INDONESIA: DAM OPERATIONAL IMPROVEMENT AND …...Final Draft 3. Scale of Environment 4. Screening 34 dams 5. Screening of IP 6. Mitigation Measures 7. Requirements of EMP 8. Mechanism

INDONESIA: DAM OPERATIONAL IMPROVEMENT AND SAFETY PROJECT - 1 (DOISP 1)

ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF)

Main report

November 2008

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CONTENTS Page Definition Acronyms

1. Introduction 1.1. Description of the Project 1.2. Components of the Project 1.3. Purpose of the Project

2. Environmental and Social Screening Management

2.1. Scope of activity 2.2. Screening Methodology 2.3. Screening of Sub-projects Year 1 2.4. Public Consultation 2.5. Disclosure

3. Environmental Management

3.1. Environmental Management Procedure 3.2. Document Review and Amendment 3.3. Monitoring and Evaluating Performance 3.4. Environmental Input into the Design 3.5. Preparation of Further Studies for DOISP2

4. Community Development 4.1. Community Participation in Reservoir Management 4.2. Community Participation in Watershed Management

5. Capacity Building, Training and Technical Assistance Tables:

1. DOISP-1 Project Activities List 2. World Bank Policies for Environmental and Social Safeguards 3. Risk Assessment Matrix Overview of Safeguards Review and Approval

Mechanism 4. Screening Assessment for Initial 4 Dams 5. Roles and Responsibilities 6. Overview of Review and Approval Mechanism 7. Potential Environmental Impact and Possible Mitigation Measures 8. Tasks and Responsibilities 9. Capacity Building and Indicative Budget

Annexes: 1. List of Dams 2. Screening Mechanism

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3. Scale of Environment 4. Screening 34 dams 5. Screening of IP 6. Mitigation Measures 7. Requirements of EMP 8. Mechanism Approval of Environment Document 9. Out-line for UKL/UPL 10. General Guidelines for Community Participation 11. Minutes of Public Consultation

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DEFINITIONS

Terms Meaning Government The Government of the Republic of

Indonesia

Project Dam Operational and Safety Improvement Project 1 (DOISP 1) The propinsi government, headed by a governor or gubernur

Provincial government

Municipal (kota) government (headed by a mayor or walikota) or district or regency (kabupaten) government (headed by a district head/regent or bupati)

Local government

Sub-project Project component implemented at the central, provincial and/or kabupaten/kota level

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ACRONYMS

Balai PSDA River Basin Management Unit (of the Provincial Administration)

Balai (B)WS / BBWS

River Management Agency (of the MPW)

Bapedalda Local Environmental Authority BAPPENAS National Planning Agency BDSF Basic Dam Safety Facility BKLH Local-government Environmental Office BPN Land Administration Agency DD Detailed Design DGWR Directorate General Water Resources DSU Dam Safety Unit EAP Emergency Action Plan EMP Environmental Management Plan ESMF Environmental and Social Management Framework GOI Government of Indonesia ICOLD International Commission on Large Dams INACOLD Indonesian Commission on Large Dams (a Chapter of

ICOLD) IWRR Institute for Water Resources Research Kabupaten District MPW Ministry of Public Works NGOs Non-Government Organisations PIU Project Implementation Unit PMU Project Management Unit O&M Operational and Maintenance PIP Project Implementation Plan RCWR Research Center for Water Resources (Bandung)(formerly

Institute for Water Resources Research, IWRR) RLR (Agency) Local-government Section for River, Lake and Reservoir TA Technical Assistance TD Tender Document UKL/UPL Upaya Pengelolaan dan Pemantauan Linkungan

(Environmental Management and Monitoring Plan) WBOJ World Bank Office in Jakarta

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1. Introduction 1.1. The Government of Indonesia with the World Bank has an agreement to finance Dam Operational and Safety Improvement Project (DOISP). The DOISP is a long term project to substantially improve Indonesia’s dam operation, dam structures and other dam related infrastructure in order to ensure continued water supply for beneficial local community use.

The DOISP will consist of two separate scopes of works and funding, viz. DOISP 1 in the period 2009 to 2012 and DOISP 2 (tentatively) from 2013 to 2016. DOISP covers a shortlist of 65 pre-screened dam/reservoir sites of which DOISP 1 would fund preparation and implementation of 34, as well as the preparation of the remainder of sub-projects that will then be implemented under DOISP 2 funding.

The objectives of DOISP1 is to to (i) introduce new safety and operational management policies and regulations, and (ii) increase the safety and the functionality with respect to bulk water supply of 34 large MPW-owned reservoirs.

The components of the Project divided into 5 components:

1. Dam Operational and Safety Improvement Works

1.1. Dam Rehabilitation, Modification and Remedial Works

1.2. Dam Safety Assurance Interventions

1.3. Reduction of Spillway Discharge Risks

1.4. Emergency Action Plans

2. O&M Improvement and Capacity Building

2.1. Dam O&M Improvement

2.2. Dam Agency Capacity Building

2.3. Community Participation in Reservoir Management

3. Reservoir Sediment Mitigation Interventions

3.1. Reservoir Sedimentation Surveys

3.2. Reservoir Sedimentation Mitigation Interventions

3.3. Reservoir Watershed Management

3.4. Community Participation in Watershed Management

4. Dam Safety Assurance Institutional Improvements

4.1. Dam Safety Assurance Institutional Improvements

5. Project Management

5.1. Dam Operational and Safety Improvement

5.2. O/M Improvement and Capacity Building

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1.2. The purpose of this ESMF is to clarify the principles, procedures and organizational arrangements to be applied to environmental and social management plan for DOISP 1 sub projects. The ESMF will guide i) the preparation of environmental management plan for the sub-projects under DOISP 1 for the first annual work plan, as well as for sub-projects identified in subsequent years and the EMPs and EAs (AMDAL) under DOISP 2; ii) design and implementation of community participation in reservoir and watershed management.

1.3. The ESMF will be included in the Environmental and Social Management Plan (ESMP) for the Project. The ESMF serves as the Project's umbrella environmental and social impacts sub-projects.

1.4. Any sub-project that cannot be implemented according to the ESMF will not be funded under the Project.

1. This ESMF is applicable to DOISP1

2. Environmental and Social Screening Requirements 2.1 Scope of Activities.

The works under DOISP 1 have been scoped so as not to include any works with any major environmental or social impacts. Based on the pre-screening of potential sub-projects the potential adverse environmental impacts associated with these works and activities will mostly be construction-related and will be local, minor and easily reversible through the use of readily available and simple mitigation measures. Considering these aspects, all DOISP 1 subprojects are considered Category B Project by the Bank, and this category also applies to DOISP 1. All other works will be undertaken and as such assessed under DOISP 2. If, in the detail preparation and screening of the sub-projects under DOISP 1 unexpectedly a potentially major negative or irreversible impact relating to the environmental or social safeguards is identified, then this sub-project may be prepared under DOISP 1 but its implementation will be deferred to DOISP 2. This procedure will allow that such sub-projects will be subject of a separate appraisal of appropriate depth.

These restrictions will notably pertain to any decommissioning of dams, to larger-scale dredging and sludge removal (quantities above 500,000m3), and to activities that would imply involuntary land acquisition and impact to indigenous people.

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Table 1: Project Activities List

Type of Activity Details

Rehabilitation of 34 Dams and Reservoirs sites (out of shortlist of 65)

Rehabilitation works include: - reinstatement of crest roadways, - reinstatement of rip-rap, - reinstatement of drainage lines, spillways, inlets and outlets and v-notch drains, - removal of vegetation growth on embankments which have a potential to impact on the integrity of the dam, - replacement of piezometers and other essential instrumentation, - repairs to electrical and mechanical equipment, etc

Investigations and design and analysis of dams to be rehabilitated under DOISP 2

Includes - embankment material investigations, - review of design reports and other information and engineering and economic analyses for design of rehabilitation works for DOISP 2

Community Participation in 20 Reservoir Management

Includes - community education programmes for communities living in areas surrounding the reservoir, - improving the income of the community by providing incentive schemes for promoting community participation in reservoir management, - implementing 20 community participation projects to benefit both the community and the reservoir – these will include projects such as green belt planting and provision of security to the dam and its environs, including the basic dam safety facilities (BDSF).

Sediment Surveys Terrestrial and hydrographic surveys of 30 selected reservoirs to determine extent of sedimentation and reduction in storage capacity of these reservoirs.

(Minor) Sediment Removal from Reservoirs

Removal of sediment in minor to moderate quantities (less than 500,000m3 in accordance with GOI environmental standards) in reservoirs in areas near intakes and outlets where these are blocked or their operating capacity has been reduced by sediment deposition.

These works will be targeted works with established and limited areas for works to ensure minimal impacts

Removal of Aquatic Removal of aquatic weeds in limited areas of the

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Type of Activity Details

Weeds from Reservoirs reservoir near intakes and outlets where the operation of these are affected by aquatic weed growth.

Construction of Check Dams

Construction of check dams on streams to retain sediment and thus reduce sediment flows into reservoirs.

Implementation of River Bank Stabilisation Measures

Construction of river bank stabilisation measures such as gabion retaining walls, revetments, groynes and vegetative barriers to prevent river bank erosion.

Modification of Dam Operational Procedures to Reduce Sedimentation Impacts on Operation

Implementing modified operational procedures such as flushing during high reservoir inflows to prevent sediment build up of sediment near outlets.

Catchment Management Pilot Guidelines

Includes formulating a catchment conservation plan for selected reservoirs and initiating a long term coordinated effort to address incorrect land use, poor agricultural techniques, soil stabilisation and social forestry; preparing a local regulation for dam watershed conservation planning; carrying out community participation in watershed conservation planning for 4 selected pilot watersheds and applying watershed conservation measures such as construction of check dams, gully plugs etc and vegetative measures.

Community Participation in Watershed Management

Includes carrying out community participation in catchment conservation planning for 4 selected pilot watersheds and applying watershed conservation measures to improve village water management, introduce soil conservation techniques, and carry out small local activities inside river beds such as creation of small check dams and gully plugs, and promoting vegetative measures.

Changes in operational schedules of dams

May result in changes in water release to downstream water users. Changes from existing release schedules will be only of temporary nature to allow works to be conducted. Current operational schedules will be reviewed too and in some reservoir sites subject to minor water delivery changes to improve the supply reliability to the downstream water users, and to lower the risk of overtopping during heavy rainfall in the wet season (flood management).

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2.2. Screening of DOISP 1 The environmental and social impacts of the activities have been limited by the scope of the proposed works.

The following sections detail an overview of the requirements to meet the objectives and to ensure that the environmental and social impacts associated with the project are minimised.

Screening of sub-projects is to DOISP 1 is to ensure that each sub-project is properly screened for the level of potential environmental and/or social impact. Based on this screening process, sub-projects that may present significant impact concerns are identified and subject to secondary screening or further detailed study. In addition to environmental screening, standard environmental management and monitoring measures provided under the project and its contract documents, the following detailed studies may be required for some sensitive sub-projects based on agreed screening criteria:

• Environmental Management and Monitoring Plans (UKL/UPL), • Full environmental assessment (AMDAL), Screening for the project will follow the directions of World Bank policies and Government Regulations – (i) environmental issue: Environmental Ministerial Decree No. 11, 2006, Ministerial Decree of Settlement and Regional Infrastructure No. 17, 2003 (KepMen Kimpraswil No. 17/2003), Environmental Ministerial Decree No. 86/2006; (ii) social issue: Presidential Regulations 36/05, 65/06 and BPN Decree 3/07 concerning land acquisition for public purposes (see Annex 2, 3, 4 and 5). Based on the pre-screening of sub-projects, there are no requirement to prepare AMDAL, LARAP, IPDP.

Each year the PMU will prepare its Annual Work Plan and budget for the subsequent year.

Table 2: World Bank Policies for Environmental and Social Safeguards

Safeguard Policy Policy summary and work required

Environmental Assessment (OP 4.01)

Process of assessing projects potential environmental risks and impacts, the breadth, depth, and type of analysis depending on the nature, scale, and potential environmental impact of the proposed project. EA also examines project alternatives, identifies ways of improving project selection, siting, planning, design, and implementation by preventing, minimizing, mitigating, or compensating for adverse environmental impacts and enhancing positive impacts, and includes the process of mitigating and managing adverse environmental impacts throughout project implementation.

Involuntary Resettlement and Land Acquisition (OP/BP 4.12)

The OP requires that an assessment is made of the likely social impacts of projects, particularly as they entail acquisition of land, relocation of people, loss of productive assets or access to services, both during the implementation and operational phases of project activities. The policy is intended to ensure that

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resettlement activities should be conceived and executed as sustainable development programs, providing sufficient investment resources to enable the persons affected to share in project benefits, ensure that affected persons are meaningfully consulted and are provided, where possible, opportunities to participate in planning and implementation of resettlement and project activities. The basic objective is to ensure that affected persons are provided the means and resources to improve their livelihoods and standards of living, or at least to restore them in real terms, to pre-project levels.

Isolated Vulnerable People (OP/BP 4.10)

Goal is to (a) ensure that Indigenous People benefit form development projects, and (b) avoid or mitigate potentially adverse effects on Indigenous People caused by Bank-assisted activities. Special action is required where Bank investments affect IP whose social and economic status restricts their capacity to assert their interests and rights in land and other productive resources.

Movable or immovable property of great importance to the cultural heritage of every people, such as monuments of architecture, art or history, whether religious or secular; archaeological sites; groups of buildings which, as a whole, are of historical or artistic interest; works of art; manuscripts, books and other objects of artistic, historical or archaeological interest; as well as scientific collections and important collections of books or archives or of reproductions of the property defined above;

Cultural property (OP. 4.11)

Land and water areas where the ecosystems biological communities are formed largely by native plant and animal species and human activity has not essentially modified the area's primary ecological functions, with specific place or natural conditions in which a plant or animal lives.

Natural Habitat (OP 4.0.4)

Forestry resources which may be impacted on by activities of the project to ensure that they are protected or that the impacts are minimised.

Forests (OP 4.36)

Disclosure Policy (OP/BP 17.50)

All projects must disclose key information in country and through the Bank’s Infoshop

It is essential when determining the level of environmental assessment required as part of DOISP 1 to identify the environmental and social impacts based on the activities to be undertaken.

The assigned categories are based on a basic risk matrix of likelihood and severity of the consequence of impact and give a high, medium and low classification. These risks are

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based on activities without the mitigation measures which will be addressed in the Environmental Management Plan for each of the sites (see Annex 6).

Table 3 : Risk Assessment Matrix

Severity of consequence of event Likelihood of event

High Medium Low

HH HM HL High

MH MM ML Medium

Low LH LM LL

HH = Extreme Risk HM = High Risk MH, MM, HL = Moderate Risk ML, LH, LM, LL = Low Risk

The work activities associated with DOISP 1 have been identified as part of site inspections and review of existing (partial) surveys, feasibility studies, etc., of each of the 34 dams. For each of the dam/ reservoir sites a separate Briefing Book was prepared featuring the technical and situational description of the site, and description of operational and safety issues. From these the environmental and social impacts have been identified to enable classification for assessment in accordance with Annex 3. Annex 4 details the activities and impacts associated with the project and determines the requirements associated with assessment. From the screening process it has been determined that all sub-projects within DOISP 1 will be assessed under UKL/UPL as there is a zero to moderate potential for significant environmental and social impact.

The sub-projects will be mostly located on Java (provinces of West Java, Central Java, and East Java), and some in the provinces of NTB, Lampung, East Kalimantan and South Sulawesi. Most catchments on the locations in Java are prone to severe erosion because of steep slopes and soil structure. All dam and reservoir sites have been established in their region for at least two decades, and in some case for nearly a century, and have shaped the local economy and human settlements. The downstream areas of the sites are under cultivation and economic development for prolonged times of several decades. Most of the water provision is directed at agricultural irrigation, and in some cases at local town and industrial water supply, drainage flushing, and occasionally limited aquaculture. The upstream catchments all consist of fallow, protected and (semi-)cultivated agricultural areas, consisting of production forests, rubber and wood plantations, dry and rain-fed agriculture, widely laid out hamlets and villages, and “hutan

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masyarakat” (multi-canopy smallholder agriculture and silviculture). In a small number of the upper catchments protection forests are present, however, none of the reservoir sites is closer than 1-2km of such area, and the proposed activities cannot physically extend their reach to impact on these areas in a direct or indirect way. There are no downstream or adjacent protected forests or reserves. In one case, i.e. the Jatiluhur reservoir on the Citarum river (West Java), the upper catchment is extensive, and contains a major conurbation with industry (Bandung). Therefore, only this reservoir would trigger concerns about water quality changes due to changes in the operational schedule, and about chemical quality of the sediment in the reservoir. However, at the Jatiluhur site only very local works and studies will be funded under DOISP 1, however, none of these envisages dredging or changes in operational schedules.

Sub-projects on the dams/ reservoirs and the community-based activities will not require involuntary resettlement or acquisition of land. Since the sub-projects are associated with upgrading and minor remedial and rehabilitation of existing facilities there will be no significant alterations in the existing land use patterns. Investigations for design of rehabilitation works will also not involve any involuntary land acquisition or require resettlement.

Consider to the criteria of Indigenous people as described in OP 4.10, sub-projects activity either in Java or outside Java (see paragraph above) do not have any impact to IP. IP in Java can be identified clearly only in Banten Province, Kabupaten Rangkasbitung, the tribe called Badui Dalam. Outside Java in the provinces of NTB, Lampung, East Kalimantan and South Sulawesi also can be identified there are no IP there. According to Government of Indonesia IP means Isolated Vulnerable People. This term is more emphasized to geographical rather than way of life of the people as definition of IP in OP 4.10. However, in any project under World Bank loan, there is a consensus between Government of Indonesia and the Bank to use IVP term rather than IP. In this Project, social screening of sub-projects relate to IVP, PMU uses 2 references- (i) OP 4.10 and (ii) Ministry of Social Welfare on Data and Information of IVP, 2002. From the available maps, data from the Ministry of Social Welfare on locations of Isolated Vulnerable People and OP 4.10, it appears that no indigenous peoples are living in the wider vicinity of the 34 reservoir areas or the 4 (sub-)catchment management zones supported under DOISP 1 (Annex 5). Isolated Vulnerable People may be living in the same or the adjacent province, however, the physical distance to the project and the localized nature and size of the works on the dams, reservoirs and catchment sites are such that no impact can be generated that might affect the Isolated Vulnerable People in a direct or indirect way.

Although the assessment has taken into consideration upstream and downstream impacts associated with their activities it is not feasible to determine external activities which may have a future potential to impact on the dam sites (for example, future industrial or mining activities upstream of a reservoir which may start affecting its water quality), although from the reviews of the sites these risks are also considered to be low.

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DOISP 1 will not fund any activity within natural habitats, declared forest and wildlife reserves and protected areas. Because its works and activities are restricted to the dam and reservoir site and existing rivulets and brooks in the upper catchment, without major downstream impacts, it would not have any adverse impact on environmentally and socially sensitive areas.

If during detail preparation of a sub-project such possible impact would be identified which may trigger any of the above safeguards, the sub-project may be prepared under DOISP 1, however, the implementation will be deferred to DOISP 2 to ensure separate in-depth appraisal of the sub-project. 2.3. Screening Assessment of Sub-projects Year 1. For the first year of works (2009) there are 4 dams/ reservoirs which will undergo rehabilitation. The initial sub-projects were screened based on the screening process and risk assessment detailed above. The sub-projects are:

Batujai located on Paraya raya Sub-District, Lombok Tegah District, West Nusa Tenggara Province.

Gondang located on Sugie Sub-District, Lamongan District, East Java Province.

Gembong located on Gembong Sub-District, Pati District, Central Java Province.

Krisak located on Selogiri Sub-District, Wonorejo District, Central Java Province.

Table 4 details the screening assessment for the initial 4 dams with the remaining screening addressed in Annex 4. The assessment is based on the information quantifying the extent of works which is covered in the PIP.

Note all activities detailed in Table 4 will have low risk impacts for:

Air pollution associated with vehicle and mechanical equipment use;

General waste generation associated with construction activities;

Natural resource depletion associated, fuel for vehicles and mechanical equipment, materials use for construction such as cement, masonry and asphalt;

Noise pollution directly associated with the activities

Soil and Water pollution associated with spills from mechanical equipment, especially if working adjacent to water bodies.

Disruption or change of water release schedule.

No land acquisition

No impact to IVP

It can be determined that the indirect and direct environmental and social impacts both upstream and downstream associated with the activities can be considered minimal.

Detailed mitigation measures for each dam site will be outlined in the site specific UKL/UPL documentation with an example of generic mitigation measures is detailed in Annex 6. The process associated with the preparation and approval of UKL/UPLs for

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each site is detailed in Figure 1 below.

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Table 4 : Screening Assessment for Initial 4 Dams

Activity Aspects Environmental & Social Impacts Level of Impact

KRISAK DAM Air pollution – Dust impact on human respiratory systems from material loss during transportationWater pollution – potential additional sediment load within water system from material spillage from trucks

Transportation of materials

Noise pollution – impacts from vehicle movements on local resident Excavation of damaged road Air pollution – Dust impact on human respiratory systems and from

excavation worksPlacement and compaction of sub base material

No additional impacts

Repair of inspection road

Placement of Asphalt concrete (ATB)


LOW

Air pollution – Dust impact on human respiratory systems and flora and fauna from construction activities

Installation of masonry retaining wall

Construction of wall

Water pollution – impacts from residual construction material run-off LOW

Air pollution – Dust impact on human respiratory systems from material loss during transportationWater pollution – potential additional sediment load within water system from material spillage from trucks


Noise pollution – impacts from vehicle movements on local resident Excavation of masonry from damaged crest

Air pollution – Dust impact on human respiratory systems and from excavation works

Placement and compaction of sub base material


Dam Crest Rehabilitation

Placement of Asphalt concrete (ATB)


LOW

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Activity Aspects Environmental & Social Impacts Level of

Impact

Drilling into embankment Waste – Spoil generated from bore holing for piezometers Stand Pipe Piezometer Instalment

Installation of pipe piezometer No additional impacts LOW

Removal of old staff gauge No additional impacts Staff Gauge repair Installation of new staff gauge No additional impacts

LOW

Excavation of soils Waste – Spoil generated from excavation Noise pollution – impacts from increased vehicle movements on local

d

Construction of Surface Movement

Installation of concrete blocks Water pollution – associated with concrete truck washout

LOW

Site inspection and office work No additional impacts Detailed Study or Seepage at Spillway Walls and Chute

Taking of core samples Waste – Spoil generated from excavation LOW

Placement of stop blocks No additional impacts Replace seals on intake gate No additional impacts

Routine maintenance – Replacement of seals on all gates

Removal of stop blocks Water pollution – residual wastes and materials left in flow paths from maintenance activities

LOW

Demolition of old masonry h l

No additional impacts No additional impacts – Note no additional waste as rocks from old channel will be used for the new channel, only mortar replacement

Repair of right channel with masonry

Construction of new masonry channel

Water pollution – residual wastes and materials left in flow paths from maintenance activities

LOW

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Cleaning toe drain

Removal of vegetation by hand Waste – Generation of vegetative waste LOW

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Impact

Waste – Building waste generation Demolition of old concrete Potential water quality impacts associated with overflows during works within a spillway Potential water quality impacts associated with overflows during works within a spillway Noise pollution – impacts from increased vehicle movements on local

dWater pollution – residual wastes and materials left in flow paths from maintenance activities

Repair of apron of the spillway with reinforced concrete Construction of new concrete

Water pollution – associated with concrete truck washout

MODERATE

Minor increased water flows which could impact on down stream users Sedimentation – potential increase in sediment laden water associated with the pump out which may impact on water quality and so aquatic fauna and flora

Pump out of waters from ool plunge p

Sedimentation – potential increase in sediment laden water associated with the pump out which may impact on water quality and so Waste – Building waste generation Demolition of old concrete Potential water quality impacts associated with overflows during works within a spillway Potential water quality impacts associated with overflows during works within a spillway Noise pollution – impacts from increased vehicle movements on local


Repair of plunge pool by reinforced concrete

Construction of new concrete


MODERATE

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Impact

Demolition of old concrete Waste – Building waste generation Noise pollution – impacts from increased vehicle movements on local


Repair intake with reinforce concrete



LOW

Disruption or change in water release

Will be of limited time (less than one week) and where deviating from historic pattern, will be accompanied by consultation with water users to minimize negative impact.

GONDANG DAM

Air pollution – Dust impact on human respiratory systems from material loss during transportation


Water pollution – potential additional sediment load within water system from material spillage from trucksNoise pollution – impacts from vehicle movements on local resident

Excavation of masonry from damaged crest





Placement (ATB)

LOW

No additional impacts Air pollution – Dust impact on human respiratory systems from material loss during transportation


Water pollution – potential additional sediment load within water system from material spillage from trucksNoise pollution – impacts from vehicle movements on local resident

Access road repair by ATB



LOW

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Placement & compaction of base material


Placement of ATB No additional impacts Disruption or change in water release


LOW

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Impact

Weed Cleaning Non-chemical based removal of vegetation

Waste – Generation of vegetative waste LOW


Construction of parapet masonry wall

Construction of wall

Water pollution – impacts from residual construction material run-off

LOW

Construction of toe drain

Placement of stone for toe drain

No additional issues LOW

Removpanelling

al of old and damaged No additional issues Repair of wooden panelling for intake tower bridge

No additional issues LOW Replacement of panelling

Assessment of roof panelling Health impacts during sample collection Health impacts during removal of Water pollution – Asbestos fibres impacts to fauna and community Waste – Asbestos waste generation

Removal of roof panelling (if asbestos /cement sheeting

Air pollution - Asbestos fibres impacts to environment and community Removal of roof panelling No additional issues

Repair of intake tower roof

Replacement of roof panelling with metal sheeting

No additional issues

MODERATE

Access to fencing Minimal vegetation clearing potentially required to reach fencing Removal of wire mesh Waste – Material waste associated with fencing

Replacement of perimeter fencing

Replacement of wire mesh No additional issues

MODERATE

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Impact

Placement of stock block No additional impacts Replace seals on intake gate No additional impacts

Hydro-mechanical intake gate repair of new seals

Removal of stock block Water pollution – residual wastes and materials left in flow paths from maintenance activities

LOW

Drilling into embankment Waste – Spoil generated from bore holing for piezometers Replacement of Stand Pipe Piezometer

Installation of pipe piezometer

No additional impacts LOW

Disruption or change in water release


LOW

BATUJAI – NUSA TENGGARA BARAT

Demolition of old masonry wall

Air pollution – Dust impact on human respiratory systems and flora and fauna from construction activities Air pollution – Dust impact on human respiratory systems and flora and fauna from construction activities

Repair to the parapet wall and the hand railing Construction of new masonry

wall and handrail Water pollution – impacts from residual construction material run-off

LOW

Transportation of rock i l

No additional impacts Replacement of riprap along U/S slope

Placement of rock using excavator


Air pollution – Dust impact on human respiratory systems from material loss during transportationWater pollution – potential additional sediment load within water system from material spillage from trucks



Noise pollution – impacts from vehicle movements on local resident

LOW

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Placement of (ATB) No additional impacts Disruption or change in water release


LOW

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Impact

Toe drain repair New rock to be placed some mortar to bind

No additional issues LOW

Placement of stop blocks No additional impacts Replace seals No additional impacts

Replace Rubber Seal in the flushing gate


LOW

Soil drilling into b k

Waste – Spoil generated from bore holing for piezometers Installation of Stand Pipe Piezometer

Installation of pipe piezometer



d



LOW

Placement and removal of stock block


Sandblasting of gate Waste – paint (potential lead impacts)

Sand blasting re-painting spillway gate

Repainting of gate No additional impacts

LOW

GEMBONG DAM


Construction of parapet wall on the D/S side of dam crest


Water pollution – impacts from residual construction material run-off LOW

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Impact


Air pollution – Dust impact on human respiratory systems and flora and fauna from construction activities Air pollution – Dust impact on human respiratory systems and flora and fauna from construction activities

Rehabilitation of V-notch

Construction of new masonry wall and handrail

Water pollution – impacts from residual construction material run-off

LOW


d



LOW

Minor increased water flows which could impact on down stream Sedimentation – potential increase in sediment laden water associated with the pump out which may impact on water quality and so aquatic fauna and flora

Pump out of waters from spillway basin

Sedimentation – potential increase in sediment laden water associated with the pump out which may impact on water quality and so Waste – Building waste generation Demolition of old concrete Potential water quality impacts associated with overflows during works within a spillway Potential water quality impacts associated with overflows during works within a spillway Noise pollution – impacts from increased vehicle movements on local


Spillway Basin Repair


LOW

Water pollution – associated with concrete truck washout Repair electric wiring system

Electrical works No Additional Issues LOW

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Impact

Generating set procurement & installation

Electrical Installation works No Additional Issues LOW

Placement of stop blocks No additional impacts Replace seals No additional impacts

Replacement of rubber seal of intake gate


LOW

Placement and removal of stop blocks

No additional impacts Repainting of intake gate

Repainting of gate No additional impacts LOW

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Figure 1: Indonesian Government Policies for Environmental Safeguard

Finish

Administrative Location of Residential and Settlement Development Activities

Appropriate with Law

Preparation of UKL & UPL

Bapedalda/BPLHD Kabupaten/Kota, if the activity are located on 1 (one) region of Kabupaten.Kota Bapedalda/BPLDH Province if the activity are located in more than 1 (one) Kabupaten/Kota Central Bapedalda, if the activity are located more than 1 (one) province or inter country

Proposed and Legalization of UKL &

Input/revision from Technical Team & Community

Representative Legalization of UKL &

UPL

Ministerial Decree of Settlement and Regional Infrastructure No. 17/2003 on Settlement Activities and Regional Infrastructure that required UKL and UPL . Ministerial of Environmental Decree No. 86/2002 on Implementation Guideline of UKL –UPL

Start

Type or Quantity of Dam Rehabilitation Plan

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2.4. Public Consultation Community involvement (stakeholder) in preparation of UKL/UPL will be included during approval of UKL/UPL documents through consultation in the EIA/technical team commission. Input and suggestions from the related stakeholders will be used in perfecting the UKL/UPL documents for approval.

The EIA commission/technical team consists of permanent and temporary members. Permanent members are representative from Institutions appointed to manage the environment such as Forestry Agency, Health Agency, BPN, Social Agency and Human Resources Agency. The temporary members are representatives from institutions related to the project activities, such as Public Works Agencies, Mining Agency, and Farming Agency, Representative from the communities, NGOs and Environment experts.

The General Guidelines for Stakeholder Consultation for DOISP 1 are outlined in the Project Implementation Plan Section 2.3 for community participation in reservoir management and Section 3.4 community participation in watershed management (see Annex 10). The draft ESMF and the draft UKL/UPLs were presented to national-level stakeholders as well as representatives from the regions where the four first sub-projects would be implemented, at a consultative workshop on August 5th, 2008 in Semarang, Central Java, a central project area. Minutes of the discussions are contained in Annex 11. Participants at the workshop were presented with copies in the Indonesian language, Bahasa. Discussions focused on:

Brief summary presentations on the overall project objective and the modus operandi.

Institutional arrangements for project implementation. A review of the list of potential sub projects in DOISP 1 and the rationale for their

selection. The list and brief description of the activities being proposed for each sub project. Status of project preparation. Key environmental and social challenges for the DOISP 1 project as a whole and

for individual subjects identified for implementation in Year 1. A review of the Indonesian UKL/UPL system as it would apply to this project. A brief review of the World Bank’s Environmental Assessment OP4.01 and how

it would apply to this project. The key provisions of the ESMF in terms of screening requirements, processes

and responsibilities, Sub project EA categorizations, preparation of EMP documentation, their review and approval process, etc.

Implementation of the EMP as part of the sub project implementation. • Standard proposed mitigation measures to manage the environmental and social

impacts. • Grievance mechanism for potentially affected people and communities to have

their voices heard should they feel that their concerns have not been heard. The discussions led to consensus regarding the positive appreciation for the DOISP1 as these reservoirs have played a positive role overall in terms of provision of water for the

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local irrigation needs, and participants welcomed the opportunity for much need safety and operational improvements to ensure continued availability of the services being provided. The participants also expressed keen interest in ensuring that the provisions of ESMF were adhered to and that adverse impacts on individuals and communities should be addressed in a timely and adequate manner. The participants also emphasized that the project’s objectives and implementation need to be properly explained as many people had arrived at the meeting with the expectation that the project would actually build new reservoirs, which was considered potentially more contentious and problematic. The Bank Team and the DGWR will work closely together during appraisal to ensure the useful contributions from the participants are taken in consideration in the project design. In terms of involving public to participate in the EMP process, DOISP 1 will consult project-affected groups and local non-governmental organizations (NGOs) about the project’s environmental aspects and takes their views into account. Project proponent will continue the consultations as early as possible. Since local knowledge is important in designing and planning the implementation of practical mitigation measures, it is important that community participation is conducted during the preparation of the UKL/UPL. Such consultation for the four UKL/UPLs completed for the first year (2009) DOISP1 will be continued in parallel with project appraisal, and the comments expecting to be received will be included in the supplementary chapter for the relevant UKL/UPL.

2. 5. Disclosure After final revision of the ESMF and the four EMPs (UKL/UPL) are completed, and cleared by the World Bank, these documents will be disclosed locally in Bahasa in Indonesia, and the ESMF will also be disclosed at the Infoshop of the World Bank, Washington, DC. Further UKL/UPLs pertaining to the other sub-projects will be disclosed in due course each time they have been accepted for inclusion in the successive Annual Work Plans of DOISP 1.

3. Environmental Management

The DOISP 1 will provide resources for the following activities to support environmental management:

(1) Screening for DOISP 1 sub-projects

(2) Preparation of monitoring and management reports for DOISP 1 sub-projects

(3) Input into the design process for all sub-projects, including stakeholder consultation

(4) Refinement of the Environmental Management Plan

(5) Liaison with Bapedalda and other relevant stakeholders for all sub-projects

(6) Liaison and guidance on environmental and social matters among the consultants

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(7) Preparation of further studies for DOISP 2 as necessary

3.1. Environmental Management Procedures To ensure that works associated with the project are undertaken in a manner that minimises impacts it is necessary to manage the environmental issues.

Approvals associated with all stages of preparation and works will be undertaken by BBWS/BWS (and, at no-objection level, the World Bank). see Annex 8- Mechanism Approval of Environment

Table 5: Roles and Responsibilities

Activity Implementing Agency Responsible

Monitoring Agency Responsible

1. Screening Impact BBWS/BWS BBWS/BWS Remedial Work 2. Document Preparation a. Prepare Administration BBWS/BWS BBWS/BWS b. Compose document BBWS/BWS BBWS/BWS c. Approval Technical team

1. Project Operational Dam BBWS/BWS BBWS/BWS Green Belt BBWS/BWS/PSDA

BBWS/BWS/PSDA BBWS/BWS/PSDA BBWS/BWS/PSDA Catchment Area

Report BBWS/BWS/PSDA RLR Agency/PSDA a. Project Implementer - Operational Dam BBWS/BWS BBWS/BWS

- Reservoirs BBWS/BWS BBWS/BWS -Catchment Area District Farming Agency District Farming Agency

Forestry Agency Forestry Agency Mining Agency Mining Agency Industrial Agency Industrial Agency BBWS/BWS BBWS/BWS PW Agency PW Agency

-Report BBWS/BWS RLR Agency Coordination with related institution with the Management

PW Provincial Agency

b. Environment Monitoring Implementer

- Operational Dam BBWS/BWS BBWS/BWS - Green Belt BBWS/BWS BBWS/BWS

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-Catchment Area District Farming Agency District Farming Agency Forestry Agency Forestry Agency Mining Agency Mining Agency Industrial Agency Industrial Agency BBWS/BWS BBWS/BWS PW Agency PW Agency


PW Provincial Agency Bapedalda/BKLH/Provincial Environmental Agency

c. Implementer of Environmental Monitoring

- Operational Dam BBWS/BWS BBWS/BWS - Green Belt BBWS/BWS BBWS/BWS -Catchment Area District Farming Agency District Farming Agency

Forestry Agency Forestry Agency Mining Agency Mining Agency Industrial Agency Industrial Agency BBWS/BWS BBWS/BWS PW Agency PW Agency


PW Provincial Agency Bapedalda/BKLH/Provincial Environmental Agency

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33

Box - 1 Summary of DOISP 1 Environmental and Social Management and Monitoring Roles and

Responsibilities

Overall Environmental Objective of the Project: • Project will be implemented in accordance with the Environmental and Social

Management Framework (ESMF) and Loan Agreements Sub-Directorate related on Environmental Affairs, DGWR:

• Prepare the guidance and supervision of the project's environmental aspects. • Ensure/Coordinate with Kabupaten/Kota/Provincial/Central governments and the World

Bank, and other national and local government agencies.

Central Team Consultants (serves under the DGWR Technical Directorate of Rivers. Lakes and Dams [Sudawa]):

• Assist in establishing and ensuring compliance with the ESMF requirements, particularly during sub-project planning and assessment.

• Ensure close coordination with PDMUs including annual consultation and coordination workshops; needed training support and information dissemination.

Design and Supervision Consultants (DSCs; under DGWR Implementation Units [Balai (Besar) WS]): • Lead role during sub-project design reviews, monitoring and reporting on

implementation in coordination with the provincial/kabupaten and Central Consultants Team.

• Provide needed environmental guidance and field support during sub-project implementation.

• Support transport and other funding requirements of PDMUs sub-project monitoring visits and local consultation meetings.

DGWR Provincial Project Implementation Units (Balai BWS / Balai WS) • Lead role for project planning and supervision at the provincial level. • Serve as the official point of project coordination and communication with the

respective BAPEDALDA and other government institutions.

BAPEDALDA (Environmental Impact Management Agency; serves under local government at the provincial and/or kabupaten level):

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3.2. Document Review and Amendment The completed UKL/UPLs of the sub-projects will be reviewed by safeguards specialists at national level (PMU) prior to formal submission to the local environmental authority (Bapedalda) and the World Bank for approval. This approval process with the Bank will take place annually at the occasion of the review of the Annual Work Plan submitted by the PMU. The Bank will be comment on UKL/UPL (EMP standard follow Annex 7) drafts provided during the semi-annual supervision missions to avoid that “final” EMPs would need to be re-drafted, which would require time and which might create constraints in sub-project implementation. Review and final approval of all required environmental will be a precondition for completion of detailed designs (DDs) and preparation of tender documents (TDs) by local governments. Local governments will have to demonstrate how environmental mitigation has been handled, and when required, integrated into detailed sub-project designs and bill of quantities. The PMU team will review and sign off on all completed DDs and TDs, including further safeguards review to ensure key impacts identified have been adequately addressed. This could include one or a mix of the following: structural measures to be incorporated into detailed engineering design; non-structural measures to be listed in specific conditions of contract; and Standard Operating Procedures environmental impact management integrated into bid documents and contracts. The World Bank will review a sample of completed DD/TDs, at least one for each participating local government.

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Table 6: Overview of Review and Approval Mechanism

Subproject preparation and eligibility

sub project eligibility selection of subprojects preparation of selected subprojects subproject approval construction supervision and subproject management

Environmental procedures Application of criteria to

screen out high risk sub-projects (defer to DOISP2)

Environmental and social

screening of selected sub-projects

Implementation of UKL/UPL

as required Integration of study results

into DD/TDs Social and environmental

monitoring

Formal review and approval requirements

Screening results sent to local

environmental authority and World Bank

Province Bapedalda reviews

and approves UKL/UPLs World Bank reviews and

approves all UKL/UPLs Bank reviews a sample of

DD/TD packages Submission of bi-annual

monitoring reports to GOI and Bank

3.3. Monitoring and Evaluating Performance Internal monitoring on the implementation of the sub-components will be undertaken annually by the PMU. External monitoring and evaluation will be divided into two types. First, by the mid-term review, and second, by project closure. This activity will be based on TORs approved by the World Bank and conducted by an independent consultant/NGO/university to assess whether the process of participatory steps was implemented as per the technical guidelines, whether the empowerment, capacity building and the incentives have been effective, what benefit emerged for the community and for the project, and whether implementation still faces problems that require further assistance. A comprehensive process will be implemented for reporting on, and auditing the activities to meet the GOI and World Bank requirements based on the Annual Work

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Plans for each sub-project. The UKL/UPL regulations require bi-annual work reporting, to ensure that the environment and social management and monitoring are being adhered to as per the UKL/UPL. This will include: • - A summary of activities undertaken over the past 6 months; • - The effectiveness of the mitigation measures to address impacts and potential

impacts as detailed in the UKL/UPL for each of the dam sites; • - Any incidents and non-compliances with the ESMF and UKL/UPL; • - The corrective actions undertaken to address non-conformances and there

effectiveness; • - Community complaints; • - Community consultation; • - Any changes to works and the approvals granted for the changes; and • - Any other issues relevant to environmental and social impacts and specific issues

covered in the UKL/UPLs.

It is essential that during the project the performance of works is kept in line with the requirements of the ESMF and the UKL/UPLs. As a result there is a need to monitor and evaluate project performance. From the screening assessment, site investigations and stakeholder consultation it can be determined that there are a number of environmental and social impacts which include:

a. Water Quality and Quantity Baseline water quality parameters which should be also examined include: turbidity, biochemical oxygen demand (BOD), total suspended solids (TSS), dissolved oxygen (DO), and temperature in water. Decrease in the water quality during dam gates rehabilitation and cleaning of the sediments could influence the water needs of the communities in the downstream and could have an impact on the social conflict, however these impacts are considered of short duration and manageable through consultation. The pre-screening has not indicated that any mining activity is taking place upstream of the reservoir sites (except for sand mining and quarrying) so no need is anticipated to conduct more comprehensive chemical analysis of water or sediment. In case such potentially nefarious industrial effluents would be detected, water quality analysis will be adjusted to assess the impact on the reservoir.

b. Transportation Disturbance Mobilization of heavy equipments and material will have an impact on the air quality (dust) and noises which could disturb the community in the residential area (near/direct border with the mobilization route)

Road user of the dam access during rehabilitation will have an impact on conflict of interest on the road infrastructure utilization.

c. Community Social and Economical Development

Social economy dynamic and community culture around the dam had lost the preservation area and did not receive direct benefit to for an attention. Community participation development around the dam based on the characteristic need attention such

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as economy development relating to deforestation, traditional fisheries development, tourism development.

d. Construction Waste During the project period attention to construction waste, such as garbage, vegetation waste and domestic water waste, material waste, dam facilities replacement material waste and used oil from the heavy machineries will follow the 3R process (Reduce, Reuse, Recycle) and waste will be disposed of to designated waste facilities and in accordance with the UKL/UPL.

From the assessment of the dams in DOISP 1 it was determined that there is very limited industrialisation upstream of the dams (with the exception of the Jatiluhur reservoir) and as a result it is not expected that sediment removed from the outlets and inlets in the dam will encounter contaminated sediment. If it is determined that sediment is contaminated then the material will be stockpiled separately away from any water body and covered to ensure that there is no run-off. The material will be analysed and appropriate disposal methodologies will be determined from the analytical analysis.

e. Historical Issues As the works associated with DOISP 1 are unlikely to effect or alter the operation of the 34 dams it is not considered necessary to address this issue, although if during the approval process or construction community issues associated with historical controversy then the issue will be addressed in accordance with the stakeholder consultation procedure and any works will cease until the issue has been resolved.

f. Water Delivery

Works associated with DOISP 1 are unlikely to effect normal operational activities. If however water delivery is affected, full community consultation will be undertaken prior to the works to ensure that there is minimal social and environmental impact

g. External Water Pollution Impacts DOISP activities are not likely to cause any significant impact on water quality. If however it is noted either visually or as a result of water quality monitoring that significant water pollution has occurred then works will cease and Bapedalda/PIU will be immediately notified.

h. Dredging

Dredging for DOISP 1 will be limited to removal of silt build up around the inlet and outlet pipes (Maximum 500,000m3). If the limit is required to be exceeded then the activity will be deferred to DOISP 2.

i. Construction Compound Establishment Some of the activities associated with the project may require establishment of a site compound for the construction team. If this occurs the following process for site placement will be followed:

a) be located within the dam land;

b) have ready access to the road network;

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c) be located to minimise the need for heavy vehicles to travel through residential areas;

d) be sited on relatively level land;

e) be separated from nearest residences by at least 200 m;

f) not be within 100 m of a water body (with the exception of requirements for works associated with DOISP 1);

g) be located above the 20 ARI flood level unless a contingency plan to manage flooding is prepared and implemented;

h) not require vegetation clearing beyond that already required for the Project;

i) not impact on heritage sites beyond those already impacted by the Project; and

j) not affect the land use of adjacent properties.

It should be noted that these requirements are not extensive, with any additional requirements covered in the UKL/UPL for each individual site.

Implementation of EMPs (UKL-UPL) is the responsibility of contractors, as set out in bid and contract documents. Field-based environmental monitoring of EMPs to ensure contractor compliance is the primary responsibility of the supervising engineer assigned for each subproject by the relevant Dinas (local government agency). Additional support and spot-checking will be carried by the safeguards specialists assigned to the geographically based consultant teams funded under DOISP, in coordination with local environmental authorities. Field based environmental monitoring of EMPs (UKL/UPL) is the primary responsibility of local environmental authorities. As current capacity to fulfil these tasks is very low, monitoring will be carried out by safeguards staff assigned to the geographically based supervision teams. However special attention will be given to ensuring that local environmental authorities are able to participate. For example, the geographically based safeguards specialists will coordinate their monitoring missions closely with local environmental authorities ensuring that adequate transportation is available. The results of environmental monitoring will be collated on a six-monthly basis by geographically based safeguards staff and submitted to the PMU team on a biannual basis. Significant non-compliances will be noted in these reports, whether issues raised have been resolved and what corrective actions were taken. Six-monthly monitoring reports will be submitted by the PMU to the WBOJ as an input to supervision missions.

3.4. Environmental Input into the Design Process For the environmental process to be effective, it is essential that at various stages in the process there are opportunities for a review of the design to include measures to reduce or eliminate any potential environmental issues. It will therefore be essential for the Central Consultants Team and National PIU to be actively involved in the design review and checking process through close liaison with the engineering personnel of the various

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consultant teams and members of the DGWR (refer to Annexes 2, 7 and 8).

Some of the environmental matters that can be considered during the design review and checking process are as follows:

Reviewing proposed improvement and rehabilitation requirements in relationship to existing structures and/or sensitive environmental areas,

Reviewing the quantity and treatment for cleanings and dredging to assess the off-site impacts of quarrying and transport requirements as well as concerns for erosion, landslides and general stability of cut and fill areas,

Ensuring that existing water courses, drainage patterns and any coastal habitats are properly considered in proposed activities, and

Ensuring minimum blockage of existing accesses to adjacent areas.

It will be essential for the Consultants/environmental specialists to visit all sub-projects that are identified as requiring detailed studies (UKL/UPL) to support their preparation of the Terms of Reference (TOR) based on actual conditions and local concerns. These site visits should be undertaken with local engineering specialists familiar with the proposed sub-project to provide needed information and clarification of design features.

3.5. Preparation of Further Studies for DOISP 1 If it is determined from the detailed screening that further, more detailed studies are needed, such as the need to prepare an AMDAL, resources will be provided under the DOISP 1. Additional external consultancy may be required to undertake these further studies. The Team of Consultants will be responsible for preparing the TOR for these studies and separate Indonesian consultancies can be appointed to conduct these special studies or technical assistance services as required and approved by the project. Works /activities that require an AMDAL will be scheduled under DOISP2.

4. Community Development Beside of mitigation of negative impacts on local communities, the project will actively support social development through community participation and CDD approaches in reservoir management (sub-component 2.3 on 20 locations) and watershed management (sub-component 3.4 in 9 sub-catchments within 4 dams).

4.1. Community participation in reservoir management. This sub-component will build upon the pilots conducted under DSP. Objectives are to (i) ensure community participation in maintenance and safety of reservoirs and dams and in controlling the use of the reservoir area by outsiders; (ii) ensure community participation in creating income-generating agricultural and silvicultural opportunities, utilizing the government-owned reservoir greenbelt zone whilst applying land use practices that stem erosion and shore damage; (iii) strengthen the capacity of local government institutions (district, sub-district and village) in working in a participatory approach. The community participation will take consideration of social diversity and gender. A CDD approach will be applied, with support from local

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NGOs familiar with the area. An incentive scheme will be introduced to support the development of the income-generating activities, which would need to be continued (at a lower level of engagement) by the local government and NGOs to improve sustainability. The settlers would be allowed the usufruct and lease of the land, and no land acquisition would be involved. 4.2. Community participation in watershed management. This sub-component will replicate successful pilots carried out by Balai PSDA and local government in Central Java in other (sub-) catchments where demand and commitment have been documented. The objectives are to (i) ensure community participation in increasing and maintaining protective vegetation cover and land surface structures (e,g., drains and terraces) in the catchment, as well as in the rehabilitation and protection of river banks and beds that are prone to erosion and threaten local settlements, bridges, bathing places, etc.; (ii) stimulate community participation in using income-generating opportunities related to the erosion control measures (tree and crop growing) that do not damage the ecosystem or the vulnerable soils; and (iii) encourage capacity of local government in managing the catchment with a participatory approach. The activities comprise community organization, joint prioritization and planning, financial incentives and technical support, and capacity building. The activities may include small-scale land acquisition, with land donation from the community, under the provision that the donators get direct benefit from the activities and the land to be donated is of minor size and/or does not significantly affect their assets.

Implementation of the community participation approach needs 3 guidelines, viz.: general guidelines, technical guidelines and guidelines for implementation.

The General Guidelines (Annex 10) describe the project, regulations and mechanisms that should be followed in the implementation of community participation components in DOISP 1. Technical Guidelines describes in detail each step or series of activities to execute community participation components. The third guideline is the Implementation Guideline. These are a series of guidelines for each implementer concerned with basic principles and stipulates requirements needed to implement each role and work component (job). The serial guidelines for implementers consist of:

Guideline for Community Group Guideline for Community in Reservoir Guideline for Community in Catchment Guideline for Facilitator

To promote community development under DOISP 1, community participation will take place in reservoir and watershed management that can be occur on a voluntary and sustainable basis. The system that will be applied (empowerment, consultations, financial and institutional support, etc.) will replicate earlier pilots that have proven successful or relatively successful, notably the greenbelt management sub-component under DSP, and the Probolo (West Java) catchment management program initiated by the Provincial government in 2001 and currently replicated by a Netherlands Trust Fund. The community participation will be directed toward efforts to enhance community access and capacity in relation to the utilization of resources generated by the reservoir and the watershed. These efforts can be in the form of: 1) involvement of the whole targeted

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community in the process of decision-making related to reservoir and watershed management; 2) improvement in access to public assets, infrastructure and facilities in order to take advantage of opportunities as result of better reservoir and watershed management; and 3) improvement of human resources capacity in order to strengthen empowerment to take advantage of the emerging opportunities. Annex 10 provides general guidelines and brief description of the project, regulation, and mechanism in the implementation of DOISP components of community participation (sub components 2.3 and 3.4) Technical guidelines and serial guideline for the implementer will be prepared by the executing agency and incorporated as standard operational procedure (SOP) In the Project Management Manual (PMM), which will be reviewed by the Bank as a condition of the loan effectiveness.

Guidelines are made for different interest groups according to each role, obligation and function. Briefly the benefits of guidelines could be described as follows:

1. Community member and Community Groups To understand opportunities offered by the DOISP 1 Understand rules which have to be followed in DOISP 1 implementation

2. Dam Communication Forum 3. Catchment Preservation Forum

Developed community participation Building transparency and accountability Organizational Operation Reference

4. Project Understand thoroughly on DOISP 1 programs Project Implementation Planning Project controlling including project implementation performance

assessment 5. Implementation Consultant

Arranging project implementation strategy Project Implementation Planning Monitoring and evaluation of project development Reference for rehabilitation or guideline revision

6. Central Government Understand thoroughly DOISP 1 components Policy input in order for integration and coordination also further policy

development 7. BBWS/BWS and PSDA

Understand thoroughly DOISP 1 components Creating a continuous implementation program Building coordination network at the implementer level Coordination reference

8. Care Group Social control Advocating Synergize

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Organization network

5. Capacity Building, Training and Technical Assistance

The Project organisational team will be responsible for ensuring that the level of expertise associated with the Project is sufficient to undertake the tasks at hand. The UKL/UPL will ensure that there is a requirement for training of staff and that all project staff working at sites will be inducted in an environmental and social awareness training process. Capacity building, training and technical assistance for the project is detailed and broken down in Appendix B of the PIP.

Under the overall coordination by the MPW, each project implementing entity at the province and local government level is expected to take responsibility in ensuring that this framework is supported. The key tasks, responsibilities, related management actions required in supporting the framework are listed in the following table. Table 7: Tasks and Responsibilities for Environment Issue

Tasks Responsibility Required actions Development of training modules and materials, required standards and guidelines

− - Environmental consultant for environment issues (PMU)

- Training materials prepared in Indonesian for joint social and environmental training in three modules including:

− - General introduction to the safeguards framework (3 days) - Specialist training for project staff (2 days) - Specialist training for contractors (2 days) - Guidelines and formats for screening (including basic information required when local governments submit their Annual Investment Plans), review, monitoring and reporting.

General environmental safeguards orientation training for Project staff, and key local government counterparts (Bappeda, PU and Bapedalda)

Environmental consultant (PMU)

Delivery of 3x3-day training events

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Specialist environmental training in screening, review and supervision procedures, for project staff and field supervision engineers

Environmental consultant (PMU)

Year 1 delivery of 3x2-day training Year 2 delivery 1 or 2 training events for newly recruiting staff.

Specialist environmental training for contractors focusing on implementation of EMPs (UKKL-UPL)

Provincial environmental consultant with guidance from the national consultant

Rolling training program to be provided for all contractors. Contractors to be issued with a certificate for renewal every 3 years.

Commission environmental and social studies (UKL/UPL) as necessary, including drafting of ToRs

National consultant on basis of formal requests from respective local governments. Provincial consultant draft TORs, reviewed by national consultant.

Based on request by respective local governments

Review and approval of UKL/UPL

Local environmental authority.

Formal review and approval of UKL/UPL by local environmental authority WBOJ to review at least

one from each participating local government.

For SOPs, field based supervising engineers supported by geographically based safeguard specialists

Monitoring and reporting

For UKL/UPL, local environmental authorities supported by provincial consultant

Supervising engineers complete field protocols, Monitoring data compiled by local project team into 6 monthly reports for PIU team and WBOJ

The main capacity needs and related budget items required to support implementation of this framework are provided in the following table.

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Table 8: Capacity Building and Indicative Budget (Environment)

Item Needs Indicative budget Environmental safeguard support to the PMU

1 Senior Environmental Specialist

24 months, including 12 months continuous during year 1.

Development and delivery of modules to be prepared by PMU safeguards specialists

No additional cost Environmental safeguards training

Training budget US$7,000 per training event to cover costs of travel, accommodation for participations, room hire, consumables

Capacity building for local environmental authority

1 environmental specialist to be provided to Provincial Bapedalda to assist with routine monitoring.

Full time (36 months) at local government fee rates for a mid to senior level official

Composing UKL-UPL Year 2008: 4

UKL/UPL US$20,000 x 4 = US$40,000

US$20,000 x 30 = US$600,000 Year 2009: 30 UKL/UPL

Community Consultation Year 2008 – 2009 34 Subprojects x 250 people x IDR 250,000 = IDR 2,125M = US$ 240,000

Environmental Management Training for Dam activities

Year 2009 – 2010 34 Subprojects x 10 people x 3 days x IDR 1,000,000 = IDR 1,020M = US$ 115,000

Monitoring and reporting Travel costs US$25,000 to be allocated to each

provincial team

The Project organizational team will be responsible for ensuring that the level of expertise associated with the Project is sufficient to undertake the tasks at hand. The UKL/UPL will ensure that there is a requirement for training of staff and that all project

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staff working at sites will be inducted in an environmental and social awareness training process. For more detailed estimated costs and extent of capacity building and training associated with the project can be found in Appendix B of the PIP.

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ANNEX 1 LIST DAMS TO BE REHABILITATED ON DOISP PROJECT

Table Dams to Be Rehabilitated in 2009 (Year 1)

No Dam Name Risk Score Basin Province/ Owner Year

Built Height

(M) Volume of Reservoir

(m3) Hazard

Categories Purpose of the Dam

1 2 3 4 5 6 7 8 9 10

1 Krisak 54 Krisak Bengawan Solo Central Java/ BBWS Solo 1943 20.00 3.717.000 3 Irrigation 274 ha

2 Gondang 47 Jurug Gondang East Java/ BBWS Solo 1986 22.00 25.900.000 4 Irrigation 10.500 ha

3 Batujai 47 Panunjak NTB/ BWS NT I 1982 16.00 23.500.000 4 Irrigation 3.350 ha

4 Gembong 45 Juwono Sani

Central Java/ BBWS Pemali Juana 1993 38.00 9.500.000 3 Irrigation 3.855 ha



Built Height


(m3) Hazard


1 2 3 4 5 6 7 8 9 10

1 Ir. H. Juanda (Jatiluhur)

78 Citarum West Java/ BBWS Citarum 1967 96.00 2.556.000.000 5

Irrigation 240.000 ha Electricity 350.000 MWH Water Supply 11 m3/sec

2 Wadaslintang 76 Serayu – Opak Central Java/ BBWS Serayu Opak 1987 125 440.000.000 4 Irrigation 31.634 ha

Electricity 92.000 MWH

3 Malahayu 72 Kabuyutan Central Java/ BBWS Cimanuk Cisanggarung 1940 30.00 39.880.000 3 Irrigation 18.456 ha

1


Built Height


(m3) Hazard


1 2 3 4 5 6 7 8 9 10

4 Cengklik 70 Suplesi Bendung Watu Leter Central Java/ BBWS – Solo 1931 14.50 9.773.000 3 Irrigation 1.578 ha

5 Penjalin 69 Penjalin Central Java/ BBWS Pemali Juana 1934 23.00 9.500.000 5 Irrigation 29.000 ha

6 Sempor 68 Petahunan Sempor

Central Java/ BBWS Serayu Opak 1967 42.00 39.963.000 4 Irrigation 17.000 ha

Electricity 6000 MWH

7 Selorejo 68

Konto Brantas East Java/ BBWS Brantas 1970 46 62.300.000 5 Irrigation 5.700 ha

Electricity 49 MWH

8 Karangkates 68 Brantas East Java/ BBWS Brantas 1973 96.00 343.000.000 4 Irrigation 34.000 ha Electricity 488.000 MWH

9 Ketro 65 Ketro Bengawan Solo Central Java/ BBWS Solo 1984 15 2.800.000 5 Irrigation 400 ha

10 Batutegi 64 Way Sangharus Way Sekampung

Lampung/ BBWS Mesuji Sekampung 2001 120.00 500.000.000 4 Irrigation 90.000 ha

Electricity 125.2 GWH


No Dam Name Risk Score Basin Province/ Owner Year Built

Height(M)

Volume of Reservoir

(m3) Hazard


1 2 3 4 5 6 7 8 9 10

1 Cacaban 64 Cacaban Central Java/ BBWS Pemali Juana 1958 36.00 90.000.000 4 Irrigation 17.481 ha

2 Darma 64 Cisanggarung West Java/ BBWS Cimanuk Cisanggarung 1962 36.00 37.900.000 4 Irrigation 22.316 ha

3 Wonorejo 61 Wangi Gondang East Java/ BBWS Brantas 1999 100.00 122.000.000 5

Irrigation 7.540 ha Water Supply 8.02 m3/sec Electricity 6.02 MWH

2


Height(M)

Volume of Reservoir

(m3) Hazard


1 2 3 4 5 6 7 8 9 10

4 Wlingi 60 Brantas East Java/ BBWS Brantas 1972 28.00 24.000.000 4 Irrigation 13.600 ha Electricity 188.000 MWH

5 Tempuran 59 Kedung Padas Central Java/ BBWS Pemali Juana 1916 18.00 2.143.000 3 Irrigation 923 ha

6 Kedung Ombo 58 Uter Serang


Electricity 22,5 MWH

7 Sengguruh Jawa Timur 58 Lesti-Brantas East Java/ BBWS Brantas 1982 33,00 23.000.000 3 Electricity 98,5 MWH

8 Nglangon 57 Nglangon Central Java/ BBWS Pemali Juana 1914 15.00 2.184.000 3 Irrigation 750 ha

9 Kalola 57 Walanae – Cenrenae

South Sulawesi/ BWS Pompengan Jeneberang 1995 34.80 70.000.000 3

Irrigation 6.803 ha Water Supply 14,219 m3/sec Electricity 0

10 Way Jepara 57 Lampung BBWS Mesuji Sekampung 1979 16.00 15.000.000 3 Irrigation 6651 ha



Height(M)

Volume of Reservoir

(m3) Hazard


1 2 3 4 5 6 7 8 9 10

1 Kedung Uling 56 Bengawan Solo Central Java/ BBWS Solo 1917 8.00 900.000 3 Irrigation 569 ha

3


Height(M)

Volume of Reservoir

(m3) Hazard


1 2 3 4 5 6 7 8 9 10

2 Pengga 56 Dodokan NTB/ BWS NT I 1994 33.00 27.000.000 3 Irrigation 3.589 ha

Electricity 0.4 MWH

3 Simo 55 Pemali – Juana Central Java/ BBWS Pemali Juana 1904 10.00 430.000 3 Irrigation 482 ha

4 Greneng 55 Central Java Central Java/ BBWS Pemali Juana 1918 13.00 2.300.000 4 Irrigation 251 ha

5 Plumbon 55 Baron Bengawan Solo Central Java/ BBWS Solo 1928 23.00 1.050.000 3 Irrigation 1.045 ha

6 Sampean Baru 55 Mandiro

Sampean East Java/ BWS Bondowoso 1983 26.00 1.500.000 3 Irrigation 9.800 ha

7 Merancang 54 Mahakam East Kalimantan/ BWS Kalimantan III 1995 8.00 20.000.000 4 Irrigation 3160 ha

8 Pacal 54 Pacal Bengawan Solo East Java/ BBWS Solo 1924 35.00 41.180.000 4 Irrigation 16.600 ha

9 Salomekko 54 Walanae – Cenrenae

South Sulawesi/ BWS Pompengan Jeneberang 1998 30.00 7.000.000 4 Irrigation 1742 ha

10 Sanggeh 53 Pemali – Juana Central Java/ BBWS Pemali Juana 1909 7.20 420.000 3 Irrigation 263 ha

Table Dams to Be Rehabilitated in DOISP 2


Built Height


(m3) Hazard


1 2 3 4 5 6 7 8 9 10

1 Tiu Kulit 53 Sumbawa NTB/ BWS NT I 1994 26.40 11.000.000 4 Irrigation 1.800 ha

Electricity 0.075 MW

4


Built Height


(m3) Hazard


1 2 3 4 5 6 7 8 9 10

5

2 Way Rarem 53 Rante Gowak Lampung/ BBWS Mesuji Sekampung 1984 32.00 72.400.000 3 Domestic water

supply

3 Prijetan 52 Prijetan Bengawan Solo East Java/ BBWS Solo 1917 23.00 8.750.000 3 Irrigation 4.600 ha

4 Nawangan 51 Central Java Central Java/ BBWS Solo 1976 25.00 800.000 3 Irrigation 354 ha

5 Pondok 51 Bengawan Solo East Java/ BBWS Solo 1996 30 25.300.000 4 Irrigation 3511 ha

6 Kedung Bendo 49 K. Bendo K. Madiun East Java/ BBWS Solo 1948 13.00 1.700.000 4 Irrigation 1430 ha

7 Lempake 49 Mahakam East Kalimantan/ BWS Kalimantan III 1970 9.00 N/A 5 Irrigation 550 ha

8 Klego 49 Kancil Serang

Central Java/ BBWS Pemali Juana 1989 14.00 2.740.000 3 Irrigation 874 ha

9 Gapit 49 Sumbawa NTB/ BWS NT I 1997 24.60 - 3 Irrigation 13300 ha Drinking water 15 l/s

10 Mamak 48 Sumbawa NTB/ BWS NT I 1992 41.50 30.000.000 1 Irrigation 5.428 ha

Electricity 0.55 MW

11 Ngancar 47 Jarak River Central Java/ BBWS Solo 1946 19.00 2.050.000 4 Irrigation 1.300 ha

12 Parang Joho 47 Jumok Kedung Padas Central Java/ BBWS Solo 1980 20.00 1.760.000 3 Irrigation 650 ha

13 Sumi 47 Sumbawa NTB/ BWS NT I 1999 45.00 16.300.000 4 Irrigation 2.272 ha Electricity 100 MW

14 Sepayung Dalam 47 Rode NTB/ BWS NT I 1993 17.00 1.600.000 3 Irrigation 501 ha


Built Height


(m3) Hazard


1 2 3 4 5 6 7 8 9 10

15 Batu Bulan 46 Sumbawa NTB/ BWS NT I 2002 39.00 53.600.000 4 Irrigation 5162 ha

16 Samboja 46 Mahakam Kalimantan/ BWS Kalimantan III 1979 8.2 3.720.000 4 Irrigation 1.000 ha

17 Telogo Pasir 46 Bengawan Solo East Java/ BBWS Solo 1931 14.50 2.673.000 4 Irrigation 1777 ha

18 Gunung Rowo 43 Gunung Wadi Jratun Seluna


19 Sermo 42 Ngrancah Serang

Yogyakarta/ BBWS Serayu Opak 1985 56.6 25.000.000 1 Irrigation 3.550 ha

20 Waerita 40 Flores NTT/ BWS NT II 1994 12.00 324.000 4 Irrigation 100 ha

21 Jero Waru 39 Sumbawa NTB/ BWS NT I 1999 13.00 N/A 3 Irrigation 263 ha

22 Klambu 37 Pemali -Juana Central Java/ BBWS Pemali Juana 1988 10.00 Barrage 3 Irrigation 38.300 ha

23 Manubulu 36 Rote NTT/ BWS NT II 1994 15.00 722.000 3 Irrigation 1101.5 ha

24 Way Tengkorak 35 Way Sekampung Lampung/ BBWS Mesuji Sekampung 1989 8.00 470.000 2 Domestic water

supply

25 Livuhahani 34 Rote NTT/ BWS NT II 1992 15.00 25.100 3 Irrigation 500 ha

26 Delingan 12 Tempuran Bengawan Solo Central Java/ BBWS Solo 1924 27.00 3.270.000 3 Irrigation

6


Built Height


(m3) Hazard


1 2 3 4 5 6 7 8 9 10

27 Cikuluk 39 Way Sekampung Lampung/ BBWS Mesuji Sekampung 1988 9.00 185.000 3 Domestic water

supply

28 Rawa Pening 33 Tuntang Jratun Seluna


Electricity 35 MW

29 Situ Patok * 59 Cimanuk West Java/ BBWS Cimanuk Cisanggarung 1927 27.30 14.000.000 2 Irrigation 1934 ha

30 Cipancuh1 * 42 Indramayu West Java/ BBWS Cimanuk Cisanggarung 1923 15.00 7.800.000 3

31 Banyu Kuwung 55 Batok Central Java/ BBWS Pemali Juana 1995 13.50 2.400.000 4 Irrigation

Drinking Water

7

1 * Dam yet to be inspected

Yes No

RENCANA KEGIATAN REHABILITASI DAM SUB-PROYEK DOSIP

Ketentuan OP.401

OP 4.01

E ir osial safeguard nv onmental & s

- OD. 420 : Indegenous People - OP. 404 : Natural Habitat ( Indegenous Species) - OP. 4.11 : Safequard cultural

propertily- OP. 4.12 : Involuntary Reseument

Bank Dunia

PEMERINTAH RI UU No. 23 / 1997 PP No.27 / 1999

PERMEN LH No. 11 / 2006

TIDAK BERDAMPAK BESAR DAN PENTING TERHADAP KOMPONEN LINGKUNGAN

KEPMEN LH No. 8 / 2002

UKL DAN UPL

BERPE

KOM

DAMPAK BESAR DAN NTING TERHADAP PONEN LINGKUNGANSOSEKBUD FISK – KIMIA

• • • BIOLOGI • KESEHATAN

MASYARAKAT

KEPMEN LH No. 86 / 2006

DAM REHABILITATION

RACTIVITY PLAN SUB-PROYEK DOISP1

Environment and Social Safeguards

- Category A - Category B

- Category C - Category F

- Category C - Category F

- OP. 4.10 : Indigenous People - OP. 4.04 : Natural Habitat (Indigenous Species) - OP. 4.11 : Safeguard cultural Property - OP. 4.12 : Involuntary Resettlement

World Bank

Environmental Impact

Assessment ( EIA)/ AMDAL

LAW No. 23 / 1997 GOV.REG No.27 / 1999

ENV.DECREE No. 11 / 2006

NO MAJOR AND CRITICAL IMPACT ON ENVIROMENT

COMPONENT


UKL DAN UPL (EMP)

MAJOR AND CRITICAL IMPACT ON ENVIRONMENT, SOC and CULTURAL PHISIC – CHEMISTRY, BIOLOGI, PUBLIC HEALTH


GOI

Annex 2

Diagram (Screening) Environment Management

ANNEX – 3

Types of Activities should accompanied by ANDAL or UKL/UPL SCALE SECTOR AND ACTIVITY

ANDAL UKL/UPL Solid Waste/Desposal

a. Final disposal with control landfill system/sanitary landfill (non- hazardous waste)

- Area coverage, or > 10 Ha < 10 Ha

- Total capacity > 10.000 ton < 10.000 ton

b. Final disposal in tides area3

- Landfill coverage, or > 5 Ha < 5 Ha

- Total capacity > 5.000 ton < 5.000 ton

c. Final disposal with open dumping system All size -

Irigation and Drainage

a. Development of drainage in medium-sized city

- Primary drainage (length) > 10km < 10 km

- Secondary and tertiary drainage (length) > 10km 2 - 10 km

b. Development of drainage in small-sized city - > 5 km

Sediment Dredging

a. Medium-sized city

- Length, or > 10 km 3-< 10 km

- Volume of dredging > 500,000 m3 -

b. Check dams ≤ 15 m ≥ 15 m

New Construction for Resettlement

a. Number of persons removed, or > 200 households 50 - 200 households

b. Area coverage > 100 Ha 2 Ha - 100 Ha

1. See Decree of the State Minister of the Environment No. 17/2001 dated 22

May 2001 on Types of Activities that Need to be Accompanied by AMDAL 2. See Decree of the Minister of Settlements and Regional Infrastructure No.

17/KPTSl2003, dated 3 February 2003 on Types of Activities that Need to be Accompanied by UKUUPL

3. This applies for controlled landfill in tides area as well Sources: 1. Minister of Settlements and Regional Infrastructure Decree No. 17, year

2003 2. KepMen LH No. 11 / 2006 - Minister of the Environment Decree No. 11,

year 2006

Serial

1 JATILUHUR - West Java CIVIL WORKS

Local labour recruited, domestic waste, sanitation

Detailed study to determine : Yes

O joint at junction between access gallery and morning glory a) the cause of movements and seepage associated Water Polution, Air Quality, √ √ √ √ √ √ √

tower is causing seepage problems with “0” joint in the access tunnel and Construction waste

Abnormal settlement of crest remains unresolved issue propose remedial measures Construction waste Organic Waste

Thereis a wet area next to left abutment that needs study b) the abnormal settlement of dam crest as reservoir

Saddle dams still showing distress water level goes down Water level of reservoir

Emergency spillway requires remodelling/relocation c) wet area near the left abutment Water quality

Seals of hollow jet valve have worn out d) stability problems associated with saddle dams Land utilitation (social Impact)

seals of intake gates have worn out and to study alternatives for redesigning/relocating Re-Settlement

draft tube gate is damaged the emergency spillway living Impact

the crane on spillway deck is old and out of order Electro-Mechanical

Replace the seals of 2 hollow jet valves Construction waste, used grease

replace the seals of 6 intake gates Construction waste

Provide automatic water level recorder for reservoir water level Turbidity Social Impact

Replacement of draft tube gate Construction waste, used grease

2 TIU KULIT - Nusa Tenggara Barat CIVIL WORKS


Construction of rockfill berm Construction waste Yes

seepage is emerging in uncontrolled manner at some places construction of a v-notch Construction waste

land slide ocuring in the reservoir periphery right in front of main dam Shotcreting of the land slide Construction waste

near right abutment animal traffic causes embankment degradation Provision of a steel gate Construction waste

repairs required to the electro-mechanical works INSTRUMENTATION- Construction of V-notch Construction waste

- Repair the hydraulic piezometer tubes and the Construction waste

monitoring system

Repair of v-notch Construction wasteSPILLWAY

200 m long, 1 m high masonry wall on the left abutment Construction waste

near spillway.

ELECTRO MECHANICAL- Minihydro and BFV repair Construction waste

- Replace generator set 80KVa Air Quality & Noise

Annex 4 ESMF Screening For 34 DAM on DOISP 1

LIST OF DAMS IDENTIFIED PROBLEMS PROPOSED REMEDIAL WORKS

IDENTIFIED IMPACT MAIN REHABILITATION WORKS SEDIMENTATION PROBLEMS REQUIREMENTS REGARDING UPGR

ADING FOR

HYDROMET STATI

ON

LAN

D

RECOMENDATION No. CONSTRUCTION

RELATEDNON-CONSTRUCTION

RELATED ON THE DAM ON APPURTENANT STRUCTURES IDENTIFIED PROBLEMS PROPOSED EIS

RES

ERVO

IR

DA

M R

AIS

ING

CO

MPE

NSA

TIO

NR

E-SE

TTLE

MEN

TC

OM

MU

NIT

Y

AMDAL

UKL - UPL

3 WAY RAREM CIVIL WORKSLocal labour recruited, domestic waste, sanitation

There is seepage occurring from left abutment near outlet Detailed study to determine cause of seepage from the No Impact sedimentation has

reduced approximate 30%

1. Need reservoir sediment survey to develop

Yes

Dam crest in poor condition left abutment near outlet. volume of reservoir but not become problem for

new Area-volume curve.

There are trees and shrubs on the dam body Rehabilitate dam crest with ATB layerTransportation reservoir operation as well

as for irrigation area2. Need sandtrape or check dam at river which

Trash boom damaged Clean trees and shrubs Organic Waste brings the sediment into reservoir.

Provide trash boom No ImpactV-notch damaged INSTRUMENTATION

Replace v-notch Construction wasteIntake roller gate damaged ELECTRICO-MECHANICALRubber seal of intake gate damaged Repair Intake roller gate Construction waste

Repair Rubber seal of intake gate Construction wasteBottom outlet damaged Repair Bottom outlet Construction wasteDistribution gate jet valve damaged Repair Distribution gate jet valve Construction waste

4 PRIJETAN - East Java CIVIL WORKSLocal labour recruited, domestic waste, sanitation

Access road repair Yes

crest road is in poor condition Dam crest repair by ATB layerTransportation, Air Quality Acces Impact

slopes are covered by vegetation Weeds and shrubs cleaning Organic Waste surface movement monuments are broken INSTRUMENTATION

Construction of Surface movement monumentsConstruction waste

SPILLWAY

bridge over emergency spillway too narrow Construction of emergency spillway bridge (4x50 m2)Construction waste, Water Polution

Proper access to spillway missing construction of ladder to access spillwayConstruction waste

spillway repair (wing wall) with stone masonryConstruction waste

spillway concrete repair in chute and stilling basin

wooden planks of outlet bridge damaged INTAKE TOWER

Repairs required for slide gate, lifting gate and guard gate Bridge wooden plank repair Construction waste

Hand rails replacement for intake tower Construction waste

Outlet irrigation channel repair on D/S (stone masonry)Water Quantity & Quality

ELECTRO MECHANICALSlide gates repair Construction wasteLifting gate repair Construction wasteGuard gate manual repair Construction waste

Provide Generating Set 60 KVA Air Quality & Noise

5 NAWANGAN Detailed study to determine cause of seepage emerging in Riprap damaged by anglers outlet channel and the cause of wet area near v‐notch No

CIVIL WORKSLocal labour recruited, domestic waste, sanitation

Dam crest in poor state Rehabilitate dam crest with ATB Construction waste

A concrete curb is required along the dam crest Construct the concrete curb along the crest of dam Construction waste

The embankment toe near the v-notch is unstable Provide gabions along The embankment toe near the v-notch Construction waste

There are trees and shrubs on the dam body Remove the trees and shrubs Organic Waste

Inspection stairway damaged Repair the damaged inspection stairway Construction waste

Outlet basin damaged Repair outlet basinWater Quantity & Quality

Wooden planks of intake bridge are damaged Replace wooden planks of intake bridge Construction waste

The following instruments are damaged: INSTRUMENTATION

18 surface movement monuments, Replace/repair the following instruments :

Nine stand pipe piezometers, 3 V-notches 18 surface movement monuments, Construction waste

Nine stand pipe piezometers, 3 V-notchesDrilling waste fluids, Water Polution

ELECTRO MECHANICALReplace the rubber seal of intake gate Construction waste

UKL - UPL

UKL - UPL

UKL - UPL

6 PONDOK CIVIL WORKSLocal labour recruited, domestic waste, sanitation

Riprap damaged at places by anglers Repair riprap Construction waste Yes

There are trees and shrubs present over dam body Selectively remove trees and shrubs Organic Waste

Inspection stairway damaged Repair inspection stairway Construction waste

Spillway as well as outlet channel filled with vegetation Rehabilitate inspection road with ATB Transportation

Inspection Road (1 km) in poor state INSTRUMENTS

Nine stand pipe piezometers, one V-notch 6. Replace the following instruments:

A Generator is required Nine stand pipe piezometers, one V-notch Construction waste

SPILLWAY

Remove shrubs from Spillway as well as outlet channel Organic Waste

ELECTRO MECHANICAL

Provide a generator set Air Quality & Noise

7 0 CIVIL WORKSLocal labour recruited, domestic waste, sanitation

Seepage is emerging way above toe filter and slopes showing Detailed study to determine cause of seepage No Impact No data

signs of creep. on D/S slope.

Access road in poor condition - Dam Crest Rehabilitation Construction waste

Dam crest in poor condition - Tree and shrubs Cleaning Organic Waste

Vegetation of both U/S and D/S slopes INSTRUMENTATION

Intake tower in poor condition - Stand Pipe Piezometer installation Construction waste

v-notch requires replacement - Replacement of V-notch Construction waste

stand pipe piezometers damaged Access road rehabilitation Transportation

sediments very close to intake OUTLET STRUCTURE

spillway bridge damaged - Outlet RepairWater Quantity & Quality

outlet flume on d/s filled with sediments - Removal of sediments around intake structureWater Quantity & Quality

- Sediment Excavation on the D/S from the flume Water Quantity & Quality

SPILLWAY

- Replacement of hand rail on bridge Construction waste

- Spillway Bridge Repair with concrete Construction waste

8 0 CIVIL WORKSLocal labour recruited, domestic waste, sanitation

Access road is in poor condition Rehabilitate access road with ATB Transportation Sedimentation has reduced approximate 70%

1. Need to remove sediment with excavation

Dam crest is in poor state Rehabilitate dam crest with ATB Construction waste volume of reservoir but not become problem for

approximately 50.000 m3.

U/S Parapet wall shall be raised Raise U/S Parapet wall Construction waste reservoir operation as well as for irrigation area

2. Need sandtrape or check dam river which

Toe Drain missing Provide Toe Drain No Impact brings sediment into reservoir.

Guide wall of left side spillway damaged INSTRUMENTATIONSurface of right side spillway in poor state Construct 1 v-notch Construction waste

land on D/S of left side spillway being eroded away SPILLWAY

Houses on D/S of right side spillway require protection Repair of Guide wall by Reinforced Concrete (left side spillway) Construction waste

Instrumentation required since the dam is founded on soft clay. Rehabilitate the spillway surface with concrete Construction waste

Protection of land on D/S of left side spillway by Gabions Construction waste Raise height of gabions on D/S of right side spillway to protect houses Construction wasteReplace the suspension bridge Construction waste

9 KLEGO - Central Java CIVIL WORKSLocal labour recruited, domestic waste, sanitation

Dam is facing seepage and stability problems Special study for seepage and stability problems No ImpactThere is vegetation on slopes Tree and shrubs cleaning Organic Waste access road is in poor condition - Access Road asphalt concrete overlay Transportationdam crest is in poor condition - Dam Crest Rehabilitation with ATB layer Construction wastetoe drain is damaged Toe Drain repair No Impact

seepage starts abnormally at certain water level Construction of concrete diaphragm wall Construction waste

riprap damaged by anglers Rip rap rehabilitation Construction wasteV-notch damaged INSTRUMENTATIONsurface monuments required V-notch repair Construction wastedistribution gate damaged - Construction of Surface Movement monuments Construction waste

ELECTRO MECHANICALHand rail bridge repainting Construction wastedistribution gate repair Construction waste

UKL - UPL

UKL - UPL

AMDAL

UKL - UPL

10 GAPIT - Nusa Tenggara Barat CIVIL WORKS


- Construction of Filter and rockfill berm for Construction waste

Seepage water emerging at some places and stability problem D/S counterweight,

Drains are damaged Reconstruction of toe drains No Impactcrest road in poor condition - Dam Crest - Overlay RTB 5cm layer Construction waste

v-noteches andstd pipe piezometers damaged Access road Overlay RTB 5cm layer Transportation

cleaning of vegetation Organic Waste

Dam crest repair by ATB layer Construction waste

construction of toe drain from new berm No Impact

INSTRUMENTATIONReplacement of v-notches Construction waste

construction of stand pipe piezometers Construction waste

SPILLWAY

11 MAMAK CIVIL WORKSLocal labour recruited, domestic waste, sanitation

Staff Gauge used for Reservoir water level is in poor condition. Detailed Study to determine the embankment stability Sedimentation has reduced approximate 20%


under dynamic loading. volume of reservoir but not become problem for


reservoir operation as well as for irrigation area

2. To mitigate sediment problem:

Install Staff Gauge for Reservoir water level Construction waste a. Construct check dam at river which brings

Riprap damaged by anglers Replace Rip rap to fix the embankment slope Construction waste The Micro ElectricHydropower is broken.

sediment into reservoir.

Natural mound on the left side of Intake Structure showing Protect natural mound on the left side of Intake Construction waste b. Watershed must be conserved

signs of distress. Structure by Rip rap. Construction waste

Trees and shrubs present over dam body clean trees and shrubs Organic Waste

Flow from V-notch mixes with tail water from Power house Repair Construction waste

and as such v-notch is ineffective. INSTRUMENTATIONElectrical cable damaged Construct system for separating flow from V-notch and Construction waste

electrical Bulb missing tail water from Power house.

Generating Set 100 KVA required ELECTRO MECHANICAL1. Install JBW electrical cable Ø 5 mm (including cable protection) Construction waste

2. Provide electrical Bulb Provide Generating Set 100 KVA Air Quality & Noise

12 NGANCAR - Central Java CIVIL WORKS


Dam crest in poor condition - Dam Crest Rehabilitation Construction waste Sedimentation has reduced approximate 30%


Vegetation of both U/S and D/S slopes - Tree and shrubs Cleaning Organic Waste volume of reservoir but not become problem for

new Area-volume curve operation.

Water channel immediately on D/S in poor state INSTRUMENTATION reservoir operation as well as for irrigation area

2. To protect and mitigate the sediment, it needs:

Intake tower in poor condition - Installation of Stand Pipe Piezometers Construction waste a. Constructed the check dam at river which

stand pipe piezometers damaged - Construction of Surface Movement monuments Construction waste brings sediment into reservoir

surface movement monuments missing OUTLET STRUCTURE b. watershed must be conservated

Intake gates require repairs and stop logs req. - Intake Tower Repair Construction waste

- Tower Roof Rehabilitation (wood) Construction waste

- Main Channel Rehabilitation (Masonry) Construction waste

ELECTRIC-MECHANICAL

- Intake Gate Rehabilitation Construction waste

- Stop Log Installation Construction waste

UKL - UPL

UKL - UPL

UKL -UPL

13 PARANG JOHO - Central Java CIVIL WORKS


- Dam Crest Rehabilitation Construction waste Sedimentation has reduced approximate 70%

1. Need to remove sediment with excavation

Additional retaining wall is required Steel reinforcement for bridge Construction waste volume of reservoir but not become problem for

approximately 50.000 m3.

Dam crest in poor condition INSTRUMENTATION reservoir operation as well as for irrigation area

2. Need sandtrape or check dam river which

Water channel immediately on D/S in poor state - Installment of Stand Pipe Piezometer Construction waste brings the sediment into reservoir.

stand pipe piezometers damaged - Repairing Staff Gauge Construction waste

surface movement monuments missing - Construction of Surface Movement Construction waste

Bridge is not stable OUTLET STRUCTURE

Intake gate, flush gate and outlet gate require repairs - Removal of Sediments from the Outlet Channel Water Quantity & Quality

- Raise the Reinforced Concrete Retaining Wall in the Outlet Intake Construction waste

ELECTRO MECHANICAL

- Routine maintenance of all gates Water Quantity & Quality

- Replace Seals in the Intake Gate Construction waste

- Replace Seals in the Flushing Gate Construction waste

- Replace Seals in the Outlet Outlet gate Construction waste

- Replace the door of the Outlet Operation Room Construction waste

- Replacement of hand rails in the Outlet Tower Bridge Construction waste

SPILLWAY

- Raising of left side of Spillway Wing Wall with Stone Masonry Construction waste

- Provide Steel Pipe Hand Rail on the Left Side of Spillway Construction waste

14 0 CIVIL WORKS Local labour recruited, domestic waste


crest road in poor condition - Dam Crest Rehabilitation Construction waste

slope near left abutment and spillway unstable - Tree and shrubs cleaning Organic Waste

Trees and shrubs o D/S slope Construction of berm on either side of v-notch to Construction waste

seepage occuring on D/S of toe prevent piping.

V-notches required shotcreting of left abutment near spillway Construction waste

existing v-notch flume needs repairs INSTRUMENTATION

Pneumatic piezometers can not be used since there - Seismograph Replacement Construction waste

is no nitrogen available - V-notch Installment Construction waste

Read out unit for settlement meters damaged Repair of existing v -notch Construction waste

seismograph damaged - Nitrogen cylender procurement Water Quality

rubber seals of irrigation valve defective - Read out meter procurement for settlement meters No Impact

electric motor for stop log device out of order SPILLWAY

transmission cable damaged - Extensometer installment Construction waste

ELECTRICO-MECHANICAL

- Replace electric motor for stop log lifting device Construction waste

-Replace transmission Cable Construction waste

- Replace batteries for genset 100AH Construction waste

- Replace rubber seal in Irrigation Valve Construction waste

AMDAL

UKL -UPL

15 SEPAYUNG DALAM - CIVIL WORKS Local labour recruited, domestic waste


Nusa Tenggara crest in poor condition - Dam crest repair by RTB layer Construction waste

toe drain choked and damaged repair of toe drain No Impactv-notch damaged replacement of V-notch Construction wasteleakage through spillway side walls and base clearing of vegetation Organic Waste

access road is in poor state construction of access road Transportation

agriculture fields require protection from flood water SPILLWAY

Grouting near spillway to stop leakage Construction waste

extension of spillway wing wall to protect agri. Fields

16 BATU BULAN - Nusa Tenggara Detailed Study to determine the embankment stability

under dynamic loading


Sedimentation has reduced approximate 30%


Dam crest in poor state Rehabilitate dam crest with ATB Construction waste volume of reservoir but not become problem for


There are trees and shrubs on the dam body Clean trees and shrubs from dam bodyOrganic Waste reservoir operation as well

as for irrigation area2. To mitigate sediment problem:

Rip rap damaged at places Refurbish riprap wherever requiredConstruction waste a. Construct check

dam at river which brings

Rockfill on D/S slope settled Provide additional rockfill along D/S slope Construction waste sediment into reservoir

Trash boom damaged Provide new trash boom Solid Waste b. Watershed must be conserved

Outlet channel full of sediments Remove sedimentWaste sediment, water quality

The following instruments are damaged Replace the following damaged instruments Construction waste5 Surface movement monuments, 8 standpipe piezometers, 5 v

notches 5 Surface movement monuments, Construction waste

8 standpipe piezometers, 5 v notchesOUTLET STRUCTURE

Electrical cable damaged Clean outlet channelWater Quantity & Quality

ELECTRO MECHANICAL Replace damaged electrical cable Construction waste

Electrical bulbs for dam crest missing Provide electrical bulbs No Impact

17 0Detailed study to determine cause of dam distress

No Impact

U/S slope showing signs of movement as the parapet wall istilted and cracked. The U/S masonry protection also cracked atplaces


Sedimentation and weeds have reduced

1. Need to remove sediment by excavation

Toe drain damaged at many places Repair the toe drainNo Impact approximate 70% volume

of reservoir but not for approximately 50.000 m3.

Erosion observed along D/S slope Repair D/S slopeConstruction waste become problem for

reservoir operation as well 2. need sandtrape or check dam river which

Erosion along the left abutment (D/S) Repair erosion Construction waste as for irrigation area. brings the sediment into reservoir.

Spillway joints need repairSPILLWAY Construction waste 3. need to remove weeds

for 325 Ha area of

Spillway structure in poor state Repair the spillway structure, Repair the joints of spillway structure Construction waste reservoir inundation.Dam instrumentation missing INSTRUMENTATION

Provide 11 surface movement monuments, Construction waste5stand pipe piezometers, 2 v‐notches Construction waste

ELECTRO-MECHANICAL

Right side intake gate damaged Replace the Right side intake gate Construction waste

UKL -UPL

UKL -UPL

UKL -UPL

18 TELEGO PASIR Feeder channel is damaged Repair the masonry work of feeder channel Construction waste

Inspection stairway is required Provide Inspection stairway Construction waste

Feeder channel fairly deep and requires cover for safety Cover the feeder channel with concrete slabs Construction waste

Sliding of stones occurring from one of the slopes along Install wire mesh on slope along feeder channel Construction waste

the feeder channel ELECTRO-MECHANICALRubber seals of intake gate defective Replace the Rubber seals of intake gate Construction waste

19 0 A natural slope near spillway unstable - Construction of Retaining wall between spillway and right abutment. Construction waste Sedimentation has reduced approximate 30%


Dam crest in poor condition - Dam Crest Rehabilitation volume of reservoir but not become problem for


riprap not extended to crest in saddle - Extension Rip-rap up to the Saddle dam crest Construction waste reservoir operation as well as for irrigation area


Vegetation of both U/S and D/S slopes - Tree and shrubs Cleaning Construction waste a. Construct check dam at river which brings

Joints between conc. Slabs on D/S slope require - Joint Filler U/S & D/S slope Dam Rehabilitation Organic Waste sediment into reservoir.

repairs, similarly joints between stone masonry Construction waste b. Watershed must be conserved

on U/S require repairs INSTRUMENTATION

v notches are damaged - replacement of V-notch Construction waste

surface movement monuments missing - Construction of Surface monuments Construction waste

Bridge over spillway is weak repair to v-notch flume Construction waste

SPILLWAY

- addition of Beam Girders in spillway Bridge Construction waste

flush gate and valve in poor condition ELECTRO-MECHANICAL

- Intake Gate Repainting Construction waste

- Flushing Gate Replacement Construction waste

- Valve Repairing Construction waste

20 0 Rehabilitation of inspection road Transportation

Vegetation of both U/S and D/S slopes - Trees and shurbs cleaning Organic Waste

Riprap inadequate at some places - Rip-rap addition Construction waste

tunnel is damaged - Tunnel Repairing by shotcreting Construction waste

Inspection road in poor condition - Inspection Road Rehabilitation by Asphalt concrete Transportation

Floating debris may damage the structure - Trash boom installment Solid Waste

stand pipe piezometers damaged INSTRUMENTATION

trash rack is damaged - Installment of Stand Pipe Piezometer Construction waste

- Read out for electric piezometer No Impact

OUTLET STRUCTURE

- Intake Tower Stair Repairing Construction waste

ELECTRICO-MECHANICAL

- Trash rack repair Construction waste

- Installment Gen set 150 KVA Air Quality & Noise

21 0 Detailed study for dam raising No Impact

Access road in poor condition - Dam Crest Rehabilitation Construction waste √ √ √ √ √ √ √

dam crest in poor condition - Trees and shrubs Cleaning Organic Waste

Vegetation of both U/S and D/S slopes - Masonry Paraphet wall construction Construction waste

riprap missing construction of stairs on D/S slope Construction waste

toe drain damaged Hand rail for stairs Construction waste

stairs required to access the dam crest - Toe drain repair No Impact

intake struture choked provision of filter underriprap Construction waste

sediments deposited in the stilling basin riprap

stand pipe piezometers, v-notch and surface movement INSTRUMENTATION

monuments missing. - Construction of V-notch Construction waste

- Construction of Surface monuments Construction waste

- Installation of stand pipe piezometer Construction waste

Access road rhabilitation Transportation

- Construction of Box Culvert on access road Construction waste

surface drains along access road Construction waste

INLET STRUCTURE

- restoration of intake Water Quality

ELECTRO MECHANICAL

- Intake gate repair Construction waste

UKL - UPL

UKL - UPL

UKL -UPL

UKL - UPL

SPILLWAY

remove sediments deposited in stilling basin Water Quality

provide low level outlet

22 0 - Detail Design with special study for increasing dam No Impact

There is potential for raising the dam height

drainage shall be provided on both sides of spillway - Constr. Drainage Channel for water spring,right sideWater Quantity & Quality √ √ √ √ √ √ √

Access road in poor condition - Access road rehabilitation Transportation

crown wheel, handle valve are damaged - Construction of Access road drainage Construction waste

- Constr. Drainage Channel and v-notch, left side Construction waste

Electro Mechanical

- Replace of Crown wheel and handle gate Construction waste

- Replace of handle handle valve Construction waste

23 0 - Access Road Rehabilitation by Asphalt TransportationAccess road in poor condition - Inspection Road Rehabilitation by Asphalt TransportationInspection road in poor condition - Gabion Slope Protection Construction wasteA slope along inspection road is unstable INSTRUMENTATION

- Installation Extensometer for movement monitoring Construction wasteLocal labour recruited, domestic waste, sanitation

24 0 There is potential for dam raising and water is a precious - Detailed Study for dam raising and relocation of intake No Impact Sedimentation has reduced approximate 20%


commodity in NTT. structure. volume of reservoir but not become problem for

new Area-volume curve. √ √ √ √ √ √ √

Access road in poor condition - Dam Crest Rehabilitation with RTB Construction waste reservoir operation as well as for irrigation area


Dam crest in poor condition - Dam Crest Drainage Repair Construction waste a. Construct check dam at river which brings

Vegetation of both U/S and D/S slopes - Tree and shrubs Cleaning Organic Waste sediment into reservoir.

- Construction of Saddle dam crest with ATB Construction waste b. Watershed must be conserved

v-notch requires replacement - Toe drain filter Repair No Impactsurface movement monuments missing Blanketing of saddle dam with clay layerRip-rap Rehabilitation filter under riprap and riprap provision on saddle dam Construction wasteRubber Seal in Intake require Replacement Access road rehabilitation TransportationsUrface monuments and piezometers missing INSTRUMENTATION

- Stand Pipe Piezometer Installation Construction wasteConstruction of V-notch Construction waste- Construction of Surface Movement monuments Construction waste- Construction of Box Culvert on the road Construction wasteELECTRICO-MECHANICAL- Intake gate remedial works Construction wasteSPILLWAY- Spillway Channel Repair Construction waste

AMDAL

UKL - UPL

AMDAL

25 WAY TENGKORAK Upstream slope concrete protection is only present in certain areas. Construction waste 1. Provide concrete protection everywhere on the upstream batter.

Downstream toe drains are blocked. No Impact 2. Rehabilitate the toe drains

Drainage channel on D/S of toe drain damaged Construction waste Repair Drainage channel on DSPILLWAY

Outlet channel damagedWater Quantity & Quality Repair Outlet channel Repair Spillway stilling basin

Spillway stilling basin damaged Construction waste Remove trees and Shrubs from the dam body.

Trees and shrubs are present on the dam body Organic Waste Rehabilitate Access road withELECTRICO-MECHANICAL

Access road in poor state Transportation Rehabilitate dam crest road wSand blast and repaint Intake gates. Crest road in poor state Construction waste Install hand rails on either side of crest road for safety

Hand rails should be constructed on both sides along the dam crest Construction waste Replace all mal functioning instruments

Following instruments defective/damaged Construction waste

2 V notch weirs Construction waste

8 Survey monuments Construction waste

26 0 Paint of Intake gates is in poor condition - Dam Crest Rehabilitation Access road rhabilitation

Dam crest in poor condition 1. Transportation - Trees and shrubs Cleaning

Vegetation of both U/S and D/S slopes 2. Domestic Waste - U/S concrete face repair SPILLWAY

u/s slope protection damaged 3. Construction waste - constrcution of Toe drain with stone masonry

- handrails for Stair way of Spillway(both side)

toe drain damaged 4. Water Quantity & Quality repairn to D/S slope with soil

spillway requires handrails 5. Local labour recruited

Construction of stairs on u/s slope INLET STRUCTURE

intake structure damaged 6. Land issue Repair to the plaster and concrete of intake structure

v-notch damaged 7. Organic Waste INSTRUMENTATIONstand pipe piezometers and surface movement monuments - Construction of V-notch ELECTRICO-MECHANICAL

missing. - Construction of Surface monuments - Intake remedial works

- Installation of stand pipe piezometer

27 DELINGAN - Central Java

- Detailed Study to determine the cause of seepage and

dam crest is in poor condition 1. Transportation D/S slope creep.

toe drain is damaged 2. Domestic Waste - Dam Crest Rehabilitation with ATB layer Electro-Mechanical

U/S slope protection blocks are damaged 3. Construction waste Toe Drain repair Crown wheel Intake gate repair

Trash boom is damaged 4. Water Quantity & Quality

Protection D/S slope by Sodding grass provide flushing gate

V-notch damaged 5. Local labour recruited

Repair to U/S concrete face blocks

Generating Set procurement 150 KVA

surface monuments required 6. Land issue installation Trash boomCrown wheel Intake gate damaged 7. Organic Waste

InstrumentationV-notch repair

sliding gate damaged - Installation of stand pipe piezometer

UKL - UPL

UKL - UPL

UKL - UPL

28 0 Stop logs missing totally damged, selected as model dam for

Crane required for handling stop-logs decommissioning

29 0 Fields surrounding the lake get submerged during floods - Water Weeds Cleaning

and a dike is required, sediment removal requested by 1. Transportation Construction of 40 km dike

client in addition to removal of acquatic weeds but 2. Domestic Waste Drainage along dike

all of these works are too expensive, project being moved to DOISP 2 3. Construction waste

4. Organic Waste 5. Local labour recruited 6. Water Quantity7. Water Quality 8. Land issue9. Compensation for society10. Air Polution

30 SETO PATOK Sedimentation has reduced approximate 30%


volume of reservoir but not become problem for


Dam yet to be inspected by dam inspection team for civil works Not yet inspected reservoir operation as well as for irrigation area

2. Need sandtrape or check dam at river which To be determain after

brings the sediment into reservoir. inspection

31 CIPANCUH

Dam yet to be inspected but it is reported that the reservoir is filled with sediments and the dam ned decommissioning

32 BANYU KUWUNG Repair toe drainsThe toe drains are in poor condition 1. Transportation provide filter and rockberm as

counter weight SPILLWAY

Seepage is taking place at many places in uncontrolled manner 2. Domestic Waste at places where seepage and stability problem repair revetments of spillway

Similarly slope failure is taking place at many points 3. Construction waste Repair crest road

The top of crest is in a poor state 4. Water Quantity & Quality construct parapet wall

The “minimum”free board is less than 1 m 5. Local labour recruited

revetments on the D/S of spillway are damaged 6. Land issue INSTRUMENTATIONRepair V-notch flumes

Notes: * All works requiring reservoir drawdown, land acquisition, etc, listed below will be taken up under DOISP 2

For decommission the dam need AMDAL AMDAL

AMDAL

For decommission the dam need AMDAL

AMDAL

UKL - UPL

Sheet1

Dam Province District Village Screening Note

1 Kalola Kabupaten Wajo Kalola CP-Sub Comp 2.3 & 3.4

2 Salomeko Kabupaten Bone Ulubalang Rehabilitation- Sub Comp 2.1

3 Batujai Kabupaten Lombok Tengah Batujai CP-Sub Comp 2.3 & 3.4

4 Penggah Pelambik Rehabilitation- Sub Comp 2.1

5 Gondang Kabupaten Lamongan Gondang CP-Sub Comp 2.36 Selorejo Kabupten Malang Selorejo CP-Sub Comp 2.37 Sengguruh Kabupaten Malang Sengguruh Rehabilitation- Sub

Comp 2.18 Karangkates Kabupaten Blitar Wlingi, Tumpang CP-Sub Comp 2.3

9 Wonorejo Kabupaten Tulungagung Wonorejo Rehabilitation- Sub Comp 2.1

10 Pacal Kabupaten Bojonegoro Tretes CP-Sub Comp 2.311 Wlingi Kabbupaten Blitar Tumpang Rehabilitation- Sub

Comp 2.112 Gembong Kabupaten Pati Gembong CP-Sub Comp 2.313 Gunung Rowo Kabupaten Pati Siti Luhur CP-Sub Comp 2.314 Wadaslintang Kabupaten Kebumen Sumber Rejo CP-Sub Comp 2.315 Malahayu Kabupaten Brebes Malahayu CP-Sub Comp 2.316 Cenglik Kabupaten Boyolali Margorejo CP-Sub Comp 2.317 Krisak Kabupaten Wonogiri Pare CP-Sub Comp 2.318 Penjalin Kabupaten Brebes Paguyangan Rehabilitation- Sub

Comp 2.119 Sempor Kabupaten Kebumen Sempor Rehabilitation- Sub

Comp 2.120 Ketro Kabupaten Sragen Ketro Rehabilitation- Sub

Comp 2.121 Cacaban Kabupaten Tegal Sirampok CP-Sub Comp 2.322 Tempuran Kabupaten Blora Tempuran Rehabilitation- Sub

Comp 2.123 Kedung Ombo Kabupaten Purwodadi Geyer Rehabilitation- Sub

Comp 2.1

Annex 5: Screening Availability of Indigenous People

1. South Sulawesi No indication of IP in the locations

2. Western of Indonesia (NTB)

No indication of IP in the locations

3. East Java No indication of IP in Java Province except in Banten Province, Kabupaten Lebak in forest habitat for Baduy Suku Dalam tribe

4. Central Java

Page 1

Sheet124 Ngelangon Kabupaten Purwodadi Ngelangon Rehabilitation- Sub

Comp 2.125 Kedung Uing Kabupaten Wonogiri Mojopuro Rehabilitation- Sub

Comp 2.126 Simo Kabupaten Purwodadi Simo Rehabilitation- Sub

Comp 2.127 Greneng Kabupaten Blora Tunjungan Rehabilitation- Sub

Comp 2.128 Plumbon Kabupaten Wonogiri Puloarjo CP-Sub Comp 2.329 Sanggeh Kabupaten Purwodadi Sanggeh Rehabilitation- Sub

Comp 2.130 Banyukuwung Kabupaten Rembang Sudo CP-Sub Comp 2.331 Rawapening Kabupaten Semarang Asinan CP-Sub Comp 2.332 Parangjoho Kabupaten Wonogiri Demesan CP-Sub Comp 2.333 Wonogiri Kabupaten Wonogiri Danuarjo CP-Sub Comp 2.3

& 3.434 Jatiluhur Kabupaten Purwakarta Jatiluhur Rehabilitation- Sub

Comp 2.135 Darma Kabupaten Kuningan Darma Rehabilitation- Sub

Comp 2.136 Situpatok Kabupaten Cirebon Mundu CP-Sub Comp 2.337 Mrancang Kabupaten Berau Mrancang Rehabilitation- Sub

Comp 2.138 Samboja Kabupaten Kutai

KertanegaraWonotirto CP-Sub Comp 2.3

39 Batutegi Kabupaten Tanggamus Airnaningan CP-Sub Comp 2.3 & 3.4

40 Wai Jepara Kabupaten Lampung Selatan

Jepara Rehabilitation- Sub Comp 2.1

Note:

5. West Java

6. East Kalimantan No indication of IP in these locations

7. Lampung No indication of IP in these locations

Resource: Special Bulletin – Data and Information on Empowering Indigenous People, 2002

The red one is location of sub component 2.3 and 3.4 (in 4 dams)The green one is location of sub component 2.3 (in 17 dams)The black one is location of sub component 2.1 (rehabilitation in 19 dams)

Page 2

ANNEX 6

TYPICAL ENVIRONMENTAL IMPACTS AND MITIGATION MEASURES

No ENVIRONMENTAL IMPACTS MITIGATION MEASURES

1 Transportation 1. The effect that could be caused by Mobilization of

heavy equipment a. Traffic Jam ?? b. Air Polution

2. Street Renovation / Repairement a. Traffic jam or Operational is delayed

• The traffic jam problem could be controlled by the traffic management or time

mobilization. ?? • Mobilization of equipment in the dry season, could be done by watering the

street that near from the people housing area. • Traffic Management or street user and people around the Dam.

2 Domestic Waste At the worker’s base camp location.

• Built of Septic Tank, for waste’s reservoir. Built of Trash Centre location Penanganan sampah dengan pembuatan TPS, the trash must be burned if minus of 0.5 M3/ day.

• 3R (reduce, reuse, recycle) Methodology Implementation

3 Construction Waste.

• Implementation of 3R (reduce, reuse, recycle) Methodology

4 Water Level of Reservoir • To communicate to the people around the area, to use the downstream water for the farming irrigation, it will have an impact on farming systems and finally also have an impact to the people’s income

5 Air Quality The Noise 1. Polluted Gas (Dust, Nox, Sox, CO)

• The prediction of construction activities will be impacted to the air quality, such

as material mobilization and equipment, average activities and land advance system. ’

• Watering the street to reduce the dust.


6 Water Quality 1. Spilled oil from construction’s equipment and

workshop. 2. To replace the shell of electrical and mechanical

equipment. .

• To built special box for the spilled oli and oil trapment Membuat bak penjebak

minyak dan oli tercecer. • Used lubricant oil storage must be proper to the goverment regulation (used

lubricant oil is hold in box, then it given to Pertamina or Authorization Institution for the used oil processing).

• Shell waste handling and spilled oil.

7 Employee Recruitment. • Request of worker will be impacted to the Social

Envious.

• The socialization of worker needs and the local people klasification. It is to avoid

misunderstanding in worker recruitment definition. • The priority of local worker recruitment must be suitable as the qualification.

8 Land Utilitation • The Increase of Erotion

• Watersheed management and go green program or replant tree program to

damage or bare land, therefore this program can reduce quantity of sediment that inside of the Dam.

9 Restoration of Society Partisipation • Social Envious

• The Socialization’s aim of society partisipation through the village government.

Give the explanation to the people around the Dam’a area and how to manage the downstream area with the right way. And also how to take the advantages of Green Belt and Cachtment area.

10 Sediment and Drains Exploiter. • Snore of Water Qualitity

• Technology of Exploiter in order to reduce the level of water snore and sediment

distribution.


11 Re – Housing Program. * • The happening of society worries about the

reimbursement process and changes of livelyhood.

• Giving the socilaization of work project’s program to all societty people. • Giving compensation that adjustable to people expectation. • Giving direction to the society people to find alternative livelyhood and find the

solution for their income’s problem.

Note : * DOISP 2 Implementation

ANNEX 7

DATA REQUIREMENTS IN PREPARING ENVIRONMENTAL DOCUMENTS

IMPACT SOURCES IMPACT INDUCED DATA REQUIREMENTS DATA SOURCES

1. PRA CONSTRUCTION STAGE Survey & Investigasi Design

(SID) & Detail Engineering Design (DED)

No impact PIP

Coordination between related institution

No impact PIP

Delivering information/ Socialization

Perception and community response on Gondang Dam rehabilitation plan

Community Perception Site observation, interview

2. CONSTRUCTION STAGE a. Construction Preparation

Provide workforce

Job opportunity and related business and also local economy income.

Workforce specification % of local recruited

workforces Total of local workforce

RAB estimation

Village monography

Observation on local economy sector

Mobilization of heavy equipments & material

Well traffic, Air quality decrease,

noisy. Perception & response

from road users on mobilization route.

Mobilization route Number of ritasi Road class & number of

vehicle Early color of air quality &

noise at settlement on mobilization route.

Project manager, estimation

Site observation, air quality & noise sampling for lab analyses.

Base-camp & Waste construction Basecamp location Number of workforces in

the base-camp Time to stay (up to the end

of construction)

From project manager

Estimation of domestic waste & garbage

Provide clean water & fuel Proj Manager

b. Dam Rehabilitation Construction Road rehabilitation consists of

crest road and approach road rehabilitation with 10 cm raising (leveling). Road foundation with crushed stone and sands and also covered with asphalt. Each road rehabilitation have 1.800 m2

(total 3.600 m2) width.

Impact on the traffic, Air quality decrease &

noise comes from the operation of heavy equipment

Number of vehicle Traffic condition Early air quality color

Traffic estimation

Estimation of air quality pollution

Additional rip-rap with 200 m3

volume. Water quality Early color of dam water

quality

Clearing grass on 13.500 m2 area.

Organic waste Changes or decreasement of debit during clearing

Early color of water quality on dam outlet

Quantities: BWS Water quality: sampling & lab analyses

Cleaning of V-notch D/S channel for 200 m long.

No impact

Handrail work on both crest side for 2.000 m long.

Instrumentation work: dry drilling to replace standpipe piezometers for 15 unit.

No impact

Community participation development: around buffe-zone dam (in Gembong, Gondang & Batujai)

Community participation development: in watershed area of Batujai Dam

Community response Social conflict/ jealousy

Type of community development

Number of household head utilized buffer zone and/or watershed

Type of buffer zone land usage and/or watershed

BWS Local

village / district

Social team PRA result

Site observation

Watershed map, Google-earth

Deleted: mengapa hanya 2 lokasi yang mestinya 34 lokasi.

Annex 8: Institutional Arrangement for ESMF Implementation

PMU RLR Directorate

PIU BBWS/BWS/Dinas PSDA

Technical Istitution Related

Tim Teknis Propinsi (UKL/UPL)

BAPPENAS Landing Agency

1. Project Implementation

Guidance

Design

Screening of Impact

Document Arrangement UKL-UPL

Dam Operational

Approval

Environment Implementation

Green Belt Environment Implementation

Catchments Area Implementation Project

Report Environment Implementation

Related Technical Agency BAPEDALDA

BAPPENAS World Bank

Evaluation

PMU RLR Directorate

PIU BBWS/BWS/Dinas PSDA

Technical Istitution Related

Tim Teknis Propinsi (UKL/UPL)

BAPPENAS Landing Agency

2. Project Management 3. Project Monitoring

Dam Operational Environment Implementation


BAPPENAS World Bank

Guidance

Evaluation




Evaluation

Guidance

Evaluation

Dam Operational Environment Implementation





Evaluation BAPPENAS World Bank

ANNEX 9

Standard Outline for Environmental Management Procedures and Environmental Monitoring Procedures Report (UKL/UPL)

In accordance with the requirements as outlined refer to KepMen Kimpraswil No. 17 / 2003, UKL / UPL, Ministry of Environment Decree No. 08 Year 2006 (Guidence for AMDAL), and World Bank Policy. Studies are required for all projects likely to have some social and environmental impact but not significant enough to require an AMDAL (full Environmental Assessment). The main elements of a UKL / UPL will include: • Introduction, background, • Proponent Identify • Brief and concise existing environmental conditions. • Activity and proposed plan • General description of predicted impacts • Management plan and Mitigation • Monitoring plan • Capacity Development and Training • Implemantation Schedue and Cost Estimation • Integration of EMP with Project • Signing

Annex 10

Dam Operational Improvement & Security Project (DOISP)

Sub-Component 2.3

Community Participation in Dam Management

Sub-Component 3.4

Community Participation in Water Catchment Area

Management

GENERAL GUIDELINES

Dam Operational Improvement and Security Project through Community Participation (DOISP-CP)

DIRECTORATE GENERAL OF WATER RESOURCES DEPARTMENT OF PUBLIC WORKS

Annex 10

Introduction

The issue in the deterioration of dam operational performance and safety in

Indonesia currently is felt to be extremely urgent and calls for immediate

handling. One of the causes of the lack of maintenance of dam facilities is the

low level of community concern and participation around the dam to

participate in maintaining and supervising the existing dam facilities. Other

than that the cause for the high level of sedimentation in the dam is due to the

increasingly lack of community are in the upstream area to safeguard the

preservation of the water catchment areas.

The Indonesian Government – through the Department of Public Works – has

carried out various efforts to increase community participation in Managing

water catchment areas. One amongst such is implemented as a part of the Dam

Safety Project (DSP). From the results of implementation thereof, it appears

that community participation to safeguard the preservation of the water

catchment areas plays a significant role to maintain the operational

performance of the dam. However, the results of evaluation on various efforts

once carried out to improve community participation still indicate a low level

of sustainability in such community participation during the post project

period

Through this Dam Operational Improvement and Safety Project (DOISP), the

Department of Public Works shall improve the design for community

participation in joining in to safeguard the dam operational performance not

i

Annex 10

ii

only to improve community participation in managing water catchment areas,

but also to include community participation in Managing the dam facilities.

Additionally efforts towards improvement shall also be focused on the

development of the pattern of community participation which has a higher

level of post project period sustainability. In order to be sustainable in the

DOISP, community participation in dam management and maintenance of

water catchment areas shall also be balanced with the availability of actual

community participation to enjoy the benefits from dam management and

maintenance of water catchment areas.

With these several improvements, in the future it is expected that the

community shall no longer view their participation in maintaining the dam and

water catchment areas as a burden, but shall have already viewed such as a

‘need’ to support their welfare.

Jakarta, August 2008

Director General of Water Resources

Department of Water Resources

Annex 10

Table of Contents

Introduction……………………………………………………………………………

………….

Table of Contents … ………………………………………………………………

List of Abbreviations …………………………………………………………………

Pertaining to Guidelines of DOISP-CP ……………………………

Chapter-1 Preamble

1.1. Background

………………………………………………………………

1.2. Vision, Mission, Principles and Values

1.3. Objectives

………………………………………………………………………

1.4. Goals

………………………………………………………………………

1.5. Strategies and Approaches………………………………………

Chapter-2 Community Participation in Dam Management

2.1. Components

…………………………………………………………………

iii

2.2. Support for Implementation ………………………………………

Annex 10

iv

2.3. Implementation Steps

………………………………………………….

2.4. Performance

Indicators…………………………………………………..

Chapter-3 Community Participation in Water Catchment Area

Management

3.1. Components

…………………………………………………………………

3.2. Support for Implementation …………………………………

3.3. Implementation Steps

………….………………………………………

3.4. Performance Indicators

………………………………………………

Chapter-4 Project Management

4.1. Organizational Structure and Role Structure

4.2. Funding

…….…………………………………………………………………

…………

4.3. Monitoring and Evaluation ……………………………………

Chapter-5 Transparency and Accountability

5.1. Procedures for Organization of Transparency and Accountability

…………………………………………………………

5.2. Mechanism for Application of Sanctions …

Annex 10

5.3. Handling of Complaints and Settlement of Conflicts

………………………………………………………………………

ATTACHMENT

List of Abbreviations

BBWS River Area Head Office / lBalai Besar Wilayah Sungai

Water Resources Development Office / Balai Pengembangan

Sumber Daya Air BPSDA

BWS River Area Office / Balai Wilayah Sungai

cp-RM Community Participation in Dam Management

cp-WM Community Participation in Watershed Management

Water Resources Development Unit / Dinas Pengembangan

Sumber Daya Air Dinas PSDA

DOISP Dam Operational Improvement and Safety Project

Dam Operational Improvement and Safety Project through

Community Participation DOISP-CP

FKW Dam Community Forum / Forum Komunitas Waduk

Preservation of Water Catchment Area Forum / Forum

Pelestarian Water Catchment Area FPDTA

PIU Project Implementation Unit v

Annex 10

vi

PMU Project Management Unit

Pokmas Community Groups

Annex 10

Pertaining to Guidelines for DOISP-CP

I. WHY ARE GUIDELINES FOR DOISP-CP NECESSARY?

Community participation in the Dam Operational Improvement and

Safety Project (DOISP-CP) constitutes a series of activities that are quite

complex and of quite lengthy durations (4 years). DOISP-CP involves

various parties; from various levels of the government (central, provincial

until village/kelurahan levels); various disciplines of science; as well as

various elements from the community and the business world. Through

DOISP-CP, the government of the Republic of Indonesia is also striving

to improve various approaches which have been applied all this time to

encourage community participation in Managing dams and water

catchment areas. Significant improvements are mainly related to changes

in the role structure and relationship structure existing between the

government and the communities in Managing dams and water catchment

areas. Hence, factors such as: the number of parties involved, the duration

of projects, as well as relatively new approaches for the actors are the

main challenges in Managing the DOISP-CP project.

In order that the implementation of DOISP-CP can generate optimum

results within the determined timeline, it is therefore necessary to develop

a guideline system (reference guideline system and coordination are

expected to be able to be utilized by the DOISP-CP actors to develop a

unity in understanding with regards the purpose, approach, role structure

vii

Annex 10

viii

and relationship structure, the steps to be taken, expected output and result

as well as the necessary form of coordination to be carried out.

II. WHAT IS THE PURPOSE OF PREPARING THIS GUIDELINE

MANUAL?

The purposes of the compilation of this Guideline Manual are the

following:

1. In order that the final purpose of DOISP-CP can be achieved

accurately and properly, with the established timeline.

2. In order to become guidelines/reference/ referral for the various

parties directly involved in the planning and implementation of

DOISP-CP.

III. WHO ARE THE USERS OF THIS GUIDELINE MANUAL?

The various parties involved in the DOISP-CP can take advantage of this

Guideline Manual for varying interests in accordance with their role, duty

and function. In brief, the use of this Guideline Manual can be observed in

the following table:

User Purpose?

Community residents and

Community Groups

• To understand the various opportunities offered by

DOISP-CP

• To understand the various rules of the game to be

Annex 10

ix

•

followed in implementation of DOISP-CP

To develop social control

Dam Community Forum

icipation

ility & Water Catchment Area

Conservation Forum

• To develop community part

• To develop transparency and accountab

• Reference for organizational operations

Project • To have an overall understanding of DOISP-CP

performance

• Planning for project implementation

• Project control including evaluation on

of project implementation

Executive Consultant • ntation strategy

ess in project

o

To compile project impleme

• Project implementation planning

• Monitoring and evaluation of progr

• Reference to carry out corrections and/or changes t

guidelines

Central Government • verall understanding of DOISP-CP

• y in the context of integration and

To have an o

components

Input for polic

coordination as well as further development of

policies

BBWS/BWS and • overall understanding of DOISP-CP

• ram sustainability

BPSDA

To have an

components

To create prog

Annex 10

x

implementation

• ce for coordination

• To develop cooperation network at

level

Referen

Concerned Parties

l networks

• To conduct social control

• To conduct advocacy

• To develop synergy

• To develop institutiona

IV. HOW IS THE SYSTEMATIC OF THIS GUIDELINE MANUAL?

Th

eral Guidelines; containing brief descriptions of the

2. by step

3. es for Actors: this constitutes a one book series of

for Actors series consist of:

is manual constitutes a part of a series (systems) of DOISP-CP,

consisting of:

1. Book 1: Gen

general outlines of the project, rules, provisions and mechanism to be

adhered to in the implementation of DOISP-CP components

Book 2: Technical Guidelines: containing overall step-

descriptions of activities in detail for the implementation of DOISP-

CP components

Book 3: Guidelin

guidelines for each respective player, containing clarifications

concerning the understanding, basic principles and provisions required

for implementation of their respective roles and duties. The Guidelines

Annex 10

xi

mmunity Forum;

Conservation; and

In addit are

various descriptions pertaining to topics

V. TO THE

GUIDELINES

Fo

its application, the DOISP-CP Guidelines provide the mechanism for

a) Guidelines for Community Groups;

b) Guidelines for Dam Co

c) Guidelines on Water Catchment Area

d) Guidelines for Facilitator.

ion to the Guidelines Manual, DOISP-CP PMU shall also prep

specific documents containing

related to dam and water catchment area management, for example:

Guidelines for Settlement Around the Dam Area, Guidelines for

Settlement within the Water Catchment Area, etc.

PROVISIONS FOR ADJUSTMENTS AND CHANGES

r various situations regarding local issues which shall be encountered in

improvement and adjustment of guidelines for several parts which are of

tactical and technical natures. Meanwhile the vision, mission, principles,

purpose, strategy and general provisions constitute a part that cannot be

altered and should be implemented as so-determined. In the diagram

hereunder procedures for amendment to DOISP-CP Guidelines are set

out.

Annex 10

Dam Communication/Water Catchment Area Forum Meeting attended by

Facilitator as resource person

Conflict in application of DOISP-CP in the field with DOISP-CP Guidelines

Letter of Proposal from Forum concerning

adjustments to Guidelines to PIU

PIU coordination meeting attended by Community Participation TA as resource

person Pertimbangan situasi khusus

dan/ atau karakteristik

lokal

Steering Team Meeting, PMU, attended by Community Participation TA as

resource person

Letter of proposal from PIU on adjustments to

Guidelines to PMU

Do the changes concern the vision, mission, principles, approaches and general

provisions?

Temb

usan

Do similar cases occur in many locations?

PMU

Special situation consideration and/or local

characteristics

Copy

NOYES

YES

File

PMU Circular Letter concerning changes in DOISP Guidelines for

certain areas

NO

Diagram Procedures for Adjustments & Changes to DOISP-CP

Guidelines

xii

Annex 7

Chapter 1. Preamble

DOISP-CP constitutes a development of efforts once carried out

pertaining to the increased participation of communities residing around

the dam and water catchment areas to join in the maintenance of

operational performance and safety of dams. Through DOISP-CP,

orientation of community participation which earlier emphasized more

on community participation in the stages of dam development and

maintenance of water catchment areas is further developed by providing

a balanced emphasis on community participation in taking advantage of

the results of dam development and maintenance of water catchment

areas. In the DOISP-CP, increased community access to available

opportunities within the environment of the dam and water catchment

areas is a pre-requisite for the establishment of community participation

joining in the maintenance and safeguarding of the dam and the water

catchment areas.

Efforts towards increased community participation in the DOISP-CP

should also become a part of efforts towards the achievement of social

development, namely: fair and sustainable development, which shall be

1 ‐ 1

Annex 7

achieved through three strategic outcomes covering: 1) social inclusion,

2) community empowerment and 3) protection towards community

assets. Hence, a large portion of success indicators of the DOISP-CP

shall be determined by the consistency in implementation of principles

of balanced community participation and consistency towards strategic

achievement of social development.

1.1 BACKGROUND

The Government of the Republic of Indonesia through DOISP intends to improve

operational performance and safety of dams in Indonesia. Through previously

conducted studies, it was discovered that several sources of causes to the

deterioration of operational performance and safety of dams, are: 1) the physical

condition dams that has deteriorated due to constraints in maintenance budgets; 2)

inadequate capacity of organization and HR on duty to manage the dams; 3) the

lack of concern of the communities living around the dams to participate in taking

care of and maintaining the dams; and 4) the high level of sedimentation due to

the lack of effectiveness in Managing water catchment areas.

To overcome the four above-mentioned issues, the Dam Operational

Improvement and Safety Project (DOISP) shall be implementing interventions in

the form of: 1) efforts towards physical repair of the dam and water catchment

areas; 2) efforts towards development of capacity of instance managing the dam

1 ‐ 2

Annex 7

and water catchment areas; and 3) efforts towards increased community

participation in Managing the dam and water catchment areas.

These Guidelines are related to the Dam Operational Improvement and Safety

through Community Participation (DOISP-CP) which constitutes a part of the

Dam Operational Improvement and Safety Project (DOISP). DOISP-CP covers

two DOISP sub-components namely

1) sub-component 2.3: Community Participation in Dam Management, which is

related to efforts in operational dam improvement and safety, which hereinafter in

these guidelines shall be abbreviated to cp-RM (Community Participation in Dam

Management),

2) sub-component 3.4: Community Participation in Managing Water Catchment

Areas, related to efforts for mitigation of sedimentation from water catchment

areas, which hereinafter in these guidelines shall be abbreviated to cp-WM

(Community Participation in Watershed Management).

1.2 VISION, MISSION, PRINCIPLES AND VALUES

1.2.1 Vision

The desired vision of DOISP-CP is the establishment of a community which

possesses concern, empowerment and capacity to participate in the

sustainable management of the developed environment and the surrounding

natural environment.

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Annex 7

1.2.2 Mission

Empowerment of the communities living around the dam and the water

catchment areas to participate in Managing the developed environment and

the surrounding natural environment of the dam and water catchment areas

through: 1) efforts towards capacity development; 2) supply of resources;

and 3)

1.2.3 Principles institutionalization of partnership culture among the

actors in development.

Efforts towards improvement in community participation in Managing dams

and water catchment areas shall be carried out based on the following

principles:

• Balanced participation: community participation is not only related

to community involvement in the development and maintenance

implementation phase, but community participation should also occur

in the planning phase as well as the phase for benefiting from results

of development and maintenance of the dams and water catchment

areas. Based on such balanced principles, community participation in

Managing dams and water catchment areas is expected to occur

voluntarily and in a sustainable manner. The concern and actions of

the community to willingly volunteer in maintaining and

safeguarding the dams as well as the water catchment areas in

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Annex 7

principle shall only occur if the community is aware of and can enjoy

the perceived benefits from their participation in maintaining the

dams and water catchment areas which are larger than the perceived

costs they have to shoulder.

Therefore, on one side efforts towards increased community

participation should be directed towards efforts to improve

community access and capacity in relation to the utilization of

results of dam and water catchment area management. These efforts

are conducted with the purpose that the community shall enjoy

increasing perceived benefits if they participate in maintaining and

safeguarding the dam and water catchment areas. Such efforts can be

in the form of: 1) involvement of the whole targeted community in

the process of decision making related to dam and water catchment

area management; 2) improvement in public assets, infrastructure

and facilities in order to take advantage of opportunities that emerge

as a result of dam and water catchment area management; and

accompanied by 3) improved capacity of human resources in order

to possess empowerment to take advantage of the emerging

opportunities.

On the other side, efforts towards increased community participation

should also be directed towards efforts to ‘reduce’ constraints and

obstacles felt by the community (decreasing perceived costs) if they

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Annex 7

desire to maintain and safeguard the dam and water catchment areas.

Such efforts can be in form of: 1) training in skills related to dam

and water catchment area management; 2) availability of conditions

that are conducive for the community in participating in dam and

water catchment areas management (this can be in form of supply of

tools and material, and technical assistance).

Picture 1.1FRAMEWORK OF PARTICIPATION

FOR COMMUNITY PARTICIPATION IN RESERVOIR MANAGEMENT

PARTICIPATION IN TAKING ADVANTAGE OF VARIOUS

OPPORTUNITIES (PRODUCTION & CONSUMPTION) DUE TO RESERVOIR PRESENCE

PARTICIPATION IN PLANNING AND IMPLEMENTATION OF RESERVOIR

MANAGEMENT P

PROVISION OF ACCESS TO THE COMMUNITY TO VARIOUS

OPPORTUNITIES CREATED BY THE RESERVOIR

PROVISION OF PARTIAL AUTHORITY TO THE COMMUNITY TO PARTICIPATE IN

PLANNING AND IMPLEMENTING RESERVOIR MANAGEMENT

IMPRSKILL

COM

FINA

IMPR

Documents on COMMUNITY

PARTICIPATION PLAN IN RESERVOIR

MANAGEMENT

COMMUNITYRESERVOIR

Comm

IMPROVEMENT IN KNOWLEDGE & SKILLS OF APPARATUS

IMPROVED GOVERNANCE

BUDGETING POLICY

Improved Capacity

Aspirations on the utilization of various opportunities around the reservoir

Capacity to contribute in the planning and implementation of reservoir management

Type and intensity of reservoir utilization permitted for the

community

Type and level of reservoir management authority to be

granted to the community

1 ‐ 6

Annex 7

Picture 1.2FRAMEWORK OF PARTICIPATION

FOR COMMUNITY PARTICIPATION IN WATER CATCHMENT AREA MANAGEMENT

PARTICIPATION IN TAKING ADVANTAGE OF VARIOUS OPPORTUNITIES

(PRODUCTION & CONSUMPTION) IN WATER CATCHMENT AREAS

PARTICPATION IN PLANNING AND IMPLEMENTATION OF WATER

CATCHMENT AREA MANAGEMENT

PROVISION OF ACCESS TO THE COMMUNITY TO VARIOUS EXISTING

OPPORTUNITIES IN WATER CATCHMENT AREAS

PROVISION OF PARTIAL AUTHORITY TO THE COMMUNITY TO PARTICIPATE IN PLANNING AND IMPLEMENTATION OF

WATER CATCHMENT AREA MANAGMENT

IMPROVED KNOWLEDGE AND SKILLS OF HR

COMMUNITY ORGANIZATION

FINANCING AID

IMPROVED ASSETS

Document on COMMUNITY

PARTICIPATION PLAN IN WATER CATCHMENT AREA MANAGEMENT

COMMUNITYWATER CATCHMENT AREA

Community Empowerment

IMPROVED KNOWLEDGE AND SKILLS OF APPARATUS

IMPROVED GOVERNANCE

BUDGETING POLICY

Improved Capacity

Aspirations on taking advantage of various opportunities in water catchment areas

Ability to contribute in planning and implementation of water catchment area management

Types and intensity of utilization of water catchment areas by the

community which are permitted

Types and levels of authority in management of water catchment

areas to be granted to the community

• Social Inclusion; to improve individual and group access – without

any exceptions – towards management as well as benefiting from

development, the DOISP-CP shall conduct efforts to eliminate/reduce

institutional segregation existing in the community which until now

has impeded the involvement of all layers and groups of the

community in decision making related to community participation in

dam and water catchment area management, such as: gender

segregation, social status segregation, religious segregation,

education level segregation and so forth. The elimination of such

segregations is accompanied by efforts to introduce community

1 ‐ 7

Annex 7

institutionalization that are inclusive in nature shall become the main

challenge of efforts towards community organization in the DOISP-

CP. Therefore, community participation institutionalization which

shall be developed in the DOISP-CP should systematically be able to

provide the widest possible access to all individuals and groups to

participate in the process of planning, controlling, supervision and

evaluation of community participation.

In line with this social inclusion principle, therefore the process of

community decision making to form/or not to form a community

participation institution, the process for formulation of criteria and

the form of institution they shall establish, as well as the process of

selection of leaders who shall administer such institution, should be

done in a democratic manner by involving all individuals and groups

with no exceptions.

• Empowerment; efforts towards establishing an inclusive community

institution needs to be accompanied with the application of

community empowerment principles in the form of improvement in

individual as well as group assets and capacity in order that they shall

be able to influence, functionalize, benefit and demand accountability

from the institutions influencing their lives. This shall be carried out

through activities in the development of community scope and skills

in implementing organization, as well as business management.

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Annex 7

Without any efforts towards empowerment in social inclusion the

community shall have no channels for application thereof.

• Protection: such improved community participation in dam and

water catchment areas should also be based on the principle of

increasing effectiveness in Managing various social risks arising

from physical rehabilitation as well as from activities in dam and

water catchment area management. Efforts to restructure interaction

between the community and the dam and the community and the

water catchment areas should be planned on the basis of the principle

to refrain from reducing the value of the assets and the income of the

community affected by the impact. If any risks are discovered and

recognized that threaten the community assets and lives, then risk

management should be implemented until rehabilitation activities or

restructuring of spatial utilization around the dam and water

catchment areas do not cause any losses for the community.

1.2.4 Values

Efforts towards improved community participation in dam and water

catchment area management shall be carried out based on the

following values:

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Annex 7

• Honesty. The process of decision making, fund and activity

management, as well as evaluation and utilization of results of the

DOISP-CP must be carried out honestly (without any engineering

and manipulation). The value of such honesty should be applied by

all parties involved in the DOISP-CP (project, provincial

government, city/district authorities and the community).

• Equality. The DOISP-CP is to be conducted without differentiation

towards the origins of the actors, religion, status, gender type and so

forth. All parties must be given the same opportunity to be involved

in decision making, implementation and utilization of results of

development.

• Concern. Community participation in the DOISP-CP should occur

without pressure from any outside party, but should occur based on

there being awareness and concern arising from each individual

pertaining to the importance of preserving the environment where

they live in.

• Voluntary. Participating in preserving the living environment should

not be observed as a burden for the community citizens, but should

be developed as a need for each individual. With the basis of such

voluntary value, then the stimulant funds provided by the DOISP-CP

should be taken as aid in resources necessary to the community to

1 ‐ 10

Annex 7

begin establishing their concern to participate in maintaining and

supervising the dam and water catchment areas. Hence, stimulant

funds do not constitute a pay off for the participating role of the

community in the DOISP-CP, but instead are resources to establish

community concern into actual actions.

• Unity. Community participation in the DOISP-CP shall be developed

as a joint movement involving various elements of the community,

the government and the business world. Activities in the DOISP-CP

do not belong to certain institutions or community groups, but instead

constitute activities that are open for each and every existing

individual and group. Hence, the process to re-build unity among the

development actors – in the context of maintaining the environment –

is one of the important focuses in the DOISP-CP.

1.3 PURPOSES

The general purpose of the Dam Operational Improvement and Safety

Program through Community Participation (DOISP-CP) is to improve

awareness, concern and capacity of the community to jointly prevent any

occurrences with the potential to cause deterioration in the operational

performance and safety of the dam.

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Annex 7

A specific purpose of the cp-RM is to improve awareness, concern and

capacity of the community to be able to – jointly with the technical

instances apparatus – manage and safeguard the environment around the

dam.

Meanwhile a specific purpose of cp-WM is to improve awareness, concern

and capacity of the community to be able to – jointly with the technical

instances apparatus – to manage and preserve the water catchment areas

(watershed management).

1.4 TARGETS

1.4.1 Community

The targeted community of cp-RM shall be all community residents living

within a distance of less than 500 meters from the outer boundary of the

green belt of the dam.

Meanwhile the targeted community of cp-WM shall be all community

residents living in one or more sub-water catchment areas of a dam.

1.4.2 Determination of Targeted Locations

The targeted locations of cp-WM shall be selected from 65 DOISP targeted

dams by using the following criteria:

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Annex 7

1) The level of existing residential settlements around the dam. Each

feasible dam becomes the targeted location for cp-RM if the

comparison between total families living within the distance of 500

meters from the boundary of the green belt of the dam exceeds 0.2

families/hectare.

Further, from the list of targeted locations, priority targeted locations are

determined pertaining to which among them shall first be handled, using the

following criteria:

2) When the plan for physical rehabilitation shall be carried out; dams

in the list of targeted locations shall first acquire physical

rehabilitation before the others, and shall be prioritized to obtain cp-

RM.

3) Level of damages experienced by the dam; dams with priority results

in accordance with the criteria of point 2 with the heaviest damages

shall be prioritized to obtain cp-RM.

4) Strategic and functional values of the dam; dams in the list of

priorities in accordance with criteria point 3 with the most strategic

value and with more functions shall be prioritized to obtain cp-RM.

Meanwhile targeted locations of the cp-WM are selected from dams that are

the targets of cp-RM by using the following criteria:

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Annex 7

1) Level of existing settlements in the main water catchments sub-

areas. Each dam where the population density in its main water

catchment sub-areas exceeds 0.5 families/hectare shall be included

as a targeted location of cp-WM.

Further, from the list of targeted locations, priority targeted locations are

determined pertaining to which among them shall first be handled, using the

following criteria:

2) When cp-RM shall be carried out for such dam. Dams in the list of

targeted locations that shall firs receive cp-RM compared to the

others, shall be prioritized to receive cp-WM.

3) Level of sedimentation experienced by the dam. Dams as results of

prioritization in accordance with the criteria of point 2 with the

highest level of sedimentation shall be prioritized to receive cp-WM.

4) Strategic and functional values of the dam. Dams as results of

prioritization in accordance with the criteria of point 3 with the most

strategic values and with more functions shall be prioritized to

receive cp-WM.

Thereafter for each respective dam selected as a target, determination of one

or more water catchment sub-areas to be the focus of location for cp-WM

activities shall be carried out by using the following criteria:

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Annex 7

5) Level of contributed sedimentation of each water catchment sub-

area; to determine two water catchment sub-areas to become the

location for cp-WM activities.

Picture 1-1 presents a mechanism for determination of dams to be targeted

DOISP-CP locations. By following the procedures as referred to in such

diagram, two lists of DOISP-CP target locations shall be produced, namely:

i. List of dams to obtain cp-RM intervention without cp-WM;

and

ii. List of dams to obtain cp-RM intervention with cp-WM.

1 ‐ 15

Annex 7

DOISP TARGETED DAMS (65 dams)

Ratio of families within 500m from the boundary of the green belt against dam surface area >0.2 families/

ha

List of dams that need cp-RM intervention

When the plan for physical

rehabilitation of dam shall be implemented

Level of damages experienced by

dam

Strategic value and function of dam

YES

NO

drop

List of priorities for dams to become targeted locations

for cp-RM

Population density in main sub water catchment areas

>0.5 families/ha

yes

List of locations of dams targeted for cp-RM

Availability of DOISP-CP funds

for cp-RM

no

List of dams targeted for cp-RM that need cp-WM

List of dams that obtain cp-RM intervention without cp-WM

When cp-RM shall be implemented

Level of sedimentation experienced by

dam

Strategic value and function of dam

List of priorities for dams targeted for c p-RM that

obtain c p-WM

List of dams obtaining cp-RM intervention with cp-WM

Availability of DOISP-CP funds

for cp-WM

Picture 1.1 Diagram on steps for determination of targeted locations for cp-RM

and cp-WM

1 ‐ 16

Annex 7

1.5 STRATEGIES AND APPROACHES

1.5.1 Strategies

The strategy to be applied in improving community participation in

dam and water catchment area management shall be: “Community

empowerment within the environment of the dam and water

catchment area in order to be in synergy with the technical instances

of the government in the matter of dam and water catchment area

management”, through:

1) Building community capacity in order to jointly create and

develop partnership (the community and government

instance) which is representative and accountable. This

institution shall thereafter become the umbrella for

community participation in the context of dam and water

catchment area management. Based on surveys/mappings

conducted independently by the community, the partnership

institution established shall compile a community

participation program on dam and water catchment area

management.

2) Availability of stimulant resources needed to establish

community participation programs in form of Partnership

Funds which shall be managed by the partnership institution

1 ‐ 17

Annex 7

(community and government instance) in a transparent and

accountable manner. These Partnership Funds constitute

assistance in resources provided to the partnership institution

to fund previously compiled community participation

programs.

1.5.2 Approaches

a) TRIDAYA approach:

The essence of the Tridaya approach is total human empowerment in

order to be able to bring out the three powers possesses by humans,

namely:

1) To bring out social capacity in order to create an effective

community;

2) To bring out building capacity in order the create a preserved

environment;

3) To bring out economic capacity in order to create a productive

community.

By using this TRIDAYA approach, therefore the success of the

DOISP-CP shall very much be determined by the executing

individuals, the advantages as well as other DOISP-CP actors. The

empowerment of such individuals is expected to enable critical

1 ‐ 18

Annex 7

awareness and positive as well as independent changes in behavior,

in relation to the management of the developed as well as natural

environments in a sustainable manner. Further these individual

changes shall become the basis for collective changes which in the

end shall bring about social empowerment, economic empowerment

and development empowerment while still maintaining a preserved

environment.

EMPOWERED HUMAN BEING

to encourageECONOMIC CAPACITY

in order to create a productive community

to encourageSOCIAL CAPACITY

in order to create an effective community

to encourage DEVELOPMENT

CAPACITYin order to create a

preserved environment

Picture 1.2 TRIDAYA approach

b) The Community Based Development Approach

1 ‐ 19

Annex 7

Implementation of the DOISP-CP is also based on the community

based development approach, where groups are developed based on

various unities (similar purpose, similar activities, similar living

areas) in an efficient and effective manner encouraged to grow and

develop their social capital.

Community groups in the DOISP-CP are “newly developed”

community groups in the context of implementing the DOISP-CP

and or existing community groups that are able to meet the criteria

for community groups as determined in the DOISP-CP.

Considerations to use the community based development approach

are based on:

In groups, the community residents shall be more dynamic in

developing activities based on the principles and values

promoted by the DOISP-CP.

The process of empowerment shall be more effective and

efficient.

The occurrence of a process of mutual teaching – mutual

caring among members of the community.

The consolidation of joint power among the weak, among the

strong as well as between the weak and the strong.

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Annex 7

In the DOISP-CP, the community based development approach is

mainly established in the decision making mechanism to handle the

various existing issues in the community while still being based on

group strengths through discussions among the members of the

community.

1 ‐ 21

Annex 7

Chapter 2. Community Participation in Dam Management

To achieve improvement in community participation in dam management, the cp-RM is divided into 2 components, namely:

A. Development of Communities Around the Dam; and

B. Availability of Partnership Funds

Dam Operational Improvement & Safety Project (DOISP) is a project carried out

with the purpose to improve the performance of operations and safety of dams in

Indonesia.

One of several important issues considered as a threat to the operational

performance and safety of dams is the low concern of the communities living

around the dam to join in the maintenance, supervision and safeguarding of the

dams. Almost all dams in Indonesia are located close to cultivated areas managed

by the general communities. A large part of the sides of these dams are adjacent to

the agricultural land of the residents, and also significant parts of the premises of

the dams are directly adjacent to the residential areas as well as commercial areas

owned by members of the communities. Residential settlements grow rapidly

around the dams due to the superiorities owned by settlement locations around the

dams, namely the closer the location to the dam the better the guarantee for

supply of water (for productive as well as consumptive purposes). And general

indications that occur in a large number of dams in Indonesia show that the

communities do not only carry out activities around the dam area, but also within

the premises of the dam. Communities around the dam in general make use of the

side bank areas, the dam construction, as well as the water areas of the dam as

2 ‐ 1

Annex 7

places to carry out recreational activities (such as: fishing, boating or just to enjoy

the view); which are further followed by the growth of various supporting

activities (such as: sales of food or souvenirs). In several dams, the surrounding

communities have for a long time taken advantage of the dam water fro various

productive activities, such as development of the fresh water fish cultivation

business. Additionally the land within the premises of the dam which dries up

during the hot season is also used by the communities for farming, grazing

livestock or as a source for excavating material (sand).

The pattern of interaction varies between the community and the dam which

emerges due to such closeness in location. In several cases, community activities

in the dam area can provide a positive impact towards the dam operations (such

as: sand excavation); in other cases however, there are activities that bring about

neither negative nor positive impacts (such as: farming on land piles emerging

during the dry season on the dam premises); however there are some parts with

the potential to cause a negative impact on dam operations. In many cases where

community activities in the dam area damage the dam operations, the cause is

often the lack of understanding of the community concerning types of activities,

as well as the intensity and what type of methods can be carried out by the

community in certain parts/areas of the dam (such as: the dam, the side banks, the

water and open land on the premises) without causing any impact on the dam

operations and safety. This indicates lack of communications between the dam

management and the surrounding communities with the result that until now there

2 ‐ 2

Annex 7

has never been any development of mutual agreement concerning the best pattern

of interaction between the dam and the community.

There being no references concerning the pattern of interaction mutual agreed

upon between the dam and the surrounding community also have an impact on the

low community participation in the maintenance, supervision and safeguarding of

dam operations and safety. The sense of ownership towards the dam by the

surrounding community is very low. This has caused a high level of vandalism,

theft of dam equipment and the illegal use of parts of the dam which not shall not

only cause deterioration in the performance of dam operations, but could also

endanger the dam and the community in general.

Cp-RM (Community Participation in Dam Management) is a social development

component in the DOISP with the purpose to improve participation of the

communities residing around the dam in efforts of maintenance, supervision and

safety of the dam. The desired results expected from implementation of this

component are:

1. improvement in community participation in the maintenance of the dam

and supervision over utilization of dam areas.

2. improvement in community participation in making use of opportunities

created due to the existence of the dam, within the limitations that do not

disrupt operations and safety of the dam.

2 ‐ 3

Annex 7

3. increased capacity in government instance apparatus assigned to manage

the dam, hence being able to apply a participative dam management

approach.

2.1 COMPONENTS

2.1.1 Community Development

a) Description

The Cp-RM supplies support for activities related to community

development around the dam in order to cooperate more effectively

with the dam management instance in the matter of dam

management.

Activities on the community development component covers a series

of activities that commence with: 1) building critical awareness of

the community concerning how to live side by side with the dam;

followed by, 2) organization of the community and formation of a

Dam Community Forum; 3) independent mapping concerning

interaction of the community with the dam; 4) participative planning

to compile a Community Participation Strategic Plan in Dam

Management; and 5) compilation of Yearly Action Plan for

Community Participation in Dam Management.

2 ‐ 4

Annex 7

Picture 2-1 hereunder shows the diagram of flow of activities of the

community development component. Activities 1.1 through 1.5

constitute main activities of the community development

component.

2 ‐ 5

Annex 7

101REFLECTION ON “LIVING

SIDE BY SIDE WITH A DAM”

103PEMETAAN SWADAYA

“INTERAKSI MASYARAKAT DENGAN WADUK”

102COMMUNITY ORGANIZATION & ESTABLISHMENT OF DAM

COMMUNITY FORUM

104COMPILATION OF

STRATEGIC PLAN FOR COMMUNITY PARTICIPATION

IN DAM MANAGEMENT

106IMPLEMENTATION OF

COMMUNITY PARTICIPATION IN DAM MANAGEMENT

105COMPILATION OF ANNUAL

ACTION PLAN FOR COMMUNITY PARTICIPATION

IN DAM MANAGEMENT Picture 2-1ACTIVITIES IN IMPROVEMENT OF DAM MANAGEMENT THROUGH COMMUNITY PARTICIPATION

YEARLY CYCLE

FIVE YEAR CYCLE

Financing support for this community empowerment component

covers: 1) costs for availability of facilitator to assist the community;

2) costs for preparation of material and implementation of

socialization; 3) costs for preparation of material and

implementation of training. In brief, the community empowerment

component consists of the five main following activities:

2 ‐ 6

Annex 7

1) Improved Community Awareness and Concern pertaining to:

“Living side by side with the Dam”

These activities constitute reflective discussions conducted by

small discussion groups within the community. First of all the

participants are directed to make an inventory of and reflect on

the attitudes and behaviors of each participant related to the

dam. Thereafter the Facilitator of Community Cadre shall assist

in showing the relationship between each attitude and behavior

with the point of view of each individual towards his/her

environment. Further several reflective questions shall be

submitted by the Facilitator or the Community Cadre to help

participants in bring back an authentic human ‘point of

view/way of perceiving’ regarding the relationship of each

individual and his/her environment, namely that the

environment is an ‘extension’ of the human body. Through

these discussions participants are expected to be able to perceive

concern towards the dam no longer as a burden but as a need. In

the end, it is expected that participant discussion can re-

formulate new point of view/way of perceiving, attitude and

behavior for each respective participant related to the dam.

Results of this phase shall be a type of ‘declaration’ prepared by

the discussion participants themselves concerning how they

2 ‐ 7

Annex 7

should live side by side with the dam. Reflection activities in

these small groups are estimated to need approximately 1 (one)

month’s time.

2) Community Organization and Formation of the Dam

Community Forum

After residents have the awareness and will to change their

attitudes from previously having no concern to having concern

towards dam management, the next step shall be to assist them

in organizing themselves in order that they can jointly create the

desired concerned behavior. In each D Zone Community Groups

are established, with membership of all residents residing there.

These Community Groups (Pokmas) are more in the form of

discussion groups to discuss issues related to their interaction

with the dam. The Facilitator and Community Cadre shall assist

the community in order to be able to develop discussion groups

which apply communication practices that are sound, inclusive

and open towards new and innovative ideas. The first discussion

will be for the purpose of bringing out community member

aspirations concerning community member interactions with the

dam that they want to discuss at Dam Community Forum level,

as well as the election of which community members shall

become their delegates in the Dam Community Forum.

2 ‐ 8

Annex 7

At dam level, the Dam Community Forum (FKW) is formed

consisting of delegates from the Community Groups (Pokmas)

(each community group shall send one delegate); Village Chief,

delegates from the related local community institutions; and the

institutional apparatus who have the formal job of managing the

dam (PSDA, BBWS or BWS units). The agenda for the first

discussion of this FKW will be to compile a declaration

concerning joint desires and commitments to improve

community participation in dam management. This declaration

shall further be set out into a work plan, where one of such plans

would be a plan for implementation of Independent Mapping.

These organizational activities of the community shall need

around 1 (one) month’s time.

3) Independent Mapping: “Community Interaction with the

Dam”

Independent Mapping constitutes a Pokmas activity with the

purpose to identify the existing potential and constraints with

the community (for example HR potential, community

institutionalization), as well as the potential and constraints

existing in the dam, as well as types and intensity level of

current utilization of dam by the community. This Independent

Mapping shall be carried out by each respective Community

2 ‐ 9

Annex 7

Group (Pokmas) together with the dam management apparatus

assisted by the Facilitator or Community Cadre.

The mapping of the existing potential and constraints in the

dam, can be carried out by method of community members

making visits to the dam construction or part of the dam around

their residential area to obtain clarification concerning technical

matters related to the dam construction and the dam. In this

opportunity, explanations are also provided concerning the

technical demands that have to be satisfied for the operation and

maintenance of the dam, hence residents can be expected to

acquire more understanding on operational and safety issues the

dam is facing.

The results of this individual mapping shall then be jointly

discussed at Pokmas level as well as at FKW level. The results

of discussions shall be in the form of understanding concerning

various potentials emerging from the current pattern of

interaction, as well as the potential and constraints for

implementation of community participation in dam

management. These activities are expected to be completed

within a period of 1 (one) month.

Picture 2-1 hereunder presents a division of interaction zones

between the dam and the community. Interaction zone A is the

2 ‐ 10

Annex 7

water body of the dam, while zone B is the land areas emerging

when the dam dries up during the dry season. Zone C constitutes

the green belt area of the dam, while zone D is the settlement

are adjacent to the green belt of the dam.

DAM

Interaction ZoneB

C

D

D

Pokmas 1

Interaction ZoneiB

Interaction ZoneA

Pokmas 2

Pokmas 3

Pokmas 4 Pokmas 5

Pokmas 6

boundary

boundary

bounda

ry

boundary

river

Picture 2-2COMMUNITY EXISTENCE AROUND THE DAM AND THE INTERACTION ZONES

Green belt

boundary

highest w

ater leve

l

lowest waterlevel

Interaction ZoneC

Interaction ZoneD

2 ‐ 11

Annex 7

4) Participative Planning to Compile a Strategic Plan for


Based on the results of Independent Mapping the community

shall than by level – commencing from Pokmas level – compile

an action plan of community participation which they want to

carry out within a period of the next 5 (five) years. Such results

of planning at Pokmas level shall then be discussed at FKW

level to produce a document of understanding concerning the

direction of development of participation during the next 5

years. The time required to carry out this activity is around 0.5

(half) a month.

5) Compilation of Annual Action Plan of Community

Participation in Dam Management

From the numerous participation action plans that are to be

carried out within a the next 5 years, members of the FKW

jointly – through a democratic process – compile priorities

according to level of urgency of each respective activity.

Thereafter activities to be carried out during such a period of

one year shall be determined. Funding sources for such

activities shall originate from the DOISP, community self-

2 ‐ 12

Annex 7

funding, the State Budget/Regional Budget and others. The

duration of this activity shall take around 0.5 (half a) month.

b) General Provisions

1) Who are defined as the community?

The definition of community around the dam in the cp-RM

constitutes all members of the community living within a

distance of 500 m from the outer boundary of the green belt of

the dam – whether rich or poor, minority members, original or

incoming residents -, whom after a process of empowerment can

be aware of and understand the environmental conditions

surrounding the dam and the issues which still have low

community participation in dam management, and agree to

organize themselves to participate actively in dam management.

2) Institutionalization which should be developed by the

community and dam management instances

Residents who are aware of the issues on dam performance and

safety as well as the potential of the community to actively

participate in such dam management should be able to form a

Community Group (Pokmas), with the following formula:

2 ‐ 13

Annex 7

“Community Groups (Pokmas) in cp-RM are groups of

community members formed based on similarity in settlement

locations around the dam. These groups are initiated and

managed independently by the residents themselves and are

established for the purpose to strive for joint interests, and to

solve issues concerning the utilization and management of the

environment surrounding the dam. The nature of Pokmas is

inclusive, deeply rooted, democratic while still maintaining

independent and autonomic natures towards government

institutions, politics, the military, family, religion and business”.

Communities around the dam can form Community Groups

(Pokmas), as well as empower the existing institutions through

improvement in their roles and functions, as long as such

institutions have fulfilled the criteria for community

organization based on the characteristics of autonomy,

voluntariness, equality, inclusiveness, democracy and

appreciating differences and peace. To lead these Community

Groups, a leader for each Community Group needs to be

elected, a person who can be trusted and is deemed to be able to

represent the aspirations of the community members during the

FKW dialogues.

2 ‐ 14

Annex 7

Further, the Pokmas Leaders, representatives of the PSDA Unit

and representatives of BBWS/BWS who are technically

designated to manage the dam, representatives from the

concerned Village Authorities, as well as representatives from

the local community institutions (PKK, religious groups and so

forth) to jointly establish a Dam Community Forum (FKW).

FKW is a form of communications between all existing

Community Groups and other community institutions around

the dam with the technical instances of dam management to

mutually agree on community participation programs in the

utilization and management of dams. Such mutual agreement

shall be poured into a Strategic Plan for Community

Participation in Dam Management, which each year shall be set

out in the annual action plan document.

2 ‐ 15

Annex 7

Community Group

….

Community Group

4

Community Group

3

Community Group

1Community

Group2

Picture 2.3FRAMEWORK OF INSTITUTIONALIZATION

FOR COMMUNITY PARTICIPATION IN DAM MANAGEMENT

DAM COMMUNITY FORUM

BBWS/BWS Apparatus

Village Chief

Community Institution Elements

delegatedelegate

delegate

delegate

PLAN FOR COMMUNITY

PARTICIPATIONIn Dam Management

2 ‐ 16

Annex 7

3) What role should be played by the Community Groups?

• Pokmas organizes community members in a participative

manner – beginning from grass root level – to exploitation

of community aspirations concerning forms of community

participation in dam utilization and management;

• To act as a decision making forum at community level for

matters pertaining to implementation of cp-RM specifically

and the utilization and management of the dam environment

in general;

• To increase community member concern towards active

participation in maintenance of the preserved environment

of the dam;

• To increase empowerment of community members in order

to be able to take advantage of various available

opportunities due to the existence of the dam, while still

paying due observance to the preservation of the

environment;

• To propose and carry out various community participation

activities in the utilization and management of dams.

2 ‐ 17

Annex 7

4) What role should be carried out by the Dam Community

Forum?

• FKW organizes all existing Community Groups, all other

community institutions, the related Village authorities –

together with the technical instances of dam managements –

to actively participate in dam management, as well as

sustainable utilization of the dam;

• To act as a decision making forum at dam level for matters

pertaining to implementation of cp-RM specifically and

utilization and management of the dam environment in

general;

• To improve effectiveness of communications among stake-

holders of dam management;

• To develop networks with existing FKW in other dams;

• To determine policies and supervise the process of

utilization of Partnership Funds by Pokmas;

• To propose and carry out community participation activities

involving more that one or all Pokmas at dam scale.

5) Assistance and community development

2 ‐ 18

Annex 7

• The Facilitator shall intensively facilitate Pokmas, FKW and

the community members in general in efforts towards

improvement of community participation in the utilization

and management of dams.

• Community cadres are selected from, by and for the

community. Community cadres voluntarily serve as local

community development agents. These Community Cadres

shall obtain training held by the Facilitator.

2.1.2 Availability of Partnership Funds

a) Description

The Partnership Funds component is implemented with the purpose

to open up access for communities around dams to capital resources,

which could directly be applied towards efforts of dam utilization

and management. The types of activities can be determined by the

communities themselves through discussions/dialogues with Pokmas

and FKW, based on the stipulations of cp-RM.

Partnership funds are in the nature of ‘grant’ funds from the

government to the communities around dams, for which control over

management therefore is entrusted to the FKW formed in a

democratic, participative, transparent and accountable manner.

2 ‐ 19

Annex 7

Partnership Funds can only be used for the interests of the

communities surrounding the dams in relation to the dam utilization

and management.


1) Allocation of Partnership Funds

The amount of Partnership Funds is determined based on total

families residing around the dam and the measurement of the

dam, therefore distribution of allocation of Partnership Funds

shall be as presented in Table 2.1.

Table 2.1 Distribution of Allocation of Partnership Funds

Dam Measurement Small Medium Large

CATEGORY 200 < and <

700 Ha < 200 Ha > 700 Ha

Low

< 200

Househo

lds

Rp. 300

mio - -

Total

Families

Around the

Dam Mediu

m

200 <

Households

< 500

Rp. 400

mio Rp. 600 mio Rp. 800 mio

2 ‐ 20

Annex 7

High

> 500

Househo

lds

Rp. 500

mio

Rp. 1,100

mio Rp. 800 mio

Total allocation of Partnership Funds for each respective

targeted dam shall be notified in a transparent manner for all

layers of the community.

The total to be allocated to each respective targeted dam shall

constitute the maximum amount which can be used. Meanwhile

total actual disbursement shall depend on the capacity of

management and preparedness of Pokmas and FKW to carry out

the community participation program in dam management, in

accordance with the purposes and stipulations of cp-RM.

If within a timeline determined by the community, the targeted

location is assessed as being unable to show any capacity and

preparedness to carry out the community participation program,

therefore the available allocation of funds – partially or wholly –

can be deferred or cancelled.

2) Distribution and Disbursement of Partnership Funds to the

Dam Community Forum

2 ‐ 21

Annex 7

Disbursement of Partnership Funds to FKW is carried out in

stages, namely stage 1 20%, stage 2 50%, stage 3 20% and stage

4 10% of total allocation of Partnership Funds for each

respective targeted dam, through the Bank accounted appointed

by FKW.

• Disbursement of funds stage 1 amounting to 20% of total

Partnership Allocation is carried out in the middle of the

first year. These first stage Partnership Funds are prioritized

(around 70%) to fund activity proposals with the purpose of

improving community participation in dam maintenance and

supervision. Included in this category are proposals for

Pokmas training pertaining to dam management, proposal

for restructuring of utilization of land surrounding the dam

by the community, and proposals for strengthening of FKW

capacity.

Meanwhile the remaining portion of the Partnership Funds

(approximately 30%) shall be used to fund activities with the

purpose to improve access of the dam surrounding

communities to available opportunities within the

environment of the dam. Include din this category are

proposals for training for the community around the dam

concerning businesses suitable for development around the

2 ‐ 22

Annex 7

dam, proposals for development of infrastructure and

facilities to improve community access to the benefits of the

dam, and proposals for strengthening of community business

capital around the dam.

The disbursement of stage 1 can be carried out if the FKW is

already established; a Strategic Plan for Community

Participation in Dam Management document and a First Year

Action Plan have been compiled. Proposals for activities at

dam scale are prepared and carried out by the Executive

Committee formed by FKW.

• Disbursement of funds stage 2 amounting to 50% of the

total Partnership Funds is carried out in the middle of the

second year. These second stage Partnership Funds are

partially (around 20%) to fund proposals for activities with

the purpose to increase community participation in dam

maintenance and supervision. In the meantime the remaining

large portion (around 80%) shall be used to fund activities

with the purpose to increase access for the community

around the dam to opportunities within the environment of

the dam.

2 ‐ 23

Annex 7

Disbursement of stage 2 funds can only be carried out if the

Pokmas and FKW have carried out all stage 1 activity

proposals, conducted evaluation towards implementation

thereof, and prepared Action Plan for the Second Year.

If based on the results of evaluation of the Project the

performance of FKW as well as Pokmas related to

implementation of the improvement in community

participation program for utilization and management of

dams in the previous stage are unsatisfactory, then the Project

can defer further disbursement. During such postponement,

FKW and Pokmas shall have to improve their performance in

accordance with the stipulations of cp-RM.


allocation of Partnership Funds is carried out in the middle

of the third year. Half of these third year Partnership Funds

shall be used to fund proposals on activities with the purpose

to improve community participation in the maintenance and

supervision of dams. Meanwhile the remaining half of the

funds shall be used to fund activities with the purpose of

improving access of the communities around the dam to

available opportunities within the environment of the dam.

2 ‐ 24

Annex 7


allocation of Partnership Funds is carried out in the middle

of the fourth year. Half of these Partnership Funds shall be

used to fund proposals on activities with the purpose of

improving community participation in the maintenance and

supervision of dams. Meanwhile the remaining half of the

funds shall be used to fund activities with the purpose of

improving access of the communities around the dam to

available opportunities within the environment of the dam.

• Cancellation of distribution of Partnership Funds.

Distribution of Partnership Funds for the project could be

cancelled wholly or partially, if there should be one of the

following indicators:

‐ No establishment of a number of Community Groups

that at least cover 70% of families residing around the

dam.

‐ FKW is not established, or its performance is

ineffective after one year of implementation of cp-RM.

‐ Indications of mis-appropriation of Partnership Funds

are discovered.

2 ‐ 25

Annex 7

3) Mis-Appropriation of Partnership Funds

• What may not be financed by Partnership Funds

Fundamentally Partnership Funds can be used flexibly while

being guided by the Strategic Plan for Community

Participation in Dam Management as well as at the discretion

of the community members in order that the results thereof

can truly provide benefits for the targeted communities as

well as the performance and safety of the dam. In spite of

this, various activities may not be funded by the Partnership

Funds, namely:

• Purchase or business of narcotics;

• Financing activities that are related to politics (such as:

campaigns);

• Military or semi-military activities (such as: purchase of

fire arms);

• Deposits or such placements related to efforts to

generating savings interest;

• Land clearance and evacuation;

• Construction of religious places of worship;

• Construction of government office buildings or FKW

offices;

2 ‐ 26

Annex 7

• Products that damage the environment;

• Gambling business and businesses contrary to morality

and ethics as well as religious values;

• Activities with negative impact on the environment,

indigenous population and preservation of local culture;

and

• What may be financed by the Partnership Funds

1) Participative Dam Management

a) Improvement in knowledge, motivation and capacity

of the community around the dam to participate in

dam management, such as in form of:

‐ Socialization and publication concerning

community participation in dam maintenance

and supervision.

‐ Appreciation for community members

participating in dam maintenance.

‐ Procurement of complementary equipment to

maintain and supervise the dam.

2 ‐ 27

Annex 7

b) Activities pertaining to restructuring of utilization of

areas around the dam by the communities, for

example in form of:

‐ Relocation of public facilities available around

the dam.

‐ Relocation of commercial facilities available

around the dam.

2) Improvement of community access to opportunities

around the dam.

a) Strengthening of capital and community skills

around the dam for the development of businesses in

conformity with the dam environment, for example

in form of:

‐ Capital aid for development of livestock

business

‐ Capital aid for development of agricultural

business

‐ Capital aid in the development of business in

trading of goods/services

‐ Training in business development for

community members

2 ‐ 28

Annex 7

b) Improvement in infrastructure and facilities of the

residential settlement around the dam, for example:

‐ Construction of new roads within the

environment

‐ Improvement in quality of roads within the

environment

‐ Improvement in transportation facilities

‐ Procurement of public hydrants

‐ Construction of bath, wash, toilet facilities

(MCK)

‐ Reparations on educational infrastructure and

facilities

‐ Procurement of electricity

‐ Procurement of public telecommunications

facilities

2.2 SUPPORT IN IMPLEMENTATION

To implement cp-RM to achieve the expected purposes, PMU shall contract

consultants and facilitators to manage implementation of the project, mainly

since c p-RM needs active and intensive presence and assistance in the field

both at Pokmas as well as FKW levels.

2 ‐ 29

Annex 7

Basically the support for project implementation covers financing of all

management projects that shall enable PMU to possess: 1) proper quality of

cp-RM performance; ii) technical support in the field for Pokmas and FKW;

as well as iii) proper evaluation and monitoring towards the impacts of cp-

RM implementation.

Hence, support for implementation of cp-RM covers therein matters

pertaining to:

2.2.1 Technical Assistance for Implementation and Monitoring

• Procurement of Technical Assistance Team for Community

Development at both PMU and PIU levels, and Facilitator at dam

level. The following table presents allocations for Facilitators for

each respective dam determined by the measurement of the dams

and the population living around the dams.

Table-2.2 Facilitator Allocation

Dam Measurement Small Medium Large

CATEGORY 200 < area< 700

Ha < 200 Ha > 700 Ha

Total Families

living around

the Dam

Low < 200

households 1 Facilitator - -

2 ‐ 30

Annex 7

Mediu

m

200 <

households <

500

1 Facilitator 2 Facilitators 3 Facilitators

High > 500

households 2 Facilitators 3 Facilitators 3 Facilitators

• Socialization and coordination at national, provincial and dam

levels as well as the stages of planning, implementation and

monitoring.

2.2.2 Technical Assistance for Evaluation

Procurement of Evaluation Consultant at PMU level to carry out a

baseline survey, mid-term review, impact survey and case study in

accordance with needs.

2.3 STEPS OF IMPLEMENTATION

2.3.1 Preparation Phase

Table 2.3 Activities and Actors in the Preparation Phase

No

. ACTIVITY ACTOR RESULTS NOTES

1.

Communication BBWS/BWS, TA concerning the location,

Workshop for

Orientation of

Organizer: PSDA Unit.

Participants: BPSDA,

• Similarity in

understanding

• Implemented in

every dam

2 ‐ 31

Annex 7

Participation in

Dam

Management.

,

GO

h

ll

ously

op

)

Community

Development

Universities, N

purpose, target,

strategy, approac

and phases of

activities as we

as each respective

role

simultane

with the Worksh

for Orientation of

Community

Participation in

Managing Water

Catchment Areas

(Watershed

Management

2. Facilitator

Training

Organizer: TA

Community

Development

Participants:

Facilitators

• Facilitators who

are ready to assist

the communities

to participate in

dam management

•

intly

Areas

•

m

Carried out

regionally, jo

with Facilitators

for Water

Catchment

Training Modules

are compiled by

the Technical

Assistance Tea

for Community

Development at

Central level

2 ‐ 32

Annex 7

3.

Social Mapping

Executor: Facilitators

• Plan for assistance

nities that

•

ion of

y the

Team

Manual for

Implementat

Social Mapping

Manual is

compiled b

Technical

Assistance

for Community

Development at

Central level

to the

commu

is in accordance

with the local

constraints and

potential

of Communities

Around the Dams

4.

Discussions on

Organizer: Facilitator

ents

• Communities

• Implemented in

around the dam

understand the

purpose, target,

phases and

activities of cp-

RM which they

are carrying out

Socialization to

the Communities

Around the Dams

and Selection of

Community

Cadres

Participants: all

community resid

around the dam

each settlement

group around the

dam

5.

Training of Executor: Facilitator •

re

e

• Carried out in each

• g Modules

Community

Community

Cadres

Resource person: TA

Community

Cadres who a

ready to assist th

dam

Trainin

2 ‐ 33

Annex 7

Development

Participants: al

l

es

m Community Cadr

communities to

carry out cp-RM

activities

are compiled by

the Technical

Assistance Tea

for Community

Development at

Central level

2.3.2 Implementation Phase

Table omponents in Community Development 2.4 Activities and Actor C

No ACT Y IVIT ACTOR RESULTS NOTE

1.

FGD concerning

“Living Side By

Side a Dam”

Executor: Community

Cadres

Facilitator: Facilitator

Participants: all

members of the

communities

• Identification of how

•

• awareness

maintaining the

• FGD mented

hs,

he

ed

• Manual on

one should live side by

side a dam according to

community perception

Community awareness

of being a part of the

developed and natural

environment around

them

Community

of the importance of

is imple

according to social

groups of: adult

males, adult

females, yout

farmers, livestock

breeders, etc., in

accordance with t

results of social

mapping conduct

by the facilitator

2 ‐ 34

Annex 7

environment of the da

Formulation of re

needed to improve

m

• sources

•

s

d by

r

l

community participation

in dam management

Mutual agreement

concerning further step

Implementation of

FGD compile

the Technical

Assistance Team fo

Community

Development at

Central Leve

2.

Establishment of

Community

roups

am

Executor: Community

Cadres

nts: all

ation

,

• riteria

e

• Manual on

Implementation of

nt of

r

l

Participation

Community G

(Pokmas) in D

Management


Participa

members of the

communities

• Establishment of

community group

(Pokmas) handling

community particip

in dam management

approved by all

community members

Formulation of c

for leaders of Pokmas

• Election of leaders of

Pokmas who shall also

Establishme

Pokmas compiled

by the Technical

Assistance Team fo

Community

Development at

Central Leve

become members of th

Dam Community Forum

3.

Establishment of

Dam Community

Executor: Pokmas

delegates, instance

ity

•

the FKW handling

• Manual on

Implementation of

nt of

The establishment of

Forum (FKW) delegates, commun community Establishme

2 ‐ 35

Annex 7

institution delegates

Village Chiefs


,

, mutually

•

/Budget of

scussed and

y

l

participation in dam

management

agreed upon by all

delegates

Articles of

Association

Dam Community

Forum compiled b

the Technical

Assistance Team for

Community

Development at

Central LeveFKW are di

mutually agreed upon

by all members

4.

Training for Dam

Community

Executor: Facilitator

Facilitator: Technical

FKW

• FKW is ready to carry

out its role and duties

• Training Module for

Dam Community

l

Forums

Assistance Team for

Community

Empowerment

Participants:

members

Forum compiled by

the Technical

Assistance Team for

Community

Development at

Central Leve

5.

Independent

Executor: Community

r: Facilitator

bers

• Map & profile of

community interaction

• s

ance

•

ity

Interaction with

Mapping:

“Community

Interaction with

Dams”

Cadres

Facilitato

Participants: all

community mem

with the dam

Map & profile of matter

on dam mainten

• Map & profile on

Manual on

Implementation of

Independent

Mapping

concerning

“Commun

2 ‐ 36

Annex 7

opportunities

surrounding the da

Map & profile

each Pokmas

m

• on HR in

iled by

for

t

Dams” comp

the Technical

Assistance Team

Community

Development a

Central Level

6.

Compilation of

Strategic Plan for

Community

Executor: FKW


Participants: all Forum

• Indications of medium

term program on

community participation

•

l

for

t

Manual on

Compilation of

Strategic Plan by

the Technica

Assistance Team

Community

Development a

Central Level

Participation in

Dam Management

Members in dam management

7.

Compilation of

lan

nt

Executor: FKW

tator

•

activities of community

participation in dam

•

an

ces

thereof

•

l

Formulation on type of

management to be

carried out within the

following year

Classification &

agreement on action pl

and funding sour

Manual on

Compilation of

Yearly Action P

of Community

Participation in

Dam Manageme

Facilitator: Facili

Participants: all Forum

members

Annual Action Plan

by the Technical

Assistance Team for

Community

Development at

Central Leve

2 ‐ 37

Annex 7

- pure community

dependence

Partnership Funds

in

-

- Independent +

Partnership Funds

Table 2.5 Activity and Actor Components of Partnership Funds

No ACTIVITY ACTOR RESULT NOTES

1. Preparation of

Activity Proposal

Executor: FKW

facilitator: facilitator

Participants: Pokmas and

Executing Committee

• Activity Proposal

Pokmas, or

Community Forum

Committee

• Manual on the

Formulation of

Activity Proposal

pre entral

•

scale

all be

g

pared by C

Community

Development

Technical

Assistance Team

For Activity

Proposal at the

of the dam sh

made by Executin

Committee

2. Meeting on the

Determination of

Executor: FKW


• List of rank of

priority of Activity

•

Determination of

Manual on the

2 ‐ 38

Annex 7

the Priority of

Activity Proposal

Participants: Pokmas, the

community, Community

Cadres, Executing

Committee

Proposal the

Central

Priority of

Activity Proposal is

prepared by

Community

Development

Technical

Assistance Team

3. Verification of

Activity Proposal

Executor: Provincial

Community Development

Technical Assistance

Team

•

roposal is

considered is

considered as

having applied the

• spect

ing.

• Manual on the

Verification of

Activity Proposal is

prepared by Central

The formulation of

Activity P

principles and

values of DOISP-

CP

Ensuring the a

of the continuity of

the activity,

institution and

fund

Community

Development

Technical

Assistance Team

4.

Application for the

Disbursement of

Partnership Funds

Executor: FKW

facilitator: facilitator unds

• Request for the

disbursement of

Partnership F

2 ‐ 39

Annex 7

to PIU, attached

with Activ

ity

f

of

Proposal, result o

the Verification

Activity Proposal,

5.

Disbursement of

Partnership Funds

into the Account of

Dam Community

Forum

Executor: KPKN

facilitator: facilitator, PIU

• nds is

Partnership Fu

available in the

account of FKW

6.

Disbursement of

Partnership Funds

to Pokmas or

Executing

Committee

Executor: FKW


Executing Committee

facilitator: facilitator and

Community Cadres

• Partnership Funds

received by Pokmas

dan Executing

Committee

7. Utilization of

Partnership Funds

: FKW • Partnership Funds

are used for

Activity Proposal in

a transparent and

accountable manner

Responsible party

Executor: Pokmas and

Executing Committee


Community Cadres

2.4 NCE INDICATORS PERFORMA

2 ‐ 40

Annex 7

Table 2.6 cp-RM Performance Indicators

End of year-

N

o Component

1 2

3 Source

4 of

Inform

ation

I. COMMUNITY DE VELOPMENT

1. The holding of the meeting for the socialization of cp-RM Ya - - - Report

2. The minimum percentage of adults who understand the objectives of cp-RM 25% 35% 4 5 Su 5% 5% rvey

3. The minimum amount of FGD “Living Adjacent to Dam” which is held per 200

adults 4 - - - Report

4. g Adjacent to Dam” held particularly for young

2 - - - Report The minimum amount of FGD “Livin

generation

5. The minimum percentage of adult females attending FGD “Living with Dam” 40% - - - Report

6. 25% 35% 45% 55% Survey The minimum percentage of adults who understand how to “Live with Dam”

7. ablishment of Pokmas of Dam Community Participation Ya - - - Report The est

8. Ya - - - Report The establishment of Dam Community Forum (FKW)

9. m percentage of females being members of FKW 20% 25% 30% 35% Report The minimu

1

0.

The minimum percentage of adults ever attended Pokmas meeting 25% 35% 45% 55% Report

1

1.

The minimum percentage of Pokmas' delegates attended the establishment of FKW 75% - - - Report

1 The minimum amount of FKW meeting - 4 4 4 Report

2 ‐ 41

Annex 7

2.

1

3.

The minimum percentage of Pokmas' delegates attending the meeting to resolve the

Dam Community Participation Strategic Plan - 75% 80% 80% Report

1

4.

The minimum percentage of adults who know the contents of Dam Community

Participation Strategic Plan 3 5- 25% 5% 5% Survey

1

5.

The minimum percentage of Pokmas' delegates attending the meeting to resolve the

Annual Action Plan 7 7 8 85% 5% 0% 0% Report

1

6.

The minimum percentage of the community who know the contents of the Annual

Action Plan 25% 35% 45% 55% Survey

II

.

PROVISION OF PARTNERSHIP FUNDS

1. Percentage of Pokmas submitting proposal on the use of Partnership Funds - 70% 70% 70% Report

2. The minimum percentage of Partnership Funds allocated for Community

Participation in Dam Management 70% 20% 50% 50% Report

3. he maximum percentage of Partnership Funds allocated for the

to the benefits of the dam

30

%

80

%

50

%

50

%Report

T

improvement of the community access

4. The percentage of the holding of Community Participation in Dam

Management

30

%

100

%

100

%

100

%Survey

5. ility of community access to the benefits

SurveyThe percentage of the availab

of the dam

30

%

100

%

100

%

100

%

2 ‐ 42

Annex 7

Chapter 3. Community Participation in Managing Water Catchment Area

Dam Operational Improvement & Safety Project (DOISP) is a project held with

an aim to improve the operational performance and security of the dams in

Indonesia.

One of the problems that threatens the operational performance and security of the

dam shall be the high level of sedimentation of the dam which derives from

upstream river flow. This is mainly due to the practice of vegetation cutting that

is uncontrollable on the hills/mountains, and the practice of agriculture land

management that is inappropriate in the upstream area. besides, the practice of the

development alongside the river that does not comply with the requirements has

also resulted in the increased sediment content in the river water flowing to the

dam.

Cp-WM (Community Participation in Watershed Management) is a component of

social development in DOISP which aims to improve the participation of the

community residing in the area of water catchment in reducing the level of

To improve Community Participation in Managing Water Catchment Area, cp-WM comprises two components namely:

A. Water Catchment Area Community Development

B. Provision of Partnership Funds

3 ‐ 1

Annex 7

sedimentation of the river water flowing to the dam. The expected output of the

implementation of this component shall be:

1. the increased Community Participation in the maintenance of vegetation

dam, or the condition of the riverside flowing into such dam, in that the

2 h Participation in the utilization of opportunities

3. the increased capacity of the government institution tasked to manage

water catchment area, so that they are able to apply Management of Water

Catchment Area approach in a participative means.

3.1 COMPONENT

Cp-WM provides support for activities relating to Community

Development Water Catchment Area so as to be able to cooperate

and the condition of the land surface at the area of water catchment of a

level of sedimentation occurring in the river will be as low as possible.

. t e increased Community

available in the area of water catchment, within such boundaries that do not

disturb the preserved ecosystem in the water catchment area.

3.1.1 Community Development in Water Catchment Area

a) Description

more effectively with officers from technical institutions in terms of

Management of Water Catchment Area.

3 ‐ 2

Annex 7

These Community Development component activities cover a series

of activities which shall be started with: 1) building the critical

ater

Catchment Area; 4) participative planning to formulate the Strategic

Plan on Community Participation in Managing Water Catchment

Area; and, 5) the formulation of the Annual Action Plan of

Community Participation in Managing Water Catchment Area.

Picture 3-1 below depicts the flow chart on the activities of

Community Development component. Activities 2.1 through 2.5

constitute the main activities of Community Development

component at Water Catchment Area.

awareness of the community on how to live in the nature; continued

with, 2) the organizing of the community in the form of Pokmas and

Forum of Preservation of Water Catchment Area; 3) Independent

Mapping on the interaction between the community and W

3 ‐ 3

Annex 7

SOCIAL PLANNING F

MAPPING & ACILITATION

201CTION ON

NATURE”REFLE

“LIVING IN

203

“UTILIZATION AND PRESERVATION OF WATER

COMMUNITY”

INDEPENDENT MAPPING ON

CATCHMENT AREAS BY THE

202

& ESTABLISHMENT OF NATURAL PRESERVATION

COMMUNITY ORGANIZATION

FORUM

204

COMMUNITY PARTICIPATION

COMPILATION OF STRATEGIC PLAN FOR

IN MANAGEMENT OF WATER CATHCMENT AREAS

206

IN MANAGEMENT F WATER

IMPLEMENTATION OF COMMUNITY PARTICIPATION

CATCHMENT AREAS

205COMPILATION OF YEARLY

ACTION PLAN FOR COMMUNITY PARTICIPATION IN MANAGEMENT OF WATER

CATCHMENT AREAS

FIVE YEAR CYCLE

Picture 3.1FLOW OF ACTIVITIES FOR IMPROVEMENT IN MANAGEMENT OF WATER PARTICIPA

YEARLY CYCLE

Financing support for Community Development component covers:

1) the cost for the provision of facilitator to provide assistance to the

community in Water Catchment Area; 2) the cost for the preparation

of the materials and implementation of socialization; and, 3) the cost

for the preparation of the materials and implementation of training.

In short, this Community Development component shall consist of

five main activities, as follows:

CATCHMENT AREAS THROUGH COMMUNITY TION

3 ‐ 4

Annex 7

1) Re-strengthening the Community's awareness on : “Living in

Nature”

This activity is a reflective discussion conducted in small

discussion groups. First, the participants shall be directed to list

and contemplate their own behavior and attitude in relation to

nature. Further, the facilitator or Community Cadre helps to

show the relationship between the behavior and attitude arising

in the discussion by way of the perspective of each individuals

towards the surrounding nature. Further, several reflective

questions are asked by facilitator or Community Cadre to help

participants to resurrect human's authentic ‘perspective’ on the

relationship between each individual and the nature where he

lives in, namely the nature being an ‘expansion’ to human's

ticipants of the discussion

themselves on how they ought to live in nature. This reflective

body. At this stage participants shall be able to see that the

awareness of the nature is no longer a burden, but more of a

need of every human being. At the end, it is expected that the

participants of the discussion could reformulate new

perspective, behavior and attitude or each participant in

connection with nature. The result of this stage shall be a sort of

‘declaration’ made by the par

3 ‐ 5

Annex 7

activity is expected to consume a period of approximately 1

2) The organizing of the Community and the Establishment of

F

After the community has the awareness and willingness to

change their behavior to be cautious and caring of preservation

of the nature, then the next step shall be to help them organize

themselves so they could jointly realize their awareness

behavior that they expect. At each Zone A, community groups

shall be established, which shall have all the community

residing therein as members. These Kelompok Masyarakat

(Pokmas) is more of a discussion group being the venue to

discuss issues pertaining to their interaction with nature.

Facilitator and Community Cadres help the community so that

they could develop discussion groups that implement

communication practices that are healthy, inclusive and open

towards new and innovative ideas. The first discussion aims to

gather the community's aspirations in relation to the interaction

of the people with Water Catchment Area which is to be

discussed at the level of the Forum of Water Catchment Area

Conservation, and the selection of whom of the community who

shall become the delegates at such Forum.

(one) month.

orum of Water Catchment Area Conservation

3 ‐ 6

Annex 7

At each sub-water catchment area being a target, a Forum of

Water Catchment Area Conservation (FPDTA) shall be

Village; delegates of the related local community institution ;

and officers of institutions formally assigned to manage Water

Catchment Area (Units of PSDA, BBWS or BWS, and

BPSDA). The agenda of the first discussion of FPDTA shall be

to formulate the declaration on the joint intention and

commitment to implement programs of Community

Participation in Managing Water Catchment Area. This

declaration shall then be provided in a work plan, where one of

which shall be the plan on the implementation of Independent

Mapping. This activity will require approximately 1 (one)

month period.

established, which shall consist of delegates from Pokmas (each

community group shall be required to send a delegate); Head of

3 ‐ 7

Annex 7

RESERVOIR

Interaction

river

Picture 3.2EXISTING COMMUNITES IINTERACTION ZONES

zoneB

N WATER CATCHMENT AREAS & THE

Interaction zoneB

Sub Water Catchment Area

zone

Pokmas

Interaction

A

Interaction zoneA

1

Pokmas 2

tion and Preservation of Water 3) Independent Mapping: “Utiliza

Catchment Area by the Community”

Independent Mapping is an activity of Pokmas which aims to

learn of the potentials and obstacles present on the part of the

community (such as, human resources potentials, community

institutions), or the potentials and limitations on the part of sub-

water catchment area, and the types and intensity of the

utilization of Water Catchment Area by the people at the

3 ‐ 8

Annex 7

moment. This Independent Mapping is conducted by each

Pokmas with the assistance of facilitator or Community Cadres.

In connection with the mapping of the potentials and limitations

on the part of sub-water catchment area, the people shall obtain

an explanation from the counsel on technical matters pertaining

to nature preservation. At this instance, it was also explained the

technical demands that must be met for preserving Water

Catchment Area.

The result of this Independent Mapping shall then be discussed

at both Pokmas and FPDTA levels. The result of the discussion

in the form of the understanding on various impacts, potentials,

obstacles and limitations for the implementation of Community

Participation in Managing Water Catchment Area. This activity

4) Participative Planning for Formulating Strategic Plan on

Partic

Based on the result of Independent Mapping FPDTA then

formulates the Community Participation program and activity

plans to be carried out within the next 5 (five) years period. The

period required for this activity shall be approximately 0.5 (half)

a month.

is estimated to be completed within 1 (one) month.

ipation in Managing Water Catchment Area

3 ‐ 9

Annex 7

5) C

P

ded by the community, APBN/ APBD, and

c) Gen

1) Who is the community?

The meaning of the community of the Water Catchment Area in

sub-

urce of dam

ontinued diminishing awareness and Community

ompilation of Annual Action Plan of Community

articipation in Managing Water Catchment Area

From the many participative plans to be carried out within the

next 5 years, FPDTA –through a democratic process- formulates

the priority according to the levels of urgency of each activity.

Activities to be carried out within the next year shall then be

agreed upon. The source funding for such activities may derive

from DOISP, fun

others. The duration of this activity shall be approximately 0.5

(half) a month.

eral Conditions

cp-WM shall be all the people residing in one or more

Water Catchment Areas being the most dominant so

sedimentation –be it poor or wealthy, minority, native or

immigrants-, whom after going through the process of

empowerment are able to realize and understand the condition

of the environment of Water Catchment Area and the problem

of the c

3 ‐ 10

Annex 7

Participation in the preservation of the nature, an

organize themselves to be able to participate in a m

d agreed to

ore effective

2) I

The people that is aware of the importance of the preservation of

Water Catchment Area and the potential of the community to

actively participate in Managing Water Catchment Area must be

able to establish Community Group (Pokmas), dunder the

following formula:

“Pokmas in cp-WM shall be group of the people established

under the basis of residential location similarity in a sub-water

catchment area. This group shall be initiated and managed by

es, which shall be established for the

manner in in Managing Water Catchment Area.

nstitution that must be developed by the community

the community themselv

purpose of fighting for joint needs, and to resolve joint problems

relating to the utilization and Management of Water Catchment

Area. The nature of Pokmas shall be inclusive, rooted,

democratic, by still maintaining independency and autonomy

towards institutions of the government, politics, military,

family, religions and business.”

The community/people of Water Catchment Area may establish

Pokmas, or utilize the existing institutions by way of improving

3 ‐ 11

Annex 7

the role and functions thereof, insofar as such institutions have

complied with the criteria of community organization which

shall be based on the characters of autonomous, voluntary,

equal, inclusive, democratic, and respectful towards dynamism

and peace. To lead this Pokmas, a Chairman shall be elected,

Chairmen of Pokmas, representatives of Units of PSDA,

BPSDA, and representatives of BBWS/BWS who are

technically assigned to manage Water Catchment Area,

who shall be a trustworthy individual and considered competent

to lead the community.

representatives of the related Village Government, and the

representatives of the local communities(PKK, pesantren, and

others) shall jointly establish a Forum of Water Catchment Area

Conservation (FPDTA) .

3 ‐ 12

Annex 7

Community Group

1Community

2

Community

….Group

Community Group

4

Community Groupt

3

Group

Picture 3.3MEWORK OF INSTITUTIONS

FOR COMMUNITY PARTICIPATION IN MANAGEMENT OF WATER CATCHMENT AREAS

FRA

PRESERVATION FORUM WATER CATCHMENT AREAS

BBWS/BWS,

Apparatus

Village Chief

BPSDA, PSDA Unit

delegatedelegate

Community Instittution Elements

delegate

delegate

Plan for Community Participation

In management of Sub Water

FPDTA is a communication means between Pokmas and other

community institutions at Water Catchment Area with the

technical agency managing Water Catchment Area to agree

upon the programs of Community Participation in the utilization

and Management of Water Catchment Area. Such agreement is

provided for in the Strategic Plan on Community Participation

Catchment Areas

3 ‐ 13

Annex 7

in Managing Water Catchment Area, which is annually

described in the annual documentation.

What role to be played by the Community Group?

• Pokmas organizes the community in a participative manner

–from the grassroot level- to formulate the people's

aspirations on the form of Community Participation in the

utilization and Management of Water Catchment Area;

• acting as decision maker forum at the community level for

matters relating to the implementation of cp-WM in

particular and the utilization and management of Water

Catchment Area in general;

• increasing the people's awareness to actively participate in

preserving nature;

• increasing the people's ability so that they could further

3)

utilize various opportunities available at the Water

Catchment Area, by still observing nature preservation;

• proposing and carrying out various activities of Community

Participation in the utilization and Management of Water

Catchment Area.

3 ‐ 14

Annex 7

4) W

A

s, all other

continuously;

•

water catchment area for matters pertaining to the

management of sub-water catchment area in general;

•

stake-holders of Management of Water Catchment Area;

•

• the

•

scale of sub-water catchment area which

coverage includes more than one Pokmas' working areas.

hat role to be carried out by Forum of Water Catchment

rea Conservation?

• FPDTA organizes all the existing Pokma

community organizations, the relevant Village government,

to be able to –along with the technical agency managing

Water Catchment Area- participate actively in the

management or utilization of Water Catchment Area

acting as the decision making forum at the level of sub-

implementation of cp-WM in particular and utilization and

improving the effectiveness of the communication between

developing network with FPDTA at other targeted dams.

determining policies and supervising the process of

utilization of Partnership Funds by Pokmas;

proposing and implementing the activities of Community

Participation at the

3 ‐ 15

Annex 7

5) Assistance in Community Development

• Facilitator team shall intensively facilitate Pokmas, FPDTA,

•

munity. These Community Cadres shall

3.1.2 Provision of Partnership Funds

a) Description

Partnership Funds component shall be held with the purpose of

opening the access by the the community of water catchment area to

capital resources, which could imm

utili i

activity h Pokmas' and

FPDTA'

Partners

commun ch

shall be entrusted to FPDTA to be managed democratically, in a

and the community in general in an effort to increase the

community participation in the utilization and management

of Water Catchment Area.

Community Cadres shall be selected from, by and for the

community and voluntarily act as agent of development of

the local com

receive training as held by facilitator.

ediately be used for efforts of

zat on and management of Water Catchment Area. The types of

could be determined by the people thoug

s meetings, based on cp-WM provisions.

hip Funds are ‘grant’ from the government to the

ity of a sub- Water Catchment Area, the control of whi

3 ‐ 16

Annex 7

participative manner, transparently and accountably. Partnership

Fun m

water c

such sub


1) Allo

The

the er catchment area and

e size of such sub-water catchment area, in that the allocation

ership Funds for each sub-

water catchment area will be informed transparently so that all

layers of the community are aware of such.

of Pokmas and

FPDTA to implement the programs of Community

Participation in the management of water catchment area,

according to the purposes and provisions of cp-WM.

ds ay only be used for the needs of the community of a sub-

atchment area relating to the utilization and management of

-water catchment area.

cation of Partnership Funds

amount of Partnership Funds shall be determined based on

Total Families residing in a sub-wat

th

distribution of Partnership Funds shall be as per Table 3.1.

The amount of the allocation of Partn

The amount allocated for each sub-water catchment area

becoming a target shall be the maximum amount that could be

utilized. Whilst the amount of the actual disbursement shall be

dependent on the ability to manage and readiness

3 ‐ 17

Annex 7

If within the predetermined period, the people at the target

location is considered unable to show their ability and readiness

to implement programs of Community Participation in

Managing Water Catchment Area, then the allocation of the

available funds –partially or entirely- could be deferred or

a

cancelled.

Table 3.1 Allocation Distribution of Partnership Funds

Sub-water catchment areSmall Medium Large

CATEGORY Area < 500

Ha

500 < area <

1000 Ha

Area > 1000

Ha

Low KK <

250

Rp. 4.5 M - -

Mediu

m

250 < KK

< 500 Rp. 5.0 M Rp. 7.5 M Rp. 10.0 M

Total

milies at

b-water

Fa

su

catchment

area High KK >

500 Rp. 5.5 M Rp. 8.0 M Rp. 10.5 M

2) Distribution and Disbursement of Partnership Funds to the

Forum of Water Catchment Area Conservation

3 ‐ 18

Annex 7

The disbursement of Partnership Funds to FPDTA shall be

made in phases, namely phase 1 amounting to 20%, phase 2

amounting to 50%, phase 3 amounting to 20%, and phase 4

amounting to 10% of the total allocation of Partnership Funds

for cp-WM of each target dam, through the Bank specified by

FPDTA.

• Disbursement of funds of phase 1 amounting to 20% of

ddle

of the first year. Phase 1 Partner

m 0%) for th A

aiming to improve the Community Partic the

maintenance and supervision of Water Catchment Area.

Included in this category shall be the proposal on Pokmas'

training on preservati osa ar

replantation, and the proposal on the strengthening of the

capacity TA

Whilst the remaining of such Partnership Funds (around

10%) shall be used to fund activities which aim to improve

ble

category shall

be a proposal for training for the target community on the

appropriate business to be developed at Water Catchment

total allocation of Partnership Funds is made in the mi

ship Funds is prioritized

ainly (around 9 e funding of ctivity Propo

ipation in

sal

on the nature, prop l on critical ea

of FPD .

the access of the target community to opportunities availa

in the Water Catchment Area. included in this

3 ‐ 19

Annex 7

Area, the proposal for the development of residential basic

facilities and infrastructure, and the proposal for the

strengthening of the community's business capital.

The phase 1 disbursement may be carried out if FPDTA had

been established, the Strategic Plan on Community

Participation in Managing Water Catchment Area has been

f

f

m

a

a

F

•

ormulated, and the First Annual Action Plan has been

ormulated. Activity Proposal at the scale of Pokmas shall be

ade and implemented by Pokmas, whilst Activity Proposal

t the scale of sub-water catchment area shall be prepared

nd implemented by Executing Committee established by

PDTA.

Disbursement of funds of phase 2 amounting to 50% of

the total allocation of Partnership Funds shall be made in the

middle of the second year. Part of Partnership Funds of

phase 2 (approximately 90%) shall be for the funding of

Activity Proposal which aims to improve the Community

Participation in the management and supervision of Water

Catchment Area. Whereas the remaining part

(approximately 10%) shall be used for funding activity

which aims to improve the access of the target community to

opportunities available at the Water Catchment Area.

3 ‐ 20

Annex 7

The disbursement of phase 2 may only be made if Pokmas

and FPDTA have performed all the Activity Proposal of

phase 1, have carried out the evaluation on the

ent of the Partnership Funds until a specified

p

d

t

•

ivities

implementation thereof, and have generated the Second Year

Annual Action Plan.

If based on the result of the evaluation of the Project it

appears that the performance of FPDTA or Pokmas in

executing the program of the improvement of Community

Participation in the utilization and Management of Water

Catchment Area in the previous phase is considered non-

satisfactory, then the Project could postpone the next

disbursem

eriod of time. During the postponement of such

isbursement, FPDTA and Pokmas must be able to remedy

heir performance pursuant to the provisions of cp-WM.


the total allocation of Partnership Funds shall be made in the

middle of the third year. Approximately 90% of the

Partnership Funds of phase 3 shall be used to fund Activity

Proposal which aims to increase Community Participation in

the management and supervision of Water Catchment Area.

The remaining 10% shall be used for funding act

3 ‐ 21

Annex 7

aiming to increase the access of the target community to

opportunities available at Water Catchment Area.


the total allocation of Partnership Funds shall be made in

the middle of the fou

•

rth year. Approximately 90% of phase

•

the

‐ FPDTA is not established, or its performance is

ineffective after one year of implementation of cp-WM

4 Partnership Funds shall be used for the funding of Activity

Proposal aiming to increase the Community Participation in

the maintenance and supervision of Water Catchment Area.

Whereas the remaining 10% shall be used for funding

activities aiming to increase the access of the target

community to opportunities available at Water Catchment

Area

Cancellation of distribution of Partnership Funds.

Project is entitled to cancel the disbursement of Partnership

Funds, partially or entirely, in the presence of any of

following indicators:

‐ insufficient Pokmas established which shall cover 70%

families in the sub-water catchment area.

3 ‐ 22

Annex 7

‐ there shall be an indication of misuse of Partnership

Funds

3) U e

• What cannot be funded by Partnership Funds

Basically, P

reference to the Strategic Plan

Managing Water Catchm

in tha

or the preservation of sub-Water Catchm

Nonetheless, several activities m

Partnership Funds, such as:

ilitary (such as: purchase of fire

w

• D ring savings'

inte

• L

• Construction of religious houses;

s of Partnership Funds

artnership Funds could be used flexibly with

on Community Participation in

ent Area and the people's judgment

t the result could actually benefit the target community

ent Area.

ay not be funded by using

• Purchases or business of drugs;

• Financing of activities relating to politics (such as:

campaign);

• Military or semi m

eapon);

eposit or those relating to efforts to gathe

rest;

and clearing and containment;

3 ‐ 23

Annex 7

• C

of FPDTA;

ent;

• ntrary to

the norm and morality and religious values;

• Activities with adverse impacts to the environment,

native and the preservation of the local culture; and

•

1) Management of Water Catchment Area in a

Participative manner

a) The improvement of knowledge, and capacity of the

target company to participate in Managing Water

Socialization and publication of Community

ater Catchment Area.

aintenance of Water Catchment Area.

nt for the maintenance

atchment Area.

onstruction of government office buildings or offices

• Products that damages the environm

Gambling businesses and other businesses in co

What can be funded by Partnership Funds

Catchment Area, in the form of, for example:

‐

Participation in the maintenance and supervision

of W

‐ Rewards to the community participating in the

m

‐ Procurement of equipme

and supervision of Water C

3 ‐ 24

Annex 7

b) The activity of preserving Water Catchment Area, in

the form of, for example:

ter Catchment

Area, for example in the form of:

ent of

husbandry business

‐ Capital assistance for the development of

agriculture business

‐ Capital assistance for the development of

goods/services trading

‐

b)

infr

‐ Replantation of critical areas.

2) The improvement of the community;'s access to

opportunities at Water Catchment Area

a) The strengthening of capital and skills of the target

community to develop appropriate businesses

according to the environment of Wa

‐ Capital assistance for the developm

Business development training for the people

The improvement of residential facilities and

astructure, for example:

‐ construction of new environment roads

3 ‐ 25

Annex 7

‐ improvement of the quality of environment

roads

‐ improvement of transportation facilities

munication

3.2 IMPLEMENTATION

To implement cp-WM to a jectives, PMU shall engage

various consultants an f of the

project, especially due to th nt of cp-WM requires the

presence and field-ass an

Pokmas or FPDTA.

In principle the suppor f the project covers all

the management of the project which would allow PMU to have: i) good

component performance quality 3.4 ; ii) field technical support for Pokmas

‐ procurement of public hydrants

‐ construction of MCK

‐ improvement of educational facilities and

infrastructure

‐ procurement of electricity

‐ procurement of public telecom

facilities

SUPPORT

chieve the desired ob

d acilitator to manage the implementation

e fact that the compone

ist ce that is active and intensive at the levels of

t for the the implementation o

3 ‐ 26

Annex 7

and FPDTA; and iii) g d f the

implementation of cp-WM

Therefore, the suppor o include

matters pertaining to:

3.2.1 Technical Assistance for Impl

• The procurem unity Development Technical

Assistance T m , and facilitator at the

level of sub n the

following table n of facilitator for each sub-water

catchment area is presented, based on the area of sub-water

ea

oo evaluation and monitoring on the impact o

t f r the implementation of CP-WM shall

ementation and Monitoring

ent of Comm

ea at PMU and PIU levels

-water catchment area and the community. I

allocatio

catchment area and population.

Table-3.2 Allocation of facilitator

Area of sub-water catchment arSmall Medium large

CATEGORY Area < 500 Ha

500 < area < 1000

Ha

Area > 1000

Ha

Low KK <

250 1 facilitator - -

Mediu

m

250 < KK <

500 1 facilitator 1 facilitator 2 facilitators

Total Families

500 cilitators

at sub-water

catchment

area High

KK > 1 facilitator 2 facilitators 2 fa

3 ‐ 27

Annex 7

• Socialization and coordination at national, provincial and dam

level, be it at the phase of planning, implementation and

tance for Evaluation

The procurement of Evaluating Consultants at the level of PMU to

conduct baseline survey, mid-term review, impact survey, and

e

3.3 IMPLEMENTATION

3.3.1 Pre

Tab f Preparation Phase

monitoring.

3.2.2 Technical assis

sp cial study according to needs.

STEPS

paration Phase

le-3.3 Activity and Actor o

NoACTIVITY ACTOR RESULT NOTES

.

1.

Orientation

Workshop on

Community

Participation in

Managing Water

Catchment Area.

Organizer: PSDA.

Participants: BPSDA,

BBWS/B

Community

Development,

understanding on

ses,

strategu, approach

ties

roles of each party

e

of target dam, along

with Orientation

Workshop on

Community

Participation in Dam

Management

• H ld at each location

WS, TA

Universities, LSM

• Aligned

the purpo

and activi and

2. Facilitator training Organizer: TA • facilitator who is • Held regionally, with

3 ‐ 28

Annex 7

Community Development

Participants: facilitator

sub-wat

ready to assist the

community to

Dam f

• Trainin

er catchment area participate in

Managing Water

Catchment Area

acilitator

g Module

prepared by Central

Community

Development

ical Assistance Techn

Team

3.

Social Mapping of

sub-water

catc

community

litator

• Community

assistance plan that

is in line with the

local obstacles and

• Manual on the

Implementation of

Social Mapping is

prepare by Central

Community

Development

Technical

Ass am

hment area Executor: faci

condition

istance Te

4.

Socialization

Meeting for sub-

water catchment

area community

and Election of

Community Cadres

Organizer: facilitator

Participants: all the

residents of sub-water

catchment area

• The target

ty

t,

s

•

at

ea

communi

understands the

purposes, targe

phases and activitie

of cp-WM to be

conducted

Held at each

residential group

the sub-water

catchment ar

5. Community Cadres Executor: facilitator • Community Cadres • Held at each dam

3 ‐ 29

Annex 7

Training Source: TA Community

Development.

the

who are ready to

ities

tral

m

• Training Module

prepared by Cen

Participants: all

Community Cadres

assist the

community to

implement activ

of cp-WM

Community

Development

Technical

Assistance Tea

3.3.2 Implementation Phase

Table-3.4 Activity and Actor of Community Development Comp eon nt


1. FGD on “Living in

Executor: Community

Cadres


Participants: all

• Th

ho

acc

co erception

• Community is aware of

being part of the

surrounding natural

environment

• the community is aware

of the importance of

preserving the nature

• Form

required for improving

•

p:

ult

h,

according to the

result of the social

•

of

FGD is prepared by

Central Community

e identification of

w to live in nature

ording to the

mmunity's p

Nature”

residents of the

community

ulation of resources

FGD held according

to social grou

adult males, ad

females, yout

farmers, etc.,

mapping conducted

by facilitator

Manual on the

Implementation

3 ‐ 30

Annex 7

Development Community

Ma

Ca ea

• agreement on the next

steps

Technical

Assistance Team

Participation in

naging Water

tchment Ar

2.

Est

Pokmas

Community

Participation in

Managing Water

Catchment Area

Executor: Community

Cadres


Participants: all

• Community Group that

deals with Community

Participation in

Managing Water

estab greed

nts

•

l also

ual on the

Implementation of

the Establishment of

is prepared by

Technical

ablishment of

residents of the

community

Catchment Area is • Man

lished and a

upon by all the reside

The formulation of the

criteria of head of

Pokmas

• The election of head of

Pokmas who shal

become members of

Forum Water

Catchment Area

Conservation

Community Groups

Central Community

Development

Assistance Team

3. Establishment of Executor: delegates of • • FPDTA dealing with Manual on the

3 ‐ 31

Annex 7

Forum of Water

Catchment Area

Conservation

(FPDTA)

Pokmas, agencies,

community

institutions, Village

Head



residents of the

community

ater

is

reed

• RT FPDTA was

ent

ervation

Central Community

Development

Technical

Assistance Team

Community

Participation in

Managing W

Catchment Area

established and ag

upon by all the

delegates

AD/A

discussed and agreed

upon by all members

Implementation of

the Establishment of

Water Catchm

Area Cons

is prepared by

4.

rea

Executor: facilitator

facilitator: Community

Development

Technical Assistance

Team

Participants: members

of FPDTA

•

• Training Module of

Team

Training of Forum

of Water

Catchment A

Conservation

FPDTA is ready to

carry out its role and

duties

Forum of Water

Catchment Area

Conservation is

prepared by Central

Community

Development

Technical

Assistance

5.

Independent

Mapping:

“Utilization and

Conservation of

Water Catchment

Executor: Community

Cadres



residents of the

•

er

•

Implementation of

Independent

Mapping on

“Utilization and

Map & profile of

utilization of sub-wat

catchment area by the

community .

Manual on the

3 ‐ 32

Annex 7

Area by the

People”

community • of

ent area by

•

ms

• ile of

•

of each Pokmas

Conservation of

sub-water

map & profile

conservation of sub-

water catchm

the community

map & profile of

conservation proble

of sub-water catchment

area

map & prof

opportunities at sub

Water Catchment Area

map & profile of SDM

catchment area by

the People”

prepared by Central

Community

Development

Technical

Assistance Team

6.

The formulation of

Strategic Plan on

TA

ants: all

• Indication of medium

ation in

Managing Water

Catchment Area

•

Community

Participation in

Managing Water

Catchment Area

Executor: FPD


Particip

members of the Forum

term program of

Community

Particip

Manual on the

Formulation of

Strategic Plan is

prepared by Central

Community

Development

Technical

Assistance Team

7. Compilation o

Annual Ac

f

tion Plan r: facilitator

Executor: FPDTA

facilitato

• Formulation of type of

Community

• Manual on the

Compilation of

3 ‐ 33

Annex 7

on Community

Participation in

Managing Water

Catchment Area

m

n

nt of sub-

rea to

Participants: all

members of the Foru

Participation activities i

the manageme

water catchment a

be carried out in the n

year

Classification &

ext

•

- independently by the

-

-

Partnership Funds

n Plan

ity

agreement on the

activity plan and its

source of funding

community

Partnership Funds

Independently +

Annual Actio

is prepared by

Central Commun

Development

Technical

Assistance Team

Table-3.5 Activity and Actors of

Partnership Funds Component


1. Activity Proposal


Executing Committee

osal

Committee

• e

oposal is

Community

Preparation of

Executor: FPDTA


• Activity Prop

Pokmas, or

Executing

Manual on th

Formulation of

Activity Pr

prepared by Central

3 ‐ 34

Annex 7

Development

Technical

Assistance Team

• For Activity

scale Proposal at the

of sub Water

Catchment Area is

prepared by

Executing

Committee

2.

Meeting on the

Determination of

Priorities of

Activity Proposal

Executor: FPDTA


Participants: Pokmas, the

residents, Community

Cadres, Executing

Committee

ies of

osal

• the

Priority of Activity

Proposal is

formulated by

Central Community

Development

Technical

Assistance Team

Manual on

Determination of

• List of priorit

Activity Prop

3. Verification of

al

Executor: Provincial

Community ment

e

• Formulation of

Activity

ed the

• Manual on the

Verification of

al is

tral

Activity Propos

Develop

Technical Assistanc

Team

Proposal is

considered as

having appli

Activity Propos

prepared by Cen

3 ‐ 35

Annex 7

principles a

values of DO

nd

ISP-

CP

• Ensuring the

aspects of

continuity of the

activities, institution

and financing.

m

Community

Development

Technical

Assistance Tea

4.

Submission of

Disbursement of

Partnership Funds

Executor: FPDTA


• Request for

disbursement of

Partnership Funds

to PIU, attached

with -Activity

Proposal, the result

of the Verification

of Activity

Proposal,

5.

t of

into the Account of

FPDTA

cilitator, PIU

•

available in the

account of FPDTA

Disbursemen

Partnership Funds Executor: KPKN

facilitator: fa

Partnership Funds

6. Disbursement of

ds

Executor: FPDTA

nd

• Partnership Funds

mas

Partnership Fun Participants: Pokmas a received by Pok

3 ‐ 36

Annex 7

to Pokmas or

Executing

Committee

nd

unity Cadres

Executing Committee

facilitator: facilitator a

Comm

and Executing

Committee

7. Utilization of

Partnership Funds

Responsible party:

FPDTA

Executor: Pokmas and

Executing Committee


Community Cadres

•

l be utilized for

accountable manner

Partnership Funds

shal

Activity Proposal in

a transparent and

3 ‐ 37

Annex 7

3.4 formance Indicator s

le 3 ce Indic o

Per

Tab .6 Performan at rs of cp-WM

End of Year -

N

o Component

1 2

3

Source

of 4

Inform

ation

I. COMMUNITY DEVELO PMENT

1. the holding of socialization cp-WM Ya - - - Report meeting on

2. The ntage of ses of cp-WM 25% 35% 45% 55% survey minimum perce adults aware of the purpo

3. The FG d per 200 4 - - - Report minimum amount of D “Living in Nature” hel adults

4. The minimum amount of FG r young 2 - - - Report D “Living in nature” held fo generation

5. The minimum percentage of adult females attending FGD “Living in Nature” 40% - - - Report

6. The mi um percentage of adults who understand how to “Live in Nature” 25% 35% 45% 55% survey nim

7. The establishment of Pokmas of Community Participation Water Catchment Area Ya - - - Report

8. The establishment of Forum of Water Catchment Area Conservation (FPDTA) Ya - - - Report

9. The minimum percentage of female in the membership of FPDTA 20% 25% 30% 35% Report

1

0.

The minimum percentage of adults ever attended Pokmas meetings 25% 35% 45% 55% Report

1

1.

The minimum percentage of delegates of Pokmas attending the establishment of

FPDTA 75% - - - Report

1

2.

The minimum amount of FPDTA meetings - 4 4 4 Report

1 The minimum percentage of delegates of Pokmas attending the resolution on the - 75% 80% 80% Report

3 ‐ 38

Annex 7

3 ‐ 39

3. ic in Managing Water Catchment Area Strateg Plan on Community Participation

1

4.

The minimum percentage of adults aware of the contents of the Strategic Plan on

Community Participation - 25% 35% 55% survey

1 The minimum percentage of delegates of Pokmas attending the resolution on the

Plan 75% 75% 80% 80% R t

5. Annual Actionepor

1

6.

The minimum percentage of the population who knows the contents of the Annual

Action Plan 25% 35% 45% 55% survey

II

.

PROVISION OF PARTNERSHIP FUNDS

1. Percentage of Pokmas submitting the proposal on the utilization of Partnership - 70% 70% 70%

Funds Report

2. 90% 90% 90% 90% Report The minimum percentage of Partnership Funds allocated for Community

Participation in Managing Water Catchment Area

3.

The maximum percentage of Partnership Funds allocated for the improvement of the

t 1 1 1community's access to the benefit available in the surrounding of Water Catchmen

Area

10% 0% 0% 0% Report

4. n Managing

Water Catchment Area

100 100 100The percentage of the implementation of Community Participation i30%

% % % survey

5. atchment Area

100 100 100The percentage of the availability of the community's access to the benefit available

at the Water C30%

% % % survey

Annex 7

Chapter 4. Project Management

AL STRUCTURE AND ROLE STRUCTURE

zational Structure

The project organizational structure shows the overall project handling

pattern from the head office up to the target location which will be

clarified hereunder.

The Public Works Department through the Directorate General of Water

Resources (Ditjen. SDA) shall be responsible for th

implementation of DOISP. The SDA Directorate General shall establish

a Project Management Unit (PMU), led by a chief who has some staff,

subordinate to him. The head of the PMU has obtained a full mandate

and shall be directly responsible to the Directorate General of SDA in

implementing the project tasks of DOISP, including those related to

DOISP-CP. Especially for the implementation of DOISP-CP, PMU shall

contract some individual consultants, who shall have the t s the

Community’s Development Technical Assistance Team in the level of

the Head office.

4.1.ORGANIZATION

4.1.1 Organi

e overall

ask a

3 ‐ 40

Annex 7

PMU shall coordinate with the Directorate of Rivers, lakes and Dams,

that shall have an active role in: 1) producing a climate, supporting the

effort for the increase of the Community’s participation in managing the

a institutional

mechanism that guarantees the realization of communication,

the government with the aspiration

and need of the community.

(PIU)that shall act on behalf of PMU subject to the

authority awarded by PMU, to arrange the DOISP management in a

province, including also that which is related to the DOISP-CP. In

n, a Community’s Participation Working Group will be

established consisting of the three elements of those technical agencies.

dams and the area for water catchment; ii) making

coordination and integrity between

For the implementation of the location, PMU shall establish a Project

Implementation Unit

particularly for the implementation of DOISP-CP, PIU shall contract

some individual consultants, who will have their tasks as the

Community’s Development Technical Assistance Team in the Province

level.

PIU will coordinate with the River Area Head Office (BBWS) or Water

Resources Development Office (BWS) and Water Resources

Development Office (BPSDA) as the technical Agency Office (BPSDA)

that manages the dams or the area for water catchment. At the level of

the target locatio

3 ‐ 41

Annex 7

The task of this Working Group is to become the representative of the

government in FKW or FPDTA.

Every dam or sub-area for the water catchment will be assisted by a

Facilitator. The number of facilitators will be adjusted to the width of the

target location. These facili

tators will be under contract and will be

directly accountable to PIU.

Picture 4.1 An Organizational Structure Diagram of DOISP-CP.

4.1.2 Role Structuring

a)

Beside, each Community’s settlement group must choose 2 volunteers,

who later will be trained by the Facilitator to become the Community’s

Cadres. The Community’s cadres will have the role as development

agent and shall cooperate with the people as volunteers in order to

increase the Community’s participation in managing the basis or sub-

area for water catchment.

Project Management Unit (PMU)

3 ‐ 42

Annex 7

f the DOISP (included herein DOISP-

CP) and shall have his address at head office. PMU shall be the person

who implements and simultaneously represents the Public Works

mentation to protect the implementation

quality of DOISP-CP, PMU shall give the task to the Community’s

Development Technical Assistance Team to act for and behalf of PMU at

To be responsible in general towards the smoothness of the technical

implementation and administration of DOISP-CP to the Department

To decide the number and names of the dams being the target of

DOISP-CP.

To arrange the DOISP-CP manual.

To arrange the Terms of Reference (TOR) – for the Community’s

eam in the level of Head office.

To direct, monitor and evaluate the performance of the Community’s

Development Technical Assistance Team at the level of Head office.

The Head of the PMU shall have the role as the general responsible

person for the implementation o

Department as the agency of the general foreman.

For the accountable imple

the location – pursuant to the limited authority given-. The position, role

and function of PMU shall be arranged through a decree from the

Minister of Public Works. The accountability and the main tasks of the

PMU related to DOISP-CP are:

of Public Works.

Development Technical Assistance T

3 ‐ 43

Annex 7

To implement nationally the socialization of the DOISP-CP.

To prepare and be responsible towards dealing with the conflict

resolution.

To process the procurement and payment of the Community’s

Development Technical Assistance Team at the level of Head office.

office level.

level shall implement the tasks and authority given by PMU in the

implementation of DOISP-CP, especially in controlling the project

directly accountable to PMU.

Therefore, the Community’s Development Technical Assistance Team

shall coordinate, supervise and control the tasks implemented by the

overall Community’s Development Technical Assistance Team

implem of its performance is guaranteed.

Generally the task of the Community’s Development Technical

Assist level shall comprise planning,

coordination, monitoring and supervision (control), reporting and to deal

with several difficulties arising in the implementation of DOISP-CP.

This Technical Assi

b) The Community Development Technical Assistance Team at Head

The Community Development Technical Assistance Team at Head office

implementation quality, and shall be

ented so that the quality

ance Team at Head Office

stance Team has also the task to build and develop

3 ‐ 44

Annex 7

the system of dealing with difficulties and conflicts regularly, starting

The

office level shall also be responsible to compose the manuals for the

implementation of activities and training modules for the Facilitators, the

Community Cadres, and FKW/FPDTA.

c) Project Implementation Unit (PIU)

and function of PIU shall be arranged through a decision of PMU. The

accountability and main tasks of PIU related to DOISP-CP are:

from the Community’s level up to the level of PMU.

Community Development Technical Assistance Team on the Head

The Head of the PIU shall have the role of the general responsible person

for the implementation of DOISP-CP, including herein the DOISP-CP

at province level. In order to protect the quality of the DOISP-CP

implementation, PIU appointed the Community’s Development

Technical Assistance Team at Province level to act for and on behalf of

PIU at the location – pursuant to the authority given. The position, role

To be generally responsible towards the smoothness of the technical

implementation and administration of DOISP-CP in his province to

PMU.

3 ‐ 45

Annex 7

To prepare the Terms of Reference of the Community Development

Technical Assistance Team at the Province level.

To direct, monitor and evaluate the performance of the Community’s

Development Technical Assistance Team at the level of the

m at the Province level and

the existing Facilitators under its command.

. The Community Development Technical Assistance Team at

Province level.

task this

Technical Assistance Team shall be directly accountable and shall be

subordinated to PIU.

Esp the Community Development Technical Assistance Team of

the Province level shall have the role of:

Province.

To implement socialization of DOIS-CP at the Province level.

To do the procurement and payment process of the Community

Development Technical Assistance Tea

d

The task of the Community Development Technical Assistance Team of

the Province level in general is to endeavor the participation of DOISP-

CP agents in the region. Therefore this Technical Assistance Team shall

make preparations for the planning, implementation, coordination,

monitoring, supervision and reporting the overall activities of DOISP-CP

in the province, which shall become his task. In executing its

ecially

3 ‐ 46

Annex 7

Securing the realization of the exact community participation

Securing vision, mission, purpose, strategy, target and approach that

DOISP-CP can be consistently implemented pursuant to the

guidelines of DOISP-CP.

Coordinating with the regional government and regency and

mayoralty in the framework of completing several existing

difficulties and conflicts.

d) Facilitator

The main role of the Facilitator is to implement the role of PIU at the

level of the community/the people:

unity to formulate and implement DOIS-CP

activities.

tasks of PIU are as follows:

through precise management and facilitation to Facilitators.

As project general foreman, including to write down every project

development and to report it to PIU, and

As community strategy including socializing the community on

participation in managing the dams and water catchment areas, to

interfere in the framework of urging community participation and

assisting the comm

Details of the main task of Facilitators as project general foremen and

3 ‐ 47

Annex 7

• To implement DOISP-CP pursuant to the provisions decided in the

General Guidelines, Technical Guidelines and Facilitator Guidelines.

•

, and

While the main tasks of the Facilitator as agent to urge the community to

participate are as follows:

ks, among others:

• To spread information on DOISP-CP as a community participation

increase program in managing dams and water catchment to all

• ples and values which were

•

problems need to be dealt with in an organized and

planned manner.

• To protect the project against the wrong target and wrong handling.

To note down the progress of the project on the location pursuant to

the format arranged by PIU

• To report the data of the progress of DOISP-CP to PIU.

a) To implement socialization tas

people where they operate.

To spread vision, mission, purpose, princi

struggled for by DOISP-CP.

Together with the Community Cadres, through a series of FGD, to

develop the community’s critical awareness in order being able to

identify natural and mental environment problems around them,

which said

3 ‐ 48

Annex 7

• To motivate the role and involvement of the community to conduct

social control towards the implementation of the DOISP-CP in their

regions.

• To facilitate development and social capital development as a

condition needed for the endeavor to manage environment.

b)

articipate in the community. Including herein

the basic training, on the job training, and intensive assistance.

To strengthen and develop the capacity of Working Groups as

ent of groups,

communication umbrella

c) To implement and urging community participation activities, among

others:

To implement training activities, which among others are:

To strengthen and develop the capacity of the Community Cadres as

agents for urging to p

dynamic groups. Including herein the establishm

knowing opportunities, composing proposals’ activities, and easy

financial management. Including among them: on the job training,

and intensive assistance.

To strengthen and develop FKW and FPDTA capacities as a

community participation stakeholder

organization in managing dams or water catchment areas. Among

them basic training, on the job training, and intensive assistance.

3 ‐ 49

Annex 7

Community organization together with Community Cadres, to

facilitate the existing community organization evaluation process or

establish a new community organization as Working Group.

anaging

Dams or Catchment Areas.

Together with the Community Cadres to facilitate Working Groups

to identify business opportunities, the need to establish means and

infrastructure, and preparing them in order that they are able to serve

atic

stablishing networking among all agents.

Facilitator Qualification Requirements of DOISP-CP.

To be willing to live in a strategic location to achieve assistance

have commitment and a high taking sides towards the poor

community.

To facilitate the composition of Strategic Planning and the

Community Participation Annual Action Planning in m

them in a proper proposal form.

To introduce several simple innovations in organization

management, including transparency, the process of democr

decision-making, and administration.

To facilitate and guide intensively the community in order that they

are able to follow the provisions in the DOISP-CP guidelines in the

overall implementation activities.

Lawyers, mediation and e

location being his accountability during the period of his contract.

To

3 ‐ 50

Annex 7

To have commitment and care towards the natural conservation.

To possess a concept and proper care in respect of Community Based

Development.

rs, and those having preference are those

4.2.FUNDING

4.2.1

Fun

1. Loans from the World Bank, through

2. State Budget or Revenues and Expenditures (APBN)

4.2.2

above sources shall be used to finance following

by

ed by loan resources from the World Bank.

To possess proper community facilitation skill.

To have as minimal education the strata -1, with a working

experience of minimal 3 yea

having experience in community urge participation.

Fund Resources

d Resources for DOIS-CP originates from:

Fund Allocation

Funds from

components:

a) Community Development

Community development costs that are assistance costs

Facilitator, the implementation of workshops and training, which

shall be fund

3 ‐ 51

Annex 7

b) Preparation of Partnership Funding.

g shall originate from loans from the World

Bank, while the Government of Indonesia shall allocate funds for

the Operational Costs for managing the distribution of Partnership

Funding.

c) Support for the Implementation or Technical Assistance.

Support for the implementation or technical assistance will be fully

financed by loan funding sources from the World Bank, especially

s, non personnel direct costs,

nage this fund,

the Central Government shall allocate funds for technical

assistance operational costs, which extent shall be decided

according to requirement.

4.2.3. Managing Project Financing

a) Channeling of the Funds

PIU shall be accountable in the administration process of releasing

the Partner Funds. PIU will submit the Letter for the requirement

Partnership Fundin

allocated for personnel direct cost

socialization activities, and training. In order to ma

3 ‐ 52

Annex 7

of payment (SPP) to the local KPKN office, that will further

publish the Letter with the Instruction to Pay (SPM) to the local

Bank Indonesia. Bank Indonesia will distribute the Partner Funds

to each FKW or FPDTA account in the bank appointed by each

Forum. Drawing 4.2 shows the way and the distribution

mechanism of the Partner Funds.

FKW / FPDTA

PROJECT IMPLEMENTATION UNIT

KPKN Branch Office Local State bank

TECHNICAL ASSISTANCE TEAM FOR COMMUNITY

DEVELOPMENT

Request f

n to pay

Application for Disbursement of Funds

sal of

2.

3.

Reporting on Use of Funds6.

orting.

At each FKW and FPDTA every cost shall be noted down and

reported by using a simple accounting system.

Verification & Approval of PropoActivities1.

or Payment

Instructio

Use of Funds

4.

5.

b) Accounting and Rep

3 ‐ 53

Annex 7

4.3 MONITORIN

• The Community Development Technical Assistance Team at the head office

level shall be accountable towards the planning and monitoring implementation

of DOISP-CP. The monitoring shall be conducted to analyze and correct the

project management. The result of the monitoring shall be used as the basis of

project, the mid term review and final review and in-depth research towards the

impor is

• While the overall project impact evaluation shall be focused on the cp-RM and

cp-WM bas

Table 3.6. The result of thi

Bank.

G AND EVALUATION

the decision making of the management.

• The Community Development Technical Assistance Team at the Head office

level shall also be accountable for developing and managing the Management

Information System (SIM) of DOISP-CP, as one of the strategic tools to

monitor the project development from the community level up to the provincial

management and central government. The result of SIM – after the monthly

evaluation and verification shall be reported to PMU copied to the World Bank.

• The evaluation of the impact of DOISP-CP will be conducted by a special

consultant, who further will be called the Evaluation Consultant. This

consultant must not be influenced by the DOISP-CP project management so

that he can conduct the evaluation as objective as possible. The DOISP-CP

evaluation consultant will conduct the baseline survey at the beginning of the

tant sues of DOISP – CP.

ed on the performance indicators as was explained on Table 2.6 and

s evaluation will be reported to PMU and the World

3 ‐ 54

Annex 7

Chapter 5. TRANSPARENCY AND ACCOUNTABILITY

5.1. TH ETHOD OF IMPLEMENTING TRANSPARENCY AND

ACCOUNTABILITY.

E M

3 ‐ 55

Annex 7

5.1.1.Transparency

Transparency shall be applied by giving access to all parties having an

interest to know the information in respect of the concept of DOISP-CP,

policies and decision-making, development activities and finance, and

other information from the agents of DOISP-CP, both at Project level, as

well as on community.

All information related to activities and finance of the DOISP-CP

assistance financial funds will be published and disseminated and

exhibited to all people and other related parties through possible

information boards, bulletins, and several media. At the level of the

community, minutes of meeting, policies, FKW or FPDTA financial

reports, the kind of activities proposed, and others must be disseminated

to the community and must be glued to information boards at strategic

places.

OISP-CP agents it is

hoped that as early as possible it can prevent violations through the

community awareness to conduct social control, to avert

ize the attitude of accountability as well as criticize the

Through consistent transparency application by D

misunderstanding, to encourage the learning process of the community,

to institutional

3 ‐ 56

Annex 7

choice of decision and activities implemented, and to develop confidence

of all parties to the implementation of DOISP-CP.

Periodically PMU and PIU shall be obliged to discriminate

DOIS-CP through various media, among others: radio,

CP to the targeted community, and as far as it can be reached.

PMU shall be obliged to develop and manage a website, which

can easily be accessed by all people having an interest to

e use of the DOISP-CP funds by FKW or FPDTA in order that it

been known by all people, both said Forums shall be obliged to

disseminate the decisions taken, the strategic Planning and Annual

a) At project organizer level of.

television, and newspapers, on whatever is prepared by DOIS-

obtain the newest drawing from the development of DOISC-

CP.

b) At Community level

In order to guard against transparency of managing activities and

th

Planning of the Community’s Participation, the organizational

development and the activities of the Forums, the financial position

report, proposals from the activities of the Working Group agreed

upon, The Foremen committee and his members, and other

information by method of:

3 ‐ 57

Annex 7

Sticking on information boards at strategic places, minimal at

each settlement group.

groups and the population.

Dissemination through letters to the Working Group.

Making and disseminating leaflets or bulletins.

5.1.2 Accounta

The p c

shall be o

accountab

parties interested to conduct an audit, to ask and or accuse the

accountability of those decision makers, both at project level as well as

For the level of community, the accountability shall be conducted

throug

a) Public Consultancy

ning and the Annual Community

Routine meetings with Working

bility

ro ess of decision-making and managing activities and finance

bliged to be conducted based on accounting principles. The

ility in DOISP-CP shall be applied by giving access to all

of the community.

h:

In the case of FKW or FPDTA decision-making related to the

people’s interest (for example: community’s interaction map with

dams, the Strategic Plan

3 ‐ 58

Annex 7

Participation Planning, the release of the Partner Funds), the

decision decided must be consulted with the community through

dissemination and gluing said decision at strategic places, prior to

become valid.

Within a ementation of

public consultancy, the Forum shall convene a meeting of decision

to decide as a binding decision or complemented before

DTA shall be obliged to hold quarterly coordination

meetings by inviting all representatives of the Working Groups,

agency and community institution to forward the development of

activities, to discuss difficulties and to submit development

activities and to plan the following quarterly activities.

5.2. THE MECHANISM TO APPLY SANCTIONS.

5.2.1 Sanct

maximum of two weeks after the impl

evaluation

based on inputs of the community.

b) Quarterly Coordination Meetings of FKW or FPDTA.

FKW and FP

ions

3 ‐ 59

Annex 7

Sanct

and/o

decisi

of Association of FKW or FPDTA.

5.2.2. Dec

The a

the up

those who are wrong and to grow the feeling of accountability from

several parties in the implementation of DOISP-CP.

) Decision and application of sanctions by the Government.

The Government can decide and apply sanctions in the form of:

ent levels,

consultants, members of FKW or FPDTA, and the members of

the community, pursuant to the prevailing legislation

regulations, towards the effort and/or misuse of funds,

corruption actions, misuse of authority for private interest as

rtain group interests.

ions shall constitute legal treatment towards violation of provisions

r decisions decided in the Guidelines of DOISP-CP as well as

ons decided by the community, as entered in the Bye Laws/Articles

isions and the application of Sanctions

pplication of sanctions shall constitute a logical consequence from

holding of accountability principles that have the purpose to punish

a

A legal sanction that may be applied to the governm

well as for ce

3 ‐ 60

Annex 7

The sanction for the cancellation/withdrawal of the Partner

Funds, that is a form of sanction by canceling/not allocating

the Partner Funds for the following year.

b) The applying of sanctions by the Community.

s ridiculing or not

appreciating the respected person, etc.

The formal decision and application of sanctions mechanism may

be conducted through discussion by the community. In the case the

ue

becoming the basis of DOISP-CP by members of FKW or FPDTA,

representing a Working Group, the community of the Working

Group members shall have the right to withdraw their

representative in the Forum and replaces him through the

community’s discussion mechanism. Through the discussion this

person may be decided to undergo a social sanction or a legal

sanction, i.e. by handing over the person having done the violation

to the authorities.

Sanctions applied by the community can be formal, meaning

constituting a decision/ the result of a discussion of the community

or having a non-formal character in the form of a sanction applied

by the community person by person, such a

community has seen the violation of principles and the val

3 ‐ 61

Annex 7

5.3 DEALING

5.3.1 The Principl

The system to deal with complaints applied by DOISP-CP basically must

l following rules:

F

co

as

Fast, accurate and to attentively note. Complaints submitted must

be dealt f

must note down attentively every complaint received, including

through the newspapers.

U

m

S

gu

WITH COMPLAINTS AND CONFLICT SETTLEMENTS.

e of dealing with complaints.

follow severa

acilities. The community must obtain facilities to submit its

mplaint, from the physical, funding as well as administration

pect.

ast and correct. The authorities dealing with the complaint

nbarred. The process of receiving and dealing of every complaint

ust be unbarred for the general public who want to know them.

ecret and Safe. The dealing of complaints must give a secret

arantee and a safe feeling for those, who report the case.

3 ‐ 62

Annex 7

5.3.

Box especially for receiving

complaints related to the implementation of DOISP-XP. Said address

must be put at every notification, poster, bulleting spread by the

agents of DOISP-XP.

Every FKW or FPDTA shall be obliged to make available a

Complaint Box at a location easily seen and accessed by the

mechanism, which is seen in the diagram hereunder.

2 Complaint Management

Every PIU shall be obliged open a PO.

Community.

Dealing with a complaint shall be conducted according a complaint

dealing

Picture 5.1 Complaint Handling Mechanism

3 ‐ 63

Annex 7

DAM /WATER CATCHMENT ARES COMMUNITY FORUM/

PROJECT IMPLEMENTATION UINT(Provincial PSDA Unit)

Facilitator

PROJECT MANAGEMENT UNIT

Can this be settled?

COMMUNITY MEMBERS

Complaint Box

PO-BOXDOISP-CP



LEGAL PROCESSNO

YES

YES

YES

NO

NO

Village Chief/ Kelurahan

3 ‐ 64

Annex 7

ATTACHMENT - 1

Table L-1 Plan for Allocation of Partnership Funds 2010


Dam LocationRiver Are

(BBWS/Ba

WS) Dame of Dam City/District. Sub-DIstrict Village

Surface of Dam (Ha)

Related BPSDA

Total Targeted Communi

ty Families

Total Partnership

Funds (Rp.)

Cimanuk - Cisanggarung 1. Setu Patok Cirebon Mundu Setu Patok 100 Cimanuk -

Cisanggarung

2. Cacaban Tegal Slawi Sirampok 790 Pemali

3. Malahayu Brebes Banjarharjo Malahayu 70 Pemali

4. Cengklik Boyolali Ngemplak Margorejo 253 Seluna

5. Gunung Rowo Pati Gembong Siti Luhur 75 Seluna

Pemali – Juana

6. Gembong Pati Gembong Gembong 110 Seluna

Serayu – Opak 7. Wadas Lintang Kebumen Wadas

Lintang Sumber

Rejo 1.320 Probolo

8. Ngancar Wonogiri Batu Warno Ngancar 34 Bengawan Solo

9. Parangjoho Wonogiri Eromoko Demesan 200 Bengawan Solo

10. Plumbon Wonogiri Eromoko Puloarjo 121 Bengawan Solo

11. Wonogiri Wonogiri Wonogiri 7.360 Bengawan Solo Bengawan Solo

12. Gondang Lamongan Sugiho Gondang 544 Bengawan Solo

Brantas 13. Selorejo Malang Ngantang Selorejo 400 Bango Gedangan

Mesuji - Sekampung 14. Batutegi Tanggamus Air Naningan Air Naningan 1.700 Seputih Sekampung

15. Batu Bulan Sumbawa Moyo Hulu Batu Bulan 640 Sumbawa

16. Batujai Lombok Praya Barat Batujai 390 Lombok

17. Pengga Lombok Praya Barat Pengga 533 Lombok Nusa Tenggar 1

18. Sumi Bima Sape Mangga 155 Bima

a

Kalimantan 3 19. Sam Samboja Wonotirto 197 Mahakam boja Kutai

Pompengan - Jenebrang 20. Kalola Wajo Maniang Pajo Kalola 1.330 Walanae Cenranae

L ‐ 65

TRANSLATION NO. HLM06AUGUST08 Page: 1�

ANNEX 11: MINUTES OF PUBLIC CONSULTATION MEETING ABOUT ESMF ON 5 AUGUST 2008

On this Tuesday, 5th August 2008, a Public Consultation Meeting about Environmental and Social Management Framework in DOISP (ESMF-DOISP) was held and attended by some related agencies and stakeholders with the following conclusions: 1. A Dam Safety Project took place from 1995 to 2002 and made achievements in:

- Institutional development by establishing a Dam Safety Unit, - Establishing a dam monitoring unit, - Establishing a dam safety regulation, - Preparing an Emergency Plan, - Preparing Database, - Installing dam behavior monitoring instruments, - And so on.

2. DOISP is planned to consist of five components: 1) Improvement in dam operation and safety, 2) Operation and Maintenance Improvement, 3) Reduction in reservoir sedimentation 4) Institutional improvement in dam safety guarantee 5) Project Management.

3. Things to be done: - Strengthening of dam management units, - Skill upgrading in dam engineering and management, - Guarantee for the safety of government & privately owned dams - Dam maintenance - Implementation of Emergency Plan, - Sedimentation reduction, - Establishment of repair and O&M budget priorities

4. Responses/suggestions and inputs from participants: - The DOISP environmental and social safeguard management framework is a

reference for the project implementer to carry out activities in the context of environmental and social safeguards,

5. There is a need for a unit assigned to manage and monitor environmental and social aspects. These tasks should be carried out by the dam management unit.

6. Draft UKL/UPL should be revised, 7. The organization structure of the executing agency in relation to implementation,

supervision and reporting in the DOISP framework should be improved or completed.

8. Rewards should be given to upstream (catchment) areas through a participatory or economically intensive mechanism. Motto: Solving problems by achieving an added value.

9. Communities should be convinced that the activities they are carrying out are useful for themselves and for their groups.

10. Inputs from this consultation should be a reference in the DOISP implementation. Semarang, 5 August 2008


QUESTIONS AND SUGGESTIONS Consultation for Environmental and Social Safeguard Management Framework

(ESMF) in the Implementation of Dam Operational Improvement and Safety Project (DOISP)

Semarang, 5 August 2008: Novotel Hotel Name: Agus Jatiwiryono Position: Dam KSD Questions: - Is it possible to make ESMF a requirement for carrying out physical activities but not a

prerequisite so that ESMF may run in parallel with the physical/remedial work? - Is there some process of research for an environmental document? Suggestions: - Because DOISP is basically postponed OM and eventually accumulated that make its

costs seem high. We suggest that the environmental and Social Management Document be part of the OM Manual.

- It is necessary to immediately establish a Dam Management Unit in each region.




Semarang, 5 August 2008: Novotel Hotel Name: Ir. Indah Sulistyowati/081325531991 Position: Head of River, Reservoir and Coastal Development and Conservation, PSDA Dinas, Central Java Province/(024) 7608201 ext. 131 Questions: - It is necessary to consider a simple reservoir operation pattern for easy operation

because the managing personnel are increasingly limited in capacity and availability. - In the case of personnel funding/pay, it is necessary to reach an agreement on which

institution will be responsible for the funding. - It is necessary to program not only O&M but also conservation in the reservoir area

although the fruits of this will be enjoyed after at least 2 or 3 years (long-term plan) - Spare parts of the instruments used should be obtained easily. Suggestions: - A kind of MOU should be made between related agencies - It is necessary to socialize the program and raise make the public’s awareness in a

continuous and integrated way to prevent any conflict of interest. - Domestic instruments should be used.



Semarang, 5 August 2008: Novotel Hotel Name: Lalu Muhammad Asgar, ST Position: Technical Controller of OPSDA I, BWSNT I, NTB Questions: 1. Is there any DOISP program related to the purification of greenbelt boundaries

particularly at the Batujai Dam, with problems of water-area border stakes removed by the community thus reducing the area of water? At the Batujai Dam, these problems arise from a Greenbelt not affected by the area of water.

2. Is there any DOISP program to safeguard catchment areas (DAS) to prevent sedimentary flow into dams, e.g. greening, etc. to minimize the entry of sediment into dams, particularly Batujai dam?

Suggestions: 1. To support the improvement of dam O&M, particularly Batujai dam, training should

be provided for dam O&M staff, such as dam O&M training or mechanical and electrical training in order to safeguard/facilitate dam O&M.

2. It is expected to prepare a DOISP program to improve the performance of dam O&M, particularly the Batujai dam, such as procurement of auxiliary and operational tools to improve the performance of dam O&M.



Semarang, 5 August 2008: Novotel Hotel Name: Joko Mulyono


Position: Eastern Section Head, Sub-Directorate of Dams Suggestions: There are often problems with licensing in preparing an environmental impact analysis (AMDAL). In our experience, the AMDAL in the Ministry of Environment may take more than 2 years. We suggest that the fund allocation should be prepared for more than one fiscal year and its amount should be able to be checked or considered.




Semarang, 5 August 2008: Novotel Hotel Name: Rochadi Masyhadi Position: Kabid. PJSA BB – Bengawan Solo Questions: Many programs are financed by many funding sources, particularly recently related to river basin management. How can we identify such programs to prevent overlap between them? Suggestions: 1. RKL & RPL should be disseminated to community leaders and the easy/clear

procedure for disseminating information should be facilitated. 2. The quality monitoring of chemical elements should be classified in 5, 10 or more

elements. Not all elements apply to all locations. 3. RKL & RPL should also be presented to bupati/mayors and Regional Houses

(district/city or provincial DPRD). 4. A dam management unit is established in the most appropriate institutions to prevent

organizational swelling for greater efficiency.




Semarang, 5 August 2008: Novotel Hotel Name: R. Boddy Pribantoro H., SP Position: Section Head, Bengawan Solo River Resources Management Center, Bojonegoro (East Java) Questions: - UKL & UPL were made just for the Gondana reservoir in the Lamongan District. In

our area, there are two more large reservoirs i.e. Pacal Reservoir in Kab. Bojonegoro and Prijetan Reservoir in Lamongan. I think these are in category 3. Therefore, I suggest that the first priority should be Pacal reservoir in Kabupaten Bojonegoro, the second should be Prijetan-Lamongan, and then the third Gondana for rehabilitation. We would like to inform you that the current sediment rate of Pacal reservoir is ± 50% and its flushing gate has been covered with sediment since 2006 so that it is feared that the sediment will clog its intake gate.

Suggestions: Particularly after completion of this dam project (in order to minimize the sedimentation/erosion rate in dams/reservoirs): - Environmental management and monitoring efforts (UKL & UPL) should be made

consistently in line with the authority and responsibility of each institution and therefore integrated treatment is necessary. It is important to make MOU on sharing of manpower, infrastructure and costs.

- In addition to raising the public’s awareness, it is also important to build the capacity of the management dinas’ human resources and infrastructure.

- There should be a synergy of programs between dam management dinases and river basin (DAS) managers.

- An integrated natural resources (SDA) management team should be established with the tasks from planning, implementation, monitoring to evaluation and with the members from all related dinases and stakeholders under a Gubernatorial Decree for routine, regular and active communication.

- Consequently, a budget for the activities should be made available routinely and regularly according to the scale of priority and centralized with each related management dinases.


MINUTES OF MEETING SESSION I PUBLIC CONSULTATION ON ESMF DOISP – Semarang, 5 August 2008

PRESENTER: SUKISWO PRIYADI MODERATOR: HARI SUSANTO OVERVIEW OF DOISP By Agus Jatiworyono (Head of Sub-Directorate of Dams)

HISTORY OF DAM SAFETY GUARANTEE IN INDONESIA 240 large dams 214 owned by Public Works Ministry [PU], Directorate General of Natural

Resources (Ditjen SDA) or Provincial Dinas a) H>15m, V>100,000 m3 b) H<15m, V>150,000 m3

Damage and flaws: - Potential collapse or safety degradation - Potential loss of benefits for the general public - Potential dangers to communities around the downstream area of dams

In 1992: Inspecting and evaluating the safety status of dams under PU In 1993: starting

a) Dam Safety Guarantee Program b) Organization: Dam Safety Commission (DSC) and Dam Safety Unit (DSU)

In 1995-2003: Dam Safety Project In 2007-2008: Bridging Program from DOISP Plan in 2009: Early Implementation of DOISP

DOISP → Dam operation and safety improvement Component 1: Dam Safety Improvement Component 2: O&M Improvement and Capacity Building Component 3: Reservoir Sedimentation Mitigation System Component 4: Institutional Improvement in Dam Safety Component 5: Project Management DOISP IMPLEMENTATION PLAN 2009-2011 Component 1 – Dam Safety Improvement 1.1 Rehabilitation, Modification and Repair of Dams

a. Category I [21 dams] (with Detailed Inspection and Survey, and Design Investigation)

b. Category II [20 dams] c. Category III [18 dams] (Location investigation, design contract preparation) d. Category IV [6 dams] (Location investigation, design contract preparation)

1.2 Dam Safety Interventions (categories 1 & 2) 1.2.1 Dam Safety and Supervision Improvement

a. Repair and improve BDSF instruments and Monitoring System b. Revise and update O&M Manual c. Flood Warning System Installation and Feasibility Study d. Hydrology Data Collection and Processing

1.2.2 Dam Break Analysis and Emergency Plan a. Preparation of DBA b. Preparation of RTD

Component 2 - O&M Improvement and Capacity Building 2.1 Dam O&M Improvement

a. O&M Budget b. Implementation of Dam Asset Management System

2.2 Dam Capacity Building Agency a. Training of DSU and Ditjen SDA staff b. Training of DMU and PDMU staff c. Career Development and Institutional Strengthening d. Legal Framework Implementation


e. Building Project Facilities for DOISP Implementation 2.3 Community Participation in Reservoir Management

a. Community Incentive Scheme Development b. Community Education Program Development c. Community Participation Program Development

Component 3 - Reservoir Sedimentation Mitigation System 3.1 Reservoir Sedimentation Survey

a. Bathometric Survey (30 dams) 3.2 Reservoir Sedimentation Mitigation Interventions

a. Review of Reservoir Operating Procedure b. Riverbank Stabilization c. Check Dam d. Terracing and Slope Protection

3.3 Reservoir Watershed Management a. Watershed Conservation Plan b. Preparation of Regulations and Guidelines c. Community Participation

Component 4 - Institutional Improvement in Dam Safety 4.1 Institutional Improvement in Dam Safety

a. Institutional Strengthening b. Repair Work Certification c. Involvement of Puslitbang and Dam Safety Panel

Component 5 – Project Management 5.1 Dam Location Support, office supplies 5.2 Provincial Project Office Support 5.3 National Office Support 5.4 Consultant

IMPLEMENTATION MANAGEMENT ORGANIZATION STRUCTURE

MPW

TA TEAM-1 PMUi i

TA TEAM-2

PIU PIU PIU

PIU

BPSDA

Kabupaten

Reservoir Community

PIU

BBWS

PIU

BWS

ESMF (Environmental and Social Management Framework in DOISP by Sukiswo Priyadi Environment ENVIRONMENTAL AND SOCIAL MANAGEMENT FRAMEWORK (ESMF) – DOISP Objective


To socialize and get DOISP-related inputs from stakeholders in meeting regulatory policies on environmental and social management to show concern about the environment and social conditions.

1. Recommend procedures and practical methodology for preparing environmental and social management documents in the DOISP implementation

2. Clarify objectives & processes of the procedures for environmental and social management and explain the policy plan and work plan

3. Make those with the authority over environmental and social management a requirement for program implementation/planning rather than burden or obstacle

4. Promote the value of public consultation as a way to process comprehensive evaluation and planning.

The environmental and social management framework contains: 1. Review of the project implementation plan 2. Screening of Environmental Management Programs 3. Screening/identification of environmental management procedures 4. Approach to Environmental Management 5. Supervision Implementation 6. Regulation & Institutional Capacity References and procedures for environmental management 1. Indonesian regulations and laws 2. World Bank recommendations and guidelines 3. Approach to environmental study financed by the World Bank 4. Approach that can be adopted to institutional strengthening in environmental management

financed by the World Bank. DOISP has identified 65 currently operating dams subject to rehabilitation/repair to ensure dam operational safety and life. The five concepts as the basis for rehabilitation are: 1. Dam operational safety improvement 2. O&M Improvement and Capacity Building 3. Reservoir sedimentation mitigation 4. Institutional Improvement in dam safety estimate 5. Project Management in DOISP I may produce the results:

a. Improving the estimated performance of neglected dams b. Reducing negative impacts related to sedimentation c. Preparing an institutional framework to reduce erosions in dam watershed d. Local government involvement program in public participation improvement e. Effective and sustainable dam safety institution f. Directorate General of Natural Resources and PUPs Dinases should ensure that dam

operational and monitoring units work in a sustainable and effective way. Project planning for remedial work CATEGORY I: Minor design of documents and ready tender administration for 21 dams CATEGORY II: Safety improvement, in-depth investigation of locations, survey and detailed design and construction 2010-2012 for 20 dams CATEGORY III: Preparation such as Category II with some modifications; location investigation, stakeholders’ involvement, detailed design, land acquisition and issue addressing for 28 dams. CATEGORY IV: Large-scale special project, dam heightening & diversification of commercial use for 6 dams. Screening A. Features as impact sources:

1. 65 dams are operational 2. Rehabilitation/remediation to be done ranges from minor to major level.

B. Identification of compliance in environmental management and project 1. Dams have environmental management documents (SEMDAL, AMDAL, UKL-UPL)

and implement management.


2. Dams have environmental management documents but do not yet implement RKL/RPL or UKL/UPL documents

3. Dams do not have environmental management documents 4. Dams carry out monitoring based on technical interests.

C. Environmental management policies referred 1. Environmental Management Law No. 23 Year 1997 2. Government Regulation on AMDAL No. 27 Year 1999 3. Regulation of the Minister of Environment No. 11 Year 2006 4. Decree of the Minister of Environment No. 12 Year 2007 5. World Bank EIA Regulations


Recommended Procedures for Environmental Management under DOISP Project No. Type and Size of Activity Holding Environmental management documents Recommended Procedures for

Environmental Management 1 Very minor rehabilitation or beyond

environmental regulation No. 11/2006 Environmental documents available and implemented SOP for rehabilitation

2 Minor rehabilitation related to Environmental Minister Regulation No. 11/2006

Environmental documents available and implemented UKL/UPL


Management documents not implemented DPPL


Not available DPPL

5 Major-category rehabilitation based on Environmental Minister Regulation No. 11/2006

Documents available and implemented Revised RPL/RPL


Documents available and not implemented DPPL/AMDAL


No environmental management document available DPPL/AMDAL


Environmental Management Supervision It is necessary to note: Management of impact sources Sensitive environmental components - Physical: Erosion; Waste - Biological: Basin vegetation cover; Mangrove ecosystem degradation; Ecosystem type

change - Social: Social, economic and cultural dynamics - Public Health: Waterborne diseases

2. Related institutions 3. Public involvement Funding for preparing environmental documents The budgets for preparing environmental and social documents are estimated as follows: Year 2008: Preparation of 3 UKL-UPL x USD8,000 = USD24,000 Year 2009: Preparation of 38 UKL-UPL/DPPL x USD20,000 = USD760,000 Year 2010: Preparation of 18 UKL-UPL/DPPL x USD30,000 = USD540,000 Year 2011: Preparation of 6 AMDAL x USD50,000 = USD300,000 2008-2011: Public Consultation: 65 Dams x 100 persons x IDR 75,000

Training 20 institutions x 10 persons x 3 days x IDR 1,250,000


Regulations and institutional capacity 1. Include procedures for environmental management in the project design 2. Adjust to revised environmental management policies 3. cooperation and consultation with environmental agencies in each province/district/city 4. ESMF becomes a guideline for consultant partners. INPUTS FROM PUBLIC CONSULTATION PARTICIPANTS PHASE I ERVAN MARYONO from LP3ES • Environmental documents are just a formality. DOISP programs should include public

consultations from the beginning, rather than just a formality as attachment to environmental documents.

• The essence of this framework is to anticipate impacts → properly → involving the public (as dam supervisor) → giving information (appropriate to the public, such as RPL/UPL) → making a mechanism (Public Complaint Unit)

• Concept of public participation KETUT ARSA from BBWS Bengawan Solo Programs to be implemented: • Have a relationship with previous programs • Improve reservoir management in the field (should be synchronized with lower institutional

levels) • In the scheme presented, there was a missing link (should not remove the existing institution) SUKO RAHARDJO from Advisory Team of the Dam Safety Unit • Conform to existing regulations on environment (PP, Permen, etc) • The government should pay greater attention after this reform due to environmental

degradation • New government policies → DOISP is part of new government policies • There should be a relationship with the existing programs, particularly in capacity building • CONTINUITY SEQUENCE → SUSTAINABILITY ZAINAL from BBWS PEMALI-JUANA • Is this program included in the monitoring or only its management? • How to implement the environmental documents? In BBWS’ experience, the documents are

prepared very well, but still lack implementation. • What about the pattern? Form of the pattern? It must be appropriate to the watershed. • Problems with safeguarded areas are worthy of note. • Pattern and master plan should be different. The pattern is the framework of a master plan (that

can be developed by all regions, in community development including overall explanation of the program)

• Public participation in DOISP? • DOISP must be integrated UNS (Universitas Sebelas Maret) SOLO • The main problem of dams is sedimentation. • UNS has a software program that can simulate Land Erosions and Sediment Transportation • Before going to the field, a Trial and Error mechanism should be established to make clear the

objectives and activities carried out in the field. • UNS can help DOISP with the software for Land Erosion and Sediment Transportation

simulation. PHASE II GUNTORO • Organizational structure of DOISPO should be revised • The DOISP background in relation to environmental treatment should be more focused • Screening should take such a form as community → participation → understanding →

socialization


• The methodology of environmental documents should be socialized to the public and dam stakeholders

• Public complaint unit • Dam monitoring community AGUSTONO from UNRAM (Universitas Mataram) • In UPL, outdated data is still used • How are monitoring and control managed? MASDUKIN from BAPEDALDA NTB • Amdal and its preparation • In NTB, all dams have RTDs • What should be done after construction? Institutions involved in environmental problems? • BAPEDALDA should be strengthened to handle public complaints and empowered to correct

the government. • There are mostly no implementation and reports concerning Amdal. AGUS from BBWS PEMALI JUANA • Documents are complete but not implemented • The public mindset is subject to change • The DOISP program is not supported by strong regulations on dams. RPP? • There should be cooperation with Regional Governments in preparing Spatial Structure to

address environmental and social issues. AGUNG This program should be: • Target-Appropriate → at whom is this activity aimed? • Timely → when will this activity be implemented? • Content-Appropriate → is this appropriate to the needs? • Cost-Effective → in the field? LIES NAINGGOLAN from the World Bank • Documents should not only be a formality. • UKL/UPL? Should or not be disseminated to the public, dissemination (in a language easily

understandable to the public); existing data and declared programs are not consistent with the reality

• Framework? BAPEDALDA & DOISP • Training from DOISP for relevant institutions? • Institutional capacity (there is a need for review of existing institutions and post-construction

monitoring) • The framework requires a clear mechanism for each province with environmental and social

emphasis. • Mechanism? PMU BBWS BWS PDMU BAPEDALDA??? • Costs? SUKO RAHARDJO Why do many dams not have complete documents? ROHADI from BBWS BENGAWAN SOLO • Public consultation should be more intense • UKL/UPL Matrix? ILHAN ABLA from the World Bank • Flowchart? Budget Flowchart? • Necessary to prepare a framework for BBWS • How to implement the existing regulations in the framework? • After construction? Which institution will be responsible for UKL/UPL management?

Application of budget for O&M?


Minutes of Meeting Session II SOCIAL DEVELOPMENT IN DOISP

“Improving Reservoir Operational Performance and Safety through Public Participation”

Presenter : Ir. Tri Yuwono MT. Moderator : Drs. Suko Rahardjo From the materials presented, the following inputs, suggestions and questions are obtained: 1. Agustono Setiawan/Perguruan Tinggi Lombok NTB

- Participation around reservoirs with catchment areas - Boundaries between reservoirs and communities in the greenbelt - 2 forums are integrated between the greenbelt and catchment

2. Ketut Arsa from BPSDA Bengawan Solo - Suggestion for forward stressing, the main cause: sample catchment in Keduang,

Wonogiri - Factor in low participation: low value of reservoirs to the public concerning

solutions - Opportunities for the public to participate in dam OM should be limited in order

to prevent them from being arrogant. The example is OM related to technology. - Involve the oldest public institutions that can match/work in synergy with the

DOISP program. 3. Masdukin, Bapedalda NTB

- There is a need for management costs, continuous socialization and persons that can facilitate needs.

4. LSM Persepsi - In Wonogiri, there are latent social conditions: 7 months of drought, 5 months of

rain. During a drought, the public have to buy water at Rp 110,000 per 5 cubic meters.

- 5% of DAU should be for the public - There should be communication between upstream and downstream communities

for mutual understanding between them. - Economic dimensions: Are there any processes to encourage the public to be

productive economically? - Fund mobilization should be related to environmental services; in terms of school

season, social funds and pre-harvest time. - Upon establishment of groups, do not leave them alone. Set up networks to make

communities self-reliant. 5. Erfan Maryono

- The public should be protected against any risks of reservoirs - Public participation should take into account poverty or land ownership in order

to avoid the perception that advantage were taken of the public to conserve the environment.

- There should be some economic incentives; - Socioeconomic solution: the public should have a chance to improve themselves

thus allowing them more easily to conserve the environment → incentive scheme 6. TRI BAYU AJI, SDW

- Sermo, Dawuhan, DSP successful: cacao harvest - Assistance

Conclusions from responses, inputs, suggestions and questions are as follows:


- Delineation of greenbelt and catchment areas is situational if the community in the greenbelt area and the community in the catchment area can be separated or integrated.

- It is worth noting that when the public are to be involved we should ask ourselves “What is our right to involve the public?”

- In any circumstances, the public must be involved in seeing costs and benefits. Benefits: with the existence of reservoirs, the water level in their wells will go up. They already know but do not want or they want but do not have ability (no money) → training.

- External factors: supported by regulations, appreciation from others. - Existing institutions serve as a vehicle for activities. - Before commencement of activities, the community should be trained to see their

potential → - Economic incentives: slope rehabilitation, check dam, the community can be involved

in these activities - Solve problems without problem - Sincere participation - Convince the public to solve their problems on their own. - GNKPA; DOISP-related moral movement.