CONSEJO INTERNACIONAL DE TRATADOS INDIOS

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Indigenous Peoples

Introduction

1.    The following procedures are used by Bank Task Teams (TT) to ensure that the objectives and requirements of the Bank's Policy on Indigenous Peoples (OP 4.10) are met in Bank-assisted projects.  In cases where application is unclear or where questions arise about how the policy is interpreted, questions may be referred to the Bank's Safeguards Policy Committee.
Project Identification
2.    When early screening indicates that there may be indigenous peoples in the project area, the TT brings the provisions of OP/BP 4.10 to the attention of the Borrower and discusses application of the policy.  Where feasible, advance agreement between the Bank and the Borrower on the groups covered by this policy should be sought so as to facilitate the preparation of the project.
3.    The Project Concept Document (PCD) and the Project Information Document (PID) indicate whether indigenous peoples may be affected, and, if so, what steps will be taken to comply with policy requirements.  The appropriate unit responsible for social safeguards reviews and comments on the PCD.  Where significant issues exist with regard to interpretation or application of the policy, they are brought to the attention of regional management and considered in risk assessments.
Project Preparation
4.    If the project is likely to affect indigenous peoples, the Borrower initiates consultation on the nature and scope of potential impacts early in the project cycle in order to determine whether and how such groups may be affected.  This consultation may take place prior to, or as part of, a social assessment.  Meaningful consultation continues throughout preparation process and a record of the consultation process forms a part of the project files.  The Borrower and the Bank take into account the results of these consultations when deciding whether to proceed with project processing.
5.    Where a project may entail adverse impacts, a social assessment (SA) is required.  Social assessments are the responsibility of the Borrower.  The Bank reviews the Terms of Reference for the SA and advises on its content and coverage.  The SA identifies key stakeholders, provides a framework for consultation, and gathers social, economic and cultural information, including information on customary rights and claims of indigenous groups, in order to assess the potential impacts of the proposed project on the indigenous peoples.  The Borrower forwards the draft SA to the Bank for review and comment.
6.    Where the social assessment confirms that a project has adverse impacts upon particular indigenous groups, the Borrower prepares a draft IPP in consultation with the affected groups.  The

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content and level of detail in the IPP vary according to the nature of the project and expected impacts (see OP 4.10, para 10a).  In projects where indigenous peoples are among the intended beneficiaries, special measures to take their needs and cultures into account are incorporated into project design.  Because the needs and priorities of indigenous peoples may change over the life of the project, the IPP or the proposed measures should include mechanisms for periodic review and adjustments.
7.    In projects where it is required, a Draft IPP or a summary in English, is submitted to the Bank as a condition of project appraisal.  The appropriate regional safeguards unit reviews the draft document to determine whether it provides an adequate technical basis for project appraisal and LEG reviews the legal aspects of the IPP..  Once approval for appraisal has been granted, the Task Team Leader (TTL) sends the draft IPP, or an English summary covering key findings, to the Bank's InfoShop and the Borrower shares it with the affected indigenous groups.  Key elements of the IPP are incorporated into the PAD.
8.     The Annex to the PAD briefly summarizes the following information:
(a) how indigenous peoples were identified:
(b) the nature and outcome of the consultation process and how the views of indigenous peoples are reflected;
(c) the main findings of the social assessment, if any, and how they are incorporated in project design;
(d) actions to ensure that adverse impacts are mitigated, and/or benefits are culturally appropriate; and
(e) institutional arrangements for carrying out the project and arrangements for monitoring and evaluation.
Appraisal
9.    The appraisal mission includes appropriate expertise to assess the adequacy of consultation and participation and the feasibility and sustainability of specific measures reflected in the IPP or project documents and intended to mitigate any adverse impacts on indigenous peoples or to benefit them.  It also reviews the enabling legal and policy framework for implementation, and the capacity and commitment of the institutions, including indigenous peoples organizations responsible for carrying the project out; and the financing arrangements.  This information contributes to an assessment of feasibility and risks.
10.    The IPP or other required measures (BP para 6) are confirmed at negotiations and reflected in the PIP.  The legal agreements contain provisions, as needed, obligating the Borrower to carry out the IPP/measures.  When the Borrower and the Bank agree to the final IPP, the Borrower makes the document available at a place accessible to and in a form and language understandable to the affected indigenous groups.  The Bank makes available an English summary covering the key elements of the IPP at the InfoShop.

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Implementation and Supervision

11.    Recognizing the importance of close and frequent supervision, the Regional Vice President, in coordination with the relevant Country Director, ensures the availability of resources for the effective supervision of projects affecting indigenous peoples.
12.    Throughout project implementation, the TT ensures that the requisite technical expertise is included in Bank supervision missions.  Site visits are used to assess whether indigenous peoples are participating in and benefiting from project activities, to monitor the effectiveness of development and mitigation measures (see Bank policies on Project Supervision OP 13.05, Project Monitoring and Evaluation OP 10.70), and to ascertain whether legal covenants are being fulfilled.  The TT reviews applicable monitoring reports and reviews the extent to which monitoring information is incorporated in project implementation.
13.    Upon completion of the project, the Implementation Completion Report (OP 13.55) evaluates:
a)    the impact of the project on the affected indigenous peoples;
b)    the achievement of the objectives of the IPP, as relevant; and
c)    lessons for future operations.
If the objectives of the IPP have not been realized, the ICR may propose a future course of action, including, as appropriate, continued supervision by the Bank.

Country Assistance Strategy

14.    In countries with a series of operations affecting indigenous peoples, the ongoing country and sector dialogue with the government includes issues pertaining to the country's policy, institutional and legal framework for indigenous people and these are reflected in country economic and sector work and the Country Assistance Strategy (CAS).