OPERATIONAL GUIDELINESJSDF (JAPAN SOCIAL DEVELOPMENT FUND) GRANT

Improvement of Governance for the Continuity of Livelihood of Indigenous people in the area surrounding the Forest

12 JUNE 2012

IPP582

1

TABLE OF CONTENT

LIST OF ACRONYMSFOREWORD

Aliansi Masyarakat Adat Nusantara (AMAN)Who is the Indigenous People

DefinitionLegal Framework pertaining to indigenous people

Objectives of the Guideline Overview of JSDF ProjectOrganizational Structure of the Project

MECHANISM OF ACTIVITY AND DECISION MAKING PROCESS

BUDGETING AND REPORTING SYSTEM

PROCUREMENT

MONITORING AND EVALUATION

COMPLAINTS HANDLING MECHANISM

LIST OF ATTACHMENTS1. Participatory Mapping Guideline2. Procedures of Registration of an Ancestral Domain 3. GIS and Database Guideline4. Guideline on Application of Social and Environmental Safeguard5. Working Mechanism with Management of AMAN for Regions and Domains 6. Format of Financial Statements to the World Bank7. Format of Mid Semester Narrative Report 8. Format of Activity Narrative Report (training, workshop, etc.)

2

LIST OF ACRONYMS

AMAN : Aliansi Masyarakat Adat NusantaraBRWA: Badan Registrasi Wilayah Adat (Ancestral Domain Registration Agency)JSDF: Japan Social Development Fund PB AMAN: Pengurus Besar of Aliansi Masyarakat Adat Nusantara / Senior Management of Nusantara Indigenous peoplePW : Pengurus Wilayah / Domain ManagementPD: Pengurus Daerah / Regional ManagementJKPP: Jaringan Kerja Pemetaan Partisipatif / Participatory Mapping Working NetworkFWI: Forest Watch Indonesia PIU/UPP: Project Implementation Unit/Unit Pelaksana Proyek

3

FOREWORD

Aliansi Masyarakat Adat Nusantara (AMAN)

AMAN is a public organization in a form of an Alliance, members of which constitute an association of Ancestral Communities. AMAN was established on 17 March 1999 in Jakarta for an indefinite term. Senior Management of AMAN is in the Capital of Republic of Indonesia. Sovereignty of AMAN is in the hands of the members and is fully executed through a Kongres Masyarakat Adat Nusantara / Nusantara Indigenous people Congress, or referred to as KMAN.

AMAN is independent and non-profit in nature, its function is as an umbrella organization for Ancestral Communities sharing the same trials and tribulations as victims of oppression, exploitation and whose ancestral rights had been taken by force and who intend to realize an indigenous people that is politically independent, economically independent and culturally dignified.

To defend and empower the rights of Indigenous people. To accommodate, combine, channel and fight for the aspirations and interests of Indigenous people as well as increasing political and legal awareness and to prepare cadres of activators of Indigenous people in all aspects of life as a community, nation and country.

Who is the Indigenous people?

Definition

Indigenous people is “a group of people living based on origins of their ancestors for generations in an ancestral area, which has sovereignty upon land and natural resources, a culture social life regulated by customary law and customary institution to manage the continuity of the life of its community” (Kongres Masyarakat Adat Nusantara, 1999).

An indigenous people is a community who has lived for generations in a certain area and who has historical, spiritual and cultural attachment with its ancestor’s land/area, which is regulated and managed based on local distinct customary system that is different from the generally applicable social, political and legal systems.

With such characteristics and the difference from other social groups, therefore each Indigenous people identifies itself based on some or all of the following criteria:

1. A presence of a group of people who are still attached to certain spirituality, values, attitude and behavior and which differentiate them as a social group from other social groups.

2. A presence of a certain living area, within which there is land, forest, sea and other Natural Resources, which are treated not only as production goods (economy) to meet the need in daily lives (source of livelihood), but as a whole part of a religion and social-culture system of the social group.

3. A presence of an activity based on mutual knowledge system which is continuously enriched / developed in accordance with their need to sustain their lives.

4. A presence of regulations and communal living management order (customary law and customary institution) that develops in accordance with the applicable mutual value system.

Legal Framework pertaining to Indigenous people

Constitution 1945 Third Amendment Version article 18b paragraph 2:

The State recognizes and respects the ancestral legal community units along with their traditional rights as long as they are alive and in accordance with the development of community and principles of Republic of Indonesia, which is set forth in the laws.

Agrarian Principal Law No.5 of 1960, article 2:

4

(1)Based on the provisions in article 33 paragraph (3) of the Constitution and matters as stated in article 1, earth, water and the airspace, including the natural resources contained therein, at the highest instance, are controlled by the State, as the Authoritative Organization of the People.

(2) The State’s right to control stated in paragraph (1) of this article grants the authority:a. to regulate and implement the appropriation, utilization, supply and cultivation of the earth, water and airspace;b. to determine and regulate the legal relations between persons and earth, water and airspace,c. to determine and regulate legal relations between persons and legal acts concerning the earth, water and air space.

(3)The implementation of the aforementioned State’s right to control may be assigned to autonomy territories and ancestral law communities, if necessary and not in violation of the national interest, according to the provisions in the Government Regulation.

And article 22 paragraph 1:

The origin of entitlement according to the ancestral law is regulated by Government Regulation.

Human Rights Law No 33 of 1999, article 5 paragraph 3:

Any person included in the vulnerable community group is entitled to receive better treatment and protection in relation to his special condition.

Decision of MPR No.9 of 2001 pertaining to Renewal of Agricultural and Management of Natural Resources, article 4 point j:

Renewal or agriculture and management of natural resources shall be implemented in accordance with the following principles:

j. To recognize, respect and protect the rights of ancestral legal communities and the diversity in national culture on agriculture / natural resources;

Law No. 27 of 2009 pertaining to Management of Coastal and Small Islands Area: In Article 61 (paragraph 1) “The Government recognizes, respects and protects the rights of Ancestral Communities, traditional communities and Local Wisdom on Coastal and Small Islands Area that have been used for generations” and (paragraph 2) “Recognition of rights of Ancestral Communities, Traditional Communities and Local Wisdom as stated in paragraph (1) shall be established as reference in the sustainable Management of Coastal and Small Islands Area”.

Law No. 32 of 2009 pertaining to Protection and Management of Environment: In Article 63 (paragraph 1 point t) “To determine policy on procedures of recognition of existence of ancestral legal communities, local wisdom and rights of ancestral legal communities related to the protection and management of environment” and Article 70 (paragraph 3 point e) “To develop and maintain the culture and local wisdom in the event of preservation of functions of environment”.

Indonesia signed the United Nations (UN) Declaration on Rights of Indigenous people in 2007 and ratified international instrument pertaining to Human Rights, such as: ICCPR, ICESCR, ICERD, CEDAW and ICRC

Objectives of Guidelines

5

Project Leader

Directive Committee

Secretary General (Executive)

National Council

Monitoring and evaluation (most done in participatory

manner) Project Administration (Project Manager,

Administration, Finance)

Project's Organizational Structure

Project Executant: Pemetaan

Project Executant: Increase in Income

Project Executant: Training

This Operational Guidelines constitute technical and operational guidelines for Senior Management (PB) of AMAN in managing, implementing programs, and regulating granting of sub-grant in the Japan Social Development Fund (JSDF) project.

Project Overview: Japan Social Development Fund (JSDF)

The objective of the grant is to improve the livelihood of 250 ancestral communities located in 10 primary forest provinces and to increase the capacity of indigenous people to participate in and profit from the development of policy on forestry at national or international level.

The aforementioned objective is achieved through building of the capabilities of the indigenous people in organization, technical and entrepreneurship. This objective shall be achieved through the implementation of the following 4 components: (i) promotion and planning of participatory land use, (ii) improvement of the organizational capacity of the indigenous people, (iii) development of capacity of efforts to increase income based on culture and non wood forest resources, (iv) project management promotion, monitoring and evaluation and dissemination of knowledge. In each joint activity in the four aforementioned components, where there are banners, project notification boards, etc, JSDF logo shall be affixed.

Promotion of land use planning, including training on how to use GIS and participatory mapping effectively and building of Badan Registrasi Wilayah Adat (BRWA).

BRWA is an institution established pursuant to letter of decision of Pengurus Besar Aliansi Masyarakat Adat Nusantara (PB AMAN). In this initial phase, AMAN in cooperation with Jaringan Kerja Pemetaan Partisipatif (JKPP) and Forest Watch Indonesia (FWI) established BRWA, with principal duties and functions: (1) Accept registration of ancestral domains; (2) Conduct verification of ancestral domain data; (3) Conduct validation of methodology of ancestral domain mapping; (4) Publicize (announce) map of the domain and profile of the indigenous people; (5) Provide information for the indigenous people recognition and protection; Provide information for planning and layout of ancestral domain

Organizational Structure of the Project

6

SecGen of AMAN: To represent AMAN in binding cooperation contracts with donor institutions To become the primary responsible party in project implementation To recruit and legalize project implementation organization, equipped with its working

mandate through a Letter of Decision (SK) To ensure that the project actually contributes to the achievement of missions of AMAN To submit Project Accountability Report to the Donors

Directional Committee:Consisting of representatives of Board of AMAN and SecGen of AMAN, which meet at least once a year:

To conduct review and accept work plans drawn up by Project Leader To conduct review on Project development To make recommendations towards Project implementation

Project Leader: To direct the implementation of project to be in accordance with the objectives and

cooperation contracts with donor institutions. To distribute tasks and responsibilities to all project executants leaders and coordinators in

accordance with their respective roles. To coordinate project implementation by all members of Project Executant in accordance

with work plan and distribution of respective roles To draw up report on project implementation periodically in accordance with necessities and

contracts with donor institutions. Together with executants coordinator, to draw up project reports for, among others, donor

institutions, in accordance with contracts. To communicate progress and results of projects to various parties in need.

Project Manager: is responsible to assist all administration aspects of the project, including ensuring that all financial, procurement, project development, external audit reports, etc, are in accordance with expected standards and are punctualFinancial Consultant (two persons) is responsible:

To guarantee that the finance procedures are in accordance with regulations as agreed based on provisions on grant and sub-grant.

To assist Project Leader in management of financial of JSDF grant program To draw up routine reports (monthly, quarterly, semester, and annually) on finances of

activities. To assist in the compilation of proposal for annual budget for activities, including necessary

revision on budget. To draw up report on use of finance and verification of financial and procurement

accountability To submit request on replenishment of funds in account, with due observance of

consolidation report. To provide documents needed in the audit process To settle financial accountability, for the process of management, procurement, audit and

reporting to donors. To verify the authenticity, validity and completeness of documents supplementing the AMAN

financial transactions on this grant (including project transactions in PD, PW and Sub Grantee).

To conduct routine financial monitoring towards PD, PW, and Sub Grantee

Administration Consultant is responsible for: Reviewing the quality and completeness of documents that need prior review by the World Bank,

as well as providing technical assistance in procurement process that does not need prior review. Performing correspondence activities in relation to the implementation of the activity

7

Filing all documents of personnel of the Secretariat and cooperation activities Managing program administration necessity Preparing semester and annual reports in relation to the implementation of the activity

Evaluation Consultant:a. To draw up reports on baseline condition of the groups of indigenous peopleb. To evaluate outcome of activities in accordance with the framework stated in project

agreement documents. (Project achievement report)c. To incorporate the results of monitoring and evaluation into the study report, which consists

of mapping study, indigenous people building study, study on how to improve technical capacity in relation to the need of the indigenous people (Reports on Studies on these three aspects)

d. To incorporate a-c into the annual project development monitoring report. (annual report)e. To ensure the implementation of external audit (External audit report)

The three Project Executants: To carry out duties/activities in accordance with the methods and schedules determined in the

work plan. To report the development in the implementation of duties / activities routinely to Project

Leaders, including the obstructions faced, if any. To assist Project Leaders in drawing up project reports, among others to donors, in

accordance with contracts.

Project Executant in Mapping: is responsible for ensuring that all mapping activities, such as those stated in these guidelines, are well implemented, in accordance with these guidelines and participatory mapping facilitation modules developed by JKPP, and are carried out within the time frame and quality expected.

Project Executant in Training: is responsible for coordinating and carrying out all trainings mentioned in these guidelines and planned in this project within the time frame and quality expected.

Project Executant in Efforts to Increase Income: is responsible for coordinating the following: a. Development of non wood income in at least 20 regionsb. Development of joint businesses (at least 4 units).c. Providing of and education in utilization of working capital to joint businesses, which have

started to become well institutionalized and organized (at least for 20 ancestral women groups).

d. Development of sustainable access to markets (joint exhibitions and development of one trading house).

e. Necessary reports.

All of the aforementioned units are referred to as PIU (Project Implementation Unit)

Key Indicators of Achievement of Impacts

INDICATORS OF ACHIEVEMENT OF IMPACTS

MEASURED TARGETS

Participatory mapping Completion of 250 maps of ancestral communities and their land use.

Increase in the capacity of participation of indigenous people in dialogue on policy on national forest and land.

At least 10 local ancestral organizations are involved in discussion on policy on forest and there are at least 5 proposals on forest management that are under development

Capacity of representatives of ancestral 1,545 are directly involved in mapping and

8

communities, including representatives of women, representatives of local organizations of vulnerable communities in mapping and entrepreneurship

joint businesses.

Improved livelihood and welfare of local ancestral communities through increase in income from joint businesses of the communities.

Increase in income by 30-50% of at least 30 joint businesses of ancestral communities

Project Costs and Funding

This project is funded by grant from the Japanese Government, with details as follows:Total Grant received by AMAN : USD 2,857,143Total Grant for Bank Incremental Cost : USD 142,857

Total Grant : USD 3,000,000

Details on cost of activity component:Component 1: Participatory Land Use Planning: USD 1,282,649Component 2: Capacity Building for Community-Based Organization : USD 578,800Component 3: Forest Resource &Cultural-based Income Generating Activities USD 635,500Component 4: Administration, Project Management, Monitoring & Evaluation : USD 360,694

Location of ProjectThis project shall target ancestral communities in ten provinces, including: Central Kalimantan, East Kalimantan, West Kalimantan, Papua, West Papua, Jambi, South Sumatra, Aceh, Riau and Central Sulawesi.

9

MECHANISM OF ACTIVITY AND DECISION MAKING PROCESS

Components of Project

This project consists of 3 components other than administration component:

Component 1: Participatory mapping and ancestral land use.

Announcement. Secretariat of Pengurus Besar AMAN is to announce to its members through AMAN organizational channel (through Domain and Regional management) the opportunity to continue the Mapping and Land Use for Ancestral communities. Regions that would like to be assisted in their participatory mapping through this project are asked to submit requests along with the following attachments:

1. Information on ancestral land and domain belonging to the community that is about to be mapped

2. Information that the concerning community is indeed in accordance with the indigenous people criteria set forth by AMAN.

3. General overview on the social economic, cultural condition of the local indigenous people4. Issues currently faced by the indigenous people that are one of the important reasons of the

mapping and issues that may occur during the mapping process subsequently.

Selection. This project expects to successfully complete 250 participatory mapping activities and carry out at least 100 mapping activities up to registration at BRWA.

1. Proposal for mapping is submitted to Manager Project through Region Management and/or Domain Management in accordance with organizational mechanism. Communities without Regional Management and Domain Management may submit the proposals directly to the Project Manager

2. Project Manager together with Project Executant in Mapping shall generate a list of priorities based on the aforementioned and propose it to the Pengurus Besar AMAN for consideration in making decisions. The List of Priorities shall be equipped with results of analysis on proposal of Mapping that is the base in determining the list of priorities.

3. Thereafter, Pengurus Besar AMAN shall make an Announcement of domains to be mapped.

Training for Facilitators. Dissemination concerning this participatory mapping, aside from conducted through organization channels mentioned above, can also be conducted through a process of trainings and workshops (in 50 AMAN regions) on the importance of participatory mapping in ancestral domains (which then be registered at BRWA), issues that need attention in conducting mapping as well as basic techniques in participatory mapping, including techniques in applying GPS, mutual decision making techniques, etc. Technical training is expected to generate 18 experts in ancestral mapping and 36 experts in GIS mapping technical.

Mapping. Participatory Mapping is carried out after the announcement by the Pengurus Besar AMAN. The following process is to be carried out in each of the regions:

a. The implementation of mapping and evaluation on control over quality of mapping, process of which includes: (i) discussion on understanding participatory mapping and mapping ideas, (ii) establishment of mapping committee at community level, (iii) make important rural agreements (objectives and benefits), (iv) establishment of mapping planning, (v) advanced training on mapping (initial training has been done in the above training phase), (vi) mapping survey, (vii) map drawing, (viii) map validation and finalization, and (ix) registration of ancestral domain to BRWA.

10

b. Compilation of subsequent plan on development of area management based on culture-based layout, which includes (i) preserved area, including sacred area (ii) utilization area and (iii) residential area.

c. Phases as mentioned in the above points a and b refer to Guidelines of JKPP and BRWA pertaining to participatory mapping and registration of ancestral domains (see attachments 1 and 2).

Component 2: Organizing Capacity Building at Base level

The activities include: Organizational capacity building for mapped communities (at least in 18 locations) Indigenous people-based forest management training, including model acquires replacement

for ecosystem service, including improvement on guidelines currently applied by AMAN (at least 18 times)

Sharing experiences amongst communities members of AMAN (at least 30 times) Workshops (at least 9 times) and trainings for ancestral women to improve their capabilities

in decision making, whether at community level, organizational level or in public. Training also includes policy on forestry.

Component 3: Improvement in capabilities to increase income from communities that have conducted mapping.

As a part of follow up on results of mapping activities for plan of joint use of ancestral land, the following analysis and activities are carried out:

a. The possibility of development of non wood source of income (in at least 20 areas). The possibility is based on analysis on existing products and/or those with the most potential to be developed.

b. Making plan on joint priorities business development (whether in the form of cooperatives or others, at least 4 units).

c. Making plan for institutionalization and development of joint business entities and analysis on their sustainability in the next 3-5 years, including this business management plan, its SOP and accountability system.

d. The need for working capital for joint businesses that have started to become well institutionalized jointly among villages (at least 20 groups of increase in women’s income are supported, amount of funds granted shall be a maximum of IDR 275 million per proposal per group). Working capital is granted based on joint analysis on the need of the existing groups. The plan for need of working capital is divided into 3 terms, disbursed within maximum 18 months.

e. Plan to develop sustainable access to markets (joint exhibitions and development of one trading house). There are analysis on marketing possibilities, sales channels and market potentials in the next 3-5 years.

f. The possibility of supports from other parties.

The aforementioned points (a-f) are incorporated in the proposal for capital aid to PB AMAN by the communities from regions or domains that have already been mapped and registered to BRWA or are to be mapped by this project. This proposal is drawn up with the assistance and training from the mapping team and project team, which shall coordinate, or if necessary visit the related regions.

Selection on capital granting constitutes the continuance of result of selection of participatory mapping carried out by a team established by PB AMAN, wherein at least there are members who are experts in small loan funding for groups and experts in marketing of non-wood products of the ancestral communities.

Funding is granted in 3 terms (50%, 30% and 10%) whereby the following term shall be granted after the accountability report for the previous term has been approved by the financial administration team

11

of PB AMAN. The final term is to be given in less than 18 months from the first term after the approval of its report by PB AMAN.

Funding shall only be given to regions with ancestral domain maps registered to BRWA or which shall be mapped in this project. Funding shall be given through contract (2 copies of contract signed by both parties: Project Leader and representatives of communities). The first term shall be disbursed immediately after the contract is signed after the plan for disbursement proposed in the proposal.

Principles in carrying out this project.

Gender Equality: Project Planning and Implementation shall orientate towards the fulfillment of rights of Ancestral Women. For such, Ancestral Women must participate fully in the decision making process in their respective communities; in the project implementation and evaluation. Their involvement must be reflected in the Absent List, minutes of meetings and in the decisions. Activities financed by the project must allocate minimum 25% of the total funds to women groups.

Transparency: All results, procedures, criteria benefiting from the project shall be publicized in the form of Periodic Update (at least quarterly), which shall be distributed through media used by AMAN such as: Website, Newsletter, discussion of members of AMAN and Mailing List managed by AMAN.

Participation and Democracy: All ancestral groups members of AMAN:a. Shall accept these guidelines and may ask regarding their opportunity in this project before

the existing opportunities are missed. b. Shall be entitled to reject or agree to participate in the project activity in accordance with

these guidelines.c. The whole decision making process within the indigenous people shall be carried out in

accordance with the local mechanism, as long as it does not violate the principles of gender equality, equality and excerpts of Human Rights Law in these guidelines (the principle of equality and the special condition of vulnerable groups shall be prioritized).

Diversity and Equality: To uphold the diverse systems of customs and culture. There is not one or a number of groups that are more esteemed or special than the others. In a decision making process or in receiving benefits, all groups shall benefit.

Inclusive: To ensure that there is no part of the community that is discriminated and left out in the decision making, project planning and implementation. A procedure that is sensitive to vulnerable groups such as children, women, youth, minority, groups that are difficult to reach, vulnerable groups and people with special needs, is needed.

Respect to Human Rights: Each activity and Project shall orientate towards protecting, improving and fulfilling the basic freedom and human rights of indigenous people and human rights contained in Human Rights Law or the aforementioned UN declaration, whether as an individual or a group.

Negative List: To guarantee the implementation of social and environment policies (as attached in Attachment 4), therefore the Project sets forth a Negative List as follows:

a. Financing for activities related to military or armed forces, financing for political activities or political parties.

b. Construction or rehabilitation of government offices or religious activities facilities. c. Purchase of arms, explosives, asbestos and other materials damaging the environment

(pesticide, herbicide, prohibited substances, etc.). d. Purchase of fishing boats with tonnage exceeding 10 tons and the equipments. e. Salary of government employees. f. Activities employing underage children. g. Activities related to production, storing or sale of goods containing tobacco.

12

h. Activities taking place within protected area, unless there is a written permit from the Ministry having jurisdiction over the concerned location. Activities damaging the protected area under the control of indigenous people without FPIC by the concerned indigenous people.

i. Mining or extraction and utilization of corals (alive or not) activities that damage the nature and or non-sustainable.

j. Activities related to management of source of water from flowing rivers from or to other countries.

k. Activities of changing the current of streams or rivers. l. Activities related to reclamation of land of over 50 Hectares (Ha). m. Construction of dam or water reservoir with capacity larger than 10,000 cubic meter.n. Activities with the potential of land acquisition and resettlemento. Economic activity with the potential of damaging the environment (whereby the activity

requires AMDAL or UKL/UPL)

Process of Determination of Recipients of Small Grants: 1. Acceptance of Proposal is conducted once every semester.2. Proposal shall follow the Form provided by Project Manager (Attachment) 3. Proposal shall be delivered to the Administrator through emails or postal service. 4. Administrator shall make a summary of proposals received and send all of the Full Proposals

to the Proposal Evaluation Team. 5. Project Manager and Selection Team may offer suggestions / submit to the proposal

themselves, concerning whether the substance or budget6. Official announcement concerning Proposal Approval shall be conducted by Project Leader

through Mailing List, Website and Newsletter. 7. Approved proposal shall be followed up by the drawing up of sub grant agreement contract by

Project Executant, the language to be used in the contract is Bahasa Indonesia8. Draft of contract are conveyed by Project Executant to candidates for partner for study and

approval, when agreed, then 2 copies of the original contract shall be signed by Project Leader, sent to the partner for signature by Director of Organization (Project Leader), and then returned by the Community to the Project Executant

9. Payment: When the contract has been signed by both parties, the first payment can be conducted to the community.

10. Payment is to be done in 3 phases (50%; 40; 10%) and the community shall notify upon receiving funds in its account.

Process for facilities of training, workshop, technical assistance, sharing of experiences.1. This facility is available for activities in components 1 and 2.2. Implementation Reference Framework of activity is made by the Project Executant and

approved by this Project Leader.3. The Reference Framework is then conveyed to PD AMAN and acknowledged by PW AMAN4. PD AMAN shall send the proposal for the need for trainings / workshops / Sharing of

Experiences to the Project Executant with copies to each PW. 5. Project Executant shall compile and consolidate information conveyed by PD and submit

proposal for implementation of activity to the Project Leader, upon receiving input for the Finance Manager.

6. Funds shall be sent in 2 phases, the first phase is amounting to 80% and the final payment is to be conducted after the training / workshop is concluded and report has been received by the Executant Team; Regional Manager shall notify upon receiving the funds in their account

7. Finance management in cooperation with PD and PW is regulated in Attachment 5 of these operational guidelines.

13

BUDGETING AND REPORTING SYSTEM

Bank Account Operation

A. AMAN shall open a separate Bank account only for the project. Project’s bank account shall be operated under joint signatures of at least three persons. However, signatures of two persons – at least one of the Pengurus Besar (SecGen or director) and one of the members of project management team, shall be necessary for withdrawing money from the bank, or for issuing cheques.

B. AMAN shall prepare monthly bank reconciliation report.

Period of Project, Budget and Transfer of Funds to the Organization

A. For the implementation of planned activity of project for 36 months from April 1, 2012 up to 31 March 2015. AMAN shall comply with JSDF policy on use of funds and transfer of funds to recipients of funds.

Financial Report

A. AMAN shall submit financial reports in format as determined by WB quarterly, which is to be conveyed at the longest within 45 days after the end of the quarter. Format of financial report is as attached in Attachment 6 .

B. Each financial report shall follow the project budget and expenditures shall be recorded in the report against each item of the budget.

C. Each fund recipient shall submit financial report as stated in the Cooperation Contract.

D. Supporting documents, such as the following, shall be submitted along with the financial report:

Proof of Receipt of Funds / Proof of Transfer

Bank Statement

Bank Reconciliation

E. All original receipts and not photocopies

F. Financial reports shall be made in English and Bahasa Indonesia

G. The following is the format for JSDF funds:

1. Mid Semester Narrative Report (Attachment 7)

2. Narrative Report for Activities (training, workshop, etc.) in JSDF Project (Attachment 8)

3. Financial Report of JSDF Project (Attachment 6)

Accounting and Data Recording System

A. The organization shall apply double-entry bookkeeping system.

B. The organization shall use Accurate financial software.

C. Bookkeeping (such as cash book, ledger, etc.) shall be accurate and up-to-date.

D. All expenses shall be in accordance with items in the budget. For instance, expenses for stationery may not be used for meals.

E. Expenses for each activity shall be recorded clearly in an account and shall be easily identified and verified in accordance with items of budget.

14

F. Account shall include details on interest, tax, administration, in the bank account of this project.

G. AMAN shall match the financial report at least quarterly with the accounting system and notes.

H. For foreign currency exchange value, AMAN shall use the foreign currency exchange value that applies on the date the bank receives the funds. This figure shall be used for the entire period of financial report.

Expenses and Supporting DocumentsA. Expenses for each item shall be easily identified, verifiable and supported with necessary

supporting documents, such as issuance of invoice and memo, etc., supporting documents shall be available in documentary film form, such as paper, electronically received form, or others, and they shall be available in original form and not photocopy or facsimile.

B. Documents or receipts shall be received from an independent source outside the organization. For an example, an invoice from supplier of goods. The following is s number of original documents that must be gathered and filed:a. Proof of payment of Salary b. Proof of payment of Per diem c. Proof of payment of Invoices for accommodationd. Proof of payment of office lease, car rental, and communication expenses (such as telephone

bill)e. Proof of purchase of goods / materials, such as office supplies, papers, pens, inks, etcf. Proof of payment of printing costsg. Proof of Payment of Honorarium h. Bank chargesi. Reimbursement for business tripsj. Receipt for cost of meals or local transportation if there is no original proof available in

accordance with PB AMAN Operational Manual

Financial Audit

Annual audit shall be conducted by AMAN. For audit, the partner organization shall submit to PB AMAN original supporting documents of all expenses, along with the financial reports – interim reports and final report. Audit on the project shall be conducted annually based on ToR approved by the World Bank. Audit Report shall be submitted to the World Bank at the longest within 6 months after the end of year.

Disbursement of Sub-Grant

See Guidelines on Sub-Grant (shall constitute a separate Operational Guidelines on Sub-Grant)

15

PROCUREMENTGeneral ProvisionsThis Chapter explains the implementing regulations of procurement and spending of goods and services conducted by AMAN, which is entirely financed by JSDF grant. The entire procurement shall be implemented by applying a procurement method that is efficient, effective, transparent, competitive, fair and accountable. The party providing the funds shall receive confirmation that the procedures / method of procurement applied shall result in:

a. Price that is competitive and does not have adverse impact on the adequacy and economic benefit and finance of the project.

b. Qualified partner that is capable of carrying out the work in accordance with the project’s objectives and benefits and completing the work punctually.

The guidelines on procurement of consultant services, procurement of goods and services shall be compiled with reference to Grant Agreement, Guidelines Selection and Employment of Consultant (GSEC) by World Bank Borrowers, and Guidelines: Procurement under IBRD Loans and IDA Credits.The procurement guidelines shall become the guidelines for project implementation team in carrying out the process of procurement in an accurate, transparent, competitive, fair and accountable manner, thus acquiring qualified goods and services at the responsive lowest price.Bidding Document for Procurement of Construction Goods and Services or Request for Proposal/RFP Document for Consultant Services shall refer to the form issued by the World Bank, namely Standard Bidding Document and Standard RFP. The project team shall be responsible for distributing the documents to the concerning parties. Bidding Document issued by the World Bank may be used because currently no document has yet been determined as National Standard Document.

Procurement PlanProcurement Plan constitutes a mutually agreed upon tool by the World Bank and AMAN as reference for the implementation and monitoring of process of procurement of goods and services. The Procurement Plan shall be compiled by the project implementation team for procurement at central level. Procurement Plan may be updated in accordance with need, and acquire No Objection Letter (NOL) from the World Bank.The Procurement Plan shall contain the following:

a. Type of goods or consultant services to be implemented;b. Procurement procedures / methods to be applied;c. Distribution of packages of each type of work;d. The amount of allocation of budget;e. Source of financing; andf. Timeline for process of procurement, including timeline for sending the documents to the

World Bank for acquiring NOL/No Objection Letter

To support a transparent process, Procurement Plan shall be publicized in AMAN’s website at www.aman.or.id

The method of procurement of goods / services applied in the project financed by JSDF grant shall refer to the Procurement Plan that has acquired NOL from the World Bank.Procurement ReviewPrior ReviewPrior Review is a number of particular phases of the process of procurement of goods and services, whereby it is necessary to first acquire NOL (No Objection Letter) from the World Bank. The threshold for the contract and Procedures for Prior Review are available in the Technical Guidance on Procurement.Post ReviewIn a Post Review, all procurement documents, including contracts, do not need to be submitted to the World Bank for approval or response, but instead are kept in PIU (Project Implementation Unit) until 2 (two) years after the end of period of grant (Grant Closing Date).

16

The World Bank shall conduct a review after the procurement (post review) is conducted on the procurement package, which is not included within the limit of prior-review . Procurement contracts imposed with post review shall be randomly selected. Documents reviewed by the World Bank are copies of bidding document and contracts that are signed.

Procurement MethodMethod of Procurement of Goods and ServicesA number of methods as identified in the Procurement Plan for JSDF Project:A. Procurement with Shopping method.

Shopping may be applied for procurement of goods with value < USD 50,000. Shopping is a procurement method that compares price quotations from several suppliers of goods, minimal 3 (three), to guarantee a competitive price. This method is suitable for procurement of goods with standard specifications or goods that are available in the market. The proposal of offer shall indicate the description and total of goods and expected time and place of delivery. The offer may be submitted in the forms of letter, facsimile or electronic mail. Evaluation on offers shall follow the principles of open bid. Requirements of offers received shall be stated in the purchase order.

B. Methods of Procurement of Consultant Services and Other ServicesMethods of procurement consultant services or other services are as follows:(A). Consultant Qualifications Selection (CQS)

CQS, or selection based on qualifications of the consultant, is applied for simple types of work, whereby compilation and evaluation of proposal are unnecessary. Users of services shall send a request for expression of interest and information of qualifications to consultants, whose experience and competence are relevant with the work on offer. Users of services shall evaluate, short-list and select a company, whose qualifications and reference are the best amongst all who submit proposals. RFP shall be given to the selected consultant, who is invited to submit technical proposal and cost proposal, and who thereafter is invited to a negotiation of contract if its technical proposal is proven to be adequate.CQS shall cut down the cost of procurement incurred by users of services and consultant, as well as reducing the time necessary for procurement activity. This method is most suitable for application if post qualifications and experiences of consultant are the deciding factors, while the technical proposal is unable to disclose additional or important information on the suitability of the consultant with the offered work.

(B). Individual Consultant The Individual Consultant method is applied to implementation of consultancy services activities with the following characteristics:

1. No team work is necessary2. No additional operational support (office) is necessary3. Experience and qualifications of individual consultant are deciding factors

In the IC method, advertising is not a requirement, and consultants do not need to submit offers. Consultant may be selected through comparison of at least three individuals. Evaluation on capabilities of consultants is based on academic background, experience, knowledge on local condition.

SpendingIn project spending, whether at Central or Regional level, project implementation team shall spend the grant fund by completely following the Operational Guidelines of this Project, in accordance with the Benchmark of spending contained in the Procurement Plan. (a) Change in Procurement Method for Spending

Change in Procurement Method for spending of JSDF Project, from Procurement Plan contained in the Proposal is allowed upon approval from the World Bank.

(b) Provisions on Misprocurement

17

1. If the procurement of goods and services in JSDF project conducted at central level and District / Municipality level is not in accordance with the procedures set forth in the Grant Agreement JSDF and Procurement Plan that has received NOL from the World Bank or if the information conveyed to the World Bank in relation to the request for NOL is incomplete, inaccurate or misleading, then the World Bank shall revoke or postpone the NOL that has been granted and ask PIU to make revisions in accordance with the provisions on procurement of goods and services.2. However, if thereafter PIU fails to make the revisions, then the World Bank may declare misprocurement, which means that the package on bidding cannot be funded from JSDF grant as the entire grant allocated for such package is cancelled.3. If evidently a part of the allocation of grant fund has been used, then the World Bank shall have a discussion with AMAN team regarding returning of used funds.Grouping of JSDF work packages into Prior Review and Post Review has been agreed by AMAN and the World Bank, as presented in the following tables:

Table 1: Procurement of Goods

Table 2: Procurement of Consultant Services – Company

18

Table 3: Procurement of Consultant Services – Individuals

19

MONITORING AND EVALUATION

In the context of evaluation and reflection of improvement in quality of performance and processes of study conducted jointly with all parties involved in this project (PB AMAN, Domain Management, Project Staff, Regional Management and community). This is carried out by applying the decision making mechanism used in the relevant community, and also through visits to the community (supervision by project staff and donor).

Issues included in monitoring and evaluation:

a. Implementation of Project administration (referring to Framework of Reference of Evaluation Consultant), including open publication of results of evaluation of selection of proposal and economic activities financed, including documents of the proposal receiving the funds.

b. Project development based on achievement of targeted objectives.c. Challenges faced during project implementation, whether at manager or community leveld. Confirmation of implementation of Safeguard Framework for Social and Environment,

including full involvement of ancestral women and youth in project implementatione. Each monitoring and evaluation meeting shall be documented by project staff.f. Results of monitoring and evaluation may become reference materials for the Project

Directional Committee in providing strategic recommendations for project implementation.

20

MECHANISM OF HANDLING OF COMPLAINTS

Complaints, questions and clarifications may be conducted by individuals or groups openly or in confidence (unanimous). Complaints should be clear in terms of issue, time and relevance with implementing individual or activity.

Mechanism of Conveying of Complaints a. Complaints are to be directly conveyed to PD, PW and PB AMAN with copies to other

managements. Complaints can be made verbally, through letters, electronic letters, text messages, telephone calls, facsimile, and others.

b. If not in confidence or unanimous, the party conveying the complaint should give his full name or his organization and his position in the organization as well as address of the organization, email address, telephone or facsimile number, if different from the address given when conveying the complaint.

c. Complains should be clear in terms of the issues and the expected settlement.d. If necessary, the party conveying the complaint may ask that the confidentiality of the party

conveying the complaint to be guaranteed by PD, PW, PB AMAN and or project implementation team.

Handling of Complaints a. Complaints from parties conveying the complaints or appearing in the mass media must be

monitored and responded by the monitoring team. PD, PW, PB AMAN must forward the complaints received to the monitoring team at the longest 5 business days after the complaints are received. Should they be in the form of electronic, telephone, verbal, or text messages, complaints shall be forwarded within the same day or at the longest on the following day. It should already include comments from the recipient.

b. Should complaints be received by, or issued by media news in relation to, one particular PD or particular responsible party on the field and can be directly responded, therefore it should be responded directly, although the complaints and responses must still be forwarded to the monitoring team.

c. Complaints shall be verified by the monitoring team with the related party or the party implementing the activity. Complaints shall be responded to within at least 2 weeks since the complaints are received to the address of the party conveying the complaints. Responses can be provided before issues are completely overcome, however the responses should explain the steps taken to overcome the issues and the concerning timeline. After the issues are overcome, the result should be informed to the address of the party conveying the complaints. Should the complaints, after verification, evidently not be the same as the facts found by the monitoring team and project implementation team, therefore complaints still must be responded.

d. Complaints are to be tabulated and the data, after being responded, shall be uploaded to the AMAN website.

e. Compilation of complaints and responses are to be agenda of Project evaluation meetings. f. The monitoring team shall also monitor the complaints through evaluations that show to the

related stakeholders the steps taken by the monitoring team.

21

ATTACHMENTSAttachment 1: Guidelines on Participatory MappingAttachment 2: Procedures of Registration of Ancestral DomainAttachment 3: GIS and Database GuidelinesAttachment 4: Guidelines on Application of Social and Environment SafeguardAttachment 5: Working Mechanism with AMAN Domain and Regional Management Attachment 6: Form of Financial Reports to the World BankAttachment 7: Form of Mid Semester Narrative ReportAttachment 8: Form of Narrative Report on Activity (training, workshop, etc.)

22

Attachment 1: Participatory Mapping Guidelines

Participatory mapping is a mapping method that places communities as implementers of mapping their territories, while simultaneously determining the development planning of their own territories.

Characteristics of participatory mapping: Involves all members of the community The community decides on its own the topics of mapping and the purpose thereof The community decides on its own the undergoing process The mapping process and the map resulting there from shall be for the interest of the

community A substantial portion of the information contained in the map originates from local

community knowledge The community decides on its own on how to use the produced map

Stages of Activities of Participatory Mapping consist of: Understanding participatory mapping Important village/rural agreements Planning of mapping activities Training on mapping techniques Examination of validation maps Follow up plan

The importance of participatory mapping: To improve the awareness of all members of the community concerning their rights on land

and natural resources. Maps can be used as media for negotiations with other parties, since with such maps it becomes clear how the community is using the territory and who has the right on such territory.

The participatory mapping process drives the spirit to uncover local knowledge, history of origin, the local institutional system, the local legal institution, identification of natural resources in possession, and so forth.

Maps facilitate external parties to understand the handling of such territory and simultaneously facilitate recognition from external parties.

To drive community participation whether in form of labor, time, money or other material. To bring about local institutions, whether formerly existing or in new form.

Important village/rural agreements To mutually agree on the importance of undertaking participatory mapping To conduct Village/Rural Meetings (to discuss village/ancestral land, and to determine the

phases of village meetings) To mutually agree on what should be mapped besides village/ancestral boundaries, including

traditional/customary agreements with land adjacent to/overlapping the ancestral land to be mapped

To prepare a Sketch (rough drawing) of the village/ancestral domains, prior to conducting mapping

Phases of Village/Rural Meetings F i r s t M e e t i n g:

To socialize ideas pertaining to the mapping to all members of the community and to adopt initial decisions that are vital in the mapping for such community. S e c o n d M e e t i n g:

To prepare a mapping plan to be carried out. T h i r d M e e t i n g:

23

To check the necessary information before the final phase (conducted after mapping activities in the field are completed). F o u r t h M e e t i n g :

Map validation and discussions on strategies and follow up plan on utilization of maps.

Mapping Activity Plan To collect information pertaining to village/ancestral domain from the elderly folks in each

respective village/custom (normally the elderly understand more about their areas based on history)

To prepare Sketch of each respective village/custom Mutual agreement on mapping budget To determine Mapping team Plan on duration of Mapping

Training on Mapping Techniques (Field Survey)

Introduction to and the utilization of mapping equipment The available equipment can be introduced such as compass, clinometer, GPS

Illustration of the results of field surveys covers several activities The use of block millimeter paper and other writing tools Scale determination Preparation of supporting lines Inputting data on coordinates Inputting information on territory and survey notes

Examination and Validation of Maps

To publicize maps as the results of mapping already illustrated above to other communities (this can be implemented by holding village/rural meetings)

To implement revisions should any local elderly folks state that revisions should be made To conduct validation of maps by showing maps already made to the local authorities (a

validation column is provided on the map) To prepare minutes of such validation

Follow Up Plan

Identification of issues and data gathering: From the generated maps, it would be best to return to gathering additional data that can cover the lack of information in the maps.

Formulation of objectives and determination of achievements: Do formulate objectives and determine expected achievements from the follow up plan.

Determination of success indicators: This is important in order to measure how far the level of success is from the intended efforts/objectives. With these indicators, we can see whether the activities carried out are in accordance to plan or not.

Division of role/work: This role division is extremely vital in order to determine “who does what?”; this translates into efforts to divide the available energy, hence there shall be no overlapping and no piling of work to only one certain person/party.

Attachment 2: Procedures on Customary/Traditional Territory Registration

24

ANCESTRAL DOMAIN REGISTRATION AGENCY [ B R W A /BADAN REGISTRASI WILAYAH ADAT]

1) What is BRWA? BRWA is an agency formed pursuant to a letter of decision from the Senior Management of the Nusantara Indigenous people (PB AMAN = Pengurus Besar Aliansi Masyarakat Adat Nusantara). At this early stage AMAN worked together with the Participatory Mapping Work Network (JKPP = Jaringan Kerja Pemetaan Partisipatif) (JKPP) and Forest Watch Indonesia (FWI) to establish BRWA. BRWA has the following main duties and functions: a) To receive ancestral land registration b) To conduct verification on ancestral domain data c) To conduct validation of methodology on mapping of ancestral domains d) To publicize (to announce) domain maps and profile of ancestral communities. e) To provide information for the process of recognition and protection of ancestral

communities. f) To provide information for planning and spatial layout of ancestral domains.

2) What information is necessary in the registration of ancestral domains? The information needed for ancestral domain registration: a) History, containing information on the history of the existence of ancestral communities,

tribes and sub-tribes in such ancestral domains. Explanations on the time and period as well as historical evidences on the existence of ancestral communities.

b) Institutionalization, information on ancestral institutionalization existing within the communities such as: Name of Ancestral Institution, Structure of Ancestral Institution, Duties and Functions of Each Respective Ancestral Stakeholder, and Mechanism of Decision-Making.

c) Domain, information on ancestral domains covering ancestral domain boundaries, territorial units (village, assembly hall, etc.). The general physical condition of the ancestral domain such as: sea, coast, land and mountain areas.

d) The ancestral domain management system (rules of management) contains procedures for control over and management of land and domain. Space management models are based on ancestral rules and local policies.

3) How is the form of publication of domain data by BRWA? Data that has already been registered, verified and validated by BRWA shall be publicized through the BRWA website (www.brwa.or.id) and other media for information to the general public and all parties extensively.

4) What information is publicized? BRWA publicizes:a) Maps on boundaries of ancestral domains and acreage thereof. b) Brief information concerning ancestral communities in form of indigenous people profiles.

5) How is the process of ancestral domain registration? The registration process can be carried out by filling in and completing registration forms through online registration available on the BRWA website, or by bringing and sending completed applications to the Registration Offices or through email to BRWA’s email address: registrasi@brwa.or.id. The BRWA work mechanism shall be as illustrated in the following diagram:

25

6) How is the organizational structure of BRWA? The BRWA organization consists of the Board of Trustees and Daily Executive.

Board of Trustees : Abdon Nababan Abet Nego Tarigan Mina Susana Setra M. Jauhari Wirendro Sumargo

D a i l y E x e c u t I v e: Head of BRWA : Kasmita Widodo BRWA Secretary : Handiman Rico Registration Deputy : Harizajudin

Staff : Markus Ratriono Verification Deputy : Annas Radin Syarif

Staff : Bondan Adrianu

7) Where are the registration venues? Registration venues:a) Visit BRWA website (www.brwa.or.id) and fill in the form on the available page or send

email registrasi@brwa.or.id. b) Visit or send completed registration form to BRWA at one of the following office addresses:

AMAN, Jl. Tebet Utara II C No. 22, Jakarta 12820. Tel. +62 21 8297954, Fax: +62 21 8297954Contact Person: Annas Radin Syarif

JKPP, Jl. Cimanuk Blok B.VII No.6 Perumahan Bogor Baru, Bogor 16152.Tel. +62 251 8379143. Fax. +62 251 8314210.Contact Person: Harizajudin

FWI, Jl. Sempur Kaler No. 62 Bogor 16129, Tel. +62 251 8333308, Fax. +62 251 8317926Contact Person: Markus Ratriyono

For further information, please visit the registration venues or BRWA website: www.brwa.or.id

Attachment 3: GIS and Database Guidelines

TABLE OF CONTENTS

26

Introduction to ArcViewA. Capability of ArcView B. Specifications of HardwareC. Structure of ArcView Display

Screen DigitizingA. Point DigitizingB. Line DigitizingC. Polygon Digitizing (Area)D. Adding Attributes to Spatial ElementsE. Filling Field Area and Perimeter

Corrections of CoordinatesTables and Charts

A. Displaying TablesB. Sounding and Changing Field NameC. Adding New FieldD. Selecting and Finding RecordsE. Arranging Records

A. Preparing A ChartB. Changing the Type of ChartC. Arranging Chart PropertiesD. Changing the Colors of Chart Elements

Projection of CoordinatesLayout

A. Preparing Layout of a ViewB. Preparing Layout Through Project WindowC. Determining Page LayoutD. Inserting Components/Map ElementsE. Printing and Exporting Layout Results

GeoProcessingA. Dissolves Feature Based On An AttributeB. Merge Theme TogetherC. Clip On Theme Based On AnotherD. Intersect Two ThemesE. Union Two ThemesF. Assign Data By Location (Spatial Join)

Query Builder (Data Tracing Analysis)A. Feature Search with Query Expression FacilityB. Feature Search in Certain DistancesC. Feature Search Based On Certain Distances and Other FeaturesD. Feature Search Adjacent To Other Features

BufferGPS Data Processing: Garmin

A. File Opening [.txt] and Processing Through Excell ApplicationB. Manual Input of Coordinate DataC. Displaying Table Data [*.dbf] in ArcView

27

INTRODUCTION TO ARCVIEW

A. Capability of ArcView ArcView is a desktop software for Geographic Information System (Sistem Informasi

Geografis = SIG) and mapping developed by ESRI. ArcView possesses abilities to conduct validation, to explore, to answer queries (whether spatial or non-spatial data-base), to analyze data geographically, and so forth. In general the abilities of ArcView can be observed through the following description:

o Exchange of data, reading and writing data from and to other SIG software formats.o To conduct statistics analysis and mathematical operationso To display spatial information (database) as well as attributeso To connect spatial information with the attributes saved in the attributes databaseo To conduct basic SIG functions such as simple spatial analysiso To prepare thematic mapso To customize applications by using simple script language or simple programming languageo To conduct other special SIG functions (by using extensions for the purpose of supporting the

utilization of ArcView SIG software

B. Hardware SpecificationsSupporting hardware for geographic analysis and mapping is actually not too different from

other hardware used to support business and scientific applications. The difference, if any, lies with its tendency to need (additional) attributes that can support graphic presentations with high resolution and speed, and to support fast and large-volume database operations. The Wyoming Geographic Information Advisory Council (WGIAC) has established he following standards for SIG hardware:

o CPU: 32-bit Intel processor based.o RAM: minimum 32 Mb.o Storage: hard disk with 1 Gb capacity for workstations connected to network, and hard disk

with 2 Gb capacity for independent workstations.o Input Device: 101-key keyboard, digitizer with minimum 24x36 (D size) dimension with

0.0005 inch accuracy, black-white scanner with minimum 24x36 (D size) with 400 dpi resolution, color scanner with 11x17 (B size) measurement with 400 dpi resolution.

o Output Device: monitor with 1280x1024 resolution with 256 colors and 4 Mb VRAM, printer with laser or inkjet technology with minimum 11x17 (B size) paper measurement and minimum 300 dpi resolution, plotter with inkjet technology minimum 300 dpi for minimum 36x48 (E size) paper measurement.

o Other peripherals: GPS receiver with specifications to be noted: for mapping (5 meter horizontal accuracy), for surveys (horizontal accuracy below 1 cm), total channels that can be received 6, 8 or 12, internal or external antenna, data storage capacity (temporary), post processing and file conversion capacities to SIG standard software.

C. ArcView Display StructureArcView organizes a project and the available tools into a window system form, menu, key

and icons. For every type of document (view, table, chart, layout and script) ArcView has different displays. The display structure on ArcView consists of the following:

1. Display on ProjectA project is a window that initially emerges to work with ArcView. The menus available on

the window provide facilities to organize the projects to be prepared.

28

Contents of menu on Project documentsFile Project Window HelpNew Project Ctrl+NOpen ProjectClose ProjectSave ProjectCtrl + SSave Project As Extensions…Exit

PropertiesCustomizeRename ‘View 1’ Ctrl + RDelete ‘View 1’ DelAdd TableImportSQL Connect

TileCascadeArrange IconsShow Symbol Window Ctrl+P1 Untitled

Help TopicsHow to Get HelpHelpAbout ArcView

2. Display on ViewView constitutes representations of spatial information graphics and can accommodate

several spatial information layers/themes (points, lines, polygon, or raster image).

2.1. Contents of menu on View documentsFile Edit View ThemeCloseClose AllSet Working Directory. .Save Project Ctrl+SSave Project AsExtensions. .

Cut ThemesCopy ThemesDelete ThemesUndo Graphics Edit Ctrl+ZCut Graphics Ctrl+X

Properties. .Add Theme. . Ctrl+TGeocode AddressAdd Event ThemeNew Theme. .Theme On

Properties. .Start EditingSave EditsSave Edits AsConvert to Shapefile . .Edit Legend. .

29

PrintPrint Setup. .Export. .Manage Data SourcesExit

Copy Graphics Ctrl+CDelete Graphics DelCombine GraphicsUnion GraphicsSubtract GraphicsIntersect GraphicsPaste Ctrl+FLocate Address

Theme OffLayout. .TOC Style. .Full ExtentZoom InZoom OutZoom To ThemesZoom To SelectedZoom to PreviousFind. . Ctrl+FLocate Address.

Hide/Show LegendRe-match Addresses. .Auto-Label Ctrl+LRemove Labels Ctrl+RRemove Over-lapping Labels Convert Over-lapping Labels Ctrl+OTable ..Query .. Ctrl+QSelect By ThemeCreate Buffer..Clear Selected Feature

Graphics Window HelpProperties . . .Text and Label Defaults . . .Size and Position . Align .. Ctrl+ABring to FrontSend to Back Group Ctrl+GUngroup Ctrl+UAttach GraphicsDetach Graphics

TileCascadeArrange IconsShow Symbol Window . Ctrl+P

1 Untitled

Help Topics . .How to Get HelpAbout ArcView

2.2. Toolbar View

Description:1. Saving project 11. Zoom to selected 21. Select feature2. Adding theme 12. Zoom in 22. Zoom in3. Theme properties 13. Zoom out 23. Zoom out4. Edit legend 14. Zoom to previous extent 24. pan5. Open table theme 15. Feature with graphic 25. measure6. find 16. Clear selection feature 26. hotlink7. Location address 17. help 27. Area of interest8. query 18. identify 28. label9. Zoom to full extent 19. pointer 29. Create text10. Zoom to active theme 20. Edit vertex 30. Draw point

3. Display on TableThe Table document is completed with menu, key and toolbar facilities. A table constitutes a

representation of ArcView. A table contains descriptive information concerning certain layers that consist of records and fields. A record defines an entry, while a column (field) defines an attribute or the characteristic of an entry.

30

Contents of menu on a Table document:File Edit Table FieldCloseClose AllSet Working Directory . .Save Project Ctrl+SSave Project as Extensions . .Print . .Print Setup . .Export . .Manage Data SourcesExit

Cut Ctrl+XCopy Ctrl+CPaste Ctrl+VUndo Edit Ctrl+ZRedo Edit Ctrl+YAdd Field . .Add Record Ctrl+ADelete FieldDelete RecordsSelect AllSelect NoneSwitch Selection

Properties . .Chart . .Stop EditingSave EditsSave Edits As Find .. Ctrl+FQuery ..Ctrl+QPromoteJoin Ctrl+JRemove all JoinsLinkRemove all LinksRefresh

Sort AscendingSort DescendingCreate IndexSummarize ..Calculate ..Statistics ..

4. Display on ChartChart constitutes a graphic representation of data table resumes. A Chart can also constitute

the results of a query on a data table.

31

Contents of menu on a Table document:File Edit Gallery ChartCloseClose AllSet Working Directory ..Save Project Ctrl+SSave Project As Extensions..Print ..Print Setup ..Export ..Manage Data SourcesExit

Undo Erase Area ..Bar ..Column ..Line ..Pie ..XY Scatter

Properties ..Series from FieldsFind .. Ctrl+FHide TitleHide LegendShow X AxisShow X Axis

5. Display On LayoutA Layout is used to combine all documents (view, table and chart) into a ready-to-print

document (hardcopy)

32

Contents of menu on Layout document:File Edit Layout GraphicsCloseClose AllSet Working Directory ..Save Project Ctrl+SSave Project As Extensions..Print ..Print Setup ..Export ..Manage Data SourcesExit

Undo Ctrl+ZCut Ctrl+XCopy Ctrl+CPaste Ctrl+VDelete DelSelect All

Properties ..Page Setup ..Zoom to PageZoom to ActualZoom to SelectedZoom InZoom OutShow GridHide MarginsAdd Neatline ..Use Template ..Store as Template..Store North Arrows

Properties ..Text Tool Defaults..Size and Position ..Align ..Ctrl+ABring to FrontSend to BackGroup Ctrl+GUngroup Ctrl+USimplify

33

SCREEN DIGITIZING

Screen digitizing is a digitizing process conducted on a monitor screen with the help of a mouse. Screen digitizing or also often called on screen digitizing can be used as an alternative for digital data input without the use of a mega digitizer. Three spatial features that can be formed through this on screen digitizing among others are points, lines and polygon. Hereunder are on screen digitizing methods of the three mentioned spatial features through ArcView.

A. Point Digitizingo Open View 1 display then select pulldown menu View | New Theme until display appears as

in picture. At feature type option select Point then click ‘OK’.

o Determine file name and location of saving such file at the dialogue that appears, then click “OK”.

o Select Draw Point icon at Tool Palette then determine the mouse cursor position to determine the point to be placed. Click left of the mouse when position is ascertained. Do the same to make the other points.

34

o After points are done, then click menu Theme | Stop Editing. Select ‘Yes’ at confirmation option to save.

B. Line Digitizingo At View 1 display select pulldown menu View | New Theme until display appears as in

picture. At feature type option select Line then click ‘OK’.

o Determine file name and location of saving such file at the dialogue that appears, then click “OK”.

o Select Draw Line icon at Tool Palette to commence digitizing. Click left key at the time the mouse cursor is at the position where we shall begin drawing the line. Then also click left key each time the mouse cursor is in a position where we want to place and double click to end line drawing at the final vertex position. Do the same for drawing other lines.

o After lines are done, then click pulldown menu Theme | Stop Editing. Select ‘Yes’ at confirmation option to save.

35

C. Polygon (Area) Digitizingo At View 1 display select pulldown menu View | New Theme until display appears as in

picture. At feature type option select Polygon then click ‘OK’.

o Determine file name and location of saving such file at the dialogue that appears, then click “OK”.

o Select Draw Polygon icon at Tool Palette to commence digitizing. Click left key at the time the mouse cursor is at the position where we shall begin drawing the polygon, then also click left key each time the mouse cursor is in a position where we want to place vertex. To end polygon drawing, double click at the final vertex position.

o To draw the subsequent polygon that borders or is adjacent to the already existing polygons,

use the Draw Line icon to append polygon. With this icon we can start polygon drawing from a point (mouse cursor position) through line segments (boundary) of already existing polygons, then we need only move this cursor (with left click of the mouse) to produce the

36

necessary vertexes. At the final vertex position at the already existing polygon line segments (boundaries), double click the left side of the mouse to end the final vertex.

o Do the same to draw other polygons. Then to end the digitizing process click pulldown menu Theme | Stop Editing. Select ‘Yes’ at the confirmation option to save.

D. Adding Attributes To Spatial Elements

o Click icon on key view, the table of features will appear.o Click pulldown menu Table | Start Editing to commence editing such table.o To add a new Field (column) click pulldown menu Field | Add Field, then following

dialogue shall appear.

o Fill in Name for title of Field, then determine Field Type (number: numeric, string: letter/character) and Field Width (column width).

o Writing of field (column) in each record (line) can commence. To see the connection of each record with its feature elements can be done by clicking one of the records using Select icon

, then the selected element shall change color to yellow.

37

o Fill in the selected record using until all records are filled in.o Upon finishing click pulldown menu Table | Stop Editing. Select ‘Yes’ at confirmation

option to save.

E. Filling In Field Area and PerimeterThere are two important attributes that are characteristic and almost always appear in polygon

type spatial elements. Those attributes are ‘Area’ and ‘Perimeter’; both mentioned attributes constitute a vital part for spatial analysis processing. The value of both such attributes are not entered by the user, but shall be automatically calculated by the computer through the SIG software. The process of automatic entry or addition of the ‘AREA’ and ‘PERIMETER’ fields into the polygon spatial element attribute table is carried out using the following steps:o Open the attribute table of the relevant polygon spatial element by pushing the Open Theme

Table key o Click Table | Start Editing pulldown menuo Add a new field through Edit | Add Field pulldown menu. Fill Field Name with Area name,

Type ‘Number’, width 16 and decimal place 3. Thereafter press ‘OK’ key.

o Click pulldown menu Field | Calculate until dialogue box ‘Field Calculator’ appears. At item edit box [Area] = type [Shape].ReturnArea, then press ‘OK’ key. Computer shall calculate while simultaneously fill in field Area value.

38

o To create PERIMETER field click pulldown menu Edit | Add Field. Fill in field Name with ‘Perimeter’, Type ‘Number’, Width 16 and Decimal Place 3. Press ‘OK’ key.

o Click pulldown menu Field | Calculate until dialogue box ‘Field Calculator’ appears. At item edit box [Area] = type [Shape].ReturnLength, then press ‘OK’ key. Computer shall calculate while simultaneously fill in field Perimeter value.

39

COORDINATE CORRECTION

Prior to a digitizing process with source from map scan results, a coordinate entry process should first be conducted into the map source or what is more familiarly known as coordinate correction. This coordinate correction is very important in order that the map data to be digitized becomes spatial data.

In this map correction, existences that should be activated are among others: Image Analyst, Spatial Analyst, Imagine Image Support, JPEG Image Support and Tiff 60 Image Support. Hereunder are the stages to be implemented in map correction:

1. click icon Add Theme and select scan result map file (the file formats usually corrected are JPEG, TIFF and IMG) to be corrected in the folder where the file is saved. With the data source type file in the Image Analyst Data Source as displayed in the following picture.

After scan map is elected click ‘OK’, and then the following shall appear

Click “NO’ and the selected scan map shall appear in view, click View | Properties then select the unit map in accordance with the scan map coordinate (in decimal degree: Geographic) or meter (UTM), as illustrated in the following picture.

40

Activate the mentioned theme and then click Align Tool ; if view changes return by using

Zoom to Active Theme .

2. Draw (graphic) line using Draw Line through the same latitude coordinate and across the line also using the same longitude coordinate. The cross cutting of such two lines shall coordinate points with latitude and longitude coordinates that are already known. The results can be observed in the following picture

3. Zoom the display at the cross cutting of the mentioned lines until 0 scale, click Align Tool first and then precisely at the cross cutting point of the line click left mouse then click right and hold while directing cursor to Enter’to’Coordinate, then release.

41

Upon release, the following picture shall appear

Further, input the known coordinates in accordance with their x and y values then click ‘OK’. ‘x’ value is the same as the longitude coordinate and the ‘y’ value is the same as the latitude coordinate. Inputting the coordinate values should be in one unit, for example in degrees only or in meters only, that is why if coordinates are written as 97o 15’ 00” then the coordinates to be input shall be 97.25. This value is derived from the understanding that:1o = 60’ and 1’ = 60”, (1 degree = 60 minutes and 1 minute = 60 seconds)Thus: 15’ = 15/60o and 0” = 0/3600o

= 0.250 = 0o

hence resulting in 3 values when added up = 97.25. Determine the coordinate values to be input in the same manner.

4. Draw again another line that passes through the longitude and latitude coordinates to determine the second point of cross cutting then input the coordinate values thereof. And repeat the process (stage 2 – stage 3) until at lease 4 coordinate points are obtained.

5. After inputting at least 4 coordinate points then save the mentioned scan map, click Themes then click Save Image and a window like the picture below shall appear, the purpose of which is: whether the 4 coordinate points already input into the scan map be saved in shapefile format, if one feels this is unnecessary then select ‘NO’ but click ‘YES’ if one wants to save this.

6. Select NO and a window will appear showing the location of the .img file to be saved. Type the file name with list files of types as “imagine image” then click ‘OK’.

42

After saving, delete the mentioned theme image then add the same file image and the display shall show a scan result map that already has coordinates.

43

TABLES AND CHARTS

TABLESTables constitute a part of ArcView existence which cannot be separated from View. The

table function in ArcView is a facility for saving attribute data from spatial data.

A. Displaying TablesDisplaying Tables can be done through Window Project or from View display.

o Calling Table display through Window Project can be done by manner of pressing (clicking) the ‘Tables’ icon then pressing the New key or can also be done directly by double-clicking such icon.

o Calling Tables display through View display can be done by pressing icon.

B. Hiding and Changing Field NameAppearances of files in tables can be changed and hidden through arrangement in the Table Properties. Click pulldown menu Table |Properties until the following dialogue box appears:

C. Adding New Fieldo Click pulldown menu Table | Start Editingo Click pulldown menu Field | Add Field, following dialogue shall appear

44

o Fill in Name to create Field title, then determine ‘Field Type’ (number: numeric, string:

letter/character), and ‘Field Width’ (column width). ‘Decimal Places’ is used to define total numeric numbers behind the comma (decimal numbers).

D. Selecting and Finding RecordsWe can select records by manner of clicking such records by using the pointer until the color of the records changes to yellow. If the selection of records is for more than one selection, this can be done by pressing the Shift key on the keyboard.

E. Sorting Records

The Sort Ascending and the Sort Descending keys can be used to sort records by ascending and descending manner in accordance with the fields we select. Activate field to be sorted then click one of those keys and automatically the records in the mentioned field shall self-sort.

CHARTSCharts or graphics in ArcView constitute facilities used to present tabular data from spatial

data attributes. A graphic can display all records of a table or a selected portion of records. A graphic shall follow automatically if the selected records should change. ArcView can create various graphics that illustrate data in accordance with the desired applications.

A. Creating A ChartSteps to create a chart are the following:o Open table then select the records for which we shall create a chart. If the records are not

selected then the chart shall display all records in the table.

o Click icon on the mentioned table until the Chart Properties dialogue box appears.

o The field in such dialogue box can be made to display more than one group in a chart by

clicking the field name in the box and then clicking the ‘Add’ key.o In the “Label series using’ box select one of the fields to be used as a label in the chart.o Click ‘OK’ and ArcView shall display a Chart

45

B. Changing Type of ChartThe type of chart can be changed through default by clicking chart types (Area, Bar, Column, Line, Pie or Scatter) in accordance with desire.

C. Organizing Properties Chart

o On chart display click icon o Click mouse cursor on the location where properties are to be edited (Title, X Axis, Y Axis,

Legend) until the relevant dialogue box appears in the dialogue box.

o To save the ‘Title’ and ‘Legend’ positions can be arranged in the properties dialogue by

clicking the cursor on the desired positions.

D. Changing the Color of the Chart Elements

46

o Click icon Chart Element Color to display ‘Show Symbol Palette’.o Select one of the colors on the Symbol Palette.o Click the mouse cursor on the chart element where the color is to be changed.

47

COORDINATE PROJECTION

The Extensions Projection Utility Wizard carries out coordinate projection in ArcView. This utility functions to carry out projections on shapefile from one coordinate system to another coordinate. The following example is an example of projection conversion steps from UTM coordinate to Geographic coordinate. Click pulldown menu File | Extensions > Select Projection Utility Wizard by checklisting the

said option box part. Click again the pulldown menu File | ArcView Projection Utility Wait for the wizard Installation process Select by clicking the Browse shapefile key for which the projection system shall be changed

(Step 1). Then click Next key.

Begin Step 2, select:

o Coordinate System Type: Projectedo Name: WGS_1984_UTM_485 [32748]o Units: Meter [9001]

Click Next > Click Yes at confirmation dialogue Begin Step 3, then select:

o Coordinate System Type: Geographico Name: GS_WGS_1984 [4326]o Units: Degree [9102]

48

Click Next > Step 4, Determine drive, directory and name of output shapefile name by way of clicking

Browse key.

Click Next > Then click Finish and wait for process to complete then click OK.

Note:The conversion process from Geographic coordinate to UTM coordinate is the same process, the difference is only in changing Step 2 and Step 3.

49

LAYOUTS

Layouts constitute one of the facilities in ArcView used to combine all documents, whether view, table or chart documents into one document that is ready for printing (hardcopy). Besides the mentioned documents other elements as supporting elements available in layouts among others are scale, north arrow, legend, coordinate grid, map title, map source, map insert, etc. Layouts can be displayed through two ways, namely from project window display and from view display.

A. Creating Layout from a ViewThe steps to create a new layout from view display are the following: Activate view with the theme for which a layout is to be created Click menu View | Layout until ‘Template Manager’ dialogue box appears then select

‘Portrait’ or ‘Landscape’. Click OK until the layout display appears.

B. Creating Layout Through Window ProjectBefore deigning the layout display in accordance with our desire, we should first prepare a new layout that is still empty. Such layout can be created using the following steps: Activate Window Project

Click ‘Layout’ icon then press New key or a direct double-click on this icon will also do it,

hence an empty layout shall appear with default template (portrait). The design displayed on a regular standard layout consists of several map elements. An

example layout of the mentioned elements appear as in the following picture:

50

C. Determining Layout PageBefore inputting elements into the layout, first determine the margins, unit, orientation and page size. For this purpose carry out the following steps: At Layout display click pulldown menu Layout | Page Set Up until ‘Page Set Up dialogue box

appears.

From the mentioned dialogue box select the paper size to be used (for example select default ‘Same as Printer’ for same size paper as printer setting on its operating system, Ms. Window). For ‘Custom’ selection it would be best to determine Units, Width and Height of paper size. Thereafter also select the paper orientation (Portrait or Landscape), Margins and Output Resolution.

D. Inputting Map Components / ElementsAdditional map elements into the Layout can be carried out by using one of the available tools frame.

Tools frame is available in the dropdown palette that can be accessed by clicking tool view frame .1. Displaying View on Layout

Click view frame. Place mouse cursor position on the angle point where the view frame is to commence.

Then drag the said mouse cursor to the diagonal angle until a frame is formed. Release cursor when the frame size is already in accordance with desire until ‘View Frame Properties’ dialogue box appears.

51

Select by clicking one of the selections in view box to be displayed in the view frame, for example we are going to display themes available in View1. Thereafter determine other properties and then finally press the OK key.

2. Display Scale on Layout Click ‘Scale Bar’ icon in Tools Frame. Use mouse cursor to determine position and width of frame scale desired namely by

dragging, then ‘Scale Bar Properties’ dialogue box’ shall appear. From this box select the View Frame name for which the scale shall be determined. Determine the Style symbol desired, Units or distance units, distance and total intervals, and total (small) divisions for each interval.

Click OK.

3. Display North Arrow Symbol on Layout

Click North Arrow Frame icon on Tools Frame. Use mouse cursor (click and drag) to determine position and size of such north arrow

to be placed in the layout. Select one of the forms of north arrow symbols that appear, after selecting then click

OK.4. Display Legend on Layout

52

Click Legend Frame icon on Tools Frame. Use mouse cursor to determine position and size of legend to be saved in layout. Select view name in ‘View Frame’ where legend shall be displayed on layout. Click OK.

5. Adding Text

Adding text to layouts/graphics can be carried out by clicking the function key then determining the position where text is to be added. Text is typed on ‘Text Properties’ that appears after we click the text position. Thereafter then click OK to end text.Following is a model of various texts that can be displayed on layout.

To change text properties such as letters, color, size and form, use ‘Show Symbol Window’ by acquiring through pulldown menu Window | Show Symbol Window or using Ctrl+P.

53

E. Printing and Exporting Layout ResultsThe process of Print on ArcView can be carried out through the following steps:

Activate (click) layout display Use pulldown menu File | Export until ‘Export’ dialogue box appears From such dialogue box select format type through ‘List Files of Type’ dropdown list,

determine drive, directory and name of output file. Click Option key to arrange resolution of export result file. Then click ‘OK’.

54

GEOPROCESSING

GeoProcessing is one of the extensions of ArcView that possesses several functions in spatial analysis such as: Dissolve, Merge, Clip, Union, Intersect and Spatial Join.Select pulldown menu File | Extensions then select GeoProcessing by way of check-listing the box next to it.

Click pulldown menu View | GeoProcessing Wizard, thereafter a GeoProcessing dialogue box shall appear with its functions.

A. Dissolved Features Based on An AttributeThe Dissolves function is used to collect features into one group based on certain information.

Activate the function ‘Dissolves feature based on an attribute’ on the GeoProcessing dialogue box to commence the work.Continue by clicking the Next icon and then select the Theme to Dissolves and select the attribute’s group reference. Fill in the output file and determine the location for saving such file by clicking the

icon.

Click Next, then at the next dialogue click Finish. The description of the said Dissolves process can be observed in the following picture.Prior to Dissolves:

55

After Dissolves:

B. Merge Theme TogetherMerge in GeoProcessing Extensions functions to combine two or more themes to become one

theme. This merge process shall create a new theme with attributes from the selected themes. Activate “Merge theme together” function at the GeoProcessing dialogue box. Continue by clicking Next icon then select the Themes to be merged. Use SHIFT key on keyboard to select more than one theme. Select by manner of clicking the

themes to be merged. Then determine one of the themes which field shall be used as attribute of such new theme. Click Finish to complete the process.

Example of the said merge process can be observed in the following picture:

C. Clip on Theme Based on AnotherClip functions to create new Themes produced from the clipping process by the Clip Theme

on a Theme Input. The requirement for a clip theme is a polygon feature, while the input theme can by of polygon, line or point type. Activate “Clip one theme based on another” function in the GeoProcessing dialogue box. Continue by clicking Next icon then select input theme and clip theme. Fill in output file and determine location for saving such file by clicking [icon] icon.

56

Click Finish to complete the said process.

Example of such Clip process can be observed in the following picture:

D. Intersect Two ThemesIntersect is used to combine two sets of spatial data that intersect, only features that are within

the extent of these two themes shall be displayed. Attributes that are in both themes can also be merged in a new shapefile. This input theme can be in line or polygon form, while the theme or the overlay must be polygon.

Activate “Intersect two themes” in the GeoProcessing dialogue box. Continue by clicking the Next icon then select the input theme and the overlay theme.

Fill in the output file and determine location for saving such file by clicking icon. Click Finish to complete the process.

Example of such Intersect process can be observed in the following picture:

57

E. Union Two ThemesThe function of Union is to create a new theme produced by merging two themes. This

combined theme contains features and attributes from two such merged themes.

Activate “Union Two Themes” function in the GeoProcessing dialogue box. Continue by clicking the Next icon then select the input theme and the overlay theme.

Fill in the output file and determine location for saving such file by clicking icon. Click Finish to complete the process.

Example of such Intersect process can be observed in the following picture:

58

F. Assign Data By Location (Spatial Join)Spatial Join is a process of merging attributes from two themes carried out through their

spatial data. The method used to conduct this spatial join is nearest, inside and part of. The method to be used in relation to one feature to another is the following:

FEATURE TYPE POINT LINE POLYGONPOINT Nearest Nearest InsideLINE Nearest Part Of Inside

POLYGON - - Inside

Nearest: Does not involve the theme with the polygon feature. The table field as a result of merging shall automatically calculate the distance of such feature. ArcView shall add a “Distance” field on the resulting table.

Part Of: Is used only for themes with line feature; the line feature displayed on the table must be a sub-set of the line in the other theme.

Inside: Involves data from polygon feature to polygon feature, line feature or point feature.

Activate ‘Spatial Join’ function in the GeoProcessing dialogue box. Select theme to be joined with another theme in option no 1) Select a theme to assign data

to. The table in this theme shall henceforth constitute the resulting table. Select theme from them list no 2) Select a theme to assign data from. The table on this

theme shall further be input into the above table theme no.1.

59

Click Finish to complete the process.

Display the attributes from theme no.1) above by clicking table icon .

Example of the intersect process can be observed in the following picture:

60

QUERY BUILDER(DATA TRACING ANALYSIS)

Query or data tracing analysis is a feature used to trace features based on attribute data. Query can also be used to find out which features are in accordance with the determined criteria.

A. Searching Features with Query Expression FacilityQuery expression constitutes a definition from what we select. As an example, we shall search for states in the United States of America with population in 1990 below 10,000.

Open attribute table from theme where feature shall be searched by clicking table icon .

Click Query key , until following dialogue appears:

Double-click on ‘Pop1990’ field, until such field moves into the expression box.

Click operator Less Than until this appears in expression box, then type 10000.

Click New Set key, hence ArcView will calculate and search to further display the results on

the map in yellow.

B. Searching Features Within Certain Distances

At times we want to know how many homes, schools, malls or stores there are within a certain radius from our home. Following is an example to determine which mountains are positioned within a 35-mile radius from Bandung. Activate theme from the feature we are searching for.

Use Draw Circle tool to draw a circle. Place cursor on the point that is the circle center point namely Bandung city. Move cursor until circle drawing in form of picture appears, value of which can be observed

on the lower left Status Bar. Release mouse key after obtaining the desired size.

61

Further, to determine the dimensions accurately, use circle size dialogue, by selecting Size and Position from the Graphics menu.

Click Select Features Using Shape icon to select feature in the circle. Now, we can know the mountains within the said circle radius, in yellow.

If we display the table and we implement Promote, then the table displayed shall show

selected records in yellow. In doing selection, we can also use a total of more than one circle.

C. Searching Feature Based on Certain Distances of Other FeaturesIf we possess several data or themes, and we want to calculate total customers within a

distance of 150 meters from each Hero Supermarket, then the stages will be the following: Open View Properties and set up Distance Unit to become meter. Activate theme feature to be searched, for example ’customer’. From the Theme menu, choose Select By Theme

62

On such dialogue, select the spatial connection desired, in this case namely “Are Within

Distance Of”, then from second list select theme name that is the reference (Hero) and determine the distance in the Selection distance box (150 m). Click New Set key, then ArcView shall select all features within such distance.

D. Searching Feature Adjacent To Other Features

For example if we desire to know what villages there are adjacent to the Sulangai village.

Activate theme. Open Select By Theme from the Theme menu.

63

At the dialogue select “Are Within Distance Of” at the first option, while there is only one active theme namely “Village” and since we want to know those adjacent to this village, leave the distance at 0.

Click New Set key, then ArcView shall search for villages adjacent to Sulangai Village.

64

BUFFER

The creation of a buffer is normally used for analysis conducted based on certain distances or zones. Buffers are normally created directed outwards in order to protect the relevant spatial elements. With the creation of a buffer hence a new area, polygon or zone shall be formed that protects/covers the spatial object within a certain distance. The process of the creation of a buffer can be conducted for each feature, whether point, line or polygon.

Buffer operations can be carried out through pulldown menu Theme | Create Buffers, then a dialogue box shall appear comprising steps for the process of creating buffers. If the said pulldown menu is non-active this is due to the parameters of map units and distance units in the View Properties not being defined (filled in) yet. The following example constitutes ways to create buffers from a river theme, with the following steps: Click pulldown menu Theme | Create Buffer and following dialogue box will appear:

Ascertain that at the “The features of a theme’ option river is selected, then click Next key.

How do you want to create buffers?o At a specified distance: used for the creation of buffers based on distances determined by

user.o At a distance from an attribute field: The creation of a buffer is based on distances already

defined in determined attribute field.o As multiple rings: The creation of a buffer shall generate/form a number of concentric rings

with certain intervals of distances in between each nearby ring.

Select “At a specified distance’ in the next dialogue box. For example we shall create a river (Sempadan) buffer with left-right distances of 100 meters, then in such box we shall type 100 and select ‘Meters’ as distance units (distance units are), then click the Next key.

65

The next dialogue box shall appear after clicking the Next key, followed by selecting the ‘No’ radion key. (if one desires to display the dissolve borders between buffers) and ‘in a new

theme’. Save the buffer resulting from the output file in the directory by clicking the key. Then click the Finish key and await the process.

At this stage, if the theme in process is polygon then user is required to define several options such as the following:

Inside and outside the polygon(s): shall cause buffer to be illustrated both externally as well

as internally into the relevant buffer object (polygon). Only outside the polygon(s): shall cause buffer to be illustrated only externally outside the

relevant buffer object (polygon). Only inside the polygon(s): shall cause buffer to be illustrated only internally inside the

relevant buffer object (polygon).

66

PROCESSING GPS DATA: GARMIN

1. Install MapSource.

2. Open MapSource; click ‘Programs’, ‘MapSource’3. Connect GPD Interface cable to computer, Switch On GPS, prepare Setting download data

from GPS-Garmin to MapSource. Press ‘Menu’ key twice, Select ‘Setup’. ‘ENTER’ Select ‘Interface’ window by shifting selection to the right

‘Format:GARMIN’‘Transfer Mode: Host’‘Status: Ready’

4. From MapSource, click or through menu ‘Transfer’, ‘Receive from Device’, wait until the whole download process has completed.

5. Maps, Waypoints, Routes and Tracks are already downloaded.6. Change GPS preference data. Click menu ‘Edit’. ‘Preferences’. You shall find tabs: Display,

Units, Position, File Location, Waypoint, Waypoint Categories, Time, Find. Determine ‘Units’

o Distance % Speed: Metrico Heading (north arrow)

i. True = actual northii. Automatic Magnetic Variation = magnetic north (north arrow on

compass)iii. Grid = map north (north arrow on printed map)Select ‘Grid’ for purpose of inputting data into available map

o Altitude/Elevation: Meterso Depth: Meterso Area: Hectareso Temperature: Celsius

Determine ‘Position’o Grid:

o UTM; Universal Transverse Mercator, units in ‘Meter’o Lat/Lon hddd.ddddo, geographic coordinate, with ‘decimal degree’

formatBoth formats are coordinate we normally use in ArcView map applications.

o Datum; select ‘WGS 84’7. ‘File’ menu, ‘SAVE’. The format of this Mapsource file version is [.gdb], however for

ArcView purpose, we can also use ‘SAVE AS’ into [.dxf] format.8. For processing use Excell, ‘SAVE AS’ into ‘Text’ [.txt] format.

A. Open File [.txt] and Process Using Excell Application1. Open Microsoft Excell.2. Click menu ‘File’. ‘Open’. Determination location of file and ‘File name:’, then change ‘Files

of type:’ to ‘Text Files’ (*.txt)3. ‘Text Import Wizard – Step 1 of 3’ window will appear.

67

a) The ‘Delimited’ selection is a selection to separate data in one line from certain

characters (such as: comma, spacing, tab, etc.) hence this shall become a different column/field (see point 4-5).

b) The ‘Fixed Width’ selection is a selection to separate data in one line within the margins of our determined column width/field. If the data lines are not neatly compiled, data could be cut off at column/field margins that we set. (see point 6-7)

Click ‘Next >.4. ‘Text Import Wizard – Step 2 of 3’ Selection a)

If imported data constitutes data in geographic coordinate format, then ‘Delimiters’ are given checks () at ‘Tab’ and ‘Spacing’ selections. This facilitates WAYPOINT data organization into decimal degree coordinate format (geographic). This step 2 shall show data separation into columns based on ‘tab’ and ‘spacing’ characters. Although already divided into columns however coordinate data should still be checked whether already placed in one column/field.Click ‘Next’ >

5. ‘Text Import Wizard – Step 3 of 3’, selection a)

68

This step is to determine the data column format that we are about to import. Click the grey column head that is the Name column (waypoint name), then click ‘Text’ selection, in order that the waypoint name does not change after being imported into columns in the Excell application.Click ‘Finish’.

6. ‘Text Import Wizard – Step 2 of 3’, selection b)From ‘Fixed Width’ selection in Step 1, click ‘Next’ >

Click on scale number on top of data window to add column divider as desired. The separation of column/field shall not be affected by character cut-offs (tab, spacing, comma, etc.).

7. ‘Text Import Wizard – Step 3 of 3’, Selection b)

69

When done, click ‘Finish’.

Above is an example of results of import from data import with selection b): ‘Fixed Width’/

8. Data opened in columns still need to be organized.

DATA FORMAT WITH GEOGRAPHIC COORDINATES

1) Check Latitude (S/N) coordinates column and Longitude (E) column, place coordinate values in correct column.

2) Block the whole of the Latitude (Y) column by clicking column heading.o Click ‘Edit’ menuo ‘Find’, type letter ‘S’o Click ‘Replace’ key, type negative sign(-)o Click ‘Replace All’ keyo Repeat with ‘Edit’ menu, ‘Find’ type letter ‘N’o Click ‘Replace’ key, do not type anythingo Click ‘Replace All’ key

3) Block whole Longitude (X) column; ‘Edit’, ‘Find’ type letter ‘E’, click ‘Replace’ do not type anything, ‘Replace All’

Latitude (Y) Replace Latitude (Y) Longitude (X) Replace Longitude (X)S6.77455 > -6.77455 E107.06385 > 107.06385NO.15244 > 0.15244

4) Click column-heading cell (letters A-Z) containing coordinate values. Click right and click ‘Format Cells’. In ‘Format Cells’ window select ’Number’ menu and select ‘Number’. Determine ‘Decimal places [numbers behind comma]:’ fill in with ‘5’ numbers and ‘Negative Numbers:’ fill in with “-1234,10” then ‘OK’.

70

5) Minimum number of columns needed to input data into ‘Table’ application in ArcView: 3 columnso Latitude (Y),o Longitude (X), ando Name/description column

6) After the necessary data has been organized, block all cells that we are about to save into [.dbf] format, click menuo ‘File’, ‘Save as’o give file name, and fill ‘Save as type:’ with “DBF 4 (dBase IV)(*.dbf)”o if there should appear the warning ‘The selected file type does not support workbooks

that contain multiple sheets.’. click ‘OK’o if there should appear the warning ‘.dbf may contain features . . . Do you want to

keep the workbook in this format?’, click ‘Yes’7) Coordinate table data is already saved in [.dbf] format and is ready to become input in ‘Table’

application and to appear in ‘View’ application in ArcView. This coordinate data can only be made to appear in ‘View’ if other files are spatial data with geographic coordinates.

DATA FORMAT WITH UTM COORDINATES

1. Check Northing (N) coordinate column –Y and Easting column (E) – X, place coordinates in correct column. Observe the column on the left: in numbers – this is the information ZONE, in letters – this is information on North (N), South (M) towards the equator.

2. Block all columns in the Easting column (X) by clicking the column heading.o Coordinate values larger than 5,000,000 (five million) are always marked “M” and

must be subtracted by 10,000,000 (ten million) until they become negative (-) and become data format columns that can be read by Table application in ArcView.

Easting (X) E (X) Northing (Y) N (X)728110 > 728110 9250689 > -749311171641 > 171641 82143 > 82143

3. Minimum number of columns needed to input data into ‘Table’ application in ArcView: 3 columnso Northing column (Y),o Easting column (X), ando Name/description column

4. After the necessary data has been organized, block all cells that we are about to save into [.dbf] formato click menu ‘File’, ‘Save as’o give file name, and fill ‘Save as type:’ with “DBF 4 (dBase IV)(*.dbf)”o if there should appear the warning ‘The selected file type does not support workbooks

that contain multiple sheets.’. click ‘OK’o if there should appear the warning ‘.dbf may contain features . . . Do you want to

keep the workbook in this format?’, click ‘Yes’

5. Coordinate table data is already saved in [.dbf] format and is ready to become input in ‘Table’ application and to appear in ‘View’ application in ArcView. This coordinate data can only be made to appear in ‘View’ if other files are spatial data with UTM coordinates.

Note:

71

If coordinates from GPS are input into Excell by manual typing, then directly process such data and ‘Save as’ to become ‘Dbf”.

B. Manual Input of Coordinates Data

1. The principle of using ‘Table’ in ArcView is *.dbf file format.2. Format coordinate data:

o Geographic in decimal degrees, namely degree principal numbers with numbers behind he comma in form of decimals (not in minutes and or seconds)

o UTM in meters3. GEOGRAPHIC:

Data values in Latitude/Longitude/Y column above the equator (North Latitude) are positive values,

Data values in Latitude/Longitude/Y column below the equator (South Latitude) are negative values,

Data values in Longitude/X column to be filled in as normally done.4. UTM:

1. Data in Northing column (Y) above the equator have 0 meter till 5,000,000 meter values,

2. Data in Northing column (Y) below the equator have 10,000,000 till 5,000,001 meter values,

3. Data values n Easting column (X) to be filled in as normally done.

C. Displaying Table Data [*.dbf] in ArcView

1. Open ArcView from , ‘Programs’, ‘ESRI’, ArcView GIS 3.2’ 2. When ‘Welcome to ArcView GIS’ window opens, select ‘as a blank project’, ‘OK’3. From ArcView window, select ‘Tables’, click ‘Add’ key, determine .dbf file to be opened,

click ‘OK’ table will open4. Return to ArcView window, select ‘Views’, click ‘New’ key, View1 window will appear5. From ‘View’ menu, select ‘Add Event Theme’. Input the intended file name into ‘Table’

selection, fill in column name /field coordinates (X) into ‘X’ field:’ and column name coordinates (Y) into ‘Y field’, ‘OK’

6. The newly named theme is ready to be displayed by giving a check mark () in the box to the left of theme name.

7. Convert to shapefile from ‘Theme’ menu, ‘Convert to Shapefile’, save in folder that you have prepared.

8. To change point features to become line or polygon features, use Xtools existence.9. Add new theme that has same coordinates, with ‘View’ menu, ‘Add Theme’, hence new data

can thus be overlaid with other data.

Bogor – 2010

72

I. Database Introduction

1.1 Database Foreword

Database or data basis can be imagined as a filing cabinet. If you work in an office there would certainly be very many files or office documents kept in that filing cabinet. You will often observe that the placement of files in the cabinet is not done randomly, but are given markers to differentiate one file from the other. The different markers can be in form of consecutive numbers, cover color, consecutive placement or based on date and so forth. The same applies to the telephone/address book that you have, normally this would be arranged alphabetically by name or certain category, such as friends, family members, clients and others. All are kept and organized to fit certain rules in accordance with desire. Your efforts to organize and implement the above will only be felt when the file data and list of addresses accumulate in volume. Why do you do this? The purpose is none other than to facilitate searching or taking certain data in the said files or address book quickly and easily. Just imagine if all files or the address list were unorganized, it would most certainly be difficult to search for such files or telephone numbers. Not only would this be difficult, it would also take a long time.

1.2 The Definition of Database

There are numerous definitions pertaining to database given by experts in this field. Database consists of two words namely data and base, which means based on data, however, conceptually database is interpreted as a collection or gathering of inter-related data, logically compiled according to certain rules, hence producing information. Information standing on its own cannot be called a database.Example: A telephone number of a customer is kept in many places whether in the customer file, in the address file or in any other location. There is no connection between one file and the other, hence should one of the customers change its telephone number and you can only change the customer file, then this shall result in data inconsistencies, since the other locations still keep data from the old telephone number. In a database system this may not and could not occur, since one file and another are inter-related, should you change the same data, then such data in other files shall automatically change as well. Therefore the level of accuracy/authenticity of data is extremely high. In principle, a database contains two vital components, namely Data and Information. Thus your final goal is how to process the data in order to be able to become the desired information as well as to enable the process of taking, deleting, editing towards data in easy and speedy manner (effective, efficient and accurate data) while information comprises data that has already been processed thereby having effective value and can be as material for discussion in adopting decisions.

Datacomprises facts, whether in form of an object, person and others that can be declared with certain values (numbers, symbols, certain characters, etc.).

Information

This constitutes the results of data processing into a form that is more useful and meaningful for the recipient that illustrates actual events (facts) used for decision-making.

The relationship between data and information can be illustrated as follows:

Picture 1. Data and Information

Data Process Information

73

Data Level

Picture 2. Data Level

1. CharactersComprise the smallest parts in a database, these can be in form of numeric characters (from number 0 up to and including 9), letters (A – Z, a – z) or special characters such a *, &, %, # and others.

2. Fields or AttributesComprise parts of records that show a similar type of data item. For example: field name, file NIM and so forth. Each field must have a certain name and data type. The contents of the field are named Data Value. In a database table, this field is also called a column.

3. Records or TupplesTupples/Records are a collection of value data from inter-related attributes and therefore can completely describe an entity. Example: an entity record of employees comprises value data from Employee_ID field, name, address, city, postal code and telephone number per line. In the database table, a Record is also named a line.

4. Table/EntityEntity is something that can be identified from a database system, which can be in the form of an object, person, location, event or concept, information of which can be stored in a database. Example: In an academic database system, the entity shall be the students, the lecturers, the subjects and so forth. In applications, the use of the term Entity is often equivalent to the term Table (Entity = Table). It is named Table, because in presenting the data, it is regulated in lines and columns. A line represents 1 column and a column represents 1 line. In a traditional database system, this entity/table is also named a file.

5. DatabaseA collection of inter-related tables, which are logically compiled, hence producing information that has useful value in the process of decision-making.

DatabaseA collection of inter-connected data items, which are organized based on a certain scheme or structure, stored in computer hardware and with software to carry out manipulations for certain needs.

74

Picture 3. Database

1.3 Database Management System (DMS)

Database Management System or abbreviated to DBMS is software that functions to manage databases, beginning from creating the database itself, up to and including the processes that apply in such databases, whether in form of entry, edit, delete, query towards data, preparing reports and so forth, both effectively and efficiently. A very popular type of DBMS currently is Relational DBMS (RDBMS, which represents data in form of inter-connected tables. A label is compiled in form of lines (records) and column (fields).

Management of Manual Data vs. Database

Generally manual data management is only suitable for managing data in small volume and information expected from such data is monotonous in character and is not repeated too often. The weaknesses in manual data management are as follows:

a. Data duplicationData duplication occurs because each respective part manages its own data. Therefore the same data is stored in various locations. For example: the student department has stored and managed student data for its interest, however the field of study department also stores and manages student data in accordance with its own interests.

b. Limited data sharingThis is what causes data duplication; because there is no inter-connection between one department and another or each department stands independently.

75

c. Data inconsistencyData inconsistency occurs due to there being storing and management of the same data in various locations. For example: Dodi is a student in the study subject of management, in semester 3 Dodi moved to accountancy. Department is one of the important components in an information system, since this constitutes the basis in supplying information, determining the quality of information: accurate, timely and relevant. Information can be declared as valuable if the usefulness thereof is more effective compared to the cost of acquiring such information. Reducing data duplication (redundancy) reduces inefficiency in external storage space for student affairs after having recorded Dodi’s data as an accountancy student. However in the management subject department, since there is no information, Dodi is still registered as a management student.Certainly this has dire consequences!

d. Lack of data integrityData inconsistency results in lack of integrity towards data. Integrity relates to data validity.

e. Difficulties in obtaining informationFor example at a certain time, the head of the academy wants data of students with scores above 3.00. Most definitely this would take up a lot of time to process, particularly if the volume of data processed already reaches more than thousands of records.

f. Non-flexibilityThe lack of response in the face of changes and developments towards the desired information. For example: should there be any changes in the desired data, then this should be repeated from the beginning. The same goes for the level of compatibility towards development of software in the future.

Data management can overcome all the above-mentioned weaknesses in manual data management in a database system. Hereunder are the benefits of using a database in managing an information system:

a. Data duplication can be minimizedData duplication can be minimized, and normally such duplicated data would constitute key fields. This is unavoidable, since such key fields are later used as keys for table inter-connectivity and relates to data integrity and independence.

b. High data integrityThe level of data validity is high, since the same data is inter-related, hence should there be any changes towards data of certain study subject matter file, then the same data in other files would automatically change as well.

c. Data independenceThe level of dependency of the data is extremely high, where you cannot do any changes towards any data, if such data was being used by another file. For example: you cannot delete data of a certain subject matter file, if the said subject file is being taken by a student in the KRS file.

d. High data consistencyThis is in connection with data independence; hence the level of data consistency becomes high.

e. Enables data sharingThis is one of the superior qualities of data management by database system, where you can share the utilization of files, whether through the network or through client servers.

f. High level of securityThe giving of passwords and access rights to a file results in only those with rights who can access such files. Hence this is safer.

76

g. Easy to obtain dataThe process of obtaining data and information from a database can be carried out easily, particularly by using Structure Query Language (SQL), which is the standard language in DBMS.

77

II. DATABASE PROCESSING WITH MICROSOFT EXCEL

Microsoft Excel is one of the popular advanced spreadsheet application programs favored for use to help calculate, project, analyze and present data.

Microsoft Excel is more towards making use of data and information entries concerning to various data interests, which are thereafter analyzed in accordance with the relevant institutional needs. Microsoft Excel facilitates User in categorizing data into forms of boxes/parts according to the need for information.

2.1 Pivot Tables

You can use a pivot table to analyze, summarize and manipulate data into a large list. A pivot table offers data analysis that is easy to adjust and is intuitive. Although the data presented in pivot tables appear like any other spreadsheet data, you cannot directly input or change data in the pivot table area. Pivot tables are connected to data sources, and what you see in the table cell constitutes read data only. Nevertheless, here you can still change formats (Number, Alignment, Font, Patterns) and select from various computation selections such as SUM, AVERAGE, MIN and MAX.

2.1.1 Preparation In Using Pivot Tables

For example: you have a Disaster table as in Table 1. The first thing to do is to determine data characteristics. Based on the mentioned data, there shall be two values available or every disaster namely available and no. We determine that available has a 1 value and no has a 0 value, we then transform data in table 1 to become a table like in table 2. Other than this, one can also create a flat table such as table 3.

Table 1. Example Disaster Document

78

Table 2. Transformation from Table 1

Table 3. Example flat Table/another form of transformation from Table 1

Practice 1.Create a Flat Table from the available data.

79

2.1.2 Working with Pivot TablesActivate cell A1

Picture 4. Disaster Table in Excel

Select Data menu > PivotTable and PivotChart Report.

Picture 5. Pivot Table and PivotChart Dialogue Box Step 1

Select Microsoft Excel list or database and also select PivotTable. Then click Next key. Dialogue box will appear.

Picture 6. PivotTable and PivotChart Dialogue Box Step 2

In this step you shall determine the reach of data you are about to input into PivotTable analysis.

80

Then click Next key, and you shall enter the last step of PivotTable and PivotChart Wizard. Select New Worksheet and click the Finish key.

Picture 7. PivotTable and PivotChart Dialogue Box Step 3

The results you generate from the above-mentioned steps can be observed in picture 8 hereunder.

Picture 8. Initial Display of PivotTable

Picture 9. Results of Analysis of PivotTable

81

III. DATABASE DESIGNING

Designing a database is an important matter, because it is here that you shall determine entity, attribute, the relation thereto and other concepts into a database system, hence the results of such design fulfills your requirements for information for now and in the future.There are three steps towards designing a database, namely:1. Conceptual Database Design2. Logical Database Design3. Physical Database Design

3.1 Conceptual Database Design

Conceptual designing is the first step towards designing a database. In accordance with the name, at this stage you only determine the applicable concepts in the database system to be created. At this stage, you should at least have knowledge of the following:1. Overall working procedures that apply to the currently working system.2. What output (information) is desired from the database?3. What are the weaknesses of the currently working system?4. System development for the future.5. How is the current security level of data?6. Who is involved in the currently working system.7. What input shall be necessary?A database designer must truly understand the currently working system and should know the system of the database to be developed as well as what output is expected. If you shall design an Ancestral Public Community Information System then you should know how the overall working procedures are in the Community, who are involved, what are the prevailing regulations, can just anybody access such database? Etc. The understanding of a database designer of the system to be developed shall very much determine the success or failure of his/her database design.

3.2 Logical Database Design

Logical database design is a stage to map out the conceptual design process into a database model that is to be used, whether hierarchy, network or relation data model. This logical database design does not rely on the DBMS in use, therefore this stage of designing is also named data mapping model.

3.2.1 Defining the Entities NeededAn entity is something that is easily identified from a database; it can be in form of an object, person, location, event or concept for which information shall be stored. Matters involved in a database system can be set as entities. From so many entity possibilities available, you should select only the entities that are suitable and able to accommodate the needs of the system that is to be designed. For example in the process of designing an Academic Information System, there are many possibilities that could be set as entities, for example: student, subject, lecturer. faculty, field, local and so forth.

Therefore, you can simply determine three primary entities involved in the process of academic activities, namely:1. Student Entity, with the function to store student data.2. Lecturer Entity, with the function to store lecturer data, and3. Subject Entity, to store subject data.

Picture 10. Entities in academic information system

The process of determining these entities are indeed quite challenging however it becomes easier when frequently practiced towards various database cases.

Student Study Subject Lecturer

82

3.2.2 Determining Attributes for Each Entity and the Key

After determining the entities involved in the database to be created, the next step is to determine the attributes fixed to those entities. Attributes are characteristics that are affixed to an entity and show similar type items. The same as determining entities, in determining these attributes there are also numerous possibilities, therefore you should select what attributes are needed by the database to be designed. Following are several possible attributes in a student entity: Index number (nobp) Name Place of birth Date of birth Faculty Field of Study Religion Gender Entrance Date Name of Academic Counselor Originating High School Address Names of Parents Education of Parents Occupation of Parents Address of Parents And so forth

3.2 Conceptual Model Design

This design shows entities and their relationship based on the process desired by the organization. An entity itself is an object that differs from any other object. In this conceptual model design, data analysis is required pertaining to the information available in specifications in the future. The database administrator carries this duty. The Conceptual Model does not rely on developer tools, DBMS, hardware or physical models.NormalizationEntity-Relationship

The normalization technique is normally used to design a database from an already existing system, or improvements/corrections of a system. The right E/R technique for database designing would be from the beginning, with no conditions. This module discusses more about Normalization.

Normalization

A normalization process is a process of categorizing element data into tables that show entities and relationships hence forming a good relationship structure. (‘as much as possible’ to delete redundancies, - in certain conditions redundancies could be required). Before we go too far, we should at least first know the definitions of the following terms:

Types of Keys A key is a field that can represent a record. For example: nobp is a key field of a student entity, therefore every search towards the student entity only needs to mention the nobp, then the field name, study subject and address can be known. The main requirement for the selection of a key field of an entity is that such field must be unique and should not have a NULL value.

There are four types of such key:

83

a. Candidate Key

An attribute or more that by unit identifies a record is named a candidate key. This attribute has a unique value in almost every record. The function of this candidate key is as a candidate primary key. Example: The lecturer entity in an academic database:

Picture 11. Lecturer TableIn this case, the CodeLecturer and NIP fields are Candidate Keys since each respectively has a unique character and may not be the same or have NULL value.

Example 2: Employee File: index number, name, place of birth, date of birth, address, city/townCandidate Key:Index number definitely uniqueName often used as search key but unsuitable for key since there could be identical names.Name + date of birth people rarely find the same name and birth date, although there could be twins (even twins normally have different names).Name + date of birth + place of birth people rarely have the same name. date of birth and place of birth, although this could apply to twins, and even twins have different names.Address + city/town unsuitable for key.

b. Primary KeyThis is a candidate key that has been selected to identify each record in a unique manner. A primary key must be a field hat is truly unique and there must be no NULL value. Example: Observe again the above lecturer entity, that is having two Candidate Keys, therefore you can take the LecturerCode field as a Primary Key since this is simpler in total digits and is unique. One can also use the NIP as the Primary Key; this depends on the database designer himself/herself.

c. Alternate Key

This is an unselected candidate key. Example: an entity has two fields that can be determined as keys. Meanwhile, only one can become a key, therefore you should select one field. The field you select is named the primary key, while the unselected field is named the alternate key. Example: Return to the lecturer entity above, should you select LecturerCode field as the Primary Key, then automatically the NIP field becomes its Alternate Key, so too vice versa.

d. Foreign KeyIf a primary key is connected to another table/entity, then the existence of a primary key in that entity is named as a foreign key. The LecturerCode Primary Code from the Lecturer entity is also used in the KRS entity field, therefore the existence of the LecturerCode field in the KRS entity is named as the Foreign Key.

Normalization FormNormalization rules are declared in normal form terms. A normal form is a regulation imposed on entities in a database and must be fulfilled by those entities until normalization is achieved. An entity can be said to be in normal form if such entity has met the rules of such normal form. The process for normalization is implemented through levels. The third level (Third Normal Form, 3NF) can actually produce a good database design.

Following are levels of normal form in the process of normalization: First Normal Form (1NF)

84

Second Normal Form (2NF) Third Normal Form (3NF) Boyce-Codd Normal Form (BCNF) Fourth Normal Form (4NF) Fifth Normal Form (5NF)Observe the following picture:

Picture 12. Normalization FormsAs seen in the above picture, each level of normalization depends on the preceding level. For example, the second normal form has definitely fulfilled the first normal form, the third normal form has definitely fulfilled the second normal form, and so forth.

1st Normal FormRule:An entity is said to be in first normal form if each of its attributes has a single value for each line. “a table can be said to be 1NF if each of its cells has a single value (Flat Table)”.

2nd Normal FormRule:An entity can be said to be in second normal form if:1. It is in first normal form.2. All attributes are not keys of Functional Dependency with other primary keys.

Functional Dependency is an X attribute with functional dependency on Y attribute if each X value connects to a Y value. For example a Name Attribute in a Student entity has functional dependency on the NoBP attribute, since each student name must have a NoBP.

At this stage you must select and divide such entity into several other entities that have primary keys. Hence each respective attribute that is not a key has functional dependency with such primary key.

3rd Normal FormRule:An entity is said to be in third normal form if:1. It is in second normal form.2. All attributes that are not keys do not have transitive dependency with the primary key.

Transitive Dependency occurs to entities using combined attributes as primary keys. As in entities in second normal form above, the primary keys are NoBP and StudySubject Code. Transitive dependency occurs if:a. Attribute X has functional dependency with attribute Y.b. Attribute Z has functional dependency with attribute X.

Boyce-Codd Normal Form (BCNF)

85

Rule:An entity can be said to be in BCNF if: all primary keys are candidate keys with unique characteristics.

BCNF has the provision that each respective attribute functionally fully depends on each respective key where such key is not a part of it. Relationships are BCNF (optimum) if each determinant for relationship attributes is relationship keys. Relationships are BCNF (optimum) if anytime the facts stored are concerning several attributes, then these attributes constitute one relationship key. BCNF can have more than one key. Important BCNF properties are relationships that do not have redundant information.

4th Normal Form (4NF)Rule:The fourth normal form relates to Multivalued Dependency of a table that is a development from functional dependency.

5th Normal Form (5NF)Rule: The fifth normal form relates to Joint Dependency among tables.

We shall not discuss the BCNF normal form, since normally the level of Normalization is already sufficient until the third normal form.

Case SampleImplement normalization on the following case:

Picture 13. Abnormal Table form

There are two main weaknesses in the above abnormal form:1. There is duplication in attributes, namely study subject attribute. The student with the name

Elizar has taken 2 study subjects, while Fikri has taken 3 study subjects where the study subjects they are taking are the same.

2. There is doubtful information, where there are two lines owning the same study subject, but with differing values. Actually those two lines show two persons with the same name but different values.

First Normalization:

86

Picture 14. First Normal Form

The above entity shows that each attribute has a single value for each of its lines. However redundancy and doubtful information remain unsolved.

Second Normalization:

Picture 15. Second Normal Form

Picture 16. Second Normal Form

The above illustration shows there are two entities with primary keys (underlined attributes), hence the other attributes have functional dependency on them. A student name attribute has a functional dependency towards NoBP. The SKS (Semester Credit System) and Value attributes have functional dependency towards the NoBP and StudySubject Code attributes.Apparently the above new entity design is still incorrect, particularly at the value entity, since: there is data duplication, namely in the studysubject name and sks (semester credit system). Should there by incorrect entry of studysubject and sks data, this could cause the data to be no longer consistent.

Third Normalization:

At the StudySubject Code in the above value entity, there is functional dependency with NoBP attribute, StudySubject Name attribute has functional dependency with StudySubject Code attribute. The following Value Entity is an example of an entity that fulfills the second normal form but does not fulfill the third normal form, due to there being transitive dependency.

Picture 17. Transitive Dependency

87

The above example shows that the primary key is the combination of NoBP and StudySubject Code. The studysubject, sks and value attributes possess functional dependency towards such primary key. However, please observe, that if StudySubject Code has the same value, then the StudySubject Name shall also have the same value. This shows there is dependency between those two attributes. Then which one shall be the determinant? Is it StudySubject Code depending on StudySubject Name? Or is it the other way round? The determinant is StudySubject Code, since this code has a unique characteristic and is different for each studysubject name. Therefore the Value entity should divided again in order to meet the third normal form rules.Pay attention to the following table after being changed into third normal form:Student Entity

Picture 18. Third Normal Form

Please try and observe, in this third normal form, are there still redundancies and inconsistencies in data? The application of normalization rules until this third form actually has satisfactory succeeded in producing a good quality database design. Nevertheless a volume of literature also shows discussions pertaining to the fourth normal form (4NF) and the fifth normal form (5NF) and here is also the Boyce-Codd normal form as improvement from the third normal form.

Practice 3Normalization of indigenous people profile data

IV. Implementation with Microsoft Access

A database or normally called a data basis is a gathering of data related to an object, topic or certain specific purposes. As an example a catalogue book in a library, company profile data, violation data, conflicts, etc. (in accordance with institutional needs). With Microsoft access you can manage all the data you possess into a database file. Database in access can consist of one or several tables, queries, forms, reports, pages, macro and modules, all of which are related or inter-connected.

Tables are tables of data gathering that are main components of a database.

Query is used to search for and display data that meets certain requirements from one or more tables. Query can also be used to update or delete several data records at the same time. Additionally query can be used to implement calculations on a group of data. A query can also be used to implement

88

calculations towards a group of data; a query can possess data sources up to 16 tables, and can own 255 different fields.

Form is used to display data, fill in data and change data in tables, When you open Form, Microsoft access takes data from one or more tables and displays this on the monitor screen using the layout you created through form wizard or from a layout you designed on your own.

Reports are used to display reports on the results of data analysis. You can print a report that has been categorized, its data subtotaled and totaled based on certain criteria. You can also prepare reports containing graphics or data labels.

Pages are used to create web pages (Page) in form of data access pages that you can place in the intranet network server or the Internet.

Macros are for the automation of frequently used instructions in processing data.

Modules are used for designing various advanced database processing application modules in accordance with your needs. These modules contain basic visual codes for applications that you write to handle events in access.

Why Access??

With Microsoft Access users acquire ease in managing a database, since all users using Windows Microsoft Operating System have made available Access Microsoft operating system program in Microsoft Office. Besides making available Wizard facilities and database samples that are easy to manipulate allows users to manage databases relatively easily, in a quick and professional manner. In this Microsoft Access our questions are answered due to containing several subjects that are generally and often used in managing a database whether for companies, government instances or institutions.

As software that functions to manage databases certainly MS Access possesses main tools or components to support such function. Following are the main components of MS Access 2003

Picture 19. Main Components of MS Access 2003Component Function

Tables are core components that function to store data with certain topics. Student data is stored in the student table. Data is stored and arranged in Record and Field forms.Queries function to display or request certain data from a database, in accordance with desire. A query can be used to access several tables simultaneously. Queries play an important role in managing a database.Forms function to display, input, edit, delete data and others though improved interface.In accordance with the name, Reports function to present reports;

89

Component Function hence such can be printed on the monitor screen or directly to a printer.

Macros are a series of instructions that can be imposed on an object in a form. A Macro can be stored and rerun automatically. Example: Instructions to open or close a form, instruction to print reports on forms, and so forth.Modules are codes that you create in accordance with MS Access rules, as support for the created applications.

Starting Microsoft AccessMS Access can only be run when the Windows operating system has been activated. Following are steps to start working with MS Access 2003: From Desktop Windows, click Start, which is available on the taskbar. A number of menus shall appear, then click All Programs > Microsoft Office Then click Microsoft Office Access 2003, observe the following picture:

Picture 20. Running MS Access

The initial display of Microsoft Access shall appear. From this display we can open the database file (select database file name, or click more . . . select database file name). End by clicking OK key.

Picture 21. Initial Display of Microsoft Access 2003

90

1. Menu Barcontains menu items that can be used to manage databases, menu item displays can change in accordance with the object being opened. Upon opening MS Access for the first time, the menu item that appears shall be:

Picture 22. Menu BarCompare with when you open a table, then the menu item display shall be as follows:

Picture 23. Menu Bar TableYou can see additional menu items, namely menu format and Records. Each menu has its own sources, in accordance with each respective function.

2. Toolbar Lineis a group of icons often used in managing databases. Icons that appear on the toolbar are also determined by what objects are being opened. Icons on the toolbar are actually already on the menu items, however the toolbar makes it easier for you to carry out a process.

Picture 24. Toolbar

3. Task Paneis a facility that functions to facilitate your working with MS Access, whether for creating a new database, opening an old database, or using template facility.

Picture 25. Task Pane

Through Task Pane, you can be directly connected to Microsoft Office Online to obtain the latest information surrounding Microsoft Office; additionally you can also: Open Microsoft Access Files that you have already created, by clicking the More link. Create a New Database File, by clicking Create a new file.Activation or non-activation of this Task Pane facility can be done by:Clicking Menu View > Toolbars > Then Click Task Pane.

Ending MS Access 2003

If you have finished working with MS Access 2003, you can close through several ways:a. Select and click File menu > Exit, orb. Click Close ( ) at the upper right hand corner of the MS Access 2003 window.

91

c. Double click the menu control icon ( ) at the upper left hand corner of MS Access 2003.

Picture 26. Menu Control Iconor

d. Press combination Alt-F4 keys.

Creating a DatabaseTo create a new Database with Microsoft Access 2003 is quite simple, that is by clicking the File menu followed by clicking the New menu or by pressing combination keys CTRL +N simultaneously from the main Microsoft Access 2003 window. Automatically, the Task Pane window shall appear on the right side of the Microsoft Access 2003 window, displaying the following picture:

Picture 27. Blank Database

Click Blank Database link .. to create a new database that is truly blank, this way shall display a new window to input the name of the database you are about to create. Following are the conditions in naming the database in MS Access 2003: The maximum length of the database name: 64 characters. This can consist of letters, numbers, spaces and special characters such as #, %, ^, etc., with

the exception of the point character (.), exclamation mark (!), the ‘ character and angle parenthesis ([]).

It would be best to illustrate the contents of the table.In accordance with the case you are in process of finalizing, namely the Indigenous people Information System, therefore it would be best if the name of the database that you shall thereafter create be given the name Indigenous people Database. End by clicking the Create key.

92

Picture 28 – Naming the Database

Picture 29 – Naming the Database

TableAfter creating a new database, new database window will appear, then click Tables on Object, and click New

Picture 30. New Table

Datasheet View – Create new table in Datasheet View form

93

Design View – Create new table in Design View formTable Wizard – Steps to create new table to store dataImport Table – Import table from external data for example Excel, Foxpro etc.Link Table – Create new table that is a link from another table

Or by:Double clicking Create table in Design view, we can create field name, select data type and its format for each fieldCreate table by using wizard, follow the guidelines in the dialogue boxCreate table by entering data, in this selection we can directly input data and its format has already been organized

Create table in Design ViewAt database window click TableClick twice to create table in design view

Picture 31. Table in Design View

At table window type table fields of districts and data type, do not forget to determine primary key, as in the picture hereunder:

Picture 32. Field ContentsTable Format

Table Design

Picture 33. Menu Design

94

Primary KeyTo provide a primary key in the field, click key picture in menu

Picture 34. Primary KeyFormatting data type

Picture 35. Data TypeTable 4. Data Type

NO. DATA TYPE DESCRIPTION MEASUREMENT1 Text Alphanumeric characters (for

data containing series of letters, numbers and symbols)

0-255 characters

2 Memo Alphanumeric characters 0-65536 characters3 Number Numeric value (numbers) 1.Byte, able to accommodate data value, in a

span of 0 – 255.2.Integer, able to accommodate numbers data

(round numbers), in a span of -32,768 up to and including 32,767.

3.Long integer, able to accommodate numbers data (round numbers), in a span of -2,147,483,648 up to and including 2,147,483,647.

4.Single, able to accommodate numbers data in a span of -3.402823E38 up to and including -1.401298E-45 for negative value and 1.402823E38 for positive value, both fractions and round numbers.

5.Double, able to accommodate numbers data in a span of -1.79769313486231E308 up to and including -4.906564581247E-324 for negative value and 1.79769313486231E308 up to and including 4.906564581247E-324 for positive value, both fractions and round numbers.

6.Decimal, able to accommodate numbers data from -10^28-1 up to and including 10^28-1.

4 Date/Time Data on date and time In accordance with setting of date and time of computer.

5 Currency Data in form of currency6 AutoNumber Contains numbers data that is

unique and sequential as well as automatic. This type of data cannot be updated.

7 Yes/No Logic value (for data that contains two possibilities)

95

NO. DATA TYPE DESCRIPTION MEASUREMENT8 OLE Objects For data containing external

data for example pictures, audio, video and others.

9 Hyperlink Link to certain internet location.

0-64000 characters.

10 Lookup Wizard

For data from certain data sources for example from fields from other tables or selection and final result is in form of a Combo Box.

Practice 3.Create further tables from indigenous people profile data.

Relationship

A relationship is a connection between 2 or more entities/tables. The relationship among entities/ tables consists of 3 types, namely:One to One (1-1)Example: 1 village has one sub-district

Picture 36. One to One RelationshipOne to ManyExample: 1 province has many districts

Picture 37. One to Many Relationship

Many to ManyIn a many to many relationship then a “file connector” is created containing 2 foreign keys originating from both entities.

Picture 38. Many to Many Relationship

How to Create a Relationship

96

In the window database click tableClick relationship key and the following picture will appear:

Picture 39. Relationship KeyClick show table.

Picture 40. Menu Show TableSelect table to be put into relationship.Click and drag field from one table to the other table.

Picture 41. Relationship

QueryQuery Design

To create query, follow these steps:Click database Query window.Double click Create Query in Design View.

Picture 42. Show Query TableSelect Table from where query is to be made.

97

Picture 43. Query DesignFrom the above query design, upon execution the following table shall be the result:

Picture 44. Results of Query ExecutionIf we want to display in only one district then we can use the said query criteria, for example we input the criteria of the district name.

Picture 45. Criteria in QueryThe results shall only show data in Merauke district in the display.

Picture 46. Results of Execution of Query with Criteria

Practice 4.1. Create Query to display communities on Sulawesi Island.

98

Create Form

To create template form, follow the steps hereunder:Select Forms in database window.Double click on Create Form in Design View > create design template in accordance with desire.

Picture 47. Design View Form DisplayClick New in database Window > to create form design in accordance with desire and data is taken from already created table or query.

Picture 48. New Form Dialogue BoxFrom the dropdown menu select district table then click OK – the following display shall appear

Picture 49. Form Design with data from TableThen Drag the fields in the table thus generating the form hereunder:

99

Toolbox Form

Picture 50. Contents of Form

Enhancing Display of Form

Picture 51. Toolbox in Form

Picture 52. Properties Form

Practice 5.Create a Form from tables already created.

100

ReportDesign Report Wizard

To create a Report with Report Wizard, the steps are as follows:Double click on the database window, the Report dialogue box shall appear.From this dialogue box select table/query.Click the sign > to select one of the fields that shall be displayed in Report or click >> if one wants all fields to be displayed.

Picture 53. Report WizardClick NextAt the next stage you can create a report field placement group by selecting one or more fields then click Next.

Picture 54. Report Wizard GroupingYour data sorting to be based on Ascending or Descending for the report you want to display.

Picture 56. Report Wizard SortingClick Next, lick radio button select layout and orientation > click NextSelect the desired Style, click NextFollow the subsequent instructions then click Finish.

101

Picture 57. Example of Results of Report Wizard

You can change the appearance of your report by clicking design view, and you can add other controls for example textbox, label, listbox, combobox, etc.

Practice 6.Create Report from Indigenous people Profile database table/query.

Bibliography

www.acrobatplanet.comwww.office.microsoft.comAccess Cookbook 2nd Edition, 2004Pengantar Perancangan Sistem (Introduction to System Designing), ErlanggaDatabase Management

102

Attachment 4 : Application of Social and Environment Safeguard Guideline

GUIDELINE

Application of Framework of Social and Environment Safeguard in the Implementation of JSDF Grant for Improving Governance for Sustainable Indigenous Community Livelihoods in Forested

Areas Project (JSDF-IGSICLFAP)

Compiled as Supplement to Operational Guideline

103

TABLE OF CONTENT

LIST OF TERMS (this section shall define the key terms important to understand by the Executor of JSDF-IGSICLFAP)

CHAPTER 1 INTRODUCTIONBackgroundObjectives of Policy on Social and Environment Safeguard

CHAPTER 2 DEFINITIONS and SCOPE OF SOCIAL AND ENVIRONMENT SAFEGUARD2.1 Definition of Social and Environment Safeguard2.2 Explanation on Social and Environment Safeguard

2.2.1 Social Safeguard2.2.2 Review on Environment

CHAPTER 3 APPLICATION OF SOCIAL AND ENVIRONMENT SAFEGUARD IN JSDF-IGSICLFAP

104

CHAPTER 1INTRODUCTION

1.1 BACKGROUND

1. Policy on “safeguards” of social and environment constitutes an effort by JSDF Grant for Improving Governance for Sustainable Indigenous Community Livelihoods in Forested Areas Project (hereinafter to be referred to as “Project” in this document) to carry out prevention, management and handling of risks of impacts that may potentially occur due to the activities funded by the Project. The safeguard policy is not only intended to avoid the social and environmental impacts that are adverse towards the environment and indigenous people resulting from an activity funded by the Project, but also to minimize the risk of such adverse impacts. If adverse impacts cannot be avoided, the Project shall plan and take steps of overcoming, repair, and compensation, if necessary.

2. The Project adopts Safeguard Policies that include Policy on Review on Environment (Environmental Assessment) and Policy on Indigenous people (Indigenous Peoples)1. The implementation of both of these safeguard policies shall be adjusted to the characteristics of each activity, particularly in the event of types and significance of the environmental impact as well as influences caused and involvement of Indigenous people in the activity funded by the Project. Project shall conduct filtering and identification of potential of impacts and determine steps to handle adverse impacts that are unavoidable by each activity, take steps to overcome the adverse impacts and monitor and supervise the implementation of such steps. The Project also documents and discloses to the public the entire activity in a range of cycle process of the Project or activity funded by the Project, whether at community level or at Project management level.

3. As a national-scale program that includes 18 Domain Managements and approximately 250 Ancestral domains, if not managed correctly, the Project can potentially cause adverse social or environmental impacts to the ancestral communities or a domain / ecosystem. The improvement to avoid, minimize, and manage, as well as to overcome social and environmental impacts continuously shall be done based on the experiences in the implementation of previous program.

4. In implementing the program, Project Executor shall ensure that no transfer (assignment) of right over ancestral land or domain shall occur in any ways whatsoever, which directly results from the implementation of the Project.

1.2 OBJECTIVES OF POLICY ON SOCIAL AND ENVIRONMENT SAFEGUARD

5. The Project adopts Social and Environment Safeguard Policy with the following objectives;a) To protect the health of human beings;b) To prevent damages to the environment or cumulative impacts resulting from the activity;c) To avoid conflict amongst members of the community and to build social attraction amongst

individuals or ancestral communities;d) To ensure that the design of each activity guarantees that Indigenous people shall obtain

social and economic benefits in accordance with local culture values that are not in violation of the values of human rights, which includes gender and inter-generation values and interests;

e) To ensure that each activity receives support from relevant Indigenous people through consultation process before the activity is implemented; and

f) To ensure that neither conflict nor legal uncertainty, whether at the time of implementation of Project or afterwards, shall occur. Therefore, in each Project cycle, a consultation process that is transparent and participatory, as well as documentation that is correct and transparent, are necessary.

1 Both of these Safeguard Policies are parts of the World Bank’s 10 Policies on Social and Environment Safeguard.

105

6. To guarantee the implementation of social and environmental policy, therefore the Project sets forth the following Negative List:

a. Financing for activities related to military or armed forces, financing for political activities or political parties.

b. Construction or rehabilitation of government offices or religious activities facilities. c. Purchase of arms, explosives, asbestos and other materials damaging the environment

(pesticide, herbicide, prohibited substances, etc.). d. Purchase of fishing boats with tonnage exceeding 10 tons and the equipments. e. Salary of government employees. f. Activities employing underage children. g. Activities related to production, storing or sale of goods containing tobacco. h. Activities taking place within protected area, unless there is a written permit from the

Ministry having jurisdiction over the concerned location. Activities damaging the protected area under the control of indigenous people without FPIC by the concerned indigenous people.

i. Mining or extraction and utilization of corals (alive or not) activities that damage the nature and or non-sustainable.

j. Activities related to management of source of water from flowing rivers from or to other countries.

k. Activities of changing the current of streams or rivers. l. Activities related to reclamation of land of over 50 Hectares (Ha). m. Construction of dam or water reservoir with capacity larger than 10,000 cubic meters.n. Activities with the potential of land acquisition and resettlemento. Economic activity with the potential of damaging the environment (whereby the activity

requires AMDAL or UKL/UPL)

1.3 PURPOSES AND OBJECTIVES OF GUIDELINE

7. This guideline is intended:

a) To ensure that all Project executors have the same understanding on Policy on Social and Environmental Safeguard and its application;

b) To provide all involved executors at all levels, whether consultants, facilitators, government and communities executing activities funded by the Project, with reference in applying the Policy on Social and Environment Safeguard, thus achieving the objectives of these Policies, as described above (paragraph 5).

8. This guideline is designed for use by all executors involved in the Project, based on their respective scope of task and roles in carrying out the Policy on Social and Environment Safeguard in each phase of Project cycle.

106

CHAPTER 2DEFINITIONS, SCOPE AND EXPERIENCES OF PROJECT IN APPLYING THE SOCIAL AND

ENVIRONMENT SAFEGUARD

2.1 DEFINITION OF SOCIAL AND ENVIRONMENT SAFEGUARD

JSDF-IGSICLFAP constitutes a project having significant impacts on ancestral communities, most of impacts of which can be mitigated through prepared plan of steps to overcome adverse impacts. Whereas the policies on social and environment safeguard in JSDF-IGSICLFAP are as follows:

a. Masyarakat Adat / Indigenous PeoplesThis constitutes the policy to (i) guarantee that Indigenous people shall receive benefits from a project and (ii) avoid or take steps to overcome unavoidable adverse impacts. A special handling shall be necessary when the project has adverse impacts on a certain Indigenous people, whose social and economic status obstructs its capacity to convey their interest and rights on land, domain, and other productive resources.

b. Review on Environment / Environmental Assessment This constitutes the policy to (i) evaluate potential environment risks and impacts of a project to its impacted domain (scope, depth, and type of review shall depend on the nature, scale, size and potential of environmental impact of the proposed project); (ii) review alternatives for project designs; (iii) determine methods to improve selection, determination of location, planning, designing, as well as project implementation through efforts of prevention, reduction, overcoming or compensation of adverse environmental impacts and increase the positive impacts; and (iv) include the process to overcome and manage adverse environmental impacts into project implementation. Prevention steps are prioritized over handling or recovery steps.

2.2 Explanation on Social and Environmental Safeguard

2.2.1 Social Safeguard

The social safeguard policy encourages the implementation of identification, consultation and providing of mechanism to face potential positive and negative impacts that may be caused by sub-projects to the Indigenous people. This guideline contains the procedures to ensure that all project activities are evaluated and potential issues of Indigenous people are identified and overcome before an activity that have potential impacts on Indigenous people begins, namely:1. To ensure that the Community fully participate and obtain benefits from the project through a

consultation process; 2. To avoid or diminish potential negative impacts of the project for the Indigenous people.

Social Safeguard Policy concerning Indigenous people underlines the compilation of planning steps to protect the interest of Indigenous people, which has its own social and cultural identity that is different from the identity of the broader community, which may easily cause them to become the party not receiving benefits from the development process. The Indigenous people can be identified based on the following characteristics:

1. Bond with the land, ancestral domain and natural resources within its region;

107

2. Self identification and identification by other parties as members of a certain cultural group;

3. Original language; 4. Distinct economy, social, cultural and political systems;5. Norms and Regulations as well as ancestral institution governing their lives.

Social Safeguard Practical Guidelines

1. Social ReviewIf the result of filtering in the Project preparation identifies an Indigenous people on location, therefore the Project shall carry out a social review to evaluate the potential positive and negative impacts. The depth and type of review analysis shall depend on the scale of the Project and its potential impacts. The completeness of this review shall become the prerequisite for submitting a request for participatory mapping (See Operational Guideline – Activity Mechanism and Decision Making Process)

2. Consultation and Participation When a project impacts an Indigenous people, therefore the Project shall ensure that a consultation process is carried out before the activity is. The project shall ensure such through: (i) carrying out consultation on preparation / planning and implementation phases, which involve cross-genders and cross-generations, including indigenous people organization and community self sufficient institution, (ii) application of method of consultation that is in accordance with social and cultural values of Indigenous people with special attention to women and youngsters, (iii) supplying information related to Project that is in accordance with the condition of local culture and in a language understood by the local Indigenous people. The mechanism of consultation shall ensure that the groups of Indigenous people: Are asked for their opinions in relation to sub-projects having impacts (positive or

negative) on them. Obtain opportunities to participate in a decision making in relation to sub-project. Obtain opportunities to participate in activity implementation. Obtain approval based on full consensus from the relevant indigenous people. Make decisions through their chosen decision making mechanism. The whole decision making process shall be free from duress from outside parties, such

as the government, NGO and security personnel.

3. Planning on Handling of Indigenous people

Based on social review and consultation with the Indigenous people that is negatively impacted, therefore the project shall prepare a Planning on Handling of Indigenous people to ensure that (i) the negatively impacted Indigenous people receives social and economic benefits from project implementation, (ii) the negative impacts cause can be avoided, overcome or compensated.

4. Bond with the land and natural resources(i) MA has a bond with the land, forest, water, environment and natural resources, thus special attention must be given should negative impacts occur. The Project shall ensure that the land and resources relevant to the ancestral law may still be accessed by the Indigenous people for the continuance of its culture and life. (ii) If the sub-project includes commercial development of natural resources on land within the domain of Indigenous people, therefore the project shall ensure that the Indigenous people receives sufficient information concerning rights on resources and utilization of ancestral land, in a free and transparent consultation prior to the implementation of the project. (iii) The Project shall avoid physical relocation of Indigenous people.

108

2.2.2 Environmental Review:

In analyzing environmental impacts, facilitators along with the community must be able to identify all potential impacts that may occur as a result of implementation of activity. The facilitators and community examine issues that may arise during and after the project. This section explains an environmental practical guideline based on good environmental management practices. JSDF sub-projects may apply this practical guideline to minimize the negative impacts of the activities carried out on the environment. This practical guideline is provided as an example, however the steps are not limited to what are explained herein. Several steps may incorporate local characteristics and can be adjusted using the best technology locally available.

Environment Management Practical Guideline

1. Prohibited IssuesA Negative List has been set forth for the activity implementation, which shall limit the activities that may have negative impact on social or environment.

2. Condition of Field Mapping (See Guideline on Participatory Mapping)

3. Livelihood Activities

A. Agro-forestry

1. To participate in providing policy provisions to provide incentive to farmers adopting agro-forestry (such as, land control or credit) and mitigate financial risks related to interventions, if possible. Threat of decrease in firewood availability may not be an adequate incentive for the farmers to grow trees. Farmers are often as interested in other wood products as they are in non-wood products (such as construction poles, fruits or medicines).

2. To train farmers and field staff to utilize field intervention. Training shall also include field visits by farmers and field staff to promising livelihood activities.

3. To build a partnership between the project and farmers. Farmers should have an opportunity during project identification and implementation process to convey their needs and choices in relation to biological and social economic interventions.

4. To develop a mechanism that enables farmers to cover operational costs, maintain control over trees, and receive technical advice. A revolving fund, association coordination or annual gathering can ensure support to project beneficiaries.

B. Household Industry / Small Industry

1. To ensure that the management plan can answer the anticipated use of natural resources and potential environmental impacts. Issues that must be addressed in the management plan should include:

o Information on the area, scope and location of activity; o Raw materials (namely, wood, drinking water, and fuel) and required storage facility;o Types and distance of contaminating disposal; o Evaluation of impacts of industrial activities; o Availability of disposal channel;o Placement and disposal of solid waste.

109

2. Monitor and diminish losses from environmental impact in each process of production.

3. Ensure that the financed activities do not use, produce, store or relate to hazardous substances (toxic, rust or explosives) or substances resulting in “B3” waste (Toxic and Hazardous Substances) (as recorded in the list of Negative Protection Regulations, points p to y, section 3.2.2. in the Implementation Guideline).

C. Farm

Animal droppings can maintain the fertility of soil and replace soil nutrition when collected and treated accordingly. On a contrary, uncontrolled droppings can pollute water and endanger human’s or animal’s health. For instance, droppings often is a carrier of disease bacterial organisms and it can pollute drinking water supplies with nitrate.

Animals’ droppings can be managed by way of the following: a. Preventing the rainfall from entering, irrigation and surface water nozzle into animals pen

and storage facilities;b. Preventing keeping too many animals in a pen;c. Shoveling/removing droppings from the breeding pens;d. Covering droppings with absorbent materials;e. Removing lumps of droppings / animals droppings;

Complaints of odor from a farm can be minimized by way of the following: a. For a sensitive environment, choosing a location and design of a farm prudently with adequate

distance between supports;b. Taking into consideration the existing direction of the wind, especially during dry season;c. Optimizing frequency of cleaning of pens;d. Maintaining dust at low level since the odor is absorbed and carried by granules of dust;e. Number of animals should not exceed the recommended density;f. Ventilation that can maximally shed the odor during cleaning of pens;g. Utilizing solid vegetation as support partition to circulate air flow (to disintegrate odor), filter

dust and relocate odor from sensitive areas;h. Placing halls of pens thoroughly, in relation to the direction of disposal of odor; and i. Collecting droppings and manure under a weather-resistant cover, before relocating the

droppings and manure from the location.j. Utilizing healthily formulated livestock feed.

D. Fishery

1. Conditions of fry (for cultivation):

Characteristics of good fry: a) Shape: good shapeb) Color : bright and glossyc) Scales : no sign of loss of scalesd) Movement : active and showing normal movemente) Reflex : trying to escape when touchedf) Feeling : slick texture

Transportation of fry:a) Fish can be transported in a plastic or polyethylene container and open container such as

drum, aluminum filled with oxygenb) Support power of a container / bag depends on

110

Size and health condition of fry Distance and time used Water temperature Availability of dissolved oxygen

c) Normally 8.000 – 10.000 fry (10 and 5 cm) can be transported in a drum (200 liter) for 12 – 14 hours

d) The following table can help plan the transportation of fry for 5 – 6 hours

Size of bib it Type of material of containerHundies (30 liter capacity) Drum (200 liter)

Total Per liter Total Per literspawn 50.000 1.700 - -1 – 2 cm 3.000 100 20.000 1002 – 3 cm 200 30 10.000 5010 – 15 cm 100 3 1.400 7

Ways to prevent death of fish:a) Check the quality of soil and water of the embankment before releasing the fryb) Ensure that the embankment is free from:

Grass and predator fish Mollusk /barnacle Predators such as snakes, frogs, birds, insects, etc

c) Ensure that fry is placed in different ponds according to age and size groups

d) Ensure the availability of fish natural fodder

e) Use healthily formulated additional fodder

2. Conditions for equipments to catch fish:

a) Type and size of the equipments must follow the regulations of Government of Indonesia (Letter of Decision of Minister of Marines and Fishery Affairs No. 6/2010) such as :

jaring lingkar (surrounding nets ); pukat tarik (seine nets ); pukat hela (trawls ); penggaruk (dredges); jaring angkat (lift nets ); alat yang dijatuhkan (falling gears ); jaring insang (gillnets and entangling nets ); perangkap (traps); pancing (hooks and lines);

alat penjepit dan melukai (grappling and wounding ).

b) The equipments shall not cause damages to the environmentc) The equipments shall be made from environmental friendly materials

E. Tree saplings / vegetation seeds

Tree saplings / vegetation seeds should be:

1. In good condition.

111

2. Healthy (free from disease, fungus, bacteria, and virus).3. Buds and roots are well grown.4. Local original species.5. Legalized from its known origin or local source (if possible).

Storing of seeds should meet the following:

1. It should use bales / poly-bags for packaging2. Moss bales/poly-bags need to be kept wet until usage 3. It should be stored in a cool storage with adequate ventilation4. Cultivation may be immersed in cultivation solution prior to transportation5. It should protect the seeds from overly hot or cold weather6. To know the number of trees to be planted, one must know the following:

a. Areas that need to be plantedb. Placement of distance of seeds

112

CHAPTER 3

APPLICATION OF SOCIAL AND ENVIRONMENTAL SAFEGUARD

3.1 WHAT IS THE DEFINITION OF IN-DEPTH APPLICATION OF SOCIAL AND ENVIRONMENTAL SAFEGUARD?

An in-depth social and environmental safeguard is steps to prevent and handle adverse social and environmental impacts.

3.2 WHO APPLIES IN-DEPTH SOCIAL AND ENVIRONMENTAL SAFEGUARD?Social and environmental safeguard is carried out by all practitioners at all levels, Senior Management, Domain Management, Regional Management, Domain Facilitator, consultant, and public.

- Senior Management includes: - Domain Management includes: - Regional Management, - Domain Facilitator, - Consultant and, - Public

3.3 WHY IS IN-DEPTH SOCIAL AND ENVIRONMENTAL SAFEGUARD NECESSARY?The application of in-depth social and environmental safeguard is necessary to ensure that the implementation improves the social and environmental quality and reduces and avoids negative impacts, and realizes the conservation of the environment for its sustainability.

3.4 WHEREIN SOCIAL AND ENVIRONMENTAL SAFEGUARD ENGRAVED?The application of in-depth social and environmental safeguard has become a working principle of the Aliansi Masyarakat Adat Nusantara. This policy shall be included as a part of the Operational Guideline, including its explanation and supporting forms, and it shall also be included in the training material. This policy is applied in the following phases:- Determination of AMAN Community Member receiving the Project- Masyarakat Adat Nusantara Congress- AMAN National Working Meeting- AMAN Senior Management Meeting- Domain Consensus and Domain Working Meeting- Regional Consensus and Regional Working Meeting - Sub-village Consensus - Activity implementation- Supervision and Monitoring- Facilitation and Problem Handling - Documentation and Reporting

3.5 HOW IS ITS APPLICATION ON PREPARATION AND SOCIALIZATION PHASE?The application of in-depth social and environmental safeguard on Preparation and Socialization phase is carried out by ensuring that all layers of AMAN are participating in the dissemination and socialization activities in various forums and levels, namely: Determination of AMAN Community Member receiving the Project, Masyarakat Adat Nusantara Congress, AMAN National Working Meeting, AMAN Senior Management Meeting, Domain Consensus and Domain Working Meeting, Regional Consensus and Regional Working Meeting, and Sub-village Consensus. Policy on social and environmental safeguard must be explained in each of the aforementioned phases of activity.

113

3.6 HOW IS ITS APPLICATION ON PLANNING PHASE?The application of in-depth social and environmental safeguard on the planning phase is carried out by taking the potential social and environmental adverse impacts into consideration and as evaluation criteria in preparing proposal document, proposal verification process up to technical design process, as well as decision making in KMAN, RPB and Rakernas.3.6.1 Community / Sub-village Consensus and Consensus.

The Negative List must be complied with and taken into consideration since Community / Sub-village Consensus.

3.6.2Training for Proposal Writing Team / Tim Penulis Usulan (TPU). AMAN management at various levels, Domain Facility and Consultant must explain procedures in filling the form with due observance of the safeguard policy:

- “Proposal for Activity” Form: suggests activities that have no negative impact of social and environment

- “Community Self-sufficient Capability” Form: explains the community’s willingness to donate.

Facilitator must also explain mitigation steps and handling of potential negative impacts in the implementation.

3.6.3 Priority of Proposal. Recommendation from the Verification Team, which has taken into consideration reviews on environmental and social adverse impacts as well as land adequacy as explained above, shall become one of the considerations in the evaluation of priority of proposal in this Consensus.

3.7 HOW IS ITS APPLICATION ON IMPLEMENTATION PHASE?The application of in-depth social and environmental safeguard on the implementation phase is by implementing the results of review on social and environmental adverse impacts from the planning phase to implementation activities, starting from socialization of results of KMAN, Rakerwil, Rakerda, training or OJT for Activity Management Team, pre-implementation meeting up to infrastructure construction period 3.7.1 Sub-village / Community Consensus on Results Information

This Village Consensus must re-confirm the results of review on funded proposal for activity:

- Reconfirm to observe the Negative List. - Agree on the mechanism and schedule for realization of self-sufficient in

accordance with its list of willingness agreed previously. - To socialize the prevention and handling of potential social and environmental

adverse impacts that may occur. Participants of Consensus may convey additional input on this matter in accordance with local condition.

3.7.2 Pre Implementation MeetingAgree on:- The technical of implementation in realizing self-sufficiency. - The technical of implementation in realizing the prevention and handling of

potential social and environmental adverse impact.

3.7.3 Period of Implementation of ProjectTo assist and monitor the prevention and handling of potential social and environmental adverse impacts during the period of implementation of project. Its implementation refers to the results of review on safeguard on planning phase, including result of filling of relevant forms, as well as results of Pre Implementation Meeting concerning technical of implementation agreed upon.

3.8 WHAT ARE THE ROLES OF THE PARTICIPANTS IN THE APPLICATION OF SOCIAL AND ENVIRONMENTAL SAFEGUARD?

114

Each participant plays a different role in the application of social and environmental safeguard. Each role is described as follows:

Management at various levelsPB AMAN, PW AMAN, PD AMAN, Dewan AMAN. In the application of social and

environmental safeguard policy, AMAN Management must understand this policy and its function is to supervise the application. The Management ensures that the Negative List is complied with.

Project Staff and Consultant

Project Staff and Consultant can be at National, Domain and Regional levels, in accordance with necessity. Their roles are more as supervisors of activities through routine visits to the location of the Project.

AMAN Member Community

AMAN Member Community must understand the application of in-depth safeguard, especially identification of potential social and environmental adverse impacts that are taken into consideration in the verification, preparation of proposal, completeness of planning document and land procurement arrangement process.

AMAN members play a role in a broader socialization of understanding of social and environmental safeguard as well as to implement it in the implementation. AMAN Members must really understand the potential adverse impacts that may be caused by the project on social life and environment, thus able to participate in the prevention and handling. As such in relation to the completeness of land procurement documents, it must be well understood by the public, thus able to play the correct role.

3.10 HOW IS THE DOCUMENTATION AND REPORTING OF SOCIAL AND

ENVIRONMENTAL SAFEGUARD?

Documentation and Reporting concerning in-depth social and environmental safeguard shall follow the generally applicable flow and mechanism. Report on the application of this policy shall be supplemented to each Monthly Report and Annual Report, whether at sub district, district, provincial or national levels.

The report shall include:- The documentation for the application of in-depth social and environmental safeguard in each

phase of the program shall begin from the planning and socialization, implementation and conservation phases, including recapitulation of filling of forms in relation to safeguard policy.

- Identification and evaluation of issues in relation to potential negative social and environmental impacts, as well as the plan to prevent and handle such.

- Documentation of good practice to be used as learning material in the future application.

The preparation of documentation and reporting of application of social and environmental safeguard can be compiled from consensuses of each phase of activity and result of filling of forms related, as well as results of supervision in the form of monitoring of implementation of each phase.

115

3.11 HOW IS THE COMPLAINT AND HANDLING OF ISSUES IN SOCIAL AND ENVIRONMENTAL SAFEGUARD?

Complaint regarding and handling of issues in social and environmental safeguard shall follow the stages and flow of mechanism. Complaints concerning violation of this policy shall be documented in stages. This complaint may consist of findings on social negative impacts damaging the community, environmental damages, or inaccuracy in realization of land procurement as well as practice of implementation that is different from the handling plan agreed previously.

As such other complaints, therefore complaints in relation to social and environmental safeguard shall be announced every month in the website. More innovative methods, such as community radio station, shall be used in various regions to discuss public complaints. All complaints conveyed shall be documented in the Community or Regional Board, Domain Board and AMAN Board.

116

Attachment 5: Working Mechanism with Domain and Regional Management of AMAN

This guideline is to regulate and build the working mechanism of project or program in relation to the cooperation relationship and distribution of funds from PB AMAN to Domains and Regions. This cooperation takes the form of facilitation for Domains or Regions that constitute one umbrella organization.The forms of facilitation of cooperation of projects or programs granted by PB AMAN to AMAN in Domains and Regions are based on the following: 1. It has been appointed as Domain or Regional Management based on results of Domain / Regional

Consensus.2. It has a structure of management in an organization consisting of at least 1 finance employee and

1 program employee3. It uses organization’s special account

The activities and budget to be carried out by PW/PD AMAN are as follows:

Participatory planning and design amounting to 250 times 2000Workshops on Participatory Planning and Land amounting to 44 times 2242Empowering of Ancestral Domain Registration Agency offices amounting to 18 times

4000

2. COMPONENT: Capacity Building for Community-Based OrganizationsPackage Trainings on organizational management system conducted amounting to 18 times

3000

Conducting trainings on Community Organizing amounting to 36 times 5000Capacity building of indigenous women amounting to 7 times 6000

3. COMPONENT: Forest Resource and Cultural-based Income Generating ActivitiesFinancial Support for Indigenous Women Groups amounting to 20 times 3500Participatory planning and design amounting to 250 times 2000Workshops on Participatory Planning and Land amounting to 44 times 2242

Payment mechanism and decision making process: 1. Domain/Regional Management submits proposal for a need for an activity (such as

training/workshop) to the Project Executant 2. Project Executant consults with Directing Team/PB AMAN concerning the need of each activity

at national level, together they decide on the granting of facility after studying the proposal for need accepted

3. The approved activity facility shall be followed up by:- A process of negotiation / revision of budget, which shall be carried out by Project

Executant and Finance Staff;- Approval for granting of activity facility shall be done in writing in accordance with

attached form.4. Delivery of funds shall be done in 2 phases, the first phase shall be 95%, and the final payment

shall be made after the activity is concluded and the report is received by the Implementing Team; PW or PD shall notify when the funds are received by their accounts

5. Activity monitoring : Submission of Financial Statements and Narration as well as returning remaining activity funds shall be done at the longest 2 weeks from the beginning of the activity.

117

Attachments:1. Letter of Approval of Granting of FundsAMAN Letterhead

Jakarta,

Letter No. : 000/Kesepakatan/JSDF/AMAN/month/year Attachment : Cooperation Agreement No. (number of component of activity. Mis. 001.1) concerning (title)

To: Chairman of Daily Management InstitutionDomain / Regional AMAN

Subject : Letter of Approval for Granting of Funds (number of component of activity. Mis. 001.1) concerning (title)

Greetings!Congratulations! With this letter we hereby notify that the activity by the name of “ title” proposed by AMAN ….. located in …… , has been approved. The activity, by the name of (title) is supported by a budget amounting to Rp……..(in letters) with period of implementation of …..months from ….to…...This cooperation is to support the activity by the name of …….and confirmation by MA in ……. (domain) As such is this notification, as information and approval for mutual agreement in building the works of organization of indigenous people.

Respectfully yours,

NameProject Leader JSDFCopies to:1. SecGen of AMAN2. Finance Director of PB AMAN3. FILE

2. Letter of Agreement of ActivityLOGO AMAN No.MOU: (filled by PE)

Period of Activity : (filled by PE)

Name of activity

Location of Implementation

Purposes

Output

Total of Approved Funds Rp. (filled by PE)

Date of submission

Name of Domain/Regional ManagementAddress

Telephone Fax:

Email Website:

Organization’s responsible party (Name) Cell phone:

118

Email: Project’s responsible party (Name) Cell phone:

Email:

T r a n s f e r o f F u n d s

Name of Bank

Name of Account Holder

Account Number

S u m m a r y o f B u d g e tNo. Description Unit Unit Price Total

MappingDetails of activity 1 000Details of activity 2 000Secretariat and Administration 000Total 000

Payment shall be made in the following scheme:A. After this Agreement of Activity is filled and approved by Domain Management or Regional

Management, the Senior Management shall them transfer 95% of the total activity funds proposed or amounting to Rp. …………………………….(the amount is adjusted with the funds proposal form).

B. Payment shall be made through a transfer mechanism through the Bank Account of Domain Management or Regional Management.

OBLIGATIONS of Domain Management or Regional Management1. It shall be responsible for matters contained in the title and description of the activity carried out.

2. It shall submit narrative and financial reports at the longest 2 weeks after the activity is concluded.

3. It shall convey all records / documentation on use of activity funds and inform all aspects related to this Agreement to the finance management of AMAN Senior Management. All original supporting documents shall be conveyed to PB AMAN for verification.

4. PW/PD AMAN is willing to return funds amounting to transaction should there be insufficient or invalid evidence of the transaction.

5. PB AMAN shall no longer provide advance money for the activity as long as the reporting of the previous activity along with the supporting evidences are not concluded.

6. It shall provide access to staff of PB AMAN to all documents related to the implementation of relevant activity

TERMINATION and SUSPENSIONWhether the Senior Management or the Domain Management or Regional Management may at anytime terminate or suspend this agreement, after consulting each other, should there be a concern that undesirable matters that may obstruct the success of activity may occur. In relation to the termination of suspension of activity, whether PB or PW or PD must consult each other to seek for further steps that are needed to be done or should be done.Senior Management and Domain Management and Regional Management have stated that they have agreed on all provisions as contained and declared in this sheet of agreement.

Senior Management of AMAN Domain / Regional Management AMAN,

Name………………………….. Name………………………PB AMAN Activity Responsible Party PW AMAN Activity Responsible Party

119

Date : _________________ Date : _________________

Kindly deliver the signed Cooperation Agreement through email or to the address stated below to facilitate the process of disbursement of funds. To: Senior Management of AMAN Jl Tebet Utara IIC no 22 Jakarta Selatan 12820Tel. /Fax: 021 8297954Email : administrasi.jsdf@aman.or.id

3. Form of Activity Report

Form of Activity ReportAgreement Number: …………….

Activity Executant of Domain/Regional Management

Name of Activity

Period of Implementation

Total Activity Funds (details on use of funds and evidences are required to be attached)General information on location of implementation of activity

INVOLVED PARTIES

Indigenous people / Participants Number of Male : Number of Female:

Facilitator (if unavailable, leave it unfilled)

Source (if unavailable, leave it unfilled)

Government Number of participants : name of agency:

NGO

Other parties (please insert should it not be contained in this form)

RESPONSES TO IMPLEMENTATION OF ACTIVITY

Indigenous people / Participants

Source

Government

NGO

Other Parties

120

DESCRIPTION OF ACHIEVEMENT OF RESULTS OF IMPLEMENTATION OF ACTIVITY

Method of phases of implementation and materials or substances and equipments usedIndicators of achieved results (measurable ones), such as map, profile, number of beneficiaries, etc.Learning, changes and impacts acquired

Obstructions faced

Strategy to overcome obstructions faced

Unfulfilled targets

Recommendations

Signature of Activity Executant

4. Form of Financial ReportFINANCIAL REPORT (4.1)

Name of Organization:Name of Activity :Period :Agreement No. :

No. Description of Budget Approved Budget Expenses Remaining Budget

        

        

        

        

  Total Grant      Total Approved Budget

Total ExpensesRemaining Budget (Return)

Organization’s Responsible Party in Finance Organization’s Responsible Party

Signature: Signature:

121

Name: Name:Position: Position:

Date of signature: Date of Signature

REPORT ON DETAILS OF EXPENSES (4.2)

Name of Organization:Name of Activity :Period :No. of Agreement :

No. Voucher Date Description Total ReferenceCode

 001     

002

Report on Details of Expenses

*attached evidence and original receipts

Organization’s Responsible Party in Finance Organization’s Responsible Party

Signature: Signature:

Name: Name:

Position: Position:

Date of signature: Date of signature

5. Supporting Evidences / DocumentsFinance Supporting Evidences / Documents1. In general valid and acceptable finance supporting evidences / documents are as follows:

a. Supporting documents must contain the date of transaction, name, address, and detailed information on telephone number and vendor or party receiving money, and the amount paid.

b. The authenticity and accuracy of the signature affixed to the supporting documents must be easily proven.

c. Supporting documents must include the date of commencement and termination of a cooperation agreement.

2. All expenses must be supported with supporting evidences / documents from third parties in the form of original invoice / receipt / note, in order to meet the requirements for reimbursement by JSDF for such expenses. PB AMAN is entitled to question and ask for explanation and accountability on doubtful supporting evidences / documents, such as cross-out, torn, and others.

3. Finance supporting evidences and documents in accordance with the types of costs are as follows:

122

a. Communications Costs incurred upon use of office telephone, facsimile, internet, hand phone and

stamps or courier to deliver letters / documents, which are related to the implementation of project / program activity.

It is suggested that communications using hand phone top up vouchers shall not be charged to the project / program funded by PB AMAN. However, in a certain condition or for a certain domain, PB AMAN may give its approval and it should be stated clearly in the approved budget. Use of hand phone top up voucher claimed must be furnished with note / receipt from the vendor, complete with the name of user, time and purpose.

Reimbursement for wartel or telephone services for office telephone number must be based on billing from telkom / provider of the telephone concerned.

b. Office Utilities (water and electricity) Payment for use of water and electricity for office needs. Its supporting evidences / documents are proofs of payment officially issued by PAM

(for water) or PLN (for electricity) in accordance with the period of billing stated, name and address of user.

c. SalariesSalary is an amount paid routinely / monthly to the staff working in a project / program. The salaries paid must be fair and in accordance with the tariff applicable in the market. Supporting Documents for Salaries: Contract or employment agreement signed between employees and employers upon

letterhead of Institution, including information of at least: Name, address and telephone number and Identity Card of staff Name of position and duties or details on work Rights and obligations of employees and employers, in accordance with Indonesian

manpower law Amount of salary and other benefits Period of contract

Receipt and payment of salary must contain the date of transaction, name of recipient, amount of payment, and period of payment. Receipt for payment must be signed by staff, proof that the employee receives full payment.

d. Transportation Reimbursement for transportation must be paid based on actual cost by attaching original evidence from third parties (such as airplane ticket, boarding pass, airport tax, vessel, train, bus, taxi receipt) and furnished with name of personnel, destination of travel, and duration of travel, signed by the program coordinator.

Air Transportation Air travel must use economy class by going through the shortest direct distance. Over-expense occurring on use of route with further travel distance and cost for

baggage over limit shall not be reimbursed by PB AMAN. Cost of donation normally incurred at the airport, such as Indonesian Red Cross (PMI) cannot be charged as program expenditure.

Supporting evidences / documents for air transportation are as follows: Receipt/invoice from the travel agency for receipt of payment for ticket Original ticket (for electronic ticket, copy of itinerary needs to be signed by the

person travelling) Boarding pass Receipt for airport tax

123

If any of the aforementioned documents is lost by the person travelling, therefore the person is obliged to make a letter of statement of lost, and the letter must be approved by the institution (signed by project/program leader).

Sea&Land Transportation For sea and land transportation using vessels, trains or buses. Supporting evidences / documents for sea and land transportation are as follows:

Receipt/invoice from the travel agency for receipt of payment for ticket (if any) Original ticket of vessel, train and bus containing date of travel, place of departure

and arrival, and ticket price.

Vehicle RentalSupporting evidences / documents for vehicle rental necessary are: Rental agreement containing provisions on rental agreement, in examples, daily rental

tariff and whether or not the price includes fuel, driver honorarium, insurance, etc. Receipt of payment which includes information on date of transaction, date of use of

vehicle, rental tariff per day, rental tariff with or without fuel, and the amount paid. The receipt must be signed by the recipient.

Copy of Car Registration (STNK) of the rented vehicle.

Local TransportationLocal transportation for staff is intended to carry out duties related to program activity, such as technical assistance and program supervision, in the same city but in different locations. Local transportation can also be provided to participants for a program activity for one full day within the city.

Supporting evidences / documents for local transportation: Payment in lump sum : Receipt signed shall contain: amount received, destination of the travel, date of travel,

name and signature of the person travelling. The amount paid for local transportation shall not exceed the amount budgeted. Payment for taxi Official receipt issued by the taxi company or institution containing date of transaction,

amount paid, also place of departure and arrival. The receipt should be signed by the driver and staff travelling.

Amount paid for taxi shall not exceed the amount budgeted for local transportation.

Institution or Personal Vehicle Use of vehicles belonging to institution or staff for business trip conducted by a staff from the office to the place of activity located in the same city.Supporting evidences / documents for local transportation using institution or personal vehicles: Note of use of vehicle containing distance travelled and/ clearly stating the time of

departure and arrival. Receipt for purchase of fuel supporting the business trip. Amount in liters and fuel

purchased and charged as program expenses. Amount reimbursed shall not exceed the amount budgeted for local transportation.

e. Per Diem Per diem constitutes standard amount paid to staff conducting business trip and/or

participants of training/workshop to cover the meal expenses and miscellaneous expenses during their stay in a place aside from their residence.

The amount of per diem paid to participants must be consistent. Each participant must receive the same amount per day, it is not allowed for some participants to receive larger amount of per diem than the others with reason of their positions/ranks.

124

Supporting evidences / documents for per diem: For each payment of per diem, the receipt signed by the recipient of per diem must be

issued and must at least contain the following information: Name of recipient Date of payment Number of days paid for (Standard) daily tariff applied Total amount paid

If the accommodation is related to a training/workshop, the list of daily attendance of participants that has been signed must be kept. Signature from the recipients of per diem as proof of receipt of per diem payment must be the same as the signature on the list of attendance.

f. Meeting PackageMeeting package constitutes costs related to space rental, lunch and snacks provided at a place during the training/workshop/seminar or other meetings. These services are normally provided by hotels or other vendors.Supporting evidences / documents for meeting package: Receipts / invoices printed out by vendors (normally hotel) containing sufficient

detailed information to accurately calculate the amount charged. The total participants charged must be in accordance with the daily list of attendance that has been signed. Vendors must issue receipts, preferably on a letterhead, and signed and stamped by the recipient of the payment. If the vendor is not a hotel, therefore the name, address and telephone number of the vendor must be stated in the invoice.

If the total cost of a meeting package for one event exceeds Rp 5,000.000, then the process of price offering must be conducted and kept by the institution and there should be a letter of justification of selection of a certain location. If the process of price offering is not conducted, then there should be a clear written reason stated.

If the meeting package or rent of a place is held in a sub-village, where the participants stay in residents’ houses and use the ancestral house or the auditorium in the sub-village. Evidence may take the form of a letter of justification from the sub-village / ancestral chief or the responsible party

g. Meeting Kit and SuppliesThe term “meeting kit” is used to refer to materials of training/workshop/seminar or other meetings such as materials copied/printed, pens, pencils and block note/book provided for all participants. Normally these supplies are provided for as “kit” in a folder or bag. Supporting Documents for Meeting Kit and Supplies:

Receipt/invoice issued by trusted vendor, containing sufficient information for matching date of transaction, list of name of goods purchased, amount, unit price per type of goods and total amount paid.

For all activities, wherein meeting kit is provided, the daily list of attendance of participants that has been signed must be kept. The amount of meeting kit purchased must be the same as the number of participants.

Samples of workshop materials, or at least copies of title page of each material, must be kept as a part of supporting documents.

h. HonorariumPayment given to sources, facilitators, clerks, writers or other consultants contracted to carry out a duty or activity in relation to implementation of program funded in accordance with the budget.Supporting evidences / documents for payment of honorarium:

Proof of payment (receipt) for honorarium must be signed by the recipient of honorarium and affixed with revenue stamp in accordance with the regulations prevailing in Indonesia. The receipt for the payment must contain clearly the name of

125

recipient of honorarium, stating the date of payment, amount of honorarium paid, period of payment, duties completed and name of activity/program.

The contract is signed by recipient of duty and the institution representing. The letter of contract must contain the following information: Name, Address and telephone number of recipient of duties Provisions in the contract Honorarium (price agreed upon to complete a duty) or daily tariff (payment in

accordance with days of work) Results to be handed over as proof of completion of duty (if any) Period of contract

i. Rentals (meeting room, laptop, LCD projector, sound system, etc)Fees paid for renting meeting room and/or office equipments to carry out activities funded by grant. Normally, the facilities are provided by the hotel as parts of a meeting package, however, should it not be included in the meeting package, a separate invoice should be issued.Supporting evidences / documents for rentals:

Receipt/invoice from the vendor containing details on rented services/equipments. The information contained in the invoice must be able to be proven and traced to the date of activity. As an example, an invoice must contain the name of activity, date and place of activity in accordance with the transaction of rental.

If the fees for rentals exceed Rp 5,000.000, then it must go through a process of tender, and the basis of the result of the selection of vendor must be documented and kept. If the process of tender fails to be done, then the partner organization/institution must provide an acceptable reason.

If an equipment is rented for a long period of time (more than several weeks) to support the continued implementation of activity, or if the equipment (such as computers) is rented in large amount, then a rental agreement is necessary. The agreement shall contain the terms and conditions of the rental.

j. Printing (poster/flyer/banner/backdrop/t-shirts/books/papers)Costs incurred to print promotional materials (such as: poster, flyer, backdrop, banner, t-shirts, multi-media and other merchandise) or to print the result of implementation of activity (papers, books, prosiding) for distribution to public.The content of the materials must be examined and approved by PB AMAN prior to printing. It is not allowed to print controversial materials using funds from PB AMAN. The policy on affixing identity (logo) of PB AMAN and donor institution must be well observed.Supporting evidences/documents for printing:

Receipt/invoice from printing containing information of the amount printed, unit price and total amount paid.

If the cost of printing the materials exceeds Rp 5,000.000, then the procurement guideline must be complied with to choose an adequate vendor. Photo or picture of the materials produced must be included as supporting evidences. Procedures for implementation of tender process must be complied with in choosing a printing company.

Sufficient information must be documented by the partner organization/institution thus proving the amount printed. List of distribution must be kept in a file. Validity document on how and to where the materials are distributed must be available.

Printed materials, or photos of the materials produced (such as banner, backdrop, etc.) must be kept as supporting evidences.

k. Cost of Event DocumentationFees for photographer, photo printing and documentation in the form of a video of an event must be in accordance with the approved budget.Supporting evidences/documents for event documentation:

126

Receipts containing date of transaction, name of store, amount of photos printed, total amount paid as well as signature and/or stamp from the store.

For service fees paid to photographers/cameramen, it shall refer to the guideline for the aforementioned supporting document for payment of honorarium.

If documentation of an event is carried out by a vendor with total price exceeding Rp 5,000.000,- then it should comply with the procurement guideline to choose an adequate vendor.

Attachment 6: Financial Report Format

1-A

DESIGNATED ACCOUNT (DA) RECONCILIATION STATEMENT

Aplication No.  

Credit/Loan/Grant TF No.  

Account No.   with Bank  

1. Amount advanced by World Bank

US$  

2. Less total amount recovered to date

US$  

3. Outstanding amount advanced to DA (substract 1-2)

US$   (1-2)

4.

Amount in DA as per attached Bank Statement (dated ___________ )

US$  

5. Amount claimed in attached Application

US$  

(a) Deduction to Appln. No. ……………….. (WBOJ use only)

(i) Refund due to SAUS$  

(ii) To be re-claimed:

US$  

Total :

US$  

(b) Deduction to previous Application(s)

(i) Refund due to SAUS$  

(ii) To be re-claimed:

US$  

Total :

US$  

127

6.

Amounts claimed but not yet credited to DA per attached Bank Statement

Appln. No.(s)

____________US$  

____________US$  

____________US$  

US$  

7.

Total expenditures withdrawn from SA not yet claimed for replenishment:

US$  

8. Total Advance Documented (add 4+5+6+7)

US$  

(4+5+6+7)

9. Explanation of discrepancy between amounts in Line No. 3 and 8:   (3-8)

           

           

1-B#REF!

Summary Sheet for Payments of Contracts Subject to Prior ReviewQuarter : --

Ln/Cr/TF

No. Sheet

No.1 2 3b 4 5 6 7 8 9 10 11 12Item

Disbursement Category

Cross-Ref

Date of

Contract

Supplier/

Contract

Total Amoun

t WBAmoun

t ofAmount

WB's

No.    

Voucher no

Paymen

t No.Contractor

Value Paid to

Financing

WB portion

Charged

contract

 Cat No. Description No.  

and Date Name

(incl. Add)

Contractor % paid to SA ref.

                     (USD eqv) **/

                           (1) Category 1 */                    1                      2                      3                      Subtotal                                               (2) Category 2                    4                        5                        6                          Subtotal                        .                      (3) Category 3                    

128

7                        8                        9                          Subtotal                                               (4) Category 4                    

10                        11                        12                          Subtotal                                             

  GRAND TOTAL                    

*/ Please have a seperate line item if the WB' financing percentage is different**/ Please check these ref. through Client Connection

1-C#REF!

Summary Statement of Expenditures (Sum-SOE)for those NOT Subject to Prior Review

Quarter : -- Ln/Cr/TF No. Sheet

No.1 2 3 4 5 6 7 8 9

Item Disbursement Category Threshold

Number of

Country of

Total Paid / WB

Amount of

Amount

No.     for

Payments

supplier/

Expenditures

Financing

WB portion

Charged

 Cat No. Description SOEs

covered

consultant/

incurred % paid to SA

      (USD eqv)  trainin

g                             (1) Category 1 */                                   (2) Category 2                  .                (3) Category 3                                   (4) Category 4                                 

  GRAND TOTAL              

*/ Please have a seperate line item if the WB' financing percentage is different

1-C2#REF!

129

Statement of Expenditures for those NOT Subject to Prior ReviewQuarter : --

Ln/Cr/TF

No. Sheet

No.1 2 3b 4 5 6 7 8 9 10 11

Item Disbursement Category

Cross-Ref

Date of

Contract

Supplier/

Contract

Total Amount WB

Amount of

Amount

No.    

Voucher

Payment No.

Contractor Value Paid to

Financing

WB portion

Charged

 Cat No. Description No.  

and Date Name

(incl. Add)

Contractor % paid to SA

                     (USD eqv)

                         (1) Category 1 */                  1                    2                    3                    Subtotal                                           (2) Category 2                  4                      5                      6                        Subtotal                      .                    (3) Category 3                  7                      8                      9                        Subtotal                                           (4) Category 4                  

10                      11                      12                        Subtotal                                         

  GRAND TOTAL                  

*/ Please have a seperate line item if the WB' financing percentage is different

IFR-1#REF!

Project Sources and Uses of Fundsfor the quarter ending dd/mm/yy

currency: ___

    Actual / i Planned Variance %

 Curre

ntYear-

ToCumulative

Current

Year-To

Cumulative

Current

Year-To

Cumulative

  Quart Date To- Quarte Date To- Quart Date To-

130

er /iiDate/

iii r /iiDate/

iii er /iiDate/

iii

    1 2 3 4 5 6 7=1/48=5/

5 9=3/6Sources of Funds                    Counterpart funds (if any)                    The World Bank                    Other Donor/lender                                       Total Sources of Fund                                                            Uses of Funds (by Category)                  1 …                                       2 …                                       3 …                                       4 …                                         Sub Total                                       * Non Bank Financed (if any)                                         Total Uses of Fund                  

NOTE:1 Sources of Fund:

Actual: include WB portions and counterpart fundsPlanned: to be completed with the appoved budget; especially for the current quarter this must be completed with the previous quarter's cash forecast

2 Uses of FundActual: project expenditures by categories for the WB portions plus ounterpart fundsPlanned: "Year todate" to be completed with the appoved budget ; " Cummulative todate" to be completed with amount in PAD

3"Current Quarter" covers the expenditures claimed to be eligible reported in the quarter

4"Year to Date" covers accumulative expenditures during the year

5"Cummulative to Date" covers expenditures since the beginning of the project until the current quarter

6"Non Bank Financed" covers expenditures related to the project other than the counterpart funds

131

Attachment 7: Mid-semester Narrative Report on JSDF Project Report on Activities/Narrative A progress report on an activity/narrative intends to provide analysis concerning achievement/impact, challenges/lessons learnt, future plans and project developments by using qualitative and quantitative data. A narrative report is not a recording of every aspect and event of the program; therefore a narrative report is expected to not exceed 25-30 pages. The minutes/transcript of activities shall still be attached separately from their narrative reports. The format for preparation of a narrative report shall be as follows:

1. Title Pages:2. Executive Summary (1-2 pages)3. Activities that have been implemented (3-10 pages)4. Achievement of Success (1-5 pages)5. Challenges and Strategies to overcome Challenges (1-2 pages) 6. Future Activities (1-2 pages)7. Lessons learnt (1-2 pages for final report)8. Recommendations

Attachment 8: Narrative Reports for Activities (training, workshop, etc.) Activity/Narrative reports are for the purpose of providing analysis concerning the achievement/impact, challenge/lessons learnt, future plans and project developments by using qualitative and quantitative data:

1. Title Pages:2. Executive Summary (1-2 pages)3. Activities already implemented (3-10 pages)4. Achievement of Success (1-5 pages)5. Challenges and strategies to overcome challenges (1-2 pages) 6. Lessons learnt (1-2 pages for final report)7. Recommendations8. Attachments

Report on Results of Activities Government regulation document as a result of the program (MoU, Rural Regulations,

Regional Head Regulations, Regional Regulations, Circular Letters, etc.) Photographs of activities (in digital form)

132

Publications made: posters, brochures, material, newsletters, etc. (if any) Transcript/minutes of activities covering discussions, training, workshop, etc. Attendance List of participants List of publication titles (if any) Clippings of mass media (if any) Other relevant attachments

133