Neighborhood Upgrading and Shelter Project (Phase 2) (RRP INO 46094)

Environmental Assessment and Review Framework

January 2014

Indonesia: Neighborhood Upgrading and Shelter

Project – Phase 2

Prepared by the Directorate General of Human Settlements, Ministry of Public Works for the
Asian Development Bank.
 CURRENCY EQUIVALENTS
(as of 15 October 2013)

Currency unit – rupiah (Rp)

Rp1.00 = $0.0000914813
$1.00 = Rp10,931.20

ABBREVIATIONS
ADB = Asian Development Bank
AMDAL = Analisis Mengenai Dampak Lingkungan (Environmental Impact
Assessment)
BKM = badan keswadayaan masyarakat (community self-help groups
CAP community action plan
CIO = community implementation organization
CDD = community-driven development
CPMU = central project management unit
DGHS = Directorate General of Human Settlements
EARF = environmental assessment and review framework
EIA = environmental impact assessment
GDP = gross domestic product
IEE = initial environmental examination
LCO = local coordinating office
MPW = Ministry of Public Works
NSD = new site development
NUAP = neighborhood upgrading action plan
NUSP = Neighborhood Upgrading and Shelter Project
CPMU = project management unit
RPKPP = rencana pengembangan kawasan prioritas permukiman = plan
for the development of priority settlement areas
RTRW = Rencana Tata Ruang dan Wilayah (spatial plan)
SPPIP = strategi pembangunan permukiman and infrastruktur perkotaan
= strategy on the development of urban settlement and
infrastructure
SPPL = Surat pernyataan pengelolaan lingkungan (statement of
readiness to manage and monitor the environment)
SPS = Safeguard Policy Statement
TOR = terms of reference
UKL = Usaha Pengelolaan Lingkungan (Environmental Management
Efforts)
UPL = Usaha Pemantauan Lingkungan (Environmental Monitoring
Efforts)
 NOTES
(i) The fiscal year (FY) of the Government of Indonesia and its agencies ends on 31
December. FY before a calendar year denotes the year in which the fiscal year
ends, e.g., FY2011 ends on 31 December 2011.

(ii) In this report, "$" refers to US dollars.

This initial environmental examination is a document of the borrower. The views expressed
herein do not necessarily represent those of ADB's Board of Directors, Management, or staff,
and may be preliminary in nature. Your attention is directed to the “terms of use” section of this
website.

In preparing any country program or strategy, financing any project, or by making any
designation of or reference to a particular territory or geographic area in this document, the
Asian Development Bank does not intend to make any judgments as to the legal or other status
of any territory or area.
 ENVIRONMENTAL ASSESSMENT AND REVIEW FRAMEWORK

A. Introduction

1. This is the environmental assessment and review framework (EARF) for the
Neighborhood Upgrading and Shelter Project - Phase 2 (NUSP Phase 2) supported by the
Asian Development Bank (ADB) and executed and implemented by the Directorate General of
Human Settlements, Ministry of Public Works (MPW). The proposed NUSP Phase 2 is
formulated to support the Government in achieving the “Cities without Slums Program”, which
was launched to address issues related to rapid urbanization. The project is also expected to
contribute towards meeting the millennium development goals (MDG), particularly targets 7C
and 7D.1 The project will be implemented in 20 towns to develop and implement inclusive pro-
poor city development plans and improve living conditions in slums, through (i) providing
resources to local governments and communities for upgrading basic infrastructure in slum
areas; (ii) strengthening planning and management capacities of local administrations for
inclusive pro-poor urban planning; (iii) establishing sustainable mechanisms to engage
communities in urban development planning processes; and (iv) launching public private
partnerships to establish affordable housing areas for poor families.2

2. The project also builds on lessons from Government's foremost poverty reduction
program - the National Program for Community Empowerment (PNPM Mandiri), which adopts a
CDD approach and provides nationwide assistance for improving essential social services and
basic infrastructure by providing block grants to poor communities.3 Addressing poverty issues
and basic infrastructure needs through CDD is considered more effective, sustainable and
equitable compared with centralized arrangements as communities become active partners in
development. The CDD approach adopted under PNPM gives communities control over
planning decisions and investment resources and focuses on community empowerment to
improve basic infrastructure and service delivery. Community participatory planning and design
of specific investments is a key feature. The community controls resources; hence funds are
transferred directly to community-managed bank accounts. The community is also managing
project implementation supported by consultants and facilitators wherever required. The CDD
process is designed to systematically mobilize the capacity of communities to prioritize their
development needs, design activities, seek technical assistance, manage resources, and
implement and sustain development actions.4 Building on lessons of the overall PNPM program
and the latest ADB financed CDD projects; the proposed new Project will follow a similar CDD
approach.

1
MDG targets for achieving significant improvement in the lives of slum dwellers (MDG target 7D) and halving the
proportion of households without sustainable access to safe drinking water and basic sanitation (MDG target 7C.
2
The project will promote PPPs whereby: (i) local governments will provide land; (ii) MPW will establish the
infrastructure (roads, water and electricity supply, sanitation facilities) financed by loan proceeds; (iii) private
developers will pre-financed the house construction; (iv) commercial banks will provide loans to poor families to
buy new houses.
3
PNPM Mandiri was launched in 2007. The RPJM for 2010-2014 includes PNPM Mandiri as a development tool to
accelerate poverty alleviation with an indicative budget allocation of $6,754 million over five years.
4
Encouraged by the success of the PNPM scheme, three recent ADB-financed basic infrastructure improvement
projects were aligned to PNPM using a project loan modality and adopting a CDD approach, including: (i) Rural
Infrastructure Support to PNPM Mandiri Project (Loan 2449-INO), approved in September 2008 for about $50.0
million equivalent; (ii) Rural Infrastructure Support to PNPM Mandiri Project II (Loan 2575-INO), approved in
November 2009 for $84.24 million; (iii) Urban Sanitation and Rural Infrastructure Support to PNPM Mandiri Project
(Loan 2768-INO), approved in August 2011 for $100 million.
3. The expected impact of the project will be improved living conditions in urban areas. The
outcome will be improved infrastructure and access to service delivery in poor urban
neighborhoods in 20 project cities. The project will have three outputs: (i) Institutional capacities
for managing pro-poor urban development are strengthened; (ii) Infrastructure in slum
neighborhoods upgraded; and (iii) New settlements for poor families established.

B. ADB’s Environmental Requirements

4. ADB requires the consideration of environmental issues in all aspects of its operations,
and the requirements for environmental assessment are described in ADB’s Safeguards Policy
Statements (SPS) 2009, which includes an environmental assessment of all project loans,
program loans, sector loans, sector development loans, loans involving financial intermediaries,
and private sector loans. The nature of the environmental assessment required for the a project
depends on the significance of its environmental impacts, which are related to the type and
location of the project, the sensitivity, scale, nature and magnitude of its potential impacts, and
the availability of cost-effective mitigation measures. Projects are screened for their expected
environmental impacts as follows:

(1) Category A: Projects could have significant adverse environmental impacts.

Impacts may affect an area larger than the sites or facilities subject to physical
works.
(2) Category B: Projects could have some adverse environmental impacts, but of
lessee degree or significance than those in category A. Impacts are site –
specific and can be readily addressed through mitigation measures.
(3) Category C: Projects are likely to have minimal or no adverse environmental
impacts.
(4) Category FI: Projects involved a credit line through a financial intermediary or an
equity investment in a financial intermediary.

5. Overall, it is expected that the infrastructure upgrading activities will create positive
impacts on the environment and improve the livelihoods at slum communities. The project is
categorized as environmental category B. Since the project will use a CDD approach by which
communities will identify project locations and specific types of infrastructure interventions only
during the first year of implementation, an Environmental Assessment and Review Framework
(EARF) has been prepared. The EARF provides guidance on environmental screening for each
type of infrastructure upgrading and includes environmental assessment checklists to review
environmental implications and ensure that there are no adverse impacts. The EARF is based
on the (i) lessons from similar CDD infrastructure projects,5 (ii) feedback from experienced
officials from the Executing Agency, provincial and district/city administrations, community
implementation organizations (BKMs), and community members; and (iii) review of the relevant
documents related to urban development projects. Under output 2, in the process to prepare
Neighborhood Upgrading Action Plans (NUAPs) that will formulate specific infrastructure
upgrading activities for each project slum neighborhood, environmental screenings will be
conducted to identify potential issues. The assessments will be conducted and guided by

5
Lessons from the following projects have been considered (i) the Neighborhood Upgrading and Shelter Sector
Project (NUSSP, Loans 2072/2073-INO), (ii) two Rural Infrastructure Support to PNPM Mandiri Projects I (RIS-
PNPM I; Loan 2449-INO, and RIS-PNPM II Loan 2575-INO), and (iii) the ongoing Urban Sanitation and Rural
Infrastructure Support to PNPM Mandiri Project (Loan 2768-INO).
safeguard specialists and trained community advisors.6 The environmental assessment
checklists will be attached to the NUAPs.

6. Up to five cities will participate under output 3 to develop new sites for settlement (NSD).
The local governments will provide the land for the new site development of at least 2 hectares.
The legal title of the land underlying the NSD sites will be placed with and in the name of the
corresponding project city, and the land will be vacant and ready for implementation. It is also
required that the respective local house of representatives (local parliament, DPRD) provides
their approval for the use of the land for the NSD.7 An IEE will be conducted once the NSD site
has been endorsed by the DPRD. The IEE report will be part of the full NSD proposals that
have to be prepared by each participating cities within the first 18 months of project
implementation. NSD proposals without the IEE report will not be endorsed by the DGHS and
ADB.

7. This environmental assessment and review framework (EARF) is prepared to guide the
environmental assessment process to screen urban infrastructure interventions, set up
institutional arrangements in relation to environmental management and monitoring, and define
environmental assessment requirements in accordance with the existing/applicable laws and
regulations of the Government and with Asian Development Bank (ADB’s) environment policy
and Environmental Assessment Guidelines.

C. Overview of Type of Infrastructure Interventions to be Assessed

Table 1: Summary of Infrastructure Interventions

Output 1:
Institutional
capacities for
There are no infrastructure interventions under output 1
managing pro-
poor urban
development
strengthened

Output 2: Roads, Bridges and • Rehabilitation or upgrade of neighborhood roads (1.5km and 3m width
Infrastructure in Pathways in average, earth to gravel or gravel to asphalt and bridges).
slum • New construction of footpath or pathways for pedestrians and
neighborhood motorcycles.
upgraded • Rehabilitation or construction of drains along the existing roads.

Water Supply and • Rehabilitation or upgrade of existing water supply systems.

Sanitation • Construction of new wells (mainly shallow wells).
• Construction of toilets with septic tanks.

River • Rehabilitation or upgrade of existing flood canals, embankment and or

Normalization/Flood its retaining walls.
Control • Construction of new flood canals/drainages.

6
National and regional consultant teams will include environmental safeguard experts, who will guide communities
and LCO to carry out the environmental screening and supervise the process. The environmental screening
process is described in Attachment 10.
7
The land will be granted or sold in a subsidized price to beneficiaries. Under the government’s regulation, the
transfer of ownership of any local government-owned asset will require approval from the local parliament. As of
the fact-finding mission, local parliament approvals have not been obtained, as they would require assurance that
the project will be implemented (i.e. in for of the signed loan agreement). Considering the formal approval from the
local parliament is not in place yet, to reduce risk of location change, the IEE will be prepared during project
implementation only.
 Solid Waste • Provision of garbage bins, collection carts, construction of transfer
stations/temporary disposal sites.

Other • Installment of street lights

Output 3: Development of • Development of 5 new housing sites with about 2 hectares for each
New settlements new housing and site.
for poor families settlements
established

D. Country’s Environmental Assessment and Review Procedures

8. Indonesia has its own environmental impact management system for development
projects, Analisa Mengenai Dampak Lingkungan (AMDAL), which describes coverage of
facilities and activities under the Government’s environmental impact assessment system and
the procedural steps and compliance requirements. The relevant environmental assessment law
and regulations include:
• Law No. 32 Year 2009 on the Environmental Protection and Management;
• Minister of Environment Regulation No.5/2012 on types of activities/projects requiring
environmental impact assessment (EIA);
• Minister of Public Works Regulation No. 10/PRT/M/2008 on types of public
infrastructure/facilities activities/projects requiring environmental management efforts
(Upaya Pengelolaan Lingkungan Hidup) and environmental monitoring efforts (Upaya
Pemantauan Lingkungan Hidup);
• Minister of Environment Regulation No.16/2012 on the guidance for the preparation of
environment documents;
• Government Regulation No. 27/2012 on Environmental Permits.

9. The Environmental Protection and Management Law categorizes activities/projects into

three types: (i) projects requiring an EIA report (Analisis Mengenai Dampak Lingkungan,
AMDAL); (ii) projects requiring Environmental Management Effort (Upaya Pengelolaan
Lingkungan, UKL) and Environmental Monitoring Effort (Upaya Pemantauan Lingkungan, UPL);
and (iii) projects that do not require ANDAL or UKL/UPL. The Law retains the requirements that
any parties whose activities are likely to have a significant impact on the environment, should
prepare and submit an environmental impact assessment (EIA) to the relevant authority for
approval or recommendation. Article 23 of the Law sets out the criteria for any activity that
requires an Analisis Mengenai Dampak Lingkungan, AMDAL/(the equivalent of ADB’s EIA). If
an activity does not qualify for the criteria set out in article 23, the initiating party will be required
to prepare an environmental management efforts (Upaya Pengelolaan Lingkungan, UKL) and
Environmental Monitoring Effort (Upaya Pemantauan Lingkungan, UPL) – similar to the ADB’s
IEE. If its activity/project does not require either the AMDAL or the UKL/UPL, the initiating party
should prepare and submit a statement of readiness to manage and monitor the environment
(Surat Pernyataan Kesanggupan Pengelolaan dan Pemantauan Lingkungan, SPPL).

10. Regulation No. 5/2012 provides detailed lists on types of investment activities (sector
specific thresholds) which require a preparation of EIA. Investment activities below the
thresholds will be assessed by responsible district governments in charge of environment to
determine an appropriate environmental category. Attachment 1 shows the environmental
screening process. The regulation No.5/2012 also provides an extensive list of screening and
sector-specific criteria for investment projects requiring EIA. The Environmental Permit
Regulation No.27/2012 requires that application for environmental permit shall be accompanied
by environmental assessment documents (AMDAL and UKL/UPL), business legal documents,
and business profile document. Under this regulation, project owners need to apply an
environmental permit to the appropriate government authority before project implementation.
The main gap between the AMDAL system and ADB’s environmental assessment requirements
is in two areas: (i) the format of AMDAL (EIA) does not include analysis of alternatives; and (ii)
public consultation is not included in the formats for AMDAL and UKL/UPL. Implementation
capacity of AMDAL system at the local level varies. The World Bank has been providing support
to AMDAL Revitalization through policy-oriented research focusing on adapting existing
environmental regulatory regimes to the changed circumstances of decentralization.

11. In accordance with the AMDAL system, none of the individual infrastructure interventions
implemented so far under the previous NUSSP, RISP (Rural Infrastructure Support Project),
RIS-PNPM (Rural Infrastructure Support to PNPM Mandiri Project) have required UKL/UPL
(equivalent to ADB’s IEE) because (i) urban infrastructure interventions are small scale; and (ii)
screening criteria exclude any infrastructure interventions located within or next to the
environmentally sensitive areas. Since the proposed project will apply the community-driven
development approach (CDD) involving small scale infrastructure, the project interventions are
not likely to require a preparation of UKL/UPL. However, in accordance with Law No. 32/2009,
SPPLs will be required.

12. Environmental safeguard measures were taken into considerations in the guidelines of
previous similar CDD projects such as the RIS PNPM, NUSSP to comply with respective
safeguard policies. The environmental screening checklists adopted under previous projects
such as RIS-PNPM will be adopted under the NUSP.

E. Anticipated Environmental Impacts and Possible Mitigation Measures

13. Overall, it is expected that the infrastructure upgrading activities will create positive
impacts on the environment and improve the livelihoods at slum communities. The
environmental impacts associated with the upgrading activities are temporary and related to the
implementation of the actual civil works.

14. Possible Environmental Problems due to Project Locations and Design. No project
sites are expected to locate in or adjacent to areas that are sensitive in topographical or
environmental terms and all are urban.

15. Possible Environmental Problems Associated with Construction Stage.

Construction activities, no matter how small and localized, can create disturbance and danger to
adjacent residents and can include interruptions to existing services and access. Silt rub off is
frequently a problem within the local construction area that will need to be carefully managed.
Based on the CDD approach, potential problems will be discussed with the community
members during the planning process of the upgrading activities. The CIOs/BKMs assisted by
the community advisors will prepare a construction schedule that will include regular monitoring
of potential problems to mitigate the impacts and keep annoyance, disturbance and danger to
the community to a minimum..

16. Possible Environmental Problems Resulting from Facility Operations. Adverse

operational impacts may include potential environmental impacts due to the operation of the
built facilities, e.g. the operation of water supply facilities (deep wells) may cause ground water
depletion; the operation of temporary solid waste disposal may cause air pollution (odor). Some
of the project's anticipated environmental impacts are given in attachment 2. More
comprehensive and sub-project specific assessments need to be conducted and the
environmental management plans developed once the specific subprojects are identified.

F. Specific Procedures to be used for Neighborhood Upgrading Proposals

1. Responsibilities and Authorities

17. The project will use the implementation mechanisms that are in place for similar CDD
projects supported by ADB and executed and implemented by the Ministry of Public Works
(MPW) through Directorate General of Human Settlements (DGHS). The EA will establish a
central project management unit (CPMU) at the national level. The CPMU will be responsible for
the management, coordination, and monitoring of project activities. Each city will establish local
coordination offices (LCO) that will facilitate project activities at the city level. Each participating
neighborhood will establish a community implementation organization (CIO) or work through an
established Badan Keswadayaan Masyarakat (BKM= community self-help group), which will
have a legal status. Each BKM/CIO will assign staff to manage the project activities including
environmental aspects. Community advisors will be assigned to assist the communities and
BKM/CIOs neighborhoods. District government units for public works, environment and health
also have responsibilities to ensure that infrastructure investments proposed by BKMs/CIOs.

18. Supported by consultant teams, CIOs/BKMs will facilitate infrastructure assessments at

the slum neighborhoods that will be carried out by the community members themselves to
identify problems and needs, evaluate the community implementation capacity, establish
efficient planning and decision-making processes, prioritize infrastructure needs and prepare
specific neighborhood upgrading action plans (NUAPs), which will document the results of the
needs assessments and specify the type and mix of interventions, including technical designs,
cost estimates and initial O&M plans. Facilities/infrastructure allowed for financing under the
project include water supply and sanitation facilities; river normalization/flood control system,
neighborhood roads, pathways, and drainage; and electricity and street-lighting facilities. In
particular, teams of community advisors will assist CIOs/BKMs in the conduct of the
assessments and preparation of NUAPs. One community advisor will assist 2 to 3 BKMs/CIOs.

19. During the infrastructure assessments and the prioritization of infrastructure needs
environmental screenings and assessments of the potential infrastructure upgrading activities
will be conducted and documented in the NUAP. The project will engage a team of safeguard
specialists, who will train community advisors and LCOs and will supervise and guide the
process of environmental screening and assessments at the slum neighborhoods.

20. To achieve a wider development impact at the city level and address infrastructure
issues beyond the boundaries of the individual slums neighborhoods, the LCOs with the help of
consultants will establish a consultation mechanism among project CIOs/BKMs and the city
administration to formulate a consolidated infrastructure upgrading investment plan based on
the individual NUAPs. In the process of preparing the overall infrastructure upgrading
investment plan, CIOs/BKMs and the city administration will jointly evaluate NUAPs from each
slum neighborhood, agree on collaboration to link upgrading activities between neighborhoods,
concur on fund allocations per neighborhood within the overall investment amount earmarked
for the respective project city, and revise individual NUAPs if necessary. The consolidated city
investment plan will be approved by all project CIOs/BKMs and the city administration and
include the revised NUAPs with agreed investments amounts for each project slum
neighborhood. All consolidated city investment plans will be reviewed and approved by the EA
and ADB. The project will ensure that the consultation process is conducted in a transparent
and fair manner. During this consultation process CIOs/BKMs and city administrations will also
assess whether individual NUAPs are aligned with the RTRW and SPPIP and agree on
adjustments if necessary. Safeguard specialists will assess the consolidated city investment
plans to ensure that environmental assessments are reflected.

21. Under output 3, the project is expected to establish models of partnerships between
central government, local administrations, developers, and financial institutions to provide
housing for poor people. The project will take a catalytic role to develop examples for replication
and promote public-private alliances whereby: (i) local governments will provide land from their
own resources and issue land titles for potential new house owners, which are required as
collaterals to receive loans from commercial banks; (ii) MPW will establish the basic
infrastructure (roads, water and electrify supply, sanitation facilities) financed by loan proceeds;
(iii) private developers will pre-finance the house construction, and coordinate connections to
the main networks of service providers (water and electricity); (iv) local commercial banks will
provide loans to poor families to buy (or construct) new houses; (v) BKM/CIOs, in close
cooperation with the local administration, will organize socialization campaigns to explain the
scheme among poor families, develop transparent criteria to select poor beneficiary families to
be eligible to apply under the new site development scheme, and facilitate the selection
process. For the new site development, IEEs will be prepared at each site after the respective
project city will have formally confirmed its readiness to participate in the NSD component and
designated the land. The IEE report will be part of the NSD proposal to be approved by the EA
and ADB.

Table 2: Main Environmental Responsibilities

Institutions Responsibilities
National Ministry of Public • Overall coordination, supervision, monitoring.
Works (EA, CPMU) • Preparation and submission of consolidated quarterly progress reports
and evaluation reports.
• Prepare guidelines for the environmental due diligence and monitoring
of environmental management plan.
District/city Public Works (LCOs) • Provide overall coordination, supervision, monitoring and approval of
village proposals including environmental checklists.
• Prepare quarter progress reports including environmental.
• Provide technical support to community advisors and BKMs/CIOs.
• Carry out environmental due diligence.
• Monitor the implementation of the environmental management plan.
Environmental • Provide guidance on environmental checklists.
• Coordinate with community advisors to conduct site visits, if necessary,
to validate the screening/assessment results,
• Review the engineering design and environmental checklists and
provide permit for construction of a deep well.
• Conduct random checking during construction and after completion to
inspect environmental procedures and impacts.
Health • Test collected water quality samples to determine if collected water
sources meet the drinking water standards.
Urban Community • Responsible for establishing project implementation units
neighborhood Implementation • Responsible for conducting environmental checklists assisted by
Organization community advisors, and safeguard specialist
(BKM/CIO) • Formulate O&M mechanisms.
• Responsible for monitoring construction activities and conducting
inspection for completed interventions.
• Disclose on the neighborhood board neighborhood proposals and
contracts including environmental checklists.
• Responsible for taking any negative feedback related site, construction
 and operation from other neighborhood members and organizing
meetings to solve problems with assistance by facilitators.
• Responsible for reporting environmental monitoring to LCOs
EA = executing agency, LCO=local coordinating office, O&M = operation and maintenance, CPMU = central project
management unit.

2. Environmental Criteria for Neighborhood Upgrading Proposal Selection

2.1. Neighborhood Upgrading Civil Works

22. The project will adopt the screening list mechanism. The list consists of the following
environmentally sensitive areas, harmful procurement and destructive activities:
(i) Avoid following sensitive areas:
• national park, forest park, wildlife reserve, protected flora area, conservation
forest, and watershed protection forest.
• national cultural preserve, traditional/religious buildings.
• marine reserves, coastline and dune systems, and mangrove and wetland
areas.
(ii) Prohibit the following procurement:
• procurement of any products containing asbestos.
• procurement of pesticides or herbicides.
(iii) Prohibit the following activities:
• mining or excavation of live coral.
• construction of a road leading to protected forests.
• production, processing, handling, storage or sale of tobacco or products containing
tobacco.
• water resources developments on rivers which flow into or out of other countries
• alterations to river courses.
• land reclamation larger than 50 ha.
• new irrigation larger than 50 ha.
• construction of water retaining or storage structures of capacity greater than
10,000 cubic meters.

23. In addition to the above list, the following additional requirements for water supply and sanitation
interventions need to be met:

(i) Potable water supply from proposed sites must be free from any contamination and
certified safe by the district health officer though the conduct of water sample analysis;
and
(ii) Leaching fields from latrines has to be located at least ten meters from any water supply
system.

2.2. New Site Development (NSD)

24. Five NSD locations are expected to be built. Each location is expected to be at least 2
hectares. In accordance with the Law 32/2009 and the related local regulations,8 an IEE will be
required as the settlement size will be more than 2 hectares. The IEE will be prepared together
with the NSD proposal of each location and will be prepared in the first 18 months of project
implementation (expected in 2015). The procedure of the IEE preparation is discussed in para.

8
Governor/mayor regulations, where the proposed NSD are located.
30. The template and procedure for the preparation of UKL/UPL will follow the local regulations
of 5 the participating cities.

3. Procedures for Environmental Assessment of Neighborhood Upgrading

Proposals

25. Environmental Safeguard Awareness. Raising awareness on environmental

safeguards will be included in overall project socialization meetings at the beginning of the
project at each project city. The overall environmental screening and assessment process and
monitoring responsibilities will be explained to CIO/BKM members by safeguard specialists. The
safeguard specialists will train LCO officers, CIO/BKM members and community advisors on
how to conduct environmental screening and assessments and establish checklists. BKM/CIO
members will inform and community members on safeguard requirements. In addition, targeted
training on environmental screening and assessment checklists will be conducted at
neighborhood meetings. The LCOs assisted by the safeguard specialists will supervise the
training and ensure that CIOs/BKMs are aware of the environmental screening process.

26. Environmental Screening and Preparation of Assessment Checklists. During the

process to formulate the NUAP, the community will assess infrastructure needs and upgrading
interventions through a series of meetings, discussions and poverty/infrastructure mapping
assisted by the community advisors. An environmental screening for each type of infrastructure
upgrading will be carried out based on the environmental assessment checklist (Attachment 3).
In close collaboration with the trained CIOs and community advisors, the safeguard specialists
will carry out environmental screening for selected infrastructure in selected neighborhoods. The
remaining environmental screening will be carried out by trained CIO members and community
advisors, and supervised by the safeguard specialists. The environmental screening process is
described in Attachment 1. The CIOs and community advisors will also seek technical inputs (if
required) from the safeguard specialists and LCOs to ensure that appropriate mitigation
measures to address potential problems are included in the NUAPs. The environmental
assessment checklists will be attached to the NUAPs. If the environmental assessment
checklists suggest that EIA or IEE are not required, the SPPL will be prepared by the BKM/CIO.
The SPPL should be included in the NUAP. A template of SPPL is in Attachment 4.

27. Review of the Assessment Checklists. Each of the environmental screening

checklists attached to the NUAPs will be presented at the consultation process to formulate the
consolidated city investment plans. LCO members with the support of safeguard specialists will
review the environmental assessment results. Once the consolidated investment plans including
te individual NUAPs and checklists are endorsed, documents will be submitted to the EA for
review and approval

28. Preparation and review of UKL/UPL (IEE). If the environmental screening at the slum
neighborhood concludes that a UKL/UPL (IEE) is required for any particular proposed
infrastructure interventions, LCO will immediately report to the project management unit
(CPMU). Safeguard specialists, with the help of the relevant LCOs, will prepare the UKL/UPL
(IEE). The UKL/UPLs (IEE) reports will be approved by the city administration and submitted to
EA and ADB for review and endorsement. The procedure for the preparation of UKL/UPL (IEE)
will follow the local regulations of the participating cities/districts. For the new site development
under output 3, IEEs will be prepared at each site after the respective project city has formally
confirmed its readiness to participate in the NSD component and designated the land. The IEE
report will be part of the NSD proposal to be approved by the EA and ADB.
29. Environmental Monitoring and Reporting. BKM/CIOs are responsible for monitoring
construction activities while city administrations are responsible for the overall supervision.
Attachment 2 shows the responsibility of BKM/CIO for environmental monitoring the
construction activities, inspecting the completed infrastructure and maintaining the improved
infrastructure. A monitoring and supervision unit will be established within each CIO/BKM.
Community advisors will assist BKM/CIOs to develop detailed day-to-day monitoring and
supervision schedules. All complaints received by the BKM/CIOs will be documented in the log
books in accordance with the Implementation Guidance: Management of Complaints and
Problems that was developed under the national program. Community advisors will assist
BLM/CIOs in solving problems through community forums or reporting to the district or
provincial governments if formal legal process is required. Environmental monitoring results
during construction will be incorporated in the quarterly project level monitoring and evaluation
(M&E) progress reports to be prepared by each LCO, consolidated by the CPMU and submitted
to ADB.

30. The CPMU with the assistance from the safeguard specialist will prepare guidelines on
the use of the screening checklist and prepare the necessary environmental documentations.
The safeguard specialists will ensure that the environmental due diligence process and
environmental documentations are in line with the guidelines. The LCOs and safeguards
specialist are also responsible to monitor the implementation of the environmental management
plans as specified in the SPPL or IEE. The due diligence reports, environment documents and
results of the monitoring will be submitted to the CPMU. With the assistance of the safeguard
specialists, the CPMU will reviews the submissions. The CPMU will summarize reports on
environmental management from LCOs and include them in the quarterly progress reports to be
submitted to ADB.

G. Public Consultation, Information Disclosure and Grievance Redress Mechanism

31. Public consultation is an integral part of the identification, selection and implementation
of neighborhood infrastructure interventions. The environmental assessment checklists will be
discussed at neighborhood meetings. In the process to formulate the consolidated city
investment plan, environmental assessment reports/checklists of each NUAP will be reviewed
again jointly among all BKMs/CIOs and the concerned LCO. Any environmental concern raised
at the meetings will be documented in the meeting minutes. All consolidated city investment
plans and NUAPs with the attached environmental assessment reports/checklists will be
publicly disclosed at the project city and project slum neighborhoods. Any community
complaints will be handled in accordance with the complaint handling guidelines that will be
prepared by the DGHS.

32. In general, environmental documents such as IEE including EMP are subject to public
disclosure, therefore these documents will be made available to public including affected people
and interested stakeholders. The following documents will also be submitted to ADB for
disclosure on ADB’s website;
(i) Final IEE, upon receipt
(ii) A new or updated IEE if required and corrective action plan if any during project
implementation
(iii) Environmental monitoring report

33. The project will establish a grievance redress mechanism, which basically consists to
three levels, i.e. at the neighborhood, city/district, and national levels. This leveling system is
expected to quickly address any complaints during project implementation. People will have the
right to file complaints and/or queries related to disturbance/environmental impacts due to the
project activities. At the neighborhood level, complaints from any affected people can be filed with
BKM/CIO members for immediate resolution whenever possible. If the problem cannot be
resolved, BKM/CIO members will assist the affected people to submit their complaints to the
project’s grievance and redress focal point at the LCO and/or to the national level (CPMU).

34. Once a complaint is received, the CIO/BKM will prepare a folder, which includes files
describing name(s) and contact details of the complainant(s). The CIO/BKM should also issue a
written acknowledgement confirming the receipt of the complaint. The acknowledgement is to be
sent to the complainant within 5 days after receipt of the complaint. The CIO/BKM will register and
categorize the complaint. CIO/BKM will call a meeting to analyze and discuss the complaint.
Community advisors’ help may be required during to formulate the remedial actions to the
complaint. Within 7 days after the receipt of the complaint, the CIO/BKM will invite the
complainant to a meeting to discuss and formulate resolutions on the issue. Minutes of meeting
should be prepared and signed by the CIO/BKM and complainant. A list of attendance of all
participants with their signature should be attached to the minutes. The minutes must be
maintained by the CIO/BKM for future reference.

35. The community advisors will summarize the complaint/grievance received by BKMs/CIOs
including the contact details of the complainant, date the complaint was received, nature of the
grievance, agreed corrective actions, and the final outcome. Results will be reported to the to the
project’s management teams (LCO and RMCs), which will further report to the CPMU. The project
will dedicate staff at district/city (LOC) and national levels (CPMU) to receive and follow-up on
complaints from affected people.

36. If grievance cannot be addressed at the CIO level, the matters will be brought to the
city/district level. LCO will facilitate a meeting with the complainant and CIO to discuss the
complaint and formulate solutions. Similar to the system at the CIO level, record of meetings
and list attendance are to be prepared and maintained. The RMC safeguard (environmental)
specialist will assist the LCO and the recording, maintaining the records, and reporting to the
CPMU.

37. If grievance cannot be resolved at the LCO level, the matters will be brought to the
national level (CPMU). The DGHS with the assistance of the NMC will prepare a guidelines and
complaint handling mechanism, which will be completed within the first 4 months after the NMC
mobilization. The mechanism will be disseminated to all project stakeholders within the 8 of the
NMC mobilization.

H. Confirmation that Environmental Assessment and Review Procedures conforms

to ADB’s Environmental Policy

38. The procedures developed under the project ensures to screen and assess potential
impacts associated with urban infrastructure interventions, set up institutional arrangements in
relation to environmental management and monitoring, and define environmental assessment
requirements. The developed procedures with the proposed consultants' inputs are adequate to
comply with the applicable laws and regulations of the Government and with ADB’s environment
policy and Environmental Assessment Guidelines.
I. Staffing Requirements and Budget

39. Overall environmental mitigation measures including drinking water sources sampling
will be included in the project design costs. The consulting services will be provided at the
national and city/district level. At the national level, a team of consultants will assist the CPMU.
A safeguards specialist will be recruited to assist the CPMU in preparing environmental
management guidelines, dissemination of the guidelines, reviewing environmental monitoring
reports, incorporating environmental monitoring in the quarterly progress reports and
environmental survey results in the M&E framework.

40. There will be three regional teams with the following coverage: (i) West, (ii) Central, and
(iii) East regions. Safeguards specialists will also be recruited at each of the three regional
teams and will be responsible for assisting city/district environment specialists to review the
environmental screening carried out by CIOs, train community advisors, monitor the
environmental management by CIOs, prepare reports on environmental monitoring and prepare
IEE for the NSD proposal. Attachment 5 provides the indicative terms of reference of the
consultants.
 Attachment 1

Indonesia’s Environmental Screening Process

Minister of Environment Regulation No. 5(2012):

Yes to Any One
New construction of toll road of lengths > 5 km
New construction of flyover or subway > 2 km
New construction or battlement outside of ROW:
• Urban or Metropolitan Roads > 5 km or Area > 5 Ha
• Medium City > 10 km or Area > 10 Ha
• Rural Area (inter-Urban) > 30 km or area > 30 Ha
• Bridge Length > 500 m

No to All

Regulation 5 (2012): Project will pass through one or more of the

following:
1. Commercial/Resident Area
2. Productive Land
3. Monumental, Traditional/Religious Buildings
4. Nature Preserve (existing or proposed)
5. Wild Life Reserve
6. Conservation Forest
No 7. Protected Flora Area
8. Fauna Conservation Area/Wildlife Refuge
9. Wetland Area
10. Watershed Protection Area
11. Coastline/River Border
12. Lake/Basin Area
13. Water Resources Area
14. Marine Reserve and Other Water Areas
Yes
15. Mangrove Area
16. National Park
17. Forest Park
18. Nature Tourist Park
19. National Culture Preserve
20. Natural Hazard
21. Steep Slope Area > 40%
22. Isolated Vulnerable People (IVP)

Yes

Significant AMDAL
Impact likely Minister of Public Works Regulation No.
10/PRT/M/2008 (UKL.UPL):
a. New construction and/or Road Betterment Yes
outside ROW anywhere:
UKL / UPL
1. Urban Metropolitan > 1 Km to < 5 Km
length or > 2ha to < 5 ha area
2. Medium City, > 3 Km to < 10 Km length
3. Inter Urban > 10 Km to < 30 Km length
b. Betterment Road in metro area:
Road > 10 Km length
c. New bridge construction or Replacement
1. Metropolitan > 20 m
2. Medium City > 60 m

No

Brief Mitigation and Monitoring Statements and/or

Standard Environmental Clauses (SECs)
 Attachment 2

Anticipated Impacts, Mitigation Measures and Monitoring

Anticipated Impacts Proposed Mitigation Measure Responsible Entity Monitorable Funding Source
Output
Location and Design
All Interventions
Environmental sensitive areas
• No subprojects are located within • Environmental screening criteria included in the Community advisors, Environmental project costs
or adjacent to the sensitive areas environmental assessment and review BKM/CIO assessment
as described in the environmental framework will eliminate any neighborhood checklists
criteria for sub-project selection infrastructure located in environmentally
described in this document. sensitive areas.

Road and Bridges

Soil erosion
• Rehabilitation could cause soil • All road cuttings and embankment fills will Community advisors, Approved design of Measures will be
erosion incorporate soil and slope stabilization BKM road works in included as
measures, vegetation on the shoulders and vulnerable areas project-financed
adequate drainage provisions; construction and civil works
major earthworks during the rainy season will
be avoided.

Construction Materials
• Excavation cause erosion and • Construction materials will be procured from Community advisors, Approved drawings Project costs
siltation in streams mined for local shops BKM, city/district and budget
gravel; damage aquatic government
• Permission from the district government
ecosystems (environment)
(environment) is required to excavate sand from
streams.

Drainage/Flood Control
Construction Materials Community advisors,
• Construction materials will be procured from
Excavation cause erosion and local shops BKM, city/district Approved drawings Project costs
siltation in streams mined for gravel; government and budget
• Permission from the district government (environment)
damage aquatic ecosystems (environment) is required to excavate sand from
streams.
Anticipated Impacts Proposed Mitigation Measure Responsible Entity Monitorable Funding Source
Output
Water Supply and Sanitation
Water source quality
• Contamination of drinking water • Screen area for flood free CIO, Community Approved Project costs
sources due to inadequate or • Conduct aquifer quality sampling prior to advisors, city/district drawings,
inappropriate location commencement of drilling government (health), Environmental
• For a deep well, obtain permit from district city/district government screening checklist,
government (environment) prior to (environment) Permit from district
commencement of drilling government
• Locate sanitation facilities with adequate
distance (at least 10 m.) to wells

New Site Development (Housing sites)

Construction Materials • Construction materials will be procured from Contractors, city/district
Excavation cause erosion and local shops government Approved drawings Project costs
siltation in streams mined for gravel; (environment) and budget
• Permission from the district government
damage aquatic ecosystems (environment) is required to excavate sand from
streams.

Street Lighting
Improper installment of electricity Consult the national electricity company (PLN) CIO, community Approved drawings
poles may create danger to residents during the design and installment of the system advisors, city/ district and budget
Request frequent control by the PLN on the lighting Project costs
government
system
During Construction (all interventions)
Dust and noise
• Temporary dust and noise hazards • regularly water down road surfaces and provide BKM/CIO, Community Quarterly project Project costs
covers to trucks and on loose materials, advisors, city/district progress reports by
• reinstate vegetative cover on all bare surfaces consultants CPMU, Reports of
upon completion, ADB review
missions
• maintain construction equipment in good
condition, and
• limit night time work.
Anticipated Impacts Proposed Mitigation Measure Responsible Entity Monitorable Funding Source
Output
Soil and Land
• Damage to agricultural land, river • compacting and protecting exposed soil, BKM/CIO, Community Quarterly project Project costs
banks, public spaces, and other • replanting areas where the vegetation has been advisors, city/district progress reports by
nearby areas by disposal of damaged, consultants CPMU, Reports of
excavated spoil, liquid and solid • disposal of excess earthfill material in ADB review
wastes. designated areas, missions
• appropriately collecting and disposing of solid
and liquid wastes.
Surface and groundwater
• Water contamination due to • obtaining approval from responsible authority for BKM/CIO, Community Quarterly project Project costs
excavation, disposal of wastes removal of any sand, gravel, and rock materials advisors, city/district progress reports by
from river beds; consultants CPMU, Reports of
• disposal of solid and liquid wastes; ADB review
missions
• provision of proper sanitation in work camps,
ensuring that no untreated effluents reach
surface or groundwater.
Health and safety
• Safety hazard to workers, locals • install barrier fencing around construction site, BKM/CIO, Community Quarterly project Project costs
and traffic • control access of unauthorized persons to site, advisors, city/district progress reports by
and consultants CPMU, Reports of
ADB review
• provide fist aide and safety training to workers missions
and drivers.

During Operation
Road
Air quality and noise
• No specific measures are proposed because N/A N/A N/A
• Increase dust, emission, and
the increase in emission, dust, and noise is not
noise due to increased volume of
expected to be significant.
traffic as a result of improved road
condition
Anticipated Impacts Proposed Mitigation Measure Responsible Entity Monitorable Funding Source
Output
Water Supply

Drinking Water contamination

• Contamination of drinking water • Conduct inspection and water quality monitoring BKM/CIOs, Department Monitoring reports Project cost.
due to in adequate maintenance • Inspect periodically to assure drainage of Health
and conditions around water point do not cause
sanitary problem

Potential depletion of ground • Locate new wells at least 100 meter from BKM/CIOs, Community Monitoring reports Project costs
water resources existing wells. advisors, LCO Project
• Limit the extraction capacity. environmental.
monitoring system
(to be developed,
part of the project
information
management
system
The increase in water supply use will Improve the sanitation/drainage network to BKM/CIOs, Community Monitoring reports Project costs
increase waste water discharge. accommodate an increased water discharge (in advisors, LCO (Project
most cities in Indonesia, the drains are also used to environmental.
collect waste water from houses). monitoring system)

Sanitation Facilities

Ground water infiltration Toilets are to be connected to septic tanks or BKM/CIOs, Community Monitoring reports Project costs
sewerage system in areas where groundwater advisors, LCO (Project
table is considered deep (more than 8 meters). environmental.
monitoring system)

Risk of flooding during rainy season Site drainage included as part of the design to BKM/CIOs, Community Monitoring reports Project costs
capture and drain any overtopping during rainy advisors, LCO (Project
season. environmental.
monitoring system)
Odor nuisance to houses (due to Training for facility operators; user fees are to be BKM/CIOs, Community Monitoring reports Project costs,
improper maintenance) collected to pay for the operation and maintenance. advisors, LCO (Project user charges
environmental.
monitoring system)
Anticipated Impacts Proposed Mitigation Measure Responsible Entity Monitorable Funding Source
Output
Drainage/Flood Control
Potential for increase in flooding Integrated planning to ensure that the capacity of BKM/CIOs, Community Monitoring reports Project costs
areas adjacent to project the bigger drainage system (primary network) is advisors, LCO (Project
neighborhoods due to additional run sufficient. environmental.
off monitoring system)

Disposal of garbage to drains may CIOs are to ensure the regular clean-up of drains. BKM/CIOs, Community Monitoring reports Project costs,
cause flooding, mosquito breeding, Operation and maintenance will be included in the advisors, LCO (Project user charges
and damage health. community action plan. environmental.
monitoring system)

Solid Waste Management

Additional local solid waste collection Additional budget and staff to be provided by the City administration, Monitoring reports Government
within the project neighborhoods will city/district to anticipate the workload increase. LCO (Project budgets, user
require the cleanliness agency (Dinas environmental. charges
Kebersihan) to dispose additional monitoring system)
solid waste, which may put further
pressure to the agency throughout
the city.
Odor from solid waste temporary Frequent collection by the dinas kebersihan. BKM/CIOs, City Monitoring reports Project costs,
disposal site Designs are to include measures to control odor administration, LCO (Project user charges
and vermin. environmental.
Ensure that drains are available for leachate monitoring system)
catchment.

Continued poor solid waste Enforcement of operation and maintenance BKM/CIOs, City Monitoring reports Project costs,
management may block drainage arrangements that have been agreed in the administration, LCO (Project user charges
channels, road and pathway and community action plan. environmental.
creating health hazard Organize weekly or monthly activities (kerja monitoring system)
bakti/gotong royong) to clean up drainage
channels.

New Site Development

Within the site locations, anticipated The detailed potential impacts and mitigation LCO, city NSD proposal, Project costs
impacts will be similar to impacts measures of NSD will be prepared in the initial administration, NSD project monitoring
under each infrastructure component environmental examination (IEE). contractors system
(roads, solid waste etc.) IEE will be part of the NSD proposal.
 Attachment 3

SCREENING CHECKLIST

NAME OF DISTRICT/SUB-DISTRICT/NEIGHBORHOOD:

__________________________________________________

WATER SUPPLY

SCREENING QUESTIONS Yes No REMARKS

A. PROJECT SITE

IS THE PROJECT AREA

DENSELY POPULATED?

HEAVY WITH DEVELOPMENT ACTIVITIES?

ADJACENT TO OR WITHIN ANY ENVIRONMENTALLY SENSITIVE AREAS?

• CULTURAL HERITAGE SITE

• PROTECTED AREA

• WETLAND

• MANGROVE

• ESTUARINE

• BUFFER ZONE OF PROTECTED AREA

• SPECIAL AREA FOR PROTECTING BIODIVERSITY

• BAY

B. POTENTIAL ENVIRONMENTAL IMPACTS

Will the Project causeT

pollution of raw water supply from upstream wastewater discharge from
communities, industries, agriculture, and soil erosion runoff?

impairment of historical/cultural monuments/areas and loss/damage to these

sites?

hazard of land subsidence caused by excessive ground water pumping?

social conflicts arising from displacement of communities ?

conflicts in abstraction of raw water for water supply with other beneficial water
uses for surface and ground waters?

unsatisfactory raw water supply (e.g. excessive pathogens or mineral

constituents)?
 SCREENING QUESTIONS Yes No REMARKS

delivery of unsafe water to distribution system?

inadequate protection of intake works or wells, leading to pollution of water

supply?

over pumping of ground water, leading to salinization and ground subsidence?

excessive algal growth in storage reservoir?

increase in production of sewage beyond capabilities of community facilities?

inadequate disposal of sludge from water treatment plants?

inadequate buffer zone around pumping and treatment plants to alleviate noise
and other possible nuisances and protect facilities?

impairments associated with transmission lines and access roads?

health hazards arising from inadequate design of facilities for receiving, storing,
and handling of chlorine and other hazardous chemicals.

health and safety hazards to workers from the management of chlorine used for
disinfection and other contaminants?

dislocation or involuntary resettlement of people

social conflicts between construction workers from other areas and community
workers?

noise and dust from construction activities?

increased road traffic due to interference of construction activities?

continuing soil erosion/silt runoff from construction operations?

delivery of unsafe water due to poor O&M treatment processes (especially mud
accumulations in filters) and inadequate chlorination due to lack of adequate
monitoring of chlorine residuals in distribution systems?

delivery of water to distribution system, which is corrosive due to inadequate

attention to feeding of corrective chemicals?

accidental leakage of chlorine gas?

excessive abstraction of water affecting downstream water users?

competing uses of water?

increased sewage flow due to increased water supply

increased volume of sullage (wastewater from cooking and washing) and

sludge from wastewater treatment plant
 SANITATION FACILITIES

SCREENING QUESTIONS Yes No REMARKS

B. PROJECT SITE

IS THE PROJECT AREA:

DENSELY POPULATED?

HEAVY WITH DEVELOPMENT ACTIVITIES?

ADJACENT TO OR WITHIN ANY ENVIRONMENTALLY

SENSITIVE AREAS?

• CULTURAL HERITAGE SITE

• PROTECTED AREA

• WETLAND

• MANGROVE

• ESTUARINE

• BUFFER ZONE OF PROTECTED AREA

• SPECIAL AREA FOR PROTECTING

BIODIVERSITY

• BAY

A. POTENTIAL ENVIRONMENTAL IMPACTS

WILL THE PROJECT CAUSET

impairment of historical/cultural monuments/areas and
loss/damage to these sites?

interference with other utilities and blocking of access to

buildings; nuisance to neighboring areas due to noise,
smell, and influx of insects, rodents, etc.?

dislocation or involuntary resettlement of people

impairment of downstream water quality due to

inadequate sewage treatment or release of untreated
sewage?

overflows and flooding of neighboring properties with raw

sewage?

environmental pollution due to inadequate sludge

disposal or industrial waste discharges illegally disposed
in sewers?

noise and vibration due to blasting and other civil works?

 SCREENING QUESTIONS Yes No REMARKS

discharge of hazardous materials into sewers, resulting
in damage to sewer system and danger to workers?

inadequate buffer zone around pumping and treatment

plants to alleviate noise and other possible nuisances,
and protect facilities?

social conflicts between construction workers from other

areas and community workers?

road blocking and temporary flooding due to land

excavation during the rainy season?

noise and dust from construction activities?

traffic disturbances due to construction material transport

and wastes?

temporary silt runoff due to construction?

hazards to public health due to overflow flooding, and

groundwater pollution due to failure of sewerage system?

deterioration of water quality due to inadequate sludge

disposal or direct discharge of untreated sewage water?

contamination of surface and ground waters due to

sludge disposal on land?

health and safety hazards to workers from toxic gases

and hazardous materials which maybe contained in
sewage flow and exposure to pathogens in sewage and
sludge?
 NEIGHBORHOOD ROADS

SCREENING QUESTIONS Yes No REMARKS

A. PROJECT SITE

IS THE PROJECT AREA ADJACENT TO OR WITHIN ANY

OF THE FOLLOWING
ENVIRONMENTALLY SENSITIVE AREAS?

CULTURAL HERITAGE SITE

PROTECTED AREA

WETLAND

MANGROVE

ESTUARINE

BUFFER ZONE OF PROTECTED AREA

SPECIAL AREA FOR PROTECTING

BIODIVERSITY

B. POTENTIAL ENVIRONMENTAL IMPACTS

WILL THE PROJECT CAUSET

encroachment on historical/cultural areas;
disfiguration of landscape by road embankments,
cuts, fills, and quarries?

encroachment on precious ecology (e.g. sensitive

or protected areas)?

alteration of surface water hydrology of waterways

crossed by roads, resulting in increased sediment
in streams affected by increased soil erosion at
construction site?

deterioration of surface water quality due to silt

runoff and sanitary wastes from worker-based
camps and chemicals used in construction?

increased local air pollution due to rock crushing,

cutting and filling works, and chemicals from
asphalt processing?

noise and vibration due to blasting and other civil

works?

dislocation or involuntary resettlement of people

other social concerns relating to inconveniences in

living conditions in the project areas that may
trigger cases of upper respiratory problems and
stress?
 SCREENING QUESTIONS Yes No REMARKS

hazardous driving conditions where construction
interferes with pre-existing roads?

poor sanitation and solid waste disposal in

construction camps and work sites, and possible
transmission of communicable diseases from
workers to local populations?

creation of temporary breeding habitats for

mosquito vectors of disease?

dislocation and compulsory resettlement of people

living in right-of-way?

accident risks associated with increased vehicular

traffic, leading to accidental spills of toxic materials
and loss of life?

increased noise and air pollution resulting from

traffic volume?

increased risk of water pollution from oil, grease

and fuel spills, and other materials from vehicles
using the road?
 FLOOD CONTROL/DRAINAGE

SCREENING QUESTIONS Yes No REMARKS

A. PROJECT SITE

IS THE PROJECT AREA ADJACENT TO OR WITHIN ANY

OF THE FOLLOWING
ENVIRONMENTALLY SENSITIVE AREAS?

PROTECTED AREA

WETLAND

MANGROVE

ESTUARINE

BUFFER ZONE OF PROTECTED AREA

SPECIAL AREA FOR PROTECTING BIODIVERSITY

B. POTENTIAL ENVIRONMENTAL IMPACTS

WILL THE PROJECT CAUSET

loss of precious ecological values (e.g. result of

encroachment into forests/swamplands or
historical/cultural buildings/areas, disruption of hydrology
of natural waterways, regional flooding, and drainage
hazards)?

conflicts in water supply rights and related social

conflicts?

impediments to movements of people and animals?

potential ecological problems due to increased soil

erosion and siltation, leading to decreased stream
capacity?

Insufficient drainage leading to salinity intrusion?

over pumping of groundwater, leading to salinization and

ground subsidence?

impairment of downstream water quality and therefore,

impairment of downstream beneficial uses of water?

dislocation or involuntary resettlement of people?

potential social conflicts arising from land tenure and

land use issues?

soil erosion before compaction and lining of canals?

noise from construction equipment?

dust?
 SCREENING QUESTIONS Yes No REMARKS

labor-related social problems especially if workers from
different areas are hired?

waterlogging and soil salinization due to inadequate

drainage and farm management?

leaching of soil nutrients and changes in soil

characteristics due to excessive application of irrigation
water?

reduction of downstream water supply during peak

seasons?

soil pollution, polluted farm runoff and groundwater, and

public health risks due to excessive application of
fertilizers and pesticides?

soil erosion (furrow, surface)?

scouring of canals?

logging of canals by sediments?

clogging of canals by weeds?

seawater intrusion into downstream freshwater systems?

introduction of increase in incidence of waterborne or

water related diseases?
 Attachment 4

(English Version)
Minister of Environment’s Regulation No. 16 Year 2012 on the Guidelines for the Preparation of
Environmental Documents.

Statement of Readiness to Manage and Monitor Environment (SPPL)

I/We, the undersign:

Name(s):TTTTTTTTTTTTT..
Designation:T..............
Address:TTTTT............
Phone No.: ............

Acting as the person(s) who is (are) in charge for the environmental management of the following
project/activity:
Name of project/activity:TTTTT....
Location/address of the project/activity site: ................
Type/nature of project/activity: ..........
Size/capacity of services: ................

Expected environmental impacts:

1. ............
2. ............
3. ............

The following measures are planned to mitigate the impact and meet the requirement of the
environmental management and monitoring:
1. ............
2. ............
3. ............

We confirm that we are committed and ready to implement all the measures as descibed above. We will
comply to the requirements imposed by the related authority. We understand that we are subject to the
inspection and supervision of the government environmental agency or other assigned agency.

(city/location, date)

Stamp (Rp6,000)
___________________
Signature and printed name(s)

Number of registration/acceptance by the city/district

environmental agency

Date

Name and Signature

 (Bahasa Indonesia version)

Peraturan Menteri Negara Lingkungan Hidup Nomor 16 Tahun 2012 Tentang Pedoman
Penyusunan Dokumen Lingkungan

SURAT PERNYATAAN KESANGGUPAN PENGELOLAAN DAN PEMANTAUAN LINGKUNGAN HIDUP

(SPPL)

Kami yang bertanda tangan di bawah ini:

Nama : ............
Jabatan :.............
Alamat :............
Nomor telepon : ............

Selaku penanggung jawab atas pengelolaan lingkungan dari:

Nama kegiatan :. ................
Alamat kegiatan :................
Jenis kegiatan : ..........
Kapasitas Pelayanan: ................
dengan dampak lingkungan yang terjadi berupa:
1. ............
2. ............
3. ............

merencanakan untuk melakukan pengelolaan dan pemantauan dampak lingkungan di atas melalui:
1. ............
2. ............
3. ............

Pada prinsinya bersedia untuk dengan sungguh-sungguh melaksanakan seluruh pengelolaan dan
pemantauan dampak lingkungan sebagaimana tersebut di atas, dan bersedia untuk diawasi oleh instansi
yang berwenang.

.............., ............................
Yang menyatakan,

Materai 6000
___________________
nama

Nomor penerimaan oleh Badan Lingkungan Hidup Kab/Kota

................

Tanggal

Penerima
 Attachment 5

TERMS OF REFERENCE FOR CONSULTANTS

A. Introduction

1. These outline terms of reference for consultants describe the main tasks of the national
environmental safeguard consultants required to assist the Executing Agency (EA),
implementing agencies (IAs) and other local government units in preparing for and
implementing the environmental assessment processes. The consultants will work closely with
the government and other consultants to ensure that environmental requirements will be met
during village infrastructure proposal selection, identification and implementation. They will be
based in the Project Management Unit (CPMU) and each of the district Local Coordinating
Office (LCO), and will be required to report to the consultant team leader.

B. Scope of Services

1. Safeguards Specialist at the National Level

2. The specialist will have appropriate tertiary qualifications in the areas of environmental
management/science and will have more than 10 years experience working in the fields for
internationally funded development projects. The sectoral knowledge as well as monitoring and
project evaluation experiences will be an advantage to the specialist. Specific tasks include the
following:

(i) Review all project related documents including the Initial Environmental
Examination (IEE), Environmental Assessment and Review Framework (EARF),
relevant existing guidelines (including environmental assessment checklists)
being implemented under CDD applying projects and selected
urban/neighborhood infrastructure contracts for roads, water supply, irrigation,
sanitation and others;

(ii) Review the monitoring and evaluation guidelines developed under the national
program and work with evaluation specialists to ensure appropriate and
adequate environmental indicators will be included in the Monitoring and
Evaluation (M&E) Framework;

(iii) Work with the city/district environmental specialists to ensure that adequate
environmental indicators will be developed in the detailed monitoring plans and
overall project evaluation indicators to ensure that adequate data will be
collected;

(iv) Review the existing relevant implementation guidelines to identify any areas that
need improvement for better environmental management and develop specific
recommendations;

(v) Work with the city/district safeguards specialists to develop appropriate training
programs and materials; and

(vi) Assist the CPMU to review environmental monitoring reports and prepare a
consolidated reports to be included in the project quarterly progress reports.
 2. Safeguards Specialist at the City/District Level

3. The specialist will have appropriate tertiary qualifications in the areas of environmental
management, engineering and/or science and will have more than 10 years experience working
in the fields for internationally funded development projects. The sectoral knowledge and
experiences will be an advantage to the specialist. Specific tasks include the following:

(i) Review all project related documents including the IEE, EARF, relevant existing
guidelines (including environmental screening checklists) being implemented
under CDD applying projects and selected urban neighborhood infrastructure
contracts for roads, water supply, irrigation, sanitation and others;

(ii) In coordination with community advisors visit selected neighborhoods receiving

project supports and discuss with community implementation organizations to
assess environmental screening processes and environmental impacts
associated with the completed neighborhood infrastructure;

(iii) Discuss with city/district departments of environment and identify any additional
environmental regulatory requirements, specific environmental issues and need
for training for city/district government staff;

(iv) Work with the community advisors to adjust any environmental assessment
questions to reflect location specific environmental conditions and develop a
standardized detailed monitoring schedules and inspection formats;

(v) Work with the national safeguards specialists to develop environmental

safeguards and awareness building activities;

(vi) Provide training to community advisors on the environmental screening (the use
of checklist system);

(vii) In collaboration with community advisors carry out environmental screening in

selected neighborhoods to be included in the NUAP;

(viii) Supervise the implementation of the environmental screening carried out by CIO
and community advisors;

(ix) Assist LCO to prepare Environmental Management Effort (Upaya Pengelolaan

Lingkungan [UKL]) and Environmental Monitoring Effort (Upaya Pemantauan
Lingkungan [UPL]), in cases where IEE is required;

(x) Assist LCOs in obtaining approval on the UKL/UPLs by the district government in
charge of environment;

(xi) Prepare environmental monitoring reports;

(xii) Provide technical inputs to district engineers and community advisors in the
environmental assessment and technical proposal formulation processes to
ensure that adequate environmental considerations and site specific mitigation
measures in the design of interventions and operation and maintenance;
(xiii) Work with other relevant consultants to include environmental safeguards and
awareness aspects in the capacity building and awareness building activities;

(xiv) Collaborate with district departments of environment and provide timely inputs to
communities to mitigate any unintended negative impacts.