52316-001: Emergency Assistance for Rehabilitation and Reconstruction

Social Due Diligence Report

Project Number: 52316-001 Loan 3793-INO Due Diligence Report July 2021

Indonesia: Emergency Assistance for Rehabilitation and Reconstruction (Component 1: Public Works Infrastructure)

Rehabilitation of Tertiary Canals (BGKN 1-7) of Gumbasa Irrigation Subproject

Prepared by: Directorate General of Water Resources, Ministry of Public Works and Housing for the Asian Development Bank.

This due diligence report 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.

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.

ABBREVIATIONS

ADB - Asian Development Bank CAP - Corrective Action Plan CPMU - Central Project Management Unit DDR - Due Dilligence Report DED - Detailed Engineering Design DGWR - Directorate General of Water Resources EA - Executing Agency EARR - Emergency Assistance for Rehabilitation and Reconstruction GRM - Grievance Redress Mechanism IA - Implementing Agency IP - Indigenous People IR - Involuntary Resettlement MPWH - Ministry of Public Works and Housing O&M - Operationand Maintenance PCO - Public Complaints Officer PIB - Public Information Booklet PIU - Project Implementation Units PMC - Project Management Consultant PMU - Project Management Unit PNPM - Program Nasional Pemberdayaan Masyarakat (National Community Empowerment Program) PPC - Project Preparation Consultant PPK - Pejabat Pembuat Komitmen –Subproject Manager RCCDF - Resettlement and Customary Community Development Framework SIA - Socio Impact Assessment S3RBO - Sulawesi III River Basin Organization (BWSS III) SPS - Safeguards Policy Statement WUA - Water User Association

TABLE OF CONTENT

Abbreviations ...... 2 Excutive Summary 5 I. Introduction ...... 6 A. Project Background ...... 6 B. Tertiary Canal Rehabilitation Serving 1,079 ha ...... 6 II. Due Dlligence Purpose and Approach...... 10 III. Information Obtained ...... 11 IV. Consultation, Grievance Redress Mechanism and Monitoring ...... 16 V. Institutional Arrangements ...... 24 VI. Compliance Assessment and Corrective Action Plan...... 25 A. Compliance Assessment ...... 25 B. Corrective Action Plan ...... 27

List of Tables

Table 1. Summary of Twenty Tertiary Canals Not Affecting Land Ownership...... 8 Table 2. Total Land Owned vs Total Donated Land From the 27 Land Donors of the 1970s 13 Table 3. Farmers’ Age in Pandere and Kalawara Village (Gumbasa Subdistrict) 14 Table 4. Farmers’ Age in Sibalaya Selatan and Lambara Village (Gumbasa Subdistrict) 15 Table 5. Summary of Consultations with Heads of WUAs...... 17 Table 6. Summary of Consultations with Village Office ...... 18 Table 7. Summary Consultations with Farmers and WUAs along the Main Canal between BGKn 1 – BGKn 7 ...... 19 Table 8. GRM Process and Timeframe...... 21 Table 9. Compliance of the Originally Adopted Procedures for Tertiary Canal Development with RCCDF Requirements ...... 25 Table 10. Corrective Action Plan ...... 28

List of Figures Figure 1. Location of the Tertiary Canal System Serving 1,079 ha...... 7 Figure 2. Spatial Plan Map of Gumbasa Subdistrict...... 12 Figure 3. The GRM during the Construction Phase ...... 22

List of Appendices Appendix 1. Tertiary Canal(s) operated/ maintained by the WUA Beringin Jaya BGKn 1.....30 Appendix 2. Tertiary Canal(s) operated/ maintained by the WUA Setia Kawan ...... 31 Appendix 3. Tertiary Canal(s) operated/ maintained by the WUA Gumbasa Indah ...... 32 3

Appendix 4. Tertiary Canal(s) operated/ maintained by the WUA Ojolali ...... 33 Appendix 5. Tertiary Canal(s) operated/ maintained by the WUA Baru Mekar ...... 36 Appendix 6. Tertiary Canal(s) operated/ maintained by the WUA Delumpa ...... 39 Appendix 7. Tertiary Canal(s) operated/ maintained by the WUA Tunas Muda...... 40 Appendix 8. Tertiary Canal(s) operated/ maintained by the WUA Tunas Harapan ...... 41 Appendix 9. Tertiary Canal(s) operated/ maintained by the WUA Mapasitujue ...... 44 Appendix 10. Minute of Consultation Held by PPC 15 February...... 45 Appendix 11.Minute of Consultation Held by PPC 16 February ...... 47 Appendix 12. Minute of Consultation Held by PPC 17 February 2021 ...... 51 Appendix 13. Minute of Consultation Meeting Held 18 February 2021 ...... 55 Appendix 14. Minute of Coordination Meeting Between the Irrigation Commission of Central Sulawesi Province and the Sigi Regency ...... 59 Appendix 15. Estimated Number of Farmers Donating Land in the 1970’s 66

EXECUTIVE SUMMARY

1. ADB approved two emergency assistance loans for the Emergency Assistance for Rehabilitation and Reconstruction (EARR) for Palu in June 2019. EARR is supporting the Government of Indonesia in building back better critical infrastructure damaged by the devastating natural disasters occurred in Central Sulawesi Province in September 2018. One of EARR’s subprojects is the rehabilitation and/or upgrading of the Gumbasa irrigation system. In mid-2020, the Sulawesi III River Basin Organization (S3RBO) in Palu, Central Sulawesi proposed to rehabilitate the Gumbasa tertiary, quaternary, and drainage canals for a service area of 1,079 hectares, primarily using a labor-intensive approach. S3RBO rehabilitated the primary and secondary canals for this service area with government owned resources. ADB agreed in principle to S3RBO’s proposal in August 2020 and the ADB review mission in February 2021 confirmed this agreement with the understanding that the rehabilitation would not include quarternary canals and tertiary drains and would be subjected to a social and environmental safeguards due diligence assessment.

2. The tertiary canal rehabilitation will be undertaking by Water Users Associations (WUAs) using the P3A contracting modality in accordance with government policies and MPWH regulations. All 25 tertiary canals serving the 1,079 ha - with a total length of 25.95 km - are proposed to be rehabilitated. The rehabilitation works will mainly involve repair of stone masonry canal lining, construction of some new lined canal sections, reshaping and strengthening of existing embankments, and repair of existing diversion and/or drop structures as well as the construction of new structures. The tertiairy canal system between main canal stations BGKn.1 and BGKn.7 is located in the Gumbasa and Tanambulava sub-districts, Sigi Regency. Detailed designs together with work quantities and cost estimates for each tertiary canal have been prepared.

3. In November-December 2020, the Project Preparation Consultant (PPC) engaged by MPWH to assist in the preparation of the Gumbasa irrigation subproject conducted a detailed field asessment to check the condition of the 25 tertiary canals. This field assessment was conducted with the participation of WUA members, S3RBO representatives, and village officials. The assessment observed the following three typical situations: (i) canal sections with a right- of -way (ROW)1 clearly visible in the field and following the original alignment: 16 km (applies for 20 out of the 25 tertiary canals; the farmers are not using the ROW of the existing canals): (ii) canal sections with a ROW clearly visible in the field but with changed/ shifted alignment from the original one: 0.67 km; and (iii) canal sections where the tertiary canal is still to be constructed: 8.9 km.

4. A social safeguards due diligence together with a compliance audit has been carried out to identify past and present concerns related to impacts of Involuntary Resettlement and on customary communities or Indigenous Peoples (IR and IPs) of the proposed tertiary canal rehabilitation. The objective of the compliance audit is to determine whether actions were in accordance with EARR’s RCCDF ADB SPS. This due diligence considers the historical background of the tertiary canal development while in terms of compliance assessment and corrective actions, it focuses on twenty prioritized tertiary canals where the rehabilitation will not affect land ownership.

5. Compliance assessment has been carried out with the safeguards principle set forth in the EARR’s RCCDF ADB SPS in November 2020 until March 2021. A corrective actions plan to include consultation and periodic meetings among the farmers; setting up the grievance redress mechanism (GRM), disclosure of the DDR and GRM; and monitoring reports have been prepared.

1 The existing ROW is 1.5 m 5

I. INTRODUCTION

A. Project Background

2. The planned activities under the output 2 are to reconstruct, rehabilitate, and/or upgrade (i) the Gumbasa irrigation system; (ii) the PASIGALA raw water supply system; and (iii) coastal protection to prevent erosion and tidal flooding. In addition, the capacity of the Sulawesi III River Basin Organization (S3RBO) in Palu, Central Sulawesi will be strengthened to better design resilient infrastructure, improve the operation and maintenance of assets, and stay equipped with hydrometeorological instruments for managing water flows across the river basin.

3. At project appraisal, it was envisaged that the Gumbasa irrigation subproject would cover 8,047 ha of the total 9,635 ha irrigation system service area with (i) the upper part covering 1,079 ha being rehabilitated at that time through government financing, and (ii) the rehabilitation of the lower part covering 1,588 ha to be financed by the Japan International Cooperation Agency.

B. Tertiary Canal Rehabilitation Serving 1,079 ha

4. In mid-2020, the Sulawesi III River Basin Organization (S3RBO) in Palu, Central Sulawesi proposed to rehabilitate the Gumbasa tertiary canal system including the quaternary and drainage canals for a service area of 1,079 hectares, primarily using a labor-intensive approach. This rehabilitation and the recently completed rehabilitation of the primary and secondary canals serving this area will facilitate the realization of the full irrigation potential in the service area. ADB agreed in principle to S3RBO’s proposal in August 2020 and the ADB review mission in February 2021 confirmed this agreement with the understanding that the rehabilitation would not include quarternary canals and tertiary drains and would be subjected to a social and environmental safeguards due diligence assessment.

5. The subject tertiairy canal system between main canal stations BGKn.1 and BGKn.7 is located in the Gumbasa and Tanambulava sub-districts (kecamatan), Sigi district (kabupaten) as shown in Error! Reference source not found..

Figure 1 Location of the Tertiary Canal System Serving 1,079 ha

6. The tertiary rehabilitation will be undertaking by Water Users Associations (WUAs) using the P3A contracting modality in accordance with government policies and MPWH regulations. All 25 tertiary canals serving the 1,079 ha - with a total length of 25.95 km - are proposed to be rehabilitated. Nine WUAs are responsible for the O&M of these tertiary canals with six WUAs responsible for one to three canals while the remaining three WUAs are responsible for seven to eight canals.

7. The rehabilitation works will mainly involve repair of stone masonry canal lining, construction of some new lined canal sections, reshaping and strengthening of existing embankments, and repair of existing diversion and/or drop structures as well as the construction of new structures. Detailed designs together with work quantities and cost estimates for each tertiary canal have been prepared.

8. Initial due diligence. An initial social safeguards due diligence for the proposed tertiary canal rehabilitation was conducted in September 2020 with support from a technical assistance (TA) team.2 The assessment revealed that some tertiary canal sections and associated structures are in relatively good condition while other sections and structures are damaged or broken due to the 2018 earthquake and/ or localized flooding.

9. Detailed field assessment. In November-December 2020, the Project Preparation Consultant (PPC) engaged by MPWH to assist in the preparation of the Gumbasa irrigation subproject conducted a detailed field asessment to check the condition of the 25 tertiary canals. This field assessment was conduced with the participation of WUA members, S3RBO representatives, and village officials. The assessment observed the following three typical situations: (i) canal sections with the right-of -way (ROW) clearly visible in the field and following the original alignment: 16 km; the width of the ROW is 1.5 m;

2 ADB approved on 9 June 2020 the $2.0 million TA: Support for Emergency Assistance on Rehabilitation and Reconstruction in Central Sulawesi (SURF). This TA is financed by the Japan Fund for Poverty Reduction but channeled through the SURF facility. 7

(ii) canal sections with the ROW clearly visible in the field but with changed/ shifted alignment from the original one: 0.67 km; and (iii) canal sections for which canal is still to be constructed: 8.9 km. The width of the ROW for the proposed new canal sections will be kept at 1.50 m.

10. The assessment concluded that the first situation applies for twenty out of the 25 tertiary canals. Furthermore, the alignment and length of these canals are as per original design and the farmers are not using the canals’ existing ROW.

11. Consideration of EARR’s safeguards framework. As per EARR’ Resettlement and Customary Community Framework (RCCDF) and the ADB SPS 2009, a due diligence report (DDR) is to be prepared for subprojects involving reconstruction or rehabilitation of facilities or in case land has already been acquired, a social compliance audit, including on-site assessment, to identify past and present concerns related to impacts of the Involuntary Resettlement and on customary communities/ Indigenous Peoples (IR and CCs/ IPs). The objective of the compliance audit is to determine whether actions were in accordance with ADB SPS. Where noncompliance is identified, a corrective action plan (CAP) agreed on by ADB and the EA will be prepared. The plan will define necessary remedial actions, the budget for such actions, and the time frame for resolution of noncompliance. The audit report (including the CAP, if any) will be made available to the public in accordance with the information disclosure requirements set forth in RCCDF. If a subproject involves an upgrade or expansion of existing facilities that has potential impacts of IR and/or on CCs/IPs, the requirements for environmental and social impact assessment and planning specified in safeguard requirement of ADB SPS that is also reflected in RCCDF will apply in addition to compliance audit. Considering that the rehabilitation of the twenty canals will be in the existing ROW, a due diligence is carried out and reported in this DDR.

12. Prioratization of tertiary canals for rehabilitation. In view of the urgency to start the rehabilitation of the tertiary canal system, ADB and S3RBO agreed in April 2021 to prioritize the rehabilitation of the canals for which rehabilitation is not affecting land ownership and therefore prepare a DDR covering these canals, followed by the preparation of a LARP for the other canals. Table 1 summarizes the main features of the twenty canals.

Table 1. Summary of Twenty Tertiary Canals Not Affecting Land Ownership

Total ROW* Utilized by WUA Tertiary Length Tertiary Canal(s) Members # of WUA Canal of No Name of WUA Operated/ Maintained by members Service Tertiary the WUA Area (ha) Canal Yes/No Area (m2) (m) BGKn 1 : GKn 1kr 1 Beringin Jaya 27 34 648 No ( T1-T2, T2 – K1) 972 BGKn 2 : - GKn 2kr (T1, T1-T2, T1- 2 Setia Kawan 98 T4, T2-T3, T3-K1, T4- 95 2,129 No 3,194 T5, T5-K2, Muka C2, Muka D3) Gumbasa GKn 3 Kr2 : (Tersier 3 29 36 252 No 378 Indah BGKn3-K1,Muka a2) - GKn 4 Kr1 : (BGKn 4- T1, T1-K1, T1-T2, T2- 4 Ojolali 25 K2, Muka b2) 139 3,990 No 5,985 - Rb 2 kn: (Muka a2), - Rb 4 kn: (T1-T2),

- Rb 5 kn: (BRb5-T1, T1- T2, Muka b2, Muka c3) - Rb 5 kn : (T2-K1, Muka b3) - GKn 5 Kr ( T1-K1, Muka a2), - Kw 1 kn (BKw 1-T1, 5 Baru Mekar 17 120 3,600 No T1-K1, T1-T2, T2-K2), 5,400 - Kw 6 kr (BKw6-T1, T1- T2, T2-T3, Muka c2) GKn 6kr1 (BGKn 6-T1, 6 Delumpa 184 26 1,253 No 1,880 T1-K2, Muka d2) 7 Tunas Muda 160 Kl 1 kn : (Muka a2) 23 245 No 368 - KL 2 kr 1: (BKL2- T1,Muka a2), Tunas - Kl 3 kr : 8 120 99 1,859 No 2,789 Harapan - KL6 kn : (T1-K1), - KL 6 kr: (BKl 6-T1, T1 - K1, Muka b1) - GKn 6kr2 : (BGKn6-T1, T1-K2, T1-T2, Muka 9 Mapasitujue 160 c2), 68 2,026 No 3,039 - GKn 7 kr : (BGKn 7-T1, T1-T2, T2-T3) Total 16,002 *): the existing ROW has a typical width of 1.5 m

13. The lay-out with a schematic diagram and relevant photos for each of the twenty canals are in Appendix 1 to Appendix 9.

II. DUE DILLIGENCE PURPOSE AND APPROACH

14. The purpose of a social safeguards due diligence or the compliance audit is to identify past and present concerns related to impacts of IR and on CCs or IPs of the proposed tertiary canal rehabilitation. The compliance audit is to determine whether actions were in accordance with EARR’s RCCDF ADB SPS. This due diligence considers the historical background of the tertiary canal development while in terms of compliance assessment and corrective actions, it focuses on the twenty prioritized tertiary canals not affecting land ownership.

15. The approach for the due diligence is anchored on consultation and participation not only of the farmers and their WUAs but also of the S3RBO, and other relevant stakeholders (Field Offcier (Pengamat Lapangan) of the Provincial Agency of Housing And Water Resources, subdistrict and village level officials). Considering the limitations of memory recall of events that transpired more than 35 years ago, cross checking/triangulation of information was undertaken. As such, the following approach was adopted: (i) Initial due diligence - Together with S3RBO staff, the TA team conducted a site visit from 14 – 19 September 2020. (ii) A walk-trough with participation of farmers, WUA leaders, S3RBO staff and PPC experts in November – December 2020. (iii) In-depth interviews with relevant government agencies, including village level officials, community and WUA leaders to obtain additional information regarding the history of the land status of the tertiary canal ROW in December 2020 and February and March 2021. (iv) Consultations with farmers, including those whose land was used for the ROW of the tertiary canal, regarding activities pertinent to the status of the land of the tertiary canal ROW; affected households and S3RBO staff involved in community relations were interviewed in February 2021. (v) Document review – secondary data and other relevant reports including the 2015 Survey Investigative Design (SID) for the GumbasaTertiary Irrigation System Stage 1.3

3 The survey was carried out to to obtain a real picture of the field conditions and produce a definitifve lay-out of tertiary, quarterary and drainage canal networks to be considered in the design preparation. 10

III. INFORMATION OBTAINED

16. Alignment of proposed tertiary canal rehabilitaton with the Spatial Plan (RTRW) of Sigi District. The Gumbasa tertiary irrigation subproject is part of the wider Gumbasa irrigation system with the Gumbasa sub-district together with Sigi Biromaru, Tambulava and Dolo sub- districts designated as agriculture area according to the 2010 – 2030 Sigi District Spatial Plan. This spatial plan was enacted by Sigi District Regulation No. 21/2012 (dated 8 October 2012). The alignment of the rehabilitation of the Gumbasa irrigation system including its tertiary canal system with the RTRW was confirmed by the Public Works and Housing Department of the Sigi District through its letter No. 600 / 01.344 / DPUP / 2020 regarding Technical Considerations for the Conformity of the RTRW in Gumbasa.

Figure 2. Spatial Plan Map of Gumbasa Subdistrict 12

17. Status of the donated land covered by the ROW of tertiary canals. Based on interviews with the Field Offcier (Pengamat Lapangan) of the Provincial Agency of Housing And Water Resources and WUA leaders, the land for the ROW of the main and secondary canals of the Gumbasa irrigation system was acquired by MPWH under the Parigi - Poso Irrigation Program implemented between 1976 to 1984 while the land for the ROW of the tertiary (and quarternary canals) was obtained from the farmers through donation.

18. The ROW of the tertiary canals typically involved the donation (land use and no transfer of land rights to the project) of a narrow strip of land of 1 m to 1.5 m wide. The land use will applies along the canal operation. It was reported during the interviews that land donation was not an issue as the donating farmers were direct beneficiaries of the Parigi - Poso Irrigation Program. Moreover, the land donation did not cause significant loss to the owners as the average land holding in the 1970s was larger than present.

19. Number and average size of donated land. It is estimated that about 193 farmers opted to land donation in the 1970s for the tertiary canals between BGKn 1- BGKn 7.4 According to the information provided by 27 farmers who donated land in the 70s (shown in Table 2 below), the land donated varied between 0.2-3% with an average of 0.9% of the land they owned. The average of land owned by these 27 farmers was 11,000 m2. The IOL data of the 39 land owners along the new tertiary canal sections at BGKn 1-BGKn 75 can be used as another reference to obtain a picture on the average size of donated land. The assessment shows that the average affected land varies between 1-3% with in some cases even less than 1%. The average of land owned by the 39 landowners is 11,700 m2.

Table 2. Land Owned vs Land Donated from the 27 Land Donors in the 1970s Total Area % of Name of Land Village Land Use Owned Donated Donated Owners Land* (m2) (m2) Land Ma’rif Pandere Rice paddy 2,500 75 3% Yali Subu Pandere Rice paddy 15,000 105 0.7% Moh Rifai Pandere Rice paddy 5,000 75 1.5 % Mas’ad Pandere Rice paddy 10,000 75 0.8% Mulis Pandere Rice paddy 7,000 90 1.3 % Mukri Kalawara Rice paddy 10,000 150 1.5 % Heni Sarimin Kalawara Rice paddy 10,000 60 0.6% Sumarjono Kalawara Rice paddy 5.000 146 2,9% Setiono Kalawara Rice paddy 20.000 177 0,9% Suyono Kalawara Rice paddy 20.000 125 0,6% Oscar Kalawara Rice paddy 5.000 59 1,2% Weni Kalawara Rice paddy 2.500 42 1,7% Badwing Sibalaya Selatan Rice paddy 15.000 75 0,5% Halik Sibalaya Selatan Rice paddy 10.000 75 0,8% Agung Sibalaya Selatan Rice paddy 15.000 150 1,0% Nawir Sibalaya Selatan Rice paddy 20.000 150 0,8% Kamarudin Sibalaya Selatan Rice paddy 10.000 228 2,3% Ramlan Ali Sibalaya Selatan Rice paddy 10.000 243 2,4% Mulyadi Lambara Rice paddy 20.000 75 0,4% Hanudin Lambara Rice paddy 7.500 90 1,2% Amsa Lambara Rice paddy 10.000 75 0,8% Mazida Lambara Rice paddy 5.000 45 0,9% Lakako Sibalaya Barat Rice paddy 20.000 45 0,2%

4 Estimate based on LIDAR maps and partial field verification. 5 Based on the field assessment conducted by PPC in 2020 13

Haseing Sibalaya Barat Rice paddy 20.000 75 0,4% Redi Sibalaya Barat Rice paddy 10.000 75 0,8% Average 297.500 2.763 0,9% Source :PPC survey 2021 Notes : * This is land in the subproject area that was partially used for the land donation. Most of the donating farmers have other land located outside the subproject area.

20. The interviews also revealed that the development of the tertiary canal system and subsequent past rehabilitation was carried out in a participatory manner among the farmers. Farmers were activity involved in the determination of the alignment and required ROW of the canals. The principles and procedures adopted, in particular those for land donation, are summarized below. (i) After the alignment and ROW for past tertiary canal rehabilitation were determined, the a consultation meeting to reach an agreement on the land donation with the landowners held facilitated by villlage government and or community leader. This consultation was held in a participatory and transparent manner and reportly without the use of coercion. The project (S3RBO) explained the project purpose and discussed potentially impacts resulting from the planned rehabilitation. Further consultation was carried out to adress any concerns from the farmers. At the meeting confirmation was obtained that the land to be donated was clear and free from any dispute. (ii) In case the farmers objected to the proposed alignment and ROW and/ or disagreed to donate their land, the rehabilitation plan was postponed until an agreement was reached which sometimes required the adoption of al alternative alignment. The donation was understood as being a permission to use the land for tertiary canal rehabilitation without land ownership transfer. The duration of the permission was not specified but is was understood as a permission to use the land permanently. (iii) The land donation agreement was made verbally without any supporting written documentation. However, as informed by S3RBO, written agreements to donate the land for the tertiary canal rehabilitation were obtained during the SID of GumbasaTertiary Irrigation System Stage 1 in 2015, but unfortunately, these agreements and supporting documentation kept at the S3RBO office was lost during the 2018 earthquake event.

21. As mentioned in paragraph 9, the assessment undertaken by the PPC in November- December 2020 concluded that for the twenty prioritized tertiary canals, the situation on the ground is fully as per original design in terms of alignment and length, and that the farmers are not using the existing ROW. Furthermore, farmers emphasized that the existing aligment and ROW are free from any dispute.

22. Farmers’ socio-economic profile. As of 2018, the population of Gumbasa Subdistrict is 12,744 people with a population density of 71 people/km2. The ratio of male to female population was 107, meaning that there were 107 males for every 100 females. About 1,380 people received primary education, 780 people secondary education, and none university edecution. Agriculture is the main income-generating activity in Gumbasa Subdistrict dominated by paddy and corn production with a small portion of cassava and groundnuts. In 2018, 1,910 hectares of paddy was harvested producing 896.5 ton of paddy, and 328 hectares of corn was harvested producing 1,049 ton of corn. Interviews with respondents (P3A) in 2 (two) villages in the Gumbasa District conducted as part of the SID study in 2015 show that 85% of the farmers were 18-50 years old15% of the farmers over 50 years old (see Table 3 below for details per village). 14

Table 3. Farmers’ Age in Pandere and Kalawara Villages (Gumbasa Subdistrict)

No Village Age (Years) 0 – 17 (%) 18 – 50 (%) >50 (%) 1 Pandere 0 90 10

2 Kalawara 0 80 20

Average 0 85 25 Source : Survey by SID Study Consultant, 2015 23. As of 2018, the population of Tanambulava Subdistrict was 8,585 people with a population density of 152 people/km2. The ratio of male to female population in the subdistrict was 105, meaning that there were 105 males for every 100 females. Interviews with respondents (P3A) in 3 (three) villages in the Gumbasa District conducted as part of the SID study in 2015 shows that 75% of the farmers were 18-50 years old with 25% of the farmers over 50 years old (see Table 4 below for details per village).

Table 4. Farmers’ Age in Sibalaya Selatan and Lambara Villages (Gumbasa Subdistritc)

Age (Years) No Village 0 – 17 (%) 18 – 50 (%) >50 (%) 1 Sibalaya Selatan 0 80 20

2 Sibalaya Barat 0 70 30

3 Lambara 0 75 25

Average 0 75 25

Source : Survey by SID Study Consultant, 2015 24. The rice-rice-palawija is the dominant yearly cropping pattern in the area. The palawija crop season is between November – March, while the rice crop seasons are between March – July and July to November. The Gumbasa River has sufficient water resources to irrigate the entire Gumbasa irrigation area. However, many farmers having plots away from the main or secondary canals receive insufficient irrigation water due to the partially functioning and incomplete tertiary canal system. The 2018 earthquake aggravated the situation as tertiary canals were damaged

IV. Consultation, Grievance Redress Mechanism and Monitoring

25. Consultations. Planning of the rehabilitation of the Gumbasa tertiary canal system was started in 2015, before the 2018 earthquake. A series of consultations was conducted with relevant stakeholders at provincial and district levels as well as with farmers with the involvement of WUA and community leaders, and village heads as detailed below.

(i) A socio-economic survey was carried out by the consultant between September and November 2015 as part of the Survey Investigative Design (SID) for the Gumbasa Tertiary Irrigation System, Stage 1 through interviews and focussed group discussions (FGDs) with farmers and WUA members selected by purposive random sampling. The purpose of the survey was to obtain a socio-economic profiles of the farmers in the Gumbasa irrigation area, receive feed back on the proposed tertiary canal rehabilitation and identifiy potential problems for WUAs. Through the interviews and FGDs, the farmers expressed their support for the planned rehabilitation and stated their willingness to donate land, if needed6.The support was reflected in the minutes signed by the farmers; unfotunately all this documentation was lossed during the 2018 earthquake. (ii) A coordination meeting between the Irrigation Commission of Central Sulawesi Province and the Sigi Regency concerning the implementation of the water allocation plan for exploration and maintenance of irrigation networks was held on 19 December 2019. The meeting was attended by representative of the S3RBO, relevant institutions within Central Sulawesi LG (such as Dinas Cipta Karya dan Sumber Daya Air, Dinas Pengkajian Pangan dan Hortikultura, Balai Proteksi Tanaman Pangan Dan Hortikulura); relevant institutions within Sigi Regency local government (such as Dinas Tanaman Pangan, Perkebunan dan Hortikultura, Dinas PUPR, Badan Perencanaan Penelitian dan Pengembangan Daerah/BP3D); subdistrict and village governments; and farmers group (GAPOKTAN) and WUAs. The meeting’s agenda included discussions on (i) the cropping pattern in the Gumbasa irrigation area; (ii) determination of priority programs for the development and rehabilitation of irrigation networks with tertiary canal rehabilitation program being one of the priority programs; and (iii) possible funding sources for the development and rehabilitation of the tertiary canal networks. Minutes of the coordination meeting are attached in Appendix 14. (iii) A consultation with the Field Officer of the Provincial Agency of Housing and Water Resources (Pak Ngaripin ) was held on 29 December 2020. He informed that Public Works was responsible to construct the first 50 m long section of the tertiary canals with the remaining length developed by the farmers in a participatory manner. Where the development of a tertiary canal required additional ROW, farmers donated land on voluntary basis. The land donation process was preceded by a consultation process with involvement of village office representatives. (iv) The PPC team consulted with the heads of the WUAs in December 2019 and March 2020 to validate the information gathered from the farmers, specifically how the land for the ROW of the tertiary canals was secured. The consultations confirmed that development and previous rehabilitation of the tertiary canals was carried out in a participatory with the farmers with donation of land by the farmers for the ROW of the tertiary canals, where needed.

6 There were some landowners/farmers who initially objected because they misunderstood that S3RBO would take their land for agricultural roads. Follow-up consultations were carried out to clear up misunderstandings, and at the end of the consultations, the farmers provide their agreement. S3RBO would shift the design alignment if any of the landowners were objected to donate the land, but this is not the case because all farmers finally agreed. 16

Table 5. Summary of Consultation with Heads of WUAs Name of Head of Date of Key Issues Discussed Photos WUA Consultation Confirm that development of the Suharman (Head tertiary canal was done 18 December of Association of particpatory among the farmers 2020 Farmer Groups) and that land donation is a form of farmers’ participation. - Rehabilitation of earthen tertiary canal into stone masonry along approx. 550 m; construction was carried out by the P3A. Yali Subu (WUA Beringin - The land used for the ROW of the Jaya) tertiary canal was donated by the farmers; they volunteered to donate their land because they benefited from the rehabilitation.

- The farmers developed/ 1 March 2021 rehabilitatedthe tertiary canal according to the agreement among themselves and the construction was carried out together by cooperation among Ashar (WUA Setia them. Kawan) - Farmers voluntary donated their land because they benefited from the rehabilitation.

- The earthern tertiary canal was developed in 1975 with the first 50 m from the primary cannal constructed by Public Works with the remaining length by the Heni Sarimin 1 March 2021 farmers in cooperation among (WUA Ojolali) themselves. - No was compensation provided; farmers voluntary donated their land becaused they benefitted from the rehabilitation. - Tertiary canal development was done almost at the same time with development of the primary canal. Improvement of earthern canal into stone masonry canal Agung was done through the Program (WUA Nasional Pemberdayaan 2 March 2021 Mappasitujue) Masyarakat (PNPM) Mandiri program. - The farmers donated the land voluntary because they were aware that the rehabilitation of the canal would improve irrigation supply for their paddy fields.

In addition to the consultations with the heads of the WUAs, the PPC team also consulted during the same time with the heads of three villages as shown in Table 6. mentioning the key points of the consultations.

Table 6. Summary of Consultation with Village Office Date of Key Points of the Respondent Photos Consultation Consultations Hasrin (Head of 26 December - Confirmed that the Hamlet in Sibalaya 2020 farmers/WUA is responsible for Village) the tertiary canal development; the required land was obtained by voluntary donation from the farmers. - Farmers will have no objection if the improvement of the earthen canal into a stone masonry canal will require additional donation of land. Yasin Lahamudin - Tertiary canal was developed (Head of Pandere in 1974; there were three Village) tertiary canal improvement programs in Pandere Village - If the rehabilitaton requires additional land, farmers will provide the land voluntarily. Land donation is preceded by a consultation process with the involvement of the village office.

- Land required for constructing 2 March 2021 a tertiary canal was obtained through donation from then farmers. Farmers volunteered to donate their land because they knew that the Azhar (Secretary of construction of the tertiary Lambara Village network was aimed at increasing irrigation supply to increase farmland productivity. - Land donation process is preceded by consultation with

involvement of the village office.

During the field assessment to check the conditions of the tertiairy canals, the PPC team held consultation meetings with invited farmers/ WUA members between 15 and 18 February 2021, attended by 108 participants. The percentage of women participation was low, i.e., 13 % (14 persons), because mainly the head of the family and/ or male family members are involved in cultivating the land. The summary of consultations is in Table 7 below, while detailed minutes of the consultations with photos and attendance lists are in Appendix 10 to Appendix 13.

Table 7. Summary Consultations with Farmers and WUAs along the Main Canal between BGKn 1 and BGKn 7 Participants (M/F), if known No Date Venue Objective Key points of consultations/ discussions M F

- Farmers already obtained information on the rehabilitation plan through the WUAs and series 34 0 of consultations held by S3RBO since 2015. - The development of earthen tertiary canal was started in 1974 and improved through stone masonrary lining in 2004. Pandere Village Hall  Farmers , including 4 1 15 February 2021 farmers whose donated - The alignment and ROW of the tertiary canal their land, served by tertiary were determined with participation of the - Dissemination of canals at BGKn 1, BGKn2, farmers. BGKN 3 and RB 1 information on the - The ROW required for the tertiary canal was project plan and  WUA’s leader  Village Head secured by voluntary land donation from the obtain feedback beneficiary farmers. No written document  S3RBO staff - Confirmation on the supported the land donation but they emphasied  PPC consultant status of the righ of that the existing ROW its free from any dispute. way (ROW) to be 22 3 The widh of the donate land is 1.0 -1.5 m. used for the rehabilitation of the  Farmers served, including 2 - Farmers expressed their support to the planned existing tertiary canal farmers whose donated rehabilitation because they have been waiting their land, by tertiary for this to increase the productivity of their Kalawara Village 2 16 February 2021 canals at BGKn 4 and agricultural land. When the Gumbasa irrigation Hall BGKn 5 system, including the tertiary canals, was  WUA’s leader damaged due to 2018 earthquake, farmers in  Village Head Pandere Village planted corn instead of rice  S3RBO staff because of insufficient irrigation supply. Once  PPC consultant the rehabilitation is completed, the farmers hope to be able to plant rice again . 3 17 February 2021 Sibalaya Selatan 20 6 Village Hall

Participants (M/F), if known No Date Venue Objective Key points of consultations/ discussions M F  Farmers served by tertiary - Being able to earn additional income as a canals at BGKn 7 andBGKn laborer is mentioned as another benefit of the 6 Kr2 planned rehabilitation.  WUA’s leader - Temporary blockage of the farm road due to  Village Head contruction activites is anticipated as a potential  S3RBO staff negative impact.  PPC consultant

5 18  Farmers served by secondary irrigation system Sibalaya Barat 4 18 February 2021 at BGKn 1-7 Village Hall  WUA’s leader  Village Head  S3RBO staff  PPC consultant

26. Following the SID, further consultation with farmers, WUAs and other relevant stakeholders were held in 2016 for the preparation of the Dokumen Evaluasi Lingkungan Hidup (DELH - Environmental Evaluation Document) related to the rehabilittion of the tertiary canal system. The DELH confirmed that the proposed tertiary canal rehabilitation is aligned with the spatial plan of Sigi Regency 2010-2030 and summarized socio-economic profiles of communities and the communities’ positive perception of to proposed rehabilitation resulting from the consultation process.

27. Information disclosure. Disclosure of the information related to rehabilitation of the tertiary canal system will follow ADB’s Public Communication Policy (2011). The S3RBO will post the DDR on its websire prior to the start of the rehabilitation activity; the Central Project Management Unit (CPMU) of the MPWH will submit the DDR to ADB for posting on ADB’s website. The S3RBO will submit semi-annual social safeguards monitoring reports to ADB through the CPMU, including reporting on the implementation of corrective actions outlined in the DDR. The monitoring reports will also be disclosed at the aforementioned websites upon clearance from ADB.

28. Grievance Redress Mechanism. The Grievance Redress Mechanism (GRM) is a systematic process for receiving, evaluating, and handling project-related complaints from communities affected and / or other stakeholders. The GRM must be accessible to various members of society and in a language that is understood, including by vulnerable groups such as women and minorities. The protection and confidentiality of complainants must be guaranteed and respected if they are deemed important. The Social / Financial Facilitators engaged by the S3RBO to assis the WUAs will prepare records of complaints and resolutions taken as well assist the S3RBO Public Complaints Officer (PCO) in handling the complaints related to the tertiary canal rehabilition.

29. In principle, issues arising during the rehabilitation of the tertiairy canals will be addressed through consultations to reach an agreement and settlement through the involvement of relevant institutions, such as the S3RBO, WUAs, subdistricts and villages governments. Table 8. GRM Process and Timeframe

Stage Activities Involved Duration The first stage  If a concern arises, the aggrieved person/ farmer The complant should be can file any disagreements/disputes either resolved within 2 (two) directly to the relevant WUA Head or through the working days Social /Finance Facilitator who will facilitate a discussion between the complainant and WUA members to obtain resolution for disagreements/ disputes. At the first level the complaint will be resolved by the WUA themselves.  The Social/Finance Facilitator will record the disputes and resolutions taken; these will be reported to the S3RBO on monthly basis. If the issue is successfully resolved, no further follow-up is required. The second stage  If the complaint cannot be resolved at the first  The PCO has 14 level, aggrieved farmers/ person can submit a working days from complaint to the Public Complaint Officer (PCO) receipt of the grivenace of S3RBO who is assigned to resolve the document to decide on complaint. the complaint.

Stage Activities Involved Duration  For each complaint, the PCO will investigate the complaint, assess its eligibility, and identify an appropriate solution.  The PCO will, as necessary, through the S3RBO, instruct the WUA to take corrective actions (where relevant).  During the complaint investigation, the PCO will work in close consultation with the WUA Head, head of village and the social/financial facilitator If no solution can be identified by the PCO or if the  Within 14 working days complainant is not satisfied with the suggested of filing of the Stage 3: Multi- solution under Stage 2, the PCO will organize a complaint, the multi- stakeholder multi-stakeholder meeting for which all relevant stakeholder meeting Meeting stakeholders (i.e., the complainant, S3RBO, WUA, will be organized to Social/Finance Facilitator, PMSC, village or obtain/discuss a subdistrict local government ) will be invited resolution.

30. If the complainant not satisfied with the reply in Stage 3, he or she can go through local judicial proceedings. Figure 2 shows a schematic GRM for the construction phase.

Aggrieved Person / Farmer

WUA Head/Social-Financial Stage 1 Facilitator

If not 2 working days resolved

Stage 2 Public Complaint Oficer (PCO) appointed by S3RBO

14 working days DATA If not Multi Stakeholder Meeting resolved Stage 3

14 working days If not resolved

Stage 4 District Court

Figure 3. The GRM during Construction Phase 22

31. Monitoring and Evaluation. The implementation of the Action Plan (see table 10) will be included in the semi-annual monitoring reports to be prepared for the Gumbasa irrigation subproject by MPWH’s CPMU with the assistance of the Social Safeguards Specialist of the Project Management Consultant (PMC). The CPMU will submit the reports to ADB for review and disclosure on its website. The scope of the monitoring related to the rehabilitation of the twenty tertiary canals will focus on the functioning of the grievance redress mechanism, the types and number of grievances received and their resolution, and the impacts of construction.

V. INSTITUTIONAL ARRANGEMENTS

32. Executing Agency. MPWH is the executing agency for the EARR. MPWH established the CPMU to consolidate activities and reporting from the implementing agencies (IAs). MPWH selects and assesses subprojects according to subproject selection criteria and is responsible for monitoring the overall implementation of the EARR, including social safeguards.

33. Implementing Agency. The MPWH assigned the Directorate General of Water Resources (DGWR) as the IA for EARR’s output 2 with the S3RBO as the PIU (project implementation unit).

34. Social Safeguards Specialists. CPMU will be assisted by a Social Safeguard Specialist from the PMCin overall safeguard monitoring and reporting to ADB. S3RBO will be assisted by a team of the Project Supervision and Management Consultant (PMSC) which also includes a Social Safeguards Specialist. The Social Safeguards Specialist will assist in the monitoring the DDR’s corrective action plan, and in reporting to the CPMU. The PPC team that prepared the designs for the tertiary canal rehabilitation also includes a Social Safeguards Specialist.

35. Social/Financial Facilitators. To assist the WUAs in undertaking the rehabilitation works, two field teams will be mobilized, each team comprising a social/finance facilitator and a technical facilitator, will be mobilized. Each team will be assigned to assist specific WUAs throughout the reconstruction period. Social/Financial Facilitators' tasks will include mediating among the WUA members in case of internal disagreements/ disputes, records the disputes and resolution taken to be reported to the S3RBO monthly, and will keep record and prepare minutes of meetings conducted by the WUAs and their implementation committees. The Facilitator will undertake the task in close coordination with the Technical Facilitator.

36. WUAs will take a significant role in organizing the farmers for socialization and consultations, and to handling complaints who will works with the Social/Financial Faciliators and other stakeholders in resolving complaints

37. Village and subdistrict government. Project implementation should involve the village and sub district government in each phase of planning and implementation. Head of village and village representative bodies will help in organizing the community for consultations and socialization, and facilitate and mediate in addressing public complaints.

VI. COMPLIANCE ASSESSMENT AND CORRECTIVE ACTION PLAN

A. COMPLIANCE ASSESSMENT

38. The tertiary canals were developed more than 35 years ago. The then prevailing procedures were adopted for the development of the tertiary canal system and obtaining the ROW for the construction of the tertiary canals. The recent consultations revealed that the ROW was not acquired by the then executing agency but that the ROW was established through land donation. As summarized below, these consultations suggest that the then adopted procedures for land donations substantially complies with the criteria and requirements of the land donation procedures set out in the RCCDF.

Table 9. Compliance of the Originally Adopted Procedures for Tertiary Canal Development with RCCDF Requirements

No Land donation criteria Description Compliance status

1 The impacts are marginal (based on percentage of loss and minimum size of remaining assets); Documented information about the impact of the tertiary canal development in the 1970s in terms of land loss and impacts on The land donated does not livelihood of donating farmers are not exceed 5% of the total available. However, the recent consultations a land owned by the affected suggest that the portion of donated land was Compliant household. not significant compared with the area of land ownership; the average land ownership per household was larger at that time than present. The rehabilitation done after the donated The land donated does not farmes harvested their rice paddy or corns, b Compliant result in uncompensated there was no land assets affected by the permanent non-land assets donation. As descibed in para above the land donation Land donation will only be did not cause significant loss to the owners accepted if the total as the average land holding in the 1970s c land owned by the household was larger than present. Based on the IOL Compliant is not less than 300 conducted by PPC in 2020 to the 39 land m2 owners along the new tertiary canal, the average owned land was 11,700 m2/farmer. 2 Impacts do not result in displacement of households or cause loss of household’s incomes and livelihood The donated land is ricepaddy field, but the The land is not used for a donated area are not significant, no Compliant productive purposes adverse impact due to land donation. Only secondary structures are affected; there is No secondary structures on the donated b no physical relocation of land, there are no physical relocation due Compliant household due to the to project project and land donation. The affected household does The donation was done 35 years ago, no c not fall under the No data data on the vulnerability of donated parties category of poor or vulnerable

3 The households making land donations are direct beneficiaries of the project; Both positive and negative Consultations was conducted prior to the impacts of the project farmers decided to donate their land. a on the affected household are Project explained purpose of the Compliant considered rehabilitation and discuss on the potential impact due to rehabilitation plan. The affected household can Farmers/donated partied knews that the identify the project’s rehabilitation of tertiary canal will be b Compliant direct benefits to them improved supply water to their field, and this will imporved their land productivity.

4 Donated land is free from any dispute on ownership or any other issues; The affected household has The recent consultatios revealed that all the Compliant a recognized legal tenure. donated parties are land title holder (mostly has certificate already).

The land is not being The recent consultations revealed that there Compliant b occupied and/or used by any are no complaints/grievances regarding the other party. land that has been donated in the 1970s for the development of the tertiary canal The land is not in dispute for Compliant c system. They also emphasized that the its ownership existing ROW its free from any disputes 5 Consultations with the affected households are conducted in a free and transparent manner

Partially comply Action The consultation The affected household Currently practices, the land required for the for the next should be informed that they development of the tertiary network is voluntary donation have the right to receive obtained through voluntary land donations will be informed i compensation for their land as a form of farmer participation. The that they have the and the equivalent amount of donation is the project requirement on only right to receive compensation for the land one of the option to make land available for compensation for they wish to donate. the project. their land and the equivalent amount of compensation for the land they wish to donate,

The affected household The consultation revealed that the land receives clear and adequate donation process is preceded by ii information on the project, consultation with involvement of the village Compliant and participates in the project office and WUA’s head. After the planning. alignment and ROW for past tertiary canal rehabilitation were determined, the consultation meeting to reach an agreement on the land donation with the Provisions on voluntary donation are integrated into landowners was held. S3RBO would shift iii Compliant the decision making process the design alignment if any of the at community level. landowners were objected to donate the land, but this is not the case because all farmers finally agreed.

6 Land transactions are supported by transfer of titles;

The recent consultations revealed that the land donation in the 1970s was not Official land ownership i supported by transfer of titles; the donation Compliant document is updated. was based on perrmission to use the land for an unspecified time. No transfer of titles

7 Proper documentation of consultation meetings, grievances, and action taken to address such grievances is maintained . Agreement is properly Partially compliant documented with signatures i of affected person, [name of The recent consultations revealed that there Action : the borrower/client] and is no documentation of consultation Consultation and witnesses. meetings and grievances when the tertiary handling of canal system was developed in the 1970s. grievance will be Some documentation of consultations continued prior and Consultation meetings, during the SID of Gumbasa Tertiarry during construction grievances and actions taken Irrigation System Stage 1 in 2015 is of tertiary canal by ii to address such grievances available; the recent consultations for the WUA, includes are properly recorded rehabilitation of the tertiary canal system is information about documented in the DDR. . the GRM mechanism

Partially compliant Writtent agreements to donate the land for Voluntary donation will be the tertiary canal rehabilitation were Action : confirmed trough verbal and obtained during the SID of The next voluntary iii written by an independent GumbasaTertiary Irrigation System Stage 1 donation will be third party such as designated in 2015, but unfortunately, these confirmed by non-government organization agreements and supporting documentation written agreement or legal authority. kept at the S3RBO office were lost during And verified by and the 2018 earthquake event. independent third party.

39. The above summary shows that the past land donations related to the twenty prioritized tertiary canals for rehabilitation substantially meet the requirements set out in the set out in the RCCDF. Since the now proposed rehabilitation for these canals do not involve ROW issues and therefore does not require any form of land donation.

40. The rehabilitation of the twenty tertiary canals is in line with MPWH’s Decree No.30/2015. This decree clarifies that WUAs have the rights and responsibilities in developing and managing the tertiary irrigation system. In practice, tertiary canal development as well as rehabilitation is carried out based on an agreement among farmers, facilitated by the WUAs. In case land would be required for the establishment of the ROW, the land is obtained through voluntary land donation as a form of farmer participation. If the farmers refuse/objecte, the plan for tertiary canal development or rehabilitation is postponed until there is an agreement between them.

B. CORRECTIVE ACTION PLAN

41. Although no immediate specific issues have been identied that require a corrective action plan, actions to be implemented during the rehabilitation of the twenty tertiary canals are summarized in Table 10.

42. Meetings and consultations are required before and during construction with the topics such as : (i) the establishment of the WUAs’ “implementation committees” responsible for financial management and the coordination among the WUA members during implementation; (ii) the procedures for procuring construction materials and renting equipment/ transport facilities, (iii) review and verification of the design to ensure that the design is in accordance with the field conditions/ requirements, (iv) mediation among the WUA members in case of internal disagreements/ disputes. The consultations/meetings will be facilitate by the Technical and or Social/Financial Facilitators assigned by S3RBO.

43. Unexpected impacts during construction. Potential impacts of the rehabilitation of tertiary canals would be minimal as the works will be done during periods when there will be no or limited need for irrigation water. This will be mainly in the period between November to March , the palawija crop season. Furthermore, since the people undertaking the rehabilitation are the farmers using the canal, they will make sure that the impact will be minimal. WUA members will restore any damages to agriculture paths or public infrastructure as per pre-construction conditions.

Table 10. Corrective Action Plan Item Timeline Q2 2021 Q3 2021 Q4 2021 Q1 2022 Responsibility Party DDR, GRM and monitoring ADB, CPMU and reports posted on ADB and x x x S3RBO S3RBO website - S3RBO (PCO), Established and PPK staff operationalize GRM (GRM x x x x - Social/Financial settled and recorded) Facilitators Consultation and periodic WUAs, Social/ meetings with farmers and x x x x Financial Facilitator WUA S3RBO, PPK Staff - PMSC assisted by Social/Financial Monitoring and reporting x x x Facilitator - CPMU