environmental and social safeguard (ess) … · appendix i – environmental and social assessment...

ENVIRONMENTAL AND SOCIAL

SAFEGUARD (ESS) PROCEDURE

PT. Sarana Multi Infrastruktur (Persero)

2016

ESS PROCEDURE FOR

MULTILATERAL PROJECTS FUND

Published Date:

TABLE OF CONTENTS

ESS Guidelinesfor Multilateral Projects Fund i

CHAPTER I - INTRODUCTION ........................................................................................................ 1

1. Background ................................................................................................................... 1

2. Purposes and Objectives ............................................................................................... 1

3. Legal Basis………….. .................................................................................................. 1

4. Application of ESS Procedure ......................................................................................... 3

5. Exceptions…………………….. ................................................................................... 3

6. Definition….…………. ................................................................................................ 3

CHAPTER II –SCOPE OF ESS PROCEDURE IN BUSINESS PROCESS ................................... 6

1. Project Screening and Impact Assessment ................................................................... 9

2. Preparation of Impact Mitigation Plan ......................................................................... 9

3. Ensuring Adherence to ESS ......................................................................................... 9

4. Monitoring, supervision and reporting of the ESS Implementation...........................10

APPENDIX I – ENVIRONMENTAL AND SOCIAL ASSESSMENT CHECKLIST .. 12

APPENDIX II - EXCLUSION LIST ............................................................................. 24

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INTRODUCTION CHAPTER - I

ESS Guidelines for Multilateral Projects Fund Pg. 1/24

BAB I - PENDAHULUAN

1. Background

PT Sarana Multi Infrastruktur (Persero), here in after called “the Company" is a State-Owned

Enterprise (SOE) which was established to accelerate the national infrastructure financing through

partnerships with private sectors and/or multilateral financial institutions.

To achieve the above purposes, the Company is committed to managing its environmentally-and-

socially-friendly business activities.

This Environmental and Social Safeguard (ESS) Procedure was prepared by the Company to

provide guidance in implementing the ESS Multilateral guidelines, in order for the financing and

investment activities, project development, and consulting service provision for infrastructure

projects to comply with the environmental, occupational health and safety and social stipulation

and requirements in Indonesia.

2. Purposes and Objectives

ESS Procedure for Multilateral Projects Fund is used as a reference for the Company in

implementing 1/ financing and investment activities, 2/ project development, and 3/ consulting

service provision for infrastructure projects which involve the multilateral funds and cooperation.

The Company is committed to minimizing, if not avoiding, any adverse environmental or social

impacts. This ESS Procudure guides the Company in providing advice to the projects, i.e. local

governments, private sector in avoiding, and/or minimizing any potential adverse environmental

and social impacts, and develop and implement measures to address such impacts in accordance

with the Comapny’s Environmental and Social Safeguards, Indonesian Laws and Regulations, and

International Standards.

This ESS Procedure details the environmental and social safeguard policies, principles, procedures

and requirements, institutional arrangements, and workflows for the Company to avoid, minimize,

or mitigate any adverse social or environmental impacts of infrastructure projects.

3. Legal Basis

The ESS Procedure has been designed based on a set of applicable Indonesian laws and regulations

related to social and environmental protection, The Company’s ESS (Environmental and Social

Safeguards) and International Standards including IFC Principles Standards, World Bank Safeguards

Policies, ABD Safeguard Policy Statement.

Indonesian laws and regulations:

1. Law No. 3/ 2009: Environmental Protection and Environmental Management

2. Law No. 5/1960: Agrarian Basic Principles.

3. Law No. 2/2012: Land Acquisition for Project Activity for Public Interest

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4. Government Resolution No. 27/2012: Environmental Permits

5. Government Regulation No. 82/2001: Water Quality Management and Pollution Control.

6. Government Regulation No. 41/1999: Air Pollution Control

7. Government Regulation No. 101/2014: Hazardous Waste Management

8. Minister of the Environment Regulation No. 05/2012: Types of Business and/or Activities

Mandated to Undertake Environmental Impact Assessment (AMDAL).

9. Presidential Regulation No. 71/2012, 40/2014, 99/2014, 30/2015: Land acquisition for Project

Activity for Public Interest

10. Law No. 41/1999 on Forestry (plus Constitutional Court Decision No. 35/PUU-X/2012):

Procedures to Settle Land Ownership Conflict in Forest Areas

11. Regulation of Head of BPN RI No. 5/2012 : Technical Guidelines on the Implementation of

Land Acquisition

12. MOHA Regulation No. 52/2014: Guidelines on the Recognition and Protection of MHA

13. Ministerial Regulation of MOH No. P.62/2013: Establishment of Forest Area

14. Regulation of the Minister of Land Agency and Spatial Development No. 9/2015: Procedures

to Establish the Land Communal Rights on MHA Land and Community Living in Special

Areas

15. Law No. 18/2013: Prevention and Control of Deforestation (UUP3H).

16. Regulation of Ministry of Forestry No. P.39/Menhut-II/2013: Empowerment of Local

Communities through Forest Partnerships

17. Law No. 24/2007: Disaster Management

The Company’s Environmental and Social Safeguards

1. ESS-1: Assessment and Management of Environmental & Social Risks and Impact

2. ESS-2: Labour and Working Conditions

3. ESS-3: Pollution Prevention and Abatement

4. ESS-4: Safety, Health and Security

5. ESS-5: Land Acquisition and Resettlement

6. ESS-6: Biodiversity Conservation and Natural Resources Management

7. ESS-7: Indigenous Peoples and Local Communities

8. ESS-8: Cultural Heritage

9. ESS-9: Energy Conservation and Environment-Friendly Energy

10. ESS-10: Consultation and Grievance Mechanisms

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World Bank’s Safeguards Operational Policies

1. OP 4.01 Environmental Assessment

2. OP 4.04 Natural Habitats

3. OP 4.09 Pest Management

4. OP 4.11 Physical Cultural Resources

5. OP 4.12 Involuntary Resettlement

6. OP 4.10 Indigenous Peoples

7. OP 4.36 Forests

8. OP 4.37 Safety of Dam

9. OP/BP 4.20: The Bank Operational Policy Focused Specifically on Gender and Development

10. World Bank Group General EHS Guidelines and Industry Sector Guidelines

11. The World Bank Gender and Development Policy Framework – A Guidance Note

Exclusively for the Gender issue, the Company not just follow OP/BP 4.20, but also The World

Bank Gender and Development Policy Framework – A Guidance Note, which is wider than just

OP/BP 4.20 and that project level entry points for integrating gender issues are triggered by a

number of factors.

It is important to ensure gender-sensitive development impact and gender aspects of the needs of

beneficiary recipients being amongst the initial criteria for assessing programme or project

proposals of the initial investment framework. To assure gender equity applied for each proposed

project, gender-sensitive framework and action plan, with indicators on mitigation and adaptation,

are needed to be built for monitoring process. It is necessary to underline that by including gender

sensitivity in its mandate and by taking steps to adopt a gender framework and action plan from

the onset of its activities, the projects will be viewed as adding considerable value to climate

change initiatives. The Gender Action Plan is to be implemented and monitored in the company

activities and draw down to project level in each stage. Indicators should be applied in order to

monitor the implementation process. Below are the summary indicators for reporting purpose:

More description is in APPENDIX III.

4. Application of ESS Procedure

This Procedure applies to all projects that seeking for the Company funding, irrespective of

financing sources. The application of the Procedure begins right at the time of loan application

submission, and is relevant through the appraisal, disbursement (implementation), and subproject

monitoring stages.

5. Exceptions

If any exception to this procedure is required in certain conditions, such exceptions should

accordingly be approved by the Board of Directors. If necessary, the Board of Directors may

request a review in advance from the Risk Management Division.

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The above-mentioned exceptions should be based on the analysis result of transactions or business

activities, should pay attention to the risk factors which are possible to happen, and should consider

the managerial aspects closely related to the Company interests.

6. Definition

a. AMDAL/EIA :

Environmental Impact Assessment constitues a document required

under Act No. 32 Year 2009 and its implementation in accordance

with Government Regulation No. 27 Year 2012 on Environmental

Permit and Regulation of the Minister of Environment No. 05 Year

2012 on Types of Business Plan and/or Activities Obligatory to Have

Environmental Impact Assessment (EIA). EIA consists of 4 (four)

inseparable documents, namely:

• EIA Terms of Reference, containing the scope plan of

environmental impact assessment.

• Environmental Impact Assessment (AMDAL/EIA), the

significant identification of positive and negative impacts of a

project/activity.

• Environmental Management Plan (RKL), documenting the

efforts of significant impact management plan.

• Environmental Monitoring Plan (RPL), documenting the

monitoring plan efforts to complement the significant impact

monitoring.

b. Hazardous and

Toxic Substances

: Substances, energy, and/or other components due to the nature,

concentration, and/or amount, either directly or indirectly, can

pollute and/or damage the environment, and/or endanger the

environment, health as well as the human and other living creature

survival.

c. Business Division : An Activity-Executing Divison which makes and implements

decisions relating to the Company's business activities, namely

financing and investment activities or project development or

consulting services.

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d. Environmental and

Social Due Diligence

(ESDD)

e. Environmental and

Social Management

System (“ESMS”)

:

The process to investigate/audit the investment potential in details,

such as the management and operational process identification, field

data verification, particularly related to environmental and social

view point.This process is conducted by the Company.

A management system processes and procedures of protection for

any organization to analyze , control and reduce the environmental

and social impacts resulting from activities, products , and services.

f. Environmental and

Social Safeguard

(ESS)

: A management system for the protection processes and procedures

in which an organization analizes, controls and reduces the

environmental and social impacts from its activities, products and

services.

g. Exclusion List : A list of projects that are not allowed to receive services of the

Company, related to 1/ financing and investment activities, 2/ project

development, and 3/ consulting service provision.

h. Consulting Services : Service provision of professional expertise by the Company in the

infrastructure field for the service users based on the consulting-

service-provision agreement between the Company and service

users.

i. Financing

: Provision of funds or equivalent claims,based on a loandealor an

agreement between the Company and the debtor. The debtor is

required to repay the debt after a certain period of time with interest.

j. Project

Development

: The serviceprovision for preparation and development of

infrastructure projects by the Company.

k. Authorized Officers

to Make Decision

: Officers of the Company pursuant to the Board of Directors

Regulations having the authority to make any decisions on specific

activities.

l. Regulation : The condition or capability that must be met or possessed by all

activities, products and services related to the environmental, health,

social and worksafety.

m. Risk : The potential occurrence of an event, whether predictable or

unpredictable which may cause negative impact on the achievement

of the Company’s vision, mission, purposes/objectives.

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n. Letter of Ability to

Manage and

Monitor the

Environment

(SPPL)

: Commitment of the parties responsible for business and/or activity to

conduct the environmental management and monitoring of

environmental impact for the businesses and/or activities other than

the businessesand/or activites which are subject to having EIA or

UKL-UPL.

m. Environmental

Management

Efforts-

Environmental

Monitoring Efforts

(UKL –UPL)

: Mandatory documents under Act No. 32 Year 2009 and its

implementation in accordance with Government Regulation No. 27

Year 2012 on Environmental Permit, but not included in the project/

activity contained in the Regulation of the Minister of Environment

No. 05 Year 2012 on Types of Business Plan and/or Activities

Obligatory to have EIA.

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SCOPE OF ESS PROCEDURE IN BUSINESS

PROCESS CHAPTER - II


BABThis ESS Procedure has been mainstreamed in the loan processing cycles for projects seeking

funding support from the Company, in the key safeguards instruments as well as in organizational

arrangements of the Company. This ESS procedure has four major parts – (1) project screening and

impact assessment, (2) mitigation measures and instruments, (3i) implementation of requirements

specified in the ESS, and (4) monitoring, supervision and reporting – which, together, aim at

minimizing and managing the environmental and social impacts of the projects supported by the

Company applies right from the time of the submission of loan application to the Company, through

the loan tenure period (see Figure 1).

Figure 1: Loan process and ESS

Financing Process from Environmental and Social Safeguards Aspects

PT SMIThe Project

Ste

p 1

– L

oan

Ap

pli

cati

on

Ste

p 2

– I

nit

ial

Scr

een

ing

Submit ESSC, included

as part of LAP

Project initiation

Yes

No

Part of

ESEL?Stop

Fill ESSC

Identify subproject:

(i) Potential E&S impacts and risks of subproject (Category A/B/C)

(ii) Subproject categorization (Type 1/2/3 based on project stage)

Subproject

requires ILAR?

Identify ILAR:

(i) affects ≥200 people?

(ii) takes ≥10% of household productive assets?

(iii) involves physical relocation?

YesScr

een 1

Record and document VLD

and willing-buyer willing-

seller scheme No D

A B C

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PT SMIThe Project

Ste

p 2

– I

nit

ial

Scr

een

ing

Prepare and submit

comprehensive/full LARAP

(incl. GRM), along with EIA

or EMP as applicable

LARAP is

available?

Provide ToR to LGs

for preparing

LARAP

Prepare and submit revision/

supplement to LARAP

(SRAP)

ILAR implemented

prior to LAP

submission?

Point (i) and/or

(ii) and/or (iii)

are triggered?

Prepare and submit

abbreviated LARAP

Public consultation and disclose

information about the subproject and LA

process, incl. to PAPs and village leaders

Provide complaint

handling system

Review and approve during loan processing

Report on ILAR

(Tracer Study) and CAP

Yes

No

No

LARAP has

gaps with

LARPF?

Yes

Yes

Yes

No

No

IPs are present in, or

have collective

attachment to,

subproject area?

Prepare and submit IPP

based on SA, along with EIA

or EMP as applicable

No need safeguard

instrument

Scr

een 2

No

IPs needs and concerns are

incorporated in subproject

design

No

Yes

IPP incl. SA

are

available?

Yes

Provide ToR to LGs

for preparing IPP,

incl. SA

No

IPs is the sole

beneficiaries of

subproject?

No IPP has gaps

with IPPF?

Yes

Prepare and submit CAP

Yes



information about the subproject and IPP

process, incl. to PAPs and village leaders

Provide complaint

handling system

E

A D

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PT SMIThe Project

Ste

p 2

– I

nit

ial

Scr

een

ing

Ste

p 3

– D

eta

iled

Pro

ject

Ap

pra

isa

l

Subproject already

constructed or an

expansion?

Project site

determined?

AMDAL/UKL-UPL/

SPPL available?

No

ToR (KA-

ANDAL) and

commitment to

develop

AMDAL/UKL-

UPL/SPPL

No

Yes

No

ESDD report

Prepare supplemental documents,

along with EIA or EMP as applicable

Gap is available

compared to

ESMF?

Yes

Prepare and submit

EIA or EMP

(as applicable)

Yes

Gap

analysis

Yes

E&S assessment checklist:

(i) Generic subproject appraisal checklist

(ii) Sector specific appraisal checklist

Yes

Specific components (e.g.

biodiversity, endangered

species) are triggered?

No need safeguard

instrument

No

Scr

een

3


Scr

een

4

Specific study is

available?

No


Provide ToR to LGs

for preparing

supplemental

documents

Yes


information about the subproject and EIA/

EMP, incl. to PAPs and village leaders


information about the subproject and

supplemental documents, incl. to PAPs and

village leaders

No

Provide complaint

handling system

Provide complaint

handling system

BC E

F

Financing CommitteeConsolidated indicative

term sheet

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PT SMIThe Project

Ste

p 5

– P

roje

ct I

mp

lem

enta

tio

n a

nd

Mo

nit

ori

ng

Ste

p 4

– L

oa

n S

an

ctio

n a

nd

Dis

bu

rsem

ent

Ste

p 3

– D

eta

iled

Pro

ject

Ap

pra

isa

l

(i) ESMF requirements

(procedural flowchart)

(ii) EIA/EMP, LARAP and

IPP reports (as applicable)

(iii) Non-technical

summary

(iv) E&S mitigation plan

(v) Annual E&S audits

(vi) LARAP and IPP

implementation reports (as

applicable

No

E&S subproject

viable?Stop

Recommendation on

appropriate E&S

covenants

Yes

No

Negotiation to put in place necessary ESS

mitigation measures in the form of loan

covenants, conditions precedent and

changes in the subproject configuration

Agree to proposed

covenants? Stop

Invitation for loan

agreement signing

Verification of

compliance

Readiness

certificate

(availability of

site, right of

way, payment

of

compensation,

rehabilitation

and

resettlement)

Yes

Public consultation

and disclosure

Loan signing

Audit of ESMF

compliance

Monitoring E&S reports,

incl. field visit

Request LGs for

necessary compliance

Clearance for initial fund

disbursement

Submit necessary

compliance

Offering letter

Respond to the offered

negotiation

Prepare and submit:

(i) Periodic EIA/EMP, LARAP and IPP

monitoring reports (as applicable)

(ii) GRM monitoring reports

F

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1. Project screening and impacts assessment

i. Environmental and social exclusion list

This list comprises types of projects excluded from the Company funding as practiced by the

government and international agencies due to their potential adverse impact on the

environment (see exclusion list in APPENDIX II).

ii. Impact assessment and project risk categorization

Based on the perceived environmental and social risks, projects are classified as Category A,

B or C. Projects with high social and environmental risks are categorized as A and are

scrutinized in detail to ensure that the objectives of ESS are satisfied. Most of the

infrastructure projects are categorized as Category B, however, some subprojects can be fall

into Category A.

iii. Minimizing project impact on rnvironment and society

The Company will assess the project proposal and mitigation measures specified in the agreed

safeguards instruments documents to ensure that all impacts have been accurately and reliably

documented and the project design minimizes adverse impacts while maximizing any positive

impacts, and a cumulative impact analysis is conducted and project alternatives are

considered.

2. Preparation of impact mitigation plans

i. Project impact mitigation

Based on the potential environmental and social impacts, and hence, risks assessed by the

Company during the review of project proposal and safeguards instruments available, the

project proponents/owners have to prepare mitigation measures or remedial actions to address

and manage such impacts and risks. The Company will determine the appropriate safeguards

instruments to be prepared by the project owners for such mitigation measures or remedial

actions. Depending on the nature of the environmental and social impacts, and hence the

risks, and the availability and quality of the safeguards instruments available, the Company

may require the project owners to prepare an AMDAL, or UKL-UPL, or an SPPL, or

supplemental documents to these three instruments; and/or a Land Acquisition and

Resettlement Action Plan (LARAP), a Plan of Action, and/or an Indigenous Peoples Plan

(IPP) and/or a Corrective Action Plan for these three instruments.

3. Ensuring adherence to ESS

The project owners who seek for the Company funding support are required to fill an

environmental and social checklist, which contains a series of questions to determine the

triggering safeguards policies and standards specified. (APPENDIX I).

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The project proposals are initially assessed based on their level of preparedness:

(i) Type 1 – Projects during project identification stage (with sites that have not been selected

and design options that are still open). The project owners will prepare and disclose all

Environmental and Social Assessment documents (i.e. EIA, EMP, SIA, LARAP, IPP, etc.)

prior to approval of the subproject by the Company. At this stage, it is suggested that the

project owners collaborate with the ESSBCM team in terms of the preparation of the

necessary documents. In case any Environmental and Social safeguards instruments have

been prepared, the Company will assess such instruments. If there is a gap, the Company

will require the project owners to prepare a Supplemental Safeguards Instruments or a

Remedial Action Plan to meet the requirements. If the project owners have not prepared

any safeguards instruments and there is a need to prepare specific instruments to meet with

the requirements, the Company will provide the guidance for the project owners to prepare

the required safeguards instruments.

(ii) Type 2 – Projects that have been fully prepared (where construction bids have been

invited) where the required E&S safeguards instruments have been prepared. The

Company will review the available E&S documents and will require its client to prepare a

supplemental document based on a gap analysis in reference to the requirements, or

develop new ones to meet the requirements of the Company.

(iii) Type 3 – Projects within the proximity of facilities that have already been constructed or

an expansion of the existing infrastructure/facilities. The Company will carry out a due

diligence, which will include site inspections and all necessary investigations, to confirm

that: (a) the subproject is in compliance with the requirements of the Company; (b) there

are no reputational risks for the Company; and (c) there are no legacy issues or no pending

legal disputes or liabilities. Based on the findings of such an assessment, the Company will

require its client to implement remedial measures, if needed, or to mitigate potential

reputational risks or to address legacy issues or liabilities in the form of an Action Plan

agreed by the Company

.

All of the E&S safeguards documents shall be disclosed by the project owners prior to project

appraisal. For the Category A projects, there is a requirement to disclose the E&S safeguard

documents into the project owners website at least 120 days.

4. Monitoring, supervision and reporting of the ESS Implementation

The projects shall be monitored across its life-cycle to ensure that all the safeguards agreed-upon are

successfully implemented and complied with. Environmental Social Safeguards and Business

Continuity Management (ESSBCM) Division under the Directorate of Risk Management of the

Company will do the monitoring, supervision and reporting of the ESS implementation.

Further fund disbursements shall be linked to continuous compliance by the project owners, the

Company will monitor all subprojects (during planning, construction and operation and maintenance

stages) that it finances to ensure conformity to standards. Monitoring of environmental and social

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components will be carried out through environmental and social implementation/compliance reports

that form part of quarterly progress reports. The project owners are expected to make adequate

internal arrangements to monitor the implementation of the environmental and social mitigation plan

and submit regular progress reports including environmental and social implementation compliance

reports to the Company.

N DAN ETIKA PENGELOLAAN ESMS PROYEK

BAB III – ORGANISASI DAN TANGGUNG JAWAB

Proposed By

Farida Zaituni

Risk Management Division

Approved by

Muhammad Oriza

Head of Risk Management Division

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APPENDIX I

ENVIRONMENTAL AND SOSCIAL

ASSESSMENT CHECKLIST

CHAPTER - III


APPEN

ENVIRONMENTAL AND SOCIAL ASSESSMENT CHECKLIST

Name of Project/Counterpart :

Name of Local

Government/Counterpart

:

Project/Counterpart Description :

Project/Counterpart Location :

ENVIRONMENTAL ASSESSMENT CHECKLIST

PERMITS OF PROJECT

No

. Permits Ye

s No N/A

Details

(Number, Date of

Issue, Validity

Date and Agency

of Permit

Issuance)

1. EIA (AMDAL) / EMP (UKL – UPL / SPPL)

2. Location Permit

3. Hazardous and Toxic Waste Disposal Permit

4. Hazardous and Toxic Waste Temporary Storage Permit

5. Groundwater Use Permit

6. Other permits

ENVIRONMENTAL IMPACTS MITIGATION

No

. Components Yes No N/A Details

1. Protected Forest Area

2. Water Catchment Area

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APPENDIX I



CHAPTER - III


ENVIRONMENTAL IMPACTS MITIGATION

3. Beach

4. River

5. Lake

6. Natural Habitats

7. Nature Reserve

8. Mangrove Forested Coastal Area

9. National Park

10. Private/Community/Indigenous Forest

11. Germplasm Protection Area

12. Coral Reefs

13. Others

SOCIAL ASSESSMENT CHECKLIST

Land Use, Land Acquisition – Ressetlement

No. Components Yes No N/A Details

1. Does the project involve acquisition of private

land?

2. Does the project involve acquisition of

Government land?

3. Number of household and public facilities to be

displaced?

4. Number of people to be displaced?

5. Will project result in loss of access to current

livelihoods?

6. Is the project likely to provide local

employment opportunities, including

employment opportunities for women?

7. Is the project being planned with sufficient

attention to local poverty alleviation

objectives?

8. Number of families under the poverty line to

be benefitted?

9. Are there socio-cultural groups present in the

project area (ethnic communities, minorities, or

indigenous communities)?

10. Do such groups self-identify as being part of a

distinct social and cultural group?

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APPENDIX I



CHAPTER - III


Land Use, Land Acquisition – Ressetlement

11. Do such groups maintain cultural, economic,

social, and political institutions distinct from

the dominant society and culture?

12. Do such groups speak a distinct language or

dialect?

13.

Have such groups been historically, socially

and economically marginalized,

disempowered, excluded, and/or discriminated

against?

14. Will the project directly or indirectly benefit or

target Indigenous Peoples?

15.

Will the project directly or indirectly affect

Indigenous Peoples' traditional socio-cultural

and belief practices? (E.g. child-rearing, health,

education, arts, and governance)?

16.

Will the project affect the livelihood systems of

Indigenous Peoples? (e.g., food production

system, natural resource management, crafts

and trade, employment status)?

17. Will the project be in an area (land or territory)

occupied, owned, or used by Indigenous

Peoples, and/or claimed as ancestral domain?

Water Supply

No. Process Description Yes No N/A Information

1. Water

Withdrawal

Have the potential adverse effects of

withdrawal of surface water on

downstream ecosystems been

evaluated?

Has appropriate environmental flow

assessment been conducted to

determine acceptable withdrawal

rates?

Does the raw water supply have a

source of pollution at the upstream like

industries, agriculture, and sewage and

soil erosion? Are adequate measures

taken to treat these?

Does the project pose a hazard of land

subsidence due to excessive ground

water pumping?

2. Water

Treatment

Does the treated water meet national

standards?

Have adequate measures been taken to

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APPENDIX I



CHAPTER - III



reduce the solid waste residual

generated through the treatment

process?

Does the effluent from the treatment

process like filter backwash, reject

streams from membrane filtration

processes, and brine streams from ion

exchange or demineralization

processes meet country standards?

Are adequate measures taken to

prevent and control hazards during

storage and use of hazardous

chemicals?

Is there emission generated from the

treatment process? Have measures

been taken to mitigate these impacts?

Is the water treatment facility located

in designated protected areas? Will the

project activities cause any damage to

these?

Is the water treatment facility located

in a densely populated area or an area

with heavy developmental activities?

3. Water

Distribution

Does the design of the distribution

system include checks and measures to

minimize leaks and loss of pressure?

Is the water used for flushing the water

pipes disposed in accordance to

country requirements?

4. Supporting

facilities

Arewater supply facilities completed

with adequate transmission lines?

Are the impairments associated with

transmission lines and access roads

adequately addressed?

Is the increase in water supply

supported by adequate sewerage

network and sewage treatment facility?

5. Health and

safety


prevent, minimize and mitigate

occupational health and safety hazards

to workers in projects?

Sewerage and Sanitation

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APPENDIX I



CHAPTER - III



1. On-site

systems

Are suitable facilities

for storage, handling

and treatment of faecal

sludge from septic

systems provided?

2. Sewerage

system

Does the design of the

sewerage system meet

country standards?

Are adequate measures

taken to prevent and

minimize leaks from the

sewerage system into

the ground?

3. Sewage

Treatment

Is the sewage

adequately treated

before release into

aquatic systems? Do

they meet country

standards?

Is the sludge generated

from the treatment plant

disposed as per country

specifications?


taken to minimize odour

from the treatment

facility?

Does the effluent from

the treatment facility

meet country and

sponsors standards for

disposal into aquatic

systems?


taken to prevent and

control hazards during

storage and use of

hazardous chemicals?


taken to prevent

overflows and flooding

of neighbouring

properties with raw

sewage?

Is the water treatment

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facility located in

designated protected

areas? Will the project

activities cause any

damage to these?

Is the water treatment

facility located in a

densely populated area

or an area with heavy

developmental

activities?

4. Industrial

Waste Water

Is the wastewater

adequately treated

before release into

sewerage system or

aquatic systems? Do the

effluents meet country

standards?

5. Occupational

Health and

Safety


taken to prevent

accidents and injuries to

workers while working?


taken to prevent

chemical hazards during

handling and storage of

hazardous chemicals?

Are protective

equipment and training

provided to workers

against exposure to

hazard?

Waste Management


1. Collection

and

Transport

Are adequate Litter bins and refuse

collection services available to prevent

littering and clandestine dumping?


mitigate air emission?

2.

Waste

Receipt,

Unloading,

Processing

and Storage


prevent migration of leachate into soil,

surface water and groundwater?


prevent, minimize, and control waste

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from project?

3. Biological

Treatment


control leachate and runoff from waste

storage and processing areas?


prevent combustion of waste?

4. Landfilling

Is the landfill site located in

accordance to country specifications?

Are adequate measures taken for

collection, treatment and disposal of

leachate from landfill?

Is the quantity of leachate generated

regularly monitored?

Is a landfill gas collection system

designed and operated in accordance

with applicable national requirements

standards?


prevent, minimize, and control

dispersal of litter?

Is adequate buffer zone maintained

around the landfill to alleviate

nuisances?

5. MSW

Incineration

Facilities

Does project own/operate incinerator

for MSW? If yes, does it have valid

permit?

Number of

permit:

Date of issue:

Date of validity:

Agency of Permit

Issuance:

Do emissions from incinerators meet

country and standards?

Are ash and other residuals disposed in


6. Health and

Safety


minimize and mitigate health and

safety hazards to workers from toxic

gases and hazardous materials on site?


protect the public and neighbourhood

from odour, smoke from fire, diseases

transmitted by flies, rodents, insects

and birds etc.?

Hazardous and Toxic Waste

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No

. Process Description Yes No N/A Information

1. Collection and

Transport


prevent spills and releases to

environment?

Are national and sponsors standards

followed for packaging, labelling, and

transport of hazardous materials and

wastes?

2.

Waste Receipt,

Unloading,

Processing,

and Storage

Is the incoming waste adequately

identified and classified for storage,

treatment and disposal?


prevent spills and releases during

waste storage and handling?


prevent and control releases releases of

particulate matter and VOCs from

waste processing equipment?

3.

Biological-

Physical-

Chemical

Treatment

Is the facility designed and operated in

accordance with applicable national

requirements?


control leachate and runoff from waste

storage and processing areas?

4. Incineration

Facilities

Does project have/operate incinerator

for hazardous and toxic waste? If yes,

does it have valid permit?

Number of

permit:

Date of issue:

Validity date:

Agency of Permit

Issuance:

Do emissions from incinerators meet

country standards?

Are ash and other residuals disposed in


Road Access

No.

Environment

al

Component

Description Yes No N/A Information

1. Ecology

Does the project lie in proximity to or

cut across any designated Protected

Area?

Does the project or its activities cause

disruption of terrestrial and aquatic

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No.

Environment

al

Component


habitats? If yes which of the following

impacts does it cause

fragmentation of forested habitat;

loss of nesting sites of listed rare,

threatened, or endangered species

and / or high biodiversity /

sensitive habitat; disruption of

watercourses;

creation of barriers to wildlife

movement;

visual and auditory disturbance

due to the presence of machinery,

construction workers, and

associated equipment

Does the project involve regular

maintenance of vegetation within road

right-of-way causing likelihood of the

establishment of invasive species?

2. Hydrology

Would the alteration of topography

and installation of project components

like tunnels adversely affect surface

and ground water flows?

3. Topography

and Geology

Does the project involve activities that

have a likelihood of causing slope

failures and landslides?

4. Storm water

Does the project or its activities cause

increase in rate of surface water

runoff?

5. Waste

Does the project or its activities lead to

generation of the following types of

waste

Solid waste may be generated

during construction and

maintenance

Vegetation waste

Sediment and sludge from storm

water drainage system

maintenance

Waste generated from road and

bridge maintenance

6. Air Quality

Will the project cause increased local

air pollution due to rock crushing,

cutting and filling works and chemical

vapor from asphalt processing?

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No.

Environment

al

Component


7. Water Quality

Would the surface runoff from cut and

fill areas cause degradation of water

quality in the downstream water

bodies?

Would the surface runoff from roads

contaminate surrounding water sources

and/or ground water?

8. Public Health

Will the project lead to creation of

temporary breeding habitats for

mosquito vectors of disease?

Arethere accident risks associated with

increased vehicular traffic, leading to

loss of life (communities around

project area)?

9. Occupational

Health and

Safety


prevent physical hazards while

operating machinery, from moving

vehicles and working at elevation on

bridges and overpasses?


prevent chemical hazards from

construction and paving activities,

exhaust emissions from heavy

equipment and motor vehicles during

all construction and maintenance

activities?


prevent chemical hazards from

construction and paving activities,

exhaust emissions from heavy

equipment and motor vehicles during

all construction and maintenance

activities?

Ambient Conditions


1. Ambient Air

Quality

Do emissions from project and

supporting activities (e.g. heavy

equipment, loading-unloading) have

adverse impacts to ambient air quality?

Have measures been taken to mitigate

these impacts?

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Are there any industries contribute air

pollution to around project area? Will

the project increase air pollution to the

area?

Does ambient air quality around

project area meet national standards?

2. Noise and

Vibration

Is sufficient buffer maintained around

project area (pump, water and waste

water treatment plant, power

generation and other system and

equipment) to reduce noise and

vibration?


mitigate noise and vibration impacts

generated from vehicles and heavy

equipment?

Are there any industries contribute

noise and vibration to around project

area?

Do noise and vibration levels meet

national standards?

Occupational Health and Safety Management System (OHSMS)


1. Management

System

Have the project implemented

OHSMS?

Have OHSMS of the project been

audited /evaluated periodically?

2. Personnel

Does project hire personnel competent

at OHSMS and safety related to

project field?

3 Manhours

Does project record manhours? If yes,

what is the amount? If no, what is the

reason?

4.

Emergency

Response and

Preparedness

Does project have emergency response

and preparedness plan to manage and

control any emergency conditions?

Monitoring and Reporting


1.

AMDAL /

UKL-UPL /

SPPL

Does project manage and monitor

environment and social aspects on a

periodic basis in accordance with

EIA/EMP (AMDAL/UKL-UPL/SPPL)

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CHAPTER - III



requirements which has been approved

by the Government? Has project

reported EMP to the Government?

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CHAPTER - III


……………….,…………2016

Reported by: Approved by:

………………………………… …………………………………

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GENDER CHAPTER - III


APPENDIX III EXCLUSION LIST

Below is the Exclusion List of 1/ Financing and Investment, 2/ Project Development and 3/ Consulting

Service Provision:

a. The production or sale-and-purchase of any kinds of product or activities regarded illegal under the

State regulations or international conventions and agreements or items which are internationally

banned, such as illegal drugs, pesticides/herbicides, ozone-depleting substances, polychlorinated

biphenyls (PCBs), wildlife or products regulated under Convention on International Trade in

Endangered Species of Wild Fauna and Flora (CITES).

b. The production or sale-and-purchase of arms and ammunition.

c. The production or sale-and-purchase of alcoholic beverages (excluding beer and wine).

d. The production or sale-and-purchase of tobacco.

e. Gambling, Casinos and similar companies.

f. The production or sale-and-purchase of radioactive materials. Excluding the production or sale-

and-purchase of medical devices, quality control (measurement) instrument and other equipment in

very small or proper quantities.

g. The production or sale-and-purchase of unbounded asbestos fibers. Excluding the purchase or use

of cement asbestos sheets bonded with asbestos concentrations of less than 20%.

h. Driftnet fishing in the marine environment which uses nets longer than 2.5 km.

i. Production or activities related to the exploitation and hazardous work by forced workers/children

workers.

j. The trading of deforestation result coming from tropical rainforest.

k. The production or sale-and-purchase of timber or other forest production apart from sustainably

managed forests.

l. Business activities related to pornography and prostitution.

m. The destruction of critical habitat.

n. Cross-border trade for the waste and its product, except it is in accordance with Bassel Convention

and applicable regulations.

o. The production and distribution of goods and media having the natures of racist, anti-democratic

and/or sentiments of certain groups.

p. The production and distribution of goods and media having the nature of religious radicalism.

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The purpose of the Appendix is to address:

a. Gender Framework

The overall objective of the Gender Framework is to ensure that by adopting a gender-sensitive

approach, the multilateral projects fund will efficiently contribute to gender equality and achieve

greater and more sustainable climate change results, outcomes, and impacts.This will anchored on

six fundamental principles:

i. Commitment to gender equality and equity;

ii. Inclusiveness in terms of applicability to all fund’s activities;

iii. Accountability for gender and climate change results and impacts;

iv. Country ownership in terms of alignment with national policies and priorities and

inclusive stakeholder participation;

v. Competencies throughout the fund’s institutional framework, and;

vi. Equitable resource allocation so that women and men benefit equitably from the fund’’s

adaptation and mitigation activities.

b. Gender Action Plan

The purpose of the Gender Action Plan is to provide a time-bound framework to operationalize the

Gender Framework. Implementation of the Gender Action Plan will provide the fund and all

implementation partners, public or private, with the tools and processes to achieve gender

sensitivity in all areas within the fund’s mandate. It will also provide the project’s stakeholders with

the necessary information to exercise their oversight responsibilities for the fund’s gender

framework as mandated.

This Gender Action Plan is structured into six priorities areas and, for each, details the

implementation actions:

i. Governance and institutional structure

The implementation of the gender framework will be the responsibility of all

components of the company, project stakeholders, and employees. The main operational

responsibility for the implementation of the gender framework will be the

implementation entities and intermediaries (IEs) and executing entities (EEs). The

company and project stakeholders will oversees the implementation of the action plan,

and monitor it at least once a year, through the review of periodic monitoring reports.

ii. Operational guidelines

Implementation of the framework will be done in every company’s activities and/or

throughout the project and/or through the multilateral fund’s utilization

iii. Capacity building

Capacity building is needed for the project owner and fund’s beneficiary recipients to

increase the knowledge and the awareness of the importance of gender-sensitive in each

stage of project preparation, process, and post-project with supported monitoring report

in audit form annually.

iv. Outputs, outcomes, and impact indicators for monitoring and reporting purposes

To monitor the gender policy implementation, two specific portfolio indicators are

proposed:

(i) For quality at entry: The percentage of adaptation and mitigation projects that

include specific gender elements and gender-sensitive implementation

arrangements; and

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(ii) For good practices on gender equality and equity: The number of gender-related

complaints resolved by IEs and EE.

On the basis of best practices from other organizations, a portfolio classification system, which

consists of a project rating at entry for gender sensitivity, will be adopted8. Such a system allows

for a global analysis of the portfolio from a gender perspective, an assessment of effectiveness

and, eventually, corrective action to be taken.

v. Resource allocation and budgeting

As the rationale for the gender framework is to generate greater and more sustainable gender-

equitable climate change results, the project approval process may consider giving additional

weight to projects with well-designed gender elements. The project approval process will also

ensure that the projects’ gender elements are fully funded, and that IEs’ budgets are adequate for

the supervision and reporting of the project gender elements implemented by EEs. The Fund’s

administrative budget will include dedicated resources for the implementation of its gender

policy. Gender will also be included in the financial audits of the Fund’s activities.

vi. Knowledge generation and communication

Communicating the company’s commitment to gender equality, its gender sensitivity policy and

implementation guidance will be a strategic communications activity and an integral part of the

Fund’s communications plan. It will be important to communicate to the public not only how the

company is implementing its gender policy, but also to hold open consultations periodically with

stakeholders and partners to receive feedback on the policy implementation and possible

improvements in the action plan. Communications will be directed at both external and internal

audiences. Gender training is another area that can be strongly supported through

communications.

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GENDER REQUIREMENT CHAPTER - III


The summary indicators for reporting purpose:

Priority Area Result to be achieved: Implementation of gender framework

Action Indicators Responsibility Timing

(a)

Governance

and

Institutional

structure

1. Approval of the

gender policy

BOD TBA

2. Periodic monitoring

reports on the

implementation of the

gender framework and

gender action plan

Annual gender

report is issued,

reviewed, and

decided on by

the BOD

Gender

performance

covered in

annual report

Number of

independent

gender impact

evaluations

BOD Annually

3. Include gender

performance criteria in

the tender process of

fund beneficiary

recipients

Priority Area Result to be achieved: Guidelines on the gender-sensitive approach

Actions Indicators Responsibility Timing

(b)

Operational

guidelines

1. Guidance for fund

beneficiary recipients

on mandatory

socioeconomic and

gender assessment at

the start of each

project/programmes

and mandatory

application of

safeguards

Guidelines have

been issued and

communicated

to stakeholders

through meeting

and audit

Beneficiary

recipients

2. Guidance on gender-

sensitive project design

elements, budgets,

results, monitoring and

impact indications,

preparation,

implementation and

monitoring

institutional

arrangements

Guidelines have

been issued and

communicated

to stakeholders

through meeting

and audit

Beneficiary

recipients

3. Review and

monitoring on gender

and climate change

Issued

monitoring

report

ESMS

Team on

company

Annually

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mitigation and

adaptation, guidelines

level

Project

owner on

project

level

Priority Area

Result to be achieved: Increased gender competencies of the stakeholders and fund

beneficiary recipients


(c)

Capacity

Building

Build up the gender

sensitivity of the

fund’s beneficiary

recipients

Gender study in

the project’s

readiness and

preparatory

report (ESIA)

Project owner

Priority Area

Result to be achieved: Gender-sensitive outputs, outcomes, and impact of fund’s

projects or programmes


(d)

Outputs,

outcomes, and

impact

monitoring

indicators,

and reporting

1. Application of

gender guidelines in

project preparation/

design/implementation/

monitoring

Percentage of

projects/

programmes

that have

carried out

initial

socioeconomic

and gender

assessments and

collected

baseline data

Project owner Beginning

of every

project

2. Establish a

transparent portfolio

for gender-sensitive

projects

Monitoring

report for

gender-sensitive

audit in each

project

Project owner Annually

Priority Area

Result to be achieved: Ensure the resource allocation will contribute to the gender-

sensitive approach

Action Indicators Responsibility Timing

(e)

Resource

allocation and

budgeting

1. Financing of gender

elements of projects or

programmes

Projects or

programmes

budger

allocated for

gender study

assessment and

elements (along

the lines of the

ESIA

implementation

and monitoring)

Project owner ESIA

study and

annual

monitoring

2. Gender equality and

equity for human

resource recruitment

Recruitment

process report

and audit report

Project owner Annually

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and allocated in the

project management

unit without any form

of discrimination

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Environmental and Social Assessment Checklist

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