INTEGRATED SAFEGUARDS DATASHEET APPRAISAL STAGE I. Basic Information Date prepared/updated: 03/27/2013 Report No.: AC6863 1. Basic Project Data Original Project ID: P085375 Original Project Name: Third Water Supply and Sanitation for Low Income Communities Project Country: Indonesia Project ID: P129486 Project Name: Additional Financing to the Third Water Supply and Sanitation for Low- Income Communities Project (PAMSIMAS) Task Team Leader: George Soraya Estimated Appraisal Date: November 26, Estimated Board Date: May 2, 2013 2012 Managing Unit: EASIS Lending Instrument: Specific Investment Loan Sector: Water supply (40%);Sanitation (30%);Other social services (10%);Sub-national government administration (10%);Central government administration (10%) Theme: Rural services and infrastructure (50%);Other human development (25%);Other social protection and risk management (15%);Participation and civic engagement (10%) IBRD Amount (US$m.): 99.9 IDA Amount (US$m.): 0 GEF Amount (US$m.): 0 PCF Amount (US$m.): 0 Other financing amounts by source: Borrower 114.13 AUSTRALIA: Australian Agency for International Development44.00 158.13 Environmental Category: B - Partial Assessment Simplified Processing Simple [] Repeater [X] Is this project processed under OP 8.50 (Emergency Recovery) Yes [ ] No [X] or OP 8.00 (Rapid Response to Crises and Emergencies) 2. Project Objectives The project development objective of the original project, i.e., PAMSIMAS, is to increase the number of low-income rural and peri-urban populations accessing improved water and sanitation facilities and practicing improved hygiene behaviors as part of the Recipient's efforts to achieve water supply and sanitation (WSS)-MDGs, through programmatic mainstreaming and scaling-up of a nationwide community-driven approach. The wording of the project development objective for PAMSIMAS II (additional financing) will change slightly to better align with the GoI national program objectives and to increase the focus on sustained services. These minor changes were recommended to expand the scope of beneficiaries beyond poor communities to include under-served populations as well.The revised PDO is: To increase the number of under-served and low income rural and peri-urban populations accessing improved and sustained water and sanitation services and practicing improved hygiene behaviors as part of the Borrower's efforts to achieve WSS- MDGs, through programmatic mainstreaming and scaling-up of a nationwide community-driven approach. 3. Project Description The proposed additional financing (in addition to government contribution and grant) will support: • Implementation of community based water supply facilities for 5,000 villages to establish new systems or expand or optimize existing water supply systems in 5000 villages. This is expected to extend water supply coverage to 5.6 million beneficiaries; • Implementation of STBM through a district wide approach in participating districts including the water supply target villages. This expected to provide sustainable access to improved sanitation to 4 million direct beneficiaries; • Recruitment and training of consultants for national, provincial, and district levels. • Recruitment and training of community facilitators; • Support for community empowerment and local institutional development activities • Strategic planning support for capacity building implementation. The proposed activities are grouped in five components, which are as follows: Component 1: Community Empowerment and Local Institutional Development: 1. Provision of technical advisory services and training for both governmental and non-governmental organizations and low income communities to support the preparation and implementation of Community Action Plans (CAPs), focusing on informed choice, design and costs of community and school water supply and peri-urban sanitation services, community and school hygiene behavior change activities, school sanitation facilities and post-construction management and sustainability. 2. Provision of technical advisory services and training to strengthen inter-agency cooperation at the Province- and District-level and to develop the institutional capacity of the units, teams and related personnel involved in the implementation of the Project, including development and revision of guidelines and manuals, and training materials to ensure compliance with the relevant rules and procedures. 3. Provision of training, through the recruitment of a Training and Development Service (TDS) team at the national level, to provide support to PPMUs and DPMUs, including strategic planning, preparation and quality assurance for training and capacity building services. 4. Provision of training, through the recruitment of Community Facilitation Teams, to facilitate community empowerment and institution building at the Village level. 5. Implementation of a program of activities designed to support capcity building and advocacy activities for governments and civil society to improve overall WSS delivery, encourage increase or reallocations in overall local government budgets in favor of community-driven development WSS efforts, and promote post-construction innovations to enhance the sustainability of WSS services. Component 2: Improving Hygiene and Sanitation Behavior and Services: 1. Provision of technical advisory services and training to support implementation of a phased program of community behavior change, consisting of the promotion of the community-led total sanitation approach to safe excreta management, hand-washing and other locally relevant environmental sanitation practices, including water storing and handling, food hygiene, solid waste and wastewater management, and water quality surveillance. 2. Provision of technical advisory services and training, and carrying out of studies, to support a sanitation and hygiene marketing program designed to generate consumer demand for improved sanitation, facilitate the ability of local markets to respond to this demand, and promote improved hygiene behavior. 3. Provision of technical advisory services and training to support school-based hygiene promotion training and facilitation, and facilitate workshops designed to incorporate and integrate school-based hygiene promotion programs into routine curricula and health education programs. 4. Provision of technical advisory services and training to strengthen the capacity of the units responsible for environmental health and hygiene promotion in Participating Provinces and Participating Districts to monitor progress in meeting their WSS-MDG Targets, assess performance of their sanitation and hygiene programs and evaluate their impact on hygiene behavior. Component 3: Water Supply and Public Sanitation Infrastructure: 1. Provision of technical advisory services and training to support: (a) water supply systems for new villages; (b) the scaling up and expansion of existing village water supply systems; and (c) optimization of existing underperforming village water supply systems, through the design, construction and commissioning and operation of water supply infrastructure at the community-level, based on a menu of technical options, including: rapid technical assessments and community WSS situation analysis to determine water demand and system options; informed water system technology choice; technical surveys and development of the detailed engineering designs; construction, supervision and quality control; operations, maintenance and repair training. 2. Provision of grants to support activities under CAPs. Component 4: District and Village Incentives (DVI): 1. Provision of DVI Grants to Participating Districts that meet or exceed predetermined project performance criteria based on the Participating District's achievement of WSS coverage, contribution to CAP Grants, and management information system performance, to support activities under CAPs. 2. Provision of DVI Grants to Participating Villages that meet or exceed predetermined project performance criteria based on the Participating Village's achievement of component specific objectives of hygiene, community mobilization and contribution, and WSS coverage to support complementary activities in view of the scaling up and expansion of existing community WSS services. Component 5: Implementation Support and Project Management: 1. Provision of technical advisory services and training, through the recruitment of Central Management Advisory Consultants (CMAC), to provide support, for the benefit of CPMU, in terms of overall Project management, monitoring of implementation and outcomes, expansion of the national WSS program, and technical and financial reporting, as well as in the fields of sustainable WSS, hygiene promotion, capacity building, institutional strengthening, social and environmental safeguards and community empowerment. 2. Provision of technical advisory services and training, through the recruitment of Regional Oversight Management Services (ROMS) teams, to provide support, for the benefit of PPMUs and DPMUs, in terms of day-to-day Project management, technical matters, implementation of community-driven processes, institutional capacity building, social inclusion and environmental safeguards, monitoring of implementation and sustainability of outcomes, and technical and financial reporting at the Province-, District- and Village-level. 3. Provision of technical advisory services and training, through the recruitment of independent Project evaluation consultants, to evaluate Project performance, having regard to the performance indicators 4. Provision of technical advisory services and training to support preparations for a sector-wide program for the WSS sector. 4. Project Location and salient physical characteristics relevant to the safeguard analysis The additional financing will cover about 5,000 new villages in 219 districts, with the provision of further geographic expansion in 32 provinces (DKI Jakarta is not part of PAMSIMAS II). As is in the ongoing PAMSIMAS project, a majority of the villages covered by the PAMSIMAS II project will be rural areas where household density in settlement areas is relatively low compared to that in urban areas. The PAMSIMAS II target groups are poor households and areas that do not have or have a very limited access to water, or have non-continuous access to water throughout the year, especially during the dry season. As is the case with PAMSIMAS, it is anticipated that acceptable quality and quantity of water resources (surface and spring water) are generally available but are located very far from the target groups. Furthermore, in many cases, water resources are located in mountainous areas and therefore difficult to access. Water intakes with simple treatment, reservoirs, transmission and distribution pipes, pumps as well as public taps are the most common infrastructure built in PAMSIMAS. As is the case with PAMSIMAS, there is a possibility that some villages covered by the PAMSIMAS II project will have IPs communities. Initial screening in reference to the World Bank's IP Study (2010) indicates that IPs communities might presence in 125 out of 219 districts of all PAMSIMAS project, including those of PAMSIMAS II. Verification and confirmation on the presence of the IPs communities as defined in OP/BP 4.10 and their involvement in the targeted villages will have to be carried out during project implementation, as at this stage the village sites whereby PAMSIMAS components are going to be implemented have not been determined. 5. Environmental and Social Safeguards Specialists Ms Indira Dharmapatni (EASIS) Mr Virza S. Sasmitawidjaja (EASHH) 6. Safeguard Policies Triggered Yes No Environmental Assessment (OP/BP 4.01) X Natural Habitats (OP/BP 4.04) X Forests (OP/BP 4.36) X Pest Management (OP 4.09) X Physical Cultural Resources (OP/BP 4.11) X Indigenous Peoples (OP/BP 4.10) X Involuntary Resettlement (OP/BP 4.12) X Safety of Dams (OP/BP 4.37) X Projects on International Waterways (OP/BP 7.50) X Projects in Disputed Areas (OP/BP 7.60) X II. Key Safeguard Policy Issues and Their Management A. Summary of Key Safeguard Issues 1. Describe any safeguard issues and impacts associated with the proposed project. Identify and describe any potential large scale, significant and/or irreversible impacts: The PAMSIMAS II is a continuation and expansion of the ongoing PAMSIMAS with additional coverage of 5,000 villages in 219 districts with the provision of further geographic expansion in 32 provinces. It will continue to finance similar types of water supply and environmental sanitation (WSES) infrastructure, such as piped system, public tap/standpipe, public hydrant, tube well/borehole/deep well, protected dug well, reservoirs, protected spring, rainwater collection, water intake from rivers, and school sanitation through community-based approach during planning, implementation, operation and maintenance stage. The project objective will change slightly to better align with the GoI national program objectives and to increase the focus on sustained services. The implementation scheme of the PAMSIMAS II will be the same as those of the ongoing PAMSIMAS. Therefore, it is expected that potential environmental and social impacts of the PAMSIMAS II will be similar with those of PAMSIMAS. The PAMSIMAS II will continue to adopt the schemes, approaches and instruments to address negative environmental impacts and to document the process of voluntary land donation that have been implemented in the ongoing PAMSIMAS. Experiences of the PAMSIMAS suggested that negative environmental impacts is reversible, insignificant, site-specific, and can be managed locally through appropriate design at the planning stage and with better infrastructure operation and maintenance, as well as continuous trainings for the sub-projects implementers. Examples of environmental related issues that have been occurred and addressed in PAMSIMAS are first, the need to protect the water catchment area. The main water resources in PAMSIMAS are springs, natural rivers and wells. Protection of water catchment area is important to ensure availability/sustainability and good quality of sources (water intake). People might cut trees or forest trees in the water catchment areas and dump solid waste into the rivers. In these cases, communities carried out greening program and better solid waste management to protect the surrounding area of the water resources and the upstream area. The second issue relates to deep well construction. About 40% of the water resources are deep wells. In some locations, deep wells were constructed without sufficient hydrological information to ensure sustainable water availability. Some wells were built without upfront permission from local authorities and did not meet technical design requirements. These issues were addressed by better sub-projects screenings and intensive assistance by the technical facilitators and local government to obtain a more comprehensive hydrological information, as well as facilitation by technical facilitators to get permits from the local authority. Third, the issue of water resource quality. The ongoing PAMSIMAS requires that prior to the decision of determining the water resource, community has to check the water quality in the laboratory to meet the drinking water standard. The Local Health Agency facilitated the checking of the water quality through its laboratory facilities. In the longer term, the project will lead to a range of positive environmental impacts by improving access to clean water for poor communities and by providing greater awareness and facilities of better sanitation and hygiene practices. Potential negative environmental impacts associated with water supply will be minimized by carrying out a pre-screening approach combined with mid-term review, at which point adjustments may be made to the list of technical options available. The potential negative environmental impacts related to the physical construction of the sub-projects are managed properly through the provision of appropriate mitigation measures and best management practices that locally available. Experiences in PAMSIMAS revealed that most infrastructure and facilities were built on land contributed voluntarily by the beneficiaries. Some, particularly water reservoirs utilizing springs, used village land. All of the infrastructure and facilities required small- scale land plots. For example, on average, public hydrant or public tap only required land of less than 4 m2, public toilets needed 6 m2. The largest size of land was required for water reservoir (elevated or on the ground), i.e. 25 m2. Documentation on information of land donation in the sub-projects proposals needs to be continually improved, particularly information on: (i) size of contributed land, ii) detailed location (orientation map), and iii) date of the letter signed and witnessed. This issue has been addressed by giving better facilitation to the community groups by the technical facilitators to complete such information. In addition, regional consultants were also required to carry out more intensive supervision to facilitators and communities. Although PAMSIMAS covers provinces where IPs communities are living, so far there is no report on the presence of IPs in the ongoing PAMSIMAS villages. Similar to PAMSIMAS, verification and confirmation of their presence as defined in OP/BP 4.10 will be done during the PAMSIMAS II project implementation after the selection of villages that are eligible to participate is completed. The project remains category B for environmental assessment. 2. Describe any potential indirect and/or long term impacts due to anticipated future activities in the project area: N/A 3. Describe any project alternatives (if relevant) considered to help avoid or minimize adverse impacts. N/A 4. Describe measures taken by the borrower to address safeguard policy issues. Provide an assessment of borrower capacity to plan and implement the measures described. Given the same nature of sub-projects, the PAMSIMAS II project will adopt the ongoing PAMSIMAS approach in environmental and social safeguards management. The PAMSIMAS II project will continue in adopting the Social and Environmental Management Framework of PAMSIMAS (consist of environmental management and to address Vulnerable and Indigenous Peoples), as well as the project implementation manual and technical guidelines for infrastructure. The manual and technical guidelines cover procedures and forms for environmental screening and mitigation measures, as well as documentation for voluntary land donation. In addition, the PAMSIMAS project will use the "format book" containing of safeguard-related formats to be filled in by the community groups and other project stakeholders. Facilitators of PAMSIMAS will continue to guide, facilitate and oversee the screening process, consultation process for land donation, and documentation at the village level for the PAMSIMAS II project. The project management consultant at the kabupaten (district) and regional levels carries out regular and backstopping supervision to the communities. The project implementation manual and technical guidelines for infrastructure activities of the PAMSIMAS will be continuously updated to reflect lessons learned from the implementation of safeguards. The PAMSIMAS II project will continue to provide special arrangement for facilitators whose responsibilities are located in remote villages, to be able to provide better facilitation and supervision to the communities. For example, the transport cost and operational cost is higher than others in normal area. The PAMSIMAS II project will continuously improve the current documentation (recording and reporting from the sub-project to project level) of the process and results of environmental issues, measures to manage the impacts (if any) and of land donation. Trainings have been given and will be regularly given to the project management consultants, facilitators, and community organizations (VIT). To date, there have been no reports of complaints from communities with respect to environmental and land issues under PAMSIMAS. The Borrower has good capacity to plan and implement the measures for environmental management and for addressing social impacts, including land donation. The project stakeholders and community groups followed the project implementation manual and technical guidelines for infrastructure activities in implementing the environmental and social safeguards, but in the PAMSIMAS II project, monitoring and supervision from the facilitators and consultants will have to be strengthened. The CPMU of the lead Executing Agency (Ministry of Public Works) has a stronger capacity than other line Ministries involved in PAMSIMAS (Ministry of Health and Ministry of Home affairs) in implementing environmental and social safeguards. CPMU has a five-year experience in implementing PAMSIMAS, including in implementing environmental and social safeguards. It has been assisted by a National Consultant Team (CMAC) and District Consultant Team (DMAC) which has environmental and social development experts. The CPMU will use the CMAC with these experts in implementing the PAMSIMAS project. The PAMSIMAS II project will continue in strengthening the capacity of PAMSIMAS' project management staff, consultants, facilitators, and communities in environmental and social safeguards. Trainings on safeguards have been given to communities, consultants, facilitators, and government officers. The CPMU with the assistance of the national consultant / CMAC carry out regular supervision to the field. Every 1-2 month period, the national consultants pick a 3% sample of villages to be supervised. Supervisions include environmental and social safeguard aspects. The local Health Agency will continue to conduct laboratory based water quality test for every PAMSIMAS II project villages, as has been the case for the ongoing PAMSIMAS. 5. Identify the key stakeholders and describe the mechanisms for consultation and disclosure on safeguard policies, with an emphasis on potentially affected people. The main key stakeholders are poor and under-served local communities lacking access to sustainable water supply and with limited facilities and awareness of associated sanitation and hygiene practices. Participatory consultation is taking place during the formation of the community organization (Village Implementation Teams), O&M Body (Village Water and Sanitation Board Management), preparation of the sub-project proposals and implementation as well as in the operation and maintenance of sub- projects. The roles of the facilitators and communities are important in this consultation process. Environmental screening and mitigation measures are identified and agreed among the beneficiaries during the preparation of the sub-project proposals. Similarly, the need and mechanisms for obtaining land are identified and agreed among the beneficiaries through participatory consultations during the preparation of sub-project proposals. Facilitation and verification of the process and documentation included in the sub-project proposals are done by the VITs and community facilitators. As is the case in PAMSIMAS, District Governments are also important stakeholders in the PAMSIMAS II project, as recipients that help to implement the Government's policy on Community-based Water Supply and Environmental Sanitation. The District Government will adopt the PAMSIMAS approach and safeguards instruments in environmental management and land donation for villages under their financing. At district level, the technical team consisting of local agencies of Public Works, Health, Planning, and in some cases, also local agencies of Forestry, Mining, and Environmental Management play important roles in supervising and controlling environmental and social safeguards implementation in PAMSIMAS project. The verification and evaluation of technical team are requirement for villages to continue the implementation of sub project activities. This institutional arrangement will continue in the PAMSIMAS II project. The Social and Environmental Management Framework including the Indigenous Peoples Planning Framework and the project operation manual/technical guidelines of the PAMSIMAS have been uploaded in the project website (www.pamsimas.org). The project operation manual and technical guidelines are distributed to all project management staff, consultants, community facilitators, and the VITs. These instruments will be adopted by the PAMSIMAS II project and will be continuously updated to incorporate lessons learned and new development on the ground. B. Disclosure Requirements Date Environmental Assessment/Audit/Management Plan/Other: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 12/19/2012 Date of "in-country" disclosure 12/19/2012 Date of submission to InfoShop 12/28/2012 For category A projects, date of distributing the Executive Summary of the EA to the Executive Directors Resettlement Action Plan/Framework/Policy Process: Was the document disclosed prior to appraisal? Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop Indigenous Peoples Plan/Planning Framework: Was the document disclosed prior to appraisal? Yes Date of receipt by the Bank 12/19/2012 Date of "in-country" disclosure 12/19/2012 Date of submission to InfoShop 12/28/2012 Pest Management Plan: Was the document disclosed prior to appraisal? Date of receipt by the Bank Date of "in-country" disclosure Date of submission to InfoShop * If the project triggers the Pest Management and/or Physical Cultural Resources, the respective issues are to be addressed and disclosed as part of the Environmental Assessment/Audit/or EMP. If in-country disclosure of any of the above documents is not expected, please explain why: C. Compliance Monitoring Indicators at the Corporate Level (to be filled in when the ISDS is finalized by the project decision meeting) OP/BP/GP 4.01 - Environment Assessment Does the project require a stand-alone EA (including EMP) report? Yes If yes, then did the Regional Environment Unit or Sector Manager (SM) Yes review and approve the EA report? Are the cost and the accountabilities for the EMP incorporated in the Yes credit/loan? OP/BP 4.10 - Indigenous Peoples Has a separate Indigenous Peoples Plan/Planning Framework (as Yes appropriate) been prepared in consultation with affected Indigenous Peoples? If yes, then did the Regional unit responsible for safeguards or Sector Yes Manager review the plan? If the whole project is designed to benefit IP, has the design been reviewed N/A and approved by the Regional Social Development Unit or Sector Manager? The World Bank Policy on Disclosure of Information Have relevant safeguard policies documents been sent to the World Bank's Yes Infoshop? Have relevant documents been disclosed in-country in a public place in a Yes form and language that are understandable and accessible to project-affected groups and local NGOs? All Safeguard Policies Have satisfactory calendar, budget and clear institutional responsibilities Yes been prepared for the implementation of measures related to safeguard policies? Have costs related to safeguard policy measures been included in the project Yes cost? Does the Monitoring and Evaluation system of the project include the Yes monitoring of safeguard impacts and measures related to safeguard policies? Have satisfactory implementation arrangements been agreed with the Yes borrower and the same been adequately reflected in the project legal documents? D. Approvals Signed and submitted by: Name Date Task Team Leader: Mr George Soraya 12/19/2012 Environmental Specialist: Mr Virza S. Sasmitawidjaja 12/19/2012 Social Development Specialist Ms Indira Dharmapatni 12/19/2012 Additional Environmental and/or Social Development Specialist(s): Approved by: Sector Manager: Mr Charles M. Feinstein 03/27/2013 Comments: This approval is for the updated ISDS. It is updated after negotiation on March 22, 2013. Updates include refining the project components and overall cost.