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p. 5 of 8 BACK | NEXT Introduction Definition of Indigenous People Indigenous Peoples and Development Laws and Conventions Affecting Indigenous Peoples Policy Objectives, Processes and, Approaches Organizational Implications and Resource Requirements Policy on Indigenous Peoples Key Elements in an Indigenous Peoples Development Plan

Policy on Indigenous Peoples

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Policy Objectives, Processes and, Approaches

Policy Objectives

In its operations, it is necessary that the Bank develop a policy and associated strategies and approaches that recognize the potential vulnerability of indigenous peoples in development processes, as well as ensure that indigenous peoples have opportunities to participate in and benefit equally from development. The Bank's strategies and approaches should avoid negatively affecting indigenous peoples, and provide adequate and appropriate compensation when a negative impact is unavoidable. The Bank's development efforts should ensure that development initiatives affecting indigenous peoples are effective and sustainable. Initiatives should be compatible in substance and structure with the affected peoples' culture and social and economic institutions, and commensurate with the needs, aspirations, and demands of affected peoples. Initiatives should be conceived, planned, and implemented, to the maximum extent possible, with the informed consent of affected communities, and include respect for indigenous peoples' dignity, human rights, and cultural uniqueness.

Strategies and approaches to development that affect indigenous peoples must include clear mechanisms for accurate, objective analysis of their circumstances. Development processes must incorporate transparency and accountability. A policy on indigenous peoples would apply to operations in both the public and the private sectors.

The strategies and approaches to be employed by the Bank should build on the existing strengths in its strategic framework and operational experience. A policy to address indigenous peoples would complement and support, and be complemented and supported by, other Bank policies. Compliance with a policy on indigenous peoples would not obviate the requirement of compliance with other Bank policies.

Operational Processes

Initial Social Assessment

As provided in Section 47 of the Bank's Operations Manual, an initial social assessment (ISA) is required for every development project. The ISA identifies intended project beneficiaries as well as groups that might be affected adversely. The ISA addresses people's needs, demands, and capacities, as well as the key social dimensions that a project must address, such as involuntary resettlement, poverty reduction, human development, gender and development, and vulnerable groups. As such, indigenous peoples would be a specific concern to be considered in the ISA process. The ISA should be undertaken as early as possible in the project development process, preferably by the time of the project preparatory technical assistance (PPTA) fact-finding or other preparatory studies, to ensure that all relevant social concerns will be addressed in project design.

If the ISA determines that indigenous peoples are likely to be affected significantly by a Bank intervention or that indigenous peoples are disadvantaged or vulnerable in an intervention because of their social or cultural identity, a specific indigenous peoples plan addressing indigenous peoples and their concerns, that is time bound and that has appropriate budget provisions, must be developed (see paras. 37-40). This plan would be incorporated as an integral part of project design. A case-specific definition of "affected significantly" would be guided by existing Bank practice relating to this matter.

While the ISA is a process that identifies populations that may be affected by a project and specific social dimensions that should be addressed, the indigenous peoples plan must focus specifically on indigenous peoples to be affected and specific socioeconomic issues that would be significant. The ISA would address definition and identification of indigenous peoples in the specific context of the project in question. Such definition and identification would consider all relevant factors, including country-specific considerations and national legislation and policy, as well as other factors (see paras. 7-13). Even in an intervention that does not require an indigenous peoples plan, the circumstances and needs of an indigenous peoples group if affected by an intervention generally would be considered in the ISA.

Indigenous Peoples Development Plan

For a Bank-assisted development project that affects indigenous peoples adversely and significantly, an indigenous peoples plan acceptable to the Bank must be prepared. Beyond addressing indigenous peoples populations and relevant social issues, the indigenous peoples plan must include specific measures and approaches to be taken to address issues affecting indigenous peoples. A project negatively affecting indigenous peoples must be appropriately redesigned to mitigate negative effects, or include an acceptable compensation plan; the provision of compensation should not be a substitute for efforts to avoid or mitigate negative effects a project may have. The indigenous peoples plan would form a basis for project implementation and for monitoring and evaluation of how the project deals with indigenous peoples issues. Specific components or provisions of the plan must be included in the project design; the plan should address questions of sustainability of the proposed project as well as questions of its implementation. The Appendix to this paper provides key elements to be considered in the creation of such a plan. Bank staff involved in the processing of a project affecting indigenous peoples must inform the government or other project sponsors of the Bank's policy on indigenous peoples.

The responsibility for preparation of an indigenous peoples plan acceptable to the Bank and for its implementation rests with the government or other project sponsors. The indigenous peoples plan should be submitted to the Bank by the government or private sector project sponsor preferably along with the feasibility study for the project. The costs of an indigenous peoples plan would affect and be part of the overall cost of a project, and implementation of the indigenous peoples plan would have effects on the overall implementation schedule of a project. The Bank would support the efforts of the government or other project sponsors, as necessary and appropriate, through (i) assistance in formulating and implementing the indigenous peoples plan, (ii) assistance in formulating policies, strategies, laws, regulations and other specific actions related to indigenous peoples, (iii) providing technical assistance to strengthen the capacity of agencies responsible for indigenous peoples, and (iv) financing eligible costs of implementing the indigenous peoples plan, if requested. For any project, the indigenous peoples plan necessarily must be completed before project appraisal.

The indigenous peoples plan would include an executive summary, with salient issues of this executive summary preferably to be included in the draft Report and Recommendation of the President (RRP) to be considered in the Management Review Meeting, and in every case in the final RRP for submission for Board of Directors' consideration.

Upon approval of a Bank policy on indigenous peoples, operational guidelines reflecting the above approaches and detailing specific steps to be taken will be prepared and issued. Until operational guidelines are prepared, existing staff instructions on indigenous peoples in Bank operations will apply. In both cases, OESD will continue to provide advice and assistance in matters related to indigenous peoples.

Operational Approaches

In development efforts that affect indigenous peoples, it is necessary that the Bank integrate concern for indigenous peoples into each step of programming, project processing, and policy development cycles. Beyond program- and project-related considerations, it is likely that structural constraints could affect realization of policy objectives. Such constraints may include a lack of (i) an appropriate legislative framework in DMCs, (ii) necessary capacity or relevant development institutions and agencies, (iii) detailed and objective knowledge and information about indigenous peoples and their circumstances, and (iv) accurate and effective representation of indigenous peoples. In addition to directly addressing the needs of indigenous peoples, strategies to overcome structural constraints should be explored. Effective approaches to information dissemination and communication with indigenous peoples communities should be identified, especially where conventional approaches to information dissemination and communication may not be effective. It may also be necessary to provide specific consideration to matters such as indigenous women's concerns.

Achievements that have been realized in the implementation of policies addressing indigenous peoples concerns may form the basis for considering appropriate adjustments in borrowing countries' legislation and institutional channels. In this regard, it would be desirable that indigenous peoples issues be addressed in project monitoring and evaluation activities, and that indigenous peoples participate in monitoring and evaluation processes. Modalities for policy development could include policy dialogue and other appropriate technical assistance. Ideally, development of necessary strategies would be based on consultations involving the Bank, DMC governments, other project sponsors as appropriate, representatives of indigenous peoples, and other stakeholders.

Key issues that should be considered as the Bank addresses indigenous peoples matters, and the continuity and development of indigenous peoples communities, include (i) legal recognition of ancestral domain and the traditional rights of indigenous peoples over land and resources, (ii) recognized legitimacy of the indigenous social and legal institutions of indigenous peoples, and (iii) recognition of the right of indigenous peoples to direct the course of their own development and change.

Institutional strengthening and capacity building support for indigenous peoples communities should be provided as necessary and appropriate. Similarly, as necessary and appropriate, institutional strengthening and capacity building support should be provided to relevant government entities when such support would increase the effectiveness and efficiency of such entities.

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