LAND ACQUISITION AND RESETTLEMENT FRAMEWORK

Document Status: Draft

May 2015

INO: Flood Management in Selected River Basins Sector Project

Prepared by the Ministry of Public Work and Housing through the Directorate General of Water Resources for Asian Development Bank.

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CURRENCY EQUIVALENTS (as of 15 May 2015)

Currency unit = rupiah (Rp)

Rp1.00 = $0.000076 $1.00 = 13,159

ABBREVIATIONS

AA Appraisal Agency ADB Asian Development Bank AH Affected Household AP Affected Person BAL Basic Agrarian Law BAPPEDA Badan Perencanaan Pembangunan Daerah (Provincial / District

Development Planning Agency) BAPPENAS Badan Perencanaan Pembangunan Nasional (National

Development Planning Agency) BPL Below The Poverty Line BPN Badan Pertanahan Nasional (National Land Agency) BWS Balai Wilayah Sungai (Center for River Basin) CBFRM Community-Based Flood Risk Management COI Corridor Of Impact CWZ Construction Works Zone DED Detailed Engineering Design DGWR Directorate General of Water Resources DMS Detailed Measurement Survey EA Executing Agency EIA Environmental Impact Assessment EMA External Monitoring Agency FMSRBSP Flood Management in Selected River Basins Sector Project GOI Government of Indonesia HH Household HUP Harga Umum Pasar – general market price IA Implementing Agency ICWRMP Integrated Citarum Water Resources Management Investment

Program IEC Information, Education, and Communication IFM Integrated Flood Management IOL Inventory Of Losses IP Indigenous People IR Involuntary Resettlement Km Kilometer LA Land Acquisition LAIT Land Acquisition Implementation Team LARF Land Acquisition Resettlement Framework LARP Land Acquisition Resettlement Plan LRP Livelihood Restoration Program MAPPI Masyarakat Profesi Penilai Indonesia - Indonesian

Professional Appraiser Association MFF Multitranche Financing Facility MOA Ministry of Agriculture MOHA Ministry of Home Affairs NJOP Nilai Jual Object Pajak (Tax object selling price)

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NTP Notice To Proceed

PBHTP Biaya Perolehan Hak Atas Tanah dan Bangunan (Cost for the Acquisition of the right Land and / or Buildings)

PCMC Provincial Project Coordination Monitoring Committees PIB Project Information Booklet PIC Project Implementing Consultant PIU Project Implementation Unit PNBP Non-Taxes of State Revenue PPAT Pejabat Pembuat Akta Tanah (Land Deed Official) RCS Replacement Cost Study ROW Right-Of-Way RWG Resettlement Working Group SES Socioeconomic Survey SLIC Subproject LARP Implementation Team/Committee SOE State-Owned Enterprise SPS Safeguards Policy Statement SPPT Surat Pemberitahuan Pajak Terhutang (Government notification

of outstanding tax) TOR Terms Of Reference WS Wilayah Sungai (district)

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DEFINITION OF TERMS

Affected Residents / Population / Entitled Persons

Refers to any person or persons, customary community, private or public institution who are physically displaced (relocation, loss of residential land, or loss of shelter) and/or economically displaced (loss of land, assets, access to assets, income sources, or means of livelihood) as result of i) acquisition of land; ii) restriction on land use or on access to legally designated parks and protected areas. The affected populations are parties who control or posses an object land acquisition.

Entitled party Party that controls or posseses land acquisition objects

Land Acquisition object

Land, space above ground and below ground, buildings, plants, objects related to land, or any other objects that can be assessed

Census of affected persons

The census is a count of all displaced persons irrespective of their titled or non-titled land ownership status. Its purpose is to accurately document the number of displaced persons and to create an inventory of their losses finalized on the basis of a DMS.

A census describes the persons who are displaced, their livelihoods and income sources, and what they are likely to lose because of the project.

Compensation Proper and equitable replacement provided in the form of cash or other agreed in kind at replacement cost to the affected person / entitled party in the process of land acquisition / resettlement for the assets and livelihoods lost or affected by the project.

Construction Works Zone

A CWZ shall be a designated zone defined during detailed design and clearly identified in the LARP update that will divide the canal/river into convenient stretches for construction implementation

Corridor of Impact Area, which is impacted by civil works in the implementation of any subproject of the FMSRBP. It is important in two particular respects: (a) Legally as the area within which AHs will be entitled to compensation and other measures for any loss of land, structures or land use and occupation and of livelihoods and (b) Operationally as the agreed and demarcated area within which construction activities will take place.

Impact Extent of social and economic impacts resulting from the implementation of an activity. In land acquisition / resettlement, the degree of impact will be determined by (a) scope of economic loss and physical displacement / relocation; and (b) vulnerability of the affected population / entitled party. Impact can be positive or negative.

Cut-off date The cut-off-date for eligibility to Project entitlements refers to the date when the Land Acquisition Implementation Team (LAIT) led by Land Agency posts the result of the detailed measurement survey (DMS) that include the list of the entitled parties and the losses in public places (e.g village office, district office, and the location of the land acquisition).

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The cut-off date sets the time limits to determine eligibility of persons living and/or with assets or interests inside the project areas. Should they be adversely affected, they will be entitled to compensation for their affected assets, including rehabilitation measures as needed, sufficient to assist them to improve or at least maintain their pre-project living standards, income-earning capacity and production levels. Those who encroach into the project area, or any of its subprojects, after the cut-off date will not be entitled to compensation or any other assistance. The cut-off date will be made known to entitled parties and other stakeholders..

Detailed Measurement Survey

With the use of approved detailed engineering drawings, this activity involves the finalization and/or validation of the results of the IOL, severity of impacts, and list of APs done during the preparation of this land acquisition and resettlement plan (LARP). The updating will be carried out during land acquisition implementation phase undertaken by the land acquisition team led by land office.

Eminent domain/ Compulsory Land Acquisition

The right of the state using its sovereign power to acquire land for public purposes. National law establishes which public agencies have the prerogative to exercise eminent domain.

Entitlement Refers to a range of measures of compensation and other forms of assistance provided to displaced/ entitled persons in the respective eligibility category.

Income restoration This involves rehabilitating the sources of income and productive livelihoods of severely affected and vulnerable APs to enable income generation equal to or, if possible, better than earned by displaced persons before resettlement.

Inventory of Losses This is the listing of assets as a preliminary record of affected or lost assets during the preparation of this LARP where all fixed assets (i.e., land used for residence, commerce, agriculture; dwelling units; stalls and shops; secondary structures, such as fences, tombs, wells; standing crops and trees with commercial value; etc.) and sources of income and livelihood inside the COI are identified, measured, their owners identified, their exact location pinpointed, and their replacement costs calculated. The severity of impact on the affected assets and the severity of impact on the livelihood and productive capacity of the Affected Persons or entitled parties are likewise determined.

Resettlement It is the displacement of people, not of their own volition but involuntarily, from their homes, assets, sources of income and livelihood in the Corridor Of Impact (COI) in connection with the Project.

Land acquisition Land Acquisition activity by way of giving compensation and other measures adequately and at replacement costs for damages / loss to the entitled parties / affected populations in order to reduce adverse social impacts due to the project. Land acquisition and resettlement are conducted involuntary for the benefit of the project.

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Relocation The physical displacement of an AP from his/her pre-project place of residence and/or business.

Relocation Assistance Support provided to persons who are physically displaced by a project. It may include transportation, transitional assistance (food, shelter, and social service) that is provided to the displaced persons in connection with their relocation.

Replacement cost

Amount in cash or in kind needed to replace an asset in its existing condition, without deduction for transaction costs or depreciation, at prevailing market value, or its nearest equivalent, at the time of compensation payment

Land Acquisition and Resettlement Plan (LARP)

A time-bound action plan with budget, setting out the resettlement objectives and strategies, entitlements, activities and responsibilities, resettlement monitoring, and resettlement evaluation.

Severely affected persons

This refers to Affected/ displaced Persons who will i) lose 10% or more of their total productive assets, ii) have to relocate, and/or iii) lose 10% or more of their total income sources due to the project.

Vulnerable groups These are distinct groups of people who might suffer more or face the risk of being further marginalized due to the project and specifically include: i) households that are headed by women, ii) household heads with disabilities, iii) households falling under the regional poverty line, and iv) elderly household heads.1

This land acquisition and resettlement framework 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.

1 This definition is in line with Law No. 39/1999 (Article 5 elucidation) on Human Rights. Vulnerable populations

include the elderly, children, the poor, pregnant women and people with disabilities.

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TABLE OF CONTENTS

CURRENCY EQUIVALENTS............................................................................................................................ ii

ABBREVIATIONS ............................................................................................................................................. ii

DEFINITION OF TERMS ................................................................................................................................ iv

TABLE OF CONTENTS .................................................................................................................................. vii

LIST OF TABLES ............................................................................................................................................ viii

I. INTRODUCTION ...................................................................................................................... 1

A. Overall Project Description .................................................................................................................................... 1

B. Field Interventions ...................................................................................................................................................... 3

C. Core Subproject Structural Interventions Description .............................................................................. 3

D. Anticipated Involuntary Resettlement .............................................................................................................. 4

II. OBJECTIVES, POLICY FRAMEWORK, AND ENTITLEMENTS ......................................................... 6

A. Objectives and Scope of the LARF ......................................................................................................................... 6

B. Legal Framework ......................................................................................................................................................... 6

C. Principles of Land Acquisition and Resettlement Policy for the Project.......................................... 15

D. Subproject Screening and Minimizing Involuntary Resettlement ...................................................... 16

E. Entitles Parties, Eligibility, and Cut-Off Dates ............................................................................................. 17

III. SOCIOECONOMIC INFORMATION ...................................................................................................... 19

A. Census of entitled party .......................................................................................................................................... 19

B. Socioeconomic Survey ............................................................................................................................................. 19

C. Inventory of Losses and Detailed Measurement Survey .......................................................................... 19

D. Replacement Cost Study and Assessment ....................................................................................................... 20

IV. CONSULTATION, PARTICIPATION, AND DISCLOSURE ............................................................... 24

A. Consultation and Participation .......................................................................................................................... 24

B. Institutional Roles in the Conduct of Consultations .................................................................................. 25

C. Disclosure ...................................................................................................................................................................... 25

V. COMPENSATION, INCOME RESTORATION, AND RELOCATION ................................................ 27

A. Compensation ............................................................................................................................................................. 27

B. Relocation/Replacement Land and Income and Livelihood Improvement ................................... 39

C. Unanticipated Impacts ........................................................................................................................................... 40

D. Additional Measures ............................................................................................................................................... 41

VI. GRIEVANCE REDRESS MECHANISMS ................................................................................................ 44

A. General Flow of Grievance Redress ................................................................................................................... 44

B. Specific Grievances ................................................................................................................................................... 44

VII. INSTITUTIONAL ARRANGEMENTS AND IMPLEMENTATION ................................................. 46

A. Project Related Institutions and Their Role .................................................................................................. 46

B. Institutions and Land Acquisition Process. ................................................................................................... 47

C. Institutions and Capacity Strengthening ....................................................................................................... 51

D. Project Implementation Specialist Consultants .......................................................................................... 52

VIII. BUDGET AND FINANCING ................................................................................................................. 53

IX. MONITORING AND REPORTING ......................................................................................................... 55

A. Monitoring Arrangements .................................................................................................................................... 55

B. Monitoring Indicators ............................................................................................................................................. 55

C. Reporting and Disclosure ...................................................................................................................................... 56

D. Assessment and Evaluation .................................................................................................................................. 56

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Appendix 1. Outline of a LARP ................................................................................................................ 57

Appendix 2. Subproject LAR Screening Checklist ............................................................................ 59

Appendix 3. Guide to Socioeconomic Survey (SES) with Dummy Tables ................................. 60

Appendix 4. Sample and Template for the Consultation and Participation Plan ................. 70

Appendix 5. Negotiated Land Acquisition Form ............................................................................... 73

Appendix 6. Voluntary Land Donation Form ..................................................................................... 74

Appendix 7: Term of Reference for Verification of Voluntary Donation .................................. 76

Appendix 8: Specific for Subprojects with Land Clearing Function of the Resettlement

Working Group ..................................................................................................................... 79

Appendix 9. Sample of TOR for External Monitoring and Post Evaluation .............................. 80

Appendix 10. Guide to Developing Monitoring Indicators ............................................................ 84

Appendix 11. Internal Monitoring and Reporting Template ........................................................ 87

LIST OF TABLES

Table 1. Project Components per Output ............................................................................. 3

Table 2. Anticipated Impacts: Types of Losses .................................................................... 4

Table 3. Some Gaps between Land Acquisition Law and Regulations with ADB SPS and Proposed Project Principles ................................................................................ 12

Table 4. Assessment Approaches According to Indonesia Valuation Standards ................ 21

Table 5. Entitlement Matrix For Land Acquisition and Land Clearing .................................. 28

Table 6. Criteria and Guidance Notes on Voluntary Donation ............................................ 42

Table 7. Land Acquisition Process and Activities and Agencies and Timeframe under Law No. 2/2012 and ADB SPS 2009 ............................................................................ 47

Table 8. Cost Items for Land Acquisition Budget ................................................................ 53

LAND ACQUISITION AND RESETTLEMENT FRAMEWORK

I. INTRODUCTION

A. Overall Project Description

1. Rationale. Indonesia is highly prone to flood hazards due to its climate and topography.1 Flooding is a growing annual occurrence throughout most of the country imposing as much as $430 million per year in economic losses.2 From 2003 to 2013, the country’s average annual flood impact included: (i) 1.58 million affected persons; (ii) 350 casualties and 13,640 injured; (iii) 223,000 homes fully or partially damaged; and (iv) 168,000 hectares (ha) of crops inundated.3 The floods sever vital transport arteries and often disrupt access to ports and airports, restricting the transfer of goods and services. In 2013, the Ciujung river flooding affected 19,674 households, displaced 50,527 people, and disrupted the traffic along the Jakarta-Merak toll road that connect Java to Sumatra island.4 Despite its location in a drier region, in 2013, Ambon suffered from flash floods resulting in 59 destroyed and 45 damaged houses, 10 dead and 5 missing persons and 7,212 displaced people.

2. Flood impacts have worsened during the past 30 years. Deforestation and inappropriate agricultural practices, which result in erosion and increased sediment loads in waterways,5 ultimately reduce the capacity of rivers to accommodate higher flows resulting from intense rainfall events. Expanding population combined with past lapses in spatial planning and land management has permitted substantial development in flood-prone areas, escalating the danger and damages from flooding. Urbanization increases area of impervious surfaces, causing greater peak flood flows.6 Weak hydrological data acquisition and management, flood forecasting and climate risk modeling, and lack of integrated decision making processes among government agencies limit the ability to optimize the investment planning and maximize their returns. Incompleteness of investment and neglected operation and maintenance of flood protection infrastructure accentuate the adverse impacts of floods. In the absence of appropriate awareness and preparedness, the communities are highly vulnerable and at greater risk of loss of life and asset from frequent floods.

3. Climate change, manifested through an increasing frequency of intense rainfall events and rising sea levels, is expected to further exacerbate flooding risk. The impacts of intense and frequent flood events combined with the lack of economic and social capital to manage, and response to flood risks further limit the ability of many communities to come out of poverty.7 Climate change is also expected to produce stronger and more frequent El Nino/La Nina events and will exacerbate floods and droughts, thereby leading to increased food and water insecurity.

1 Indonesia is prone to two main type of flooding: (i) long-lasting riverine floods in large river basins having steep

slopes in upper part and long, flat and low floodplains (often influenced by tides) - these are characteristic of the large islands such as Java, Sumatra, Kalimantan or Iran Jaya; and (ii) flash floods, of short duration and high intensity, which occur in small and steep mountainous river basins, such as in small islands of Eastern Indonesia.

2 Centre for Research on the Epidemiology of Disasters (CRED). EM-DAT: The OFDA/CRED International

Disaster Database. www.emdat.be. (accessed April 2014). 3National Disaster Management Agency (BNPB). Indonesian Disaster Information and Data (DIBI).

http://dibi.bnpb.go.id/DesInventar/dashboard.jsp (accessed April 2014). 4 2015. National Agency for Disaster Management (BNPB). www.geospasial.bnpb.go.id (accessed March 2015).

5 Degraded land in Indonesia is about 78 million hectare, consists of slightly degraded (48 million hectare),

degraded (23 million hectare), and highly degraded (7 million hectare). ADB. 2015. Indonesia Country Water Assessment. Manila. (PATA 8432-INO).

6 World Bank. May 2012. Java Water Resources Strategic Study has estimated that, at current trends, the

urbanized area in Java will double within 30 years. 7 The total population in Banten and Ambon xxx – poverty xxx

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4. Indonesia adopted the integrated water resources management (IWRM) approach, which is being promoted through (i) the establishment of river basin management organizations (RBOs), 8 and (ii) the formulation of strategic basin plans (Pola) as a prerequisite to basin development plans (Rencanas). The Rencanas form the basis for the public investment in water resources management with an horizon of 20 years, including flood management. Implementation of the IWRM and participatory river basin management is still hampered by inadequate planning, investment, capacity and coordination. RBTs targeted by the Project are not an exception. There is a growing need for integrating structure and non-structural measures address the flood challenge holistically.

5. Water security is a central pillar of the 2015-2019 Government’s National Medium Term Development Plan (RPJMN), and promotes flood risk management (FRM) to reduce impact and damages of floods. FRM embraces a range of measures that address the three key components of flood risk management including (i) managing flood hazard, (ii) minimizing exposure to flood hazard, and (iii) reducing vulnerability of people and property exposed. Managing flood hazard involves physical modification of water flow such as river infrastructure works, and catchment management measures such as controls over forestry and agricultural practices. Managing exposure to floods involves property acquisition, land use zoning, building codes, planning development controls, and elevated building. Managing flood vulnerability involves non-structural measures such as community awareness, flood forecasting and warning, preparedness, emergency response, post-flood early recovery strategies, and flood insurance.

6. The Project will promote FRM to balance infrastructure investment with software measures. The Project will finance subprojects in two RBTs: (i) the Cidanau–Ciujung–Cidurian (3 Cis) in Banten Province, and (ii) the Ambon – Seram in Maluku Province. The 3 Cis and Ambon – Seram RBTs9 - respectively affected by the two main type of floods, the riverine and flash floods – have been selected to demonstrate the FRM approach as part of the operationalization of the 2015–2019 RPJMN. The investment will help the Government to accelerate the implementation of the river basin plans (Rencanas) in those RBTs. Project interventions will (i) enhance data and information, management and institutional coordination for managing floods; (ii) upgrade and develop flood protection infrastructure; (iii) reduce erosion and improve watershed conditions; and (iv) prepare communities to manage floods.

7. Impact and Outcome. The impact will be reduced economic and social losses from flood events in selected river basins. The outcome will be reduced flood risks in Project river basins.

8. Components per Outputs. The project will have the following sub components grouped under four outputs

8 Sixty three river basin territories are under the responsibility of the central government, while 53 and 15 falls

under the responsibility of the provincial and district agencies respectively. 9 The 3 Cis RBT covers an area of 4,125 km2 with a population of 3.63 million and lies mainly within the Banten Province, the most westerly province of Java. The Ambon–Seram RBT is located on the islands of Ambon and Seram, in Maluku Province in eastern Indonesia with a population of 278,108 and an area of 18,625 km2.

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Table 1. Project Components per Output Component

Output 1: Enhanced knowledge base for flood risk management 1.A Enhanced basin data and information and preparation of flood risks management (FRM) plans

for the 3 CIs RBT and Ambon–Seram RBT (BBWS 3 Cis and BWSM) 1.B Institutional strengthening, planning and coordination for the implementation of FRM plans in

3Cis RBT and Ambon-Seram RBT (MOHA) Output 2: Improved land management and upgraded flood infrastructure

2.A Farmland management and sustainable agriculture practices in the Ciujung river basin (MOA) 2.B Improved runoff and erosion control in 3Cis RBT and Ambon-Seram RBT (MOHA) 2.C Detailed engineering design (DED) (including Environmental Impact Assessment (EIA), social

safeguards, economic analysis, tender documents and river operation and maintenance plans) and Construction Supervision for the 3 CIs RBT and Ambon-Seram RBT (DGWR, BBWS 3 Cis and BWSM)

2.D Civil works for the 3 CIs and Ambon-Seram RBTs (Priority works, rehabilitation of flood control embankments, drainage system and associated control structures information) (BBWS 3 Cis and BWSM)

Output 3: Enhanced capacity for community-based flood risk management (CBFRM) 3.A Enhanced capacity for community-based flood risk management in the 3Cis RBT and Ambon-

Seram RBT (MOHA) Output 4: Effective project implementation 4.A 4.B

Project Management (DGWR - MPW) Independent Monitoring, Evaluation and Strategic Coordination BAPPENAS (IME)

BBWS 3CIs = Balai Besar Wilayah Sungai Cidanau-Ciujung-Cidurian, BWSM = Balai Wilayah Sungai Maluku, DGWR = Directorate General of Water Resources, MOA = Ministry of Agriculture, MOHA = Ministry of Home Affairs, MPW = Ministry of Public Works and Housing.

B. Field Interventions

9. Of the four Project outputs, Output 2: Improved land management and upgraded flood infrastructure will result to activities that require land acquisition and resettlement (LAR):

(i) 2.A Farmland management and sustainable agriculture practices in the Ciujung river basin (MOA) and 2.B Improved runoff and erosion control in 3Cis RBT and Ambon-Seram RBT (MOHA), with a participatory approach, through active involvement of farmers and communities. Activities will include (a) rainfall harvest, flood attenuation and erosion control micro dams in the tributaries and on the open slopes, water ponds for household uses, slope stabilization including terracing in the farm lands; and (b) agro-forestry in public land area.

(ii) Civil works for the 3 Cis and Ambon – Seram RBTs (Sub Component 2.D). Under this component, a range of water infrastructure (new or rehabilitation) works will be implemented including, river bank, spill way, river widening, river and reservoir dredging, retention area, check dam, drainage improvement. Those activities under the BBWS 3 CIs and BWSM, will be implemented by contractors. Detailed engineering designs will be prepared to minimize LAR impacts.

C. Core Subproject Structural Interventions Description

10. Ciujung River Basin. The Ciujung River is one of three main rivers and is the national river basin, including the Cidanau-Ciujung-Cidurian (3 Cis), which has a total area of 5,000 km2. The catchment area of the Ciujung River is 1,860 km2 (38% of the total district). Ciujung River consists of several tributaries that merge in upstream of Rangkasbitung (about 43 km from the river mouth), and flooding is reported to occur on the relatively flat floodplain along virtually the entire length of the river reaches downstream to the sea. Sediment deposition in the main river channels has reduced the discharge capacity of the Ciujung. Hydraulic modeling done during Project preparation shows that capacity of the lower reaches and mouth of the Ciujung has been severely reduced due to excessive sediment deposition, well below the average flood flows (Q2) that could normally be expected.

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Flooding along the Ciujung frequently causes considerable damage and disruption. The flood in January 2013 caused extensive damage in the basin. In Lebak District along fifteen sub districts were often affected by the floods and landslides, and the flood depth reached over 3 meters leaving in some areas many families homeless.

11. Ciujung core sub project’s structural interventions involve construction of new river dikes to retain 25 return period floods within the existing main river channel for an 11.8 km stretch downstream of the existing Pamarayan weir in an area where there are no existing river dikes The location of dike construction covers 5 sub-districts and 9 villages, located in the Serang district, as follows: (i) Panosogan, Katulisan, Gandayasa, and Penyabrangan villages in the Cikeusal sub district; (ii) Nagara village in Kibin sub district; (iii) Malabar and Blokang Bandung sub district; (iv) Dukuh village in Kragilan sub district; and (v) Kampung Baru village in Pamarayan sub district. Project and design alternatives have been developed to minimize involuntary resettlement. The location of borrow areas (borrow pits) are chosen from those located near or in the project area. Borrow pit10 is required for the retrieval of soil material for embankment. Based on the initial investigation of the potential of the borrow pit located in 13 locations in Serang. Location selection of the 13 borrow pits is based on laboratory test results on the soil suitability.

12. Future Potential Subprojects. There are several potential projects that will be implemented in the future, such as activities to be carried out by BBWS 3Cis in Rangkasbitung region (covering 3 tributaries located upstream of the Pamayaran weir). The proposed subproject consists of: restoration of the river, embankment, parapet wall and pump along the 10.5 km of the river that flows through the city Rangkasbitung for which the DED, environmental impact assessment (AMDAL) and draft LARP will be prepared, has been identified as potential subproject by BBWS 3CIs. The BWSM confirmed the concept for the priority river basins using river restoration approach as developed in Semarang. The upgrading of the existing check dam and constructions of small check dams in the upper Batu Merah to (i) reduce flood peak; and (ii) retained sediment, will also be further assessed. The full list of potential subprojects is presented in Appendix 4 of the PAM. Future subprojects will be appraised, selected and prepared during project

D. Anticipated Involuntary Resettlement

13. Based on the social assessment conducted at project preparation anticipated impacts specific to Output 2 were determined and summarized in Table 2.

Table 2. Anticipated Impacts: Types of Losses Activities Under Output 2 Anticipated IR impacts Mitigating measure

(i) Civil works for the 3 CIs and Maluku: Priority works, check dams, rehabilitation of flood control embankments, retention basin, drainage system and associated control structures information

(i) Permanent or temporary loss of land (agricultural, residential, public, forest);

(ii) Total or partial loss of structures (houses, shops, public buildings, others);

(iii) Total or partial loss of crops and trees;

(iv) Restriction of access to common property resources (i.e., river itself);

(v) Loss of income. (vi) Loss of small portion of

land and land revenue, if any, as it was donated

Project management will ensure:

(i) Meaningful consultations will be conducted with affected communities and interested groups from the early stage of the project planning phase of the project and will be carried out continuously throughout the project phases.

(ii) Participation of affected persons or their duly appointed representatives in the preparation and implementation of the LARP (specifically to include: conduct of social assessment, monitoring, and disclosure).\

(iii) Promote transparency and information sharing with partners and affected communities.

(iv) Capacitate implementers on culturally acceptable and gender sensitive approaches to

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Borrow pit is a term used in construction and civil engineering. Describing a place where material (usually soil, gravel or sand) is excavated for use in other locations. It can be found close to the project site. For example, the soil excavated for the construction of embankments and highways.

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Activities Under Output 2 Anticipated IR impacts Mitigating measure for the watershed rehabilitation and management program or sustainable agricultural land management program

consultations.

(v) Preparation of LARP that ensure APs/ entitled parties are better off or at least at par with their pre-project living standards and compliant with ADB SPS and Indonesia’s laws and regulations; work complementary with other agencies in supporting social services and activities for vulnerable people and APs.

(vi) Preparation of social action plan (SAP) in collaboration with the local governments to restore the income sources and livelihoods of vulnerable and severely households affected by the project activities.

Farmland Program, sustainable agriculture practices and watershed rehabilitation; requires a voluntary donation of land (small-scale) of the community.

No IR (i) Perform verification to ensure that the voluntary

contributions are completely voluntary through information conveyed verbally or in writing, and through an independent third part.

(ii) Ensuring that donations do not have a negative impact on the standard of life of affected persons and provide them benefits

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II. OBJECTIVES, POLICY FRAMEWORK, AND ENTITLEMENTS

A. Objectives and Scope of the LARF

14. The principal objectives of this LARF are to:

(i) Avoid involuntary resettlement wherever possible; (ii) Minimize involuntary resettlement by exploring project and design alternatives; (iii) Enhance, or at least restore, the livelihoods of all displaced persons in real terms

relative to the pre-project levels; and (iv) Improve the standards of living of the displaced poor and other vulnerable

groups.

15. This LARF covers both physical and economic displacement as a result of (i) involuntary acquisition of land; or (ii) involuntary restrictions on land use or restrictions on access to and from the parks and protected areas as set by law. Displacements can be full or partial, permanent or temporary. Per ADB-SPS 2009, physical displacement refers to relocation arising from the loss of residential land or loss of shelter while economic displacement refers to loss of land, assets, access to assets, income sources, or means of livelihoods. Restrictions on land and resource use refer to the imposition of involuntary restrictions on the use of resources on people who live around or within such areas.

16. The LARF was prepared by the Directorate General of Water Resources, Ministry of Public Works and Housing as the executing agency of the project. The LARF establishes basic principles and guidelines that should be adhered by the implementing agencies in the selection of subproject, screening and categorization of sub-projects, resettlement assessment, preparation and implementation of Land Acquisition and Resettlement Plan (LARP) for the future sub-projects. Appendix 1 provides an outline of the preparation of LARP.

B. Legal Framework

1. National Laws of the Government of Indonesia

17. Indonesia recently enacted a new land acquisition law for development in the public interest,11 Law No. 2/2012 and its implementing regulations i.e. (i) President of the Republic of Indonesia Regulation No. 71/2012 and President of the Republic of Indonesia Regulation No. 40/201412 on the Amendment to the President of the Republic of Indonesia Regulation No. 71 of 2012;13; (ii) Head of National Land Agency No. 5/2012;14 (iii) Ministry of Finance

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Public Interest means the interest of the people, state, and society that must be realized by the government for best prosperity of the people. Please see Law No. 2/2012, General Elucidation.

12 President of the Republic of Indonesia Regulation No. 40/2014, changes the content of Article 121 of President of the Republic of Indonesia Regulation No. 71/2012 stipulates that, in the context of efficiency and effectiveness, land acquisition for public purposes of no more than 5 hectares can be implemented directly by the agency requiring land with the land rights holders, by way of sale or exchange or other means agreed upon by both parties.

13 It further regulates provisions under the land acquisition law that include i) land acquisition planning that include required information to be included in the land acquisition document; ii) land acquisition preparation that covers preparatory team and it tasks, stages and detailed activities for the project location determination; iii) land acquisition implementation by National Land Agency that include detailed provisions on land acquisition implementation team, preparation of land acquisition implementation, inventory of identification of losses, determination of independent appraiser, deliberations on the forms of compensation, delivery of compensation payment, delivery of compensation in the special circumstances, deposit compensation payment, release of the land acquisition objects, termination of rights between the entitled parties and land acquisition objects, recording and administrative data; iv) transfer of acquired land,; v) other provisions that include monitoring and evaluation, source of fund for land acquisition, negotiated land acquisition for small plot of land (less than 1 hectare; vii), tax incentive for entitled parties except who make claims on the decision on the location determination and decision on the amount of compensation.

14 It provides technical guidelines on land acquisition implementation by Land National Agency.

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Regulation No. 13/PKM.02/2013;15 and (iv) Ministry of Home Affairs Regulation No. 72/2012). The law and regulations were issued to ensure land acquisition for the implementation of development for the public interest, with the emphasis on the principles of humanity, democratic, and equitable. These legal provisions replaced previous land acquisition laws and its implementation regulations (President of the Republic of Indonesia Regulation No. 65 of 2006; President of the Republic of Indonesia Regulation No. 36/ 2005; BPN Head Regulation No. 3/2007).

18. Law No. 2/2012 provides a clear procedure and timeframe for land acquisition involving all stakeholders with a clear procedures and time frame. The implementation of land acquisition considers balance between development interest and the interests of the community and by way of giving appropriate and equitable compensation. The objective of land acquisition is to make land available to improve the welfare and the prosperity of the people, state, and society by ensuring the legal interest of the entitled parties. The provision of the transitional law stipulates that the land acquisition started before the enactment of the new law will be completed in accordance with the rules or regulations applicable previously, while the land acquisition implemented after the enactment of the new law will be conducted under the provisions of the law No 2/2012.

19. The President of the Republic of Indonesia Regulation No. 71 of/2012 stipulates that the previous regulations will still apply if (i) the planning document on land acquisition has been prepared prior to the law promulgation; or (ii) land acquisition will be completed prior to 31 December 2014.16 The Project is considered as a development for public interest, the land acquisition for the project is undertaken after the promulgation of the land acquisition law so that the land acquisition is implemented in reference to the Law No. 2/2012 and its implementing regulations. The law stipulates that government should undertake development for the public interest and the land belongs to the government or regional government or State Owned Enterprises while the development in the public interest is the responsibility of the government and it can cooperate with State-Owned Enterprises, Regional-Owned Enterprises, and Private – Owned Enterprises.

20. Based on Law No. 2/2012, the government should undertake land acquisition by involving all entitled holders (pihak yang berhak) and concerned. The entitled parties shall be those who control or own the object of the land acquisition, inter alia: (i) the holders of land rights; (ii) the holders of land rights to manage; (iii) nadzir for the waqf land;17 (iv) the owners of former customary rights secured land; (v) indigenous people/customary communities; (vi) the parties occupying the state land in good faith; (vii) land tenure holders; and/or (viii) the owners of buildings, plants or other objects related to the land. The object of land acquisition includes: (i) land; (ii) over ground and underground space; (iii) plants; (iii) buildings; (iv) objects related to land; and (v) other appraisable loss that include non-physical loss such as loss of business, loss of job, cost of change of location, cost of change of profession, and loss of the remaining property (residual property that is no longer viable).18 Land acquisition implementation is handled by the National Land Agency, conducted by providing fair and adequate compensation. The Law 2012 recognizes that a location determination will be required prior to land acquisition.19 Acquisition of land for public interest less than 1 hectare

15

It stipulates on operational and support costs for land acquisition implementation (planning, preparation, implementation, and land transfer phases) that come from the government budget. The regulation provides a detailed guidance on maximum cost for land acquisition preparation and implementation.

16 For the land acquisition being done and there is remaining land that will not be able to be completed by 31 December 2013, hence the remaining land should be acquired using provisions under the new land acquisition law and its implementation regulations. Please see Presidential Decree No. 71/2012 article 123.

17 Waqf - an inalienable religious endowment in Islamic law, typically donating a building or plot of land or even cash for Muslim religious or charitable purposes. The donated assets are held by a charitable trust or waqf organizer.

18 Elucidation of Article 33, Law No. 2/ 2012.

19 Article 19 (5) specifies that "After the agreement referred to in paragraph (4), Agency requiring land must apply to the government for confirmation of the location".

8

can be conducted by the institution needing the land through sale transaction, exchange, or other means acceptable to both parties.20

21. Compensation for losses in terms of land acquisition and resettlement activities as stipulated in the provisions of Law Number. 2/2012 now covers “Other appraisable loss”.21 Losses in terms of restriction/limitation or restriction to access to natural resources such as marine-fishery resources that can impact on the economic activities of people are now categorized as losses by the new Law and may be valuated for compensation purposes and may be in any of the following forms (Article 36): (i) money; (ii) substitute land; (iii) resettlements; (iv) shareholding; or (v) other forms as agreed upon by both parties.

22. Law No. 2/2012 and its implementation regulations are applicable to the activities of land acquisition for the construction for the public interest22 carried out by government with appropriate and equitable compensation. Various discussions with institutions that have the authority to provide an explanation of the provisions of the law, such as the AGO and BPN asserted that Law No. 2/2012 only applicable to land acquisition, where the object to be acquired are the property of other party and not owned by institutions requiring land. Acquisition of land belonging to the institution requiring land is regarded as a land clearing. In this context, the Government Regulation in lieu of Law Number 51 of 1960 on the prohibition of land use without the consent of the entitled party or his proxy is still applicable. Nevertheless, the Government Regulation in Lieu of Law Number. 51/1960 is deemed not provide protection to the entitled party and therefore is not widely implemented.

23. In many areas, practices of land clearing of asset or occupation of other parties (non-land rights holders) are conducted by giving a kadeudeuh money (allowance) or replacement of the assets acquired and resettlement assistance in the West Tarum Canal Rehabilitation Project in return for the land clearing, compensation was granted on the affected assets, loss of business income, as well as relocation assistance. This compensation scheme is set forth in the Decree of the Governor as its legal basis. In some other projects (Road Rehabilitation Project 2) of the Ministry of Public Works and Housing, compensation, either in cash or resettlement provision is also given to people occupying state land for their loss of assets, and income. While various projects in Jakarta, the Government of Jakarta provide resettlement facilities and means required to restore economic income of the displaced residents.

24. Other relevant laws, regulations and provisions are:

(i) Related to IP/Customary/Adat

a) Law No. 5/1960 concerning Basic Agrarian Affairs – acknowledges customary rights of Indigenous Peoples (IPs).

b) Law No. 32/2004 concerning Local Government – establishes state respect of customary and traditional rights and laws, devolves authority to village or customary governance systems and empowers them to promulgate customary village rules that may affect projects e.g. levying land transaction tax.

c) Law No 38/2004 Concerning Streets/Roads. Article 58 of Law 38/2004 says that land acquisition for road development for public use is carried out based on City/ district spatial management plan and the project must be informed to the affected people. Further, land right holder or state land user or customary law community whose land is needed for development are entitled for compensation that will be carried out

20

See Regulation of the Number 40/2014 an amendment to Article 121 of the President of the Republic of Indonesia Regulation No. 71/2012.

21 Per Article 33 of the Land Law 2012 means nonphysical loss equivalent to money value, for example, loss due to loss of business or job, cost of change of location, cost of change of profession, and loss of value of the remaining property.

22 Public interest is the interest of the nation, state, and society that must be realized by the government and used as much as possible for the prosperity of the people. Law No. 2/2012, General Elucidation.

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through consensus.

d) Law No 27/2007 Concerning Management of Coastal Areas and Small Islands. Article 61 declares that government recognizes, respect, and protect customary rights, traditional community and local wisdom over coastal areas and small islands that have been utilized

e) Law of the Republic of Indonesia No. 1/2014 on the Amendment to Law Number 27/2007 on Management of Coastal Areas and Small Islands.

f) Constitutional Court Decision (MK) canceled the provisions of the Forestry Law No. 41/1999 on indigenous forests, which establishes that indigenous forest is state forest in the area of indigenous peoples. This Decision excluded indigenous forest within the state forest.

(ii) Related to compensation and Improvement of living standards

a) Law no. 41/1999 Law on Forestry – regulates land acquisition in forests, requiring compensation land to be acquired for afforestation in a ratio of 2:1

b) Law No.11/2005 on the Ratification of the International Covenant on Economic, Social and Cultural Rights. This Act protects people rights of economy, social, and culture including right to live descent and protection of culture. As stated in Article 11 of the Convention that the state recognizes the right of everyone to an adequate standard of living for himself and his family, including adequate food, clothing and housing, and to the continuous improvement of living conditions. The State will take appropriate steps to ensure the realization of this right, recognizing the importance of international cooperation based on free consent and proclaimed previously.

c) Act No.41/2009 on Protection on Agricultural Land for Sustainable Food – stipulates special compensation if a project impacts sawah (wet rice) land, which is important to food security.

d) Head of BPN Regulation No. 1/2010 – on Standard of Land Service and Regulation regulates the time frame for certification of the remaining land after compensation payment.

e) Presidential Decree No. 34/2003 on National Policy on Land- regulates authorities of national and local governments on land. It stipulates that the authorities of local government on land include; (i) undertake land acquisition for development; and (ii) provide compensation and allowance (santunan) for land acquisition. The Indonesian Government Regulation No. 38/2007 about the distribution of state activities between the Central Government, Provincial Government, and district/ municipality government. Government regulations set the state activities that must be conducted by the provincial government and district / municipality government related to basic services23 including among others land issues.24

f) Indonesia Valuation Standards 306 (SPI 306) on the Assessment of Land Acquisition for Development for the Public Interest. The Indonesia Professional Appraisers Society (MAPPI) formulated the standards by adopting the development of international standards (IVS 2011). Standards 306 provides guidelines for

23

Article 7 Paragraph 1. 24

Compulsory activities reference to Article 7, Section 2 includes a. education; b. health; c. the environment; d. public works; e. spatial planning; f. development planning; g. housing; h. youth and sport; i. capital investment; j. cooperatives and small and medium enterprises k. demographic and civil registry; l. employment; m. food security; n. empowerment of women and protection of children; o. family planning and family welfare; p. transportation; q. communication and informatics; r. land; s. national unity and internal political; t. regional autonomy, public administration, regional financial administration , the regional equipment, personnel, and coding; u. empowering communities and villages; v. social; w. culture; x. statistics; y. archives; and z. library.

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assessment of land acquisition object for compensation in land acquisition for development for the public interest. Assessment includes the adequate replacement value of property and land. Assessment standards are also associated with other standards, such as scope of assignment, land property and structures valuation, farmland property valuation, valuation of property with particular business, business valuation, and inspection of cases under consideration.

(iii) Related to Water Resources Management

a) Regulation of the President of the Republic of Indonesia No. 12/2012 on Determination of the river basins between Regional and National Authority.

b) Government regulation (PP) No. 38/2011 with regard to river management; Ministry of Public Work no. 63/ 1993 with regard to river bank. Regulate riverbank (Bantaran) use, river and Sempadan right of way and benefits derived from the rivers/streams. The integrity of the riparian function is a key consideration in any review for status quo.

(iv) Related to Vulnerability and Severity Assistance

a) The Law No. 11/2009 on Social Welfare and its implementing regulation Ministry of Social Welfare Decree No. 39/2012 on Delivery of Welfare.

b) Law No. 39/1999 On Human Rights (Article 5, elucidation), describes the vulnerable groups include the elderly, children, the poor, pregnant women and people with disabilities.

c) Vulnerable / severely affected people are identified as early as possible through the Social Impact Assessment of AMDAL as referred to in the Environmental Law no. 32/2009 on Environmental Protection and Management; Indonesia Government Regulation on the Environmental Permit, Ministry of Environment Regulation No. 17/2012 with regard to participation guidance of local community in order to obtain AMDAL and Environmental Permit Issuance. Decree of the Head of Environmental Impact Management Agency No. 299/1996 on Guidelines for the Technical Assessment on Social Aspects in Preparation of the Environmental Impact Analysis.

(v) Related to Tax Incentive

a) Income Tax Rate of Land and / or Building ownership transfer

b) Basic Law: Government regulation (PP). 48/1994 jo; PP. 27/1996 jo; PP. 79/1999 jo; PP. 71/2008. On the Third Amendment to Government Regulation No. 48/1994

2. ADB Safeguards Policy Statement of 2009

25. The objectives of the ADB social safeguards policy are to avoid involuntary resettlement whenever possible; to minimize involuntary resettlement by exploring project and design alternatives; and to enhance, or at least restore, the livelihoods of all displaced and vulnerable persons in real terms relative to pre-project levels; and to improve the standards of living of the displaced poor and other vulnerable groups. The policy indicates four important elements in involuntary resettlement:

(i) Avoid the need for involuntary resettlement by exploring project and design alternatives;

(ii) If avoidance is not possible, compensate for lost assets and loss of livelihood and income of displaced / affected population so that their livelihood will be enhanced or at least equal or restored to the pre-project level;

(iii) Assist in relocation including provision of relocation sites with appropriate facilities and services; and

(iv) Enhance the living standards of the poor and other vulnerable affected/ displaced groups.

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26. The absence of legal title to land cannot be considered an obstacle to compensation and rehabilitation privileges per ADB Policy. All persons affected by the Project, especially the poor, landless, and semi-landless persons shall be included in the compensation, resettlement, and rehabilitation package. APs and/or AHs, whichever is deemed applicable, who are unable to demonstrate a legalizable or recognizable claim to the land being acquired will be eligible for compensation with respect to non-land assets only, and not the land itself. They will however be provided with other benefits and allowances as provided other APs.

27. The following ADB-SPS principles on involuntary resettlement are put forward and will also apply to the Project:25

(i) Develop procedures in a transparent, consistent, and equitable manner, if land acquisition is through negotiated settlement in order to ensure that those people who enter into negotiated settlements will maintain the same or better income and livelihood status.

(ii) Prepare a LARP elaborating on displaced persons' entitlements, the income and livelihood restoration strategy, institutional arrangements, monitoring and reporting framework, budget, and time-bound implementation schedule.

(iii) Disclose a draft LARP including documentation of the consultation process in a timely manner, before subproject appraisal, in an accessible place and a form and language(s) understandable to affected persons and other stakeholders. Disclose the final LARP and its updates to affected persons and other stakeholders.

(iv) Monitor and assess resettlement outcomes, their impacts on the standards of living of displaced persons, and whether the objectives of the LARP have been achieved by taking into account the baseline conditions and the results of resettlement monitoring. Disclose monitoring reports.

28. ADB’s SPS includes Indigenous Peoples safeguards, which is triggered if a project directly or indirectly affects the dignity, human rights, livelihood systems, or culture of IPs or affects the territories or natural or cultural resources that IPs own, use, occupy, or claim as their ancestral domain. If impacts on IPs involve involuntary resettlement, SPS Safeguard Requirements 3 will likewise govern this LARF. There are no IP will be impacted positively or negatively by the three identified core sub-projects as there are no IP living in the project areas and its surroundings, and future projects selection criteria will also exclude project with IP impacts, therefore IPPF (Indigenous People Framework) is not prepared, and the project is categorized as C for IP.

29. The ADB Policy on Gender and Development (1998) adopts gender mainstreaming as a key strategy for promoting gender equity, and for ensuring participation of women and that their needs are explicitly addressed in the decision-making process for development activities. The new safeguard policy also reiterates the importance of including gender issues in the preparation of safeguards documents at all stages to ensure that gender concerns are incorporated, including gender-specific consultation and information disclosure. This includes special attention to guarantee women’s assets, property, and land-use rights and restoration/improvement of their living standards; and to ensure that women will receive project benefits.

30. Another policy that has bearing on resettlement planning and implementation is the Public Communications Policy (2011) that seeks to encourage the participation and understanding of people and other stakeholders affected by ADB-assisted activities. Information on ADB-funded projects should start early in the resettlement preparation phase and continue throughout all stages in order to facilitate dialogue with affected people and other stakeholders.

25 ADB-SPS 2009. Appendix 2.

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3. Comparison of Government Law and Regulations with ADB and Project

31. The Government enhanced its country system in order to address land acquisition issues for public interest development project purposes. The new Land Acquisition Law No. 2/2009 and its implementing rules and regulations approximate harmonization with the ADB SPS of 2009. The new law grants that persons with no legal title over the land they occupy or utilize are entitled to compensation26 for improvements found thereon, including compensation for job and business losses, moving cost,27 etc. A land acquisition plan also needs to be prepared by the agency requiring land. People affected by land acquisition are consulted and their complaints heard and resolved in the most expeditious way during the planning and implementation of land acquisition.

32. Most of principles in Law No. 2/2012 have been in line with ADB SPS. There are still some gaps identified, but the gaps have been addressed by the provisions of other relevant laws, regulations, and guidance. The gaps include compensation principle for affected buildings/structures without depreciation, provision of livelihood recovery programs for severely affected people and vulnerable groups to ensure that their lives will not be worse due to the project, and relocation assistance for physically displaced residents as well as transition allowance. Key gaps identified between land acquisition law and its implementing regulation and ADB SPS 2009 Policy Principles is presented in the Table 3 below.

Table 3. Some Gaps between Land Acquisition Law and Regulations with ADB SPS and Proposed Project Principles

Principles

Indonesian Regulations;

Law No 2/2012 and Presidential Decree

No. 71/2012

ADB Policy Gaps Project Policy

Level of compensation and bases of calculation: Depreciation of affected structure value

Compensation will be provided based on valuation of independent appraiser for a parcel by parcel of land that include i) land; ii) over ground and underground spaces; iii) building; iv) plants; v) objects related to land and/or; vi) other appraisable loss such loss of business, jobs, change of profession, and moving costs. Yet, for affected buildings, MAPPI applies solatium (emotional

The rate of compensation will be calculated at full replacement cost that will be based on; i) fair market value; ii) transaction cost; interest accrued, iv) transitional and restoration cost; and v) other applicable payment. No deduction on taxes and administrative costs for affected lands, as well as depreciation in the value of the affected structure

The law is silent on the issue of whether or not depreciation will be applied when calculating compensation for affected structures. While valuation standard set by Independent appraisers association (MAPPI) indicates that depreciation for physical condition of the affected building is applied in order to meet

The principle of full replacement cost will be applied. Capital gains tax and the costs of transferring ownership, including the cost of new land certificates, will not be deducted from the compensation of those who will lose lands. Compensation at full replacement cost for affected structures will be determined based on the replacement cost of a new building with adjustment with

26

See Act No.2/2012 Elucidation of Article 40. 27

Elucidation of Article 40 of Law No. 2/2012 with the the following provisions: For building rights or rights of use that is above land not his own, Compensation granted to the holder of the right to build or use rights on buildings, plants, or other objects related to land owned by him, while Compensation on land granted to the holder of the ownership or management rights.

13

Principles

Indonesian Regulations;

Law No 2/2012 and Presidential Decree

No. 71/2012

ADB Policy Gaps Project Policy

compensation) of 10% - 30% of the total compensation for physical loss.

will be applied.

sense of justice

28. Yet, for

affected buildings, MAPPI applies solatium (emotional compensation) of 10% - 30% of the total compensation for physical loss. Tax incentive is provided to: a) person who support the project; b) does not file a complaint related to project location determination and/or compensation.

physical condition29

. Depreciation deduction of the structures physical condition will be covered through the provision of emotional compensation (solatium). Dismantled materials become the property of the state.

Relocation assistance: Transitional allowance.

Resettlement is one of the compensation options that shall be given by the agency needing the lands via Land Acquisition Implementation Committee. The implementation of resettlement shall continue for maximum 1 (one) year since the establishment of compensation form by Land Acquisition Implementation Committee. Location of resettlement area shall be based on the deliberation with entitled parties. Moving cost is covered under the compensation elements.

If there is relocation, provide assistance for physically or economically displaced persons including i) secure tenure to land and housing with comparable access to employment and production opportunities; ii) assist to integrate and share benefits with hosts, iii) restore social amenity; iv) provide moving and transitional support e.g. land preparation, training, access to

Law No. 2/2012 and PD No, 71/2012 is silent about transition assistance for the physically relocating APs. However, Act No. 9/2009 on Transmigration and Ministry of Transmigration Decree No. 17/1997 stipulates on transmigration services including food aid during transition period. The Indonesia appraiser standard provide solatium for the

Transition and moving allowance will be provided for relocating AHs and will be covered in solatium.

28

Indonesia Valuation Standards 306 (SPI 306). Land Acquisition Assessment For Development for the Public Interest. Code of Ethics Indonesia Appraisers and Indonesia Standard, 2013, Jakarta, Gelora Karya Bharata, 2013.

29 Compensation will be based on i) the market value; ii) transaction costs; iii) accrued interest; iv) transition costs and repairs; v) other applicable payments.

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Principles

Indonesian Regulations;

Law No 2/2012 and Presidential Decree

No. 71/2012

ADB Policy Gaps Project Policy

credit, civic infrastructure and community services if required.

building/structure owners including physically relocated AHs.

High Risk of Impoverishment

Entitled Party means any party by whom objects of the acquired land are possessed or owned. Entitled party with high risk of impoverishment is not covered in the new Land Acquisition Law. However, the Law No. 11/2009 on Social Welfare and its implementing regulation Ministry of Social Welfare Decree No. 39/2012 To cover or identify vulnerable / severity impacted people by the project as early as possible it can be covered in Social Impact Assessment of AMDAL as referred in Environmental Law no. 32/2009; Government of Republic of Indonesia Regulation No.

Particular attention must be given to the needs of poor APs and vulnerable AHs that face the risk of further marginalization and impoverishment.

Law No. 2/2012 and PD No.71/2012 is silent about paying special attention to poor Aps and vulnerable AHs and severely AHs.

Livelihood / income rehabilitation program will be provided to severely affected and vulnerable populations. Programs for vulnerable groups refer to Law No. 11/2009 and its implementing regulations. In this Law, the regional government is responsible for addressing these issues. The programs that will be implemented are included in the social Action Plan for affected persons / households. Severely affected Residents / households and other vulnerable groups will be identified at land

15

Principles

Indonesian Regulations;

Law No 2/2012 and Presidential Decree

No. 71/2012

ADB Policy Gaps Project Policy

27/2012 on Environmental Permit, Ministry of Environment Regulation No. 17/2012 on guidelines for Community Involvement In Analysis Process of Environmental Impact and Environmental Permits, Head of BAPEDAL Decree No. 299/1996 on Technical Guidelines for the Social Aspects Study in preparation of the Environmental Impact Assessment.

acquisition / resettlement planning. Livelihood improvement assistance will be provided to them through: i) social programs implemented by local government; ii) development program for community under the project components. Dirjen Bina Pembangunan Daerah will facilitate the coordination of program implementation at the regional level.

Monitoring of Project Implementation

Monitoring and evaluation of the performance of Acquisition of Land in the Public Interest shall be made by the Government. National Land Agency shall monitor and evaluate the occupation, ownership, use and utilization of land acquisition results for the development in public interests.

ADB requires monitoring of LARP implementation by the executing agency for resettlement Category B projects, and by an independent external organization for resettlement Category A projects

The Law No. 2/2012 and PD No, 71/2012 is silent about monitoring on resettlement impact to the entitled parties and external monitoring by independent external party

FMSRBP is rated as Category A for resettlement because more than 200 persons are severely affected. Therefore, external monitoring of resettlement implementation is required. Therefore, the procurement of consulting services will include provision of external monitoring consulting services.

C. Principles of Land Acquisition and Resettlement Policy for the Project

33. The Policy on land acquisition and resettlement harmonizes relevant Indonesian laws and procedures with those of the ADB-Safeguards Policy Statement (SPS) 2009. The selected subprojects will avoid or minimize involuntary resettlement wherever possible by exploring project and design alternatives. If unavoidable, efforts to enhance or at least restore the livelihoods of all entitled parties to pre-project level and to improve the standards of living of the displaced poor and other vulnerable groups will be made.

34. Based on the above legal framework and equivalence gap analysis, the involuntary resettlement objective and policy principles are set as follow:

(i) Screen subproject components during early stages to identify involuntary resettlement impacts and risks indicators. These impacts and risks must be

16

minimal, so that appropriate resettlement planning should be developed precisely and accurately as a result of a social assessment.

(ii) Carry out meaningful consultations with entitled parties particularly living in the project areas, and concerned civil organizations. Inform all entitles parties on restriction to access to natural resources of their entitlements, and ensure their participation in the project cycle, and effective mechanisms will be established for hearing and resolving grievances.

(iii) Improve or at least restore the livelihood of the entitled parties/APs through (a) land-based resettlement strategies or cash compensation at replacement cost for land; (b) prompt replacement of assets with access to assets of equal or higher value; (c) prompt compensation at full replacement cost for lost assets that cannot be restored; and (d) additional revenues and services through benefit sharing schemes where possible

(iv) APs without title or any recognizable legal rights to land are eligible for resettlement assistance and compensation for non-land assets at replacement cost.

(v) Entitled parties shall be involved in resettlement planning and LARP should cover all appropriate mitigation measures to improve, or at least restore, the livelihoods of all entitled parties, so that the living standard of entitled parties do not become worse compared to pre-project levels. LARP should elaborate on their entitlements, strategy for income and livelihood restoration, including institutional arrangements, monitoring and evaluation, budgeting, and time-bound implementation schedule. Provide entitled parties with appropriate assistance considering options provided by the entitlement matrix.

(vi) Particular attention will be paid to women, women-headed households, the elderly and other vulnerable persons including indigenous communities.

(vii) Disclose a draft LARP and its updates to the entitled parties/APs and other stakeholders in a timely manner, in an accessible place and a form and understandable language.

(viii) A well-defined, culturally acceptable and gender sensitive grievance redress mechanism will be established in order to ensure that all entitled parties grievances and complaints on any aspect of land acquisition and compensation are addressed in a timely and satisfactory manner, and that all possible avenues are available to entitled parties to air their grievances. Civil works and/or restrictions to use of land/coastal resources will not commence unless entitled parties are fully compensated and all other entitlements provided.

(ix) Civil works can proceed in any given construction works zone (CWZ) when the project implementing agency through land acquisition team has satisfactorily completed payment of compensation for affected assets and non-assets and relocation of entitled parties to new site, if any physically relocation, in accordance with the approved LARP.

(x) Any voluntary “donation” and negotiated settlement will follow procedure in a transparent, consistence, and equitable manner principles and be confirmed through written record and verified by an independent third party;

(xi) Monitor and assess land acquisition/resettlement outcomes, their impacts on the standards of living of entitled parties, and whether the objectives of the resettlement plan have been achieved. Disclose the monitoring reports.

(xii) Should unanticipated involuntary resettlement impacts be determined during project implementation, the PIU will ensure the conduct of a social impact assessment and update the LARP or formulate a new LARP covering all applicable requirements specified in this LARF.

D. Subproject Screening and Minimizing Involuntary Resettlement

35. Subproject assessment and evaluation, establish screening criteria as follows:

17

(i) Sub-projects are in line and included in the priorities of the National Strategic and Work Plan of the Directorate General of Water Resources;

(ii) Sub-project and land acquisition are in line with the Spatial Planning and National / Regional Development Plan;

(iii) Sub-project has a detailed funding plan that includes the operation and maintenance of infrastructure components;

(iv) Sub-project does not impact positively or negatively, either directly or indirectly on indigenous peoples; and

(v) Land to be used for the sub-project is the land belongs to the project-implementing agency or the Directorate General of Water Resources, but controlled or used by the residents. If the compensation principles to the entitled parties on land owned by the project implementing agency are not in line with the entitlement framework of LARF document, then this area will not be included in the sub-project.

36. The Directorate General of Water Resources (DGWR) will conduct initial screening on each subproject regarding the potential impact of land acquisition and resettlement, and will adopt measures to minimize these impacts. The screening form (Appendix 2) will be applied. The screening process will (i) provide a brief description of the site and proposed works; (ii) whether the subproject will require land acquisition; (iii) land status and ownership arrangements; (iv) land use; and (v) characteristics of entitled persons. If any resettlement impacts are identified, DGWR will undertake an assessment of social impacts (census of entitled parties, inventory of losses, and socioeconomic survey) and prepare the LARP document.

37. The river basin organizations as IAs will make all possible efforts to minimize land acquisition and resettlement and potential adverse impacts through exploring project design alternatives and implementation stages in consultation with the communities and other stakeholders. When the land acquisition and resettlement cannot be avoided, mitigation measures will be prepared in close consultation with the entitled parties and other stakeholders.

E. Entitles Parties, Eligibility, and Cut-Off Dates

38. Entitled parties/ displaced persons are those who stand to lose, as a consequence of the project, all or part of their physical and non-physical assets, including homes, productive lands, resource such as forests, range lands, fishing areas, or important cultural sites, commercial properties, tenancy, income-earning opportunities, social and cultural networks and activities. Such impacts may be permanent or temporary.30

39. Entitled parties identified within the project areas that are eligible for compensation, either in cash, replacement land, replacement house, or resettlement and other assistance under this project can be described as (i) persons with formal legal rights to land they may lose in its entirety or in part, such as land rights holders, holders of land rights to manage, and land tenure holders; (ii) persons who may lose the land they occupy or utilize in its entirety or in part who have no formal legal rights to such land or resources but have claims to such lands or resources such as customary claims, that are recognized or recognizable under national laws, i.e., nadzie for waqf land, former customary rights secured landowners, indigenous people/customary communities, parties occupy the state land in good faith; and (iii) persons who may lose the land they occupy or utilize in its entirety or in part who have neither formal legal rights nor recognized or recognizable claims to such land or resources such as owners of buildings, plants or other objects related to land.

40. The cut-off-date for eligibility to Project entitlements refers to the date when the Land

30

ADB. Involuntary Resettlement Safeguards: A Planning and Implementation Good Practice Sourcebook – Draft Working Document. November 2012.

18

Acquisition Implementation Team (LAIT) led by Land Agency posts the result of the detailed measurement survey (DMS) that include the list of the entitled parties and the losses in public places (e.g village office, district office, and the location of the land acquisition).31

41. The cut-off date sets the time limits to determine eligibility of persons living and/or with assets or interests inside the project areas. Should they be adversely affected, they will be entitled to compensation for their affected assets, including rehabilitation measures as needed, sufficient to assist them to improve or at least maintain their pre-project living standards, income-earning capacity and production levels. Those who encroach into the project area, or any of its subprojects, after the cut-off date will not be entitled to compensation or any other assistance. The cut-off date will be made known to entitled parties and other stakeholders.

42. The LARF recognizes that certain social groups may be less able to restore their living conditions, livelihoods and income levels and therefore, at greater risk of impoverishment when their land and other assets are lost due to the project. These disadvantaged groups, such as landless, poor, households headed by women, elderly, and disabled, will receive special rehabilitation assistance and will be determined during screening and social assessment. Restoring living conditions of vulnerable people and severely affected people will be organized through local government social programs and other programs catered for poor communities.

31

Article 29 of Law No. 2 of 2012.

19

III. SOCIOECONOMIC INFORMATION

A. Census of entitled party

43. A complete enumeration of all entitled parties and their assets through household interview schedule will be conducted to establish the following:

(i) Complete inventory of entitled parties and their assets as a basis for compensation;

(ii) Determine persons entitled to compensation and assistance; and (iii) Minimize impact of later influx of “outsiders” to project area.

B. Socioeconomic Survey

44. A socioeconomic survey (SES) will be conducted to establish a baseline of demographic, socioeconomic conditions and socio-cultural dynamics of people affected by the subproject. The sample for the SES will be 20 to 25 percent of all APs in the subproject area selected randomly taking into account the representative female respondents. These samples may be higher or lower depending on the number of affected population and statistically acceptable margin of error.

45. The SES data shall include information on the demographic characteristics of the entitled party’s household members, ownership of land and other assets, household living conditions and sources and levels of household income. Data will be disaggregated and analyzed by gender, ethnic and income group. It also includes the socioeconomic conditions of specific entitled party groups. Results of the SES will be entered into the Project database and PIU will ensure that aggregate information is accessible for interest groups including for monitoring purposes.

C. Inventory of Losses and Detailed Measurement Survey

46. In accordance with the provisions of Law No. 2/2012, Project Implementing Agency (agency requiring land) conduct Inventory of Losses (IOL) at the planning stage assisted by a consultant or professional organization if necessary, based on the estimated number of beneficiaries. Inventory of Losses is done to address the social and resettlement impact and for budgeting purposes. IOL will be updated at land acquisition stage by the land agency (land acquisition team) based on the final design of the project.

47. Entitled parties will be notified at least a month before the conduct of the IOL/DMS and requested to participate in the survey. The IOL/DMS will survey all entitled parties and collect data on:

(i) Identification of landholdings and tenure of land, buildings, plants, and / or objects related to land;

(ii) Evidence of occupancy and / or ownership of land as well as the identification of the impact on land, buildings, plants, other assets attached to land, and all or part of other assets;

(iii) The location of the land, land area and land identification number, the status of the land and the document, the type of land use and utilization

(iv) The control and identification of space above and below the affected / lost land, if any.

(v) Identification of economic loss, such as loss of business income, employment, profession shift, the cost of removal.

48. Other relevant information in land measurement and mapping include (i) measurement of acquired land circumference; (ii) measurement per plot; (iii) calculating, drawing acquired land per plot and the circumference; and (iv) land mapping per plot,

20

boundary around the plot; and (v) photographs of each parcel of affected / lost land and structures (i) technical drawing of structures; (ii) exact measurements of land and other fixed assets; (iii) detailed descriptions and specifications of building materials; and (iv) photographs of each structure.

49. The IOL/DMS will be carried out in the presence of heads/guardians or members of households and household head/representative or members will duly endorse completed IOL/DMS forms. An inventory for each asset (Land, structure, trees and crops, community/common property) and income loss will be prepared and the initial output will be reviewed and discussed during the community assembly during LARP preparation.

50. The information to be obtained in the IOL/DMS will include the following for each entitled party include:

(i) Identification of the affected entitled parties, the number of family members, and the name;

(ii) The location, area of all land owned and lost, tenure status, and functions; (iii) Number, and the lost / affected structures area, building function; (iv) The amount, category / type of affected crops and trees; (v) Other objects associated with the affected land. (vi) The number and category of loss of fixed assets; and (vii) Temporary losses of productive assets.

51. The data derived from the IOL/DMS will constitute the basis for valuation of losses at replacement cost, calculating compensation amounts and determining compensation packages. The data will then be encoded and stored into the Project database maintained by PIU and accessible for external monitoring. Appendix 3 provides a guide to the combined SES and IOL instrument.

D. Replacement Cost Study and Assessment

52. A replacement cost study (RCS) shall be conducted by a licensed property appraiser licensed by the Ministry of Finance or BPN. Law No. 2/2012 enacts that Land Acquisition compensation assessment by appraisers conducted at the stage of land acquisition implementation. However, to obtain more accurate data on object value estimate for land acquisition, the involvement of appraisers is required from the land acquisition planning stage (preparation of planning documents for land acquisition / LARP). The objective of the RCS during the preparation of the LARP is to provide DGWR and the IAs with a basis for calculating compensation at replacement cost so that the entitled populations/ parties are able to acquire or purchase a replacement for affected/lost assets and other economic loss.

53. At the implementation phase, the Land Acquisition Implementation Chairman at the BPN or the Regional Land Office will assign appraisal services32 in accordance with government procurement regulations. If the provision of independent appraisal cannot be obtained or implemented within a period of 30 working days, the Land Acquisition chairman will appoint a government appraisers licensed by the Minister of Finance. Appraiser conducts compensation assessment for physical losses (land, space is above or below the ground such as structure, plants, and other assets related with the land) and for non-physical losses (loss due to relinquishment of right by the land owner that will be given in cash (premium), as well as for other losses that can be calculated through transaction costs, interest, on loss of residual land, loss of business, job, profession shift, and other types of loss stated by the assignor). Assessment will be conducted per plot of land affected by the project. The assessment results will be the official basis for compensation determination that will be delivered to the entitled parties.

32

Appraiser is land appraiser, individual professionals who independently assess and obtain permit from the Ministry of Finance and has been licensed by BPN to calculate / value of land acquisition object. Presidential Regulation No. 71/2012, Article 1.

21

54. Land acquisition objects assessment will refer to the Indonesia Valuation Standards 306. The basic of assessment are: (i) Fair Replacement Value. This value can be understood as a value based on the interests of the owner (the value to the owner);33 (ii) Market value equivalence;34 (iii) non-physical losses caused by the compulsory right relinquishment of property owner;35 (iv) property ownership is not limited to ownership rights, but can be interpreted as the control, management and use of property in accordance with applicable laws and regulations or according to the agreed scope of the assignment; (v) valuation date is the announcement date site determination for development for the public interest in accordance with the applicable legislations; and (vi) value adding should be calculated based on the risks incurred from owner potential losses and measured appropriately. The adequate replacement value must be higher than the Property Market Value, or at least equal to the compensation transaction value of similar property condition (if the comparator is similar property from a compensation transaction).

55. Compensation assessment in this standard includes and is not limited to: (i) the construction of resettlement; (ii) education and motivation programs; (iii) provision of working facilities; and (iv) business facilities compensation. Assessment approach is specified in the detailed SPI 306 in Table 4.

Table 4. Assessment Approaches According to Indonesia Valuation Standards

Valuation object Calculation basis Approach Remark

physic: - Land or land and structures

Market and Non Market

Market approach Income approach

Structure and / or Complementary Facility

New replacement cost with adjustments

Cost approach Depreciation calculation is only used for adjustment of the physical condition

Crops (may / not including land)

Markets and reasonable cultivation calculations norm

Income approach With the DCF method for one cycle

Market approach

For non-commercial plant, using references from relevant agencies.

Cost approach Immature crops Non Physic: The adequate replacement of the loss on right relinquishment from landowners who will be given a premium Loss of job or loss of business, including profession shift.

Market and non-market

Income approach Cost approach

Based on applicable laws and regulations Losses due to termination or closure of

33

Value to the owner is defined as the economic benefits derived from the possession or ownership of a property.

34 The market value is one of the bass in the determination of value by taking into account limited or entirely absent data market. This market can be compared with t value based on the potential use (without looking at the benefit of land acquisition plan for the public interest).

35 Non-physical loss is other losses, as referred to in Law No. 2/2012, Article 33 f and its elucidation, applicable or according to the agreed scope of Tenure.

22

Valuation object Calculation basis Approach Remark

Emotional losses (solatium)

Additional compensation is calculated based on the percentage of physical losses value

business premises. e.g: fish farmers, restaurants, and workshops. eg: 10% - 30% from value of physical loss compensation for the benefit of the owner's residence

Transaction cost Based on socio-economic study conducted by an expert consultant / or applicable laws and regulations

Cost approach Cost of removal The cost of clearing Tax associated Costs Cost of Land Deed Official

Waiting period Compensation (interest)

Based on the risk-free rate, or the government bank deposits interest

Based on applicable laws and regulations

Loss of residual land Market Market data approach

Based on applicable laws and regulations

Other physical losses Reparation cost Cost approach Based on applicable laws and regulations

56. Assessors should consider the following:

(i) In conducting compensation assessment process, Assessors are required to refer to the relevant laws and regulations from the top to the lower level.

(ii) Compensation will not be lower than the land market value, although there is a decrease or increase in land value due to the announcement of the Land acquisition location determination.

(iii) Replacement Value applied related to the amount above the market value that reflects certain benefits for landowners.

(iv) In any process associated with compensation valuation related to land acquisition for development for the public interest, appraiser shall use this standard.

57. Application of the market data approach in compensation valuation should consider data that reflects the price trends of the acquired location and has the same characteristics as the "data control". Meanwhile, the application of the Cost Approach in compensation valuation should consider:

(i) Economics / external slowdown due to land acquisition should not be taken into account.

23

(ii) Functional decline due to HBU should be considered with caution, especially if the existing structure is still in function/ viable.

58. Application of Income Approach in compensation valuation should consider:

(i) Cash flow projections are made without considering any land acquisition.

(ii) The year projection basis should be free from the influence of land acquisition.

59. Application of Land Development Method in compensation valuation should consider issues including:

(i) Development scenario, without considering land acquisition.

(ii) Cash flow projections are made without considering land acquisition.

(iii) The year projection basis should be free from the influence of land acquisition.

60. Assessment of non-physical losses such as loss of a job or business loss including profession shift and emotional (solatium) loss should consider that the determination of the type of non-physical losses are determined through agreement with the assignor. The percentage value of solatium is calculated through agreement with the assignor agency.

24

IV. CONSULTATION, PARTICIPATION, AND DISCLOSURE

A. Consultation and Participation

61. General. Meaningful consultations will be carried out with the entitled parties/APs, host communities and concerned groups if any relocation, land or other assets acquisition and ensure participation from planning up to implementation. Meaningful consultation is a process that (i) begins early in the project preparation stage and is carried out on an ongoing basis throughout the project cycle; (ii) provides timely disclosure of relevant and adequate information that is understandable and readily accessible to affected people; (iii) is undertaken in an atmosphere free of intimidation or coercion; (iv) is gender inclusive and responsive, and tailored to the needs of disadvantaged and vulnerable groups; and (v) enables the incorporation of all relevant views of affected people and other stakeholders into decision making, such as project design, mitigation measures, the sharing of development benefits and opportunities, and implementation issues. Particular attention will be provided to the needs of vulnerable group and ensure their participation.

62. Consultation for LARF has been initiated in 2013 as part of the discussion on PFR2 Citarum updated process and CSS 7566 worskhop and focus group discussions especially related to Law 2/2012 on eligibility, entitlement and compensation.

63. A variety of mechanisms for meaningful consultation will be utilized to consult with entitled parties and concerned groups during preparation and implementation of LARP: (i) community consultations and dissemination of information about the Project and its subproject components; (ii) meetings with land and assets owners and entitled parties; (iii) separate meetings with female entitled parties; (iv) a socioeconomic survey of male and female entitled parties to produce a village profile; and (v) awareness improvement training about possible risks associated with the project.

64. The DGWR together with the implementing units will be responsible and will guide the consultation and participation processes. Village based consultative meetings involving both women and men from all community groups of APs living in the village will be facilitated. The subproject within the overall project context will be fully described/explained to participants, as well as the probable positive and negative impacts to include involuntary resettlement issues (where applicable). Participants at the meeting will be provided the opportunity to discuss among themselves and with facilitators the issues that concern them and raise these to the DGWR and the implementing units. In the preparation of this LARF, representatives of communities and government agencies have been consulted both at the national, provincial and district levels to ensure that eligibilities and entitlements are agreed upon and will be applied accordingly.

65. Public consultation meetings will include:

(i) An orientation on the project: Subproject designs, schedules of implementation, and identification / introduction of PIU focal / contact persons;

(ii) Project benefits, potential adverse impacts, and mitigating measures to be taken; (iii) Valuation methods and entitlements/compensation packages; (iv) Grievance process and monitoring; and (v) Subsequent schedule of meetings.

66. Site level. Public Consultation on a development plan as intended by Article 18 section (3) of Law 2/2012 shall be held to achieve agreement on the location of the development plan with the entitled parties. In the Public Consultation, the agency requiring land shall explain, inter alia, the development plan and compensation calculation method the appraiser may apply. Agreement shall be stated in the form of minutes of agreement. A Public Consultation shall be convened involving the entitled parties and the affected community and held at the place of the development plan for the public interest or at the agreed-upon place.

25

67. A Public Consultation on a development plan shall be held within sixty (60) working days upon confirmation of the project location. A template for the preparation of a consultation and participation plan is attached in Appendix 4 using Law 2/2012 as guide – with respect to the following stages, (i) planning; (ii) preparation; and (iii) implementation.

68. Consideration for women and other vulnerable APs. Vulnerable entitled parties are distinct groups of people who might suffer disproportionately or face the risk of being further marginalized due to the project and specifically include: (i) households that are headed by women; (ii) household heads with disabilities; (iii) households falling under the generally accepted indicator for poverty; and (iv) elderly household heads and members.

69. The project Gender Action Plan ensures the engagement with local women’s groups in key project activities. In case of under-representation or where needed, separate meetings with marginalized households, including women, shall be organized to discuss subproject proposals prior to any community assembly. Besides the Gender Action Plan (GAP), participation of women and the vulnerable/marginalized sectors will be ensured throughout the LARP stages.

70. DGWR together with the other IAs will ensure that women and other vulnerables shall attend such meetings, and separate meetings will be organized with women so that their specific concerns can be discussed. Consultations will be conducted at venues and times that are suitable for women and will not disadvantage them.

B. Institutional Roles in the Conduct of Consultations

71. The Ministry of Public Work and Housing through the DGWR is the EA. The key entities with responsibilities to promote and facilitate consultation with local stakeholders are (i) the two river basin authorities (BBWS, BWS) that constitute the implementing agencies; and (ii) the local governments, in particular the city and kabupaten governments, supported by the local kecamatan and village governments. Other entities with public consultation responsibilities include the ad hoc team and committees set up in each subproject location to implement LARP activities, including the regional BPN. Regional agencies, including Bappedas and civil society groups play public consultation facilitation roles.

C. Disclosure

72. If a LARP is required, a summary brochure or project information booklet (PIB) containing relevant information such as the entitlement matrix, grievance procedures, and time frame of payments will be produced and distributed to entitled parties at each subproject site involving physical and non-physical losses. The full LARP will be made available in English, Bahasa Indonesia, and where necessary, the prevailing local language. Notices to meetings and other subproject activities/updates will be made accessible in public locations, such as the village or sub-districts office. Village leaders and entitled households will be provided with a summary LARP or brochure prepared in Bahasa Indonesia.

73. At the site level, disclosure is through the governor or city/district together with the DGWR and its implementing units. They shall announce the location confirmation for development in the Public Interest. The announcement is intended to notify the community that the relevant location is affected by development in the public interest.

74. Overall project disclosure of the following documents is required:

(i) Draft LARP and/or LARF endorsed by the DGWR before subproject appraisal; (ii) The final LARP endorsed by DGWR after the census of entitled parties has been

completed; (iii) New or updated LARP, and a corrective action plan prepared during subproject

implementation, if any; and

26

(iv) The LARP monitoring reports and LARP final completion report.36

75. The ADB Public Communication Policy will serve as guide. The documents listed above will be uploaded in the Project management information system for interconnectivity as well as the ADB website.

36

Includes relevant information from the monitoring reports as disclosed to entitled parties, such as the implementation status of a resettlement plan (i.e., information on financial progress/ disbursement and physical progress related to land and other assets acquisition and relocation; livelihood/income restoration; benefits sharing; and corrective action plan, if any.

27

V. COMPENSATION, INCOME RESTORATION, AND RELOCATION

76. Based on the harmonization of Indonesian laws and the ADB SPS 2009, entitlements have been agreed upon. Entitled parties will be provided compensation at full replacement cost as well as other assistance extended as stipulated in the Entitlement Matrix (Table 5).

A. Compensation

77. The LARF principles guiding compensation, restoration and relocation policies are that compensation, relocation and rehabilitation assistance should improve or at least equal the standards of living of the entitled parties as they were prior to the Project. Lost assets or elements of livelihood should be compensated at full replacement cost. Compensation should be paid immediately; otherwise inflation rates will be factored in the payment of replacement costs.

1. Land Valuation and Involuntary Acquisition Process

78. Compensation valuation in land acquisition is the responsibility of the National Land Agency (BPN) as constituted under law No. 2/2012. The BPN through its local land office is responsible for determining official values of affected land and market value of land-based assets, facilitating discussion and negotiation between the project proponent and entitled parties on the land valuation and compensation rate referring to the valuation result by the independent appraiser.

79. The land office will appoint an appraisal agency through the mechanism of procurement of goods and services as provided by law and notify the appointed agency to value the objects of land acquisition, per area of land parcels that cover land, buildings, plants, space above ground and underground, other objects relating to land, and other losses that can be valued including income losses and job losses. Where there are remaining lands that are not economically viable, the landowners have rights to request the compensation for the entire parcel of land. Forms of compensation offered include cash, replacement land, resettlement, ownership of shares, and other forms agreed by both parties. Compensation value by an independent appraiser is a value at the time of the announcement of construction site for development for the public interest and will be submitted to the land agency and will be the basis of deliberations of compensation determination.

80. In land clearing, DGWR and project implementing agencies will use the services of independent appraisers to assess the extent of lost assets, such as structures and crops.

81. Overview of compensation assessment for land acquisition, resettlement and the land clearing can be seen in entitlement matrix table below.

28

Table 5. Entitlement Matrix For Land Acquisition and Land Clearing

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

A. LAND LOSS37

1 Loss of land, including agricultural and residential land

Those who have formal legal rights (certificate) or those whose claim over the land is recognized as a full title including persons occupying the state land in good faith

38.

• Cash compensation at replacement cost and reflective of fair market value at the time of payment of compensation

39; or

land replacement with at least similar attributes to the acquired land in term of value, productivity, location, and titling

40.

• Financial assistance

for the renewal of the land ownership documents (certificate and land documents recognized as full title) for the residual area of the entitled persons' land

41.

• If the remaining

affected land can’t be functioned for the specific use and utilization, the entitled party can ask for compensation for their entire land at replacement cost (UU No. 2 tahun 2012 Pasal 35).

42

a) Law No 2/2012, Article 36

b) Presidential Regulation No 71/2012, Article : 65, 77

c) Indonesia Valuation Standards 306 (SPI 306)

Land requiring agencies allocate land compensation Land Acquisition ImplementingTeam deliver compensation Independent Appraisal: conduct an valuation of the assets.

Applicable for Land Acquisition

43

Valuation of compensation conducted by a licensed independent property appraiser, determined based on an assessment by an independent appraisal and negotiations have been carried out by the Land Acquisition Implementing Team 6 months advance notice is given to the entitled party before they have to destroy the overall house or store.

• Tax incentives given to all entitled parties if they do not file a lawsuit against the decision of the

Law No. 2 /2012 Art. 44 Presidential Regulation No.

Government: provide tax incentives (BPHTB) to institutions

Entitled parties bear the cost of the tax payable in the current year if they file a lawsuit.

37 Law No. 2 of 2012, Article 36 states that compensation can be given in the form of; (i) cash / money; ii) replacement land; iii)

resettlement; iv) shares ownership , and v) other forms agreed by both parties. Assessment of compensation by appraisers in accordance with Article 32 of Law should be done per plot.

38 It is in line with the Law No. 2/2012, Article 40, and its elucidation and the PP No. 71/2012, Article 17 – 25. 39 See Law No. 2/2012, Article 36, PP No. 71/2012, Article 65. MAPPI’s standard on Valuation for land acquisition for the

development in the public interest. 40 Ibid. 41 See MAPPI’s valuation standard. 42 Article 35 of Law No. 2 of 2012 and Article 67 of the PP 71/2012. 43

Land acquistition refers to land acquisition activities by way of giving equitable and fair compensation for losses to the entitled parties who controls or posess the land acquisition objects. Included within this scope is the land acquisition on the river banks / riparian area legally owned by another party. See Law No. 2/2012, Article 1.

29

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

location and the form and / or amount of compensation.

71/ 2012 Article122

requiring land However, if there was an agreement / relinquishment of the land, then they are entitled to tax incentives

44

2 Loss of Ulayat land/ customary land

Customary communities (masyarakat hukum adat

45)

• Land replacement will be provided with similar value or higher (in terms of value, productivity, location, and titling)

46

Elucidation of Law No.2 / 2012 Article. 40

Land requiring agencies allocate land compensation Land Acquisition Implementing Team deliver compensation Independent Appraisal: conduct an valuation of the assets.

The presence of indigenous peoples will be based on the results of the study, local government regulations, or the map on indigenous peoples.

3 Government/ state enterprise land

Land owned / controlled by the government, state enterprises, village treasury

• Cash Compensation at replacement cost; or

• Land replacement with similar value or higher (in terms of value, productivity, location, and titling).

Presidential Regulation 71/2012 Article 82, 112 Regulation of the Head of BPN No. 5/2012 Article 29, 49

Land requiring agencies allocate land compensation Land Acquisition Implementing Team deliver scompensation Independent Appraisal: conducts an valuation of the assets.

Compensation will be provided for i) Land owned/controlled by government with building used actively for governance; ii) land is owned/controlled by national and local state owned enterprises; iii) village land

47

BPN transfers the acquired land owned by government / provincial government / SOE / regional government / village owned enterprise, to the agency requiring land within 60 working days after the governor /

44

Income taxes will be the responsibility of the entitled party and there is no tax deduction. 45

Customary or indigenous community is a community that is characterized by; i) the existence of group of people who are still bound by customary legal order as a whole community of an alliance with a particular customary law, who recognizes and implements the tradition in their daily life; ii) the existence of certain customary lands, which are the environment of the customary community and the area where they take their daily needs; and iii) the existence of common law regarding the maintenance of order, dominance, and applicable customary land use adhered by the members of the community. PP No. 71/2012, Article 22.

46 Elucidation of Article 40 of Law No. 2/2012 47 Article 82 of PP 71/2012

30

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

district/ mayor issued location confirmation

4 Loss of Forest Land

Ministry of Forestry / Forestry Agency

• Forestry land: compensation

48 will

be guided under the law and regulations related to land use permit issued by Ministry of Forestry.

Presidential Regulation No 71/2012 Article 82 BPN Regulation No. 5/2012 Article 29, 49 Law No. 49 of 1999 on Forestry

Land requiring agencies allocate land compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

Land acquisition procedure will follow the Law No. / 12/2012

49and

consider relevant regulations on forestry. Land Acquisition procedure will follow the Law No. / 12/2012 and reflects relevant forestry regulations.

5 Loss of Agricultural Land For Food Security

Ministry of Agriculture

Replacement of agricultural land will refer to Law No. 41/2009,

At least three times the land area in terms of converted irrigated land;

At least twice the land area in case of a converted tidal and non-tidal (lowland) reclaimed swampland;

At least one times the land area in not irrigated converted land.

Presidential Regulation No. 71/2012 Article 82 BPN head Regulation No. 5/2012 Article 29, 49 Law No. 41 / 2009 Article 46

Land requiring agencies allocate land compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

Land acquisition procedure will follow Law No. 12/2012 and the provisions of agricultural land replacement will follow Law No. 41/2009

50

B. Loss of Crops and Trees:

1. Loss of Crops and Trees:

Owners, regardless of land tenure status (with certificate or

• Annual crops: cash

compensation will be paid based on prevailing market

Law No. 2 /2012 Pasal 33 Presidential Regulation No.

Land requiring agencies allocate budget for compensation

Applicable for Land Acquisition and Clearing

53

Commercial crops:

48 Compensation for forestland include: i) Payment for forestry boundaries; ii) payment for affected timbers; iii) Commitment for

reclamation and forestation; iv) Investment cost; v) land replacement or PNBP. Provisions on land acquisition in the agricultural land for sustainable food protection: i) at least three times the land area in terms of converted irrigated land (productive land); ii) at least two times the land area in terms of reclamation of land converted to tidal marsh and also which is not depending on tide; iii) at least once in terms of land area if converted land is not irrigated.

49 Article 82 President of the Republic of Indonesia Law No. 71/2012. 50 Provisions of the land acquisition in agricultural land for sustainable food security : i) at least three times the land area for

converted irrigated land one time for not irrigated converted land . ii) At least twice the land area in case of a converted tidal and non-tidal reclaimed swampland iii) at least one times the land area in a not irrigated converted land. See Law No. 41/ 2009

31

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

recognizable rights, informal dwellers, occupants).

rates. • Perennial crops:

compensation at replacement cost taking into account their productivity and age

51.

• Timbers/trees: compensation at current market rate based on age, type of trees and diameter of trunk at breast height

52.

71/2012 Article 65 BPN Head Regulation No. 5/2012 Article 23, 24 Presidential Regulation No. 38/2007 Indonesia Valuation Standards 306 (SPI 306) / 2013

Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

referring to income approach using Discarded Cash Flow (DCF) for 1 cycle Non commercial crops: referring to market approach with a standard reference price issued by the local government. Non productive Plants: referring to cost approach; 30 to 60 days advance notice before harvesting / land clearing.

C. LOSS OF STRUCTURE 1

Loss of main structures (houses, offices, independent shops) and secondary structures (fences, driveways, extended eaves, sheds, etc.)

Owners of the affected structure, regardless of tenure

54

• Compensation at full replacement cost that reflect prevailing market prices of materials and cost of labor for dismantling, transferring and rebuilding

55 at the

time of compensation payment. No depreciation should be applied or;

• Option of Resettlement with comparable access to employment and production.

• For partially affected

Law No. 2 / 2012 Article 33 Elucidation of Law No. 2/2012 Article 35, 40 Prsidential Regulation No. 71/2012 Article 65 BPN Head Regulation No. 5/2012 Article 23, 24 Government Regulation No. 38/2007

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

Applicable for Land Acquisition and Clearing Valuation is determined by an independent appraiser Depreciation applies for the physical condition of structures / buildings only. There is no depreciation for age of the building.

53 Clearing land, refers to any activity for make a land that has been owned by the land requiring agency and has been

occupied by the people, such as riparian area and flood plains to be used for development / projects, by giving the occupants 'compensation' over the affected assets and social programs. For land that has been owned by land requiring agency, the action of acquiring land is a land clearance, not a land acquisition. In this case Law No. 2 of 2012 does not apply.

51 For commercial plants, aside of considering market rate, appraiser will also consider DCF method for 1 cycle. While for non-commercial plants, the valuation is carried out in reference to the pricing standard issued by the concerned authorities. For plants, which are not productive yet, the valuation method uses cost approach.

52 Ibid. 54 Law No. 12/2012 Article 40 and the explanation, Indonesia Assessment Standards 2013 For commercial crops, in addition to

considering market prices, assessors will also consider the DCF method for 1 cycle. Whereas for non-commercial crops, assessment is based on standards price issued by the competent authorities. For plants that are no longer productive, assessment uses the cost approach. See Indonesia Valuation Standards 306. MAPPI (Indonesian Society of Appraisers) 2013.

55 Elucidation Article 33 UU No 2/2012.

32

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

structures, the cost of repairing the residual unaffected portion of the structure in addition to the compensation at replacement cost for the affected portion of the same

56.

• Compensation for affected electric, telephone, and other services based on prevailing cost of disconnection and re-installation

57.

Indonesia Valuation Standards 306 (SPI 306) / 2013

Depreciation deduction for structures affected, will be given back to the rightful parties through the emotional compensation (solatium). See D. 3 below. 6 months advance notice is given to the entitled party prior to the date on which they must demolish their entirely affected houses or shops. If more than 50% of the main structure is affected, the entire structure will be replaced at full replacement cost. If less than 50% of the main structure is affected, but would endanger the stability of the residual area of the main structure, that is, structurally unstable, then the project will compensate at full replacement cost of equivalent structures. If the resettlement / relocation is chosen, the relocation / resettlement sites should be discussed with the entitled parties, including teh provision of public services and

56 Article 33 Law No. 2 Tahun 2012 and Indonesia Valuation Standards (SPI 306) 2013. 57 Article 33 of the Law No. 2/2012 and MAPPI’s valuation standard 2013.

33

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

facilities as well as access to employment and production In case of delay in the construction of relocation sites, cash assistance equivalent to temporary house rental rates until the completion of resettlement in a new place. Resettlement / Relocation Option will not be granted for land clearing 3 months - 1 year advance notice, before the date on which the affected tenants must move

Relocated entitled persons regardless of land tenure

Cash allowance for moving if the project is not able to provide the use of a truck or a means of transportation to carry goods to a new place.

Elucidation of Law No. 2/2012 Article 33 f BPN Head Regulation No. 5 /2012 Article 30, 31 Indonesia Valuation Standards 306 (SPI 306) of 2013 Law No. 11/ 2009 on Social Welfare

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional Government : Social Program (land clearing)

3 months - 1 year advance notice, before the date on which the affected tenants must move In clearing the land, moving cost and transition allowance will be provided as required in the Land Acqusition Provisions to be included in social programs. These requirements will be incorporated into the TOR for valuation of object loss / acquired land in determining the value of compensation

Tenant house / shop regardless of tenure

• cash assistance equivalent of 12 months rental cost

Elucidation of Law No. 2 / 2012 Article 33 f

Land requiring agencies allocate budget for compensation

3 months prior notice before the date on which the affected tenants

34

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

BPN Head Regulation No. 5/2012 Article 30, 31 Indonesia Standard Valuation 306 (SPI 306) of 2013 Law No. 11 Tahun 2009 on Social Welfare

Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional Government : Social program (Land Clearing)

must move

2 Infrastructure and public facilities / objects attached to land

Government or State Enterprises / communal property and assets (eg schools, mosques, village office power poles, etc.)

• Rebuilding the facility or provide cash compensation based on the agreement with the affected parties

58.

Law No. 2 Tahun 2012 Article 33 Presidential Regulation No. 71/2012 Article 82

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Local Government: allocate budgets or rebuild facility

Valuation of affected assets will be performed by an independent appraiser

3 Tomb / grave

Owner A replacement for public cemetery though prior consultation with village officials and residents. Financial assistance to move the graves, including costs for the ceremony

Law No. 2/2012 Article 33 Presidential Regulation No. 71 / 2012 Article 82

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional Government: allocate budget for land replacement,

Valuation of loss performed by an independent appraiser

58 Article 33 of Law No. 2 of 2012 and Article 82 of the Presidential Regulation Number 71 of 2012.

35

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

removal costs, including the cost of the ceremony

4 Temporary impact during construction

For those who have formal legal rights (certificate) or those whose claim on land is recognized as a full right

For lease payments of the affected land by the contractor based on the applicable rental fees and agreements with landowners. For productive land, the cost of the rental will not be less than the net income that will be generated from productive affected land compensation for non-land assets acquired (trees / plants, buildings) will be provided at replacement cost Land will be restored to pre-project conditions or even better.

Contract documents / agreements with civil works contractors

contractors 30-60 days prior notice given to the owner of the land before it is used temporarily by contractors. This provision is stated in the contract / agreement with the civil works contractors Temporary impacts during construction include activities at the borrow pit area.

Those who do not have legal rights and entitlements that can be recognized as full ownership

• There is no land rental costs during the period of impact

• Land will be restored as it was before the project, or even better.

Contract documents / agreements with civil works contractors

Contractors

D. Other Appraisable Loss

1. Loss of income, venture and job

Business owner and employees regardless the tenure

The loss of a permanent business (restaurant, barber) or a termination due to closure of business premises: Replace the loss in cash based on the loss of business investment (capital, other production mode) is added to the total loss of revenue of at least 6 months and support the transition allowance in accordance with the time needed to

Elucidation of Law No. 2 of 2012 Article 33 f Presidential Regulation No. 71/2012 Article 33 f Government Regulation No. 38 of 2007 Indonesia Valuation Standards (SPI 306), 2013,

Land requiring agencies allocate land compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional Government:

Applicable for Land Acquisition and Land Clearing: For permanent loss, SPI 306 assess entire business losses include business interruption. Waiting cost is needed so that affected operations business activities

36

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

stabilize the business.

Social program can resume

temporary Lost: Compensations in cash based on the loss of expected revenue is to be obtained from use of the affected assets

59.

Elucidation of Law No. 2 of 2012 Article 33 f Government Regulation No. 38 of 2007 Indonesia Valuation Standards (SPI 306), 2013,

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional government: Social program

For land clearing compensation can be covered from social programs

Permanent job loss: Damages in cash equivalent to the amount of lost job income multiplied at least by 6 months, or Change profession: Cash compensation based on the costs required to change the profession on par with previous professions based on an assessment by a licensed appraiser

Elucidation of Law No. 2 of 2012 Article 33 f Government Regulation No. 38 of 2007 Indonesia Valuation Standards (SPI 306), 2013

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional Government : Social Program

Payment slip, or if no payment slip, minimum wage will be used for the calculation of restitution. For land clearance, compensation can be covered from social programs

Loss of temporary employees: Compensation equivalent to the income lost during the disruption.

Elucidation of Law No. 2 of 2012 Article 33 f Government Regulation No. 38 of 2007 Indonesia Valuation Standards (SPI 306), 2013

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

Payment slip, or if no payment slip, minimum wage will be used for the calculation of restitution. For land clearance, compensation can be covered from social programs

59 See Standardized assessment of Indonesia (SPI 306), 2013, "Concepts and General Principles of Assessment", page 17.

37

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

Regional Government : Social Program

2 Limited access to the river waterway.

Venture owner who use river waterway for livelihood (ferry boat operator)

Compensations in cash based on the temporary loss; or Participate in livelihood recovery programs.

Elucidation of Law No. 2 of 2012 Article 33 Law No. 11 of 2009 Government Regulation No. 38 of 2007

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional Government : Social Program

Applicable for land Acquisition and clearing Modification of Technical Design that allows the AP to be able to sustain their livelihoods from the river. Livelihood recovery program will be integrated with local government social programs in where the project is located.

3 Loss of emotional attachment to assets (solatium)

Entitled party who loss the emotional bond with the affected assets (land, structures, and plants)

Additional compensation of 10% - 30% of total compensation for physical assets affected. Compensation will include funding for:

• Transitional living allowance equivalent to 3 months of basic living expenses (at the provincial poverty line per household member which will be included in the solatium.

• Reduction of building depreciation.

Elucidation of Law No. 2 of 2012 Article 2 f Indonesia Valuation Standards (SPI 306), 2013,

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets. Regional Government : Social Program

Applicable for land acquisition. Percentage of emotional loss compensation will be based on an independent appraisal assessment

Details calculation and coverage of solatium is set forth in the LARP document

4 Transaction Cost

The entitled party who lost land and non-land assets

Allowance to cover of administration cost, renewal of land ownership (ownership name transfer) for residual land, land clearing

60

Presidential Regulation No. 71/2012 Article 112

Indonesia Standard of

Land requiring agencies allocate budget for compensation Land Acquisition Implementing

Applicable for land Acquisition and clearing Calculations are based on IOL and SES

60 Lihat Standar Penilaian MAPPI, SPI 306, 2013

38

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

Valuation (SPI) 306, 2013

Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

5 Compensation for the waiting period (interest)

The party entitled to receive compensation for late payment

Cash compensation based on the risk free interest, government bank interest

SPI 306, 2013

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

Applicable for land Acquisition and clearing

6 Loss of residual Land

Those who have formal legal rights (certificate) or those who make claim on land and recognized as legitimate owners including those who occupy state land in good faith.

If there are no residual land that can be used for a particular purpose, the entitled party is entitled to receive compensation for the entire land at replacement cost.

61

Law No. 2/2012, Article 35

Presidential Regulation No. 71/2012, Article 67.

SPI 306, 2013

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the residual land

Applicable for land Acquisition and clearing

7 Other physical loss

Owner, regardless of tenure

Compensation for repair costs

Elucidation of Law No. 2/2012 Article 33 f Indonesia Valuation Standards (SPI 306), 2013,

Land requiring agencies allocate budget for compensation Land Acquisition Implementing Team delivers compensation Independent Appraisal: conducts an valuation of the assets.

Applicable for land Acquisition and clearing

61 Article 35 of Law No. 2 of 2012 and Section 67 Presidential Regulation 71/2012.

39

No Impact/Loss

Category Entitled Person Project entitlement

Basis / Legal

Implementation

Excecuting Agency/ Fund

Resources Remark

8 Loss of the

resource base (high risk of impoverishment)

Entitled Party who lost of 10% or more of total assets or earning revenue sources; Entitled Party , poor and vulnerable, regardless of the severity of the impact

Participate in livelihood restoration program (LRP) Given the opportunity to get a work related with the project

Law No. 2 of 2012, article 33

Elucidation of Law No. 2 of 2012, Article 2b

Law No. 11 Year 2009 on Social Welfare

Government Regulation No. 38 of 2007

Regional Government: Social Program IA / PIU: integrated in non-structural components of the program. Contractor: work related project

Applicable for land Acquisition and clearing LRP includes agricultural support, provision of training, job placement, additional financial grants and micro loans for equipment and buildings, as well as organizational support / logistics to establish alternative income generating activities for affected populations LRP will be integrated with local government social programs where the project is located

B. Relocation/Replacement Land and Income and Livelihood Improvement

82. If relocation will take place, entitled parties generally have two options to choose from:

(i) Self-relocation. Entitled parties may take the initiative to relocate to a place of their choice instead of resettlement sites provided by the project.

(ii) Relocation to project-sponsored resettlement. Relocation is to a location provided by the EA/IA in consultation with the entitled parties as well as with the host population.

83. If the entitled parties choose relocation or resettlement as compensation, the Directorate General of Water Resources or the project implementing agencies will provide relocation/resettlement. Resettlement/relocation location is determined based on agreement through consultation with the entitled parties. Relocation / resettlement land is ensured to be safe. Relocation area will also be equipped with public services and facilities needed by the entitled parties, access to employment opportunities and production, as well as considering the integration with the host population.

84. Income / livelihood recovery. Income and livelihood recovery will be provided to the severely affected entitled parties and vulnerable groups, so that they would thoroughly benefit from the project. Strategy of increasing income and livelihood programs, funding sources and mechanisms, monitoring, implementation arrangements, and the time frame will be included in the land acquisition and resettlement plan to ensure that vulnerable groups and severely affected entitled parties can increase their economic income at least equal to

40

the time prior to projects. The group identification and assessment of the needs of income / livelihood improvement program will be conducted through data collection and socio-economic surveys at land acquisition planning documents preparation and will be finalized at data update during the implementation land acquisition.

85. The income improvement program will follow the scheme of poverty alleviation programs listed in the Law No. 11/2009 Article 21 on Social Welfare, which indicates that poverty reduction should be done in the form of:

(i) Social counseling and guidance; (ii) Social Services; (iii) Provides access to business and employment opportunities; (iv) Provides access to basic health services; (v) Provides access to basic education services; (vi) Providing access to housing and neighborhood services; and / or (vii) Providing access to training, venture capital, and Product Marketing.

86. The scope of income / livelihood improvement program will be based on the extent of impact and assessment on the entitled parties’ need. It is important that the project implementing agency or regional government staff or professional consultants who have knowledge and experience in community economic empowerment program prepare and implement the program. Monitoring program will be focused on the progress of the program implementation and achievements, including the entitled parties’ participation and response to the program, the impact on their socio-economic condition, problems encountered and the solutions.

87. The economic income and livelihood improvement program will be packaged in a social action plan consisting of; (i) poverty alleviation and empowerment of the people, organized by regional government; and (ii) project relevant sub-component programs, such as the 2A sub-components: upstream Agricultural Land Management including slope stabilization programs and sustainable farming practices.

88. The Social Action Plan (SAP) is also prepared with active participations of local and sectoral government offices to further enhance social economic development and specially targeted support for the poor and vulnerable in the project areas. Social action plan has included activities and budget for each sectors to enhance the livelihood and living condition of affected people. The SAP may include the following:

(i) livelihood trainings. The trainings are related to the current occupation of the severely AHs and vulnerable groups to enhance their existing skills to be able to improve their productivity or training in a new occupation which could put them in a position to increase household income;

(ii) agriculture inputs and supports. This program is to facilitate the agricultural services to AHs who derive their incomes primarily from agriculture, in order to enhance their productivity on their land. The program may include support for intensification of development of rice field, seedling activities, post harvest technology, small business development for agriculture products and animal husbandry; and

(iii) employment services or providing opportunity to project related jobs. The employment opportunities will be provided during the construction period taking into account the available job opportunites and the required qualifications.

C. Unanticipated Impacts

89. If unanticipated involuntary resettlement impacts are determined during project implementation, the CPIU will ensure the conduct of a social impact assessment and update the LARP or formulate a new LARP covering all applicable requirements specified in this LARF depending on the extent of the impact changes. The social impact assessment will be done in accordance with the procedures stipulated in this LARF.

41

90. Unanticipated impacts will be documented and mitigated based on the principles provided in this LARF. DGWR shall submit these documents (updated LARP and SIA) to ADB for disclosure on ADB’s website and convey relevant information in them to the affected persons/community.

D. Additional Measures

91. Negotiated Land Acquisition. As per the provision under the Presidential Law No. 40/2014, acquisition of land less than 5 hectare will be undertaken through transaction, exchange, or other means acceptable by both parties. DGWR will apply the following principles in undertaking land acquisition through negotiation:

(i) Compensation is paid at replacement value which takes into account the prevalent market prices as determined by independent appraisal or through consultation with entitled parties including those without legal title to assets to enable all affected land owners to replace their affected assets. No administrative cost will be deducted and tax obligations will be covered by the negotiated transaction.

(ii) All negotiations with the landowners and users if any will be carried out in an accessible location, in an open and consultative manner without any coercion and with sufficient time for consideration of offers.

(iii) The documents pertaining to the land acquisition such as map, land registries, sales written records, consultation records, decision records, law and policies for the negotiations and development plans are to be disclosed to the entitled parties involved in the negotiated land acquisition or settlement

(iv) Adequate and fair price for land and/or other assets will be offered. Owners are free to refuse to sell their land or to refuse the offers of DWRG’s or implementing agency. If negotiations fail, an alternative way will be sought and the process begins again.

(v) An independent external party who is not involved in the project will record and validate negotiation process and ensure that the process is transparent and the bargaining positions of the parties involved in the negotiations are equal.

(vi) When negotiations are completed, inventories of affected land and other fixed assets are prepared in consultation with affected landowners and a copy of the same is to be given to each landowner.

(vii) The negotiated amount will be paid immediately to landowners after all necessary documents required for the land acquisition processes have been completed by land owners.

(viii) All market analysis, negotiation and other consultation proceedings will be documented and the land sale and purchase agreement will be signed by the negotiating parties in the presence of a Land deed official (PPAT) and the village head or community leaders

(ix) Land acquisition identification, planning and monitoring will ensure that gender concerns are incorporated.

(x) Grievance mechanism will be established to receive and facilitate resolution of the entitled parties concerns.

(xi) DGWR will not award a civil works contract until payment has been fully provided to the entitled parties and rehabilitation measures if any.

92. Voluntary Land Donation/Contribution. Voluntary donation/contribution of land usually involves the contribution by individuals or government’s entity of land for a project that has community benefits, such as a rural small ponds and small drainage, Voluntary land donation for the subproject can be applied62 to operationalize components 2.A Farmland management and sustainable agriculture practices in the Ciujung river basin (MOA) and 2.B Improved runoff and erosion control in 3Cis RBT and Ambon-Seram RBT (MOHA) and

62 It is noted that based on international best practice, VLD can only be applied to projects whose locations can be moved.

42

discussed during the social survey and consultations.

93. Voluntary land donation/contribution will be accepted if the following criteria are met:

(i) The impact of voluntary donations are marginal; (ii) Impacts do not result in displacement of households or cause loss of household’s

incomes and livelihood, there is no other location for subprojects; (iii) Households making voluntary donations are direct beneficiaries of the project; (iv) Donated land is free from any dispute on ownership or any other encumbrances; (v) Consultations with entitled parties is conducted in transparent manner with no

coercion; (vi) Land transactions are supported by transfer of titles; and (vii) Proper documentation of consultation meetings, grievances and actions taken to

address such grievances is well documented.

94. Criteria and Guidance Notes on Voluntary Donation are outlined in the table below.

Table 6. Criteria and Guidance Notes on Voluntary Donation Criteria Guidance Notes

The impacts are marginal (based on percentage of loss and minimum size of remaining assets);

- The land donated does not exceed 5% of the total land owned by the affected household.

- The land donated does not result in uncompensated permanent non-land assets

- Land donation will only be accepted if the total land owned by the household is not less than 300 m

2

Impacts do not result in displacement of households or cause loss of household’s incomes and livelihood;

- The land is not used for productive purposes - Only secondary structures are affected; there is no

physical relocation of household due to the project and land donation.

- The affected household does not fall under the category of poor or vulnerable.

The households making voluntary donations are direct beneficiaries of the project;

- Both positive and negative impacts of the project on the affected household are considered.

- The affected household can identify the project’s direct benefits to them.

Land donated is free from any dispute on ownership or any other encumbrances;

- The affected household has recognized legal tenure.

- The land is not being occupied and/or used by any other party.

- The land is not in dispute for its ownership.

Consultations with the affected households is conducted in a free and transparent manner;

- The affected household should be informed that they have the right to receive compensation for their land and the equivalent amount of compensation for the land they wish to donate.

- The affected household receives clear and adequate information on the project, and participates in the project planning.

- Provisions on voluntary donation are integrated into the decision making process at community level.

Land transactions are supported by transfer of titles; and

- Official land ownership document is updated.

Proper documentation of consultation meetings, voluntary donationgrievances and actions taken to address such grievances is maintained.

- Certificate of voluntary donation with signature of the asset owner (AH making the donation) and witnesses is properly documented.

- . - Consultation meetings, grievances if any and

actions taken to address such grievances are properly recorded.

43

95. Voluntary Land Donation Forms (See Appendix 6 for a sample form) is attached to the LARP. A confirmation by an independent party will be provided to ensure that land donation do not severely affect to the living standard of affected persons and complies with the above mentioned criteria. The sample TOR for verification of voluntary donation by independent party can be seen in Appendix 7.

44

VI. GRIEVANCE REDRESS MECHANISMS

96. In principle, objection to any aspect of the project and land acquisition will be addressed through consultations to reach an agreement and settlement, and sought to be resolved as much as possible at sub-projects level. Relevant institutions, such as the Project Implementation Unit (PIU), provincial / district / city, subdistricts and villages governments will be involved in addressing the objection. When the grievance cannot be addressed, it will be resolved through litigation procedures as set forth in Law No. 2/2012 and Presidential regulation No.71/2012. There is no fee charged to the complainant. Grievance acceptance and redress mechanism will ensure cultural and gender sensitivities of the entitled parties.

A. General Flow of Grievance Redress

97. The entitled parties through their facilitator or representative may bring the complaints to the village leaders and/or customary leaders who will bring it to the project officers at the field office or subprojects site office. Specifically, (i) the entitled party narrates discontent to community leader; (ii) the leader prepares an official report for documentation purposes and attempts to address and resolve the grievance at community level; and (iii) if the entitled party is satisfied, there is no need to elevate the issue. If the grievance cannot be addressed at the village level, the village leader will submit the complaint to project management on-site.

98. Project staff from the safeguards units will assist the complainant in registering their complaints with subproject management, and preparing their specific grievances. The Project Manager will consider the complaint and within 15 working days convey a decision to the complainant. These staff, along with local government district officials, will assist management in reviewing and addressing the complaint. The Project district officers will record/keep a file of the complaint. The project staff will facilitate communication between the complainant and the project management

B. Specific Grievances

99. There are specific mechanisms for different grievances as upheld by Law 2/2012: (i) grievance on project location confirmation and results of inventory of assets; and (ii) grievance on compensation rate. The Land Acquisition Implementation Team (LAIT) keeps records of complaints and disputes handled.

1. Grievance on project location confirmation and results of inventory

100. The announcement of the inventory and identification results shall include the subjects of title, size, location, and map/s of the project area. Grounds for grievance are; (i) should the entitled parties not receive the results of the inventory; and (ii) should the entitled parties object to the results of the inventory. As such, the grievance procedures to be observed are:

(i) An entitled party may appeal the result of the inventory on affected land and other assets found on the affected land (buildings, plants, other objects) with the LAIT.

(ii) LAIT within 14 days will verify the results of the inventory of the affected assets of the entitled party and will make necessary revisions/corrections, as needed. If the entitled party is still not satisfied with the findings of the LAIT, the entitled party can bring the matter to the Administrative Court (PTUN) for resolution.

(iii) If the grievance/complaint concerns ownership/control of land and/or other assets found on the affected land, the LAIT will seek a settlement with the contending parties through consultation.

(iv) If the consultation does not produce a settlement, the LAIT will advise the entitled parties to resolve the case through the administration court (PTUN).

45

2. Grievance on Compensation rate

101. Based on the 2012 Law, an aggrieved entitled party may bring the grievance/complaint as regards compensation rates directly to LAIT or land agency through the informal leader who will submit it to the LAIT either in writing or relay it verbally. LAIT together with the land agency and the informal leader will attempt to seek consensus to achieve an acceptable settlement with the aggrieved entitled party, specifically:

(i) An entitled party that is not satisfied with the amount of compensation initially offered by the LAIT has within 30 days to come into agreement with the LAIT on the level of compensation for affected assets, including income loss for adversely affected business or employment.

(ii) If negotiation on compensation with the LAIT fails, the entitled party may file within 14 days with the district court the complaint on the compensation proffered by LAIT. The district court will judge on the case within 30 days.

(iii) If the entitled party is not satisfied with the decision of the district court, the entitled party within 14 days following judgment by the district court may bring the case to the Supreme Court and seek a reversal of the ruling of the district court. The Supreme Court will judge on the case within 30 days.

3. Other Disputes

102. Grievances related to project construction and other resettlement matters such as resettlement issues, which are not covered by the grievance redress mechanisms in Law No.2/2012 and the President of the Republic of Indonesia Regulation No. 71/2012, as Objections related to construction activities and other issues such as resettlement, such as access restrictions, the redress mechanisms are as follows:

(i) The engrieved entitled parties may bring the complaint to the project staff, contractors, or village head or local community leaders who will bring the appeal to the project staff in the field office or sub-project office. Project land acquisition and Safeguard unit will send the grievance record to the sub-project management.

(ii) Project manager will examine the complaint and within 15 working days will deliver the decision to the complainant. Project staff will facilitate communication between the complainant and the project management in redressing the grievance. Project staff will document the objections and resolution.

(iii) If the aggrieved entitled party is not satisfied with the decision or handling of the complaint, he/she may bring the grievance, either in writing or verbally to the regent of the district (Bupati)/ within a period of 14 days from the issuance of the decision.

(iv) The Bupati will decide on the complaint within a period of 30 days by requesting for opinions/wishes from (i) the aggrieved entitled party; (ii) LAIT; and (iii) other relevant entities to the complaint.

(v) If no decision to the complaint is made or if the aggrieved entitled party is not satisfied with the decision taken by Bupati and/or mayor, the complainant may bring the complaint/case to the court for adjudication.

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VII. INSTITUTIONAL ARRANGEMENTS AND IMPLEMENTATION

A. Project Related Institutions and Their Role

103. Executive and Implementing Institutions. The Directorate General of Water Resources, Ministry of Public Works and Housing is the Executing Agency of the Project that will be responsible for the entire implementation, administration, and monitoring of the project, including land acquisition and resettlement activities upholding the legal provisions of Law No. 2/ 2012 and its implementation rules, while harmonizing with the ADB SPS. The river basin organizations (BBWS 3 Cis in Banten and BWSM in Ambon- Seram) are the implementing agencies that will carry out project activities including preparation, implementation, and supervision on framework and land acquisition and resettlement planning. DGWR, together with the Directorate of Planning and Programming as Secretary, will establish a Central Project Management Unit that will be responsible for the daily implementation of projects and safeguard, including monitoring and compliance in implementing the framework and land acquisition and resettlement planning.

104. The key institutions in the project that have roles and responsibilities regarding implementation of land acquisition and resettlement aspects are identified by levels (see Table 7): national, regional and site levels.

(i) Directorate of Water Resources and Irrigation- Bappenas and the Steering Committee on Water Resources. Bappenas plays important role in project planning, coordination, and policy on project implementation phase as well as in safeguard and land acquisition / resettlement. Bappenas will also review the progress of project activities, including land acquisition and facilitate in issues resolution during the project implementation.

(ii) Central Project Implementation Unit (CPMU). Central Project Implementation Unit is a major technical institution at the national level for the project, as well as land acquisition and resettlement activities in the Directorate General of Water Resources, Ministry of Public Works and Housing through the Directorate of river and Coast. CPMU will be under the Directorate of Planning and Programming, Directorate General of Water Resources, plays a key role in drafting the annual budget and provide technical guidance and supervision to the RBOs in the Project implementation area, including land acquisition planning and implementation.

(iii) Balai/Besar Wilayah Sungai. Balai Besar Wilayah Sungai (BBWS)63 and Balai Wilayah Sungai (BWS) are located at the river basin / province level. BBWS / BWS with the assistance of consultants will be implementing the project, including developing land acquisition and resettlement plan, which will be submitted to ADB by the Directorate General of Water Resources for approval prior to implementation and execution of civil works. BBWS / BWS will also be responsible for developing land acquisition plan and submit it to the Governor to get a determination of the location of the project. BBWS / BWS will also be involved in land acquisition preparation, announce the location confirmation and working with the BPN on the implementation of land acquisition. Furthermore, BBWS / BWS will also work with other relevant agencies, both at national and regional level to obtain various permit requirements related to land acquisition, including if the acquired land is situated in the forestry area or agricultural land for sustainable food security.

(iv) Provincial and District Government. Provincial and district / city, in particular

63

Balai Besar Wilayah Sungai/Balai Wilayah Sungai was established to implement an integrated and cross-region river basin management, whose jurisdiction is based on watershed hydrological boundaries. The main role of BBWS / BWS has been improved, updated and particularly considered as part of water resource policy reforms that emphasize the widest stakeholder participation.

47

the Regional Planning Agency (Bappeda) play an important role in the project / sub-project and land acquisition / resettlement planning. Bappeda will also play an important role in the preparation and implementation of social safeguard / social program to ensure the severely affected populations, entitled parties and vulnerable groups benefit livelihood recovery programs. Provincial/ district governments will also play an important role in providing funds for land acquisition / resettlement.

B. Institutions and Land Acquisition Process.

105. As specified in Law No. 2/2012 and its implementation rules, there are some important institutions who have authority in the process of land acquisition and resettlement, which are:

(i) Provincial/ District/City Government. BBWS / BWS as the project implementing agency and agency requiring land in cooperation with the provincial government, referring to the land acquisition planning documents, conduct the preparation of land acquisition which include;: (i) notice of the development plan; (ii) initial location identification of the development plan; and (iii) public consultation on development plan; (iv) the Governor with BBWS / BWS announce the location determination for project development. Governor may delegate the preparation of land acquisition implementation to the regent / mayor by efficiency, effectiveness, geographical conditions human resources, and other considerations. If there are objections, the governor / regent / mayor also will establish a special team to assess team.

(ii) National Land Agency/Office of Land. Base on the construction location determination and submission of the land acquisition implementation by BBWS / BWS as the agency requiring land, Land Agency BPN establish a land acquisition team and implement land acquisition with primary activities include (i) inventory and identification of control, ownership, use, and land use; (ii) Compensation assessment to be performed by an independent appraiser or government appraisers; (iii) deliberations of compensation determination; (iv) delivery of compensation; and (v) delivery of the acquired land to the agency requiring land. Upon delivery of the acquired land to institutions requiring land, the civil works / construction can commence. Land acquisition located in a district/ city, the land acquisition implementation can be assigned to the land office at district / city level. While land acquisition located in more than one district will be implemented by the Regional Land Office of BPN at the provincial level. After the location determination, entitled party/ affected person may only assign his/her land rights to the agency requiring land through land agencies and obtain compensation.

106. Details of land acquisition activities including the preparation and implementation of LARP, the institution responsible for, and the required time frame can be seen in Table 7.

Table 7. Land Acquisition Process and Activities and Agencies and Timeframe under Law No. 2/2012 and ADB SPS 2009

No. Land Acquisition Phase

Government / ADB

Requirement

Responsible Agencies Time Frame/ Working Day

I. PLANNING PHASE 1 Project screening, identifying whether

project may/ may not cause land acquisition / resettlement

Government/ ADB

DGWR 30 days

2 Prepare Land Acquisition Planning for the public interest

Government/ ADB

DGWR 30 days

3 Prepare Land Acquisition Planning Document that include; objectives of the

Government/

DGWR assisted by proffesional agency if needed.

48

No. Land Acquisition Phase

Government / ADB

Requirement

Responsible Agencies Time Frame/ Working Day

development plan, in line with regional spatial planning and national /regional development plan , land location , land size needed, land status, period of land acquisition implementation, implementation construction, land value, and budget. The planning document should be based on the feasibility study:

ADB

Social Economic survey Location feasibility study Analysis of cost and development benefit Estimated land value Environmental and social impacts Social Economic survey 4 Certify the Land Acquisition Planning

Document Government

DGWR 60 days

5 Submitting Land Acquisition / Resettlement Planning Draft documents to ADB for review and approval

Government/ ADB

DGWR 60 Days

6 Disclosure of documents for land acquisition / resettlement planning to the public (entitled parties to and other stakeholders) and websites

DGWR

7 Sending planning document to provincial government

Government

DGWR 10 Days

II PREPARATORY PHASE 130 – 207 Days 1 Establishment of preparatory team Governme

nt Governor/ Bupati/ Mayor 10

2 Notice on development plan Government

Provincial Preparatory Team (PPT)/ District Preparatory Team (DPT)

20

3 Preliminary identification Government

PPT/DPT 30

4 Public consultation, if any rejection Government

PPT/DPT 30

5 Public Consultation Government

PPT/DPT 60

6 Issuance on project location determination ‘Decree’

Government

Governor/ Bupati/ Mayor

7 Announcement of project location determination

Government

Governor/ Bupati/ Mayor and agency requiring land

Grievance/Complaint raised by entitled parties

Government

8 Complaint lodging/rejection on project area Government

Complainant 14

9 Establishment of assessment team Government

Governor/ Bupati/ Mayor

10 Assessment on complaints Government

Grievance Assessment Team

11 Acceptance/rejection on the complain Government

Governor

12 Complaint lodging to the Administrative Court (PTUN)

Government

Complainant 30

13 Administrative Court decision Governme Complainant 30

49

No. Land Acquisition Phase

Government / ADB

Requirement

Responsible Agencies Time Frame/ Working Day

nt 14 Complaint lodging to Supreme Court (MA) Governme

nt Complainant 14

15 Location determination, if complaint is rejected (Location determination is valid for 2 years and 1 year for extension)

Government

Supreme Court 30

- Project located in more than 1 districts/cities - Project located in a district/city

Government

- Provincial Preparatory Team (PPT) established by the Governor - District/City preparatory team (DPT) established by the Bupati/Mayor

III IMPLEMENTATION PHASE 382 days max. 1 Preparation of land acquisition

implementation led by head of provincial BPN/ Head of land Office

Government

Provincial / District Land Office

2 Inventory of losses (IOL) and legal assessment of affected assets

Government

Provincial L A Implementing Team established by the Governor - District L A Implementing Team – IOL team

30

3 Announcement of the IOL Government

Provincial L A Implementing Team established by the Governor

4 Data verification, if any complaint on IOL Government

- District L A Implementing Team

14

5 Mobilization of appraiser /public appraiser Government

Provincial L A Implementing Team established by the Governor - District L A Implementing Team

30

6 Appraisal/valuation of losses Government

Independent appraisal

7 Updating documents Land Acquisition / Resettlement, if required

Government / ADB

DGWR

8 Delivery to ADB for review and approval ADB DGWR 9 Disclosure for updated land acquisition /

resettlement documents to the community / stakeholders, and website

Government / ADB

DGWR

10 Announcement of Forms of Compensation Government

Provincial L A Implementing Team established by the Governor District L A Implementing Team agency requiring land

30

Grievances / complaints submitted by the party entitled

Government

11 Complaints lodging about compensation in court

Government

Complainant 14

12 Court decision on complaint Government

Complainant 30

13 Complaint lodging in the Supreme Court Government

Complainant 14

14 The final decision of the Supreme Court Government

Supreme Court 30

15 Deposit Compensation Money in court Governme

50

No. Land Acquisition Phase

Government / ADB

Requirement

Responsible Agencies Time Frame/ Working Day

nt 16 Delivery of compensation Governme

nt Provincial L A Implementing Team established by the Governor -District L A Implementing Team agency requiring land

17 Delivery of compensation in the specific condition

Government

Provincial L A Implementing Team established by the Governor - District L A Implementing Team agency requiring land

18 Release of land acquisition objects (land and non-land assets)

Government

Badan Pertanahan Daerah 7

19 legal separation between entitled parties and land acquisition objects

Government

Provincial L A Implementing Team established by the Governor - District L A Implementing Team

7

20 Documentation of land plot map, list of nominative (entitled parties), and land acquisition administrative data

Government

Provincial L A Implementing Team established by the Governor - District L A Implementing Team

21 - Project located in more than 1 districts/cities - Project located in a district/city

Government

- Provincial L A Implementing Team established by the Governor - District L A Implementing Team, Regional Land Agency

22 Livelihood improvement program Government / ADB

DGWR

IV HAND OVER OF ACQUIRED LAND 1 Handover land acquisition documents from

land acquisition implementer to agency requiring land

Government

Provincial L A Implementing Team established by the Governor - District L A Implementing Team

7

2 Commencement of infrastructure development

Government /ADB

DGWR

3 Certification of the acquired land Government

DGWR 30

MONITORING AND BUDGET Government

1 Controlling of use and utilization of the acquired land

Government

National land Agency

2 Internal project monitoring on land acquisition/ resettlement implementation

Government / ADB

Agency requiring land

3 External monitoring for Category A resettlement project

ADB Agency requiring land/ external monitoring entity in cooperation with the local government

107. In case of land acquisition through land clearing (land to be acquired has been owned by project proponent), the EA/IA in collaboration with the local government will

51

establish resettlement working group (RWG). The function of the RWG can be seen in Appendix 8.

C. Institutions and Capacity Strengthening

108. Capacity building will be conducted either on staff who will prepare land acquisition documents at the planning phase, on preparation team established by Governor / Regent to prepare and determine the land acquisition location, on land acquisition and implementation team formed by BPN. Based on the 2012 Land Acquisition (LA) law and regulations, these include: first, LA preparatory teams to be established at the request of the provincial governors, and delegating/involving the kabupaten and city governments, to deal with public consultations and negotiations with local stakeholders, to address issues and objections, and to secure initial stakeholder agreements. These LA preparatory teams are linked to efforts to secure project location permits to be issued by the provincial governors. Since these LA preparatory and LA implementation teams will be following new procedures and regulations, specialized technical assistance and/or workshops to review and to improve their skills of members should be considered. Capacity building activities that can be implemented are: (i) workshops for BBWS / BWS staff, local governments (provincial / district / city) and BPN on the process of land acquisition for public interest referring to Law No. 2 of 2012, its implementing regulations and ADB SPS 2009; (ii) workshop on implementation process for the Land Acquisition Preparatory Team; (iii) workshop for staff BBWS / BWS, local governments (provincial / regency / city), BPN, and NGOs / universities on implementation process for the Land Acquisition Implementing Team; (iv) workshop on land acquisition implementation monitoring and evaluation

109. The BBWS and BWS river basin authorities, as primary implementing agencies, are required to retain adequate staff, or alternatively a Project Implementation Consultant with relevant qualifications and experience, to be able to adequately design and deliver the LARP for the subprojects. They remain responsible for reviewing and if necessary updating the LARP at the time of each scheduled bi-annual report, particularly with regards to potential changes in project scope, location, timing, entitlements or valuations that might require additional resources.

110. In order to assist the BBWS and BWS, the local governments, along with selected technical agencies to implement their roles and tasks, special capacity building programs will be devised to improve technical and institutional capacity to implement the land acquisition, social safeguard and resettlement activities, including income and livelihood restoration and other linked aspects. RETA Country Systems Safeguards (CSS) 7566 through INO capacity development for social safeguards on water and energy sector will facilitate socialization and training of social safeguards, Laws no. 2/2012 and its regulations and other related land acquisition and clearing issues to the relevant staffs of Balai, DGWR, DSA and project staffs: The schedule for Banten and Ambon is before June 2014. Capacity building program to the relevant staff of the DGWR, BBWS / BWS, local government, regional BPN, and other relevant institutions have been partially implemented through TA 7566-INO: Capacity Building for Preparation and Implementation of Social Protection in Water Resources and Energy Sector.

111. Capacity assessment on project and land acquisition implementing agencies and capacity building program will be continued in e ach sub-project and is included in LARF . Capacit y assessment wi ll i nclude, amon g others: (i) the knowledg e on po licies and procedures of land acquisition / resettlement and ADB social safeguard policies ; (ii) the capacity of project implementing age ncies in implementing social safeguard and land acquisition / resettlement; (iii) the existence and effectiveness of institutions implementing social safeguard / land acquisition; and (iv) needs for capacity building.

112. Social safeguard/ resettlement specialist consultant under the project planning and implementing specialist consultant team conduct the capacity building. The capacity building will also be made for staff who handles components 2A and 2B related to land acquisition

52

and social safeguard. This component will also require expertise of a Social Development specialist. BWS and BBWS as implementing agencies, assisted by district / city Bappeda remain responsible for budgeting, and coordinating capacity building activities.

D. Project Implementation Specialist Consultants

113. Project implementation consultants will be part of the Detailed Engineering Design and Construction Supervision Consultant. The implementation consultants Incorporate social safeguards / resettlement team, which will help the project implementing agency / unit in preparing documents for land acquisition and resettlement plan as well as the updates, support implementation and conduct internal monitoring. Social safeguards / resettlement consultant will also conduct capacity assessment of the project implementing agencies and other relevant institutions in dealing with land acquisition and resettlement, as well as provide capacity building as required. The composition of the project implementation consultants are assessed in greater depth during the preparation of subprojects and might consists of: (i) social safeguard/ resettlement specialist; (ii) social development/ gender specialist; (iii) capacity development specialist; (iv) subcontract independent appraiser; (v) a team of surveyors to conduct data collection and socio-economic surveys

53

VIII. BUDGET AND FINANCING

114. Land acquisition implementation costs are shared by the central government, provincial and district (kabupaten) governments. Cost budgeting is prepared at the land acquisition planning stage with reference to the applicable laws and regulations. Table 8 below is an indicative budget breakdown of the costs of land acquisition.64

Table 8. Cost Items for Land Acquisition Budget Category Cost Item

Planning • Research and analysis of the spatial development plans and development priorities • Analysis of the development plan • Formulation of land acquisition plan; • Data Collection for object and subject on the location of land acquisition plan; • Feasibility study include: location determination, land status and land area required; surveys / social, location feasibility, including, the possibility of land acquisition and impacts incurred from the development plan; analysis of costs and benefits. • Calculating the period of time required for the process of land acquisition; • Analysis of the physical suitability of the location, especially the land suitability outlined in plan map of the construction site; i) Calculation of compensation for space above ground and below ground, buildings, plants, and objects related to the land; ii) Calculation of budget allocation, which includes planning, preparation, implementation, delivery of results, administration, management, and dissemination; land acquisition

• Cost of the feasibility study preparation include

census and socioeconomic survey of displaced people, location feasibility, cost and benefit analysis, estimated asset value, and asset inventory

• Cost of location mapping and land / structure area • Cost of Environmental Impact Assessment

Documents Preparation • Cost of conformity Assessment on Regional Spatial

Layout and Development Priorities Cost of Assessment on suitability of land acquisition with the Protection of Agricultural Land for Sustainable Food

Preparation

• Notification of Development Plan • Data Collection for Preliminary

Development Plan Location • Public Consultation / Repeated Public

Consultation • Determination of Location • Announcement of determination of the

location • Accept / reject objections of party entitled • Reviewing objections of party entitled • Proceedings in court / supreme court over

the objections of entitled party

• Operational cost of preparatory team • Cost of community development plan notification • Cost of public consultation / repeated public

consultation • Cost of location determination announcement • Assessment cost of entitled party objection

The cost of court / supreme court proceedings over the objection of entitled party

Implementation

• implementation land acquisition preparation;

• notification to the entitled parties; • inventory of the physical aspect; • identification of juridical aspects;

• Work Force Unit honorarium • Inventory and Identification cost • Cost of notification to the entitled party • Cost of the inventory and identification results

disclosure • Cost of reverification

64

Law No. 2/2012 on the Implementation of the Land acquisition for the public Interest, Ministry Decree No.13/2013 on operating and supporting costs of the implementation of land acquisition for development for the public interest sourced from the State Budget.

ADB. Involuntary Resettlement Safeguards: Planning and Implementation of Good Practice, a book source - Working Document Draft. November 2012.

54

Category Cost Item

• disclosure of the inventory and identification results and the nominative list;

• Entitled parties objections to be re-verified by the work task unit;

• Appointment of an assessor or public appraiser services by the National Land Agency and the announcement of assessors;

• assess and prepare minutes of assessment;

• consultation with the community; • agreement and relinquishment of rights

and payment; • proceedings in the district court and the

supreme court;

• delivery of compensation or deposit money.

• Appraisal Cost • Proceedings process fee in the District Court and

the Supreme Court

Relocation and Dislocation

• Moving and transporting cost • Cost of a replacement house • Cost of construction of the project area,

infrastructure and services • Living allowance during transition period ( included

in solatium) • Replacement cost of venture, business closure

(included in solatium) Income/ Livelihood Restoration Program • Estimated costs for income restoration plan (eg.

Training, small business, business community) • Cost of other services (extension, health, education) • Environmental enhancement package (forestry, land

conservation, pastoral land, etc.) Administrative and Services Cost • Material facilities (office space, employee housing,

etc.) • transport / vehicles, materials • Operations staff (managers, engineering), and

support staff • Staff training for capacity building and monitoring • Disclosure of information, consultation, and

complaint handling mechanism • NGO services for LARP implementation

Monitoring and Reporting • The cost of monitoring of LARP implementation • Monitoring review by qualified and experienced

external experts or qualified NGOs in projects that led to severe resettlement impacts, resettlement

• Evaluation of implementation and reporting of LARP Contingency • About 10 percent of the estimated resettlement

project costs

115. DGWR and project implementing agencies will ensure that resources are made available on time for the project activities both at the planning, preparation, implementation, transfer of acquired land, as well as other related activities. If there is a fund contribution from the local government, coordination and agreement with the local government will be conducted to ensure that the resources and disbursement are made available on time.

116. Document for LARP for the sub-project will identify activities related to land acquisition and resettlement and indicates the value of the required budget and financing sources as well as the mechanism for the use of funds.

55

IX. MONITORING AND REPORTING

A. Monitoring Arrangements

117. The DGWR, with assistance from project consultants (if needed), will monitor all activities associated with land acquisition, payment of compensation to entitled parties and other aspects. The scope of monitoring includes (but not limited to):

(i) Payment of compensation to all entitled parties in various categories, according to the compensation policy described in the LARP.

(ii) Delivery of income restoration and social support entitlements. (iii) Public information dissemination and consultation procedures. (iv) Compliance to grievance procedures and outstanding issues requiring

management’s attention. (v) Priority of entitled parties regarding the options offered. (vi) The benefits derived from the project.

118. The technical implementing agencies will periodically collect information from the different land acquisition committees. Monthly reports will be submitted to DWRG as the EA for LARP activities. The Project is assessed as a category A for resettlement as more than 200 residents were severely affected, therefore, an external monitoring consulting service will be retained to assess the objectives of resettlement and rehabilitation (The sample of TOR for external monitoring can be seen in Appendix 9). Specifically, the objectives of the monitoring program are the following;

(i) To verify ongoing internal monitoring information;

(ii) To verify whether the overall project and resettlement objectives are being met in accordance with the Resettlement Plan (RP), and if not to suggest corrective measures;

(iii) To assess the extent to which implementation of the resettlement plan65 complies with ADB’s Safeguard Policy Statement (SPS):

(iv) To identify problems or potential problems;

(v) To identify methods of responding immediately to mitigate problems and advise the [name of the borrower or client] accordingly; and

(vi) To verify if the livelihoods and the standard of living of affected persons (APs), including those of the non-titled displaced persons, are restored or improved;

B. Monitoring Indicators

119. Internal monitoring indicators address the specific contents of the LARF/LARP activities and entitlements matrix with the key parameters as follows:

(i) Institutional arrangement (confirmation on institutional arrangement set in the LARP, deployment of safeguards-related staff within Project, capacity building provided, coordination and inter-agency meetings)

(ii) Progress in RP updating, if any (Status of Detailed Measurement Survey and cost replacement study)

(iii) Progress in RP implementation and delivery of entitlements (compensation payment for affected assets, business income, job loss, livelihood, and restriction to livelihood or land use; and progress of income restoration program,)

(iv) Consultation and grievances (implementation of consultations, knowledge of entitled parties/APs on entitlements and grievance redress procedure, and greiavence handling.

65

Including updating of the RP.

56

(v) Communication and participation (participation of entitled parties/APs including women in the consultation meetings and their level of participation, didclodure)

(vi) Budget and time frame (budget allocation for land acquisition/resettlement, dime frame of land acquisition/resettlement process, staff handling land acquisition/resettlement ,and capacity building conducted.

(vii) Income and livelihood restoration for vulnerable groups and severely AHs (participatin and satisfaction of entitled parties/APs to the income/livelihood restoration program, improvement of standard of living of entitled parties/APs)

(viii) Benefit monitoring (changes in pattern of occupation, production, resources use, income and expenditure, cost of living). Any potential problems in the restoration of living standards will be reported.

120. Indicators for external monitoring are the following;

(i) Information on entitled parties/APs with gender disaggregated data

(ii) Restoration of living standard that include compensation payment

(iii) Restoration of livelihood with diaggregate data for entitled parties/APs.

(iv) Level of satisfaction of entitled parties/APs

(v) Effectiveness of resettlement planning.

121. Potential monitoring indicators for internal monitoring, from which specific indicators can be developed and refined according to the circumstances, are set out in Appendix 10.

C. Reporting and Disclosure

122. For a project with resettlement impacts, DGWR and its implementing units are required to prepare semiannual monitoring reports and external monitoring report (for A category projects) for submission to ADB that will include the progress in land acquisition activities. For projects deemed by ADB as highly complex and sensitive, ADB requires quarterly monitoring reports.66

123. Monitoring reports shall include the following topics:

(i) Progress of LARP implementation including compensation payment and deviations from the provisions of the LARP if any.

(ii) Identification of problem issues and corrective actions to be made (iii) Report on progress of the follow-up of issues and actions to address the

issues. (iv) Lessons learned that might be useful for future activities.

124. Monitoring reports are subject to review by ADB and posted on the ADB and project web sites, if applicable. DGWR through its implementing units shall disclose results of monitoring to the affected communities/persons specifically the status of the LARP, information on benefits sharing, and corrective action plans, if any. The template is attached as Appendix 11.

D. Assessment and Evaluation

125. DWRG shall conduct an evaluation of the overall LARP implementation after project completion in order to assess whether activities planned actually achieved the intended objectives. At a minimum, the assessment will generate gender-disaggregated data include such indicators as income levels, accessibility to social services, and entitled parties satisfaction. This report shall likewise be submitted to ADB and made available in project websites as part of project completion.

66 ADB. 2010. Safeguard Policy Statement. Operations Manual. OM Section F1/OP, Para 27. Manila (issued on 4 March 2010).

Appendix 1 57

Appendix 1. Outline of a LARP

The outline of LARP to be prepared for selected sub projects with with involuntary resettlement impacts are the following;

1. Executive Summary

This section provides a concise statement of project scope, key survey findings, entitlements and recommended actions.

2. Project Description

This section provides a general description of the project, discusses project components that result in land acquisition, involuntary resettlement, or both and identify the project area. It also describes the alternatives considered to avoid or minimize resettlement. Include a table with quantified data and provide a rationale for the final decision.

3. Scope of Land Acquisition and Resettlement

This section: (i) discusses the project’s potential impacts, and includes maps of the areas or zone of impact of project components or activities; (ii) describes the scope of land acquisition (provide maps) and explains why it is necessary for the main investment project; (iii) summarizes the key effects in terms of assets acquired and displaced persons; and (iv) provides details of any common property resources that will be acquired.

4. Socioeconomic Information and Profile

This section outlines the results of the social impact assessment, the census survey, and other studies, with information and/or data disaggregated by gender, vulnerability, and other social groupings, including (i) define, identify, and enumerate the people and communities to be affected; (ii) describe the likely impacts of land and asset acquisition on the people and communities affected taking social, cultural, and economic parameters into account; (iii) discuss the project’s impacts on the poor, indigenous and/or ethnic minorities, and other vulnerable groups; and (iv) identify gender and resettlement impacts, and the socioeconomic situation, impacts, needs, and priorities of women.

5. Information Disclosure, Consultation, and Participation

This section (i) identifies project stakeholders, especially primary stakeholders; (ii) describes the consultation and participation mechanisms to be used during the different stages of the project cycle; (iii) describes the activities undertaken to disseminate project and resettlement information during project design and preparation for engaging stakeholders; (iv) summarizes the results of consultations with affected persons (including host communities), and discusses how concerns raised and recommendations made were addressed in the LARP; (v) confirms disclosure of the draft LARP to affected persons and includes arrangements to disclose any subsequent plans; and (vi) describes the planned information disclosure measures (including the type of information to be disseminated and the method of dissemination) and the process for consultation with affected persons during project implementation.

6. Grievance Redress Mechanisms

This section describes mechanisms to receive and facilitate the resolution of affected persons’ concerns and grievances. It explains how the procedures are accessible to affected persons and gender sensitive.

7. Legal Framework

This section(i) describes national and local laws and regulations that apply to the project and identify gaps between local laws and ADB's policy requirements; and discuss how any gaps will be addressed; (ii) describes the legal and policy commitments from the executing agency for all types of displaced persons; (iii) outlines the principles and methodologies used for determining valuations and compensation rates at replacement cost for assets, incomes,

58 Appendix 1

and livelihoods; and set out the compensation and assistance eligibility criteria and how and when compensation and assistance will be provided; and (iv) describes the land acquisition process and prepare a schedule for meeting key procedural requirements.

8. Entitlements, Assistance and Benefits

This section(i) defines displaced persons’ entitlements and eligibility, and describes all resettlement assistance measures (includes an entitlement matrix); (ii) specifies all assistance to vulnerable groups, including women, and other special groups; and (iii) outlines opportunities for affected persons to derive appropriate development benefits from the project.

9. Income Restoration and Rehabilitation

This section: (i) identifies livelihood risks and prepare disaggregated tables based on demographic data and livelihood sources; (ii) describes income restoration programs, including multiple options for restoring all types of livelihoods (examples include project benefit sharing, revenue sharing arrangements, joint stock for equity contributions such as land, discuss sustainability and safety nets); (iii) outlines measures to provide social safety net through social insurance and/or project special funds; (iv) describes special measures to support vulnerable groups; (v) explains gender considerations; and (vi) describes training programs.

10. Resettlement Budget and Financing Plan

This section (i) provides an itemized budget for all resettlement activities, including for the resettlement unit, staff training, monitoring and evaluation, and preparation of LARPs during loan implementation; (ii) describes the flow of funds (the annual resettlement budget should show the budget-scheduled expenditure for key items); (iii) includes a justification for all assumptions made in calculating compensation rates and other cost estimates (taking into account both physical and cost contingencies), plus replacement costs; and (iv) includes information about the source of funding for the LARP budget.

11. Institutional Arrangements

This section (i) describes institutional arrangement responsibilities and mechanisms for carrying out the measures of the LARP; (ii) includes institutional capacity building program, including technical assistance, if required; (iii) describes role of NGOs, if involved, and organizations of affected persons in resettlement planning and management; and (iv) describes how women’s groups will be involved in resettlement planning and management.

12. Implementation Schedule

This section includes a detailed, time bound, implementation schedule for all key resettlement and rehabilitation activities. The implementation schedule should cover all aspects of resettlement activities synchronized with the project schedule of civil works construction, and provide land acquisition process and timeline.

13. Monitoring and Reporting

This section describes the mechanisms and benchmarks appropriate to the project for monitoring and evaluating the implementation of the LARP. It specifies arrangements for participation of affected persons in the monitoring process. This section will also describe reporting procedures.

Appendix 2 59

Appendix 2. Subproject LAR Screening Checklist

LAND ACQUISITION AND RESETTLEMENT (LAR) SCREENING CHECKLIST

Province: District: Village: Subproject: Brief Description of Site and Proposed Works (provide as much detail as possible):

Probable Involuntary Resettlement Effects Yes No Not

Known Remarks

Involuntary Acquisition of Land

1. Will there be land acquisition? 2. Is the site for land acquisition known? 3. Is the ownership status and current usage of land to be acquired known?

4. Will easement be utilized within an existing Right of Way (ROW)?

5. Will there be loss of shelter and residential land due to land acquisition?

6. Will there be loss of agricultural and other productive assets due to land acquisition?

7. Will there be losses of crops, trees, and fixed assets due to land acquisition?

8. Will there be loss of businesses or enterprises due to land acquisition?

9. Will there be loss of income sources and means of livelihoods due to land acquisition?

Involuntary restrictions on land use or on access to legally designated parks and protected areas

10. Will people lose access to natural resources, communal facilities and services?

11. If land use is changed, will it have an adverse impact on social and economic activities?

12. Will access to land and resources owned communally or by the state be restricted?

Information on Vulnerable Persons:

Are any of the APs poor, female-heads of households, or vulnerable to poverty risks? [ ] No [ ] Yes Are any APs from indigenous or ethnic minority groups? [ ] No [ ] Yes

1. Document/Plan Requirements Based on the foregoing identification of impacts and the subproject will: Create land acquisition/ resettlement impacts (if YES ticked in answer to any question in Section 1), and a LARP (completed as per the requirements of the LARF) is required. Create no resettlement impact, no LARP is required. This screening checklist and a due diligence report will be prepared as the document for the subproject. The foregoing has been reviewed and agreed with by:

Name & Signature: (Team Leader)

Date:

Name & Signature: (Safeguards Specialist)

Date:

60 Appendix 3

Appendix 3. Guide to Socioeconomic Survey (SES) with Dummy Tables

Draft 13 June 2013 Attachment 1

QUESTIONAIRE OF HOUSEHOLD

Date of survey : …….. / …….. / 2013 Start : ……….. Finish : ………..

Code Questionnaire

Province : .................................................. City : .................................................. Subdistrict : : ..................................................

Name of Enumerator : ................................................... Code Enumerator : ....................................................... No HP : ............................................. Name Of Supervisor : ……………………………… No HP : ............................................. Signature : …………………………………

Village : ..................................................

Number of Respondent :................................. Location of house : ...................................... 1. Right of River 2. Left of Rive

3. Disposal Area

A. PROFILE OF RESPONDENCE – IOL (100%)

A.1. Name .................................................................................................................. A.1

A.2. Address (ID CARD) or other ID documents

Street..................................................................................................... Village............................................RT ……. / RW ……. Kec/Kab/Prov.................................................................................. Cellphone :.......................................................................................

A. 2

A.3. Age

� < 20 year A.3 � 20 – 30 year

� 31 – 40 year � 41 – 50 year

� 51 – 55 year

� 55 – 65 year 7. > 65 years

A.4. Education (last)

� Never Not Graduate SD (Primary School)

A.4

� Graduate SD / MI / Equal

� Graduate SLTP / MTs / Equal

� Graduate SLTA / MA / Equal

� Graduate Academy (D1, D2, D3)

� Strata (S1) � Post Graduate (S2, S3)

A.5. Status in the household

� Head of household A.5 � Wife

� Member of household (child) � Other ....................................(Specify)

A.6. Live at this house

…………………………..years A.6

� < 2 year

� 2 – 5 years � 5,1 – 10 years � > 10 years

B. DATA FOR SOCIAL HOUSEHOLD OF RESPONDENCE – IOL (100%)

B.1. Number of people living in this house B.1.

Appendix 3 61

� 1 - 2 persons � 3 – 5 persons � 6 – 8 persons � > 8 persons

Please give detail information:

No. Name of

HH Members

Relation with HH head 1*

Sex 2*

Ethnic Age Religion Marital Status

3*

Education Attainmen

t 4*

Primary Occupation

5*

Monthly Income

(Rp)

Work / School

Distance 6*

Physical Condition

7*

1 2

3

4

5 1* Relation with the HH head: [1] head [2] spouse [3] child [4] parents [5] other relatives [6] house helper 2* Sex: [M] male [F] female 3* Marital status: [1] single [2] married [3] widowed [4] divorced 4* Education attainment: [1] No education [2] Not completed Elementary [3] Being in Elementary [4] Completed

Elementary [5] Not Completed High School [6] Being in High School [7] Completed High School [8] Not completed College [9] Being in College [7] Finished College

5* Occupation: [1] Farming/ livestock [2] Business/Trader/Shop Owner [3] Driver / Labourer [4] Employee (private/government [5] Retired [6] Unemployed looking for work [7] Scholar [8] Other: (specify) …………

6* Work/School distance: [1] at home [2] less than 1km [3] between 1 to 2km [4] between 2 to 4km [5] more than 4km 7* Physical condition: [1] normal [2] disabled [3] very old/chronically B.2. Number of

household living in this house? All of households will census

� 1 household B.2.

� 2 household � 3 household

� 4 household

� > 4 household

B.3. Relationship to household head

1. Child 2. Sibling 3. Relative 4. Friend 5. Othe............................... (Specify)

B.3.

B.4. Is this family is a native (born in Ambon/ Banten) or migrants?

� Native people (husband and wife) � Immigrant (come from)………………….. � Husband is indigenous people � Wife is indigenous people C.14. Other...................... (Specify)

B.4.

B.5. Identity Cards (ID CARD) of yours? And number of ID CARD

� Not have ID CARD

� Has ID CARD and corresponding address same with ID CARD

� Has ID CARD and corresponding address not same with ID CARD but same City � Has ID CARD and corresponding address not same with ID CARD but different

City

� Has seasonal ID CARD C.15. Other (Specify).....................................

B.6. Family card status?

� Not has Family Card B.5.

� Has Family Card, address same with ID CARD

� Has Family Card but different address with ID CARD 4. Other (Specify).....................................

C. STATUS LAND AND CONDITION OF STRUCTURE (HOUSE) – IOL (100%)

62 Appendix 3

Picture of Affected Asset 1 Picture of Affected Asset 2

Picture of Affected Asset 3 Picture of Affected Asset 4

Affected

Asset GPS

Coordinate Type of Usage

Ownership Status*

Proof of ownership*

Asset Specification*

Total Area (p x l) m2

Affected area(p x l) m2

C.1. C.2. C.3. C.4. C.5. C.6. C.7. C.8.

Land

Structure 1:

Structure 2:

*C4 � Own property / famili � Official home � Monthly rental � Yearly rental contract � “Stay but not pay” � Other: ………………………(specify)

*C5 � Certificate of Ownership � un certificate � Building Rights � Public land � Others : ……………………………

*C6 � Single permanent � Permanent coupling � Single semi-permanent � Semi-permanent coupling� Single non-permanent � Non-permanent coupling� Terraced permanent � Terraced Semi permanent. Non permanent rise

C.9. Part of other structure which is affected No Structure Length (meter) Width (meter) Height (meter) 1 Cage 2 Storage

3 Fence 4 Toilet/WC

C.10. Material was used to build the structure No Structure Material 1. Roof 1. Ceramic 2. Zink

2. Wall 1. Wood 2. Red brick 3. White brick

3. Floor 1. Ceramic 2. Concrete 3. Wood

4.

C.11. Tree Wood Affected by project

Type of Wood Number (Tree) Age Price/m3

� � � �

Total

C.12. Trees fruits

Appendix 3 63

Affected by project Type of Trees Fruits Number (Tree) Harvest (ton/season) Price (Rp/Kg) � � � �

Total

C.13. Affected crops project

Type of Crops Total area

(m2) Affected (m2) Harvest per year Price (Rp/Kg)

� � � �

Total

C.14. Distance of the house/land to river/dam

......................................... meter

C.15. If this house does not belong to you, who the owner is and where he lived?

Name …….…….. Address at RT/RW Village …….…….. Subdistrict…………………… City / District Province

C.16. If the lease / contract, how is the average rental price per month?

Rp. …….……../month

C.17. Beside within project area, do you have land in other place?

Yes, square: …….…….. m2

No

C.18. If yes, where is the location

1. In the same village 2. In other village, but within the same subdistrict 3. In other subdistrict, but within the same city 4. In other city, but within the same province 5. In other province

C.19. Beside within project area, do you have house in other place?

Yes, square: …….…….. m2

No

C.20. If yes, where is the location

1. In the same village 2. In other village, but within the same subdistrict 3. In other subdistrict, but within the same city 4. In other city, but within the same province 5. In other province

C.21. Whether the structure/land is for lease or rent?

1. Yes 2. No

C.22. If yes, How much you earn per month

Rp. …….……../month

C.23. How many person leases your house/land each year?

…….…….. person/year

C.24. If you have business, type of business will be affected

1. Kiosk 2. Restaurant 3. Catering 4. Retreading 5. Non 6. Other …….…….. (specify)

64 Appendix 3

C.25. Is the small business able to be relocated?

7. Yes, reason …….…….. 8. No, reason …….……..

C.26. Turnover/profit earned per month from the affected asset a. Turnover per

month b. Profit per

month

1. Rp. …….……../month 2. Rp. …….……../month

C.27. How many man power involved in the affected business

1. Female …….…….. person 2. Male …….…….. person

C.28. Do you have mobile business

1. Yes 2. No

C.29. If yes, type of mobile business

1. Cadger, specify …….…….. 2. Service, specify…….…….. 3. Other, specify …….……..

C.30. If you have to be relocated into other location, what will you do with the business?

1. Keep trading 2. Close the business 3. Others, specify

C.31. If you have to be relocated, which type compensation fits you

1. Cash 2. Have the business place rebuild 3. Provided the business location 4. Other, specify …….……..

C.32. Alternative of location of new business which fits you

1. Not far from current location 2. Move to other location 3. Have own decision where to move 4. Other, specify …….……..

D. ECONOMIC CONDITION – MIXED IOL (100%) & SES (20%)

D.1. Main job: (a) Head of household (a)……… (b)……… (c) member of HH …………..

D.1

� civil servants / Army � Merchant

(b) housewife ; (c) member of household � private employees � Driver � Farmers / ranchers housewife � Fisherman Head of HH � entrepreneur others. ............. (mentioned) � Labour

D.2. Others Job : (a) head of HH; (b) housewife; (c) member of HH

(a)…… (b)…… (c) member of HH …………..

D.2

� civil servants / Army � Merchant

� private employees � Driver � Farmers / ranchers housewife � Fisherman Head of HH � Entrepreneur others. ............. (mentioned) � Labour D.3. How is the average income per month

(from main job and second job) all household members?

a. Income from main job Rp. .................... / month

b. Income from secondary job Rp. .................... / month

Total income (a+b) Rp. .................... / month

D.3

D.4. How is the entire Household Expenditure per month?

1. Food Rp. .............../month D.4

2. Transportation Rp. .............../month

3. Settlement (installment/lease) Rp. .............../month

11

11

Appendix 3 65

E. WATER CONSUMPTION – MIXED IOL (100%) & SES (20%)

E.1. Water source for drinking for your family?

�. PDAM itself �. shallow wells �. Public hydrants �. River / times / reservoir �. Terminal water �. Spring �. Gallons of water . PAH (Rainwater Reservoirs)

F.1.

�. Buy water pole . Others ................ (specify) And price per liter:m3/ Rp

E.2. Water source for cooking for the family of Mr. / Mrs.?

�. PDAM itself �. shallow wells �. Public hydrants�. River / times / reservoir �. Terminal water �. Spring �. Gallons of water. PAH (Rainwater Reservoirs)

F.2.

�. Buy water pole . Others ................ (specify)

And price per liter: m3/Rp

E.3. Sources of water used to bathe/wash the family members?

�. PDAM itself �. River / time / reservoir F.3.

�. Public fire hydrant �. fountain �. Water terminal �. PAH (Rain Water Container) �. Buy water load .More.................... (please specify)

�. More than Rp 150.000

E.4. Where family members of you defecate?

� WC with septic tank in house � Pit latrine toilets in the house WC in the house flowed directly into the river / reservoir � Public toilet with septic tank � Public toilets without septic tank

F.7

4. Electricity Rp. .............../month 5. Water Rp. .............../month

6. Education Rp. .............../month 7. Health Rp. .............../month 8. Savings Rp. .............../month 9. Entertainment Rp. .............../month 10. Other expense, specify.......Rp...../month Amounting Rp. .............../month

D.5. How is the distance between residence to office / school…. a) Father b) Mother….. c) Children

(a) Father..…; (b) Mother…….. (c) Children………. � Less than 1 km

D.5

� 1 Km – 5 Km � More than 5 Km

� Mother Rp …………………. � Children Rp ………………….

D.6. Transportation to and from work / school a) Father b) Mother c) Children

(a) Father... (b) mother (c) Children

D.6.

� There is no / walk � Public vehicle

� Bicycle � Office motorcycle

� Private motorcycle � Office car

� Private car � Others……. (specify D.7. Sources of electricity?

� Direct from PLN � Electricity connection from neighbors � Non electrical connections PLN � kerosene lamp / Lamp / Candle

D.8. Electric equipment is frequently to use (more answer allowed)

1. AC. 2. Computer 3. TV 4. Radio 5. Refrigerator 6. Telephone 7. Cellphone 8. Other, specify.................

D.9. Energy source is used to cook

1. Electricity 2. Gass 3. Firewood 4. Other, specify.................

66 Appendix 3

� WC helicopter (above the river / reservoir) � Other ...................................... (specify)

E.5. Where family members of Mr / Mrs bathing / washing clothes?

� Inside the house � public toilets � In river / reservoir � Other ...................................... (specify)

F.8

F. PERCEPTIONS ABOUT WASTE – SES (20%) included as possible solid waste management intervention through program. F.1. Where do you dispose the trash?

�. Vat/garbage can/ bucket �. Trash carts passing �. TPS (Disposal While) �. Into the ground �. Burnt �. To the river �. Other.................................... (specify)

G.1

F.2. Do you sort of wet and dry waste before disposal?

�.Yes �. No, (reason………………………..)

G.3

F.3. Are there workers who regularly collect garbage from residents?

�.An ( ….. times per week) �There is no

G.4

F.4 Do you pay any levy/retribution for dispose the trash?

�.Yes: (a) less than Rp 10,000; (b) Rp 10,000 – Rp 15,000; (c) Rp 15,000-Rp 20,000; (d) More than Rp 20,000; (e) Other.............(specify) �No

G.5

F.5. How drawdown mechanism waste levy?

� Officer who picked G.7

� At each meeting, social gathering PKK

� Directly into the RT / sexy women

� Other ........................... (specify)

F.6. According to you how to address the problem of litter in the father.?

…………………………………………………………… G.8

……………………………………………………………

……………………………………………………………

G. HEALTH - SES 20%

H.1. Is there any of your family were sick this month?

� Yes (directly to H2) �. No

H.1

G.2. Any disease that often affects to your family?

� skin disease H.2.

� respiratory disease � stomach illness

�diarrhea �Other .................................... (specify)

G.3. Where do you and family for treatment when sick?

� Puskesmas H.3

� Hospital � Doctor

� Nurse

� Traditional healer � Other ....................................(specify)

H. INFORMATION ABOUT FLOOD – MIXED IOL (100%) & SES (20%)

H.1. Are you never flooded, the last 5 years?

� Yes � No � Do not know (because of moving to this area)

I.1

H.2 Is there any early warning system for flood in your area?

� Yes: (a) Serine, (b) gong, (c) other.....................................................(specify) � No

I.2

H.3 How many often flood ?

� Once a month � Six once a month � Once a year � Other .......................... (specify)

I.3

H.4 Is your home flooded?

� Yes � No

I.4

H.5 What is the deep of the water � Less than 20 cm I.5

Appendix 3 67

entering to the your home ?

� 20 cm - 50 cm � 50 cm - 100 cm � More than 100 cm

H.6 How long is the flood waters recede?

� Less than 1 hour � 1 – 3 hours � 3 – 6 hours � 6 - 12 hours � 12 – 24 hours � More than 24 hours

I.6

H.7 When flooding occurs whether did you leave the house?

� Yes � No

I.7

H.8 Where do you go during floods?

� To a neighbor's house � To the nearest mosque � To the nearest school To the 2nd floor � Other................................. (please specify)

I.8

H.9 Types and estimates of property losses, while flood?

� Furniture RP........................ � Structure of house Rp......................... � Electronic RP........................... � Livestock Rp.......................... � Other......(Please specify) RP.................

I.9

H.10 Expenses during and after the flood?

� Revised house RP........... � Cleaning house Rp............ � Health RP........... � Other........ (Please specify) RP..........

I.10

H.11 What is the role of women at the time of the flood? Please explain.....

� Cooking food � Organize consumption � Care of children � Care of her husband and son � Others (Please specify)

I.11

H.12 How long it takes to clean up and fix up the house/structure

1. Less than 6 hours 2. More than 6 hours 3. 24 hours 4. More than 24 hours

H.13 What do you think of the most effective mean to deliver the news about the flood

1. Passed by mouth to mouth 2. Radio 3. TV 4. Cellphone 5. Other, specify ...................

H.14 What is the role of women at the time after flood? Please explain.....

� Cleaning of household appliances � Cleaning the house � Look for fire wood � Others (Please specify)

I.12

H.15 What is the role of male at the time of the flood? Please explain.....

� Transport of goods � Roving home-made boats � Help or security guard � Others (Please specify)

I.13

H.16 What is the role of male at the time after flood? Please explain.....

� Clean the mud � Cleaning of household appliances � Cleaning the house � Others (Please specify)

I.14

H.17 Women discomfort when flooding happen?

� Difficult to use toilet � Difficult to buy baby formula � Difficult bath � Difficult to cook meals � Other (please specify)

I.15

H.18 Utilities held for flood information home?

� Radio � News paper � TV � Mobile Phone � Other (Please specify)

I.16

68 Appendix 3

E. PUBLIC PERCEPTION AND ASPIRATIONS - MIXED IOL (100%) & SES (20%)

E1. Do you know Ambon/Ciujung flood management project plan?

� Yes E.1. � No

E2 If you know, where do you obtain such information

� Official of Desa/Village/Subdistrict E.2. � Balai

� Neighbour � Newspaper�Others………………………(specify

E3 Whether the Government has done dissemination to the community?

� Already, when (………….) E.3.

� Not yet

� not know

E.4. Has the government done negotiation for land, structure and plant (tree, crop)

� Already, (when………..) E.4. � Not yet

� Not know E5. If your land affected, what form the compensation you need?

� Money E.5.

� land

� House � Others, …………………………..(mentioned)

E5. If your structure affected, what form the compensation you need?

� Money � land � House � Others, …………………………..(mentioned)

E.6. As far as you concern, how much avarage price for land per m2 in this area?

E.7. As far as you concern, how much avarage NJOP price for land per m2 in this area?

E.7. What is your Proposal to be resettled?

� Specify................................... E.8.

� Other, ................................ (specify)

E.8. Is land acquisition for the planned flood Management will affect your business Ambon?

............................................................ E.9. � Yes (please explain briefly the effect) ………………….………………………… …………………………………………………………

� No (please explain briefly the effect) …………………………………………….. ………………………………………………………..

(Mentioned) � Not know ……………………………………………….. ………………………………………………………..

E.9. According your opinion, what kind of land acquisition procedure to be undertaken

a. Under the agreement the prevailing price in the location of activities

b. Under an agreement between the land owner and initiator without brokers

c. Under an agreement between the land owner and initiator, involving Neighborhood Head, Hamlet Head, Village Head, Subdistrict Government and Local Government.

d. Do not know e. Other,......................................

OTHER QUESTIONS RELATING TO THE POSSIBILITY RESETLEMEN (SPECIAL LARAP) Open ended, and include within main questions.

1. According to you, if the people feel safe and comfortable staying here?

a. Yes b. No

If you do not feel comfortable if people are you ready if there is a government program to move to the

place that is more secure and comfortable (Yes / No)

Appendix 3 69

a. Yes b. No.

If you are ready to move, to which area is more secure and comfortable, and what is reasons?

a) Not out of this village b) Still in this Subdistrict c) Still in this kabupaten d) Where's all that matters safe and comfortable

e) Others.................... (please specify)

If not willing to move, what is specifying the reasons?

a) Here with family b) The close of business of the house c) School children near from this house d) In the new place will adapt again to a new neighborhood e) Others .......... (please specify)

What you hope is if have to relocation?

a) ................................... b) ................................... c) ...................................

If you are granted redress for the land, what will you do?

a) Buy similar land in other location b) Save it c) Develop new business d) Build/renovate a house e) Go pilgrim f) Other plan

If you experience a declining in income / loss of livelihood at the time of land acquisition / relocation, what kind of program do you need to avoid a decline in income?

a) Business fortering b) Capital assistance c) Life skill training d) Other

If you find problems during land acquisition / relocation, what will you do:

a) Keep still b) Make a complaint to the local government c) Make a complaint with the NGOs d) Make a complaint with local community e) Raise the mass to abort the development f) Other, specify......................................

If you are not satisfied with the process of land acquisition / relocation, will you sue it?

a) Yes, reason.............................. b) No, reason...............................

Please give your comment/suggestion with regard to the plan of the activity to be carried out in the your region

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

70 Appendix 4

Appendix 4. Sample and Template for the Consultation and Participation Plan

No. Activities Objective/s Expected Outputs Target Audience (disaggregated

by gender)

Type of PCM

Required Action/s

Time/Place

Comment/s

PLANNING STAGE 1 Public Consultation

Meeting With Affected Peoples

Nurturing the understanding and awareness of affected people on the importance of the development of the region viz the project.

Reaching the common understanding on land acquisition and relocation plan from affected people and taking necessary mitigation measures to overcome negative impacts of such activities.

Common understanding is obtained by affected people regarding project activities, including land acquisition and resettlement plan.

Common understanding is also obtained by affected people regarding the benefits and negative impacts that will arise from the above-mentioned activities.

APs

2 Consultation meeting between agencies (i.e., Bappeda Kota, BWS, and other key agencies)

Reaching the common understanding on land acquisition and relocation plan from relevant agencies that will be involved in such land acquisition and resettlement plan in the project area and taking necessary mitigation measures to overcome negative impacts of such activities.

Reaching the common understanding between BWS, Bappeda Province, Bappeda City/Kota and other related agencies/institutions on the activities Flood Management Project in the region.

Common understanding is obtained by related institutions regarding project activities, including the land acquisition and resettlement plan.

Common understanding is obtained by related institutions regarding the benefits and negative impacts that will arise from the above-mentioned activities.

Institutions and LGUs

3 The consultation with local Bappeda, Head of BWS and LGU head

Reaching common understanding between Chief Executives in relation to land acquisition process

Common understanding is obtained between BWS, local chief executives, and Bappeda regarding project activities, including the land acquisition and resettlement plan.

Institutions and LGUs

4 Consultation Meeting with local BPN and Provincial Bappeda

Reaching common understanding related to LA Implementation and PCM Plan

Clear descrition about LA Implementation and PCM Implementation.

BPN, BAPPEDA Province

Appendix 4 71

No. Activities Objective/s Expected Outputs Target Audience (disaggregated

by gender)

Type of PCM

Required Action/s

Time/Place

Comment/s

5 Socialization of IOL/SES Survey for internal stakeholders

Results of IOL/SES Survey can be known and understood comprehensively by internal stakeholders

Internal Stakeholders approve the results of IOL/SES Survey

BWS can submit the results of IOL as the basic for Determination Location to Province / City of Government

APs, Institutions and LGUs

6 Eligibility and Entitlement Matrix discussion

Reaching common understanding related to the concept of Eligibility and EM for Water Sector Project

Result of Eligibility and EM concept for Water Sector Project including Flood Management Project

APs, Institutions and LGUs

7 Consultation with Head of Infrastructure Department of Provincial BAPPEDA

The strategy of survey related to the Process of Land Acquisition Preparation Stage and the Social Impact Analysis can be known and understood comprehensively by the Provincial Bappeda and related agnecies.

Result of survey strategy related to

the social impact and condition of

potentially affected people.

Concerned agencies

8 Consultation meeting with local Bappeda/BPN and other local officials across levels (province, city, municipality, village...)

Reaching common understanding between Bappeda, BPN and other local officials related to preparation stage of Land Acquisition and the process of relocation strategy.

The preparation stage of Land Acquisition and relocation strategy concept can be known by local governments, BPN, and local officials across level.

Concerned officials (includes ASDA)

PREPARATION STAGE

1 Public consultation on the development plan to achieve agreement on the location of the development plan. Distribute the PIB to APs in the project area of BWS

The development plan and it’s location is known by the entitled parties and concerned stakeholders/communities. Agreement on the location of the development/project plan is obtained from the entitled parties.

Entitled parties/APs understand and are aware on the project plan and importance of project activities.

APs clearly understand and well informed on the objects of land acquisition and preliminary data on entitled parties/APs and land acquisition objects.

Entitled parties agreed on the project/development location.

Entitled parties, persons likely to be affected by the project

Concerned stakeholders

IMPLEMENTATION STAGE 1 Consultation on the

compensation and APs understand: - detailed measurement survey on the

APs in all ROWs in the project area agreed on the compensation amount

APs in all RWs/ RTs in

72 Appendix 4

No. Activities Objective/s Expected Outputs Target Audience (disaggregated

by gender)

Type of PCM

Required Action/s

Time/Place

Comment/s

other resettlement entitlements to the entitled parties/APs.

land acquisition objects and policy and regulation on land acquisition to be applied.

- Accept DMS and compensation payment based on indepdent appraisers

and payment .

APs in all villages in the project area agreed on the compensation mechanism

No complaint lodged by the entitled parties/APs.

the project area

Appendix 5 73

Appendix 5. Negotiated Land Acquisition Form

The following agreement has been made on................day of ................ between Mr./Ms. , aged....., resident of ....................... zone, district ....................... (the owner) and .................................... (the recipient/subproject proponent).

1. That the land with certificate no............is a part of ............, is surrounded from eastern side by............, western side by.................., northern side by ............., and southern side by................ .

That the owner holds the transferable rights of land ..............(area in sqm), with plot No......... at the above location (include a copy of the certified map, if available) .

That the Owner testifies that the land/structure is free of squatters or encroachers and not subject to any other claims.

That the owner(s) agree to sell above assets for the negotiated price in accordance with the attached schedule.

That the project owners agree to pay the agreed price for the land and other assets within two weeks from the date of getting approval for the project from the Government of ................./ PIU.

In case of any delay in payment within the stipulated time, this agreement will become null and void and the recipient will no longer have any claim over the land and assets.

That the recipient shall construct and develop the ..........................and take all possible precautions to avoid damage to adjacent land/structure/other assets.

That the provisions of this agreement will come into force from the date of signing of this deed.

.......................................................................... …………................................................................ Names and Signatures of Owner and Spouse Signature of subproject proponent/representative

Witnesses:

1..........................................

2..........................................

(Signature, name and address)

74 Appendix 6

Appendix 6. Voluntary Land Donation Form

Voluntary Land Donation Concent Form

CERTIFICATE OF LAND/ASSET TRANSFER for VOLUNTARY DONATION Surat Pernyataan Penyerahan Hak Milik untuk Sumbangan Sukarela

I, the undersigned here Saya, yang bertanda tangan di bawah ini

Name Name :

Age Umur

:

Nationality Kebangsaan

:

Occupation Kepemilikan

:

Occupation Kepemilikan

:

Recidence Located in Bertempat tinggal di

:

Village Desa

:

Sub District Kecamatan

:

District Kabupaten

:

Province Propinsi

:

Certify that I have been previously informed by local authority of my right to entitle compensation Menyatakan bahwa saya telah mengetahui tentang kompensasi terhadap penyerahan hak milik saya

for any loss of property (house, land and trees) that might be caused by the construction of atas kepemilikan Rumah, Tanah dan Pohon yang mungkin diperlukan untuk pembangunan

small drainage (name of development activity) for farmland program, sustainable agriculture saluran air (nama kegiatan pembangunan) untuk program lahan pertanian, praktek pertanian practices and watershed rehabilitation under Flood Managementin in Selected River Basin berkelanjutan dan rehabilitasi daerah aliran sungai dibawah Program Pengelolaan Banjir di DAS yang Terpilih.

in Village: _________________,Sub district______________, District: _________________ di desa_______________________, Kecamatan________________Kabupaten_____________________

I confirm that I voluntarily donate the land of …………………. square meters located in Saya menyatakan dengan suka rela menerima kehilangan atas tanah seluas …………... m

2 terletak di

Village: ______________ Sub district _______________,District:______________________ di desa_______________________, Kecamatan________________Kabupaten__________________

I also confirm that do not request any compensation and would request to consider this Saya juga menyatakan bahwa Saya tidak meminta kompensasi dan meminta untuk dipertimbangkan

as my contribution and participation to the Project. sebagai sumbangan dan partisipasi saya terhadap proyek. Type and loss value of the donated asset is as follows Jenis dan Nilai kerugian atas aset yang disumbangkan adalah sebagai berikut:

Type of Loss Quantity Unit Unit Rate Total Comment

Appendix 7 75

Jenis Kerugian Banyaknya Satuan Nilai Satuan Total Nilai Catatan

Land/ Lahan M2

Trees Batang

Total

Therefore, I prepare and sign this certificate for the proof of my decision. Demikian, saya membuat dan menandatangani pernyataan sebagai bukti atas keputusan saya

......................................, ....................................... 20..... The owner of the land

Pemilik Tanah

( ______________________ )

Witnesses: Saksi-Saksi: 1. ___________________________ : 2. ___________________________ : 3. ___________________________ : 4. ___________________________ : Certified by: The Chief of the Village The Chief of Sub District Kepala Desa: ___________________________ Kepala Kantor Kecamatan _________________ (_________________________) (_________________________)

76 Appendix 7

Appendix 7: Term of Reference for Verification of Voluntary Donation

* [Shaded items in the bracket] will be replaced with information from the specific project.

Objectives

1. The objective of this consulting service is to verify that the land acquisition of [name of

the project] follows the principles and procedures of voluntary donation set for the project. The

project is supported by the Asian Development Bank (ADB) and will [a brief description of the

project]. The [name of the borrower/client] is assisted by [name of the entity assisting the

implementation of land acquisition] for implementing the land acquisition. An independent

external party such as a qualified NGO or legal authority1 will be engaged by the project2 to

undertake the verification.

Scope of Work – General

2. This scope of work will require the independent party to undertake the following general

tasks among others:

(i) Using verbal and written records, verify that the donation is in fact voluntary, did not result

from coercion, and was accomplished through the consultation process.

(ii) Ensure that voluntary donations do not severely affect the living standards of affected

persons and benefit them directly.

Scope of Work – Specific

3. The independent party’s work will include several specific tasks:

(i) Review all project documents (including [loan/grant] agreement and MoUs or

correspondences between ADB and [name of the borrower/client]) related to the project’s

land acquisition.

(ii) Visit the project site to verify whether the voluntary donation process follows the principles

and procedures agreed in [loan/grant] agreement, MoUs and Resettlement

Plan/Framework (if any). Verification will cover an adequate representative random

sample3 of the affected households who voluntary donated the land

(iii) Conduct interviews and/or participatory community meetings with the affected

peoples/affected households to obtain perception of the voluntary donation.

1 Please define or provide an example

2 For discussion: the project team to as much as possible use project loan funds. In special cases, ADB staff consultant budget can be used

3 The number of households covered by the verification may rise or fall, depending on the total number of affected households who donated. The often "acceptable" margin of error used by survey researchers falls between +/- 4% and 8% at the 95% confidence level. The 95% confidence level means that there is a 95% chance that the difference is real and not just a quirk of the sampling. If we repeated the study 100 times, 95 of the samples drawn would yield similar results. Websites that can be used to calculate the required sample size for a population (N), include http://www.raosoft.com/samplesize.html, http://www.calculator.net/sample-size-calculator.html

Appendix 7 77

(iv) Interview relevant stakeholders including [name of the borrower/client], construction

supervision and project implementation consultants, and [name of the entity assisting the

implementation of land acquisition], community leaders and local authorities regarding the

principles and procedures followed in voluntary donation.

(v) Verify whether the criteria set for voluntary donation were properly applied.

Table 1: Criteria and Guidance Notes on Voluntary Donation

Criteria Guidance Notes

The impacts are marginal (based on percentage of loss and minimum size of remaining assets);

- The land donated does not exceed 5% of the total

land owned by the affected household.

- The land donated does not result in uncompensated

permanent non-land assets

- Land donation will only be accepted if the total land

owned by the household is not less than 300 m2

Impacts do not result in displacement of households or cause loss of household’s incomes and livelihood;

- The land is not used for productive purposes

- Only secondary structures are affected; there is no

physical relocation of household due to the project

and land donation.

- The affected household does not fall under the

category of poor or vulnerable.

The households making voluntary donations are direct beneficiaries of the project;

- Both positive and negative impacts of the project on

the affected household are considered.

- The affected household can identify the project’s

direct benefits to them.

Land donated is free from any dispute on ownership or any other encumbrances;

- The affected household has recognized legal tenure.

- The land is not being occupied and/or used by any

other party.

- The land is not in dispute for its ownership.

Consultations with the affected households is conducted in a free and transparent manner;

- The affected household should be informed that they

have the right to receive compensation for their land

and the equivalent amount of compensation for the

land they wish to donate.

- The affected household receives clear and adequate

information on the project, and participates in the

project planning.

- Provisions on voluntary donation are integrated into

the decision making process at community level.

Land transactions are supported by transfer of titles; and

- Official land ownership document is updated.

Proper documentation of consultation meetings, grievances and actions taken to address such grievances is maintained.

- Agreement is properly documented with signatures

of affected person, [name of the borrower/client] and

witnesses.

- Consultation meetings, grievances and actions

taken to address such grievances are properly

recorded.

(vi) Verify whether the procedures of the voluntary donation were properly implemented.

(vii) Prepare a verification report.

78 Appendix 7

Outputs

4. The independent party will prepare the following reports and submit them to [name of the

borrower/client] and ADB.

(i) Inception report that demonstrates the design and methodology of the verification.

(ii) Draft report that documents the voluntary donation processes, the findings, conclusion,

and recommendations. This report includes the minutes of interviews/meetings held for

verification.

(iii) Final report that incorporates inputs from [name of the borrower/client] and ADB, and is

acceptable to both said parties.

Qualifications

5. The independent party will have work experience in and familiarity with all aspects of

resettlement operations. Persons with a social science background will be preferred.

6. Interested NGOs or agencies should submit proposals for the work with a brief statement

of the approach, methodology, and relevant information concerning experience on land

acquisition. The profile of the NGO or agency along with full CV of key personnel proposed to be

engaged must be submitted along with the proposal.

7. The independent external party cannot be associated with the project in any past or

present capacity.

Estimated Person-Months

8. [Number] [domestic/international] persons will be recruited for a total of [number] person-

months (estimate)

Budget and Logistics

The proposal—both technical and financial—should be submitted and the budget should include all costs and logistics necessary for the assignment.

Appendix 8 79

Appendix 8: Specific for Subprojects with Land Clearing

Function of the Resettlement Working Group

RESETTLEMENT WORKING GROUP (RWG)

The Resettlement Working Groups (RWG) is to support the implementing agency in (i) preparing RP; (ii) updating the RP if required (ii) implementing the approved RP. The RWG is established by the heads (regent/mayor and the members include representatives of the relevant local government agencies, IA, and other relevant parties.

The functions of the RWG include the following:

a. Carry out any necessary consultation-meetings with the AHs, including the distribution of PIB’s and disclosure of the draft final updated RP;

b. Review the results of the replacement cost survey; c. If any physically relocation, facilitate and support the AH’s to identify and find potential

new locations for relocating AHs within or nearby villages with an affordable and renewable lease or lease-to-buy agreement, with similar or better conditions as before. For affected shops, facilitate to find suitable place/plot to lease/rent (existing/new markets) within/nearby villages, with a provision to renew;

d. Provide special attention to poor and vulnerable AHs through consultation and ensure that their concerns and special needs are addressed during the implementation of the LRP;

e. Support the IA, implement the livelihood restoration program, and monitor said activities and provide modifications in the program to improve implementation as and when necessary;

f. Support the IA, to facilitate the expeditious processing of the cash compensation of the AHs and deliver compensation payment to the AHs;

g. Register complaints, verbal or written, from the AHs and ensure that these are brought to the attention of the Bupati or Walikota for appropriate action;

h. Maintain a record of all public meetings, complaints, and actions taken to address complaints and grievances at the District/City level; and

i. Submit progress reports on resettlement implementation (payment, relocation facilitation, LRP) to the IA.

DISTRICT/MUNICIPAL GOVERNMENT (KABUPATEN/KOTA)

The Kabupaten/Kota, through the Office of the Bupati (Regent) or Walikota (Mayor) provide the fficial staff for the duration of the WTC sub project for the implementation of the RP. The Kabupaten/Kota has the following functions:

a. Organize the working group for resettlement by way of a Decree; b. Coordinate with the provincial agencies the issuance of a Governor Decree for all three

local governments on the unit costs of affected assets based on replacement cost and/or market rates valued by independent appraisers;

c. Witness the payment of the compensation to AHs for lost assets in a timely manner and ensure that compensation is paid prior to loss of assets; and

d. Assist in the expeditious and judicious resolution of complaints of AHs.

80 Appendix 9

Appendix 9. Sample of TOR for External Monitoring and Post Evaluation

Terms of Reference

EXTERNAL MONITORING AND POST-EVALUATION

PROJECT TITLE

Project Background

Provide background consistent with the RP1 and PAM information. It should include, but not be limited to:

a. Project components and locations (based on the loan agreement)

b. Project components with resettlement impacts

c. Categories of resettlement impact and estimates

Objectives:

The Project requires the services of external monitoring and evaluation experts2/qualified NGOs to conduct an external assessment of the extent to which resettlement and rehabilitation objectives are being met. Specifically, the objectives of the monitoring program are:

(i) To verify ongoing internal monitoring information

(ii) To verify whether the overall project and resettlement objectives are being met in accordance with the Resettlement Plan (RP), and if not to suggest corrective measures;

(iii) To assess the extent to which implementation of the resettlement plan3 complies with ADB’s Safeguards Policy Statement (SPS):

(iv) To identify problems or potential problems; and

(v) To identify methods of responding immediately to mitigate problems and advise the [name of the borrower or client] accordingly.

(vi) To verify if the livelihoods and the standard of living of affected persons (APs), including those of the non-titled displaced persons, are restored or improved;

Tasks:

The external experts will address specific issues such as the following:

(i) Verify the DMS database generated by the PMU, identify differences in IOL and/or DMS recorded in the RP, and document changes to the database;

(ii) Confirm that all APs are eligible for compensation, resettlement and rehabilitation assistance, irrespective of tenure status, social or economic standing, and any such

1 Relevant RP at the time of the writing of the TOR – Please check.

2 External experts mean experts not involved in day-to-day project implementation or supervision.

3 Including updating of the RP.

Appendix 9 81

factors that may discriminate against achieving the project objectives; Payment of compensation, allowances and other assistance are as per approved RP;

(iii) Confirm timing of disbursement of payment; and assess that the level of compensation is sufficient to replace their losses.

(iv) Public consultation and awareness of key information in the resettlement plan4;

(v) Coordination of resettlement activities with construction schedule;

(vi) Land acquisition and transfer procedures;

(vii) Construction/rebuilding of replacement houses and structures on residual land, relocation sites (outside the residual land), and self-selected land;

(viii) Implementation of gender and/or indigenous peoples measures as indicated in the RP;

(ix) Level of satisfaction of APs with the provisions and implementation of the RP;

(x) Effectiveness of grievance redress mechanism (accessibility, documentation, process, resolution);

(xi) Effectiveness, sufficiency, impact and sustainability of entitlements and income restoration programs and the need for further improvement and corrective measures, if any;

(xii) Relocation site development (civic infrastructure and community services as required), identification and selection of sites in consultation with APs and host communities, equivalent or enhanced access to livelihood opportunities; process and timeliness of providing land titles/certificates;

(xiii) Capacity of APs to restore/re-establish livelihoods and living standards. Special attention will be given to severely affected APs and vulnerable APs;

(xiv) Involuntary resettlement impacts caused during construction activities;

(xv) Participation of APs in RP implementation; and,

(xvi) Adequacy of budget and human resources5 at executing agency/implementing agency level for resettlement activities, including internal monitoring.

Methodology

The methods for external monitoring activities include:

a) Review of detailed measurement survey (DMS) process to be able to establish a baseline for monitoring and evaluating project benefits. The EMO to check on a random basis6 the DMS process with APs, from identification to agreement on DMS results. The EMO will also evaluate the DMS process to determine and assess if DMS activities are being carried out/was carried out in a participatory and transparent manner.

4 Scope of Land Acquisition and Resettlement Impacts, Entitlement Matrix, Grievance Redress Mechanism

5 Assessment of human resources is in terms of both number of staff assigned, as well as capacity

6 Depending on number of affected households (AHs)

82 Appendix 9

b) Resettlement audit conducted during monitoring. The EMO will carry out random checks of payments7 disbursed to APs during monitoring. The EMO will submit a resettlement audit report upon completion of compensation payment to APs.

c) Review of socioeconomic data8 prepared during the Project Preparatory Technical Assistance (PPTA). With this review, the DMS data, and additional data compiled, the EMO will provide the baseline data to be used in comparison to the post-resettlement survey. A post resettlement survey will be carried out one year following completion of all resettlement activities, including livelihood restoration activities. Sampling will include at least 20% of severely affected and vulnerable households, as well as at least 10% of all other APs. Special attention will be paid to the inclusion of women, ethnic groups, the very poor, the landless and other vulnerable groups, with set questions for women and other target groups. The database will disaggregate information by gender, vulnerability and ethnicity.

d) Participatory Rapid Appraisal (PRA), which will involve obtaining information, identifying existing or potential problems, and finding specific time-bound solutions through participatory means including: a) key informant interviews including representatives of civil society, community groups, and non-governmental organizations; b) focus group discussions (FGDs) on specific topics such as compensation payment, income restoration and relocation9; c) community public meetings to discuss community losses, integration of resettled households in host communities or construction work employment; d) direct field observations, for example, of resettlement site development; e) formal and informal interviews with affected households, women, ethnic minorities, and other vulnerable groups to monitor and assess the progress the APs are making to restore their living standards, APs’ perceived need for additional assistance (and type of assistance), and their individual satisfaction with current economic activities; and, f) in-depth case studies of problems identified by internal or external monitoring that required special efforts to resolve. The PRA will also focus on good practices in land acquisition and involuntary resettlement objectives, approaches, and implementation strategies.

e) Review the results of internal monitoring.

Timing & Team Composition (read and delete non-relevant sections)

a. Standard large-scale infrastructure project. External monitoring activities will be carried out for a period of __ year(s) on a semi-annual basis10 starting from the conduct of DMS until the completion of livelihood/income restoration activities. For project components where payment of compensation/allowances has been substantially completed, the external expert will also conduct a resettlement audit to verify completion of payment of compensation/allowances and hand-over of plots and recommend issuance of NOL for commencement of civil works.

7 Depending on number of affected households (AHs)

8 Possible data sources include: census, inventory of loss-socioeconomic survey (IOL-SES), village

records/documents 9 Groups that may be targeted for involvement in FGDs include AHs in general, and vulnerable AHs such as women-

headed households, the poor, and ethnic minorities 10

As per ADB SPS (2009). For projects deemed by ADB as highly complex and sensitive, ADB requires quarterly monitoring reports - refer to ADB. 2010. Safeguard Policy Statement. Operations Manual. OM Section F1/OP, Para 27. Manila (issued on 4 March 2010).

Appendix 9 83

b. Projects with several sub-projects. The external experts will conduct six monitoring missions to be carried out on a semi-annual basis11 starting from the completion of DMS for the first batch of subprojects until the completion of livelihood/income restoration activities in all subprojects. For subprojects where payment of compensation/allowances has been substantially completed, the external experts will also conduct resettlement audit mission to validate status of compensation and hand-over of plots and recommend issuance of NOL for the commencement of civil works.

The external monitoring and evaluation experts12 / qualified NGOs will be composed of one team leader with extensive experience in monitoring and evaluation of resettlement activities in the country with strong ability in preparing resettlement reports. He/she should demonstrate good communication skills and have at least a bachelor degree in a relevant field. The team leader will be assisted by at least __ specialist(s) with similar experience and background. All reports will be submitted in English (and in local language, if required) to the government and ADB simultaneously.

Deliverables:

Inception report, including findings of review of baseline data, monitoring methodology and detailed work plan (in terms of sampling, timing, budget, other required resources) Semi-annual monitoring report13, including (a) methods used by the EMO during the monitoring period; (b) progress of RP implementation, including any deviations from the provisions of the RP; (c) identification of problem issues and recommended corrective actions to inform implementing agencies and resolve issues in a timely manner (refer to sample table below); (d) identification of specific gender and ethnic minorities issues, as relevant; (e) report on progress of the follow-up of issues and problems identified in the previous reports; (f) lessons learned that might be useful for future activities; and, (g) Resettlement audit report. Sample CAP summary table

No.

Survey

code

Project Component

Village

Name of head of Affected

Household/ Name of AP

Name or use

of affected structur

e

Status of structure

s

Corrective Action

Budget

(USD)

Schedule of implementati

on of corrective

action

By (date)

Total

Include Monitoring and Evaluation indicators (commonly a table in the RP). A set of suggested indicators are in the table below14, to be replaced with RP table as required:

11

See above footnote. 12

External experts mean experts not involved in day-to-day project implementation or supervision

13 Monitoring reports will be disclosed semiannually/quarterly, upon receipt from borrower.

14 Source: ADB. 2012. Involuntary Resettlement Safeguards: A Planning and Implementation Good Practice Sourcebook – Draft Working Document. Manila.

84 Appendix 10

Appendix 10. Guide to Developing Monitoring Indicators1

1. Internal Monitoring

Monitoring Aspects Potential Indicators Delivery of Entitlements • Entitlements disbursed, compared with number and category of losses set out in the

entitlement matrix. • Disbursements against timelines. • Identification of the displaced persons losing land temporarily, e.g. through soil

disposal, borrow pits, contractors’ camps, been included.

• Timely disbursements of the agreed transport costs, relocation costs, income

substitution support, and any resettlement allowances, according to schedule.

• Provision of replacement land plots. • Quality of new plots and issue of land titles. • Restoration of social infrastructure and services. • Progress on income and livelihood restoration activities being implemented as set out

in the income restoration plan, for example, utilizing replacement land, commencement of production, the number of the displaced persons trained in employment with jobs, microcredit disbursed, number of income-generating activities assisted.

• Affected businesses receiving entitlements, including transfer and payments for net losses resulting from lost business.

Consultation and Grievances

• Consultations organized as scheduled including meetings, groups, and community activities.

• Knowledge of entitlements by the displaced persons. • Use of the grievance redress mechanism by the displaced persons. • Information on the resolution of the grievances. • Information on the implementation of the social preparation phase. • Implementation of special measures for Indigenous Peoples.

Communications and Participation

• Number of general meetings (for both men and women). • Percentage of women out of total participants. • Number of meetings exclusively with women. • Number of meetings exclusively with vulnerable groups. • Number of meetings at new sites. • Number of meetings between hosts and the displaced persons. • Level of participation in meetings (of women, men, and vulnerable groups). • Level of information communicated—adequate or inadequate. • Information disclosure. • Translation of information disclosure in the local languages.

Budget and Time Frame • Land acquisition and resettlement staff appointed and mobilized on schedule for the field and office work.

• Capacity building and training activities completed on schedule. • Achieving resettlement implementation activities against the agreed implementation

plan. • Funds allocation for resettlement to resettlement agencies on time. • Receipt of scheduled funds by resettlement offices. • Funds disbursement according to the LARP. • Social preparation phase as per schedule. • Land acquisition and occupation in time for implementation.

Livelihood and Income Restoration

• Number of displaced persons under the rehabilitation programs (women, men, and vulnerable groups).

• Number of displaced persons who received vocational training (women, men, and vulnerable groups).

• Types of training and number of participants in each. • Number and percentage of displaced persons covered under livelihood programs

(women, men, and vulnerable groups).

1 ADB. Involuntary Resettlement Safeguards: A Planning and Implementation Good Practice Sourcebook – Draft Working Document. November 2012.

Appendix 10 85

Monitoring Aspects Potential Indicators • Number of displaced persons who have restored their income and livelihood patterns

(women, men, and vulnerable groups). • Number of new employment activities. • Extent of participation in rehabilitation programs. • Extent of participation in vocational training programs. • Degree of satisfaction with support received for livelihood programs.

• Percentage of successful enterprises breaking even (women, men, and vulnerable groups).

• Percentage of displaced persons who improved their income (women, men, and vulnerable groups)

• Percentage of displaced persons who improved their standard of living (women, men, and vulnerable groups)

• Number of displaced persons with replacement agriculture land (women, men, and vulnerable groups)

• Quantity of land owned/contracted by displaced persons (women, men and vulnerable groups)

• Number. of households with agricultural equipment • Number of households with livestock

Benefit Monitoring

• Noticeable changes in patterns of occupation, production, and resource use compared to the pre-project situation.

• Noticeable changes in income and expenditure patterns compared to the pre-project situation.

• Changes in cost of living compared to the pre-project situation. • Changes in key social and cultural parameters relating to living standards. • Changes occurred for vulnerable groups. • Benefiting from the project by the displaced persons.

External Monitoring Indicators

Monitoring Indicator Basis for Indicator Basic information on displaced persons’ households (Gender disaggregated data essential for all aspects)

• Location of the project • Composition and structure, ages, educational, and skill levels • Gender of household head • Ethnic group • Access to health, education, utilities, and other social services • Housing type • Land and other resource-owning and resource-using patterns • Occupations and employment patterns • Income sources and levels

• Agricultural production data (for rural households) • Participation in neighborhood or community groups

• Access to cultural sites and events

• Valuation of all assets Restoration of living standards

• Were house compensation payments made free of depreciation, fees, or transfer costs to the

displaced persons?

• Have displaced persons adopted the housing options developed? • Have perceptions of community been restored?

• Have displaced persons achieved replacement of key social and cultural elements? Restoration of livelihoods (Disaggregate data for displaced persons moving to group resettlement sites, self-relocating displaced persons, displaced persons with

• Were compensation payments free of deductions for depreciation, fees, or transfer costs to the displaced persons?

• Were compensation payments sufficient to replace lost assets? • Was sufficient replacement land available of suitable standard?

• Did income substitution allow for reestablishment of enterprises and production? • Have affected enterprises received sufficient assistance to reestablish themselves?

• Have vulnerable groups been provided income-earning opportunities?

• Are these opportunities effective and sustainable? • Do jobs provided restore pre-project income levels and living standards?

86 Appendix 10

enterprises affected) Levels of displaced persons’ satisfaction

• How much do the displaced persons know about resettlement procedures and entitlements? • Do the displaced persons know their entitlements? • Do they know whether these have been met? • How do the displaced persons assess the extent to which their own living standards and

livelihoods have been restored? • How much do the displaced persons know about grievance procedures and conflict resolution

procedures? Effectiveness of resettlement planning

• Were the displaced persons and their assets correctly enumerated?

• Was the time frame and budget sufficient to meet objectives, were there institutional constraints? • Were entitlements too generous?

• Were vulnerable groups identified and assisted?

• How did resettlement implementers deal with unforeseen problems?

Appendix 11 87

Appendix 11. Internal Monitoring and Reporting Template I. General Progress in Resettlement Plan (RP) Implementation

Table 1. General Progress in Land Clearance and Handing Over of Land for Civil Works Project Compone nt/ Location [District/ Village,etc.]

AHs eligible for compensationa

and/or assistance/allowances

b

AHs required to relocate Remaining encumbran ces [Yes/No]

Land handed over for civil works

No. of AHs No. of AHs fully paid

% Progre ss

Total No. of AHs

No. of AHs resettled

c

% Progre ss

Date hand ed over1

Expect ed date to hand over

Civil works contra ct award date

Tot al AH s

N o. IP AH

No. of Femal eheade d AH

Tot al AH s

No . of IP AH

No. of Femal eheade d AH

Tot al AH s

No . of IP AH

No. of Femal eheade d AH

Tot al AH s

N o. of IP AH

No. of Femal eheade d AH

Component A Village 1

Village 2

Component B Village 3

Village 4

Total AH = affected housholds; IP = Indigenous Peoples a. All forms of compensation, including affected assets (land/ non-land, crops, etc.) or loss of income. b. Includes all types of allowances and assistance except income restoration, which is presented separately in Section III below. c. Includes households (HHs) provided interim measures agreed in RP such as rental assistance while waiting for completion of resettlement site.

88 Appendix 11

Table 2. Disbursement and Use of Funds Location LAR Budget

Requiremen t

Source of Funding

1

Allocation Status

Funds Disbursed this Reporting Period

Specific Resettlement activities funded this Reporting Period

2

Timeliness of Fund Disbursement

Cumulative Funds Disbursement

Delay in targets for fund disbursement? (Y/N)

Reasons for delay

LAR = land acquisition and resettlement

Issues Affecting Timely Land Handover [Describe issues affecting timely land clearance or handover of land for civil works such as grievances (including non-agreement to compensation), unresolved encumbrances, funding constraints, other.] II. Resettlement

Table 3: Updated Resettlement Impacts Location AHs with

Affected Houses

AHs with Fully Affected Houses

AHs with Fully Affected Houses Partially Affected AHs

Change in Number of AHs with Fully Affected Houses Compared to Updated RP

Total House Built on Land Eligible for Compensation

Of which Vulnerable

3

Table 4: Confirmed Resettlement Preferences for Households with Fully Affected Houses

Location # of AHs with Fully Affected Houses

# of AHs Required to Relocate

# of AHs Opting for Replacement Land

# of AHs Opting for Self Relocation (HHs)

# of AHs that Can Rebuild on Remaining Land

1 E.g. Central Government, Province, Loan Funds, etc.

2 E.g. Number of resettlement sites developed, number and type of community facilities constructed, number of AHs fully compensated, livelihood restoration activities implemented. 3 E.g. Number of female-headed with dependents; number of poor; number of IPs, etc.

Appendix 11 89

Table 5: Resettlement Solutions Implemented for Vulnerable Households Indigenous

People (HHs) Landless (HHs)

Poor (HHs)

Female Headed Households

Other [add as needed]

Rebuilt on remaining land

Rebuilt on another plot of land already owned

Rebuilt (e.g. moved back) out of COI but on public land

Rebuilt on other person’s land (e.g. relative)

Purchased replacement land elsewhere themselves

Provided with plot at resettlement site

Provided with replacement residential plot (nonresettlement site)

Solution Pending COI = corridor of impact

Table 6: Status of Resettlement Sites Resettlement Site*/ Location

Actual completion date

Scheduled completion date

Current status (briefly describe status of completion of infrastructure , etc.)

No. of plots allocated for project

No. of AHs to be allocated plots

No. of plots handed over to AHs

# AHs issued title

# AHs rebuilt houses

# AHs living in relocation site as of reporting period

* Include also separate residential plots to be provided to AHs even if these are not included in resettlement sites.

Other Remarks on Resettlement [Describe issues identified along with planned and completed remedial actions. Also provide additional information regarding delays in completing resettlement sites, if any, including actions to be taken.]

90 Appendix 11

III. Income Restoration Program Status of Income Restoration Program [Provide updated details of income restoration activities to be provided, institutional/implementation arrangements, resource requirements and schedule.] Consultation with Eligible APs [What consultation activities were undertaken during the reporting period to assess needs and preferences of eligible APs? Describe how women and other vulnerable APs have been included in the consultation process.]

Table 7: Program Participation (Cumulative) Location No. of

eligible APs

Participation in Livelihood Restoration Activities Disaggregated by Gender and ethnicity

4 of AP [examples provided below, revise as

appropriate for specific Income Restoration Program]

Total # of APs

Of which vulnerable

5

No. of APs in Agricultural Extension

No. of APs in Mechanic Course

No. of APs in Sewing Course

No. of APs in Small Business Training

[other]

Village 1 Village 2 Village 3

Table 8: Effectiveness of Income Restoration Program Activities Location No. of

eligible APs

No. of APs employed in project-related jobs as of this monitoring period

# of APs employed in other jobs as of this monitoring period (post-resettlement)

Total # of employed APs

6

Of which vulnerable

7

(Specify type of Project related job)

(Specify type of Projectrelated job)

(Specify type of Projectrelated job)

(Specify type of job)

(Specify type of job)

Village 1 Village 2 Village 3 Other Remarks on Livelihood Restoration [Please describe any issues encountered and approaches taken to resolve these.]

4 In projects where there are IP issues

5 E.g. No. of female-headed with dependents, no. of poor; no. of IP

6 From those who participated in income restoration program

7 E.g. No. of female-headed households with dependents; no. of poor; no. of IP etc.

Appendix 11 91

IV. Disclosure, Consultation & Participation

Table 9: Means of Disclosure of URP by Location Location [Village] Translated

approved URP disseminated to village office? (yes/no)

PIB disseminated to AHs (date/ method*)

PIB posted in public place? (yes/no)

Public meeting to present approved URP (date)

Target date to complete disclosure (date)

Village 1 Village 2 * Dissemination method such as handed out in public meeting, distributed house-to-house, etc.

Consultations Table 10: Consultation/Information Dissemination Meetings Conducted During Reporting

Period Date Venue Participants

[Disaggregated by gender]

Consultation content Meeting Minutes with PMU

V. Operation of Grievance Redress Mechanism (GRM)

Table 11: Summary of Grievance Cases by Level of GRM Location No. of pending

grievance from previous reporting period

No. of new grievance cases for reporting period

Total no. of cases received

No. of cases resolved

No. of cases progressed to next level

Level 1 Level 2 Level 3 Narrative Summary of Grievances [Provide a narrative summary of grievance cases by type of issue and location, for example…] [Where resolution of grievance resulted in any cases of land/assets compulsorily acquired, provide details along with information regarding relevant court or administrative decision and confirmation whether funds due from compensation and assistance have been placed in escrow account or provided to AP.]

92 Appendix 11

VI. Other Issues Resolution of Issues [Provide information on status and/or resolution of issues raised in previous internal monitoring report; ADB monitoring; external monitoring report, etc.] New Issues [Provide information on other newly identified issues impacting the implementation of RP. These may include resource constraints, changes in scope of impacts, etc.] Institutional Matters and Capacity Training [Report on the following as applicable]

(i) Deployment of safeguards-related staff within PMUs. Key activities conducted by PMU safeguards staff during reporting period.

(ii) Capacity development training provided: type and number of trainings, number of staff/officers trained (disaggregated by gender).

(iii) Activities of community based organizations (CBOs)/mass organizations (as applicable).

(iv) Adequacy of resources for PMU staff and consultants.

(v) Issues in undertaking roles/responsibilities of different agencies.

Temporary Impacts during Civil Works [Describe temporary impacts during implementation, including quantities of impacts, #AHs, location, types, etc. and status of restoring temporarily affected assets as appropriate and the responsible agency.]