Safeguards Capacity Building for

SLMP-II and REDD+ Safeguard

Specialists

Indigenous Peoples/Underserved Groups:

Key Provisions and Instruments

The World Bank Group

1-2 January 2014
IPs/Underserved Groups
• Are among the poorest and most socially excluded
populations
• 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
Bank Supported Projects should:
 Fully respect the dignity, human rights, economies,
and cultures of /underserved 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 social and
economic benefits that are culturally appropriate and
gender and inter-generationally inclusive
  Self-identification and
identification by others
 Collective attachment to land
The term IP/Underserved and natural resources
Groups refers to a distinct,  Customary cultural,
vulnerable, social and economic, social or political
cultural group institutions that are separate
from those of the dominant
society and culture
 Indigenous language
Purposes of Social Assessment
 Project’s potential positive and adverse effects on the

Indigenous Peoples/underserved
 Culturally appropriate consultation process with

affected Indigenous Peoples/underserved

 Inform project design, including culturally

appropriate development measures as well

mitigation or compensation measures (in the IPP or
IPPF)—in the PAD
Policy Coverage: What for SLMP-II
•Vulnerable groups identified: elderly, female-
headed households, families with members living
with HIV or other chronic illnesses, and historically
disadvantaged ethnic groups
•Gender, age, social status, occupational factors
and income levels were given proper consideration
in respect to the inclusiveness of participation and
fair access to benefits.
Project Processing Steps
 Screening, by the Bank (in coordination with borrower)
 Social Assessment, by the borrower (Bank assistance)
 Free, prior and informed consultation leading to broad
community support to the project, by the borrower
 Incorporate Social Assessment findings into the social
appraisal section of the PAD and in the Annex (instead of
IPP/IPPF)
 Disclosure of the Social Assessment (instead of Plan or
Framework), by the borrower and the Bank
 SCREENING: Bank, but need to discuss with borrower.
Desk study using existing materials, country office, field
study, screening tool (Indonesia), agreement with gov’ts /
official lists
SA five key elements:
 Identify and assess the social context concerning the proposed
project and the local communities benefiting or being affected,
including socio-economic baseline information;
 Analyze formal and informal institutions of the project
context;
 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;
 Develop a system for, and initiate, a consultation and
participation process; and
 Identify and assess social risks and challenges, including
those related to the Bank’s social safeguard policies.
Community Consultation and Participation
 “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
Ensure 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 Assessment and Consultation Report:
•Summarizes findings of the Social Assessment
•Documents the process of free, prior, and informed
consultation
•Includes evidence of broad community support
•Recommends measures to address adverse effects
and to provide culturally appropriate benefits
•Recommends a plan for free, prior and informed
consultation and participation during project
implementation, monitoring and evaluation
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
(impact areas are known at appraisal)
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
this cannot be determined until the programs or subprojects
are identified (e.g. CDD, social funds, multiple subprojects,
annual planning)
Project design itself when indigenous peoples are the sole
or overwhelming majority of direct project beneficiaries
(PAD includes IPP elements)
Borrower Responsibility
Social Assessment
Free, Prior and Informed Consultation
Obtaining Broad Community Support of the Affected
communities
Preparation of Indigenous Peoples Plan or
Framework
Disclosure in-country, in appropriate locations, form
and language
Compliance, during implementation, with agreed
measures (legal covenants)
Monitoring and progress reporting