100434 INDIGENOUS PEOPLES DEVELOPMENT IN WORLD BANK-FINANCED PROJECTS: Our People, Our Resources Striving for a Peaceful and Plentiful Planet Case Studies Report INDIGENOUS PEOPLES DEVELOPMENT IN WORLD BANK-FINANCED PROJECTS: Our People, Our Resources Striving for a Peaceful and Plentiful Planet Case Studies Report Luis Felipe Duchicela, Svend Jensby, Jorge Uquillas, Jelena Lukic, and Karen Sirker Social Development Department—Social Sustainability and Safeguards Social, Urban, Rural and Resilience Global Practice and Operations Risk Management Department, Operations Policy and Country Services April 2015 Contents Abbreviations and Acronyms............................................................................................................................... vii Acknowledgements.............................................................................................................................................. viii Executive Summary ix Why a Case Study Report on Indigenous Peoples Development?................................................................ ix Scope and Methodology......................................................................................................................................... x Synopsis of Cases by Thematic Area.................................................................................................................. xi Land Rights and Management...........................................................................................................................................................xi Economic Development and Sustainability..................................................................................................................................xii Governance and Institutional Strengthening..............................................................................................................................xiii Country Legal and Policy Systems Regarding the Rights of Indigenous Peoples......................................................... xiv Cross-Cutting Approaches.................................................................................................................................... xv Conclusions and Recommendations................................................................................................................ xvii This volume is a product of the staff of the International Bank for Reconstruction and Development/ The World Bank. The findings, interpretations, and conclusions expressed in this volume do not necessarily 1. Introduction 1 reflect the views of the Executive Directors of The World Bank or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. 1.1 Background............................................................................................................................................................1 Rights and Permissions 1.2 Methodology.......................................................................................................................................................2 The material in this publication is copyrighted. Copying and/ or transmitting portions or all of this work 1.3 Limitations............................................................................................................................................................2 without permission may be a violation of applicable law. The International Bank for Reconstruction and 1.4 Who are Indigenous Peoples?..........................................................................................................................2 Development/ The World Bank encourages dissemination of its work and will normally grant permission to reproduce portions of the work promptly. 1.5 Summary of Good Practices and Lessons Learned ....................................................................................3 Land Rights and Land Management................................................................................................................................................ 3 For permission to photocopy or reprint any part of this work, please send a request with complete Economic Development and Sustainability................................................................................................................................... 6 information to the Copyright Clearance Center Inc., 222 Rosewood Drive, Danvers, MA 01923, USA; telephone 978-750-8400; fax: 978-750-4470; Internet: www.copyright.com. Governance and Institutional Strengthening................................................................................................................................ 8 Country Legal and Policy Systems Regarding Indigenous Peoples’ Rights....................................................................... 9 All other queries on rights and licenses, including subsidiary rights, should be addressed to the Office of the Publisher, The World Bank, 1919 H. Street NW, Washington, DC 20433 USA; Cross-Cutting Approaches.................................................................................................................................................................10 fax: 2020-522-2422; email: pubright@worldbank.org. Implementation Support and Adaptive Management................................................................................................................ 11 iii 2. Case Studies 12 2.4. Central America—Managing Critical Ecosystems in Indigenous Communities .................................37 2.4.1 Introduction ................................................................................................................................................................................. 37 2.4.2 Project Description................................................................................................................................................................... 37 2.1 Nicaragua—Legalizing and Managing Autonomous Territories............................................................... 12  2.1.1 Introduction ....................................................................................................................................................................................12 2.4.3 Indigenous Peoples in Central America............................................................................................................................38 2.1.2 Indigenous Peoples and Land in Nicaragua .....................................................................................................................13 2.4.4 Process of Social Assessment and Consultation ..........................................................................................................38 2.1.3 Project Description......................................................................................................................................................................14 2.4.5 Project Design ...........................................................................................................................................................................39 2.1.4 Process of Social Assessment and Consultation .............................................................................................................14 2.4.6 Results...........................................................................................................................................................................................40 2.1.5 Indigenous Peoples Component and Strategy.................................................................................................................15 2.4.7 Lessons Learned........................................................................................................................................................................42 2.1.6 Results ............................................................................................................................................................................................16 2.5. Namibia—Strengthening the San Community Ecosystem Conservancies......................................... 44 2.1.7 Lessons Learned .........................................................................................................................................................................18 2.5.1 Introduction—Good Practice Benchmarks.........................................................................................................................44 2.5.2 Project Description ..................................................................................................................................................................45 2.2 Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities ............................................ 21 2.2.1 Introduction ..................................................................................................................................................................................21 2.5.3 The San People ........................................................................................................................................................................45 2.2.2 Indigenous Peoples in Ecuador...........................................................................................................................................22 2.5.4 Indigenous Peoples Development Plan............................................................................................................................ 47 2.2.3 Project Description ..................................................................................................................................................................22 2.5.5 Implementation.......................................................................................................................................................................... 47 2.2.4 Process of Social Assessment and Consultation ..........................................................................................................22 2.5.6 Lessons Learned ......................................................................................................................................................................48 2.2.5 Implementation .........................................................................................................................................................................23 2.6. Nepal— Alleviating Poverty in Indigenous and Marginalized Communities....................................... 51 2.2.6 Lessons Learned.......................................................................................................................................................................26 2.6.1 Introduction....................................................................................................................................................................................51 2.6.2 Nepal’s Population Dynamics and the Indigenous People ........................................................................................52 2.3 Indonesia—Improving Governance and Livelihoods in Forested Areas.............................................. 29 2.3.1 Introduction .................................................................................................................................................................................29 2.6.3 Project Description...................................................................................................................................................................53 2.3.2 Project Description...................................................................................................................................................................30 2.6.4 Social Assessment and Consultation ................................................................................................................................54 2.3.3 Indigenous Peoples in Indonesia.........................................................................................................................................30 2.6.5 Methodology for Targeting to Ensure Inclusion of Indigenous People ..................................................................55 2.3.4 Process of Consultation ..........................................................................................................................................................31 2.6.6 Lessons Learned.......................................................................................................................................................................57 2.3.5 Indigenous Peoples Plan and Project Design.................................................................................................................32 2.7 Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market......................... 60 2.3.6. Implementation ........................................................................................................................................................................33 2.7.1 Introduction ................................................................................................................................................................................. 60 2.3.7 Lessons Learned ......................................................................................................................................................................35 2.7.2 Project Description.....................................................................................................................................................................61 2.7.3 Indigenous Peoples in Vietnam..............................................................................................................................................61 2.7.4 Process of Social Assessment and Consultation ...........................................................................................................63 2.7.5 Results ..........................................................................................................................................................................................65 2.7.6 Lessons Learned........................................................................................................................................................................66 iv v Abbreviations and Acronyms ACICAFOC Central American Indigenous and IPRA Indigenous Peoples Rights Act Peasant Coordinator of Communal IPS Indigenous Peoples Strategy Agroforestry MAWF Ministry of Agriculture, Water, AMAN National Alliance for Indigenous Peoples and Forestry AusAID Australian Agency for International MBC Mesoamerican Biological Corridor Development MCA Millennium Challenge Account 2.8. Philippines—Educational Policy Reform Working for Indigenous Peoples......................................... 68 BESRA Basic Education Sector Reform Agenda 2.8.1 Introduction .................................................................................................................................................................................68 MET Ministry of Environment and Tourism CBNRM Community-based Natural Resource 2.8.2 Project Description...................................................................................................................................................................68 Management MFMR Ministry of Fisheries and Marine Resources 2.8.3 Indigenous Peoples in the Philippines...............................................................................................................................69 CCAD Central American Commission on Environment and Development MIS Management Information Systems 2.8.4 The Process of Social Assessment and Consultation .................................................................................................70 MLR Ministry of Lands and Resettlement CICA Indigenous Council of Central America 2.8.5 Key Project Design Aspects................................................................................................................................................... 71 NCIP National Commission on CIDT Inter-Sectoral Demarcation and 2.8.6 Implementation .........................................................................................................................................................................72 Titling Commission Indigenous Peoples 2.8.7 Lessons Learned ......................................................................................................................................................................75 CIP Project Inter-institutional Committee NGO Non-governmental organization CO Community Organizations NMPRP Northern Mountain Poverty Reduction Project (Vietnam) 3. Conclusions and Recommendations 77 CODAE Council for Afro-Ecuadorian Development NPSBE National Program Support for Basic Education CODENPE Council for the Development of 3.1 Key Elements of Successful Projects............................................................................................................77 Nationalities and Peoples of Ecuador PAF Poverty Alleviation Fund (Nepal) 3.2 Recommendations...........................................................................................................................................78 CONADETI National Commission for Demarcation PMU Project Management Unit and Titling PO Partner Organizations References.............................................................................................................................................................. 80 DepED Department of Education PRODEP Nicaragua Land Administration Project EDMP Ethnic Minority Development Plan PRODEPINE Indigenous and Afro-Ecuadorian Boxes EWERAP Enhancing Wildlife-based Economy in Peoples Development Project Rural Areas Project RACCN Northern Caribbean Coast GEF Global Environment Facility Autonomous Region Box 1: Indigenous Population by Region (millions) ...........................................................................................3 HDI Human Development Index RACCS Southern Caribbean Coast Box 2: Vulnerable community population index ............................................................................................. 56 Autonomous Region ICEMA Integrated Community-Based Ecosystem Management Project REDD Reducing Emissions from Deforestation Box 3: Percentage of People Living in Poverty in Vietnam, 1993–2012..................................................... 62 (Namibia) and Forest Degradation Box 4: Classification of Ethnic Minorities (Groups with Populations of More Than 100,000) ................ 63 ICR Implementation and Completion Report SENAIME National Secretariat of Indigenous and Ethnic Minorities Box 5: Excerpt from the Operational Manual for NMPRP–II ......................................................................... 64 IDA International Development Association SPHERE Basic Education Reforms Project IEM Integrated Ecosystem Management SDV Social Development Department IFAD International Fund for Agricultural Development UNDRIP United Nations Declaration on the Rights of Indigenous Peoples ILO International Labour Organization UNICEF United Nations International Children’s INDA National Agrarian Development Emergency Fund Institute USAID United States Agency for International INETER National Property Registry Development IPDP Indigenous Peoples Development VCDP Vulnerable Community Development Program Plan IPP Indigenous Peoples Plan VDC Village Development Committee IPPF Indigenous Peoples Planning WIMSA Working Group on Indigenous Framework Minorities in Southern Africa vi vii Acknowledgements Our People, Our Resources: Striving For A Peaceful And Plentiful Planet—Case Studies Report This report is a product of the Social Development • Son Thanh Vo, GFADR, and Lan Thi Thu Nguyen, Department (SDV) at the World Bank. The study GENDR. Vietnam—Second Northern Mountains was led by Luis Felipe Duchicela under the Poverty Reduction Project supervision of Susan Wong, Practice Manager, Social Development, Global Unit. The report was • Lynnette Dela Cruz Perez, GEDDR; Maria Loreto Executive Summary prepared by Jorge Uquillas and Svend Jensby of the Padua, GSURR; and Rozanno Rufino, Operations Risk Management Department, Coordinator, Indigenous Peoples Education Operations Policy and Country Services (OPSOR), Office and Adviser to the Secretary on and Jelena Lukic and Karen Sirker from the Global Indigenous Peoples Concerns, Department of Unit of the World Bank’s Social, Urban, Rural and Education of the Government of the Philippines Resilience Practice (GSURR). Philippines—National Program Support for Basic Education Project. Why a Case Study Report on After a pre-dialogue phase from March to May This report benefited from the comments Indigenous Peoples Development? 2013, the World Bank began the formal dialogue provided by the following peer reviewers: In particular, we acknowledge the generous with indigenous peoples in October 2013 and Juan Martinez, Francis Fragano, Nicolas Perrin, support from OPSOR provided through Svend Indigenous peoples have one of the highest organized seven workshops in all global regions, Varalakshmi Vemuru, Dianna Pizarro, and Jorge Jensby and Jorge Uquillas, who participated in the poverty rates in the world. There is increased ending in March 2014 in Kathmandu. The Global Villegas of GSURR and Harry Anthony Patrinos, planning process, prepared some of the case concern among poverty analysts that many Dialogue and Engagement Process yielded GEDDR. studies, and helped finalized the report. countries with significant vulnerable groups— excellent results in terms of participation and such as indigenous populations—will not meet information gathered, and by fostering the Moreover, the team wishes to thank the following The team also wishes to thank Laura Johnson for the Millennium Development Goals (MDGs). beginning of a renewed and stronger relationship people for their key contributions to the case editing the report, Groff Creative, LLC for report However, the MDGs reflects only one concept of between the world’s indigenous peoples and the study reports: layout and design and Syed Abdul Salam, Sachin development. (Hall and Patrinos 2012). The World Bank. Shahria, Cristal Llave, and Leena Kemppainen in World Bank seeks, therefore, to position social • Enrique Pantoja, GSURR, Nicaragua—Land providing timely support to the completion of the inclusion for indigenous peoples at the center of As result of the dialogue, four major thematic Administration Project: Recognizing Collective report. Special thanks are extended to the the development agenda in order for them to areas were identified as critical for indigenous Land Rights of Indigenous Peoples following for photographs included in the report achieve their own vision of shared prosperity and peoples in achieving the four Global Dialogue and and case studies: Enrique Pantoja for Nicaragua, poverty reduction. Engagement Process objectives, especially with • Jorge Uquillas, GSURR, Ecuador— Luis Felipe Duchicela for Ecuador, Karishma Wasti regard to sustainable development: Indigenous and Afro-Ecuadorian Peoples for Nepal, Claudia Sobrevila for Namibia, and Son From March 2013 until March 2014, the World Development Project Thanh Vo for the cover photo and Vietnam, and Bank carried out the first phase of a worldwide 1. Land rights and management Lynnette Dela Cruz for the Philippines. Global Dialogue and Engagement Process with 2. Economic development and sustainability • Juan Martinez, GSURR, Indonesia—Improving Indigenous Peoples with four objectives: 3. Governance and institutional strengthening Governance for Sustainable Indigenous 4. Public policy and country systems Community Livelihoods in Forested Areas 1. Inform the ongoing World Bank Environmental Project; and Central America—Integrated and Social Safeguards Review and Update These four thematic areas are considered vital Ecosystem Management in Indigenous process, particularly as it relates to Operational because many of the structural problems in Communities Project Policy OP 4.10 (Indigenous Peoples) indigenous communities are largely a result of 2. Improve the effective implementation of the issues pertaining to these areas. If there are • Claudia Sobrevila, GENDR, Namibia— Operational Policy OP 4.10 (Indigenous Peoples weaknesses in any of these four areas, programs Integrated Community-Based Ecosystem Policy) for indigenous peoples targeted at fighting poverty Management Project 3. Identify strategies to direct increased World and increasing income levels and access to services Bank investment to indigenous peoples based are unlikely to be effective or sustainable. In sum, • Frauke Jungbluth, Mio Takada, and Karishma on their own visions of development structural weaknesses create barriers for Wasti, GFADR; Bandita Sijapati and Parthapriya 4. Strengthen the engagement process between indigenous peoples to work with the state to Ghosh, GSURR. Nepal—Poverty Alleviation the World Bank and indigenous peoples ascertain their rights and make significant Fund Project worldwide. progress in sustainable development. One way to better understand—and begin to address—these viii critical areas is to identify and assess experiences areas from the Global Dialogue; preference for • Namibia—Integrated Community-Based from Bank-financed projects successful at completed or near-completed projects; and Ecosystem Management Project addressing one or more of them. availability of information, such as first-hand • Nepal—Poverty Alleviation Fund Project knowledge of projects, access to Bank staff task • Vietnam—Second Northern Mountains Poverty This report is an attempt to better understand teams, and prior coverage in Bank publications or Reduction Project good practices and lessons learned regarding reports. • Philippines—National Program Support for indigenous peoples development. Experiences Basic Education Project from eight case studies are presented and The team also relied on the results of the Social document examples of successful practices and Inclusion Portfolio Review, which analyzed Synopsis of Cases by approaches in World Bank-financed projects that projects in the fiscal 2010–13 portfolio. The Thematic Area have had positive impacts on indigenous preliminary list was shared with technical staff communities, specifically along one or more of the working in different regions, requesting Land Rights and Management thematic areas. suggestions for additional potential projects. Out of more than 20 potential cases, eight projects Indigenous peoples have a strong attachment to The main objective of this initiative is to identify were chosen for inclusion in this report. land, relying on it for their physical and cultural good practices and lessons learned in the context survival. To many indigenous peoples, ancestral of specific projects and countries and not to With regard to regional representation, the land is a source of life and livelihoods, generalize from such good practices. The report selected case studies represent four regions: Latin underpinning their cultural identity. As a result, does not provide exhaustive coverage of relevant America and the Caribbean (3), Africa (1), South land constitutes the basis for their social, issues within the thematic areas or beyond them. Asia (1), and East Asia (3). This regional economic, and political organization as well as for Rather, the goal of this study is to initiate a process representation reflects the World Bank their customary laws. The case studies from for developing a better understanding of good investment-lending portfolio that targets Nicaragua and Ecuador demonstrate the practices for the sustainable development of indigenous peoples and ethnic minorities. There complexity of regularizing indigenous peoples’ around land property rights, the project, in indigenous peoples, to enhance the capacity of the are only a few projects that have triggered OP 4.10 land, a process that commonly involves multiple collaboration with CARE and the implementing Bank and its partners in developing projects that in the Middle East and North Africa or the Europe agencies, uncertainties concerning the legal agency, the National Agrarian Development support culturally appropriate development and Central Asia regions. aspects of natural resource use, and conflicts Institute (INDA), trained paralegals from activities for indigenous peoples, and to advance between indigenous peoples and other local or indigenous and Afro-Ecuadorian communities for the effective application of the Bank’s policy on A small team prepared the case studies, national interests. project implementation. The paralegals were able indigenous peoples. conducting a desk review of the eight selected to effectively resolve land conflicts because of their projects and identifying good practices and Nicaragua—Land Administration Project. The backgrounds and their knowledge of participating Another important objective is to share these lessons learned from results. The team reviewed project supported government efforts to secure communities and organizations. Through the good practices and lessons learned with World project documents and, for some case studies, property rights and modernize land cooperation between the project and INDA, the Bank staff, borrower governments and indigenous referred to personal experiences in the projects. administration through an enabling legal paralegals were integrated into INDA’s operations peoples’ organizations to help improve the design Task team leaders and members provided input environment. Building on several previous Bank- for land titling and regularization. and implementation of programs and projects for through interviews, email communications, and financed efforts, the project contributed to the indigenous peoples and to substantially increase draft case study reviews. preparation and implementation of Law 445— Indonesia—Improving Governance for Sustainable their effectiveness and impact. Finally, this Collective Land Rights of Indigenous Peoples in the Livelihoods in Forested Areas Project. initiative also intends to support a much broader The selected case studies are as follows: Caribbean as well as other laws. This strengthened Participatory planning is supporting the plan to engage indigenous peoples in a longer- the policy and legal environment, enabling production of maps and land-use plans by term effort to find better ways to promote • Nicaragua—Land Administration Project: indigenous peoples and ethnic minorities in the indigenous peoples and promoting their use for sustainable development among indigenous Recognizing Collective Land Rights of North Atlantic Autonomous Region of Nicaragua sustainable forest management to improve communities worldwide through the Global Indigenous Peoples to reestablish their property rights and allowed for livelihoods. Community mapping is proving to be Dialogue and Engagement Process. • Ecuador—Indigenous and Afro-Ecuadorian the recognition of indigenous territories as self- a useful negotiating tool for indigenous Peoples Development Project governing units. communities promoting customary rights by Scope and Methodology • Indonesia—Improving Governance for asserting and claiming their land rights and Sustainable Indigenous Community Livelihoods Ecuador—Indigenous and Afro-Ecuadorian responsibilities as well as enhancing their cultural To select the case studies, the team leading the in Forested Areas Project Peoples Development Project (PRODEPINE). The norms. Community drawn maps are treated as exercise drew up a preliminary “assessment • Central America—Integrated Ecosystem project financed land titling and land valid evidence in dispute resolution, and they can criteria” list, which included regional and sector Management in Indigenous Communities regularization, benefitting 93 indigenous and Afro- serve as a basis for issuing formal recognition of representation; relevance to the key thematic Project Ecuadorian organizations. Given the sensitivity indigenous peoples’ territorial rights. x xi Central America—Integrated Ecosystem reinforcing cultural traits of traditional Management in Indigenous Communities Project. communities, such as social solidarity, communal The project supported conservation and work, and mechanisms for the traditional management of natural resources by indigenous redistribution of wealth. The projects have peoples as a means to protect their livelihoods supported culture-based activities, including and economic well-being. Building on their handicrafts, cultural tourism, and ethno-biological traditional knowledge of sustainable land use and production, but also larger productive activities an integrated ecosystem management approach, like sustainable forest management, agriculture, land-use plans were designed and executed in a and fisheries. participatory manner, benefiting 400 communities. Along with capacity building to Ecuador—Indigenous and Afro-Ecuadorian preserve biodiversity, the land-use planning Peoples Development Project. Culturally created positive environmental benefits and appropriate and participatory development promoted sustainable livelihoods for rural approaches were used in all aspects of the project, indigenous populations. providing investment resources to indigenous and Afro-Ecuadorian communities based on their own Namibia—Integrated Community-Based priorities. The use of traditional collective labor Ecosystem Management Project. The use of (Minga) was accepted as the counterpart community-based natural resource management contribution by the communities for financing approaches brought socioeconomic benefits to particular rural investments. Important communal conservancies. In the past, a major community enterprises were also financed on a dividing issue for the government had been the matching grant basis for investments, such as merit of indigenous customary tenure systems and small-scale agro-business ventures, which were those based on western concepts involving the owned and operated by communities. Indigenous registration of individual ownership. The project communities viewed these agro-business ventures infrastructure investments at the district level and decision-making processes, referred to as promoted a community-based ecosystems as public rather than private goods since the small-scale livelihood activities at the community Balu-Wala. management approach to help the San—a diverse communities owned them and because profits and household levels through “common interest group of indigenous peoples living in Namibia and were used to finance public works (e.g., schools groups.” These groups develop skills to procure raw Governance and Institutional South Africa—gain rights to use, manage, and and health clinics). materials and extension services and explore Strengthening benefit from the natural resources and wildlife linkages with rural finance institutions and within defined boundaries. Nepal—Poverty Alleviation Fund (PAF) Project. markets. The project is also increasing income- Indigenous peoples tend to be organized as clans The case study illustrates how a socially and generating opportunities for ethnic minorities by or tribal groups, maintaining their own culturally appropriate approach can set the facilitating a transition from a state-subsidized institutions to manage relations within their Economic Development and Sustainability conditions for poverty reduction and broad economy to one of market-oriented producers. communities and sometimes with neighboring Over the past few decades, the international sustainable development among indigenous ones. These institutions represent local forms of development community has increasingly peoples. Some of the activities funded include Central America—Integrated Ecosystem political organization and administrative division. recognized the need to tailor development income-generating subprojects, product Management in Indigenous Communities Project. An indigenous peoples’ organization shares a interventions to local contexts, the importance of development, and market linkages. The project This case study looks at efforts to help indigenous common land area or territory, and in order to indigenous peoples to protect their cultural targets communities living below the poverty line peoples conserve and manage natural resources as build bonds and seek alliances with others, it identities and determine their own development and communities commonly excluded from a means of protecting their livelihoods and might become a member of a second-tier regional pace and paths, and the benefit of social and development, such as women, indigenous peoples, economic well-being, building on traditional organization, a third-tier provincial organization, cultural diversity on national development. This and Dalits. knowledge about sustainable land use practices. In or a national organization. Given how important recognition prompted new conceptual Central America, high poverty levels in indigenous local organizations and institutions are to frameworks, such as ethno-development and Vietnam—Second Northern Mountains Poverty communities have led to land degradation indigenous peoples, building their capacity in development with identity, which stress the Reduction Project. The project supports activities. The project provided financing to project design and implementation has been importance of finding socially and culturally development for ethnic minorities through a develop culturally appropriate, environmentally found to enhance their development outcomes. appropriate development alternatives for community-driven development approach, sustainable, income-generating activities through indigenous communities that allow them to be in participatory planning with enhanced women’s technical assistance and production subprojects. Ecuador—Indigenous and Afro-Ecuadorian control of their own development. Several of the participation, and a local language It supported community land management plans Peoples Development Project. This project case studies illustrate the value of recovering and communication strategy. It is financing public through traditional community consultation and strengthened indigenous social organizations and xii xiii local governments in areas with a high Indonesia—Improving Governance for Sustainable Nicaragua—Land Administration Project. This case concentration of indigenous peoples. Through a Indigenous Community Livelihoods in Forested study explores the process by the Nicaragua partnership with 27 Ecuadorian universities and Areas Project. The project has introduced and government to formulate and implement an high schools, a pool of indigenous professionals evaluated creative approaches for the institution- indigenous and ethnic minority land law. The was trained. The experiences contributed building of indigenous community-based project was designed to develop the legal, significantly to the formation and improvement of organizations. Also included were community institutional, technical, and participatory social capital, demonstrating the importance of approaches to forest management schemes aimed framework for the administration of property local institutional strengthening for improving at improving non-timber forest production rights in the territory of Nicaragua. The project’s management capacity. This made it possible to practices and alternative livelihood activities. design as well as the Indigenous Peoples Strategy include community demands on the agenda of Marginalized and vulnerable indigenous emphasized dialogue with major stakeholders; a local governments, promote institutional alliances, communities and organizations were brought participatory approach to the legal recognition and form networks aimed at solving concrete together in a framework of common interest to and demarcation of indigenous land; and development problems of indigenous peoples. connect with markets and provide opportunities community capacity building related to land and for gaining experience, investing, and aligning natural resource rights, such as demarcation and Central America—Integrated Ecosystem their sustainable production practices with the land titling. The process resulted in the Management in Indigenous Communities Project. international demand for ecosystem services. preparation, enactment, and implementation of This case study describes efforts to strengthen the From the national to provincial and community Law 445—the Law for Collective Land Rights of knowledge of participating communities in levels, the project is being directly implemented by Indigenous Peoples in the Caribbean. customary law and rights and to improve their indigenous peoples. It is one of the few technical, administrative, and information and experiences at the World Bank where a grant Ecuador—Indigenous and Afro-Ecuadorian communication technology skills to engage in agreement was signed with a community-based Peoples Development Project. This case study biodiversity conservation through regional national network—the National Alliance for illustrates how the project supported the networks. In particular, two regional indigenous Indigenous Peoples (AMAN). formulation of national and local development organizations—the Indigenous and Peasant plans and the preparation of draft legislation on Coordination Association for Community issues of interest to indigenous peoples and Afro- Country Legal and Policy Systems Agroforestry in Central America and the Ecuadorian communities, such as land tenure and ownership taken within the Department of Regarding the Rights of Indigenous Indigenous Council of Central America—were legalization, inter-cultural and bilingual education, Education. The technical working group increased Peoples supported. The latter used an indigenous concept and recognition of local-level traditional awareness about the educational situation for of “good living” and development to strengthen its Indigenous peoples’ rights and issues are authorities and organizations. Results were indigenous peoples; undertook an inventory of network of various organizations focused on recognized in various international instruments, achieved in part through the institutional past and existing policies and programs regarding tourism, handicrafts production, and production such as the United Nations Declaration on the strengthening of the Council for the Development indigenous peoples’ education; and conducted a of traditional natural products. Rights of Indigenous Peoples (UNDRIP), endorsed of Nationalities and Peoples of Ecuador and the series of subnational and regional consultations by over 140 countries, and the International Council for Afro-Ecuadorian Development, the with key educational stakeholders and indigenous Namibia—Integrated Community-Based Labour Organization (ILO) Convention 169 on two official government organizations dealing peoples’ groups resulting in increased pressure to Ecosystem Management Project. The San, one of Indigenous and Tribal Peoples, currently ratified with indigenous peoples and Afro-descendants. formulate the Indigenous Peoples Education the oldest peoples in Africa, have a number of by 22 countries. Most countries in Latin America Policy Framework. conservancies or community-based organizations. and a few select countries elsewhere (e.g., the Philippines—National Program Support for Basic The project targeted the San people through the Philippines and Indonesia) have specific Education (NPSBE) Project. The project has Cross-Cutting Approaches N#a Jaqna Conservancy and sought to legislation recognizing the rights of indigenous supported policy reforms in the education sector, systematically establish equal opportunities for peoples with regard to land, natural resources, including specific policies and institutional In addition to the good practices and lessons the San in organizational and financial areas. In cultural identity, education, and health. However, arrangements for indigenous peoples. Within the learned with regard to the four specific thematic addition, it supported traditional San practices, for many of the countries that attempt to apply Department of Education, a technical working areas, the case studies identify a number of good introduced ways to connect with the modern these principles, implementation is often group and a special office for indigenous peoples’ practices concerning important cross-cutting market, and built capacity to improve the incomplete, controversial, and mired in conflict education was established. A National Indigenous issues for projects involving indigenous peoples. conservancy’s governance. As a result, the effective and internal power relations. Supporting a legal Peoples Education Policy Framework was These can be grouped into two main areas management of conservancy committees framework that recognizes indigenous peoples developed by supporting an extensive consultation concerning: (1) project preparation and design increased, facilitating the incorporation of an can therefore provide significant benefits to process with indigenous peoples organizations and (2) implementation support and adaptive integrated ecosystem management approach to indigenous peoples. and the National Commission on Indigenous management. natural resource management. Peoples. The case study illustrates how the policy reforms only came about due to the strong xiv xv Project involved intensive supervision to address practices for policy reforms include awareness issues such as unclear territorial boundaries, raising, assessing past and existing policies, and relationships among neighboring communities, and conducting extensive consultations with clear communication of project objectives and indigenous peoples and other relevant methodologies to all key stakeholders. stakeholders. 6. Because indigenous peoples are commonly Conclusions and marginalized and often exhibit distinct Recommendations socioeconomic and cultural characteristics, projects supporting economic development for The case studies illustrate how specific World indigenous peoples should be tailored to Bank-financed investment projects have particular circumstances. The case studies contributed to land management and rights, identify good practices through ethno- economic development, policy development, and development, development with identity governance and institutional strengthening of models, participatory approaches, and tailored indigenous peoples. While issues and good investments. practices concerning indigenous peoples’ development tend to be project-specific due to the particular circumstances of specific indigenous Recommendations peoples and to country contexts, the case studies This report aims to improve the socioeconomic identify a number of key factors for sustainable circumstances of indigenous peoples and indigenous peoples’ development: their participation in development. Additional efforts are needed to identify and assess good 1. Development of culturally appropriate project practices for supporting improvements to designs based on solid social analysis, including indigenous peoples’ development, which could institutional and stakeholder analysis, include the following: consultations, and the active participation of 1. Expanding the identification and indigenous peoples’ communities and documentation of case studies to provide a Project preparation and design. Many of the case support. First, an adaptive management approach organizations during project preparation. more in-depth discussion of good practices studies discuss the importance of undertaking a enhanced project outcomes for several of the 2. Participatory arrangements in project design and lessons learned concerning indigenous thorough social assessment and consultation projects. For example, the original objective of and implementation tailored to the specific peoples development. process to identify the key issues, opportunities, PRODEPINE in Ecuador of strengthening second- political, social, and cultural contexts of 2. Conducting an in-depth analysis of these and risks related to the project and to indigenous tier or supra-community organizations was indigenous organizations and communities. and other cases to identify additional issues peoples. Combined with effective institutional and gradually expanded to cover higher-level social 3. The legalization and management of ancestral and to provide a deeper understanding of factors that affect outcomes for indigenous stakeholder analysis, the social assessment and organizations and municipal governments. And lands and natural resources is critical to peoples in development programs and consultations are generally useful to the design of when project monitoring revealed that the most development for most indigenous peoples who projects, such as social inclusion and a successful project. An Indigenous Peoples Plan marginalized communities were not receiving often think of land as a sacred, communal, and vulnerability; the identification of entry tailored to a particular socioeconomic and sufficient project benefits, Nepal’s PAF Project was essential resource for their cultural and points and leverage to ensure indigenous cultural context can also enhance project benefits able to close the targeting gaps. economic survival, not as property to be bought peoples benefit from development policies, and opportunities for indigenous peoples and and sold as a commodity. programs, and projects; and political economy prevent or address adverse impacts and risks. Second, because indigenous peoples’ development 4. Building social capital has been identified as an assessments and other factors influencing and informing actions by the government or other Moreover, the consultation process can establish can be complex and controversial, successful integral component of social and economic stakeholders. important relationships with indigenous peoples’ implementation can often require additional development for indigenous peoples because it communities and organizations, enabling their resources and efforts from Bank task teams. For enables them to plan and manage their own 3. Preparing training material based on specific case studies included in this report concerning informed participation in the design and instance, the successful results achieved with the development initiatives. Several of the case indigenous peoples’ development and the implementation of projects. education project in the Philippines required studies identify institutional strengthening of application of the Bank’s policy on indigenous significant time and resources, a continued dialogue indigenous peoples’ organizations and peoples. Implementation support and adaptive between the World Bank and the Department of institutions as a good practice. management. Two key issues emerge from the Education, and a good working relationship with the 5. Policy reforms concerning indigenous peoples case studies as good practices for project National Commission on Indigenous Peoples. could enhance project outcomes and bring implementation and World Bank implementation Similarly, the Nicaragua Land Administration about broader and longer-term benefits. Good xvi xvii Our People, Our Resources: Striving For A Peaceful And Plentiful Planet—Case Studies Report 1. Introduction 1.1 Background Bank has provided support to efforts at strengthening indigenous peoples’ organizations This report presents a brief discussion of through participatory training. Such capacity indigenous peoples’ development as evidenced in building has enhanced indigenous peoples’ a select number of case studies about World Bank- participation in national development and policy financed projects that had a positive impact on processes as well as in specific investment Indigenous Peoples’ communities. The main projects. These activities have also served to objective of this study is to identify and document improve the dialogue between indigenous peoples’ good practices and lessons learned that can be organizations and governments. As a result of the shared with World Bank staff, borrower enhanced engagement with indigenous peoples, governments, and Indigenous Peoples’ global programs supported by the Bank have organizations to help improve the design and added special capacity building programs for implementation of projects that trigger the World indigenous peoples and other civil society Bank’s Operational Policy on Indigenous Peoples organizations. The Forest Carbon Partnership (OP 4.10) and/or are primarily oriented toward the Fund is financing the Capacity Building Program sustainable development of indigenous peoples. for Forest-Dependent Peoples (including indigenous peoples) and Southern Civil Society World Bank activities with regard to indigenous Organizations; and the Forest Investment Program peoples have been primarily focused on applying includes a “Dedicated Grant Mechanism for OP 4.10 to ensure that indigenous peoples receive Indigenous Peoples and Local Communities,” social and economic benefits that are culturally providing direct funding to indigenous appropriate and gender and age inclusive, and to communities and organizations. mitigate possible adverse impacts associated with Bank-financed projects. The policy itself This report is an initial attempt to document good encourages Bank engagement and financial practices and lessons learned through results with support for a variety of initiatives that go beyond regard to indigenous peoples’ development. It is projects, engaging in broader dimensions of intended to support the ongoing engagement country relationships that improve the process with indigenous peoples and to inform the circumstances of indigenous peoples. As a result, process of finding better ways to promote the Bank increasingly addresses issues concerning sustainable development that will positively affect indigenous peoples through: (1) country economic indigenous communities. and sector work/analysis, (2) dialogue and technical assistance, and (3) capacity-building. Since March 2013, the World Bank has been implementing the Global Dialogue and For instance, using a combination of World Bank Engagement Process with indigenous peoples resources, trust funds, and counterpart funds, the with the following objectives: 1 • Inform the ongoing World Bank Environmental representation reflects the World Bank resources with them; (3) customary cultural, Box 1: Indigenous Population and Social Safeguards Review and Update investment-lending portfolio that target economic, or political institutions that are by Region (millions) process, particularly as it relates to the World indigenous peoples and ethnic minorities. There separate from those of the dominant society and Bank’s policy on indigenous peoples (OP 4.10) are only a few projects that have triggered OP 4.10 culture; and (4) an indigenous language, often China 106.40 • Improve effective implementation of OP 4.10 in the Middle East and North Africa or the Europe different from the official language of the country South Asia 94.90 • Identify strategies to direct increased World and Central Asia regions. or region (OP 4.10, paragraph 3 and 4). Southeast Asia 29.84 Bank investment to indigenous peoples based Africa 21.98 on their own visions of development The cases were prepared by a small team that There are varying estimates of the total number of • Strengthen the engagement process between identified good practices and lessons learned from self-identified indigenous people worldwide, South America 16.00 the World Bank and indigenous peoples results through a desk review of the eight selected ranging from approximately 250 million to 375 Arabia 15.41 worldwide. projects. The team reviewed project documents, million. As seen in table 1, the largest populations Central America/Mexico 12.70 including project appraisal documents, Indigenous of indigenous peoples are in China (more than 100 United States/Canada 3.29 During the dialogue four major thematic areas Peoples Plans, monitoring and evaluation reports, million), South Asia (94.9 million), and Southeast Japan/Pacific Islands 0.80 were identified as critical for indigenous peoples: and Implementation Completion Reports (ICRs). Asia (30 million). There are also large numbers of The case studies were informed by interviews or indigenous peoples in Latin America (16 million Australia/New Zealand 0.60 1. Land rights and management email communication with task team members, in South America and 12.7 million in Central Former Soviet Union 0.40 2. Economic development and sustainability who also reviewed the draft case studies. In some America/Mexico) and Africa (21.98 million). Many Greenland/Scandinavia 0.12 3. Governance and institutional strengthening instances, task team members provided more indigenous populations live in forested areas, such Total 302.45 4. Public policy and country systems extensive input, including providing drafts of case as those in India and South East Asia, the Amazon Source: Gillette Hall and Harry Patrinos. 2012. studies. tropics, and the Mexican tropics and temperate The case studies in this report primarily discuss areas. Dense numbers of indigenous peoples are good practices and lessons learned concerning 1.3 Limitations also found in mountainous areas, including the studies. The summary is organized around the these thematic areas. Andes of South America, the Sierra Madre of four thematic areas, but also includes good First, the case studies rely on existing information Mexico, and the Himalayas of Asia. practices of a cross-cutting nature, such as 1.2 Methodology and interviews with task team leaders. Second, participatory mechanisms for project preparation field verifications could not be carried out due to 1.5 Summary of Good Practices and implementation, capacity building, and Bank To select the case studies, the team leading the time and budget constraints. and Lessons Learned support for project implementation. exercise drew up a preliminary “assessment criteria” list, which included regional and sector Additionally, the scope of this work did include The objective of this initiative is to identify good Land Rights and Land Management representation; relevance to the key thematic outreach and cooperation with other donors or practices and lessons learned in the context of areas from the Global Dialogue and Engagement organizations in order to include good practices specific projects and countries; it is not to draw Indigenous peoples have strong attachments to Process; preference for completed or near- from their projects. This study includes only World generalizations about the good practices. This land because they rely on it for their physical and completed World Bank projects; and availability of Bank-financed or co-financed operations and study is also not intended to be an exhaustive cultural survival. A change to their land-based live- information, such as first-hand knowledge of relies mainly on project documents and interviews coverage of issues concerning indigenous peoples, lihoods also affects their culture and social organi- projects, access to Bank staff task teams, and prior with and/or input from task team members. around the thematic areas or beyond them. zations. To many indigenous peoples, ancestral coverage in Bank publications or reports. Rather, the goal is to initiate a process for lands are a source of life, forming an essential part 1.4 Who are Indigenous Peoples? developing a better understanding of good of the cultural underpinning of their identities. As The team also relied on the results of the Social practices for indigenous peoples’ sustainable a result, land constitutes the basis for their social, Inclusion Portfolio Review, which analyzed As recognized by the international legal framework development and to enhance the capacity of the economic, and political organizations, as well as projects in the fiscal 2010–13 portfolio. The and as stated in OP 4.10, there is no universal Bank and its partners to develop projects that their customary laws. Although indigenous peo- preliminary list was shared with technical staff definition of the term “indigenous peoples.” In support culturally appropriate development ples are heavily dependent on land and natural working in different regions, requesting various countries, these groups are referred to as activities for indigenous peoples and advance the resources, many are currently landless, live on suggestions for additional potential projects. Out “indigenous ethnic minorities,” “aboriginals,” “hill effective application of the Bank’s policy on small parcels of land, or do not have tenure securi- of more than 20 potential cases, eight projects tribes,” “minority nationalities,” “scheduled tribes,” indigenous peoples. ty due to colonization, wars, corruption, or other were chosen for inclusion in this report. and “tribal groups.” The World Bank policy uses the processes of land alienation and expropriation. term “indigenous peoples” in a generic sense to The case studies are presented in detail in section Discriminatory policies and economic develop- With regard to regional representation, the refer to distinct, vulnerable, social and cultural 2 of this report, and they can be read as stand- ment are key elements in a continuing process selected case studies represent four regions: Latin groups who, to varying degrees, possess the alone pieces. Presented below, however, is a brief undermining many indigenous peoples’ rights to America and the Caribbean (3), Africa (1), South following characteristics: (1) self- identification; summary of the good practices and lessons the land they have lived on since settlement. Asia (1), and East Asia (3). This regional (2) collective attachment to territories and natural learned that were identified in the eight case 2 3 Nicaragua’s PRODEP supported the government’s land tenure assessment and diagnosis that, using efforts to secure property rights and modernize local knowledge about ancestral territories, land administration. It also contributed to the identifies the various forms of land tenure within a preparation of a draft law on indigenous lands, given territory among other things; (2) mediation which was followed by a long consultation process and conflict resolution, starting at the local level, and culminated with the enactment and using traditional arrangements for solving implementation of Law 445—Collective Land conflicts; (3) boundary demarcation, involving the Rights of Indigenous Peoples in the Caribbean. training of government staff and community Ecuador’s PRODEPINE included a component members; (4) titling and registration; and (5) financing land titling and land regularization. The community-based land management plans. Indonesia project included a component on participatory land-use planning through which The cases illustrate the value of defining institu- the indigenous communities reached agreements tional arrangements according to local and coun- and were trained in mapping and sustainable try contexts and based on thorough institutional forest management for improved livelihoods. and stakeholder analyses. Involvement of indige- nous peoples organizations can enhance the im- These case studies demonstrate that regularizing plementation of a project and build long-term indigenous peoples’ land is complex and often capacity for land titling and land management. controversial. It commonly involves multiple PRODEP was implemented through government agencies, uncertainties concerning the legal institutions, but the analysis for PRODEPINE re- aspects of natural resource use, and conflicts sulted in an agreement with the National Agrarian between indigenous peoples and other local or Development Institute (INDA), the implementing national interests. PRODEP, for instance, agency, to implement the project using locally experienced delays because of inter-territorial trained paralegals from indigenous and Afro- The right to land is therefore considered a primary action plan for the legal recognition of such conflicts and overlapping claims, remoteness of Ecuadorian communities in order to better ad- factor in sustainable development for indigenous ownership, occupation, or usage.” the sites, and drawn-out legal procedures dress sensitivities about land property rights. This peoples, as recognized in international instruments concerning the registration of the titles. approach was adopted into INDA’s operational such as the International Labour Organization International donors have recognized and sup- procedures for land titling and regularization. (ILO) Convention 169 and the United Nations ported land rights for indigenous peoples through In such contexts, it is essential to include compre- Declaration on the Rights of Indigenous Peoples land titling projects and support for legal reforms hensive social assessment and consultation pro- PRODEP involved a good-practice approach for (UNDRIP). World Bank Indigenous Peoples Policy in borrower countries. These efforts have sought cesses for preparing and implementing land titling tailored conflict resolution mechanisms that (OP 4.10) also stresses the importance of indigenous to protect indigenous land and resources from projects. PRODEP was based on such a process, effectively facilitated the recognition of collective peoples’ land, noting that if a Bank-financed project: external encroachment and expropriation and to building on previous attempts to address and land rights as well as regular cadastral and enhance the economic self-subsistence and build national consensus concerning land tenure “regularization” processes. It involved mechanisms “involves (a) activities that are contingent on self-identification of indigenous communities. The issues and indigenous land claims, including social for solving conflicts at the community level, establishing legally recognized rights to lands World Bank has financed several projects, particu- assessments and participatory land tenure analy- included the Commission for Territorial Inter- and territories that Indigenous Peoples have larly in Latin America, to support indigenous peo- sis undertaken for previous Bank-financed Sectorial Demarcation (CIDT) to resolve conflicts traditionally owned or customarily used or ples’ land rights. Three of the projects are de- projects. between ethnic groups and third parties, and occupied (such as land titling projects), or (b) scribed in the case studies: the Nicaragua Land autonomous regional councils to address more the acquisition of such lands, then the Administration Project (PRODEP), the Improving The development of detailed arrangements for complex conflicts. The process included capacity Indigenous Peoples Plan (IPP)1 sets forth an Governance for Sustainable Indigenous project implementation and the processes for development for conflict mediation, community Community Livelihoods in Forested Areas Project indigenous inclusivity proved to be invaluable in outreach, and close inter-institutional 1  An Indigenous Peoples Plan (IPP) is prepared for Bank-financed in Indonesia, and the Indigenous and Afro- PRODEP. At the operational level, demarcation coordination. The success of the cadastral investment projects affecting indigenous peoples—positively Ecuadorian Peoples Development Project in and titling processes were tailored to the specific surveying and “regularization” interventions of the or adversely. It is prepared in a flexible and pragmatic manner, Ecuador (PRODEPINE).2 conditions of the target communities. The project is attributable in part to the and its level of detail varies depending on the specific project and the nature of effects to be addressed. An IPP sets out the traditional organizations and decision-making responsiveness of the methodologies that relied on measures by which the borrower will ensure that (1) indigenous bodies were directly involved in the demarcation conflict resolution mechanisms in the field. peoples affected by the project receive culturally appropriate 2  The Brazil Indigenous Lands Project is another example. See and titling process. The project created a detailed social and economic benefits; and (2) when potential adverse Brazil Indigenous Lands Project, Implementation Completion and effects are identified, they are avoided, minimized, mitigated, or Results Report (World Bank 2007), for a discussion of lessons manual for an innovative five-stage participatory Development projects can also enhance compensated. learned from this project. territorial demarcation and titling process: (1) indigenous peoples’ land tenure security through 4 5 means other than land titling. Many Bank- interventions to local contexts, the desire of community-driven development projects have not financed projects have supported community indigenous peoples to protect their cultural targeted indigenous communities but did include land-use plans in connection with conservation identities and determine their own paths and pace measures to enhance their participation and and natural resource management projects. While of development, and the benefits of social and recognize their particular needs and these schemes may not offer the same level of land cultural diversity to national development. circumstances. Two examples are included in this security, they often enhance communities’ land report: the Nepal Poverty Alleviation Fund (PAF) tenure by documenting current and historical This growing recognition has spurred the and the Second Vietnam Northern Mountain land-use patterns that communities can use to development of conceptual frameworks for ethno- Poverty Reduction Project. secure more formal tenure arrangements. Two development and development with identity. projects included in this report supported Ethno-development focuses on building the PRODEPINE is a good example of an approach to community-based land-use planning: the capacity of culturally differentiated societies to ethno-development that demonstrates what can Integrated Ecosystem Management in Indigenous control their own processes of change. Key be achieved when governments decide to invest in Communities Project in Central America and the elements include the need for indigenous peoples activities supporting indigenous peoples who Integrated Community-Based Ecosystem to strengthen their own cultures, assert their present low indexes of economic development but Management Project in Namibia. ethnic identity as peoples, obtain recognition of who possess strong cultural, social, and natural their lands and territory for self-determination, assets. The project was effective in promoting cul- The Integrated Ecosystem Management in and self-manage their development process. turally appropriate and participatory development Indigenous Communities Project in Central approaches while directing investment resources America sought to help indigenous peoples con- Development with identity stresses the impor- to indigenous and Afro-Ecuadorian communities serve and manage natural resources as a means of tance of finding development alternatives that are that were based on their own priorities. The proj- protecting their livelihoods and economic well-be- socially and culturally appropriate to indigenous ect financed a substantive subprogram of small- ing, building on their traditional knowledge about societies. It favors recovering and reinforcing cul- scale rural investments identified through a par- sustainable land use and practices. The project tural traits of traditional communities, such as ticipatory planning process at the community supported the development of community land- social solidarity, communal work, and mecha- level. After four years of implementation, peoples. Some of the key practices applied in the use plans for territorial management, productive nisms for the redistribution of wealth. It stresses PRODEPINE had supported the preparation of 210 project included: (1) a detailed and multi-layered and natural resources management subprojects, that poverty cannot be limited to modern eco- local development plans; 1,918 subproject propos- mechanism for targeting poor and vulnerable and network strengthening. The project demon- nomic criteria, such as individual income or con- als; and 830 preinvestment studies. Key lessons communities; (2) a strong partnership and strated that enhancing the capacity of local com- sumption, but must also concern the well-being of learned included the importance of ensuring collaboration with various organizations working munities to preserve biodiversity creates positive the natural environment and community cohe- grassroots participation, building self-develop- at the community and national levels to facilitate development outcomes that go beyond environ- sion. This approach often includes culture-based ment, strengthening human and social capital, the inclusion of poor and vulnerable communities mental benefits, promoting sustainable livelihoods activities, such as handicrafts, cultural tourism, and diversifying income sources. into the project implementation process; and (3) for rural indigenous populations. Using this bot- and ethno-biological products, but it can also in- community-based, demand-driven approaches tom-up approach that promoted community ca- clude larger productive activities, such as sustain- The Integrated Ecosystem Management in that include rigorous social mobilization pacity building for environmental stewardship, the able forest management, sustainable agriculture, Indigenous Communities Project in Central initiatives to allow the poor and vulnerable to project achieved substantial biodiversity and fisheries of native species. America supported development with identity plan, design, and implement projects according to outcomes. through the development of comprehensive their own needs. A number of Bank-financed investment projects community development plans and community have explored this type of development in Latin land management plans based on traditional The Second Vietnam Northern Mountain Poverty Economic Development and Sustainability America, including Ecuador’s PRODEPINE.3 community consultation and decision-making Reduction (NMPRP-Phase II) followed a similar Traditionally, development strategies and theories Numerous Bank-financed community-driven processes known as Balu-Wala. The development participatory approach. The project promoted focused on economic progress without development projects across regions have also of these plans and the methodology used helped local culture, invested in local tourism considering the cultural and social dimensions of supported local communities in the design, local communities reassess traditional culture, development, focused on enhanced women’s developing countries, let alone differences within a preparation, and implementation of their own particularly younger people feeling increasing participation, and supported women’s handicraft country. Similarly, development involving small-scale community investments. Most of these pride in their heritage, leading to increased local production and herbal medicine products. The indigenous peoples was rarely tailored to involvement and project success. NMPRP-Phase I showed that, to ensure 3  Other examples are the Bolivia Indigenous Peoples particular cultural, institutional, and Development Project and the Argentina Indigenous Community community member involvement and ownership, socioeconomic circumstances. However, during Development Project. For lessons learned on these projects, The case study of the Nepal PAF Project illustrates particularly among ethnic minorities, it was the past few decades, the international see “Lessons Learned from the Indigenous Communities how a socially and culturally appropriate approach critical to adequately communicate project Development Project in Argentina” (World Bank 2004a) and development community has come to recognize “Development with Identity: Rural Development and Indigenous can set the conditions for poverty reduction and activities and opportunities. To better engage the need for better tailoring development People” (Clark 2006). broad sustainable development among indigenous beneficiaries, NMPRP-Phase II has a specific 6 7 communications strategy that pays particular Project.4 The Indonesia and Central America attention to the dissemination of information in projects show that indigenous peoples’ local languages and through innovative alternative organizations can be project implementers methods, such as audio books or picture galleries. resulting in positive outcomes—for a particular One of the selection criteria for commune project and, even more likely, for future activities facilitators is fluency in relevant local languages, where the organizations can lead the development and the project hired local facilitators from ethnic efforts for indigenous communities. minority communities. One of PRODEPINE’s main objectives was to strengthen indigenous social organizations and Governance and Institutional local governments in areas with high Strengthening concentrations of indigenous peoples. The Because indigenous peoples have historically been experiences significantly contributed to the excluded and marginalized, they are often unable formation and improvement of social capital and or reluctant to participate in defining national, demonstrated the importance of strengthening regional, or even local development policies, local institutions to improve management programs, and projects. They usually maintain capacity, making it possible to include community their own institutions, managing relations within demands on the agenda of local governments, their community and sometimes with neighboring promote institutional alliances, and form communities. Indigenous peoples tend to be networks aimed at solving the concrete organized as clans or tribal groups. What stands development problems of indigenous peoples. out in comparison to nonindigenous local communities is the tendency of indigenous The Integrated Ecosystem Management in grassroots institutions and organizations to have a Indigenous Communities Project in Central common land area or territory as the basis for America supported institutional strengthening of their organization and cultural identity; to build regional indigenous organizations, the Central significant benefits to them, although they can Country Legal and Policy Systems bonds and seek alliances with others; and to be American Indigenous and Peasant Coordinator of also augment existing conflicts over such rights. Regarding Indigenous Peoples’ Rights members of second-tier regional organizations Communal Agroforestry (ACICAFOC) and the Some of the case studies included in this report and third-tier provincial or national-level Indigenous Council of Central America (CICA). It Indigenous peoples’ rights and issues are have supported the strengthening of legal reforms organizations. As a result of the strong level of also created a permanent council—Wayib in recognized through various international and policy norms regarding indigenous peoples’ social organization, indigenous peoples’ voices in Mayan—to oversee project implementation. The instruments, such as the United Nations rights, including PRODEP, PRODEPINE, and the national and international events are being Wayib is made up of two representatives each from Declaration on the Rights of Indigenous Peoples, National Program Support for Basic Education increasingly heard. CICA and ACICAFOC.5 The Wayib and the Central endorsed by over 140 countries, and the ILO Project in the Philippines. American Commission on Environment and Convention 169 on Indigenous and Tribal Peoples, Given the importance of indigenous peoples’ Development (CCAD) delegate the currently ratified by 22 countries. Most Latin PRODEP contributed to the formulation and organizations and institutions, their inclusion in implementation to a project coordination unit American countries6 and a few countries implementation of Nicaragua’s Indigenous and project design and implementation is likely to under ACICAFOC through the use of subsidiary elsewhere, including the Philippines and Ethnic Minorities Lands Law. Similarly, enhance development outcomes. Such agreements. Indonesia, have specific legislation that recognizes PRODEPINE supported the formulation of arrangements, combined with institutional the rights of indigenous peoples with regard to national and local development plans in Ecuador, strengthening and capacity building of 4  Specific projects supporting institutional strengthening and land and natural resources, cultural identity, the preparation of draft legislation on issues of capacity building of indigenous peoples’ organizations have community-based organizations and umbrella education, and health. However, for many of the interest to indigenous peoples and Afro- also been financed by the Bank, notably, the establishment of organizations, are highlighted in several of the the Fund for the Development of Indigenous Peoples of Latin countries that attempt to apply these principles, Ecuadorian communities to present to the case studies as good practices, including America (Fondo Indígena) in cooperation with the ILO, the implementation is often incomplete, controversial, legislature, and the decentralization, training, and PRODEPINE, the Integrated Ecosystem International Fund for Agricultural Development, and the Inter- and mired in conflict and internal power struggles. equipment of relevant official entities and staff. American Development Bank. See “Strengthening Indigenous Management in Indigenous Communities in Organizations: The World Bank’s Indigenous Capacity Building Central America Project, the Improving Program in Latin America” (Uquillas and Gabara 2000). It is also In this context, supporting a legal framework that In the Philippines, the World Bank supported Governance for Sustainable Indigenous included in the Forest Carbon Partnership Fund and Forest recognizes indigenous peoples can provide policy reforms in the education sector, including Investment Program, as noted earlier. Community Livelihoods in Forested Areas Project specific policies and institutional arrangements 5  The Central American Indigenous and Peasant Coordinator of 6  See “Derechos Indigenas en las Constituciones de America in Indonesia, and the Namibia Integrated Communal Agroforestry (ACICAFOC) brings together dozens of Latina” (Barie, 2005) and work done by the Inter-American for indigenous peoples. Within the Department of Community-Based Ecosystem Management community-based organizations throughout the region. Development Bank at www.iadb.org/sds/ind. Education, a technical working group and, 8 9 subsequently, a special office for indigenous issues for projects involving indigenous peoples. • Sound institutional and implementation the Philippines, the institutional arrangements of peoples’ education were established. With support These can be grouped into two main areas arrangements, which involve indigenous the Department of Education were changed, and a provided to an extensive consultation process concerning: (1) project preparation and design peoples’ organizations and institutions in national policy emerged through ongoing involving the National Commission on Indigenous and (2) implementation support and adaptive project implementation and monitoring (e.g., consultations and assessments of project Peoples, indigenous peoples’ organizations and management. the education project in the Philippines, outcomes for indigenous peoples. other relevant stakeholders, a national education PRODEP, and PRODEPINE). policy framework for indigenous peoples was Project preparation and design. Many of the case • Capacity building and institutional Second, because indigenous peoples’ development developed. The framework was adopted in studies discuss the importance of undertaking a strengthening of implementing agencies and can be complex and controversial, successful 2011and continues to be institutionalized through thorough social assessment and consultation indigenous peoples’ organizations. For instance, implementation can often require additional the implementation and development of process to identify key issues, opportunities, and in Nicaragua, capacity was built at national, resources and efforts from the World Bank task supplemental guidelines and programs to enhance risks related to the project and to indigenous regional, and community levels in land systems, teams. For instance, the successful results education outcomes for indigenous peoples using peoples. A social assessment and consultations demarcation and titling, geo-referencing, achieved with the education project in the tailored interventions that take into account combined with a strong institutional and property registration, zoning, and conflict Philippines required significant time and language and culture.7 stakeholder analysis are generally useful in resolution to support land titling and resources, a continued dialogue between the designing a successful project and an Indigenous administration activities. In Ecuador and World Bank and the Department of Education, Legal reforms are not easily achieved, particularly Peoples Plan tailored to a particular Indonesia, capacity building for community- and a good working relationship with the National ones that concern indigenous peoples because socioeconomic and cultural context, enhancing based organizations facilitated their primary Commission on Indigenous Peoples. Similarly, the there is often opposition from other population project benefits and opportunities for indigenous role in project implementation for community Nicaragua Land Administration Project involved groups and economic interests, such as the peoples and avoiding or addressing potential mapping and the sustainable management of intensive supervision to address issues such as extractives industry and the forest sector. The adverse impacts and risks. In addition, cases such forest resources and income-generation unclear territorial boundaries, relationships Philippines case study illustrates how policy as the ecosystem management project in Namibia activities. In Nepal and Vietnam, capacity was among neighboring communities, and clear reforms came about due to strong ownership by and the education project in the Philippines built for target beneficiaries to develop and communication of project objectives and the Department of Education, which was illustrate how the social assessment and implement subprojects. Finally, PRODEPINE methodologies to all the key stakeholders. Using strengthened by the establishment of a technical consultation process established relationships and helped support an increase in the available pool existing traditional structures and organizations, working group and a special office for indigenous enabled the informed participation of indigenous of indigenous professionals with the this included significant attention to peoples’ education. The working group is credited peoples’ communities and organizations in the establishment of a partnership with 27 representativeness, social accountability, conflict with increasing awareness of the educational design of the project and, more importantly, in its Ecuadorean universities and high schools to resolution, and the legitimacy of consultation situation of indigenous peoples by undertaking an implementation. educate indigenous students in community mechanisms. inventory of past and existing policies and development, accounting, anthropology, and programs on indigenous peoples’ education and A number of design measures that have enhanced communications as well as irrigation, soil conducting a series of subnational and regional project outcomes and benefits to indigenous conservation, and agro-forestry. consultations with key educational stakeholders peoples are discussed in the case studies, and indigenous peoples’ groups to build support including: Implementation Support and Adaptive for policy reforms. This resulted in increased Management pressure to formulate the Indigenous Peoples • Targeting beneficiaries using a detailed Education Policy Framework. The World Bank mechanism with multiple criteria and indicators Two key issues emerge from the case studies as assisted in the coordination of donor support to from various sets of data to ensure an good practices for project implementation and the education sector, obtaining additional funding appropriate capture of vulnerable communities Bank implementation support. First, an adaptive for the policy reform process and specific (e.g., the Nepal PAF Project). management approach has enhanced project investments within the sector. • Participatory mechanisms tailored to the outcomes for several of the projects. For example, specific social and cultural contexts of the original objective of Ecuador’s PRODEPINE indigenous organizations and communities that was to strengthen second-tier or supra- Cross-Cutting Approaches enable indigenous representatives to participate community organizations, but it was gradually In addition to the good practices and lessons on an equal footing with government agencies expanded to cover higher-level social learned with regard to the four specific thematic in the preparation, management, and evaluation organizations and even municipal governments in areas, the case studies identify a number of good of project activities (e.g., PRODEPINE, PRODEP, areas with a high concentration of indigenous practices concerning important cross-cutting NMPRP-II, and the Central America Ecosystem peoples. When project monitoring revealed that Management in Indigenous Communities the most marginalized communities were not 7  Similar efforts are currently being undertaken in other sectors Project). receiving sufficient project benefits, Nepal’s PAF in the Philippines with World Bank involvement. Project was able to close the targeting gaps. And in 10 11 Nicaragua—Legalizing and Managing Autonomous Territories Our People, Our Resources: Striving For A Peaceful And Plentiful Planet—Case Studies Report Coast Autonomous Region) to have their historical land rights formally recognized. The law also recognized the indigenous territories as self- governing units. 2.1.2 Indigenous Peoples and Land in Nicaragua 2. Case Studies Indigenous peoples and ethnic minorities make up approximately 7 percent (440,000) of the almost 5.9 million people in Nicaragua. Most of Nicaragua’s indigenous and Afro-descendent peoples—with their considerable ethnic and cultural diversity— live in the Caribbean region of the country. 2  .1 Nicaragua—Legalizing and Although the area is rich in natural resources, Project at a Glance Managing Autonomous Territories almost 80 percent of its population faces extreme PRODEP was designed as a major pilot effort poverty due to social exclusion, inequality, an with two project development objectives: (1) to insecure land tenure system, a lack of access to 2.1.1 Introduction develop the legal, institutional, technical, and economic and political power or to social services, The Nicaragua Land Administration Project participatory framework for the administration a low employment rate, and poor housing. (PRODEP) increased the Nicaraguan government’s of property rights in Nicaraguan territory; and (2) to demonstrate the feasibility of a support for the recognition and strengthening of This region was controlled by the British Crown in indigenous lands by third parties. As a systematic land rights regularization program. the land rights of indigenous peoples, especially in colonial times. The advance of the agricultural consequence, many indigenous communities lost the Caribbean region. The project provided Components: (1) policy and legal reforms; (2) frontier, internal migration, population their organizational structures through a process institutional strengthening and decentralization; indigenous peoples with land security and greater resettlement after the armed conflict of the 1970’s, of assimilation, while others were forced to join (3) titling and regularization services; (4) access to land administration services. demarcation and consolidation of protected and uncontrolled rural and urban development farm cooperatives in rural areas. areas; (5) demarcation of indigenous lands; and have put pressure on natural resources and land By demarcating and titling the territories of (6) information systems. occupation patterns. As a result, land conflicts and In addition, the agrarian reform of the 1980’s was indigenous communities, PRODEP enabled the Financing: US$42.6 million (IDA). inter-ethnic rivalries have increased. For many characterized by significant gender bias in the indigenous communities of the Caribbean region years, the lack of an institutional and legal distribution of land to individual families, with Duration: 2002–13. to have greater control over natural resources and framework made it difficult for indigenous and men considered the heads of household and offered them a path toward more sustainable and Afro-descendent communities to have their rights therefore designated as the beneficiaries. This culturally appropriate development in the future. to land and natural resources formally recognized gender bias was exacerbated by the preference Moreover, the subtlety of establishing formal and their territories demarcated and titled. given to former permanent agricultural workers titling of their territories—as opposed to titling of and central government agencies. The project also who were disproportionately male and by individual communities—served as recognition of integrated traditional conflict resolution methods Traditionally, indigenous communities have held inheritance laws favoring men. As a result, women traditional forms of self-governance and the use of in instances of inter-territorial land overlaps. To land communally. Since the independence of were excluded from owning land, which had natural resources. It also allowed indigenous ensure equity of project outcomes, PRODEP im- Nicaragua, a number of land reforms have affected negative consequences on livelihoods and communities to better deal with the government plemented a gender strategy that ensured wom- indigenous peoples’ land rights, particularly on the production assets. and private sector around issues of sustainable en’s participation throughout the entire process of Pacific coast, which was controlled by Spain development and benefit sharing. land demarcation. during colonial times. Indigenous lands on the The 1987 constitution established the formal Pacific coast were gradually lost to white and recognition of indigenous peoples and their right PRODEP applied participatory methods to land The enactment and implementation of Law 445: mestizo people who had dominant status in to land. Article 5, paragraph 3 declares: demarcation and collective titling of indigenous the Law for Collective Land Rights of Indigenous society. Previous efforts in the second half of the territories. This methodology built on local knowl- Peoples in the Caribbean, which was supported by 20th century to equitably redistribute land led to “The State recognizes the existence of indige- edge of “historically recognized and well-accept- the project, enabled indigenous peoples and ethnic the dissolution of collective forms of land tenure. nous peoples, who have the rights, duties, and ed” ancestral territories—the traditional organiza- minorities in the Región Autónoma del Costa Thus, under the agrarian reform initiated in the guarantees enshrined in the Constitution and tional and decision-making processes—and Caribe Norte (RACCN—Northern Caribbean Coast 1960s, some indigenous community lands were in particular to maintain and develop their focused on local capacity building for indigenous Autonomous Region) and Región Autónoma del converted into cooperatives, and certain identity and culture, have their own forms of communities, territorial authorities, and regional Costa Caribe Sur (RACCS—Southern Caribbean provisions legalized the occupation of these social organization and administer their local 12 13 Nicaragua—Legalizing and Managing Autonomous Territories Nicaragua—Legalizing and Managing Autonomous Territories affairs, as well as maintaining the communal the Rama peoples, fell to an estimated 183,000 resource use, gender issues, a typology of land 2.1.5 Indigenous Peoples Component forms of ownership of land and enjoyment, inhabitants, with about 70 percent living in rural and natural resource-related conflicts, potential and Strategy use and enjoyment thereof, all in accordance areas. Data from the 2005 census indicated an scenarios for displacement, and the need for par- with the law.” increase in the RACCS and RACCN populations ticipatory mechanisms. The findings of the social To implement the project component on indige- to approximately 620,000 inhabitants, out of assessment informed a strategy for enhancing nous land demarcation and titling, PRODEP ini- Furthermore, Article 8 recognizes the multiethnic which 254,000 are indigenous peoples. the development outcomes of the indigenous tially developed the Indigenous Peoples Strategy character of Nicaraguan society. While the 1987 peoples’ land titling project component. (IPS). The IPS focused on the legal recognition and constitution gave indigenous communities the on-the-ground demarcation of indigenous land 2.1.3 Project Description right to make use of natural resources and to To support the recognition of indigenous peoples’ claims as well as community capacity-building own communal property, these rights were not Securing property rights and modernizing land land rights, the Government decided to focus on activities related to land and natural resource enforced, primarily due to the lack of an administration is central to Nicaragua’s social the territories of the Caribbean coast, which were rights. The IPS built on the results of several stud- appropriate legal framework. and economic development. The country outside the regular project area. Land regulariza- ies carried out by World Bank-financed projects, experienced years of fluctuating and apparent tion aimed at individual beneficiaries of the re- including a legal and social assessment made Since the 1990s, indigenous communities have contradictory legal and administrative decisions formed sector took place in the Pacific region. during the preparation phase of the Atlantic increasingly organized themselves to preserve that contributed to land tenure insecurity. In Cases involving indigenous peoples were not con- Biological Corridor Project and a broad participa- their cultural and organizational structures and 2002, poverty was overwhelmingly concentrated sidered part of the “regularization.” implying a tory diagnostic of the land tenure situation of the have pushed harder for the recognition of their in rural areas, and the country was emerging status of illegality or unclear rights. As such, the indigenous and ethnic communities of the Atlantic original land claims. One successful example is from a conflict situation; an estimated one-third activity in the Caribbean was aimed at recogniz- coast carried out during implementation of the when, in 1995, the Nicaraguan government grant- or more of rural land did not have a clear title. ing indigenous peoples’ land rights through de- Agricultural Technology and Land Management ed a Korean-based logging company a concession The land claims of indigenous peoples—among marcation and titling of their territories. Project (World Bank 1997) (Dana et al. 1998; Rivera in the ancestral lands of Awas-Tingni—a Mayagna the most disadvantaged and poorest rural Moreover, the intention was to always respect y Asociados 2001). community located in RACCS. The government groups—remained largely unaddressed. In indigenous peoples land rights in the Pacific. gave the concession without consulting the com- addition, the promotion of gender equity in land The IPS included the following key elements: munity and, more importantly, with no regard for ownership was urgently needed as past agrarian The project supported the recognition of the the 1987 Autonomy Law, which protects the lands reform programs and inheritance laws had communal land rights of indigenous peoples, • Promotion of a dialogue about an indigenous and rights of the Caribbean coast’s indigenous favored men. To address these challenges, the including the Miskitos, Mayagna, Rama, and peoples’ land law at the national and regional and Afro-descendant peoples. The Mayagna peo- World Bank supported the Nicaraguan Creole populations. A territory could include land levels involving all major stakeholders, ple successfully sued in the case of Awas-Tingni government through PRODEP. of several communities as well as the natural indigenous and nonindigenous, as well as versus the State of Nicaragua at the Inter- habitat. The communities were included in the relevant state and non-state institutions. The American Court of Human Rights in Costa Rica. This case study focuses on the indigenous peoples process of demarcation and titling. Instead of goal was to build a consensus around the The court maintained that the government had component of the project—demarcation and creating new consultation entities, the traditional adoption of comprehensive legislation that violated the human rights of the Mayagna peo- titling of indigenous territories in the RACCS and organizations and decision-making bodies, such would regulate the securing of indigenous and ples. This case paved the way for Law 445, which RACCN regions of Nicaragua. as the Council of Elders and the Sindico, were ethnic community land rights, the titling is comprehensive legislation that regulates the directly involved in the process. After the passage process, land management, and access to securing of indigenous and ethnic communities’ of Law 445, a manual for demarcation and titling natural resources in accordance with 2.1.4 Process of Social Assessment land rights and that provides a process for titling, was prepared, describing all the necessary steps constitutional principles. This process resulted and Consultation land management, and access to natural resourc- for carrying out the activities and outlined in the preparation and passage of Law 445. es in accordance with constitutional principles. A social assessment was carried out during proj- institutional responsibilities. • Development of the capacity of key actors, ect preparation, focusing on the social aspects of especially the indigenous organizations, to ensure Indigenous communities in the Caribbean still issues related to land and natural resources for The process of consultation, participation, and their effective participation throughout the maintain their native tongues, customs, and the beneficiary populations in 15 of the 28 munici- collection of baseline information for the process of dialogue over legal issues, conflict collective use of lands, and they are part of the palities and 32 indigenous communities in areas preparation of the strategy was achieved by using resolution, demarcation, elaboration, and regional government in RACCN and RACCS. In targeted by the project. The study included repre- focus groups and semi-structured interviews implementation of territorial management plans. the late 1990s, the area’s population was estimat- sentatives of populations living on private and with technical specialists, indigenous leaders, • Establishment of the process of participatory ed at around 464,000, occupying thirteen munici- public lands, inside and around protected areas, non-governmental organizations, and provincial demarcation, titling, and territorial management palities in the two autonomous regions of the and indigenous people in areas of project influ- government representatives. These consultations as well as conflict resolution on the ground, Caribbean. Approximately half of this population ence. The main thematic areas of the assessment and other efforts confirmed that indigenous where indigenous organizations were playing a was indigenous; the rest were mestizo and creole. were the socioeconomic and geographic charac- communities within the project area were primary role. In instances where there were In 1996, the indigenous population, which includ- teristics of the beneficiary populations, key fac- supportive of the reinvigorated titling and overlapping claims, other parties were also ed the Miskito, the Mayagna, the Garifuna, and tors determining access to land and natural demarcation activities. involved. Demarcation of indigenous territories 14 15 Nicaragua—Legalizing and Managing Autonomous Territories Nicaragua—Legalizing and Managing Autonomous Territories would be completed only after a successful titles to 15 ancestral territories in RACCN and • Mediation or conflict resolution. This process conflict resolution process had occurred. RACCS, comprising over 22,000 square kilome- was organized as a forum for communities to ters—almost 19 percent of the national territory. come together in a friendly way to resolve The IPS emphasized a participatory approach At the same time, legal recognition strengthened problems of overlapping land and disputes over and created avenues for increasing indigenous the acceptance of central, regional, and local au- natural resources. The Intersectoral community ownership of the process. It was thorities for the traditional forms of governance in Demarcation and Titling Commission (CIDT) based on the principles of consultation and these territories. In total, 120 indigenous commu- resolved conflicts between ethnic groups and informed participation and consisted of three nities (more than 103,790 people) benefited. More third parties. Unresolved conflicts were referred subcomponents as outlined below: than 50 percent of PRODEP beneficiaries in the 15 to the autonomous regional councils. territories were women. The experience and ca- • Boundary demarcation. This phase involved the • Regulatory land rights framework to support the pacity created through the project provided the process for setting boundaries in a participatory establishment of a legal framework for the legal basis for the government’s continued efforts to manner. PRODEP trained government recognition, regularization, and protection of recognize the land rights of the remaining indige- representatives and indigenous communities to indigenous land rights. It included the develop- nous communities in the Caribbean region (World conduct land surveys. Combining ancestral and ment of a legal and policy framework as well as Bank 2013a, 15). cadastral knowledge, indigenous peoples and capacity building of indigenous organizations to government representatives walked together to actively participate in the process. One major achievement of the project was the demarcate the land. This process was gender • Technical assistance, capacity building, and titling of the Awas Tigni territory (733.94 square sensitive—women and men both participated in institutional development to: (1) support kilometers). In 2001, this community had won a the demarcation walks. indigenous communities and organizations in case against the Nicaragua government in the • Titling and registration. These were the final attaining the capabilities needed for carrying Inter-American Court of Human Rights, steps in the participatory process. CONADETI out activities for the demarcation and titling demanding the recognition of its collective land submitted territorial claims to the government, process as well as for the design and rights. In December 2008, with the support of the which in turn issued collective titles to the implementation of subprojects in the After the adoption of Law 445, the Indigenous project, Awas Tigni was finally titled. communities. The titles were then duly recorded management of their respective territories; (2) Peoples Strategy was adapted, focusing on in the property registry. strengthen the regional councils to allow them demarcation and land titling. For the purposes of carrying out the demarcation, • Community-based land management plans. In to better execute their conflict resolution roles the government created various structures, includ- the Bosawas territories, communities prepared in the establishment of regional dialogues with ing the National Commission for Demarcation and proposals for the development and 2.1.6 Results indigenous and other relevant stakeholders; and Titling (CONADETI), regional inter-sectoral com- implementation of indigenous territory (3) promote awareness about land rights in the As a result of the project, the overall framework for missions, and regional technical commissions. management plans that could improve the autonomous regions within key agencies at the land administration has been strengthened and administration of the demarcated indigenous central and regional levels. inter-institutional coordination has been im- The project created a manual for territorial demar- territories. Five plans were developed and • Pilot demarcation and territorial management, proved. Property registry times and transaction cation and titling that outlines the steps in the implemented through participatory processes in including the identification of boundaries and costs have been reduced. The policy and legal process. The participatory demarcation was a five- the demarcated areas. Thirty activities for fire participatory ethno-mapping, socioeconomic framework for land administration was strength- stage process involving the following elements: control and prevention were also carried out. characterizations, identification of third parties ened through the preparation of a National Land and private rights, information campaigns, Policy Framework and the passing of three funda- • Land tenure assessment and diagnosis. mediation, conflict resolution, and training. This mentally important laws: the Law for Collective Indigenous communities requested that the subcomponent introduced innovative Land Rights of Indigenous Peoples in the autonomous regional councils prepare approaches to land demarcation and titling, Caribbean (2003), the Cadastre Law (2005), and the assessments to determine ancestral rights to taking into account traditional decision-making Public Registry Law (2009). These laws provided collective land. The various forms of land tenure and consultation structures, collective tenure clarity and fairness to the demarcation and titling within a given territory were identified, arrangements, and the communal use of natural processes of indigenous communities’ territories including whether it was private or collective, by resources, and integrated the cultures and as well as to cadastral and registration activities. a technical team that surveyed the area. worldviews of indigenous peoples. The Sociological studies accompanied the diagnosis. participatory boundary-making efforts included In addition, due to the government’s political com- These assessments set up baselines for land several steps, discussed in more detail in the mitment and with the implementation of Law 445, tenure. Indigenous communities participated in following section on implementation. the poor and marginalized indigenous communi- selecting the consultants carrying out the ties in the Caribbean region received collective assessments and sociological studies. 16 17 Nicaragua—Legalizing and Managing Autonomous Territories Nicaragua—Legalizing and Managing Autonomous Territories regions of Nicaragua have received similar benefits remoteness of sites, and the need to ensure project, intensive supervision of social Key Factors of Success due to differing historical and sociocultural essential, adequate consultations with relevant dimensions was carried out to address issues conditions. For example, some of the indigenous stakeholders. In addition, registration of the such as unclear territorial boundaries, Continuous government-Bank partnership peoples on the Pacific coast have benefited titles for the first five territories, located in relationships among neighboring communities, and strong political commitment by the through cadastral surveying and regularization Bosawas, were delayed because preexisting titles and communications about project objectives government to formally recognize the ancestral activities. The constraint on the Pacific region is first had to be annulled and reissued to and methodologies. Efforts included significant territory rights of indigenous communities on the Caribbean coast of Nicaragua. that the legal framework does not yet allow for the minimize the possibility of future legal attention to representativeness, conflict recognition of territories. challenges (World Bank 2013a). resolution, and legitimacy of consultation Changes in implementation arrangements. Unresolved tenure issues also posed mechanisms, using existing traditional The appointment of the Nicaragua attorney general’s office as the implementation agency Through PRODEP, the government emphasized challenges during the regularization process in structures and organizations. and the restructuring of the Project Inter- innovative participatory approaches to mobilize municipalities with indigenous communities in • Alternative conflict resolution mechanisms can institutional Committee fostered collaboration, indigenous communities to participate in the the Pacific and Central regions. Although the effectively facilitate the recognition of collective especially between the judicial branch demarcation and titling of their ancestral government demonstrated its commitment by land rights as well as typical cadastral and (property registry) and the executive (cadaster, communal territories. The project was prepared advancing a cadastral process in some regularization processes. As demonstrated by regularization), strengthened co-executing through a consultative and participatory approach municipalities, the legal framework was not PRODEP’s experience, key elements of this agencies’ institutional capacities, and improved with significant representation among indigenous always conducive for dealing with issues of process should include capacity development implementation. peoples’ communities and organizations indigenous territorial lands. Diligent World for conflict mediation, community outreach, A participatory methodology built on local combined with analytical work to identify specific Bank supervision supported government efforts and close inter-institutional coordination. The knowledge about ancestral territories and issues and constraints. in addressing community concerns and success of the project’s cadastral surveying and traditional organizational and decision-making processes was applied to land demarcation facilitated community participation. regularization interventions are partly and the collective titling of indigenous This story demonstrates efforts and actions that • Improving a land administration system attributable to the responsiveness of territories. can lead to successful outcomes and presents involves gradual changes in legal and methodologies relying on alternative conflict challenges and lessons learned from project institutional frameworks. Laws that seek to resolution mechanisms in the field that are well Capacity building of key project actors— indigenous organizations, territorial authorities, results, as described below. reform this system set out to change societal aligned with socially defined rights as commonly and regional and central government behaviors and long-established procedures and encountered in other regularization programs. agencies—ensured their effective participation. • Sustaining outcomes of land administration norms. In Nicaragua, the expectation that the • Capacity building takes place at different Alternative conflict resolution mechanisms interventions requires building broad social and full package of reform laws would be passed by institutional levels. The capacity of local facilitated the recognition of collective land political commitment as well as maintaining and the start of the project proved to be unrealistic. institutions contributes to the sustainability of rights. Traditional conflict resolution methods mainstreaming key competencies across In fact, the process spanned six years, with project results and increases local ownership. were applied in instances of inter-territorial electoral cycles. The Nicaraguan government’s institutional capacity and associated Capacity building took place at the national land overlaps. two-decade commitment to the land information systems being continually government level with the strengthening of the There was an enabling legal environment administration agenda, supported by the Bank, developed during the period. Future projects Secretariat for the Development of the through the establishment of a legal framework stands out in Latin America as well as in other should consider longer terms for achieving land Caribbean Coast. An example is the work done for the recognition, regularization, and regions of the world. The project spanned three administration reforms as well as mechanisms at INETER, the national property registry, as protection of indigenous land rights—Law 445. national administrations as well as municipal to better monitor the evolution of legal and well as at the implementing agency itself. and regional elections. It maintained focus on institutional frameworks and their implications Capacity building also occurred at the regional the original project development objective and for achieving project development objectives. government level and through the strengthening geographic targets in part because the • Historical and social context matters. The of other institutions such as CONADETI. underlying justifications were sound and shared complexity of recognizing indigenous people’s 2.1.7 Lessons Learned across the political spectrum. The project was land rights requires attention to historical and The demarcation and titling process has led to the PRODEP tells a story of how the political flexible with implementation responsibilities social particularities and intensive supervision continued involvement of community and commitment of a government, an enabling legal and modalities. of social dimensions. In the case of Nicaragua, a territorial leaders and to the empowerment of environment, and respect for the social and • The complex process of indigenous peoples’ specific legal framework was developed for indigenous peoples’ communities. The project cultural aspects of a land titling process can land titling Complex challenges were titling indigenous territories in the Caribbean encouraged the participation of indigenous translate into local benefits and the empowerment encountered with regard to making progress on region. However, a different set of legal peoples in activities including demarcation, hiring of people. Law 445 enabled the formal recognition indigenous peoples’ land titling during most of provisions will be required for titling indigenous consultants to prepare territorial diagnostics, and of the ancestral territorial rights of indigenous the life of the project As the project territories in the Pacific and Central regions. At conflict resolution. In terms of themes, national communities on the Caribbean coast of Nicaragua. implementation began, the demarcation and the operational level, demarcation and titling capacity was built in land systems, demarcation However, as mentioned previously, not all of the titling processes advanced slowly due to inter- processes must be tailored to the specific and titling, georeferencing, property registry, indigenous communities in the Pacific and Central territorial conflicts, overlapping claims, conditions of target communities. Under the zoning, and conflict resolution. 18 19 Nicaragua—Legalizing and Managing Autonomous Territories Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities The recognition of collective land rights is an The Nicaraguan government is now implementing important outcome; it also presents new a long-term national land program. In March 2013, challenges and opportunities. Going forward, as a part of this program, the World Bank indigenous communities need to develop capacity approved a second phase—PRODEP II, US$40 to ensure adequate governance of their territories. million—that contains similar components to They will also require better knowledge and tools PRODEP but that expands activities to other to manage natural resources and to engage in municipalities. development processes that will ensure the continued sustainable use of these resources and the sharing of benefits for all, including and especially with women. Key Results • Policy and legal reforms. Law people in rural areas benefited that had been contracted to 445—Law for Collective Land from new titles. Increases in consultants at the start of the Rights of Indigenous Peoples property values derived from program. The experience in the Caribbean was adopted a sense of enhanced tenure and capacity generated and new institutions were security. Over 50 percent of through the project provided 2.2 Ecuador—Empowering created, including the National PRODEP beneficiaries in the a basis for the government’s Indigenous and Afro-Ecuadorean Project at a Glance Commission for Demarcation 15 indigenous territories were continued efforts to recognize and Titling (CONADETI), women. the land rights of the remaining Communities The project development objective was regional inter-sectoral indigenous communities in the to improve the quality of life for poor rural • Demarcation and commissions, and regional Caribbean region. 2.2.1 Introduction indigenous and Afro-Ecuadorian communities consolidation of protected technical commissions. by providing improved access to land areas and indigenous • The systematic land rights The Indigenous and Afro-Ecuadorian Peoples resources and financing for investment • Titling and regularization lands. Fourteen protected regularization methodology Development Project (PRODEPINE) was part of an subprojects. services. Indigenous areas were demarcated, developed and tested in communities in the Caribbean georeferenced, and integrated the project has provided the initiative that began in Latin America in 1993, de- Components: (1) institutional strengthening of region received collective into INETER’s database. country with a foundation to signed to build pro-poor forms of social capital and indigenous peoples’ organizations, (2) support titles to 15 ancestral territories launch a long-term national to promote development for indigenous peoples. for regularization of land and water rights, (3) • Institutional strengthening in which indigenous peoples program. The methodology The project was an effort to apply concepts like rural investments and credit, and (4) institutional and decentralization rights are enforced and has also improved capacity for ethno-development, development with cultural strengthening of The Council for Development was improved with the respected by government alternative conflict resolution— of Nationalities and Peoples of Ecuador or satisfactory implementation of identity, social and human capital (Uquillas and Consejo de Desarrollo de Nacionalidades authorities at the national, organizational development critical to any land rights Van Nieuwkoop 2006; Van Nieuwkoop and Uquillas y Pueblos del Ecuador (CODENPE) and the regional and municipal plans and the preparation of regularization program. At levels. Over 22,000 square project closing, 1,622 land 2000), and community-driven development to ad- Council for Afro-Ecuadorian Development or manuals and guides. dress the marginalization of indigenous peoples kilometers of indigenous conflicts had been mediated Corporacion de Desarrollo Afro-Ecuatoriano territories were titled—equal • Technical capacity improved, by the Nicaraguan Directorate (Uquillas and Van Nieuwkoop 2006; Van (CODAE)—the official institution dealing with to 19 percent of the national allowing relevant agencies to for Alternative Conflict Nieuwkoop and Uquillas 2000). indigenous peoples and African descendants. territory. A total of 44,019 directly implement activities Resolution. Financing: US$22.2 million (World Bank), The project demonstrated what is achievable over US$8.1 million (IFAD), and US$10 million from decades when governments decide to invest in the Ecuadorian government and beneficiary indigenous peoples’ development. Indigenous communities and organizations. peoples often have strong cultural, social, and Duration: 1998–2004. natural assets but suffer from a lack of economic opportunities. The project provided many lessons to all stakeholders involved, including the 20 21 Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities Government of Ecuador, the World Bank, and the Finally, in 1995, the Bank Poverty Assessment International Fund for Agricultural Development pointed out the existence of a strong relationship (IFAD). Lessons include the benefits of inter- between poverty and indigenous ethnicity, institutional collaboration and participatory stressing the need for a targeted poverty approaches as well as the need to build self- intervention focused on Ecuador’s indigenous and sufficiency by strengthening networks and Afro-Ecuadorian populations. The fact that other communities while promoting the increase of rural development projects had difficulties reaching income levels through diversification. out to this population further emphasized the need for a new approach. 2.2.2 Indigenous Peoples in Ecuador 2.2.4 Process of Social Assessment and Together, indigenous and Afro-Ecuadorian peoples Consultation represent almost 20 percent of the Ecuadoran population of 15.74 million, although estimates One of the first project challenges was to identify vary widely. 8 There are thirteen officially the indigenous peoples and Afro-Ecuadorians who designated non-Hispanic ethnic groups or were the intended beneficiaries. The two principal nationalities in Ecuador, the largest of which questions were: (1) whether the mestizo or comprises the highland Quichua or Kichwa nonindigenous Spanish speaking population living speakers who identify as Runacuna—they in the same areas would be part of the project’s constitute over 90 percent of Ecuador’s indigenous target population, and (2) how should the peoples. But the Quichua speakers are culturally politically contentious issue of defining who is diverse, as demonstrated by the differences indigenous be settled. To tackle these questions, between subgroups like the Otavalo and Saraguro the project adopted an approach that combined or the Chibuleo and Cañari peoples. quantitative methods and geographic locations with the notion of self-identification and community affiliation with second-tier 2.2.3 Project Description organizations. To obtain figures on the level of 815,000 people who were members of indigenous participatory planning methodology, including A critical combination of favorable factors led to poverty by ethnicity, census information on and Afro-Ecuadorian communities in rural areas capacity-building interventions for community the preparation of this project in the mid-1990s. indigenous and Afro-Ecuadorian populations at and approximately 180 second-tier organizations members on basic conceptual and methodological the parroquia (parish) level was combined with operating in the 288 parroquias with concentrated tools—such as participatory diagnostics and First, the indigenous peoples’ level of organization data on poverty (an index of unsatisfied basic indigenous and Afro-Ecuadorian populations. planning—and instructions on how to submit and capacity for social mobilization had grown needs). The project collected information about relatively simple project proposals. As a result, substantially from historical levels. Second, in 1994, the self-identification of communities as either The original project proposal was the result of a participating communities held a series of the Ecuadoran government created the National indigenous or Afro-Ecuadorian and membership consultation process among indigenous grassroots meetings to prioritize their needs and aspirations Secretariat of Indigenous and Ethnic Minorities in second-tier indigenous organizations. This organizations carried out by SENAIME. Initially, in areas relevant to the overall project. (SENAIME) and initiated a series of contacts with information was then represented in a poverty SENAIME requested World Bank support for a Communities relied on local customary decision- donors to request support for SENAIME and its map of indigenous peoples. very ambitious but conventional rural develop- making processes to come up with project proposed operations to benefit indigenous peoples ment project. During consultations, the umbrella proposals. This approach provided evidence of and Afro-Ecuadorians. Third, partly in anticipation The quantitative analysis provided a sense of indigenous national organizations and World community support for the project. of the United Nations International Decade of the which parroquias had majority indigenous and Bank experts adopted a relatively simple project World’s Indigenous Peoples, the World Bank Afro-Ecuadorian populations and which had only design that followed the provisions of the World The project financed investments to enhance started its own Indigenous Peoples Development a minority presence of the groups. Once the Bank’s Indigenous Peoples Policy (OD 4.20, now human development, financial management, and Initiative in 1993. Thus, the World Bank was parroquias were determined, it was possible to OP 4.10). This draft project proposal was submit- natural resource conservation and management relatively well positioned to respond to requests for identify the second-tier indigenous organizations ted to the national indigenous peoples’ organiza- in the target communities. It intended to support to indigenous peoples. that were operating in those areas. The project tions for review and received formal support. strengthen indigenous peoples’ organizations then formed alliances with the organizations to and grassroots communities in three ways. First, aid in implementation. The project included the existing communal linkages and institutions, 2.2.5 Implementation 8  Indigenous peoples’ organizations often give higher estimates, mestizo population to the extent that they were such as agricultural associations, community but on the basis of census data, Ecuador’s Integrated Social Development Indicators (Sistema Integrado de Indicadores members of the second-tier organizations. Based PRODEPINE was designed as a community-driven governments, and small commercial and Sociales del Ecuador 2003) puts the figure closer to 10 percent. on the analysis, the project targeted approximately development operation. It implemented a artisanal groups, would be effectively 22 23 Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities complemented with new ways of organizing and organizations, such as community development, had finished the training program. Furthermore, After about four years of implementation, addressing communal needs (i.e., by accounting, anthropology, and communications. in order to help communities regularize water PRODEPINE had supported the preparation of 210 strengthening preexisting water user In order to increase the probability that students tenure and use, 458 community irrigation systems local development plans, 1,918 subproject associations). Second, where internal community would remain in their communities and were being studied, corresponding to 2,647 proposals, and 830 pre-investment studies. It had organizations and linkages were weak, projects organizations after graduating, the formal kilometers of channels (World Bank 2002b). also financed 654 small investment operations of would be designed to supplement governance education program emphasized and promoted over US$12 million, involving an estimated total of efforts in order to provide internal cohesion and distance learning. The target outcome for land title adjudication was US$4.5 million in additional community managerial capacity. In most cases, this achieved. Although only 30 percent of the contributions. As a special activity targeting promoted collective management and solidarity As a result, by the end of 2002, of the 1,080 high appraisal target for the number of titles transferred indigenous women, 547 community banks had among members. Third, the project stimulated school students enrolled, 335 graduated, and of was achieved, the effort benefitted 93 indigenous been created, benefiting 14,022 members. the gradual extension of original forms of the 850 college students enrolled, 67 graduated; 43 and Afro-Ecuadorian organizations, 16 percent networking and organizations into new fields, percent of all graduates were women. Among the higher than planned at appraisal, representing a Of the subprojects financed, 50.4 percent were for higher levels of sophistication, and types of program fellowships, 77 persons completed population of 11,000. The project transferred social infrastructure, 40.4 percent for community cooperation (e.g., women’s solidarity credit courses in subjects including irrigation, soil 253,076 hectares of land, 58 percent higher than productive infrastructure, and 8.1 percent for associations), which have no equivalent in conservation, and agro-forestry, and 496 benefited the appraisal estimate. environmental and natural resource management. traditional Andean communities. from an internship program in agro-ecology Social infrastructure investment was primarily for (World Bank 2002b). Component 3, Rural Investment and Credit, fi- classrooms, shelters, dining areas, and drinking PRODEPINE relied on empowering local nanced a substantive program of small-scale rural water systems. Productive investments were governments and self-management as tools for An assessment of the impact of institutional investments identified through a participatory irrigation systems, agro-industry, stone paved retaining a strong sense of project ownership by strengthening activities revealed that 31 planning process at the community level. roads, and greenhouses. indigenous peoples and Afro-Ecuadorian organizations (12.9 percent) obtained a relatively Investments characterized as having a “public organizations. Investments in social capital—for strong level of strengthening; 126 (52.3 percent), a good” were financed through matching grants, Under Component 4, Strengthening of the Council example—coupled with a focus on participatory medium level; 71 (29.5 percent), a moderately while investments characterized as having a “pri- for Development of Nationalities and Peoples of planning and self-management as the basic weak level; and 13 (5.4 percent), a weak level. vate good” were financed on a credit basis. The use Ecuador or Consejo de Desarrollo de principles for the project’s operational procedures of traditional collective labor (Minga) was accept- Nacionalidades y Pueblos del Ecuador (CODENPE) formed the project’s conceptual framework. Under Component 2, Support for Regularization of ed as the counterpart contribution from commu- and the Council for Afro-Ecuadorian Development Land and Water Rights, the project financed a nities for financing particular rural investments. or Corporacion de Desarrollo Afro-Ecuatoriano Component 1, Institutional Strengthening of land titling and regularization program in Important community enterprises were also fi- (CODAE)—the official institution dealing with Social Organizations, aimed at improving the collaboration with the National Agrarian nanced under the project, typically small-scale indigenous peoples and African descendants, the institutional capacity of indigenous and Afro- Development Institute (INDA). Given the agro-business ventures owned by the communi- project supported the formulation of national and Ecuadorian organizations, giving priority to sensitivity surrounding land property rights, the ties and operated by community members. local development plans; the preparation of draft second-tier organizations, particularly where project trained paralegals in indigenous and Afro- legislation on issues of interest to indigenous social capital was not strong. Activities included Ecuadorian communities to execute the program. After recovering all relevant costs, including peoples and Afro-Ecuadorian communities to be support for building managerial and technical In collaboration with CARE, the project supported salaries of personnel, profits were put back into presented to the legislature; and decentralization, capacity, such as project preparation. When a training program that aimed to reach the communities and invested in associated social training, and equipment acquisition for official needed, the project also helped organizations approximately 100 paralegals and to establish a infrastructure (e.g., schools and health clinics). entities and their staffs. obtain legal status. To emphasize the focus on professional network. Given their local Although some of these agro-business ventures ethno-development or development with cultural backgrounds and knowledge of participating could have involved private firms financed with identity, the project supported activities that communities and organizations, paralegals were credit, they were viewed as public ventures by strengthened the cultural heritage of indigenous able to effectively facilitate the resolution of land indigenous communities because the and Afro-Ecuadorian communities and their conflicts. The cooperation agreement between the communities owned them and profits were used organizations. project and the National Agrarian Development to finance “public good” works. The project Institute explicitly recognized the integration of accepted this latter definition and, therefore, There was a critical need to increase the available paralegals into the Institute’s operational community enterprises were financed on a pool of indigenous professionals. The project procedures for land titling and regularization. matching grant basis. established a partnership with 27 Ecuadorean universities and high schools to provide formal As a result, by the end of 2002, approximately education at high school and college levels for 122,685 hectares of land had been titled for 71 indigenous students. The curriculum included grassroots organizations, and 97,312 hectares disciplines that were relevant for the second-tier were being processed. In addition, 160 paralegals 24 25 Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities “Several design features of the project seem project implementation unit were clearly de- men and women participate in employment- Key Factors of Success particularly relevant for replication in other fined in order to avoid politicizing the project. and income-generating activities. similar operations. First, the design should CODENPE and CODAE had a policymaking role, Inter-institutional collaboration among the reflect the capacity of indigenous peoples and while the project implementation unit was in Other lessons included: Project Implementing Unit (PIU), CODENPE, ethnic or racial minorities to mobilize social charge of the implementation of these policies and CODAE helped define roles. capital and include efforts to consolidate and based on the following guidelines: (1) a partici- • An ethnic vision of development that builds on Clear and well-defined participatory strengthen this capacity, including its cultural patory approach to avoid the exclusion of bene- the positive qualities of indigenous cultures and methodologies for project design and dimensions. Second, the design should ficiaries and their representatives; (2) an agile includes a sense of ethnic identity used to mobi- planning ensured greater indigenous control over project results. incorporate a range of complementary inputs, structure and procedures to ensure project effi- lize labor and capital can be an effective vehicle including the formation and strengthening of ciency and efficacy; and (3) acknowledgment for promoting local employment and growth. Self-sufficiency and self-management human, environmental and physical and and operationalization of the different ways in- • Any successful model of development with were built through capacity building and training of indigenous peoples’ networks and financial capital. The exact specification of digenous and Afro-Ecuadorian nationalities and identity must overcome a traditional basic- organizations. Community demands reached interventions in these fields should take into peoples are organized. needs approach and must facilitate the agenda of local governments because account how they interact with and • A clear and well-defined participatory approach. opportunities to generate wealth through human and social capital was strengthened. complement existing forms of social capital. The experience of PRODEPINE demonstrated a productive initiatives based on the culture. Identification of intended beneficiaries Third, to ensure relevance of the activities, the need to promote participatory planning for local • An integrated participatory approach applied was achieved through quantitative methods project’s investments should reflect priorities development to appropriately respond to the at grassroots level can create a sense of and geographic tools, allowing resources established in local development plans country’s decentralization process. The project ownership and responsibility for self- to accurately target the most vulnerable elaborated in a participatory fashion. Fourth, trained grassroots communities to organize development in beneficiaries, but the indigenous peoples and Afro-Ecuadorians. to ensure ownership and ultimately the their own research, systemically interpret their sustainability of public infrastructure will A programmatic approach was taken that investment’s sustainability financed under the findings, propose options, and select the best ultimately depend on the availability of public included local capacity building; small-scale, project, institutionalizing self-management solutions to their problems. It also trained the budget resources to maintain it. demand-driven rural subprojects; land tenure should be a guiding principle for project communities to actively participate in the visu- • A project design that emphasizes decentralized regularization; cultural heritage activities implementation” (Doughty 2003). alization and building of their own futures. implementation is crucial for successfully applying principles of ethno-development (indigenous communities self-managing A field review of the project carried out • Community empowerment and self- dealing with the ethnic and cultural diversity of development through shared decision as part of the Forest Peoples Project (FPP) development. PRODEPINE built a culture of beneficiaries. The design cannot rely on “one- making); strong social and human capital; and study confirmed that the project was bring- development based on social participation, size-fits-all” methodologies. Procedures should community-driven development. ing real, tangible benefits to target commu- empowerment, and accountability. be tailored to different cultures, types of nities in health, education, and community • Strengthening of human and social capital. The organizations, and settings. irrigation schemes. The key project ele- experiences generated by PRODEPINE contrib- • Piloting implementation procedures should ments are: the project’s relative autonomy; uted significantly to the formation and improve- speed up project implementation and improve shared decision making which gives com- ment of local social capital and demonstrated results. 2.2.6 Lessons Learned munities and indigenous spokespersons the importance of institutional strengthening for • The concept of social capital and the notion of In its general project evaluation, the International authentic involvement in project manage- improving management capacity. This made community, when applied to development Fund for Agricultural Development stated: ment, transparent procedures and flexible possible the inclusion of community demands issues, should be tempered by the reality of operations, along with the project’s success- on local government agendas and issues that differing income levels and personal interest “PRODEPINE is considered a highly replicable ful “ethno-development” and “self-manage- promoted institutional alliances as well as the imperatives. and successful project, both because of its ment” approach (Griffiths and Colchester forming of networks aimed at solving concrete • Participation and social capital do not relevance within the socioeconomic context 2000). development problems. guarantee the absence of discretion. For in Ecuador and because of its effectiveness • Diversification of income sources. The survival example, when administering scholarship setting up an operating structure at the One of the most innovative features of PRODEPINE strategies of indigenous and Afro-Ecuadorian programs, care must always be taken to design national level. Above all, it was achieved in the was that the beneficiaries participated in all stages families lead them to combine various sources checks-and-balances in the selection process midst of a serious economic crisis, social of the project—from the preliminary agreements to of income from agricultural activities, temporary to reduce favoritism and co-opting by elites. upheaval, and far-reaching institutional preparation and implementation. labor, and migration. The economic viability of Also, the social mechanisms of reciprocity do change” (IFAD 2005, 9). rural areas is not solely related to traditional not seem to easily extend into the management The main lessons learned include the following: agricultural production and farm wage labor; it of micro-enterprises. Observations by external reviewers of the project also relies on the formation of microenterprises • A project focused on empowerment should included the following: • Importance of a clear role and definition of par- for production and the promotion of various systematically monitor how its own inputs may ticipating institutions. The roles, functions, and rural services and any general sector in which affect the relationships between communities relations among CODENPE, CODAE, and the and their higher-level organizations, because 26 27 Ecuador—Empowering Indigenous and Afro-Ecuadorean Communities Indonesia—Improving Governance and Livelihoods in Forested Areas when the latter handle implementation, they accommodating legal framework that confirms should remain accountable to their members. the right to unique access to those lands by • One of the crucial elements in the successful indigenous and Afro-Ecuadorian communities implementation of small investment based on ancestral rights. subprojects is to ensure that the training of • Attention should be given to gender differential beneficiary groups is provided in the right issues during appraisal through a sequence and in a timely manner. comprehensive inclusion lens. • Participatory planning can increase the capacity of beneficiaries to define and Lessons were also learned from the struggles implement their visions of development, and between the national-level organizations over such plans can provide a community with a key project control and benefit apportionment; the instrument or negotiating priorities with failure to properly strengthen Afro-Ecuadorian government development agencies and donors. organizations due to internal conflicts; and the • There is a trade-off in community procurement failure of a substantial percentage of the between lump-sum, fixed-price contracting, community business ventures, which did not and fully-documented subcontracting. The manage to achieve financial sustainability. former delivers the investments more simply and effectively, while the latter increases paperwork and field supervision but provides an incentive to strengthen formal organizational capacity. • The transfer of land in environmentally fragile, protected areas may require an 2.3 Indonesia—Improving Key Results Governance and Livelihoods in Project at a Glance • Institutional strengthening • Rural investment and credit • Institutional strengthening Forested Areas The program development objective is to of indigenous peoples’ supported the preparation of of CODENPE and CODAE improve the livelihoods of 250 ancestral organizations resulted in 210 local development plans; resulted in the establishment communities located in 10 primary forest 2.3.1 Introduction provinces and to increase the capacity of approximately 65 percent 1,918 subproject proposals; of the basis for a dialogue of organizations obtaining and 830 preinvestment between the government and The Improving Governance for Sustainable indigenous peoples to participate in and relatively strong or medium studies. There were 654 indigenous peoples by the Indigenous Community Livelihoods in Forested benefit from forest policy development at the levels of institutional small investment operations national council of CODENPE; national and international levels. Areas Project in Indonesia directly targets indige- strengthening. financed at over US$12 million, the preparation of twelve Components: The objectives will be achieved nous peoples. The project provides indigenous • Support for regularization including an estimated total drafts and development plans through implementation of the following four of US$4.5 million in additional with the aim of ensuring communities and organizations with innovative of land and water rights. components: (1) promotion of participatory community contributions. As the interests of the various means to enable them to be active participants in 253,076 hectares of land were land-use planning; (2) capacity building of part of a special activity that nationalities and peoples; and forest resource management. It introduces and indigenous organizations; (3) development legalized through title deeds awarded to 55 grassroots targeted indigenous women, the delivery of 114 workshops evaluates creative approaches to institution build- of forest resource and culture-based income communities, benefitting 547 community banks were and forums on collective ing of indigenous community-based organizations generation; and (4) promotion of administration, 1,832 families. This provided created, benefiting 14,022 rights related to organizational as well as community approaches for the adoption project management, monitoring and security for the ancestral members. The investments strengthening of nationalities of forest management schemes through the im- evaluation, and knowledge dissemination. lands of 44 indigenous and 19 benefited 62,644 families and peoples, which led to located in 103 cantons, 57 the creation of innovative provement of non-timber forest production prac- Financing: US$2.86 million (Japan Social Afro-Ecuadorian communities. tices and alternative livelihood activities. Development Fund); US$142,857 (World Bank). In addition, 458 community percent higher than the mechanisms for State and the irrigation systems were original target. indigenous peoples relations. Duration: 2012–15. assessed with a total length of The project is innovative because it brings together 2,647 kilometers of irrigation marginalized and vulnerable indigenous communi- ditches belonging to 37,194 ties and organizations within a framework of com- beneficiary families. mon interests, connections with markets, and op- sustainable production practices with the interna- portunities to gain experience, invest, and align tional demand for ecosystem services. A key 28 29 Indonesia—Improving Governance and Livelihoods in Forested Areas Indonesia—Improving Governance and Livelihoods in Forested Areas objective of the project is to forge longer-term social Individuals benefit directly from training, small speaking over 800 languages across thousands of inclusion schemes into Indonesia’s forest policies, grant disbursements, and participation in land-use islands. There are an estimated 50–70 million especially for the most disadvantaged groups living planning and livelihood activities and from the re- indigenous peoples in Indonesia—the exact in remote forested areas. sulting positive impacts on rural livelihoods. number is difficult to determine due to the lack of national census data for ethnic identity. Some of The project is directly implemented from the na- The project is financed with a grant from the Japan the indigenous peoples are nomadic, others tional to the provincial and community levels by Social Development Fund and implemented by sedentary; some subsist by gathering, practicing indigenous peoples. It is one of only a few World AMAN, an independent civil society organization rotational farming, agro-forestry, fishing, small- Bank experiences in which a grant agreement was with a vision for achieving an equitable and pros- scale plantation farming, or mining. Distinct social signed with a national alliance for indigenous perous life for all indigenous peoples in Indonesia. and political traditions regulate life in indigenous peoples, the Aliansi Masyarakat Adat Nusantara AMAN is a membership-based social movement communities. Indonesia’s indigenous peoples have (National Alliance for Indigenous Peoples or made up of over 2,300 indigenous communities historically relied on the environment for their AMAN), a community-based national network. By across the Indonesian archipelago, with 17 million continued survival, using traditional knowledge to working directly with this type of institution, the individual members. Its mission is to empower, ensure the sustainability of natural resources. project provides an exemplary learning experience. advocate, and mobilize indigenous peoples of the Indigenous peoples in Indonesia have endured archipelago to protect their collective rights and to land grabbing, violence, displacement, and the live in ways that safeguard the environment for subsequent poverty resulting from being denied 2.3.2 Project Description current and future generations. Its programs meet access to the land and natural resources on which The development objectives of the project are to local, national, and global challenges by using in- they have existed for generations.10 improve the livelihoods of indigenous communities digenous sociocultural values, customary institu- in Indonesia and their capacity to participate in and tions and practices, knowledge, and solidarity to About a quarter (50–60 million) of Indonesia’s benefit from, national and international forest poli- promote social justice, ecological sustainability, population lives in the mostly rural, state-claimed cy developments. These objectives will be achieved and human welfare. “forest zone.” This area is also home to most of by strengthening community governance, improv- Indonesia’s Adat communities, many of which are ing local customary institutions, and promoting The institutional arrangements for project execu- forest-dependent and poor or vulnerable to 2.3.4 Process of Consultation income-generation activities under the four project tion enable villages, local communities, and local poverty. Poverty alleviation remains a challenge in components: (1) participatory planning of land use organizations to assume primary roles in project the forest zone; while forests provide important The project activity was designed in close will be conducted in 250 villages, identifying at least implementation. The project management and resources to local communities, unclear user consultation with the Adat indigenous peoples— 30 poor and marginalized communities where the governance components include the consolidation rights, bureaucracy, poor access to markets, and a the main beneficiaries of the project. AMAN other three components will be carried out; (2) ca- of an organizational structure, which comprises the lack of institutional capacity often prevent the full carried out an extensive consultation process with pacity building of indigenous village and organiza- directive committee, a board, and a project man- economic use of these resources. Communities indigenous representatives, including traditional tion representatives; (3) forest resources and cultur- agement unit. The project management unit in- living in the forest zone do not usually have formal authorities—both men and women—to provide al-based income-generation activities; and (4) cludes a project leader, a functioning project admin- rights to the land, and this leads to conflicts with input to the project design and to build broad- project management, monitoring, evaluation, and istration, and indigenous professionals managing all logging, mining and plantation companies and to a based support. Among the consultations that knowledge dissemination. of the project components. poor investment climate. involved the discussion of program components were a national council meeting; three central This project targets approximately 250 indigenous Indigenous peoples and other forest-dependent governing body meetings, including discussions 2.3.3 Indigenous Peoples in Indonesia communities and villages as well as their depen- people have been largely excluded from the forest with local government representatives at the dents, involving 250,000 people. The direct and indi- Indigenous peoples in Indonesia are commonly policy processes that directly impact their lives, district and Desa, the administrative village level; rect beneficiaries come from ten key forest provinc- considered to be Adat (customary) communities or and they have not had the opportunity to be three Reducing Emissions from Deforestation and es: Central Kalimantan, East Kalimantan, West Masyarakat Adat, an Indonesian concept for protagonists in their own strategic development Forest Degradation (REDD) working group Kalimantan, Papua, West Papua, Jambi, South traditional communities that are bound together in due to a lack of capacity and empowerment. To meetings; and a coordination meeting. Indigenous Sumatra, Aceh, Riau, and Central Sulawesi.9 association. Indonesian indigenous peoples have address this situation, the project focuses on the representatives from Papua, Sumatra, Kalimantan, well established Adat institutions, customary law indigenous communities’ ability to represent Sulawesi, Bali, Nusa Tenggara, and Maluku 9  More specifically, this project is active in 19 work territories of that is still adhered to, and territory defined by the themselves and their economic, environmental, participated in the consultation process that was AMAN: (1) North Sumatera, (2) Tano Batak, (3) Riau, (4) Jambi, (5) South Sumatera, (6) Bengkulu, (7) West Java, (8) West Kalimantan, (9) East customary law, the existence of which is affirmed and social concerns in the context of government conducted using local languages and community Kalimantan, (10) Central Kalimantan, (11) South Kalimantan, (12) South by the community and by the government. policy dialogue, public consultations, and decision- consensus-making decision meetings. Sulawesi, (13) Tana Luwu, (14) Central Sulawesi, (15) North Sulawesi, (16) making processes. West Nusa Tenggara, (17) East Nusa Tenggara (Nusa Bunga), (18) Maluku, (19) North Maluku, (20) Sorong Raya Regional Office, (21) Moi Regional Indonesia has a very diverse population of almost AMAN’s own experience also contributed to the Office for West Papua Region, and (22) Mentawai Regional Office. 250 million comprising hundreds of ethnic groups 10  See AMAN’s website: http://www.aman.or.id/en/. design of the project, including suggested 30 31 Indonesia—Improving Governance and Livelihoods in Forested Areas Indonesia—Improving Governance and Livelihoods in Forested Areas approaches to strengthening community-based supported: (1) training of communities on the forest management, as examples. Workshops 2.3.6. Implementation indigenous organizations, community mapping effective use of geographic information and training sessions are conducted to strength- and cultural land-use plans, and the introduction technology and participatory mapping, with en the existing indigenous women’s national net- The project started in August 2012 and is scheduled of practical schemes for REDD+11 applications in local organizations and communities being works and their capacity to engage in deci- to end in August 2015. After more than 18 months forested areas with indigenous communities. provided with mapping equipment such as GPS sion-making processes at the community, local, of project implementation, it has progressed units, computers, software, and related subnational, national, and international levels. satisfactorily. Major achievements include: geographic information and communication • Forest resource and culture-based income- 2.3.5 Indigenous Peoples Plan and technologies; (2) participatory land-use planning generating activities. The purpose of this • Capacity building was provided to 519 Project Design and design in areas including cultural land-use component is to strengthen the sustainable indigenous communities involving 349 men and Because the project targets indigenous peoples as mapping, temporal change analysis, economic livelihoods of indigenous peoples. 220 women including: the sole beneficiary group, a separate Indigenous sustainability analysis, and design of land Activities target highly isolated communities in - Training on participatory mapping was Peoples Plan was not prepared. The design of the management plan; and (3) empowerment of the forested areas that can contribute to climate conducted for 18 participatory mapping program incorporated the elements of an Ancestral Domain Registration Agency (Badan change mitigation initiatives as well as to poverty service working units for 321 trained Indigenous Peoples Plan and was prepared by an Registrasi Wilayah Kelola Adat or BRWA). alleviation. It is estimated that this component participatory mapping facilitators of which indigenous peoples’ organization in consultation • Capacity building for community-based will finance activities in 30 villages such as: 266 were men and 55 were women. with select indigenous communities. AMAN has organizations. This component focuses on i) Assessment of indigenous peoples’ forest - Four geographical information systems and experience in implementing this type of capacity-building activities to strengthen the and culture-based resources for income database trainings were carried out in 18 intervention using good practice principles for organizational, technical, and entrepreneurial generation. This builds on the results of the regional offices, training 35 men and three indigenous peoples’ involvement in program skills of local community-based organization mapping and land-use plan activities and women. implementation, including the recruitment and members engaged in forestry and agro-forestry will provide a basis for selecting appropriate - Seventeen spatial planning and participatory tailored training of community facilitators from activities. Special attention is paid to the community enterprises for development. mapping workshops were organized and indigenous communities; the use of culturally inclusion of women to promote their full and The assessment process is based on AMAN’s coordinated through the implementation of appropriate mechanisms for consultations, effective participation in all decision-making long experience of utilizing customary Constitutional Court (MK) No. 35/ including local language translations; and processes. The component also facilitated the consultation approaches, which will be PUU-X/2012 Decision and one mapping customary participatory planning processes. In dialogue on issues related to forest policy conducted through an informed workshop was conducted in South Sulawesi. addition to being the beneficiaries, indigenous between local governments on the one hand consultation process to ensure broad peoples are part of the program’s organizational and indigenous communities and organizations community support. The implementation of the Constitutional Court structure. Practical implementation guidelines on the other. ii) Development and financing of community (MK) No. 35/PUU-X/2012 Decision is conducted were prepared for the project covering social and The following activities are supported: (1) enterprises. This component works by by direct visits to the indigenous communities to environmental safeguards. technical and financial assistance for indigenous giving direct block grants of approximately build their understanding of the importance of the communities, (2) training on payment for envi- US$25,000–30,000 to participating member Decision as evidence of the recognition and The following activities are included in the project: ronmental service implementation, (3) estab- organizations of AMAN for a wide range of protection of their indigenous rights, particularly lishment of a learning exchange program, and environmentally friendly activities, such as concerning indigenous forest areas. • Participatory land-use planning. This (4) capacity building of indigenous women. improving existing rubber plantations, component focuses on the wider and systematic Training on forest resource management and associated non-timber forest product The project provided participatory mapping application of existing models of the potential schemes of payment for ecosystem marketing, ecotourism, food production, equipment support and delivered training and participatory planning processes. It supports the services are also provided. The trainings are up- handicrafts, traditional medicines, and workshops on geographical information systems. production of indigenous peoples’ maps and dated to continually enhance the administrative music. These community enterprises will Effective participatory planning is used by the land-use plans and promotes them for economic and technical capacity of members of indige- evolve and become stronger to serve as project to train facilitators and community crews. development and payment for environmental nous communities. This enables them to actively managing agencies for community forest Fifty-six communities have now completed the service initiatives. The activities facilitate participate in the identification of deforestation resources and will be responsible for participatory mapping process in their own institutional learning at different levels for and forest degradation as well as in the develop- marketing, production, trading, monetary communities, and another 42 communities are in indigenous communities and their ment of pro-poor forest policies. transactions, and benefit sharing. Proposals the mapping development stage. Several national organizations, including enabling community- As part of the indigenous learning exchange are selected through an inter-village workshops have been conducted to strengthen based organizations to take primary roles in program, key representatives are invited to share decision-making process. and improve the coordination and socialization payment for environmental service schemes at their own experiences in successful forest re- iii) Facilitation of access to markets. Products issues between AMAN regional offices with the the local level. The following activities are source management with other communities. from indigenous enterprises are promoted Participatory Mapping Service Mapping Unit. A Shared knowledge and experiences can be relat- through retail points, e-commerce, and conference called the “Indigenous Peoples Global 11  “REDD+” goes beyond deforestation and forest degradation, and includes the role of conservation, sustainable management of ed to economic development, engagement with exhibitions. Conference: Lessons and Good Practices on forests, and enhancement of forest carbon stocks. payment for environmental service activities, or Community Participatory Mapping” was 32 33 Indonesia—Improving Governance and Livelihoods in Forested Areas Indonesia—Improving Governance and Livelihoods in Forested Areas these changes, in order to seek recognition for Key Factors of Success their socioeconomic and cultural rights, local actors are now much more directly engaged in Inclusive institutional arrangements protecting their land resources and advocating for made during project implementation have their claims and demands regarding access to enabled villages, local communities, and local organizations to assume primary roles in resources and benefits from economic growth and project implementation and governance. Key sustainable development. This project has fostered actors have included the directive committee, this positive transition through its support and a board, and the project management capacity building of AMAN and its member unit. The project management unit is organizations and communities. comprised of a project leader, the project administration, and indigenous professionals More concretely, the mapping of indigenous lands managing all project components. enables communities to secure tenure, manage Institution and capacity building of natural resources, and strengthen their cultures. In indigenous peoples’ organizations the long run, this work on community mapping have been conducted in participatory should contribute to producing evidence for the land-use mapping and geographical information systems, as examples. formal recognition of the ancestral domain registries as part of land inventory and the ensuing The right of indigenous peoples’ modernization of the land administration process. organizations to engage in and profit from policy development on forestry at the national In that sense, with the active cooperation of the and international levels has been recognized. government and respective ministries working in AMAN is a membership organization of forestry, land, natural resources and tenure 2,300 indigenous communities and 17 million security, the preparation of the Standard individual members. It also has extensive Operational Procedures for Community Land experience in consultations and project Mapping and indicative indigenous land maps will management. Participatory processes were conducted in partnership with the Regional They are also using the maps as a negotiating tool help improve cost efficiencies in land used at the national, provincial, and community levels. Local languages and indigenous Indigenous Organization in Asia (Tebtebba), which to reduce conflict and bring about social cohesion administration. To further support this positive peer knowledge exchange were used for included the sharing of community mapping among community members around issues like development, opportunities for reforms within the community consensus-making on decisions. experiences from around the globe. access to and ownership of land and forest areas. government are available and should be Standard operational procedures were Empowering communities is a key factor for long- recognized and nurtured. prepared for community land mapping Significant work has been done in mapping term sustainability. It is widely understood that and for making indigenous land maps of ancestral territories. As part of AMAN efforts, 625 the capacity-building and community-mapping ancestral territories. The mapping served 2.3.7 Lessons Learned community maps covering 4.9 million hectares process has integrated sustainability issues into as valid evidence for the resolution of have been completed. In November 2012, the 265 the project. At the same time, the project has The community land mapping that has been disputes and for securing tenure. Heads of the Presidential Delivery Unit and the generated significant experiences and capacity in supported by this project has catalyzed innovation A programmatic approach was implemented Geospatial Information Agency accepted a total of mapping ancestral territories. in land and resource allocation and management with participatory land-use planning; 2,402,223 hectares to be integrated into “One Map for indigenous peoples in Indonesia. Community capacity building for community-based Indonesia.”12 In July 2013, the Ministry of Finally, the project has helped provide a better mapping has proven to be a useful tool for organizations; forest resource and culture- Environment accepted 324 maps that covered understanding of and more knowledge of indigenous communities to promote customary based income-generating activities; and administration, project management, 2,643,261 hectares of ancestral territories. indigenous peoples in Indonesia. In cooperation rights by asserting and claiming their land rights and monitoring and evaluation. with SEKALA, a civil society organization working and responsibilities as well as by enhancing their Communities are key players in mapping their on forest governance, community mapping, and cultural norms. territories. It is well documented in project reports spatial land-use planning and JKPP (Jaringan Kerja that communities are playing a more proactive Pemetaan Partisipatif), a civil society organization Community-drawn maps are treated as valid South Sulawesi Province, including Tana Luwu role in participating in the community land with a participatory community mapping network, evidence for the resolution of disputes and can and two Regent’s Decisions recognizing the mapping process, which involves a range of the Indicative Map of Indigenous Ancestral serve as the basis for the issuance of clear and existence of Indigenous peoples: (1) Perda North community members and traditional authorities. Territories in Indonesia has been developed. unconditional formal recognition of the territorial Luwu No. 12 of 2004 and Regent’s Decision in rights of indigenous peoples, along with requisite North Luwu Regent No. 300 of 2004 on the 12  One Map Indonesia is a proposed single, all-encompassing map of Indonesia that aims to contain all relevant information Indigenous communities and forestlands have legal details. For instance, the project has helped recognition of the existence of indigenous peoples linked to forest licensing and land-use claims. been evolving for several decades. Challenging to develop two regional regulations (Perda) in in Seko; and (2) SK Tana Toraja Regent No. 222 of 34 35 Indonesia—Improving Governance and Livelihoods in Forested Areas Central America—Managing Critical Ecosystems in Indigenous Communities 2005 on the recognition of 32 indigenous forests in suitability for implementing the project. The Project at a Glance Tana Toraja. organization’s national council consists of community members from across the archipelago, The project was designed to achieve more The combination of capacity building, support to representing diverse ethnicities, languages, effective biodiversity conservation in Central community mapping and sustainable religions, including indigenous belief systems, and America (Guatemala, Belize, Honduras, Nicaragua, El Salvador, Costa Rica, and management of forest resources, and financial cultures. This diversity enriches AMAN’s Panama) by strengthening the capacity of support for income-generating activities and knowledge and helps the organization indigenous communities to protect and manage entrepreneurship has proven successful. It has comprehend the basic challenges faced by the their natural and cultural resources and by been recognized that, in some cases, the absence indigenous peoples of Indonesia. recuperating and promoting their cultural values of a clear livelihoods and employment component and sustainable traditional land-use practices, as a follow-up to the mapping exercises Trust fund instruments and grant funding are helping to: (1) prevent further land degradation discourages participation. useful to promote social inclusion and to that posed a threat to environmental services, implement specific capacity-building strategies livelihoods, and the economic well-being of the people; and (2) conserve the region’s high level The diversity of indigenous peoples in Indonesia and studies concerning indigenous peoples. Trust of—but threatened—biodiversity resources. creates a unique demand for context-specific funds tend to be disbursed more quickly and are solutions. In such contexts, indigenous easier than investment loans; they allow for Components: (1) cultural and institutional strengthening and capacity building; representative groups like AMAN help to reduce flexibility in carrying out necessary baseline (2) promotion of sustainable cultural land use and explain the cultural, geographic, and surveys prior to implementation for quick and traditional ecosystem management; knowledge barriers to effective consultation and responses to issues that arise during field (3) development of culturally appropriate participation. While there may be a risk that implementation. products, markets, and services for political interests play a role, consultations with environmental sustainability in indigenous indigenous peoples can be effective where strong communities; and (4) participatory project networks and local-level institutions exist. monitoring and evaluation. AMAN’s diverse and representative equitable Financing: US$9 million from the Global governance system has contributed to its Environment Facility Grant. Duration: 2004–10. 2.4. Central America—Managing Critical Ecosystems in Indigenous Key Results Communities this project included a thorough social assessment and consultation process, the formulation of • Participatory land-use 2012, 265 Heads of the • Forest resources and criteria for the classification of social planning. Eighteen trainings Presidential Delivery Unit and culture-based income 2.4.1 Introduction organizations and the definition of priority areas, were conducted for mapping the Geospatial Information generation activities. Ten The Integrated Ecosystem Management in and special institutional arrangements that gave specialists (266 men and 55 Agency accepted a total assessments of indigenous Indigenous Communities Project in Central indigenous and peasant organizations decision- women), four trainings on GIS of 2,402,233 hectares to peoples' non-timber forest and and database management be included into “One Map cultural resources for income- America aimed to help indigenous peoples making roles and voice during implementation. (35 men and 3 women), and Indonesia.” generating activities were conserve and manage natural resources as a three national workshops conducted; one community means to protect their livelihoods and economic Besides culturally appropriate concrete benefits, • Capacity building for and 18 regional workshops community-based enterprise was developed; well-being by building on their traditional the project generated new knowledge about on participatory planning. organizations. Eighteen four packages of indigenous knowledge about sustainable land-use practices. indigenous peoples and enhanced the capacity of Participatory mapping was training were help for enterprise financing was local community members and organizations in completed for 625 community indigenous communities on established; one package of This regional project targeted indigenous and all aspects of project management, including maps covering 4.9 million organizational management. house outlet was developed hectares, and 16 maps indigenous peoples peasant communities located in the governance, monitoring and evaluation, natural 30 learning exchanges took Mesoamerican Biological Corridor (MBC). It resource management, proposal development, and profiles of indigenous place among indigenous participated in three expos to peoples were produced. ensure that access to markets supported activities consistent with biodiversity accountability, transparency, and project design. communities; and five In July 2013, the ministry of trainings/workshops on was facilitated, and nine conservation and income generation, including environment accepted 324 indigenous women and training sessions on financial the development of community land-use plans, maps that covered 2,643,261 support for indigenous women 2.4.2 Project Description decision-making processes productive and natural resources management hectares, and in November were conducted. groups were conducted. subprojects, and the strengthening of community Recognizing the importance of preserving the networks. Some of the most innovative aspects of gene pool of native varieties of crops and other 36 37 Central America—Managing Critical Ecosystems in Indigenous Communities Central America—Managing Critical Ecosystems in Indigenous Communities plants, the Central American governments and ecosystems. While the extent of lands where subprojects within their fields of expertise. The as a whole. The coordination effort and successful established the MBC with the aim of making wiser indigenous peoples live in Central America is Wayib was made up of two representatives from integration were achieved through the following use of the region’s natural resources. In 1995, the difficult to define, the 2004 analysis estimated it to CICA and two from the ACICAFOC.13 The Wayib four components: heads of state of Belize, Costa Rica, EI Salvador, be as much as 170,000 square kilometers, almost and the Central American Commission on Honduras, Guatemala, Nicaragua, and Panama 33 percent of the total area of the seven countries. Environment and Development delegated the 1. Cultural and institutional strengthening and instructed the Central American Commission on More than 50 percent of this land contained implementation to a project coordination unit capacity building. This component was designed Environment and Development to implement the forests or natural ecosystems, and a similar under ACICAFOC. to strengthen the knowledge of participating MBC initiatives and to establish connections or amount corresponded with the MBC. Likewise, a communities with regard to customary law and corridors in protected areas located between disproportionate share of forests and natural The primary beneficiaries were indigenous com- rights and to improve technical, administrative, South Mexico and northern Colombia. ecosystems, and an even greater share of national munities and rural populations living in the and information and communication technology protected areas, overlapped with indigenous eco-regions expected to benefit from biodiversity capacities that would enable participants to The MBC initiative emphasized combining work populations and territories. conservation efforts. The primary target popula- engage in biodiversity conservation within their in designated national protected areas with tion included 607 indigenous organizations and communities and as part of regional networks. conservation of biodiversity in community-owned 558 communities. The secondary beneficiaries The component focused on: (1) strengthening 2.4.4 Process of Social Assessment and lands. In Central America, community-owned targeted were local, national, liaison, and regional indigenous communities’ organizational, Consultation lands often contain a high percentage of remnant indigenous organizations that were expected to technical, and administrative capacities to forests. Very often, indigenous peoples, who have a During the initial design, the project carried out a benefit from strengthened capacity building to articulate their cultural values and then apply strong ethical basis for the conservation and comprehensive social assessment and consulta- protect and manage natural and cultural resources them to natural resource management; (2) protection of biodiversity, communally own lands. tion process. One challenge faced in this early of the Central American countries. The expected systemically developing standards and criteria for Indigenous peoples and rural communities are phase was defining who comprised “indigenous benefits to Central American countries on the traditional ecosystem management, including a usually very interested in programs aimed at peoples.” The project coordination team, in consul- whole included the positive ecosystem impact of certification process for engagement in effective environmental and biodiversity conservation and tation with a collection of leaders of indigenous biodiversity conservation efforts, the cultural pro- ecosystem management; and (3) strengthening community development that follow strict organizations, agreed that “indigenous peoples” tection and rescue of spiritual and sacred sites as the capacity of indigenous organizations in economic and social criteria based on a respect for could be characterized by a set of well-defined part of a regional cultural heritage, and the inclu- traditional ecosystem management. These goals and harmonious relationship with nature. socioeconomic and cultural criteria as well as by sion of indigenous peoples in biodiversity conser- were achieved through community exchanges, self-identification. Forty-three different indigenous vation activities as well as the income-generating study tours, community meetings, training on The Integrated Ecosystem Management in peoples were discovered in the region, represent- activities that were expected to immediately re- indigenous rights and customary law, and Indigenous Communities in Central America ing approximately 24 percent of the population of duce land degradation. The Central American strengthening local nongovernmental Project was considered an Indigenous Peoples Central America, including Mayans in the north Commission on Environment and Development organizations (NGOs) and communities. Plan because over 90 percent of the beneficiaries and Chibcha descendants in the south. also benefited from a strengthening of its profile 2. Promotion of sustainable cultural land use and were indigenous peoples. An outcome of the by having greater decision-making capacity with traditional ecosystem management and project was to promote community participation Project priority areas were selected following two regard to environmental issues and by better posi- preparation of land-use plans. This component and the common vision of indigenous peoples of basic criteria: (1) where there were already- tioning itself as an advocate for environmental was designed to build on the capacities conservation, protection, and land planning based established indigenous regions, reserves, or and biodiversity conservation in the region. developed through Component 1. With new on traditional knowledge and practices. The communities; and (2) areas where either the competencies and knowledge, members of project was carried out within the MBC. Central American Indigenous and Peasant indigenous communities developed community 2.4.5 Project Design Coordinator of Communal Agroforestry conservation and sustainable cultural land-use (ACICAFOC) or the Indigenous Council of Central The Inter-American Development Bank was plans using an integrated ecosystem 2.4.3 Indigenous Peoples in Central America (CICA) was already actively involved. responsible for the execution of Components 1 management approach. These plans comprised America After intensive consultations with leaders of and 2, and the World Bank was responsible for the community plans for territorial management, According to an appraisal in 2004, the Central indigenous organizations, a decision was made to implementation of Components 3 and 4. But which focused on the management of local American region’s total indigenous population was work with community-level organizations rather despite the fact that the project was executed by ecosystems using traditional knowledge; and an estimated 6.7 million—24 percent of the total than with national or regional ones. two institutions, it was designed to be integrated integral community development plans, which population. Guatemala had the highest utilized western techniques such as mapping and concentration of indigenous people (66 percent), Finally, to simplify project implementation and 13  ACICAFOC is a nonprofit, grassroots organization that gathers biodiversity inventories to delineate the land together associations, cooperatives, federations, and organized followed by Belize (20 percent), Honduras (15 coordination, the project created a permanent groups of small- to medium-scale agroforestry producers, according to established conservation criteria. An percent), and Nicaragua (8 percent). council (Wayib in the Mayan language) to oversee indigenous peoples, and peasant communities. These groups additional key activity under this component was project implementation, a project coordinating work to have access to, use, and manage natural resources, strengthening institutions to implement the and to look for ways to achieve food security and economic Historically, indigenous peoples tended to live in unit, and liaison organizations that provided sustainability for their communities in ways that are in harmony community-developed integrated ecosystem less populated areas with intact natural forests administrative and financial oversight for the with the environment. management plans. 38 39 Central America—Managing Critical Ecosystems in Indigenous Communities Central America—Managing Critical Ecosystems in Indigenous Communities 3. Development of culturally appropriate acquire and develop these skills. From the point of improved their ability to work with indigenous products, markets, and services for view of these organizations, the grants received communities. At the local level, there was an environmental sustainability in indigenous were significant because a lack of financial improvement in basic skills, such as preparing communities. This component was based on the resources had been the constraint limiting their proposals and managing subprojects, as well as in underlying assumption that high poverty levels in ability to invest in machines, establish tourism managing development aid. As a direct result of indigenous communities had led to land infrastructure, or obtain necessary staff training. the project, both CICA and ACICAFOC currently degradation activities being undertaken for have regional capacity building strategies. subsistence income. Therefore, the component The project supported the development of two introduced grant resources to develop culturally very useful tools: CICA’s Balu-Wala, a All of the project’s actions helped to improve appropriate and environmentally sustainable methodology that allowed for the building of livelihoods in indigenous communities and to income-generating technical assistance and integral community plans based on the concept of develop skills for the conservation of biodiversity. some actual income-generating production “good living” according to the principles of the Moreover, the project not only achieved its subprojects. This provided communities with indigenous people’s view of the world, and objectives, but also produced a series of positive alternatives for revenue generation that were ACICAFOC’s sustainable livelihoods approach for externalities and leveraged new resources, compatible with natural resource conservation. its Community Land Management Plan I (plans including linking with other donor organizations, 4. Participatory project monitoring and evaluation. for territorial management). As stated by an developing capacities to create proposals, and This component supported training and capacity indigenous leader in Bocas del Toro “… in many of increasing the profile and influence of these building on monitoring and evaluation of project these communities, the local culture was organizations at the national and regional levels. impacts as well as progress in conservation and undervalued, and instead a Western model of sustainable use of biologically diverse resources. It development was used.” The development of these These types of projects often face challenges in financed scientifically sound monitoring and eval- plans and the methodology helped younger building on implementation experiences and in uation of biodiversity outcomes to follow project people reassess their culture and take pride in obtaining needed additional financial support. implementation and biodiversity changes over time. their heritage. Resources were leveraged during the life of the project when ACICAFOC obtained US$11 million The project also supported CICA and ACICAFOC of leveraged funds from other international 2.4.6 Results countries, comprising a total of about 10,000 in strengthening their networks. ACICAFOC cooperation agencies and later received resources The target of 100 communities and organizations hectares and benefitting 130 communities and sought to increase revenues and promoted cacao, from the Japan Social Development Fund of participating in the project was surpassed, with 8,170 households. In addition, the project prepared community tourism, and environmental service US$1.9 million and a KfW14 grant of US$6.5 350 indigenous communities participating in a total of 13 integral community development networks. CICA, using the overarching concepts of million to support the strengthening of the cocoa conservation and sustainable use of natural plans or cultural land-use plans covering 162,809 a strengthened indigenous economy and good network and community natural resource resources. Capacity building was provided to more hectares and benefitting 15 territories and over living, was able to make its networks stronger. management in the MBC. than 4,000 indigenous peoples and 357 300 communities. Furthermore, 207,000 hectares These included tourism (27 organizations), organizations. The communities and institutions were established across the region for sustainable handicrafts production (27 organizations), and The Integrated Ecosystem Management in learned to combine traditional knowledge with cultural use. traditional products of nature (26 organizations). Indigenous Communities in Central America integrated ecosystem management; this was used All activities have increased capabilities in areas Project is a good example of the potential for to prepare land-use plans. Some 379 communities Moreover, the land-use plans contributed to the including marketing, strategic partnerships, international cooperation agencies to work on prepared 23 integrated ecosystem management identification of conservation-compatible income- promotion of environmentally friendly products, aspects of ecosystem management with the active land-use plans based on their strengthened generating subprojects benefiting indigenous and tourism. The networks have enabled participation of peasant communities and capacity. Furthermore, the project provided communities and developing networks for participants to adopt strategies to optimize the indigenous peoples. With access to appropriate assistance to 472 communities and 69 marketing products, including environmental use of natural resources. modern technology, indigenous peoples can community-based organizations to support the services. The implementation of 69 subprojects, effectively contribute to conservation by introduction and implementation of productive consisting of US$20,000 grants made to local Capacity building was a cross-cutting theme protecting forests and sustainably managing land conservation-compatible subprojects. organizations, had a positive effect on community existing at virtually every levels of the project’s and natural resources. organizations that were previously unable to operation. Program activities improved the Plans for territorial management or territorial/ receive government support or even development capacity of communities to more efficiently community conservation were intended to aid such as credit, financing, or technical conserve biodiversity. The project promoted the strengthen the capacity of indigenous assistance. These organizations often had limited local and regional transfer of skills, experience, and communities in traditional ecosystem or no assets to use as collateral, had no ability to expertise. Beneficiaries of capacity building were management. Ten of the plans were designed in a borrow, and lacked the necessary skills to apply for not only at the community level: the staff of 14  KfW is a German-owned development bank based in participatory manner and were executed in all aid. The project provided the opportunity to implementing and executing agencies also Frankfurt. 40 41 Central America—Managing Critical Ecosystems in Indigenous Communities Central America—Managing Critical Ecosystems in Indigenous Communities • Utilizing a social approach to conservation with approach, which linked the two agendas, the ately considered each agency’s thematic Key Factors of Success community capacity building as an entry point project functioned as a vehicle for opening a strength with regard to sharing project manage- can be effective for both improving biodiversity new avenue for thematic discussions and ment responsibilities. But more planning should A thorough social assessment consultation protection and for promoting sustainable operations. have been done to harmonize administrative process was undertaken, which also livelihoods for rural indigenous populations • When the World Bank co-manages a project and fiduciary procedures, particularly because it generated new knowledge about indigenous peoples and enhanced the capacity of directly dependent on the natural environment. with another multi-development agency, partic- affected the executing agency, which faced sig- the members of local communities and The project demonstrated the positive role ularly when it works with low-capacity commu- nificant compliance difficulties. organizations in all aspects of project trained communities can play in biodiversity nity partners, it is important to focus on stream- management, including governance, conservation. Through a bottom-up approach lining institutional procedures to ensure monitoring and evaluation, natural resource that expanded local capacity and promoted responsibilities are shared according to each management, project development, community empowerment, the project achieved agency’s comparative advantage. The project accountability, transparency, and project important biodiversity results. Individual has shown that significant coordination chal- design. participating communities and regional lenges can arise when two international agen- Defining of who comprised “indigenous indigenous networks drove project cies co-manage a project. The project appropri- peoples” was accomplished by working with implementation processes through participatory leaders of indigenous peoples’ organizations, using agreed-on characterizations of well- mechanisms that promoted joint responsibility. defined socioeconomic and cultural criteria • In a regional project, it is important to create Key Results in addition to a sense of belonging or self- mechanisms to maintain the engagement of key identification. political actors so that they preserve their • Capacity building. Over participatory activities and networks, which included commitment to the project and reinforce the 4,000 indigenous peoples studies. Sixty-nine subprojects one network for marketing Priority areas for project initiation were and 357 of their organizations were implemented, consisting traditional indigenous products defined using the following criteria: (1) link between the project objectives and the participated in 302 capacity of US$20,000 grants made to like cacao comprising already-established indigenous regions, relevant regional agenda. The implementing building activities, including local organizations. 386 communities; one reserves, or communities; and (2) areas where agency’s board of directors and the project study tours and experimental artisanal network comprising indigenous peoples’ organizations were • Promotion of sustainable council provided an important means to exchanges in corporate 27 organizations; 32 already actively involved. cultural land use and connect government actors with the project and governance, marketing, traditional ecosystem communities participating in An integrated programmatic approach was sustained their engagement and commitment. law, customary law, land management. Twenty- two networks dedicated to used with the following project components: CCAD and other regional bodies served as use, forest management, three plans were developed eco/ethno tourism; and 107 (1) Cultural and Institutional Strengthening and biodiversity, information communities participating in an representatives, and they provided important and 236 communities Capacity Building; (2) Promotion of Sustainable technology, empowerment, participated in conservation environmental trading network. Cultural Land Use and Traditional Ecosystem project oversight within these entities, ensuring advocacy, collective rights Sixty-nine subprojects the project’s ongoing relevance in the context of and sustainable cultural land Management; (3) Development of Culturally and participatory research use activities; 69 subprojects were implemented and 351 Appropriate Products, Markets, and Services evolving policy. techniques, and eco/ethno communities determined their were carried out to promote for Environmental Sustainability in Indigenous • Utilizing a community-based management tourism. sustainable development regional supply of traditional Communities; and (4) Participatory Project approach helped link individual countries’ • Institutional and business and natural and cultural products and carried out Monitoring and Evaluation. environmental and indigenous political development. Twenty- conservation; 162,810 hectares marketing of these products; agendas, with the potential to make both more three plans for land use were developed under 121 communities determined (residential, forest, and community conservation and their regional offer to carbon effective and efficient. The project contributed agriculture), territorial 207 hectares were developed credits and received support to engaging governments on the “community- to engage in marketing efforts based resource management approach.” Across management, or territorial/ under sustainable cultural land for them. 2.4.7 Lessons Learned. community conservation were use, benefitting 15 territories Central America, there was a strong government designed in a participatory and over 300 communities. • Participatory monitoring Although regional projects involve numerous emphasis on and investment in biodiversity manner and executed in and evaluation project institutional and social actors in several countries, conservation and the importance of the • Culturally appropriate and all countries, comprising environmentally sustainable level. Organizational and the case of the Central America project participation of rural and indigenous peoples to a total of about 10,000 income-generating technical capacities for demonstrates that successful implementation is protect biodiversity resources. Some countries hectares and benefitting subprojects. Institutional the evaluation of project possible. Key elements of success include a had more elaborate environmental agendas and 130 communities and 8,170 and community production impacts were developed by government being open to a participatory process, programs while others had more sophisticated households; 50 business training was provided to 4,549 307 communities. However, plans and 16 institutional representatives. The project according to the World Bank’s a strong local community, and indigenous peoples programs to protect indigenous peoples’ development plans were also supported CICA and Independent Evaluation organizations. cultures and rights. Nonetheless, prior to the developed and traditional Group, the project had an project, there was not a single country that had ACICAFOC in strengthening ecosystems management their member organization “overly ambitious objective”. Three main lessons learned are: amalgamated both agendas. By utilizing the were recovered through 38 community-based resource management 42 43 Namibia—Strengthening the San Community Ecosystem Conservancies Namibia—Strengthening the San Community Ecosystem Conservancies access to any means of earning cash income. Food 2.5.2 Project Description security is a major problem—up to 70 percent of ICEMA aimed to promote community-based the Namibian San are dependent on food-aid integrated ecosystem management to bring programs. socioeconomic benefits to communal conservancies, areas in which rural communities Historically, the San people have been exploited by gain rights to use, manage, and benefit from other ethnic groups. The Namibian government consumptive and nonconsumptive use of wildlife has taken a number of measures to end the socie- within defined boundaries formed by the San, a tal discrimination, including seeking advice from diverse group of indigenous peoples living in the San about proposed legislation on communal- Namibia and South Africa. ly held lands and increasing their access to prima- ry education. By law, all indigenous groups are The project components are described below: able to participate in decisions affecting their lands, cultures, and traditions as well as the alloca- • Ecosystem-based income-generating activities tion of natural resources. Nevertheless, the San were designed to provide resources to local and other indigenous Namibians have been unable communities to help generate socioeconomic to exercise these rights due to the legacy of their benefits. It supported a community funding minimal access to education and economic oppor- facility grant to finance subprojects tunities coupled with their relative isolation in (microprojects) using agreed-on and detailed remote areas of the country. selection criteria. • Sustainable ecosystem management was aimed The San live in isolated groups in widespread at strengthening conservancies to incorporate regions of the Kalahari Desert. Traditionally, they an integrated ecosystem management approach were hunter-gatherers who migrated in small to natural resource management. family bands, did not keep domestic livestock, and • Targeted institutional support was designed to moved with all of their possessions, following strengthen the capacity of the ministry of envi- available water, game, and edible plants. ronment and tourism to carry out strategic Ownership of livestock was not typical. Women planning, implementation, monitoring, and rep- looked after the children and the collected plants 2.5. Namibia—Strengthening lication of activities that strengthened Namibia’s while men hunted. the San Community Ecosystem Project at a Glance existing national community-based natural re- Conservancies ICEMA’s project development objective was source management program and policies. Today, San communities are permanently settled to promote community-based, integrated in villages where they are diversifying their sources ecosystem management that would accrue of livelihood, similar to other indigenous 2.5.1 Introduction—Good Practice 2.5.3 The San People socioeconomic benefits to communal communities in Namibia. Some San members are Benchmarks conservancies. The term “San” is used to refer to a diverse group engaged in livestock and crop farming at a very Namibia’s Integrated Community-Based Components: (1) ecosystem-based income- of indigenous peoples living in southern Africa small scale; some earn income by selling crafts. Ecosystem Management Project (ICEMA) is one generating activities; (2) sustainable ecosystem who share historical and linguistic roots. The San The San benefit from social welfare grants of the few World Bank-financed operations in the management; (3) targeted institutional support; are considered one of the oldest peoples living on provided by the government, participate in Sub-Saharan region of Africa where an Indigenous and (4) management support. the continent of Africa. Their current livelihood national programs, and have access to social Peoples Plan was successfully prepared and imple- Financing: US$7 million (Global Environment systems are still heavily dependent on traditional services, such as education, water, health, mented. The Indigenous Peoples Plan is consid- Facility). hunting and gathering. Namibia has a San transportation, and communication. ered a good practice example because it is based Duration: 2004–11. population of approximately 33,000, less than 2 on a comprehensive socioeconomic study comple- percent of the total population of approximately The San communities living in the Otjozondjupa mented by broad and comprehensive consulta- 1.8 million. Their Human Development Index and the Caprivi region still derive their livelihoods tions and a detailed action plan specifically target- rating is less than half the national average, while from hunting and gathering, depending on the ed at and tailored to indigenous peoples. equitable playing field for indigenous peoples so their Human Poverty Index rating is more than natural resources within their environments. The Implementation was hampered by delayed activi- that they could develop in the same way other double the national average. Per capita income of Otjozondjupa region and the Tsumkwe area have ties and project objectives that were not fully social and cultural groups in Namibia had. the San is the lowest among all language groups in the highest concentrations of San. Approximately achieved. The project attempted to create a more Namibia; the majority of the population lacks half of the Namibian San population lives on 44 45 Namibia—Strengthening the San Community Ecosystem Conservancies Namibia—Strengthening the San Community Ecosystem Conservancies • harvesting and processing devil’s claw, an herbal 2.5.4 Indigenous Peoples medicinal plant native to southern Africa Development Plan • natural resource management, particularly for The Indigenous Peoples Development Program improving the harvesting, processing, and (IPDP) Action Plan was developed after marketing of devil’s claw. consultations were conducted with leaders from selected San communities and support ICEMA helped San peoples not only through the organizations, such as the Nyae-Nyae collaboration with WIMSA but also by using Development Foundation and the Working Group community funding facility grants, a financing on Indigenous Minorities in Southern Africa mechanism created by the project. For instance, (WIMSA). The IPDP developed a thorough the Nyae Nyae Community Development participatory framework for the San, including a Foundation received support for increasing comprehensive indigenous consultation ecosystem-based income-generating activities and management process to inform the preparing a zoning/management plan. implementation of ICEMA. Participatory evaluation exercises with members The IPDP sought to systemically establish equal of two conservancies—Otjituuo and N#a Jaqna— opportunities for the San in organizational, were carried out as part of the mid-tern cultural, technical, and financial areas. It was evaluation. Participants reiterated that the IPDP based on a broad analysis of secondary data and was relevant to their socioeconomic and cultural interviews with Namibian experts on the San and situation and that, after a slow start, it was included the following activities: beginning to show results and that objectives were within reach. The San of N#a Jaqna were • site selection and social assessment of San particularly vocal about the importance of the communities project to their conservancy and to the San in • implementation of a San participation plan general. • capacity building and training for facilitators • San participation in project planning, Because the Ministry of the Environment and communal lands and of these, only 10 percent live mixture of San people from different areas (mainly implementation, and monitoring Tourism did not have the capacity to fully in the Tsumkwe District—the only district where !Kung). Until recently, they have been unable to • development of benefit distribution plans implement the IPDP, it outsourced the task to San have customary land rights; 25 percent live in access services provided by NGOs. They have weak • external monitoring NGOs, particularly WIMSA. Because WIMSA’s the Kavango, north-central, Otjozondjupa, and community institutions and capacity even though expertise on natural resource management Omaheke ( formerly Hereroland) regions they operate under a single traditional authority. In needed to be enhanced, they subcontracted with a 2.5.5 Implementation combined; and just over 10 percent live in West 2003, however, they succeeded in getting the N#a- specialized consultant for assistance. Although Caprivi. Only the San in Tsumkwe District have Jaqna Conservancy registered, which has since After 2007, the IPDP had carried out most of the WIMSA’s ability to implement the project had retained access to sufficient land and have become the largest conservancy in Namibia. planned activities, which largely focused on the been hampered by internal problems—that were traditional authorities that are officially recognized N#a Jaqna Conservancy, including: expected to be overcome through positive by the government. Of the six broader Namibian San communities interventions—it still had a comparative today, only two—the Kung and Jul’hoansi of • a strategic social assessment of conservancies advantage to work with the San and implement The San in Nyae Nyae (East Tsumkwe) have well- Tsumkwe District—control their ancestral lands with San including the Uukolonkadhi the IPDP. established community-based organizations— the (now state-owned communal land), which gives Conservancy and Sheya Uushona Conservancy Nyae Nyae Conservancy and the Nyae Nyae them access to natural resources. A divisive issue • capacity building on governance—roles and WIMSA experienced several challenges during Development Foundation of Namibia. They are within the government has been the relative merit responsibilities of the conservancy and financial project implementation, including issues with beneficiaries of a number of nongovernmental of indigenous customary tenure systems as management planning supervision and monitoring and evaluation organization (NGO) initiatives, predominantly compared with those based on western concepts • community game-guard training, wildlife activities. While WIMSA had a full-time coordinated by a Foundation. The Ju/’hoansi of involving individual ownership registration. In the management and trophy hunting, and predator coordinator in N#a Jaqna at the central level, it Nyae Nyae are mostly culturally homogenous with 1980s, the policy debate on the individualization identification training was unable to follow-up and report due to a lack of a relatively stable social structure and a strong of tenure focused on economic development; in • tourism development supported by game qualified personnel. sense of tradition and identity. By contrast, the the 1990s, the focus was on the sustainable use of introduction and game water development West Tsumkwe population is predominantly a land resources. 46 47 Namibia—Strengthening the San Community Ecosystem Conservancies Namibia—Strengthening the San Community Ecosystem Conservancies comprehensively and authentically included in the • Conservancies operate in large, open systems Key Factors of Success development process. with highly variable climatic conditions. Rainfall A comprehensive socioeconomic study is extremely sporadic. Ungulates move over vast provided a good diagnostic of the situation and ICEMA’s IPDP was deemed adequate and relevant areas in accordance with their availability to needs of the San peoples. to the socioeconomic and cultural situation of the find grazing and browsing; predators roam in Broad and comprehensive consultations San peoples of Namibia. First, it was based on a search of prey; and elephants follow ancient with the socioeconomic study created the relatively good diagnostic of the situation and migration routes. The effects of climate change conditions for informed participation of the needs of San peoples in the country. Second, the are likely to increase this variability. Adaptive San people throughout the project cycle and IPDP had created conditions for the informed management that takes changing circumstances developed culturally appropriate activities that participation of the San throughout the life of the into account is vital in such systems. benefitted them. project and had developed activities to benefit Landscape-level management was one of the A detailed action plan was developed with them in culturally appropriate ways. The IPDP is key approaches for management of a range of capacity building on governance, community considered by all stakeholders to be a good resources that was tested by the ICEMA project. game guard training, wildlife management, example to follow when preparing similar The Mudumu North Complex consisted of four trophy hunting, tourism development, and instruments in projects involving indigenous conservancies and a community forest in which harvesting and processing devil’s claw. peoples or when there is collective attachment to inhabitants pooled their resources and expertise A participatory mid-term evaluation exercise project lands. to manage those resources at a landscape level. with members of two indigenous peoples’ This positive experience is worth sharing and conservancies was conducted that showed results and encouraged the San people to see The San were increasingly interested in replicating in similar parks and surrounding the importance of the project. participating in the project after they began to see conservancies—not just in Namibia but results on the ground. It was evident that they throughout Africa and around the world. Marine Resources (MFMR) and the Ministry of A programmatic approach supported ecosystem-based income-generating became more open to trying new things in order • ICEMA has filled important gaps in natural Environment and Tourism (MET). activities in conservancies, including local- to improve their livelihoods and, as a resource management (as acknowledged by all • Community subprojects faced challenges during level institutional strengthening; sustainable consequence, became more involved in activities of the stakeholders during the ICR mission), implementation, as previously indicated. The ecosystem management in conservancies and aimed at achieving that goal. thanks to the adoption of the Integrated- main lessons learned for future activities restoration; rehabilitation and monitoring and Ecosystem Management (IEM) approach by the involving income-generation subprojects with evaluation of the resource base; and policy, The project’s IPDP experience pointed to the need Community-Based Natural Resource communities include: (1) focus resources legal, and institutional framework development for enhancing action plans through improved Management (CBNRM) program. To succeed geographically; (2) earlier definition of the for the harmonization of community-based targeting and tailoring of activities. Although the with IEM, it is important to: (1) introduce thematic focus related to subprojects; (3) ensure natural resource management-related policies, decentralization efforts, and knowledge San were the main beneficiaries of the IPDP, some standardized business development approaches that the capacity of service providers is in place exchange. activities should also have included poverty- based on a vision of sustainability, using a before subprojects are selected; (4) disseminate stricken groups living among the San from other categorization of conservancies and an Community Funding Facility information early ethnic backgrounds. integrated planning and implementation in the process through 25 stakeholder meetings approach; (2) strengthen governance through with targeted conservancies and service Worldwide experience indicates that actions compliance systems, local-level monitoring, and providers; and (5) strengthen conservancy-level 2.5.6 Lessons Learned oriented to help indigenous peoples should financial management; and (3) strengthen the business planning. Retrospectively, the main ICEMA is a conservation project with strong include strong capacity-building components. concept and capacity to carry out and stakeholders involved—from community-based social implications, focusing on community Therefore, the exit strategy should have included implement ecological and economic zoning organizations to the government and the World conservancies and the use of community-based training that focused on strengthening the social within each conservancy, including monitoring Bank—underestimated the time and resources natural resource management approaches that are organization and participatory planning among of the zoning rules by internal and external needed for sound business development in strengthened by the creation of a community the San to allow them to become increasingly conservancy users. Community-based conservancies as well as within the Contract funding mechanism. Lessons learned from other independent with regard to the use of resources integrated ecosystem management is now an Service Provider network. projects in areas of high cultural diversity have rather than continuing to rely on help from others. accepted and adopted strategic approach, and • Large-scale translocations of fauna to shown that even a project with a strong social the development of IEM guidelines is leading to conservancies in differing biomes and with orientation can end up marginalizing some of the Other key lessons15 learned from the ICEMA an innovative, integrated CBNRM framework various biodiversity, income-generating and most vulnerable groups in society because of project (partly applicable to N#a Jaqna and the that will involve several line ministries in development needs were, until the inception of existing patterns of social exclusion. The San) include: Namibia (e.g., Ministry of Land and Resettlement ICEMA, largely untried and untested. The application of the Indigenous Peoples Policy (MLR), Ministry of Agriculture, Water and project was able to develop an implementation 15  These “other lessons” apply to ICEMA activities as a whole through the preparation of an IPDP helps ensure and not solely about the support for conservancies managed by Forestry (MAWF), and Ministry of Fisheries and approach that showed good results and that vulnerable ethnic minorities are the San or other indigenous peoples. attracted significant funding from Enhancing 48 49 Namibia—Strengthening the San Community Ecosystem Conservancies Nepal— Alleviating Poverty in Indigenous and Marginalized Communities Wildlife-based Economy in Rural Area Projects • Planning, monitoring and evaluation are core (EWERAP) and the Millennium Challenge aspects of conservancy activities because they Account (MCA) to scale up MET/ICEMA allow for adaptive management through the achievements. Key lessons are to ensure that: (1) strategic use of gathered information. A number leadership and strong oversight by one entity, of monitoring and evaluation systems were put such as the ministry of environment, manages in place by MET and its development partners. the entire process and provides technical However, many of these monitoring and oversight and quality control; (2) this entity evaluation efforts were either ad hoc provides a quota on an annual basis of animals interventions required by external funding that may be moved to conservancies from agencies to determine the impact of their protected areas; (3) regular meetings are held programs or are of a specialized nature that can with a range of partners, including field staff, be linked to the environmental mandate of MET NGO partners, and regional experts to agree on with regard to desertification, biodiversity, recipients for different species, taking due climate change, and so on. What is required, in cognizance of institutional, ecological, addition to the above-mentioned efforts, is a economic, and management issues; (4) monitoring and evaluation system that is: (1) translocations are discussed and agreed to by recurring at fixed intervals; (2) conducted the conservancies and release sites are agreed nationwide; (3) institutionalized as an official/ on, with field staff participating and legitimate data gathering exercise; and (4) contributing to the process; (5) a joint action standardized, with an enumeration plan for the release of the animals is agreed on; methodology that allows impact assessment (6) post-release monitoring takes place, over time. involving a suite of approaches; (7) intensified local-level monitoring takes place to ensure long-term success and to compensate for any technical failures; and (8) a satellite and animal 2.6. Nepal— Alleviating Poverty PAF-I at a Glance tracking system is used. in Indigenous and Marginalized Communities The project was designed to benefit the poor and excluded communities by improving their access to income-generation projects and 2.6.1 Introduction community infrastructure. The Nepal Poverty Alleviation Fund (PAF) is a Components: (1) Income-Generation Key Results semi-autonomous government agency that is Subprojects Targeted to the Poorest and governed by the “Poverty Alleviation Fund Act Excluded; (2) Small-Scale Village and • Ecosystem-based income- conservancies had fulfilled approach was 38,595 square Community Infrastructure; (3) Innovation and 2006.” With support from the World Bank since generating activities. at least 80 percent of the kilometers—significantly Special Programs; (4) Capacity Building and Benefits through game criteria: four had achieved above the target of 25,000 its inception in 2004, PAF has been operating as a Institutional Strengthening; and (5) Project hunting, sale of products, criteria outcomes in natural square kilometers. demand-driven and targeted poverty alleviation Administration. and tourism activities created resource management; three program for marginalized and poor households • Targeted institutional Financing: US$ 42 million (IDA Grant). much-needed employment, in governance; and three in support. An increase in the in Nepal. In particular, PAF provides funds to especially for rural school financial sustainability and community organizations of the poor for income- Duration: 2004–08 effective partnerships of the youth for whom opportunities economic development. ministry of environment and generating activities, small-scale community were limited. Household There was an increase in the tourism with other agencies infrastructure, and capacity development income in 1998 was N$1.15 number of conservancies and institutions, including million and by 2008, it had using integrated ecosystem initiatives. local governments, NGOs, statistically significant causal impact of the increased to N$42 million. management approaches. and the private sector, was At the end of the project, The results of PAF’s approaches have been program on key welfare outcomes. The • Sustainable ecosystem achieved. The ministry of management and effective the total area covered by environment and tourism significant. Monitoring results indicate that 68 treatment-on-the-treated estimate showed a 19 management of the the 16 conservancies that surpassed the original target percent of households have obtained a minimum percent growth on real per capita consumption, a conservancy committees had adopted an integrated of five partnerships by the income increase of 15 percent (in real terms). An 19 percentage point decline on the incidence of were increased. All 16 ecosystem management end of the project. impact evaluation study, carried out over three food insecurity (defined as food sufficiency for six years of the project duration (2007-2010), found months or less) and a 15 percentage point 50 51 Nepal— Alleviating Poverty in Indigenous and Marginalized Communities Nepal— Alleviating Poverty in Indigenous and Marginalized Communities PAF-II at a Glance communities for multi-sector investments. In addition, PAF also has a robust monitoring and The objective of the second phase repeater evaluation mechanism which allows PAF to project is to improve the living conditions, monitor progress and conduct periodic livelihoods and empowerment of the rural assessment, including on matters relating to poor, with particular attention to groups that gender and inclusion of marginalized groups. have traditionally been excluded by reasons of gender, ethnicity, caste and location. Components: (1) Small-scale Village and 2.6.2 Nepal’s Population Dynamics and Community Infrastructure; (2) Income the Indigenous People Generating Sub-projects; (3) Innovation and Special Programs; (4) Capacity building Nepal is a country of significant diversity: the 2011 through social mobilization of community census of Nepal recorded the presence of 125 caste groups, capacity building of local bodies, and ethnic groups, 123 languages spoken as mother capacity building of target groups engaged tongue, and 10 different types of religious groups. in income-generating activities, support to The indigenous people (known as Adivasi Janajati rural and community finance, and information, or Janajatis in Nepal) comprise approximately 35 monitoring and evaluation; (5) Administration of PAF II. Under the Second Additional percent of Nepal’s total population. Besides the Financing, the component on ‘innovation and Janajatis, another group that is considered special programs’ was replaced with ‘Product marginalized for reasons of caste differences and Development, Market Linkages and Pilots.’ hierarchy are the Dalits ( formerly known as the Financing: PAF II: US$ 100 million (IDA Grant); ‘untouchables’) who constitute approximately 15 First Additional Financing, 2008: US$ 65 percent of the population. Likewise, the Madhesis million (IDA Grant), 4.1 million (IFAD), US$ 10 who reside in the southern belt (Tarai) of Nepal Index (HDI) value of 0.538, followed by the Janajatis • capacity building of community groups and million (Food Price Crisis Response Trust Fund); comprising 30 percent of the total population have at 0.48216, the Dalits at 0.434 and the Muslims at local bodies through social mobilization, Second Additional Financing: US$ 80 million historically been excluded due to their regional 0.422. As a marker of deprivation, the latter two support to micro-finance intermediaries, and (IDA Grant). identity. As shown in the figure above, these groups--the Muslims and the Dalits have HDI information, monitoring and evaluation Duration: 2007-17 different groups are interspersed throughout the values 27 and 24 percent lower respectively than • administration of PAF. PAF started as a pilot, country, and in only a few areas one group is that of the Brahimins/Chhetris. Among all Janajatis operating in six districts (out of 75 districts) that numerically predominant allowing such areas to be and Dalits, those from the Hills are much better off were chosen on the basis of the Human considered as ‘traditional homelands’ of indigenous with higher HDI scores than those from the Tarai. Development Index (HDI), geographic location, increase in the school enrollment rate among peoples. Further, there are significant overlaps and level of conflict-affectedness. Later, in 6–15 year-olds. The net impact in growth in per between the groups—for instance, there are Dalits 2005/06, the PAF program expanded into an 2.6.3 Project Description capita consumption is even higher for Dalits and who are also Madhesis; and there are also a additional 19 districts based on the same Janajatis and for the poorer segments of the significant percentage of Janajatis whose origins are The first phase of PAF was initiated in 2004 to criteria. population, indicating that the program is able to in the Tarai belt of Nepal, along with the Madhesis. support the Government of Nepal implement a effectively distribute growth towards targeted new, targeted instrument—the Poverty Alleviation Recognizing the success of the PAF approach, the groups. The study also suggests that PAF These social identifiers—caste and ethnicity—have Fund (PAF)—for reaching out to and bringing Government of Nepal in 2006 introduced the households have seen increased access to significant bearings on poverty rankings. According poor, vulnerable and excluded communities into Poverty Alleviation Act 2006, to govern PAF and services (agriculture centers, community groups, to the 2014 Nepal Human Development Report, one mainstream development. The project provide it with an autonomous status. Meanwhile, farmer groups) and a positive change in women in every four poor person in Nepal is a Hill Janajati, components at that time included: a case for providing Bank financing for a second empowerment. and this ratio becomes even higher if the total project (PAF-II) was also made in order to build on Janajati population (both Hill and Tarai) are taken • income generation sub-projects targeted to the the successes of PAF-I and support the Some of the major strengths of PAF’s approach into consideration. Further, the same report also poorest and excluded groups government’s efforts to emphasize inclusive include: demand-driven and community- indicates that throughout Nepal, indigenous • small-scale village and community development and sustainable poverty reduction. centered approach; multi-tiered targeting groups, Dalits and women (especially female infrastructure sub-projects PAF-II became effective in 2007 with the objective method to benefit the poor and excluded headed households) lag behind in terms of • innovation and special programs window to improve living conditions, livelihoods and households; capacity building at community level incomes, assets and most human development empowerment of rural poor, with particular through rigorous social mobilization; transfer of indicators. Among the four major caste and ethnic 16  This figure excludes the Newars, who are categorized as attention to groups that have traditionally been Janajatis but are considered a much better off groups than the decision-making responsibilities to communities; clusters, the Brahims/Chhetris (the privileged other Janajatis (and even some Brahmins and Chhetris). excluded by reasons of gender, ethnicity, caste and and the innovative use of direct financing to groups) rank at the top with Human Development location. In 2011, additional financing for PAF-II 52 53 Nepal— Alleviating Poverty in Indigenous and Marginalized Communities Nepal— Alleviating Poverty in Indigenous and Marginalized Communities was approved allowing the program to expand into • Project management, planning, and monitoring indigenous peoples and other vulnerable groups 2.6.5 Methodology for Targeting to Ensure 15 more districts. In addition, the Multi-Donor and evaluation to oversee the overall like Dalits, women and the ultra-poor. The VCDP Inclusion of Indigenous People Trust Fund for Food Price Crisis Response Core management of PAF including forging stronger not only seeks to identify and mitigate potentially (FPCR) provided additional support for activities in participation of COs and PAF personnel in the adverse effects on the vulnerable groups but also As a targeted program, one of the key aims of PAF remote and food insecure areas of the country. integrated planning forums of local bodies and contains provisions to ensure that they are able to is to ensure inclusion of indigenous people and provisions for public hearing/social audits as participate in decision-making processes and other vulnerable groups into mainstream By May 2013, PAF had reached over 555,000 well as an improved grievance handling system. benefit from project activities. development. There are multiple ways in which households, out of which 64 percent fell under the PAF achieves this: category of ultra-poor (households with food The VCDP is in accordance with the Indigenous 2.6.4 Social Assessment and Consultation sufficiency for less than three months). PAF Peoples Planning Framework required by OP 4.10 • Multi-tiered targeting approach to ensure inclu- households comprise 25 percent Dalits, 27 During PAF preparation, a series of consultative for projects affecting or benefiting indigenous sion of indigenous peoples in project benefits. percent Janajatis (indigenous groups), 3 percent meetings were held with key stakeholders from the peoples. It includes mechanisms and procedures a. District targeting: PAF selects program Muslims (religious minorities), and 16 percent government, NGOs, civil society, community on how PAF-supported activities would address districts based on 28 different poverty from other ethnic groups. About seventy-four groups, and the private sector to inform the design legal requirements, collect baseline data, ensure monitoring indicators developed by the percent of members of community organizations of PAF. District-level social assessments and so- compliance with land acquisition and resettlement National Planning Commission. Generally, (COs) were female. cio-economic impact assessments were also con- requirements, and enhance local participation in these are districts that rank the lowest in ducted during project preparation. In particular, all stages of project cycle. In addition, measures for the Human Development Index. Based on the aforementioned success of PAF these assessments involved collection and analysis institutional capacity development, b. Village targeting: Once the districts have interventions, a second additional financing was of baseline data on vulnerable groups—e.g., popu- implementation schedule, and framework for been selected, within each district, PAF approved in June 2013 to finance scaling-up of PAF lation, location, culture and belief systems, lan- monitoring and evaluation are also included in the selects approximately 25 Village interventions into an additional 15 districts and guage, education, socioeconomic conditions, ac- VCDP. The VCDP is included in the operations Development Committees (VDCs) based on support higher level institutional development. cess to natural resources, and related management manual for PAF, and the same instrument is being different measures/indices of poverty, practices. Besides informing the project design, the used for PAF-II to monitor safeguards compliance. exclusion, and vulnerability (see Table Activities of the Second Additional Financing for baseline data is used as a reference during the eval- below). The information for these indicators PAF II include: uation of sub-project proposals to ensure they are At the time of the preparation of PAF-II, the World is obtained from the preliminary social successfully targeting vulnerable groups. Bank in partnership with DFID published the assessment carried out in each district. • Small-scale community infrastructure projects flagship report on social inclusion—Unequal Further, during the VDC level ranking/ (e.g. micro-irrigation, footbridges, schools, Findings from the assessments conducted during Citizens: Gender, Caste and Ethnic Exclusion in prioritization process, more weight is given health posts, school buildings), especially to poor project preparation indicated that traditional Nepal.17 The report was one of the key analytical to those VDCs with higher density of target and excluded groups; leaders of vulnerable communities (including works that informed the design of PAF-II, groups (such as Dalits, Janajatis and other • Income-generation sub-projects supported indigenous peoples) can be important actors in particularly on the need to focus on groups that deprived groups). through revolving funds managed by COs that mobilizing people and should be brought into the have traditionally been excluded by reasons of c. Beneficiary targeting: Once the VDC is are targeted to the poorest and excluded people planning process. Accordingly, PAF supports the gender, ethnicity, caste and location. finalized, settlements within VDCs are for income-generating activities (e.g. micro- participation of vulnerable groups in the decision- selected on the basis of participatory enterprises, crafts, land productivity, vegetables making process throughout all phases of planning, Box 2: Vulnerable community mapping exercise. For income generating and animal husbandry); implementation, and evaluation of sub-projects. population index sub-projects, beneficiary eligibility is • Product development, market linkages and determined at the village level by the 1a. Woman-headed household index pilots that seek to support COs that are engaged Further, the assessments also indicated that the villagers themselves (self-selection) based in higher-level institutional forms such as diverse context in which indigenous peoples are Empowerment index on objective criteria such as caste, ethnicity, cooperatives, CO networks and federations, and found in Nepal means that no single definition of 2a. Vulnerable group participation index gender, accessibility to services, and piloting of CO creation and investment support ‘indigenous people’ can adequately capture their 2b. Decision-making status and voice index poverty-related indicators such as in peri-urban and pocket areas; diversity. Additionally, it was also apparent that 2c. Gender awareness index ownership of assets and income levels. • Capacity-building and institutional there are outlier groups—such as Dalits—who Accessibility index d. For community infrastructure sub-projects strengthening to support the formation and meet the criteria for identifying as indigenous eligibility is determined on the basis of the development of COs, capacity building of CO peoples because of their language, geographical Social development index proposed sub-project’s relevance to the members, establishment of cooperatives and attachment, and other factors. Such groups are Economic status index Village Development Committees and the market alliances, and development of linkages equally, if not more disadvantaged than the District Development Committees’ with education, literacy, nutrition and public indigenous peoples. Thus, PAF developed a development plans, impact on target groups, health training activities being implemented at Vulnerable Community Development Plan 17  Unequal Citizens: Gender, Caste and Ethnic Exclusion in technical feasibility, local employment the local levels; (VCDP) to incorporate issues and concerns of Nepal, DFID/World Bank 2006 generation capacity and beneficiary 54 55 Nepal— Alleviating Poverty in Indigenous and Marginalized Communities Nepal— Alleviating Poverty in Indigenous and Marginalized Communities • Monitoring and evaluation framework. PAF’s 2.6.6 Lessons Learned framework for monitoring and evaluation com- prises of five different databases: a partner orga- As a targeted program, PAF has been successful in nization database; a community organization benefiting its target group of poor and vulnerable database that includes beneficiary assessments; communities, including indigenous peoples. This a community agreement database; a sub-project has been achieved through an appropriate capture database; and a revolving fund database. These of vulnerable communities and a detailed databases include specific indicators for indige- mechanism for targeting beneficiaries. In nous peoples that are analyzed to improve plan- particular, the targeting mechanism uses multiple ning and address weaknesses in the project im- criteria, including national level data on poverty plementation process. with participatory social assessment tools. These types of detailed and multilayered mechanisms for targeting the vulnerable are particularly important Key Factors of Success in countries with diverse population groups, such as Nepal. A programmatic approach with indigenous peoples as the main target beneficiaries, Effective targeting is however not sufficient and and their inclusion in decision-making, the experience of PAF suggests that institution- implementation arrangements, and monitoring and evaluation framework. In addition, building, especially for long-term sustainability of special programs to support the extremely rural communities is also important. In this marginalized indigenous peoples among regard, key good practices and lessons learnt from commitment to a viable operations and or an indigenous or Dalit person. Similarly, others has also been envisaged. PAF are: maintenance plan. Additionally, it is also one of the selection criteria for Partner Demand-driven and community-centered required that such projects: (1) benefit at Organizations (POs)—the organizations design provides communities control over • The establishment of PAF as an independent, least 80 percent of the target population, responsible for social mobilization and funds and investment decisions which in turn autonomous, and professional organization including indigenous peoples; (2) ensure community support—is that they have has helped enhance efficiency, ownership, mandated by a separate law focused on address- participation of all community members at representatives from vulnerable groups who accountability and transparency. ing the needs and aspirations of the poor and every level (i.e., subproject identification, will be working with the communities. Social mobilization conducted extensively to marginalized communities. Such a legal stand- design, implementation, and maintenance); • Special programs for inclusion of indigenous ensure the participation of vulnerable groups, ing has helped enhance project efficiency, ac- and (3) provide opportunities for more peoples. PAF-I and PAF-II included a provision including indigenous peoples in program countability and transparency. implementation. employment to local community members, to implement special window programs in dis- • Community-based and demand-driven ap- including indigenous peoples. tricts that are not part of the regular program. To Multi-tiered targeting mechanism has created proaches that involve rigorous social mobiliza- • Indigenous peoples as targeted beneficiaries. be selected for the special window, the proposed space for meaningful participation by all those tion initiatives to allow the poor and vulnerable who are typically marginalized and excluded. The main targeted beneficiaries of PAF are the program was required to be “innovative,” mean- to plan, design, and implement projects accord- Janajatis, Dalits, women, and other vulnerable ing that it had to have substantial potential ben- Strong partnerships, collaboration, and ing to their needs can be very successful in ensur- communities living below the poverty line. efits for uplifting the livelihoods of the poorest consultations with various village-, district- and ing the empowerment and livelihood improve- national-level organizations, such as NGOs/ Accordingly, PAF’s social mobilization efforts, among the poor, including indigenous peoples. ment of indigenous peoples and other vulnerable community-based organizations and the income-generating activities, capacity- An analysis of the intermediate monitoring re- private sector that has facilitated poor and communities. building initiatives, and community sults indicated that despite the positive results vulnerable groups and their communities to • PAF has been partnering with Partner Organiza- infrastructure projects are designed and for indigenous peoples and other vulnerable maximize project benefits tions (POs) who are from the targeted areas to implemented to maximize project benefits to communities, some very marginalized commu- A rigorous monitoring and evaluation conduct community mobilization. This has these vulnerable groups. nities (representing about two percent of the framework based on five different databases helped in establishing community organizations, In addition to receiving services and project target population) had not yet benefitted from has allowed the project to track progress at facilitating delivery of services and strengthen- benefits, PAF also supports measures to ensure PAF services because of their distinct socio-cul- various levels, and take corrective actions, if ing local ownership. the participation of vulnerable groups in tural characteristics. In order to address this gap, and when required. • Establishment of community-level institutions, decision-making processes. According to PAF’s PAF prepared a concept paper to provide addi- Flexible design and adaptive management Community Organizations (COs) and transfer- policy, at least 50 percent of community tional focus and support to these extremely mar- has supported the adoption of corrective ring decision-making responsibilities and re- organization members need to be women and ginalized communities and PAF will provide measures based on the monitoring results. sources to them is important in facilitating their key positions, such as Chairperson, Treasurer, or targeted capacity building and institutional access to productive assets, improving their in- Secretary, need to be held by poor women and/ strengthening activities to support these groups. comes and livelihood opportunities. Further, 56 57 Nepal— Alleviating Poverty in Indigenous and Marginalized Communities Nepal— Alleviating Poverty in Indigenous and Marginalized Communities regular meetings of the COs contribute towards • Flexible design and adaptive management has ing Markets Work for the Conflict Affected Peo- dling grievances and institutionalizing an im- setting project priorities in a participatory man- allowed the project to address obvious weak- ple’ to enhance livelihood opportunities and the proved complaints mechanism. Further, with ner and also ensure good communication re- nesses and challenges and to take timely correc- share of rural artisans in the market for cultural the support from the World Bank Institute, an garding finances as well as transparency and tive measures based on monitoring results. industries. These are communities which are improved grievance handling system, On-track, accountability of decision-making. among the poorest in Nepal and have been se- which uses open data platforms, is currently • The community-driven approach adopted by A number of constraints have also emerged during verely affected by conflict, but are traditionally being piloted in Kapilbastu district. PAF is important in terms of improving rural the implementation of PAF including: known for their rich cultural heritage. • The returns from PAF investments have been livelihoods. However, communities are them- • Nepal is undergoing rapid political and social significant, and PAF has emerged as a very effec- selves divided according to class, ethnicity, caste, • Sustainability of income-generating activities changes which is not only affecting the project tive tool for targeted poverty alleviation. Howev- gender and other such social and economic vari- undertaken by indigenous peoples and other but also communities at the local levels. In such er, there are many other poverty alleviation pro- ables. To ensure that vulnerable groups are ade- vulnerable groups has been a challenge, particu- a situation, ensuring that the gains made by PAF grams that are being implemented in Nepal, quately targeted, there is a need to ensure the larly in areas where access to roads and markets are sustained beyond the life of the project is including those supported directly by the govern- participation of all community members at ev- are constrained. Under the second additional going to be challenging. This is particularly the ment. In order to ensure sustainability of PAF ery level (i.e., sub-project identification, design, financing for PAF II, a separate component fo- case in terms of the specific measures and poli- and as well as decrease its dependence on exter- implementation, and maintenance) and also cused on value chains, pocket area development, cies adopted by PAF for vulnerable groups. nal funding, there is a need to develop a cohesive include them in decision-making. The provisions and market linkages is now being implemented • As PAF expands its scope as well as coverage, strategy at the national level that is aimed at that PAF has set-up in terms of mandatory rep- to specifically address this issue and improve PAF has been receiving increasing numbers of integrating social mobilization and support ef- resentation, e.g., representation of women, Dal- sustainability over the long run. complaints, including from its targeted benefi- forts of various programs, and hence provide its and Janajatis in the executive committee, is • Since PAF was first implemented in six pilot ciaries. This has called for a more effective griev- long-term support to the poor and marginalized. one possibility. Further, introducing special pro- districts in 2004, community organizations have ance redress mechanism than the one that is grams and implementing targeted capacity achieved various levels of maturity. Mature com- currently in place. Accordingly, PAF is in the building and institutional strengthening activi- munity organizations have managed to accumu- process of developing a strategy paper for han- ties to support the extremely marginalized late large amounts of funds, but as mentioned groups can also result in measurable outcomes. earlier, have experienced constraints due to • Strong partnerships and collaboration with vari- market access and product development. On the ous organizations working at the local level and other hand, less-established community organi- Key Results with national organizations not only help com- zations are currently facing challenges operating • Small-Scale Village and the poorest three quintiles social mobilization and munities maximize project benefits but in- a number of subprojects due to technical capaci- Community Infrastructure. of households, measured training in entrepreneurship creased coordination also helps avoid duplica- ty constraints, inadequate funds for operations A total of 2,515 infrastructure- by the baseline survey of development, book keeping, tion and maximize cumulative impact from and maintenance, management of revolving related subprojects such water 2007, thus demonstrating the maintenance of revolving various efforts. funds, to name a few. A two-pronged strategy supply schemes, pump sets, program’s ability to distribute funds 28% are Dalit; 29% • Sustained and periodic monitoring and rigor- has been adopted to address these challenges. irrigations schemes, culverts wealth among targeted indigenous peoples; 3 percent ous impact evaluation are crucial. The Manage- For the mature community organizations, the and roads were completed by groups. There has also been Muslim; 6% Brahmin; 23% ment Information System (MIS) system of PAF project is now focusing on capacity development the communities, benefiting a a 10 percent decrease in the Chhetri; and 11% other castes/ total of 178,873 households. incidence of food insufficiency ethnic groups. Of the total key draws from five different types of databases, so that they can institutionally graduate to the • Income-Generation Sub- and a 6 percent increase in position-holders (15,383) in and also emphasizes participatory processes to next level and register themselves as coopera- school enrolment for children the community organizations involve vulnerable groups in appraising the tives, and hence achieve long-term sustainability. projects Targeted to the Poorest and Excluded. More aged 6–15 in PAF-supported supported by PAF, 63 percent project according to their needs and demands. For the less-established organizations, the em- households. The program are women, 34 percent Dalit; than 448,000 beneficiary This type of comprehensive monitoring and phasis continues to be on capacity development households have participated effect can also be observed in 28 % indigenous peoples; evaluation frameworks help track relevant in- and institutional strengthening through social in income-generating improved access to services— 28 % Brahamin/Chhetri; 2 % puts, outputs, processes and results at each tier mobilization. activities. Revolving funds e.g., agriculture centers, Muslim; and 8 % other ethnic community forest groups, and groups. of implementation. • An analysis of intermediate monitoring results grew in the community organizations and most farmer’s groups. • Project Planning, • The differences in impacts based on how long a have indicated that a small percentage of ex- community has received PAF support suggests tremely marginalized groups have not been able beneficiaries have accessed • Capacity Building and Management and Monitoring funds more than once. Institutional Strengthening. and Evaluation included that sustainable community development is a to benefit from PAF support. To address this, While the real per capita Of the total 606,609 the development of training long-term process requiring consistent input PAF is planning on introducing a special pro- consumption increase for beneficiary households, materials, capacity building in and support over time in order to build their gram and a targeted capacity building and insti- Dalits and Janajatis was which includes households impact evaluation. capacity and develop ‘workable capital’ at the tutional strengthening activity to support these 30 percent, the increase participating in other local level—human, social as well as financial. groups. Further, since 2012, PAF has also been was about 16 percent for project activities such as implementing a JSDF-supported project, ‘Mak- 58 59 Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market Box 3: Percentage of People Living in Poverty in Vietnam, 1993–2012 1993 1998 2002 2004 2006 2008 2010 2012 All of Vietnam 58 37 29 19 16 14 20 17 Urban 25 9 7 4 4 3 6 5 Rural 66 45 36 25 20 18 27 22 Kinh and Chinese 54 31 23 14 10 9 13 10 Ethnic minorities 86 75 69 61 52 50 66 59 Source: Based on VHLSS 2012. other population groups.18 It is also important to 2.7.2 Project Description note that in many villages and communes mixed ethnic minorities live together. Overall, the project NMPRP-II is part of a larger government strategy is estimated to benefit 159,534 ethnic minority for supporting ethnic minority activities through- households in Vietnam living in 2,366 of the out the country. Other similar programs include: poorest villages in 230 communes. These (1) the Program for Socioeconomic Development communes are in 27 districts; the districts are in in Communes Facing Extreme Hardship in Ethnic six provinces. Minority and Mountainous Areas (P135), which uses geographic targeting and provides additional The project features several examples of good resources to remote communes and villages; and practices with regard to livelihood support for (2) the Central Highlands Poverty Reduction ethnic minorities. Its design includes principles of Project targeting the second poorest region, which a community-driven development approach, also has a high concentration of ethnic minorities. participatory planning with enhanced women’s In short, the government is making an effort to participation, and the use of ethnic minority support ethnic minorities and to channel funding languages in training and communication to areas with a high presence of minorities be- 2.7 Vietnam—Transitioning Project at a Glance materials. In addition, NMPRP-II aims to enhance cause these groups carry the greatest burden of from Poverty in the Mountains income-generating opportunities for ethnic poverty in Vietnam. to Prosperity in the Market The project is designed to enhance the living minorities by facilitating a transition from a state- standards of project beneficiaries by improving: subsidized economy to one of market-oriented NMPRP-II has drawn on the experiences and les- (1) their access to productive infrastructure; producers. The project also promotes the local sons learned from the results of NMPRP-I. The first 2.7.1 Introduction (2) the productive and institutional capacity of culture of ethnic minorities. For example, it invests project’s design was built on the experiences of local government and communities; and (3) The Vietnam Second Northern Mountain Poverty in local tourism development and supports decentralized and participatory projects in market linkages and business innovation. Reduction Project (NMPRP-II) supported ethnic women’s handicraft production and herbal Vietnam by the United Nations Development minorities in some of the poorest rural areas to NMPRP–II components: (1) district socio- medicine products. Ethnic minority communities Programme, the International Fund for economic development—i.e., financial support improve their living standards through enhanced are empowered through ownership and Agricultural Development, and the UNCDF, as well for medium-scale infrastructure investments; access to infrastructure, services, and markets. The (2) commune development budgets—i.e., management of the project investments and local as regional projects such as the First and Second project was built on the successful Northern small-scale infrastructure and livelihoods; (3) infrastructure development. Village Infrastructure Projects in Indonesia and Mountains Poverty Reduction Project-1 (2002–07), capacity building for central and local officials the Southwest and Qinba Mountains Poverty. which at the time, was one of two World Bank- and the strengthening of community planning; financed community-driven development projects and (4) project management, monitoring and To address uneven poverty distribution among in Vietnam that were accelerating rural evaluation and facilitation for implementation, ethnic minorities, the World Bank supports the communication, and knowledge sharing. 18  Poverty is substantially higher among ethnic minorities development and targeting poverty reduction in in Vietnam compared with the overall population. Although Government of Vietnam through NMPRP-II. some of the country’s poorest rural areas. NMPRP- NMPRP–II targets 230 communes within 27 Vietnam’s 53 ethnic minority groups make up only 15 percent II targets more difficult-to-reach communes—the districts of six provinces: Dien Bien, Lao Cai, of the total population, they represent 59 percent of the poor Yen Bai, Son La, Lai Chau, and Hoa Binh. in Vietnam. Although living conditions for many minorities have 2.7.3 Indigenous Peoples in Vietnam lowest administrative unit comprising several improved since late 1990s, the concentration of minorities among villages. In these villages and communes, 94–100 Financing: US$150 million (IDA). the poor has increased substantially—by 25 percentage points for According to the country-wide census in 2009, the extreme poor (from 43 percent in 1998 to 68 percent in 2010) percent of the total population is part of an ethnic Duration: 2010–15. and 19 percentage points for the poor (from 28 to 47 percent) Vietnam’s population was around 86 million. minority, and all are significantly poorer than (Government of Vietnam 2012). Ethnic minorities accounted for an estimated 15 60 61 Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market Box 4: Classification of Ethnic Minorities Box 5: Excerpt from the Operational Manual for NMPRP–II (Groups with Populations of More Than 100,000) Some issues to be noted during village meeting: Name Language Family Primary Location Total Population • The language should be in ethnic language if it is convenient for most of the meeting participants. Kinh Viet-Muong Country-wide 73,594,427 • In case the meeting uses the national language, an ethnic interpreter should be arranged for people who Tay Tai-Kadai Northern Highlands 1,626,392 cannot speak Kinh language. Thai Tai-Kadai Northern Highlands 1,550,423 • The invitation should not be made urgently, and the subject should be clear for villagers to have enough time to think about it in advance. It should not be a general invitation only, for example “each family has Muong Viet-Muong Northern Highlands 1,268,963 one member go to the meeting’, because in such case, only the man in the family goes to the meeting Khmer Mon-Khmenr Southern Mekong Delta 1,260,640 and the woman has no chance to involve. So it should invite both wife and husband to go to the meeting Hoa Sinitic Urban centers, 823,071 and should encourage woman to attend. The greater number of women that attend the meeting, the mainly in Ho Chi Minh City better meeting is. Nung Tai-Kadai Northern Highlands 968,800 • If the village has a lot of citizens, it could organize 2 or 3 meetings. Because if each meeting has too many people (60–70 participants or more), the discussion could not be effective and managed. For Mong Miao-yao Northern Highlands 1,068,189 the village that does not have community hall, the meeting should take place in a suitable place. The Dao (Yao, Mien) Miao-yao Northern Highlands 751,067 sound should be loud enough for local people to catch all meeting contents. If it is possible, it should arrange some speakers to avoid someone cannot get clear information when they sit too far away or the Gia Rai (Jarai) Austronesian Central Highlands 411,275 chairman speaks too low, etc. E De (Rhade) Austronesian Central Highlands 331,194 Source: World Bank 2013. NMPRP–II Operations Manual Ba Na (Bahnar) Mon-Khnmer Central Highlands 227,716 San Chay Tai-Kadai Northern Highlands 169,410 Cham Austronesian Central and Southern Vietnam 161,729 that the state prioritize education and healthcare benefit significantly from the village investment for nationalities living in the mountainous regions projects since they could actively participate in all Co Ho (Koho) Mon-Khnmer Central Highlands 166,112 and for national minorities. As mentioned earlier, stages—from planning and implementation to Xo Dang (Sedang) Mon-Khnmer Central Highlands 169,501 poverty reduction gains have been unevenly supervision and monitoring and evaluation. San Diu Sinitic Northern Highlands 146,821 distributed among some populations and regions Moreover, no ethnic minority objected to the proj- Hre Mon-Khnmer Central Highlands 127,420 of Vietnam. The highest concentration of poverty ect activities. Thus, a participation framework was is among ethnic minorities living in rural areas developed as part of the project implementation Raglay Autronesian Southern Vietnam 122,245 that are difficult to reach. Thus, the region that manual to guide project consultation activities Mnong Mon-Khmenr Central Highlands 102,741 NMPRP-II covers has the country’s highest rate of and validate the participatory planning. Source: Government of Vietnam 2009. poverty. Table 1 illustrates poverty distribution in Vietnam and table 2 shows the composition of To design culturally sensitive project activities, ethnic minorities and their regional distribution. NMPRP-II built on findings from the report, percent of the population—more than 12 million All ethnic groups in Vietnam enjoy full citizenship “Country Social Analysis on Ethnicity and people. The cultural communities of Vietnam are and are protected with equal status under the law Development in Vietnam” (World Bank 2009a), 2.7.4 Process of Social Assessment and diverse, officially comprising 54 ethnic groups and and national constitution. According to Article 5 and the NMPRP-I’s project completion report, Consultation encompassing seven major language families from of the 2013 constitution, which included the good practices and lessons western Asia to the Pacific. The largest minority To better understand the needs and priorities of learned from implementation. A standalone social group—the Tay—has over 1.6 million members; “The State carries out a policy of equality, ethnic minority communities, a large number of assessment was not conducted because it was the smallest—the O Du—has barely 400 members. solidarity, and mutual assistance among all consultations with them were included in the proj- superseded by data collected during the intensive The ethnic minority groups share some things in nationalities and forbids all acts of national ect preparation phase. By the end of September consultation process and by other social studies. common; 75 percent of Vietnam’s minority popula- discrimination and division. Every 2009, the project team organized 280 commune However, social assessment elements were incor- tions live in two rural regions—the Northern nationality has the right to use its own and 2,168 village meetings. The villagers discussed porated in the project design, including: Mountains and the Central Highlands. There is language and system of writing; to preserve the priorities for project support of their commu- much internal diversity among minorities; they its national identity; and to promote its nities. Between 70–90 percent of village house- • “free, prior, and informed consultations” with vary tremendously in terms of assimilation and customs, habits, traditions, and culture.” holds attended the meetings. Women’s participa- ethnic minorities levels of economic success. Household income and tion was very high, reported at 40–50 percent. • evaluation of the potential impacts of the education levels among some groups, like the Tay The state implements a policy of comprehensive Consultation results confirmed that the ethnic project on ethnic minorities, carried out as part and the Muong, rival those of most Kinh, but some development and provides conditions for national minority beneficiaries were satisfied and they rati- of the studies noted above ethnic communities have no members who have minorities to promote their abilities and develop fied the project’s proposed range of activities. The • evidence that the affected ethnic minority com- received a tertiary education (World Bank 2009a). alongside the nation. Articles 58 and 61 designate ethnic minority beneficiaries were expected to munities provided broad support to the project. 62 63 Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market demographic and socioeconomic situation of the participating communes prior to project imple- mentation. The baseline information will be com- pared with impact evaluation data at the end of the project. 2.7.5 Results The project’s first two components are district economic development and commune development budgets. Representing approximately 80 percent of the project funding, they finance: • public infrastructure investments at the district level and small-scale infrastructure at the commune level for which villages and communes take direct responsibility • household-based livelihood support through the formation of “common interest groups.” Funding includes the development of common interest group skills, help to procure raw materials and extension services, and exploration of linkages with rural finance institutions and markets. Common interest groups are present in two subcomponents of the Commune Development Budget component, one with both men and Since the overwhelming majority—94 to 100 Across all ethnic minority groups, women are rec- women, and one for women only. Another percent—of direct project beneficiaries were ognized as being more impoverished than men. subcomponent under the district economic ethnic minorities (Government of Vietnam 2009), Therefore, the project enhanced the voice and development component also supports a larger increasing assured flow and benefits from the project itself was considered an Ethnic actions of ethnic women in three specific ways: (1) number of common interest groups who are in improved water quality. Minority Development Plan (EDMP) and no by promoting the separate prioritization of wom- partnership with agri-business. separate EMDP was needed. Instead, the plan’s en’s subprojects; (2) by requiring at least one of the The World Bank conducted a study during the elements were incorporated into the overall two village representatives on the commune de- Currently, NMPRP-II is in its fourth year of project’s mid-term review that demonstrated a project design including: velopment board be a woman and requiring that implementation. As a result of the project, the number of positive results. Project beneficiaries the head of the commune women’s union be the poor communities in the Northern Mountains reported high levels of satisfaction with the • carrying out consultations at an early stage of deputy chair of the board; and (3) by setting aside region improved their access to markets and project’s infrastructure program. The mid-term project design and continuing throughout the specific grant financing for women’s groups and services through the paving and upgrading of satisfaction rate of 85 percent exceeded the end- planning process, implementation, and activities under the commune development com- more than 4,230 kilometers of rural roads and the of-project target of 60 percent set in the results monitoring and evaluation stages ponent—20 percent of the component’s budget. construction of 3,250 kilometers of small bridges. framework. Focus group discussions conducted • documenting broad community support by The activities identified to support women’s Water flow to irrigation schemes has been with female beneficiaries supported this high ethnic minorities for the project groups included savings and credit activities; liter- improved to more than 9,000 hectares of farmland, satisfaction rate. There were corresponding high • building capacity of minority groups to ensure acy and numeracy training; linkages with govern- reducing the number of months of hunger for the levels of satisfaction with related indicators for that they participate in a meaningful way and ment institutions for the efficient delivery of ser- poor. Over 8,600 households now access improved access to productive infrastructure. Public service benefit from project activities vices; and information dissemination about water quality from the 126 schemes. Roads delivery satisfaction levels for all beneficiaries, • conducting public information campaigns in relevant social issues, such as drug addiction, provided both social and economic benefits, including women and ethnic minorities, were also local languages to address information barriers child education, child labor, and HIV/AIDS. mainly through reduced travel time, while quite high, some exceeding end-of-project targets • developing partnerships with NGOs who work irrigation developments led to increased rice and others well in excess of mid-term targets. with minority groups At the outset of the NMPRP-II, a survey was con- yields and reduced hunger for poor families. Achievements for market linkages were lower but • hiring commune facilitators belonging to the ducted to collect baseline information that would Community water supply schemes reduced still in excess of the mid-term targets. An targeted ethnic minority groups. provide a comprehensive overview of the workloads and improved family health by extensive capacity-building program has been 64 65 Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market Vietnam—Transitioning from Poverty in the Mountains to Prosperity in the Market implemented with over 25,000 trainees attending Key Factors of Success have their own written language. Ensuring that through village-based meetings by the project more than 600 courses. all beneficiaries have the opportunity to beneficiaries. This community-driven develop- Project design included principles of participate in project activities has required ment approach, in which village meetings are NMPRP-I demonstrated that to ensure community-driven development. the use of several communication methods. facilitated by commune officials, achieved very involvement and ownership by community Participatory planning methods enhanced Using commune facilitators with ethnic high levels of ethnic minority satisfaction. How- members, particularly ethnic minorities, and women’s participation in income-generating language skills to support each project ever, there is still room for improvement in com- adequate communication about project activities activities. commune led to improved communications munity planning, particularly for women. In is critical. Therefore, NMPRP-II has a specific Ethnic minority languages were used in with beneficiaries. Other methods used village addition, the main features that underpin the communications strategy, paying particular trainings and in communications materials. leaders and village meetings to inform community-driven development process were attention to dissemination of information in local Using commune facilitators with ethnic beneficiaries of project information. Project regarded as successful. Factors that have con- languages and other methods to better engage language skills to support each project survey data shows that leaflets, radio, and tributed to increased participation include the beneficiaries—e.g., through the innovative use of commune led to improved communications television are much less effective ways of transparency of investment budget information audio books and picture galleries. Another with beneficiaries. communicating with beneficiaries. and the quality of meeting facilitation. However, innovation was in the hiring of community Planning and implementation of project • Success of women-only farmer groups. language remains the main constraint to in- facilitators to support the communes. The interventions recognized social and cultural Developing women-only farmer groups around creased participation, especially for women. community facilitators were hired from differences between the different ethnic traditional farming activities was successful. predominant ethnic groups within each groups involved in the project. With project support, women commercialized Increased rates of participation in project commune. One criterion for their selection was A programmatic approach supported the traditional farming activities, such as pig activities by both men and women occurred over fluency in ethnic languages. Gender issues and principles of a community-driven development production and vegetable production. This the first three years of the project, reaching about cultural sensitivity were included in operations approach, participatory planning with result was consistent across most of the ethnic 80 percent by the end of the third year. This enhanced women’s participation, and the use manual for the project. The excerpt from the of ethnic minority languages in trainings and groups in the project. The women’s groups correlates with the increased awareness by the manual in table 3 illustrates this practice. communication materials. It also supported responded well to working together, sharing beneficiaries about the project and its activities. income-generating opportunities for ethnic information, and expanding their farming Through the use of village meetings and regular minorities by facilitating a transition from a activities. Income from the farming activities communication by commune facilitators and 2.7.6 Lessons Learned state-subsidized economy to one of market- was used to support the education of children associated information campaigns, beneficiaries Since 2010, the implementation of NMPRP-II has oriented producers, promoted the local culture and for vital time-saving home improvements. became more aware of the value of the project and yielded a number of important lessons on working of ethnic minorities, and the empowerment of • Empowerment and participation in planning and more able to participate in its activities. ethnic minority communities through ownership with the ethnic beneficiaries. While NMPRP-II is project activities. The final selection of invest- and management of the project investments still capturing lessons, the most important ones and local infrastructure development. ment priorities and decisions were made learned from the project results to date include: • Recognition of the great diversity of ethnic groups. Every ethnic group has different social well as other features of the various ethnic Key Results and cultural features and varying levels of groups. In livelihood development activities, 1. District socio-economic agricultural products and funded by the CIG members’ interaction with the majority Kinh population. ethnic groups such as the Muong, Dzao, and development. Over 426kms other inputs, thus improving reinvestment of their profits Ethnic groups also live in diverse locations, Thai responded well to commercial of road and 2,287m of bridges the farmers’ access to better showing initial signs of ranging from remote areas with limited opportunities due to a combination of their had been built or rehabilitated market. sustainability. improving physical connection infrastructure to areas much closer to roads, closer integration with the Kinh people, their 2. Commune development 3. Capacity building for central for remote and disconnected budgets. 623,950 households and local officials and the cities, and towns. Some groups—for example, use of the Kinh language, and their more villages; over 8,220 ha of the H’Mong and La Hu—live high on hillsides, adjacent location to link roads and main towns. have benefitted from over strengthening of community rice field had been irrigated; 18,170 sub-projects and over planning. Training courses where access to any road is limited. Across the Other ethnic groups, such as the Nhang and over 11,480 households 90,000 households received in group management, project region, there is a wide variety of Cong, live in more remote areas where the had improved access to support to improve their group financial management, economic development. Some of the project potential for socioeconomic development is domestic water and a number livelihoods and incomes. natural disaster management provinces, such as Dien Bien and Lai Chau, have limited due to their social, economic, and of market places had been 59% of the Common Interest and asset safeguarding for low levels of economic development, mostly due physical isolation. constructed to help improved Groups started raising farmers have been provided the trade activities for livestock raising and have to over 75,000 people of to their distance from larger economic centers • Improved communication through the use of villagers’ agricultural products. and a lack of infrastructure. ethnic languages. Low literacy is a prevalent completed the first production whom 83.6% were from ethnic This helped increase the cycle with successive minority groups and 32.1% • Planning and implementation of project feature of all ethnic groups, especially among number of traders coming to production cycles have been were women. interventions must recognize the differences the older members. Communication is also the villages to buy and sell between social and cultural characteristics as constrained because only a few ethnic groups 66 67 Philippines—Educational Policy Reform Working for Indigenous Peoples Philippines—Educational Policy Reform Working for Indigenous Peoples Project at a Glance geting schools and their communities, encom- construction of classrooms in underserviced passing individual parents; the parents, teachers, areas of southern Philippines. The project was designed to improve quality and community association; local government; and equity in learning outcomes in basic the private sector, and nongovernmental organi- education for all Filipinos. 2.8.3 Indigenous Peoples in the zations (NGOs). Components: (1) strengthen school-based Philippines 2. Support for improving teacher effectiveness management; (2) improve effectiveness of through two major policy interventions: (1) re- There are indigenous peoples living in most areas teaching; (3). enhance quality; and (4) promote fining current work on teacher competency of the Philippines, but the majority live in equity through standards, assessments, and standards and applying them to performance Mindanao (about 60 percent) and North-Central the support of effective resource mobilization. appraisal, training needs, promotions, hiring Luzon (about 30 percent). There are no accurate Financing: US$200 million (World Bank). practices, preservice training, and licensing; and census data regarding the total number of Duration: 2007–12. (2) equitable distribution of teachers across indigenous peoples, but estimates are around 9 schools through the application of the principle million (out of a total population of 90 million), of improved teacher deployment, including a distributed among 110 ethno-linguistic groups.19 hardship allowance for teachers at remote or The 1987 constitution adopted the term indigenous peoples. The framework, adopted in hard-to-staff schools. “indigenous cultural communities,” and in 1997, 2011, continues to be institutionalized through its 3. Support for a standards-based approach for the term “indigenous peoples” was added, so that implementation and development of supplemental addressing the growing disparities in both in- the official term today is “indigenous cultural guidelines and programs, with similar efforts puts and outcomes of basic education. To miti- communities/indigenous peoples.” currently being undertaken in other sectors. For gate the risk that school-based management example, the Department of Health issued an could exacerbate inequities among communi- The Philippines has a well-established and indigenous peoples health policy through a ties because well-resourced communities are proactive approach to issues relating to indigenous memorandum circular, and the Social Welfare and better placed to support school-level interven- peoples. The Indigenous Peoples Rights Act was Development Department is in the process of tions, the project strengthened outcome moni- enacted into law in 1997 and the National preparing a department-wide policy on indigenous toring and provided tailored support for the Commission on Indigenous Peoples (NCIP) was peoples. These initiatives were partly triggered by particular needs of poorer communities or created the same year. The NCIP is an independent positive experiences in applying the World Bank’s poor-performing schools. commission under the Office of the President that Policy on Indigenous Peoples (OP 4.10) for the 4. Support for improving budget planning and appoints seven members representing indigenous World Bank-financed KALAHI-CIDSS (Kapit-Bisig management as well as resource mobilization. peoples from different ethnographic areas. The 2.8. Philippines—Educational Laban sa Kahirapan or Comprehensive Integrated Integrated demand-side financing into the commission is responsible for the formulation and Policy Reform Working for Delivery of Social Service) and Social Welfare and DepED’s budget was aimed at improving the implementation of policies, plans, and programs to Indigenous Peoples Development Reform projects. effectiveness of existing interventions and promote and protect the rights and well-being of promoting strategies where schools took indigenous peoples. initiatives to provide access and encourage 2.8.1 Introduction 2.8.2 Project Description retention for needy or vulnerable children as part The Indigenous Peoples Rights Act provides The National Program Support for Basic Education The project development objective was to improve of school improvement planning. indigenous peoples with customary rights to their (NPSBE) in the Philippines reinforced the Filipino quality and equity in learning outcomes in basic ancestral domains and stipulates that they have the government’s efforts to reform the education education for all Filipinos. The project assisted the The Australian Agency for International right to participate in decision making concerning sector, including attempts to enhance community Department of Education (DepED) in Development (AusAID) provided grant funding all matters potentially affecting their lives. With participation and improve educational implementing sector reforms through financing for a parallel project administered by the World regard to education, Section 28 provides: achievements. An Indigenous Peoples Planning priority items under four components drawn from Bank in support of the outcome of NPSBE. The Framework (IPPF) was developed that included the Basic Education Sector Reform Agenda Basic Education Reforms Project (SPHERE) “the State shall, through the NCIP, provide a several proactive measures to support the (BESRA) of the Philippines: provided funding for policy formulation and its complete, adequate, and integrated system of participation of indigenous peoples in the application for the delivery of demand-side education, relevant to the needs of the management of local schools and to improve 1. Support for the development and implementa- interventions (e.g., school feeding programs), children and young people of indigenous education services in indigenous communities. tion of school-based management in line with public/private partnerships (e.g., government cultural communities/indigenous peoples.” the Governance of Basic Education Act of 2001. assistance to students and teachers in private The principles and elements of the project’s IPPF School-based management formed a central education), school-based management grants for 19  See NCIP’s website for more information on the Indigenous were instrumental in facilitating the development pillar of DepED’s emphasis on decentralization school improvement plans targeting Peoples Rights Act and indigenous peoples in the Philippines: of a national education policy framework for and meaningful community participation, tar- disadvantaged elementary schools, and http://www.ncip.gov.ph. 68 69 Philippines—Educational Policy Reform Working for Indigenous Peoples Philippines—Educational Policy Reform Working for Indigenous Peoples the World Bank-financed NPSBE, and the IPPF. and prepare curriculum guides and instructional The participants expressed appreciation for the materials for teachers based on the particular consultative process and strongly recommended context of a given indigenous group. that similar consultations be carried out • Hire and train teachers from indigenous throughout project implementation. The IPPF and communities. a social marketing and change management plan20 • Use local languages when teaching. were formulated to ensure broad participation • Facilitate the provision of appropriate facilities, during project implementation. equipment, and materials. • Conduct continuing research and The consultations and social assessment revealed documentation; establish and maintain that poor achievement and high drop-out rates databases on indigenous knowledge and among indigenous peoples prevail for a number of advancement. reasons, including the high cost of education; • Adopt flexible schedules to provide for subjects curricula that is not adequately relevant to real life that directly include content about indigenous experience; a lack of teachers or poor performance peoples and use a sliding school calendar to by them, including an inability to handle the reflect the circumstances and socioeconomic particular issues and needs of indigenous peoples; conditions of specific indigenous communities. inaccessible and inadequate physical facilities and • Develop and maintain a separate budget for the instructional materials; incomplete schools in indigenization of curricula to ensure the sustain- remote areas (only grades 1–3 or 1–4); and ability of support. difficulty in learning due to the prevalent use of a second language and what is perceived as harsh 2.8.5 Key Project Design Aspects disciplinary methods that are counter to indigenous cultures. The project addressed many of these issues in its design and as input into the national reform Key recommendations identified during project agenda, which addressed both quality and equity preparation concerning indigenous peoples and and which sought to enhance learning outcomes, their priorities as they relate to education include: especially for poor and disadvantaged groups such Section 30 asserts: Bank. The preparation of NPSBE comprised a social as indigenous peoples. The mechanisms to ensure assessment and consultation process with • Provide instruction with the primary aim of participation of indigenous peoples and to address “State shall provide equal access to various indigenous communities and NCIP. The increasing the capacity of indigenous children their particular concerns were provided in the cultural opportunities to the indigenous stakeholders’ views were systematically analyzed for national and global understanding and IPPF, which was designed to comply with the cultural communities/indigenous peoples and further consolidated as part of preparatory participation while allowing them to preserve Indigenous Peoples Rights Act as well as the World through the educational system, public or studies. The study findings were used in formal and take pride in their indigenous cultural Bank’s policy on indigenous peoples. The private cultural entities, scholarships, grants, communications and consultations with a broad heritage and identity. overarching strategy of the IPPF was to and other incentives without prejudice to their range of stakeholders, including local government • Allow indigenous peoples to take active roles in mainstream indigenous peoples needs and right to establish and control their educational officials; teachers; parent, teacher, and community identifying what children should learn and to priorities into various aspects of basic education systems and institutions by providing associations; student organizations; indigenous participate in designing and implementing reform. Specifically, the IPPF outlined the education in their own language, in a manner peoples’ organizations; agencies for corporate curricula. mechanisms for the participation of indigenous appropriate to their cultural methods of social responsibility; and civil society • Use indigenous resources for teaching-learning peoples during project implementation, including teaching and learning. Indigenous children/ organizations. Some of the consultations, including processes, including using tribal elders and through participatory assessments and youth shall have the right to all levels and those with local indigenous peoples’ leaders as “living libraries” and resource persons. consultations, leading to the preparation of forms of education of the State.” representatives, focused on the specific measures • Adopt culture-based content and learning Indigenous Peoples Plans for participating schools for indigenous peoples included in the IPPF. The modes, including indigenous learning systems, with students from indigenous communities. DepEd incorporated feedback from these 2.8.4 The Process of Social Assessment consultations into the Bank-financed project design The project was designed to improve access and and Consultation 20  Social marketing is an approach used to develop activities as well as the reform program. aimed at changing or maintaining people’s behavior for success for poor and disadvantaged students by The government’s reform process involved a series the benefit of individuals and society as a whole. Change making the system more responsive to their needs management is the application of a structured process and set of of consultative workshops with a range of Based on the consultation reports, there was tools for leading the people side of change to achieve a desired and by mobilizing the resources of parents, stakeholders at all levels, supported by the World overall acceptance of the national reform agenda, outcome. communities, and local governments in 70 71 Philippines—Educational Policy Reform Working for Indigenous Peoples Philippines—Educational Policy Reform Working for Indigenous Peoples partnership with schools and learning centers. The 2.8.6 Implementation school-based management approach allowed local stakeholders to participate in setting priorities The project supported the national education within school improvement plans and to monitor reform process for developing broad multisectoral outcomes, thus enhancing social accountability. participation in school-governing councils, Such stakeholder participation renders basic including representation from civil society education more responsive to the needs of organizations and disadvantaged sectors such as disadvantaged groups, such as indigenous peoples. the indigenous peoples. Operational guidelines This involves options for enhanced alternative were developed on member roles and learning systems21 adapted to the specific contexts responsibilities with the aim of preventing elites of local schools and their student populations. from dominating the councils. Participatory Local stakeholders are expected to build collective decision-making tools and processes were responsibility for harnessing local resources, not adopted and developed into operational manuals only for education, but also for other related to assist with implementation in schools. The services, such as health, nutrition, and early manuals ensured equity and social inclusion and childhood development. These participatory contained specific references to indigenous approaches demand new ways of thinking and peoples, people with disabilities/special needs, more time and effort from school staff members and gender equality. who are more accustomed to acting on official DepEd orders. Mobilization and capacity-building activities were conducted to develop competency among Measures to manage these significant changes disadvantaged families and communities for included capacity building for school heads and participatory situation analysis, planning, staff; development of participatory tools and budgeting, and resource mobilization. This was mechanisms to ensure meaningful representation undertaken in coordination with other in school governing councils or Parent-Teacher- departmental units of local government, Community Associations as well as more particularly those with responsibility for responsive and equitable school improvement community-based activities. An inventory of The monitoring and evaluation framework was piloting of mother-tongue and multilingual educa- plans; social marketing activities to advocate for potential partners, such as civil society designed to track social development outcomes of tion in 20 ethnic/dialect languages in 921 schools more responsive support from local governments organizations, was developed to identify the project through a breakdown of performance nationwide, and the development of materials for through their mandated special education funds opportunities for resource mobilization, external indicators by gender, region, and education level. teaching and learning in the 12 main languages and internal revenue allotments; forums and monitoring, and community mobilization. Categories of major disadvantaged groups (e.g., (Tagalog, Ilokano, Pangasinense, Kapampangan, information exchange activities to encourage indigenous peoples, persons with disabilities, and Bikol, Cebuano, Hiligaynon, Waray, Maranao, feedback and critical analysis from various local School officials and staff participated in capacity- students with special needs) were monitored Maguindanao, Yakan, and Chavacano). Some of stakeholders; the building of institutional linkages building activities to develop relevant and through selected qualitative studies of the impact these are the languages of indigenous peoples; and networks with organized civil society responsive participatory management of the reforms on at-risk subgroups. Performance others are regional languages spoken by indige- organizations, including NGOs, private groups, competencies. School performance monitoring indicators also measured participation in school- nous peoples who speak two or more languages. and community-based organizations; and the was also performed in a participatory fashion to based management and its effectiveness on a enhancement of local reporting to highlight the promote transparency and social accountability range of local activities and functions.22 DepEd also supported the issuance of guidelines importance of local stakeholder participation in among local stakeholders. Guidelines were for the Philippines’ Response to Indigenous monitoring for accountability. developed for schools to report to their These are all design and implementation features Peoples’ and Muslim Education Program. This communities through a school report card as well that improved participation and, subsequently, program involves demand-driven funding to as through school/community assemblies. School education outcomes for indigenous peoples. Other support indigenous peoples’ educational needs. It report cards included information on inputs activities that were more directly targeted toward has undertaken a baseline survey on the 21  The alternative learning system is a ladderized, modular, against minimum service standards to encourage indigenous peoples included the development of educational situation in indigenous and Muslim nonformal education program in the Philippines for dropouts of elementary and secondary schools, out-of-school youth, community advocacy for the equitable provision programs for alternative learning systems, the households in southern Philippines; a review of nonreaders, working Filipinos, and even senior citizens. It is of resources and information on outcomes to standards for the recognition and accreditation of part of the education system of the Philippines but serves as an ensure school-level accountability for the effective 22  Results for school-based management in general as well private schools for indigenous peoples; the alternative to regular classroom studies that require students to as school report cards, for instance, have been impressive with attend on a daily basis. The alternative system allows students to use of resources. the nationwide roll-out. Additional analysis, however, must be development of a national curriculum framework choose schedules according to their preferences and constraints. undertaken to identify more specific project outcomes. on indigenous peoples’ education at the 72 73 Philippines—Educational Policy Reform Working for Indigenous Peoples Philippines—Educational Policy Reform Working for Indigenous Peoples kindergarten, elementary, and high school levels; The technical working group is also credited with support and assist in pulling together other donors and guidelines and standards for the development increasing awareness within DepEd regarding the Key Factors of Success in support of common goals. of indigenous learning materials. educational situation of indigenous peoples. It The principles and elements of the Indigenous undertook an inventory of past and existing Peoples Planning Framework (IPPF) helped Key lessons learned include: A common constraint for providing educational policies and programs on indigenous peoples’ facilitate the development of a national services in areas with indigenous peoples is a lack education and conducted a series of subnational education policy for indigenous peoples. • Continued efforts during implementation of the of teachers, especially qualified ones. To address and regional consultations with key educational The timing was right to work with the govern- project and its IPPF were essential to the proj- this challenge, an educational training plan was stakeholders and indigenous peoples, which ment in the process of education policy reform. ect’s positive outcomes for indigenous peoples. provided for teacher and education managers that resulted in an education information system that The participatory social assessment and The IPPF included sound best practices principles specifically concerned education for indigenous included indigenous peoples disaggregated consultation process and findings were used and elements for providing culturally appropriate peoples and allocation of hardship allowances in education data. in formal communications and meetings with benefits to indigenous peoples and for the active hard-to-staff schools. Training was provided for local government officials; parent, teacher, and participation of their representatives. However, it 2,557 kindergarten and first-grade teachers in With the adoption of the policy framework, the community associations; indigenous peoples’ did not provide much detail about how these prin- mother-tongue and multilingual teaching Indigenous Peoples Education Office was organizations; and corporate responsibility agen- ciples and elements were to be implemented. This cies, leading to the incorporation of participation methodologies. According to the implementation established within DepED to implement the necessitated the active participation of the World by indigenous peoples in the project design and completion and results report, evidence suggests framework and, beginning in 2013, a permanent their acceptance of the national reform agenda, Bank’s task team and the establishment of owner- that the allocation of the hardship allowance indigenous peoples education program was the project, and the IPPF. ship and institutional arrangements with DepEd provided to multi-grade teachers ensured that they included as a specific line item in the annual to figure out details during project implementa- Social marketing and change management remained in hardship posts. DepED budget. The office has subsumed and activities ensured broad participation in local tion. Achieving the results discussed in this case institutionalized the thrust and objectives of the school management during project implemen- study required significant time and resources, a These are all impressive achievements for an technical working group, which was previously an tation and the improvement of indigenous peo- continued dialogue between the World Bank and education project addressing indigenous peoples’ ad hoc and temporary body created to support ples’ community education services. DepEd, and a good working relationship between issues as part of a broad reform program. However, BESRA. Currently, the office has an annual budget Government commitment and a best practice the World Bank task teams, the DepEd, and NCIP. these successes would not have been possible of US$2.5 million. institutional set up for implementation through • Sound institutional arrangements for imple- without the government’s commitment and the establishment of a technical working group menting the IPPF and related activities were without the best-practice institutional set-up. The implementation completion and results report on indigenous peoples and Muslim education instrumental in achieving good outcomes. The During the implementation of NPSBE, a technical of NPSBE found that the project was satisfactorily increased awareness of issues affecting indige- IPPF provided a flexible and collegial instrument nous peoples within the education department. working group on indigenous peoples and Muslim carried out in accordance with the IPPF and the to promote the inclusion of indigenous peoples, education was established to support BESRA, the Indigenous Peoples Rights Act, and the Joint donor funding and supervision missions but this instrument had to be translated into reform process, and NPSBE. The working group was achievements discussed above were also were conducted. clear action plans within the context of the insti- initially constrained by a limited budget and lack of recognized. The World Bank project tutional mandate and organizational realities. secretariat support, but due to recommendations Implementation and Completion Report also The implementation of an IPPF or an Indigenous from World Bank supervision missions, the DepEd noted strong support from and coordination with Peoples Plan requires ownership and the desig- provided the appropriate level of support. other donors. In July 2007, AusAID gave an AUD$41 nation of an internal entity or focal team with full 2.8.7 Lessons Learned million trust fund (Basic Education Reforms authority and an adequate budget. For NPSBE, The technical working group was instrumental in Project or SPHERE) to support BESRA and NPSBE assisted the Government of the Philippines the establishment of the technical working group pushing for the National Indigenous Peoples complement NPSBE project activities. The World in moving toward a more participatory education- on indigenous peoples was instrumental in the Education Policy Framework (DepED Order No. Bank administered the trust fund. Subsequently, all al system through particular measures and ar- development of the National Indigenous Peoples 62), issued in December 2011. The policy supervision missions were jointly conducted with rangements for improving educational outcomes Education Policy Framework. It improved and framework was aimed at ensuring that indigenous AusAID; other donors, such as the German Federal of indigenous peoples and other marginalized institutionalized attention to the particular peoples’ basic education concerns and needs were Enterprise for International Cooperation, the communities. The project came at an opportune needs and priorities of indigenous peoples. taken into consideration as part of the Asian Development Bank, the Japan International time, when the government was in the process of • The establishment of the Indigenous Peoples implementation of BESRA. It stressed the Cooperation Agency, UNICEF, and USAID, also reforming its education policies to enhance civil Education Office has further strengthened these principles of participation, inclusion, and participated in select missions. This attests to the society and local community involvement and to efforts. The office has led the development of empowerment, and it recognized that education efforts made by the DepED and the World Bank to make education more equitable and efficient. specific supplemental policies and guidelines on could be a means to realize the human rights of implement the project in a participatory and These objectives were a good fit with the aims and various issues, including the curriculum for in- and fundamental freedoms for indigenous peoples. inclusive way, which ultimately helped streamline principles of the World Bank’s indigenous peoples’ digenous peoples and the recognition of private In part, the policy framework was developed with donor interventions in the education sector in policy and general development goals. When such learning institutions serving indigenous peoples. support from NPSBE; it also built on some of the support of BESRA. alignment exists, the Bank can provide useful The national policy framework and the estab- elements and principles of the project’s IPPF. lishment of the special office for indigenous peo- 74 75 Philippines—Educational Policy Reform Working for Indigenous Peoples Our People, Our Resources: Striving For A Peaceful And Plentiful Planet—Case Studies Report 3. Conclusions and Recommendations 3.1 Key Elements of Successful representatives to participate on an equal Projects footing with government agencies in regard to all aspects of the project, and it usually enhances This report discusses good practices and lessons their understanding, involvement, and learned concerning indigenous peoples’ develop- ownership of project activities. ment as illustrated in a number of Bank-financed 3. The legalization and management of ancestral projects that have had positive impacts on indige- lands and natural resources is critical to nous peoples on land rights and management, development for most indigenous peoples who ples have established a space for continuous dia- a World Bank project safeguards instrument to a economic development and sustainability, gover- commonly conceive of land as a sacred collective logue and cooperation between the government, sector-wide policy. The project illustrates how nance and institutional strengthening, and public possession critical to their cultural and indigenous peoples, and other stakeholders in key objectives and elements of the Bank’s policy policy and country systems. economic survival, not as property that can be the education sector. The office for indigenous on indigenous peoples can support achieve- bought and sold as a commodity. When their peoples has become an important entry point ments that go well beyond the scope of a partic- While issues and good practices concerning land is gone, so is the basis for their existence as for indigenous peoples to engage with the ular project, providing long-lasting benefits to indigenous peoples’ development tend to be distinct peoples. By contrast, when secure tenure DepED. For example, the office receives com- indigenous peoples through direct support to project specific due to the particular to communal territories exists, it is easier to plaints from indigenous peoples concerning indigenous communities and policy reforms that circumstances of specific indigenous peoples and achieve development objectives. issues such as discrimination in schools and recognize their particular issues and concerns. to country contexts, the case studies identify a 4. Strong forms of governance and social organiza- requests from indigenous communities wanting • Active involvement of indigenous peoples’ orga- number of key factors for sustainable indigenous tion enable indigenous communities to mobilize to establish private schools. These ongoing is- nizations and communities improved project peoples’ development that can be applied to other and act. Building social capital has been identi- sues can now be more easily identified, priori- outcomes, informed policy reforms, and built similar cases or situations: fied as an integral component of social and eco- tized, and resolved within the context of im- broad support for policy reforms. The project nomic development for indigenous peoples be- proved and advancing indigenous education. supported the active involvement of NCIP and 1. The development of culturally appropriate cause it enables them to plan and manage their • Budget support projects provide strategic op- consultations with indigenous peoples’ organi- project designs based on a well-designed social own development initiatives. Several of the case portunities to mainstream project-specific safe- zations and communities to inform—along with assessment that includes an institutional and studies identify institutional strengthening of guards for indigenous peoples into broader sec- targeted social analysis—project preparation stakeholder analysis, consultations, and the indigenous peoples’ organizations and institu- toral agendas that pro-actively address issues and implementation. This helped the push for active participation of indigenous peoples’ tions as a good practice. and concerns pertinent to indigenous peoples. national policy reforms on particular issues, communities and organizations in project 5. When governments have clear, enforceable The project was the first World Bank-financed needs, and priorities of indigenous peoples. The preparation. policies and legal frameworks that protect the education project to be mainstreamed into a concrete design features and implementation 2. Participatory arrangements in project design rights of indigenous peoples, or when they have country system for implementation. The nature activities have been formulated and implement- and implementation tailored to the specific enacted sectoral policies—on education, health, of the project—sector reform—and the type of ed with indigenous peoples’ representatives, and political, social, and cultural contexts of and territories, as examples—that clearly benefit financing instrument—budget support—were their support for the project and the national indigenous organizations and communities. This indigenous peoples, project outcomes are enabling factors in moving the IPPF from being education reform process is strong. is essential factor enables indigenous enhanced and bring broader and longer-term 76 77 benefits. Good practices for policy reforms • More in-depth analysis and the broad include awareness raising, assessing past and dissemination of these and other cases could existing policies, and conducting extensive identify additional issues and lead to an consultations with indigenous peoples and increased understanding of factors affecting the other relevant stakeholders. successful outcomes for indigenous peoples in 6. Indigenous peoples seek improvement to their development programs and projects, enabling economic and social well-being, just like other better adaptation to different contexts. This population groups. But, because indigenous could include: peoples are commonly marginalized and often - Assessing indigenous peoples’ issues in the exhibit distinct socioeconomic and cultural larger context of social inclusion and vul- characteristics, projects supporting economic nerability (e.g., in community-driven devel- development for indigenous peoples should be opment projects targeting indigenous com- tailored to particular circumstances. The case munities among other communities). studies identify good practices through eth- - Questions might include: What are the best no-development, development with identity in institutional arrangements? How best can appropriate contexts, participatory approaches, space be created for indigenous peoples? and tailored investments. How can conflicts with other communities be avoided? How can conflicts that do arise 3.2 Recommendations be solved? - Identifying entry points and leverage to Full-page photo The case studies discussed in this report present a ensure that indigenous peoples benefit sample of good practices and lessons learned from from development policies, programs, and Bank-financed projects for effective projects. implementation of OP 4.10 and for the sustainable - Assessing political economy and other development of indigenous peoples. This factors that influence and inform the preliminary effort is intended to support a broader actions of government and other plan and long-term effort to improve the stakeholders concerning indigenous peoples socioeconomic circumstances of indigenous development or development in areas with peoples and their participation in development indigenous peoples. through better Bank-financed projects and • Prepare training material based on specific case support to developing countries and indigenous studies included in this report concerning indig- peoples’ communities and organizations. To enous peoples’ development and the application advance these goals, the following actions are of the Bank’s policy on indigenous peoples. recommended: • Expand the identification and documentation of case studies to provide more in-depth discus- sions of good practices and lessons learned con- cerning indigenous peoples’ development. This would, inter alia, support the ongoing Global Dialogue and Engagement Process with indige- nous peoples; aid in the development of specific models, strategies, and approaches for sustain- able development for indigenous peoples, and inform the development and delivery of training for Bank staff and borrower implementing agen- cies on indigenous peoples’ development and the application of the Bank’s policy on indige- nous peoples. 78 References Alliance Masyarakat Adat Nusantara (AMAN) and World Bank. 2014. “Indonesia: Mapping Communities and Resources Griffiths, Thomas, and Marcus Colchester. 2000. “Indigenous Peoples, Forests and the World Bank: Policies and Empowering Indigenous Peoples’ through Mapping of Customary Lands and Indigenous Territories.” Presentation at Practice,” Synthesis paper, Forest Peoples Program, Bank Information Center. 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