices in land management. This issue was

raised during stakeholder consultation and is related with tenurial conflicts involving agricultural

practices in forest area (encroachment). This issue is relevant with the drivers of deforestation from

both AFOLU and peat land.

Component 3: Project Management, Monitoring and Evaluation, and Reporting This component envisages overall management of the J-SLMP implementation, and highlights the

roles shared among stakeholders in sustainable forest management. Beside overall project

monitoring and evaluation this component also address emission monitoring, evaluation and

reporting.

The potential key environmental risks identified include loss of natural habitats and key biodiversity

species at areas designated as conservation/protected forest, through contamination of soil and

water, and health risks associated with the use of pesticides and as result of poor waste management

practices, successes in reducing impacts on forests could lead to displacements of these impacts to

other areas (leakages). Potential environmental risks such as reversals may be triggerred by social

aspect (social forestry and alternative livelihood) that cannot provide adequate economic motivation.

The potential key social risks identified include risks associated with activities conducted in areas

under existing and potential conflicts, encorachments and/or disputes or areas with overlapping

boundaries and/or claims, between customary and common/formal laws (e.g., claims by Marga

Serampas community within Kerinci Seblat National Park, and Orang Rimba and Talang Mamak

territory in Bukit 30 National Park. Additional risks include livelihoods impacts including displacement

due to bans on oil palm plantation and artisanal mining activities. Loss and/or damage to physical

cultural resource, community and health safety risks for fire prevention and suppression activities, lack

of awareness, management capacity and participation of community in managing social forestry,

institutional capacity constraints to manage potential environmental and social risks at field level, as

well as gender inequalities and social exclusion.

Based on the assessment of potential environmental and social impacts, and with reference to the

applicable World Bank Operational Policies, this ESMF is developed to provide operational guidance

that is to be followed by project stakeholders. The ESMF establishes the modalities and procedures to

address and mitigate the potential adverse environmental and social impacts from the implementation

of ERP activities through employing best practices. The ESMF procedures include: (i) ongoing

consultations with relevant stakeholder groups; (ii) appropriate capacity building measures; (iii)

environmental and social impact screening and assessment; iv) frameworks for formulation of

environmental and social management plans associated with environmental codes of practices,

environmental permitting, high conservation value studies, grievance mechanism, process framework,

indigenous peoples, and physical cultural resources; v) monitoring and reporting on implementation of

the framework and safeguards through the existing systems.


This ESMF covers procedures for environmental and social management for the implementation and

monitoring of activities of Components 1 to 3 that includes negative list screening, preliminary

screening of risks and impacts, environmental codes and practices, guideline for integrated pest

management, HCV guideline, environmental permits and management and monitoring measures,

FGRM, IPPF, RPF and PF, and PCR-CFP.

B PRINCIPLES AND OBJECTIVES OF THE SESA AND ESMF

The J-SLMP and ERP should ensure that implementation of REDD+ programs and activities will not

cause adverse social and environmental impacts, while striving to enhance benefits for local

communities and the environment.

A Strategic Environmental and Social Assessment (SESA) was developed as part of the J-SLMP and

ERP preparation. The SESA enabled extensive consultations with a broad range of national and sub-

national stakeholders, including potentially affected communities to integrate social and environmental

concerns into the upstream policy-making process. The SESA serves the basis for an Integrated

Environmental and Social Management Framework (ESMF), which will guide potential investments in

the proposed emission reduction programs toward compliance with World Bank safeguards policies.

The ESMF provides an analysis of potential risks and impacts associated with future REDD+

initiatives and will include adequate safeguard measures based on relevant typologies of activities

and ER strategic options. The ESMF sets out the principles, guidelines, and procedures to assess

environmental and social risks and proposes measures to reduce, mitigate, and/or offset potential

adverse environmental and social impacts and enhance positive impacts and opportunities of said

projects, activities, or policies/regulations. The following World Bank safeguard policies have been

triggered by the J-SLMP and ERP:

- Environmental Assessment (OP/BP 4.01)

- Natural Habitats (OP/BP 4.04)

- Forests (OP/BP 4.36)

- Pest Management (OP 4.09)

- Physical Cultural Resources (OP/BP 4.11)

- Indigenous Peoples (OP/BP 4.10)

- Involuntary Resettlement (OP/BP 4.12)

The Environmental and Social Safeguards team shall ensure that the provisions of the safeguards

policies and procedures above are adequately accommodated in the ESMF to ensure that the ERP

initiatives achieve objectives materially consistent with the OPs/BPs triggered.

C SAFEGUARD COMMITTEES

The discussion is still taking pace in Jambi on the formation of Provincial and District Safeguard

Committees. As of now, these committees will be responsible for looking after the implementation of

safeguard instruments including UKL/UPL, SPPL, IPPF, FPIC, RPF-PF, ECOP, etc. While the

Provincial Safeguard Committees will be tasked to provide overall technical and monitoring support to

the district safeguard committees, the District Safeguard Committee will be involved in reviewing and

helping process any environmental permits needed by implementing entities. In conducting these

responsibilities, both Provincial and District Committees will be supported by the E&S Safeguard team

as described in this TOR.


D THE SCOPE OFTHE ASSIGNMENT

The environmental and social team will work under coordination and supervision of DGCC and

BAPPEDA/SEKDA to support Provincial and District Safeguard Committees in safeguards

implementation and supervision, including grievance management as well as mobilization of technical

support and capacity building as necessary to enable effective safeguards and FGRM

implementation. The team will be guided by the ESMF and the Project Operation Manual (POM) to

ensure compliance with the GoI‟s policies and the World Bank Safeguard Policies relevant to the

Program. The team are expected to participate in WB missions and provide up to date information

related to social safeguards and grievance management at the implementation level. On a regular

basis, the expert is also expected to provide workplans and activity reports.

The environmental and social safeguards team is required to facilitate assessment and technical

assistance to implementing agencies and especially the safeguard committees at the provincial and

district levels and consultation processes to ensure that key provisions in the ESMF are met. Each of

these responsibilities is further elaborated as follows:

1. Preparation of Environmental and Social Safeguards Plans

a. Working with provincial safeguard committee and when relevant with district safeguard

committee, provide technical advice and operational support to implementing agencies in the

preparation of safeguards plans relevant to sub-project activities in lieu with the ESMF and

update environmental and social risks as the ER program is being implemented. References

of relevant frameworks of such plans can be found in Appendix 6 (TOR for Environmental

Assessment, Management and Monitoring), Appendix 8 IPPF, and Appendix 9 RPF and PF.

b. Facilitate stakeholder engagement, including public consultations for the preparation of the

relevant safeguards plans as relevant to the Program;

c. Support Safeguard Committee/DGCC/SEKDA, in particular coordinating, reviewing,

supervising implementation of the required safeguards plans under the J-SLMP‟s

Environmental and Social Management Framework (ESMF);

d. Liaise with Provincial and District Environmental Services as coordinator of safeguard

committees in ensuring effective oversight of environmental and social aspects of the

Program, including troubleshooting as required.

2. Safeguards Management

a. In collaboration with the safeguard committees, prepare a capacity building strategy for the

roll-out of the ESMF and its associated frameworks as well as the FGRM, including

safeguards training plans and mentoring support to relevant implementing agencies;

b. In collaboration with the Provincial and District Safeguard Committees, supervise the overall

implementation of the Environmental and Social Management Framework (ESMF) and FGRM

and document lessons-learnt;

c. Provide technical support to DGCC, SEKDA and relevant sub-national government agencies

implementing J-SLMP activities in overseeing risks and identifying opportunities associated

with ER activities including but not limited to: land tenure, conflict and dispute settlements,

community participation, social inclusion, gender, access to benefits and access to FGRM

under the program;


d. In Collaboration with the provincial and district safeguard committees, coordinate and oversee

the implementation of the FGRM system for the Program, identify areas for improvements

and/or strengthening as well as identify bottlenecks and provide recommendations as the

system is being tested and/or implemented;

e. Contribute to documentation of good practices and lessons-learnt including knowledge-

exchange initiatives related to the J-SLMP.

3. Communication and Coordination (see also figure 1)

a. Provide technical support in developing an operational strategy for community engagement in

low emission development activities, particularly overseeing FPIC implementation to ensure

consistency of principles as outlined in the IPPF;

b. Support stakeholder engagement and community consultations to ensure that the Program is

broadly communicated, including the BSP for the program and there are feedback loops for

any concerns, grievances and suggestions during preparation and implementation of the ER

activities;

c. Build and maintain strong cooperation and coordination with project implementing agencies

and stakeholders both at national and sub national levels;

d. Collaborate with relevant stakeholders to improve safeguards management and establish

networks and maintain contacts with appropriate government officials in MoEF, FMU, sub

national governments, including village governments;

e. In collaboration with relevant team members, assess the implementation of the Program‟s

BSP, particularly at the community level and identify if there are access gaps or social

inclusion issues that need to be addressed;

Figure 1. Working Relation of E&S Safeguard Team with J-SLMP Implementation Structure

(Safeguards)

4. Communication and Coordination

a. Supervise management of environmental and social risks that may emerge and are triggered

by project initiatives and provide mitigation strategies;


b. Report and provide recommendations to safeguard committees, DGCC, and/or

BAPPEDA/SEKDA, relevant PICs at the provincial and district levels if there are emerging

safeguards risks and escalate to the relevant agencies as necessary;

c. Monitor any emerging social risks, including changes in political economy situations that may

affect risk levels and provide recommendations in due time to safeguard committees, DGCC,

SEKDA/BAPPEDA as well as relevant agencies as necessary;

d. Document and provide review of the overall safeguards implementation;

e. Periodically review and evaluate the effectiveness the FGRM system (twice a year) in

consultation with project implementers, affected stakeholders, including communities and

recommend action plans to strengthen the system;

E DELIVERABLES

a. Periodic reports (quarterly) on social safeguards implementation (management,

communication, coordination, monitoring and evaluation);

b. Workplan for technical support for social safeguards, including preparation of relevant action

plans and their implementation;

c. Safeguards capacity building strategy and workplan under the Program;

d. Reports on technical assistance to implementing agencies in the preparation of relevant

environmental and social management plans (i.e. ESMP/UKL-UPL, SPPL, PoA, IPP, as

applicable)

F TEAM QUALIFICATIONS

The consultant team will at least consist of:

a. Environmental Specialist (Coordinator) preferably with a graduate degree in environmental

science and at least 5 years of experience in environmental aspects of natural resource and

forestry projects; Strategic Environmental Assessments; developing environmental

management plans (EMPs), and monitoring and evaluation of EMPs, environmental

management frameworks (EMFs). Experience working in Jambi and/or with the World Bank,

including knowledge of the Bank Operational Policies and REDD+ safeguards related

experience will be highly preferred.

b. Social Specialist/Community Development Specialist preferably with a graduate degree in

social science and at least 5 years of experience working with rural, indigenous and/or ethnic

minority communities, participatory community planning and natural resource management,

undertaking Social Impact Assessments and developing social management plans including

Indigenous Peoples Plans (IPPs), Land Acquisition and Resettlement Plans (LARAPs) and

have familiarity with government systems. The specialist must be knowledgeable about the

local institutional and social structures. Experience working in Jambi and/or with the World

Bank, including knowledge of the Bank Operational Policies and REDD+ safeguards related

experience will be highly preferred.

c. FGRM officer (optional) preferably with a graduate degree in social science and at least 5

operational experience in handling land and natural-resource related conflicts and grievances.

The specialist must be knowledgeable about the local institutional and social structures.


Experience working in Jambi and/or with the World Bank, including knowledge of the Bank

Operational Policies and REDD+ safeguards related experience will be highly preferred.

In addition, the team may need to solicit additional support from senior, mid-level and junior technical

professionals with the following expertise as needed:

- Agriculture development/policy;

- Indigenous Peoples

- Environmental Impact Assessment;

- Benefit sharing;

- Conflict resolution

- Participatory planning;

- Community-driven development;

As part of selection processes, the consultant team is required to share proposed key personnel‟s

Curriculum Vitae to the contracting authority (DGCC and BAPPEDA/SEKDA). It is expected that the

Safeguards Coordinator is costed full time for the duration of the Program