international development policy | Indigenous Peoples
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World Bank
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OP 4.10 - Indigenous Peoples
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July, 2005
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OP and BP 4.10 together replace OD 4.20, Indigenous Peoples, dated September 1991. These OP and BP apply to all projects for which a Project Concept Review takes place on or after July 1, 2005. Questions may be addressed to the Director, Social Development Department.
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|Paragraph / Section No.|Section Title|Clause|Operational Formulation|Linked Documents|
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|1|n/a|This policy[1] contributes to the Bank's [2] mission of poverty reduction and sustainable development by ensuring that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples.| -||
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|1|n/a|For all projects that are proposed for Bank financing and affect Indigenous Peoples, [3] the Bank requires the borrower to engage in a process of free, prior, and informed consultation. [4]|Engage in a process of free, prior, and informed consultation.||
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|1|n/a|The Bank provides project financing only where free, prior, and informed consultation results in broad community support to the project by the affected Indigenous Peoples.[5]| -||
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|1|n/a|Such Bank-financed projects include measures to| -||
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|1|n/a|(a) avoid potentially adverse effects on the Indigenous Peoples’ communities; or|Avoid potentially adverse effects on the Indigenous Peoples’ communities.||
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|1|n/a|(b) when avoidance is not feasible, minimize, mitigate, or compensate for such effects.|When avoidance is not feasible, minimize, mitigate, or compensate for such effects.||
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|1|n/a|Bank-financed projects are also designed to ensure that the Indigenous Peoples receive social and economic benefits that are culturally appropriate and gender and intergenerationally inclusive. |Ensure that the Indigenous Peoples receive social and economic benefits that are culturally appropriate and gender and intergenerationally inclusive. ||
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|2|n/a|The Bank recognizes that the identities and cultures of Indigenous Peoples are inextricably linked to the lands on which they live and the natural resources on which they depend. | -||
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|2|n/a|These distinct circumstances expose Indigenous Peoples to different types of risks and levels of impacts from development projects, including loss of identity, culture, and customary livelihoods, as well as exposure to disease.| -||
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|2|n/a|Gender and intergenerational issues among Indigenous Peoples also are complex.| -||
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|2|n/a|As social groups with identities that are often distinct from dominant groups in their national societies, Indigenous Peoples are frequently among the most marginalized and vulnerable segments of the population.| -||
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|2|n/a|As a result, their economic, social, and legal status often limits their capacity to defend their interests in and rights to lands, territories, and other productive resources, and/or restricts their ability to participate in and benefit from development.| -||
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|2|n/a|At the same time, the Bank recognizes that Indigenous Peoples play a vital role in sustainable development and that their rights are increasingly being addressed under both domestic and international law.| -||
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|3||Identification.|||
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|3|Identification|Because of the varied and changing contexts in which Indigenous Peoples live and because there is no universally accepted definition of “Indigenous Peoples,” this policy does not define the term.| -||
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|3|Identification|Indigenous Peoples may be referred to in different countries by such terms as "indigenous ethnic minorities," "aboriginals," "hill tribes," "minority nationalities," "scheduled tribes," or "tribal groups."|Be aware that many appelations may be used to describe "Indigenous Peoples" as the term understood in the context of Bank safeguards.||
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|4|Identification|For purposes of this policy, the term “Indigenous Peoples” is used in a generic sense to refer to a distinct, vulnerable, social and cultural group[6] possessing the following characteristics in varying degrees:|The World Bank category of "Indigenous Peoples" refers to any distinct, vulnerable, social and cultural group and conforms (in varying degrees) to the following characteristics:||
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|4|Identification|(a) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others;|(a) self-identification as members of a distinct indigenous cultural group and recognition of this identity by others;||
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|4|Identification|(b) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories[7] |(b) collective attachment to geographically distinct habitats or ancestral territories in the project area and to the natural resources in these habitats and territories[7] ||
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|4|Identification|(c) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and|(c) customary cultural, economic, social, or political institutions that are separate from those of the dominant society and culture; and||
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|4|Identification|(d) an indigenous language, often different from the official language of the country or region.|(d) an indigenous language, often different from the official language of the country or region.||
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|4|Identification|A group that has lost "collective attachment to geographically distinct habitats or ancestral territories in the project area"; (paragraph 4 (b)) because of forced severance remains eligible for coverage under this policy.[8]|A group that has lost "collective attachment to geographically distinct habitats or ancestral territories in the project area"; because of forced severance remains eligible for coverage under this policy.||
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|4|Identification|Ascertaining whether a particular group is considered as “Indigenous Peoples” for the purpose of this policy may require a technical judgment (see paragraph 8).|If uncertain about policy application, seek technical assistance.||
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|5||Use of Country Systems.|||
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|5|Use of Country Systems|The Bank may decide to use a country’s systems to address environmental and social safeguard issues in a Bank-financed project that affects Indigenous Peoples.|The Bank may decide to use a country’s systems to address environmental and social safeguard issues in a Bank-financed project that affects Indigenous Peoples.||
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|5|Use of Country Systems|This decision is made in accordance with the requirements of the applicable Bank policy on country systems.[9] | -||
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|||Project Preparation|||
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|6|Project Preparation|A project proposed for Bank financing that affects Indigenous Peoples requires:|Any project that affects Indigenous Peoples will involve the following:||
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|6|Project Preparation|(a) screening by the Bank to identify whether Indigenous Peoples are present in, or have collective attachment to, the project area (see paragraph 8);|The Bank will screen to identify whether Indigenous Peoples are present in, or have collective attachment to, the project area.||
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|6|Project Preparation|(b) a social assessment by the borrower (see paragraph 9 and Annex A);|The borrower will conduct a social assessment.||
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|6|Project Preparation|(c) a process of free, prior, and informed consultation with the affected Indigenous Peoples’ communities at each stage of the project, and particularly during project preparation, to fully identify their views and ascertain their broad community support for the project (see paragraphs 10 and 11);|The borrower will engage in a process of free, prior, and informed consultation with the affected Indigenous Peoples’ communities at each stage of the project, and particularly during project preparation. This process shall seek to fully identify their views and ascertain their broad community support for the project.||
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|6|Project Preparation|(d) the preparation of an Indigenous Peoples Plan (see paragraph 12 and Annex B) or an Indigenous Peoples Planning Framework (see paragraph 13 and Annex C); and|The borrower will prepare an Indigenous Peoples Plan or an Indigenous Peoples Planning Framework.| (see paragraph 12 and Annex B)
(see paragraph 13 and Annex C)
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|6|Project Preparation|(e) disclosure of the draft Indigenous Peoples Plan or draft Indigenous Peoples Planning Framework (see paragraph 15).|||
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|7||The level of detail necessary to meet the requirements specified in paragraph 6 (b), (c), and (d) is proportional to the complexity of the proposed project and commensurate with the nature and scale of the proposed project’s potential effects on the Indigenous Peoples, whether adverse or positive.|The level of detail necessary to meet the requirements specified in paragraph 6 (b), (c), and (d) is proportional to the complexity of the proposed project and commensurate with the nature and scale of the proposed project’s potential effects on the Indigenous Peoples, whether adverse or positive.||
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|||Screening|||
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|8|Project Preparation > Screening|Early in project preparation, the Bank undertakes a screening to determine whether Indigenous Peoples (see paragraph 4) are present in, or have collective attachment to, the project area.[10] |The Bank's screening to determine whether Indigenous Peoples are present in, or have collective attachment to, the project area will occur early in project preparation.||
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|||In conducting this screening, the Bank seeks the technical judgment of qualified social scientists with expertise on the social and cultural groups in the project area.|The determination of whether Indigenous Peoples are present in, or have collective attachment to, the project area is a technical judgment of qualified social scientists with expertise on the social and cultural groups in the project area.||
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|8|Project Preparation > Screening|The Bank also consults the Indigenous Peoples concerned and the borrower.|The Bank will also consult the Indigenous Peoples concerned and the borrower.||
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|8|Project Preparation > Screening|The Bank may follow the borrower’s framework for identification of Indigenous Peoples during project screening, when that framework is consistent with this policy.| -||
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|||Social Assessment|||
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|9||Analysis.|||
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|9|Project Preparation > Social Assessment > Analysis|If, based on the screening, the Bank concludes that Indigenous Peoples are present in, or have collective attachment to, the project area, the borrower undertakes a social assessment to evaluate the project’s potential positive and adverse effects on the Indigenous Peoples, and to examine project alternatives where adverse effects may be significant.|If the Bank determines that affected local communities qualify as "Indigenous Peoples" in the context of the policy, the borrower will undertake a social assessment to evaluate the project’s potential positive and adverse effects on the Indigenous Peoples, and to examine project alternatives where adverse effects may be significant.||
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|9|Project Preparation > Social Assessment > Analysis|The breadth, depth, and type of analysis in the social assessment are proportional to the nature and scale of the proposed project’s potential effects on the Indigenous Peoples, whether such effects are positive or adverse (see Annex A for details).|The social assessment will be commensurate in breadth, depth, and type of analysis to the nature and scale of the proposed project’s potential effects on the Indigenous Peoples, whether such effects are positive or adverse.|(see Annex A for details)|
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|9|Project Preparation > Social Assessment > Analysis|To carry out the social assessment, the borrower engages social scientists whose qualifications, experience, and terms of reference are acceptable to the Bank.|To carry out the social assessment, the borrower will engage social scientists whose qualifications, experience, and terms of reference are acceptable to the Bank.||
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|10||Consultation and Participation.|||
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|10|Project Preparation > Social Assessment > Consultation and Participation|Where the project affects Indigenous Peoples, the borrower engages in free, prior, and informed consultation with them.|Where the project affects Indigenous Peoples, the borrower will engage in a process of free, prior, and informed consultation.||
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|10|Project Preparation > Social Assessment > Consultation and Participation|To ensure such consultation, the borrower:|To ensure such consultation, the borrower will:||
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|10|Project Preparation > Social Assessment > Consultation and Participation|(a) establishes an appropriate gender and intergenerationally inclusive framework that provides opportunities for consultation at each stage of project preparation and implementation among the borrower, the affected Indigenous Peoples’ communities, the Indigenous Peoples Organizations (IPOs) if any, and other local civil society organizations (CSOs) identified by the affected Indigenous Peoples' communities;|(a) establishes an appropriate gender and intergenerationally inclusive framework that provides opportunities for consultation at each stage of project preparation and implementation among the borrower, the affected Indigenous Peoples’ communities, the Indigenous Peoples Organizations (IPOs) if any, and other local civil society organizations (CSOs) identified by the affected Indigenous Peoples' communities;||
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|10|Project Preparation > Social Assessment > Consultation and Participation|(b) uses consultation methods11 appropriate to the social and cultural values of the affected Indigenous Peoples’ communities and their local conditions and, in designing these methods, gives special attention to the concerns of Indigenous women, youth, and children and their access to development opportunities and benefits; and|(b) uses consultation methods11 appropriate to the social and cultural values of the affected Indigenous Peoples’ communities and their local conditions and, in designing these methods, gives special attention to the concerns of Indigenous women, youth, and children and their access to development opportunities and benefits; and||
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|10|Project Preparation > Social Assessment > Consultation and Participation|(c) provides the affected Indigenous Peoples’ communities with all relevant information about the project (including an assessment of potential adverse effects of the project on the affected Indigenous Peoples’ communities) in a culturally appropriate manner at each stage of project preparation and implementation.|(c) provides the affected Indigenous Peoples’ communities with all relevant information about the project (including an assessment of potential adverse effects of the project on the affected Indigenous Peoples’ communities) in a culturally appropriate manner at each stage of project preparation and implementation.||
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|11|Project Preparation > Social Assessment > Consultation and Participation|In deciding whether to proceed with the project, the borrower ascertains, on the basis of the social assessment (see paragraph 9) and the free, prior, and informed consultation (see paragraph 10), whether the affected Indigenous Peoples’ communities provide their broad support to the project.|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|Where there is such support, the borrower prepares a detailed report that documents:|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|(a) the findings of the social assessment;|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|(b) the process of free, prior, and informed consultation with the affected Indigenous Peoples' communities;|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|(c) additional measures, including project design modification, that may be required to address adverse effects on the Indigenous Peoples and to provide them with culturally appropriate project benefits;|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|(d) recommendations for free, prior, and informed consultation with and participation by Indigenous Peoples’ communities during project implementation, monitoring, and evaluation; and|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|(e) any formal agreements reached with Indigenous Peoples’ communities and/or the IPOs.|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|The Bank reviews the process and the outcome of the consultation carried out by the borrower to satisfy itself that the affected Indigenous Peoples’ communities have provided their broad support to the project.|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|The Bank pays particular attention to the social assessment and to the record and outcome of the free, prior, and informed consultation with the affected Indigenous Peoples’ communities as a basis for ascertaining whether there is such support.|||
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|11|Project Preparation > Social Assessment > Consultation and Participation|The Bank does not proceed further with project processing if it is unable to ascertain that such support exists.|||
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|||Indigenous Peoples Plan/Planning Framework|||
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|12||Indigenous Peoples Plan.|||
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|12|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Plan|On the basis of the social assessment and in consultation with the affected Indigenous Peoples’ communities, the borrower prepares an Indigenous Peoples Plan (IPP) that sets out the measures through which the borrower will ensure that|||
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|12|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Plan|(a) Indigenous Peoples affected by the project receive culturally appropriate social and economic benefits; and|||
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|12|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Plan|(b) when potential adverse effects on Indigenous Peoples are identified, those adverse effects are avoided, minimized, mitigated, or compensated for (see Annex B for details).|||
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|12|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Plan|The IPP is prepared in a flexible and pragmatic manner,12 and its level of detail varies depending on the specific project and the nature of effects to be addressed.|||
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|12|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Plan|The borrower integrates the IPP into the project design. When Indigenous Peoples are the sole or the overwhelming majority of direct project beneficiaries, the elements of an IPP should be included in the overall project design, and a separate IPP is not required.|||
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|12|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Plan|In such cases, the Project Appraisal Document (PAD) includes a brief summary of how the project complies with the policy, in particular the IPP requirements.|||
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|13||Indigenous Peoples Planning Framework.|||
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|13|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Planing Framework|Some projects involve the preparation and implementation of annual investment programs or multiple subprojects.[13]|||
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|13|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Planing Framework|In such cases, and when the Bank’s screening indicates that Indigenous Peoples 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, the borrower prepares an Indigenous Peoples Planning Framework (IPPF).|||
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|13|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Planing Framework|The IPPF provides for the screening and review of these programs or subprojects in a manner consistent with this policy (see Annex C for details).|||
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|13|Project Preparation > Social Assessment > Indigenous Peoples Plan/Planning Framework > Indigenous Peoples Planing Framework|The borrower integrates the IPPF into the project design.|||
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