SOCIAL DEVELOPMENT DEPARTMENT

Indigenous Peoples Policy (OP 4.10): One type of vulnerable community

John ButlerTbilisi, May 2013

SOCIAL DEVELOPMENT DEPARTMENT

Why a Policy on Indigenous Peoples

Indigenous Peoples:

• Are among the poorest and most socially excluded populations in the world

• Are inextricably linked to the land on which they live and natural resources on which they depend

• Dispossession of land or restriction of access to natural resources generate loss of identity and threatens their cultural survival

SOCIAL DEVELOPMENT DEPARTMENT

Policy Objectives

Ensure that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples.

Avoid potentially adverse effects on the Indigenous Peoples

When avoidance is not feasible, minimize, mitigate or compensate such effects

Ensure that Indigenous Peoples receive compensation and benefits that are culturally appropriate and gender and inter-generationally inclusive

SOCIAL DEVELOPMENT DEPARTMENT

Who are Indigenous Peoples?

The term Indigenous Peoples refers to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees:

Self-identification and identification by others

Collective attachment to land and natural resources (may include fishing rights)

Customary cultural, economic, social or political institutions that are separate from those of the dominant society and culture

Indigenous language

SOCIAL DEVELOPMENT DEPARTMENT

Project Processing Steps for OP 4.10

Screening, by World Bank Team (may require assistance of anthropologist or specialist that knows group well).

Social Assessment, by the borrower.

Free, prior and informed consultation leading to broad community support to the project, by the borrower

Preparation of the Indigenous Peoples Plan or Framework, by the borrower

Disclosure of the Plan or Framework, by the borrower and the bank

SOCIAL DEVELOPMENT DEPARTMENT

Social Assessment

A specific Social Assessment is needed for projects affecting indigenous peoples (whether positively or adversely) to determine: Project’s potential positive and adverse effects

on the Indigenous Peoples Culturally appropriate consultation process with

affected Indigenous Peoples Culturally appropriate development measures Mitigation or compensation measures

Social Assessment (cont.)

(i) identify and assess the social context concerning the

proposed project and the local communities benefiting or being affected, including socio-economic baseline information;

(ii) analyze formal and informal institutions of the project context (beware of individuals or outside organizations who claim to represent the community but the community has not validated this) ;

(iii) identify stakeholders, and analyze the effects on the project on them, as well as the various stakeholders’ effect on the proposed project and its outcome;

(iv) develop a system for, and initiate, a consultation and participation process; and

(v) identify and assess social risks and challenges, including those related to the Bank’s social safeguard policies.

SOCIAL DEVELOPMENT DEPARTMENT

SOCIAL DEVELOPMENT DEPARTMENT

Consultation

“Free, prior and informed consultation” with Indigenous Peoples that is:

Culturally appropriate Gender and inter-generationally inclusive Conducted in good faith Voluntary, free of interference and non-

manipulative

SOCIAL DEVELOPMENT DEPARTMENT

Broad Community Support

The borrower ascertains that the Indigenous Peoples have provided “broad community support” to the project (condition of Bank financing).

It does not constitute a veto right for individuals or groups.

Consensus often the norm, but community support could also be by referendum or other participatory decision making mechanism in the respective community(ies).

Requires time and honest efforts

SOCIAL DEVELOPMENT DEPARTMENT

IP Policy Instruments

Indigenous Peoples Plan When Indigenous Peoples are present in, or

have collective attachment to, the project area, and this is ascertained during project preparation

Indigenous Peoples Planning Framework When the Bank’s screening indicates that

IPs are likely to be present in, or have collective attachment to, the project area, but their presence or collective attachment cannot be determined until the programs or subprojects are identified

SOCIAL DEVELOPMENT DEPARTMENT

Indigenous Peoples Plan

Based on the Social Assessment and Consultation with Indigenous Peoples

Taking into consideration the type of project (i.e. a national road vs improvement of rural schools at the national level)

Ensure avoidance of adverse impacts and/or mitigation and compensation measures (impacts not more severe than the majority population)

Ensure equal access to benefits (in a culturally appropriate manner)

When possible and appropriate, establish legal recognition of customary rights to land of indigenous communities

Indigenous Peoples Planning Framework

Types of programs or subprojects and their potential impacts / benefits

Process for social assessment during project implementation (preparation of subprojects / programs

Framework for free, prior and informed consultations informing the preparation of subprojects or annual investment plans, including their IPP

Institutional arrangements (roles and responsibilities, capacity building, grievances)

Monitoring and reporting requirements for subprojects / investment plans

Budget and sources of funding

SOCIAL DEVELOPMENT DEPARTMENT

Indigenous Peoples Plan for Different Projects / Sectors

Projects with mainly adverse impacts Large scale area based projects (extractive industries, dams,

agro-business) commonly have wide-scale and significant impacts – economically, socially and culturally

Linear projects (roads, transmission lines) may also have significant impacts (e.g. loss of land and natural resources, encroachment, induced in-migration, health)

NRM and biodiversity projects may also have adverse impacts (including well-meaning projects) as they often aim to change indigenous peoples’ relationship to land and natural resource use – affecting their economy, social organization and culture

Usually need detailed plan for mitigating adverse impacts (including resettlement), intensive and ongoing consultation, ensure project benefits, addressing complex/contentious land and natural resource rights use issues

SOCIAL DEVELOPMENT DEPARTMENT

Indigenous Peoples Plan for Different Projects / Sectors (cont.)

Projects with mainly positive impacts / benefits Health and Education projects: Positive if there are steps to

enhance inclusion of indigenous peoples, but may affect identity and culture (e.g. loss of language and traditional health systems)

CDD projects: Mainly positive if inclusive, but could undermine traditional decision making processes and leadership

Usually need less detailed plan. Key aspects: sound consultation and participation approach, clear institutional arrangements, and capacity building. May also include special provisions:

Education projects: bi-lingual education, teacher training, hiring of indigenous teachers, and curriculum changes that incorporate aspects of minority culture

Health projects: support to traditional health practitioners and medicine

CDD projects: expanded menu for sub-projects to include activities tailored to indigenous peoples

SOCIAL DEVELOPMENT DEPARTMENT

OP 4.10 in ECA

Triggered twice in 2011/2012 in Russia by IBRD, IFC more involved.

IP country profile in Russia in FY 13 (Nicolas Perrin developing)

Other opportunities: ethnic minorities in Central Asia, Eastern Europe, Caucasus???

Some Ethnic Minorities have triggered the IP policy in China (just across the border from some Central Asian Republics)

Beyond OP 4.10? Social inclusion and social justice (global and national) Engagement with the Private Sector (dynamic three-

way partnership between indigenous communities, local governments, and companies)

What About Other Vulnerable Groups?

Prior to determining what to include in an environmental and social assessment (ESA) for any given project, a screening is carried out that should consider , among other things, type, location, sensitivity, and scale of the project.

"Sensitivity" refers to projects that may have irreversible impacts, affect vulnerable ethnic minorities, involve involuntary resettlement, or affect physical cultural resources. 

If, during the ESA, it is determined that the vulnerable ethnic minorities affected can be considered to be communities of Indigenous People, then OP 4.10 may be triggered and project development will include steps outlined above. 

If the affected “vulnerable ethnic minorities” are determined not to be communities of Indigenous Peoples, the ESA must still consider appropriate mitigation, which can be expressed in specific time bound plans. The plan developed may end up being similar to an IPP, even though that policy is not triggered. It may focus on such things as equal job access for Roma peoples, for example.

SOCIAL DEVELOPMENT DEPARTMENT