44300 The Role of Indigenous Peoples in Biodiversity Conservation The Natural but Often Forgotten Partners THEWORLD BANK The Role of Indigenous Peoples in Biodiversity Conservation The Natural but Often Forgotten Partners Claudia Sobrevila Senior Biodiversity Specialist May 2008 Author: Claudia Sobrevila Graphic design: The Word Express, Inc. Editing: Ellen Kwiatkowski & Linda Starke Administrative support: Grace Aguilar Copyright © 2008. The International Bank for Reconstruction and Development / THE WORLD BANK 1818 H Street, N.W. Washington, D.C. 20433, U.S.A Papers in this series are not formal publications of theWorld Bank.They are circulated to encourage thought and discussion. The use and citation of this paper should take this into account. The views expressed are those of the author and should not be attributed to the World Bank. Copies are available from the Environ- ment Department of the World Bank by calling (202) 473-3641. Photos courtesy of: Claudia Sobrevila, Adalberto Dominguez, Instituto Rais (El Salvador). " I do not see a delegation For the four-legged. I see no seat for the eagles. We forget and we consider Ourselves superior. But we are after all A mere part of Creation. And we must consider To understand where we are. And we stand somewhere between The mountain and the Ant Somewhere and only there As part and parcel Of the Creation. Chief Oren Lyons Source: Steve Wall and Harvey Arden, Wisdomkeepers, Beyond Words, Hillsboro, 1990, p. 71. "The more deeply I search for the roots of the global environmental crisis, the more I am convinced that it is an outer manifestation of an inner crisis that is, for lack of a better word, spiritual... what other word describes the collection of values and assumptions that determine our basic understanding of how we fit into the universe?" Al Gore, Source: Al Gore, Earth in the Balance, Plume, New York, 1993, p. 12. "The Indians feel...but they cannot help. They are too small in culture. They are too small in the essence of the world. Their help is their being and culture. Combined they are a minority. In combination they are faith--a faith of earth. Let them push their being, their earth and their love of themselves to help those who took their earth and their being" Anonymous Source: Ricardo Humano, The New Book, SOAR Ediciones, Cusco, Peru, 2000, p.23 iii Abbreviations and Acronyms ACU Areas of Cultural Use ANPN National Agency of National Parks (Gabon) BCM Biodiversity Conservation and Management BP Bank Procedure BPM Beneficiary Participation Manuals CABI Capitania del Alto y Bajo Isozu (Bolivia) CBD Convention on Biological Diversity CCA Community Conservation Area COMSTEC Community Managed Sarstoon Temash Conservation Project (Belize) DRC Democratic Republic of Congo EIA environmental impact assessment FIEB Federation of Indigenous Peoples of Bolivar State FSP full size project GEF Global Environment Facility GNPAS Guyana National Protected Areas System IBRD International Bank for Reconstruction and Development IDA International Development Association ILO International Labour Organization INRENA National Institute of Natural Resources (Peru) IP Indigenous People IPDP Indigenous Peoples Development Plan IUCN World Conservation Union LAC Latin America and the Caribbean The Role of Indigenous Peoples in Biodiersity Conseration Lao PDR Lao People's Democratic Republic MEFEPEPN Ministry of Forest Economy, Water, Fisheries, and Environment, in charge of Nature Protection (Gabon) MSP medium sized project NBCA National Biodiversity Conservation Area (Lao PDR) NGO Nongovernmental Organization NPA National Protected Area OD Operational Directive OED Operations Evaluation Department OP Operational Policy PROFONANPE Peruvian Trust Fund for National Parks and Protected Areas PSFE Forest, Fisheries, Biodiversity and Environment Sector Program (Gabon) RFTF Rain Forest Trust Fund SATIIM Sarstoon Temash Institute for Indigenous Management (Belize) TBA Traditional Birth Attendants UNDP United Nations Development Programme VHW Village Health Workers VCMU Village Conservation Monitoring Units (Lao PDR) VNP Virachey National Park (Cambodia) WB World Bank WBG World Bank Group i Contents Acknowledgments ix Executive Summary xi 1 Introduction 1 2 The Bank Biodiversity and Indigenous 13 Peoples Portfolios 3 Lessons Learned from Biodiversity and Indigenous 29 Peoples Projects 4 Synthesis and Recommendations 43 5 Bibliography 55 Annexes ANNEX 1: UN Declaration of the Rights of Indigenous Peoples, 61 September 2007. ANNEX 2: World Bank OP and BP 4.10 on Indigenous Peoples, 71 July 2005. ii Acknowledgements T his paper summarizes the World Bank's efforts to support the partici- pation of Indigenous Peoples in Biodiversity Conservation programs and projects. It was prepared by Claudia Sobrevila, Senior Biodiver- sity Specialist in the Environment Department of the World Bank. I am immensely grateful to Jean Fanfan, Marielena Gutti and Valerie Hickey, who carried out the research and analysis of the Bank portfolio, and to Kathy Mackinnon, Michele De Nevers, Laura Tlaiye, Claudia Alderman, Esther Camac, Chris Parel, Anthony Anderson, Alfredo Sfeir-Younis, Yoko Watanabe, Carine Clert, and Karen Luz, who provided very useful comments during the research and review process. Thanks are also extended to Navin Rai, Gabriela Arcos, Adriana Moreira, Giuseppe Topa, Juan Martinez, David Cassells, Elisson Wright, Gunars Platais, Martin von Hildebrand, Marieke Van Dorn, Rebecca Adamson, Peter Poole, George James, Alonso Zarzar, Jorge Uquillas, Elena Correa, Maria Elena Castro, Juan Pablo Ruiz, Dan Aronson, and many other colleagues. I am grateful to Ellen Kwiatkoski and Linda Starke for editing the manuscript and to Grace Aguilar for her support in all administrative tasks related to finalizing this report. Special thanks are extended to Ricardo Humano for his support with the graphics. I would like to acknowledge the indigenous peoples who crossed my pro- fessional and personal paths and who inspired me to look more deeply into the issues of nature conservation and the roles that indigenous peoples have played and continue to play--in particular, Lama Gangchen Rinpoche, Demo Gonsar Rinpoche, Fermin Gomez, Maria Eugenia Aguilar, Myrna Cunning- ham,MaryLouie,RhondaWeitzel,JulioReyesAguilar,MariaEugeniaChoque, Emperatriz Cahuahe, Florinda Lopez, Esther Camac, Sebastian Jansasoy, Angela Perez, Geraldine Standup, Michael Standup, Jean Reddemann, Roy Reddemann, Fernando Huanacuni, Paola Caballero, and Floridalba Akabal. ix Executive Summary A principal aim of this study is to get a better sense of what the World Bank(WB)needstoknowinordertoengageIndigenousPeoples(IPs) more effectively in biodiversity conservation projects and programs. It is in this sense that the reporting is geared to Bank Task Team leaders, ad- visors, directors, and managers and also government and nongovernmental organization (NGO) personnel engaged in biodiversity conservation pro- grams. Indigenous peoples might also benefit from the report´s presentation of tools to seeking international funding for biodiversity-related activities in their ancestral territories. In addition, the report assesses some of the current forms of engagement with indigenous peoples in biodiversity and identifies concrete recommendations for improving that engagement. These recommendations will give Bank management an opportunity to lead the way among many development agencies and governments toward different forms of engaging indigenous peoples; respecting and realizing the rights to their territories, culture, and spirituality; enhancing their environment and development; and satisfying the IPs' aspirations contained in the United Na- tions Declaration on the Rights of Indigenous Peoples. The report's findings are relevant to other Bank's programs such as the Climate Change strategic framework and the Carbon Finance initiatives and can be used to incorpo- rate the lessons learned from 18 years of biodiversity portfolio experience into these new programs. The findings of this report support the contention that engaging IPs more effectively in biodiversity conservation represents a win-win situation, as the following concrete examples illustrate: · Expanding Beyond National Parks. Many or most of the world's major centers of biodiversity coincide with areas occupied or controlled by xi The Role of Indigenous Peoples in Biodiersity Conseration Indigenous Peoples. Traditional Indig- of knowledge to the many solutions that enous Territories encompass up to 22 will be needed to avoid or ameliorate percent of the world's land surface and those effects. For example, ancestral ter- they coincide with areas that hold 80 per- ritories often provide excellent examples cent of the planet's biodiversity. Also, the of a landscape design that can resist the greatest diversity of indigenous groups negatives effects of climate change. Over coincides with the world's largest tropical the millennia, Indigenous Peoples have forest wilderness areas in the Americas developed adaptation models to climate (including Amazon), Africa, and Asia, change. They have also developed genetic and 11 percent of world forest lands are varieties of medicinal and useful plants legally owned by Indigenous Peoples and and animal breeds with a wider natural communities. This convergence of biodi- range of resistance to climatic and eco- versity-significant areas and indigenous logical variability. territories presents an enormous op- · Complying with Agreed Policies. Focus- portunity to expand efforts to conserve ing on Indigenous Peoples´ leadership is biodiversity beyond parks, which tend to consistent with the World Bank's imple- benefit from most of the funding for bio- mentation of the Operational Policy on diversity conservation. Indigenous Peoples. The IP policy is a · Tapping on Ancestral Knowledge. Indig- key instrument to ensure that the voices enous Peoples are carriers of ancestral of IP are heard and that projects address knowledge and wisdom about this bio- their interests. diversity. Their effective participation in biodiversity conservation programs Since it was put into place, the old and re- as experts in protecting and managing vised World Bank Operational Policy (OP) and biodiversity and natural resources would Bank Procedure (BP) 4.10 on Indigenous Peo- result in more comprehensive and cost- ples (July 2005) has aimed to ensure that the effective conservation and management voices of Indigenous Peoples in and around of biodiversity worldwide. biodiversity and protected-areas projects are · Addressing the Climate Change Agenda. heard and that conservation objectives nev- Indigenous Peoples have played a key er undermine inalienable indigenous rights; role in climate change mitigation and rather, the two should be integrated in the adaptation. The territories of indigenous search for truly sustainable development. The groups who have been given the rights to report shows that this policy has been applied their lands have been better conserved unevenly in the Bank portfolio. than the adjacent lands (i.e., Brazil, Co- The overall analysis of the Bank biodi- lombia, Nicaragua, etc.). Preserving large versity portfolio reveals that there are 109 extensions of forests would not only projects out of the 596 that have supported or support the climate change objectives, are supporting Indigenous Peoples programs but it would respect the rights of Indig- and needs (only 18.3 percent of the Bank enous Peoples and conserve biodiversity biodiversity portfolio). However, of the 109 as well. A climate change agenda fully projects analyzed only 32% have full engage- involving Indigenous Peoples has many ment (stand alone IP projects or biodiversity more benefits than if only government projects that support in their totality the IP and/or the private sector are involved. programs and needs). This number is extreme- Indigenous peoples are some of the most ly low considering that a large diversity of IPs vulnerable groups to the negative effects are the inhabitants of areas rich in biodiversity of climate change. Also, they are a source and forests. xii Executie Summary Fifteen projects were analyzed in more de- · Overlap between IP ancestral lands and tail to extract some lessons learned.To facilitate other land use designations (protected the analysis and discussion, project activities areas, extractive industries), which is dif- are categorized into nine common themes: 1) ficult to undo Indigenous Peoples and protected-areas co- · Working with IPs perceived as "risky", management, 2) titling and demarcation of especially in complex conditions (e.g., indigenous lands, 3) indigenous life plans, 4) post-conflict countries) establishment of indigenous conservation ar- eas, 5) indigenous community management and zoning plans, 6) indigenous community LESSONS LEARNED FROM mapping and conservation, 7) community sus- BANK PORTFOLIO tainable livelihood, 8) capacity building and training, and 9) Indigenous Peoples Develop- Experience drawn from its extensive portfolio ment Plan. Projects that included activities has enabled the World Bank to derive key les- within each thematic area are presented in sons learned from interviews with Indigenous detail. The final topic discussed is why some Peoples, Bank task managers, NGOs, and projects failed. governments. The key lessons identified for The report identified key factors for suc- improving indigenous participation in biodi- cessful interventions, which include: versity projects include: · Assign indigenous rights to land tenure 1. Create indigenous-led conservation areas: and/or access to resources The cases reviewed in this study show that · Implement projects directly by the right empowering Indigenous Peoples to man- indigenous organization/s in the specific age biodiversity in their own territories project location/s has resulted in a more sustained and cost- · Respect IPs´ own decision-making effective way to protect biodiversity. processes and traditional authorities' 2. Assign indigenous lands rights: Projects that structure have assigned indigenous groups their an- · Strengthen cultural integrity in parallel cestral lands experience much less conflict with technological capacities during implementation. Protected areas · Allow for flexibility in timing and process- adjacent to these areas become either a tar- es to reach agreement on project design get for co-management with Indigenous · Provide adequate resources for capacity Peoples (Bolivia and Colombia) or they are building in different aspects of project managed by protected-areas officials with development minimal conflict (Brazil). Many projects that experienced conflicts did so because Why is work more successful in some parts indigenous lands claims were not initially of the world and less in others? The report shows addressed (Peru, Guyana, Cameroon). that the main answers to this question are: 3. Cooperatively map community assets: More projects have been requesting that · Uneven legislation regarding Indigenous mapping activities be supported. These Peoples and their resource rights mapping activities include training, · Greater difficulties where there is no equipment, and participatory workshops in-country legislation (i.e., Guyana, with all community members so that their Democratic Republic of Congo) hunting places, sacred sites, agricultural · IP population numbers low compared plots, etc. are mapped. These exercises with other groups considered to be poor represent a very important empowering xiii The Role of Indigenous Peoples in Biodiersity Conseration tool for Indigenous Peoples and facilitate 9. Strengthen cultural integrity: Indigenous future claims of their ancestral lands (Be- communities that have strong histori- lize, Colombia). cal continuity and cultural and spiritual 4. Promote full participation: There is a need heritage should be supported. These com- toensurethatpriorconsultation,participa- munities are more determined to preserve, tion, and consent procedures are designed develop, and transmit their ethnic iden- to be acceptable to the Indigenous Peoples tity and ancestral territories to future and are culturally appropriate. One of the generations as the basis of their continued best practices is to establish signed formal existence as peoples and in accordance agreements between indigenous organi- with their own cultural patterns, social zations and the government authorities institutions, and legal systems. Contribu- before the project starts (Venezuela, Cen- tions to cultural revitalization (traditional tral America). knowledge and spiritual beliefs) can 5. Respect organizational structure of Indig- therefore reflect back well on improved enous Peoples: It is important to maintain conservation efforts. the Indigenous Peoples' own institutional 10. Advance income-generating activities: Due arrangements and decision-making pro- to the widespread nature of these types of cesses and avoid the inclination to create activities, more in-depth understanding new institutional arrangements. Over the and review is needed to identify challeng- long term, this approach will save time and es, opportunities, and best practices for effort, reinforce community organization improving the quality of outcomes and and capacity,and foster better achievement increasing sustainability. It is important of project objectives and sustainability. to avoid requiring that development ben- 6. Create cooperative governance: If institu- efits be made available only to indigenous tional arrangements beyond indigenous communities that live outside parks, dis- institutions are needed, unnecessary criminating against groups who live inside. complexity should be avoided. Decision- 11. Utilize culturally appropriate indicators: making processes through voting tend What Indigenous Peoples value might not to create winners and losers, which may be the same as what conservationists and result in conflict. Instead, projects that economists value. It is important to assist support forums for reaching consensus indigenous groups in establishing adequate and avoid voting are preferred. indicators for the projects they implement. 7. Develop flexibility of rules and processes: In- digenous Peoples place great importance There is an incredible opportunity lying on processes versus products. Processes ahead to work with Indigenous Peoples toward can themselves be outcomes in project de- the protection of their environments in areas signs, therefore specific process-oriented of the world very rich in biodiversity. In order indicators should be given more careful to increase this opportunity, key actions need consideration. to be taken by all national governments and in- 8. Provide adequate time: The application of ternational organizations and funders: Bank procedures and timing should be simplified to ensure that Indigenous Peo- First,support processes toward the recognition ples are able to participate. Also, projects of the rights of Indigenous Peoples to their an- with Indigenous Peoples require more cestral lands and natural resources. time for reaching agreements or making decisions, and Bank management should Second, ensure that any conservation or de- be aware of these needs. velopment projects or programs fully respect xi Executie Summary the WB policy BP and OP 4.10 on Indigenous Seventh, facilitate the regular participation of Peoples and/or the United Nations Declaration Indigenous Peoples in dialogues and negotia- on the Rights of Indigenous Peoples. tions of biodiversity, forestry, climate change strategies,and ongoing portfolio and programs Third, dedicate funding for supporting In- reviews. Research and monitoring of their par- digenous Peoples in biodiversity conservation ticipation in biodiversity conservation should and climate change. Currently, the funding has be regularly carried out with them. been limited. Indigenous Peoples' programs have been excluded from large funding mecha- Eight, support the research and documenta- nisms. (In the WB biodiversity portfolio, only tion of best practices of ongoing indigenous 18 percent goes to IP programs.) Funding initiatives in biodiversity, climate change, car- needs to address technical assistance needs for bon sequestration, forestry, and so on so that building the capacity of indigenous communi- governments, funders, and international orga- ties to receive support. nizations appreciate the value and importance of indigenous-led conservation programs. Fourth, support training programs to en- hance Indigenous Peoples' skills for accessing Nine, support Indigenous Peoples' networks funding, developing programs and projects whose aim is to promote IP rights to land and according to their needs, and communicating ancestral recovery, biodiversity conservation, with the external world. This would improve and development.An initial project is being de- their capacity to negotiate on any activities that veloped with First Peoples World Wide to carry happen in their lands. out three regional workshops to assess Indig- enous Peoples' access to biodiversity funding. Fifth, support the development of global da- This initiative, while completely run by an tabases that track the status of Indigenous indigenous-led organization, should not pre- Peoples, their rights, land claims, and biodiver- clude the Bank from engaging as international sity. These databases are urgently needed and financiers in other initiatives, particularly in could serve as a tool for avoiding controversial Africa and Asia, where the current Bank port- land issues and conflicts between indigenous folio is still weak. groups, conservationists, and all the extrac- tive industries that seek the same remote areas. Ten, support the creation of indigenous elders' Indigenous Peoples should be responsible networks. Many elders have started to come for developing these databases with the full out and speak about their concerns, the ur- funding and support by non-indigenous or- gency of rescuing traditional knowledge, and ganizations, governments, and international their visions of the solutions. The two great- funders and organizations. This should be a est threats faced by Indigenous Peoples are the global coordinated effort. loss of their lands and the loss of their cultural and spiritual identity and ancestral knowledge. Sixth, support a comprehensive program of as- This is as serious a threat as the massive extinc- set mapping and demarcation for Indigenous tion of species on Earth. Gatherings of elders Peoples in the areas under greatest threats as where they share their knowledge with other a tool for empowerment and for protecting ethnic groups and with westerners can be an their heritage, lands, and biodiversity. Such a effective mechanism for ensuring that knowl- program should include training and support edge is not lost, especially if two conditions are for individual on-the-ground activities and for met: indigenous youth are active participants, regional and global workshops for training, ex- and the recording and archiving of information change of ideas, and sharing of lessons learned. is supported. Support for indigenous women's x The Role of Indigenous Peoples in Biodiersity Conseration networks is also needed, as they are in many ing peaceful, harmonious, wise, and balanced societies the carriers of ancestral knowledge. societies. The Bank and other international financiers need to take a more proactive role Eleven, contribute to the establishment and in ensuring that the needs these groups have operation of effective indigenous advisory identified are supported through programs groups in the new global initiatives for biodi- and projects. versity, forest, or climate change that affect IP In conclusion, the principal finding of livelihood and programs. this report is that creating a sustainable future for biodiversity conservation worldwide will Five thousand ethnic groups currently critically depend on the active and effective comprise only 4 percent of the population. engagement of Indigenous Peoples. Without Because they are such a small interest group, their full engagement, major conservation representing a tiny fraction of the global hu- initiatives under way today--both public and man population, they are not on the radar private--will be compromised, and all citizens screens of governments or international fi- of the world will lose as a result. Indigenous nanciers. However, these groups do represent peoples are the forgotten partners in biodiver- 95 percent of the global cultural diversity sity conservation, and this report makes the and are replete with traditions, cultures, and case for their immediate incorporation into all knowledge of their environments, plants, forms of development interventions that have medicine, astronomy, inner science, and land to do with their land, resources and environ- and soil management. In many ways they are ment. This is an issue not only of rights but considered poor, but they are also viewed as also of development effectiveness and social scientists in their own ways. The richness that equity in all their tenor and scope. they contribute is an invaluable asset for build- xi Introduction BACKgROuND The rights of Indigenous Peoples (IPs) and biodiversity conservation have taken a prominent role in many sectors of our society including interna- tional fora, economic development organizations, policy research groups, conservation and environmental organizations, local human rights groups, corporations, national and international nongovernmental organizations (NGOs), and indigenous organizations. There has been a surge in NGOs defending nature conservation and indigenous rights. Yet experience shows that the IP rights and the biodiversity conservation movements have had a tradition of operating separately. In recent years, there has been much debate regarding whether and to what extent the conservation community has em- barked upon a global biodiversity conservation effort that, as some observers say, excludes Indigenous Peoples in the process. The perception has been that biodiversity conservation is sometimes pursued without regard to the rights and social realities of Indigenous Peoples who have, in many cases, been im- portant stewards of that biodiversity for millennia. If we examine why the two stakeholders have not worked more closely during the past 15 years, experiences seem to point to the process used for developing the initial political mandates and funding sources for protected areas and biodiversity groups (including governments and environmental NGOs) as one of the potential causes. These mandates and funding sources were designated before significant political support and funding were made available to Indigenous Peoples and their territories and before recognizing their crucial role in biodiversity conservation. Another cause may be simply The Role of Indigenous Peoples in Biodiersity Conseration the fact that the conservation and indigenous benefits. At that time the International La- rights movements developed independently bour Organization's (ILO's) Article 169 was and were motivated by different reasons and the only internationally accepted instrument advocacy groups. that defined the rights of Indigenous Peoples. The main international legal framework The ILO refers to the importance of secur- for biodiversity conservation is the Conven- ing Indigenous Peoples´ lands and traditional tion on Biological Diversity (CBD) established knowledge and linking these to biodiversity during the Earth Summit of 1992, which conservation. drew over 100 world leaders and about 30,000 After the CBD convention was approved participants to the U.N Conference on Envi- and its financial mechanism put in place (by ronment and Development. The Convention´s the Global Environment Facility,GEF),the cre- three main goals are: conservation of biodiver- ation of programs responding to biodiversity sity, sustainable use of biodiversity, and the fair conservation spread very rapidly in many de- and equitable sharing of benefits arising from veloping countries. The governments of those the commercial and other utilization of genetic countries that signed the CBD became rapidly resources. eligible for GEF funding and started putting At the Rio Earth Summit, the indigenous their biodiversity inventories, strategies, pro- delegation wrote the "Indigenous Peoples tected-areas systems, and other biodiversity Earth Charter" during the Kari-Oca confer- conservation programs in place. ence, May 25­30, 1992. The Earth Charter Since the Rio Earth Summit, the Indig- declared several issues that are important enous Peoples' rights groups continued to to indigenous groups, including: 1) human request a "binding international legal conven- rights and international law, 2) lands and tion" protecting and incorporating indigenous territories, 3) biodiversity and conservation, rights and aspirations and creating a financial 4) development strategies, and 5) culture, mechanism for the implementation of many science, and intellectual property. For Indig- crucial programs and projects in their territo- enous Peoples, conservation of biodiversity is ries. Several Indigenous Peoples charters and not new; on the contrary,it is part of their own declarations were issued during the following culture, history, and spirituality. The Earth years (i.e., The Leticia Declaration and Pro- Charter stated that most Indigenous Peoples posals for Actions, 1996; The Charter of the still living in their territories or continuing Indigenous and Tribal Peoples of the Tropical their ancestral customs and spirituality are Forests, New York, 2002; The Kimberley Dec- key actors in nature conservation due to their laration, South Africa, 2002; The Indigenous strong ties to wildlife, biodiversity, and all the Peoples Political Declaration, Bali, 2002). It elements--water, fire, moon, and stars. How- was not until 2007 that the official UN Dec- ever, the Earth Charter was not recognized by laration on the Rights of Indigenous Peoples or incorporated into the negotiations of the was passed at the UN General Assembly (An- CBD. nex 1). This declaration marked an important In article (8J), the CBD made references moment for the Indigenous Peoples global to the importance of recognizing the rights of movement. Indigenous Peoples to use, own, and control The premise behind this report is that their traditional territories and to protect their creating a sustainable future for biodiversity ancestral knowledge and skills. This article conservation worldwide will critically depend also espouses developing working partner- upon the active and effective engagement of ships with Indigenous Peoples based upon the Indigenous Peoples.Without their full engage- principle of full and informed consent, while ment, major conservation initiatives under also gaining equitable shares of conservation way today--both public and private--will be Introduction compromised, and all citizens of the world or first peoples, are best defined by using sev- will lose as a result. Indigenous peoples are the eral criteria. Indigenous peoples may have all forgotten partners in biodiversity conserva- or some of the following criteria: (a) are the tion, and this report makes the case for their descendants of the original inhabitants of a immediate incorporation into all forms of de- territory that has been overcome by conquest; velopment interventions that have to do with (b) are"ecosystem peoples,"such as shifting or biodiversity, forests, and climate change. This permanent cultivators, herders, hunters and is an issue not only of rights but also of de- gatherers, fishers, and/or handicraft makers velopment effectiveness and social equity in all who adopt a multiuse strategy of appropria- their tenor and scope. tion of nature; (c) practice a small-scale, labor-intensive form of rural production that produces little surplus and has low energy INDIgENOuS DIvERSITy IN ThE WORLD needs; (d) do not have centralized political institutions, organize their life at the level of The global indigenous population of approxi- community, and make decisions on a con- mately300millionpeopleiscomposedof about sensus basis; (e) share a common language, 5,000 distinct indigenous cultures worldwide, religion, moral values, beliefs, clothing, and living in every climate from the Arctic Circle to other identifying characteristics as well as a the tropical rain forests. Although Indigenous relationship to a particular territory; (f) have Peoples make up only 4 percent of the world's a different worldview, consisting of a custo- population, they represent 95 percent of the dial and nonmaterialistic attitude to land world's cultural diversity. and natural resources based on a symbolic Table 1 illustrates the variation that ex- interchange with the natural universe; (g) ists between the total number of Indigenous are subjugated by a dominant culture and Peoples and the number of ethnic groups. For society; and (h) consist of individuals who example, in Mexico and China the total pop- subjectively consider themselves to be indig- ulation of Indigenous Peoples is large (12.7 enous (Toledo 2000). million and 105 million respectively), while According to the World Bank (WB) policy the diversity of ethnic groups is relatively low on Indigenous Peoples, the term "Indigenous (62 and 55). In contrast, Brazil, Indonesia, Peoples" is used in a generic sense to refer to a and the United States have a low number of distinct, vulnerable, social, and cultural group indigenous inhabitants (734,000, 1.1 million, possessing the following characteristics in and 2.4 million, respectively) while their di- varying degrees: versity is relatively high (250, 365, and 335). Where the population of Indigenous Peoples a. self-identification as members of a distinct is low, they tend to face greater threats because indigenous cultural group and recogni- they represent true minority groups. Many tion of this identity by others indigenous ethnic groups are considered to b. collective attachment to geographically be among the poorest population segments distinct habitats or ancestral territories in their countries (in Africa and Asia and in in the project area and to the natural re- some parts of Bolivia, Peru, Mexico, and Gua- sources in these habitats and territories temala). c. customary cultural, economic, social, or Indigenous Peoples live in about 75 of political institutions that are separate from the world's 184 countries and are inhabit- those of the dominant society and culture ants of practically each main biome of the d. an indigenous language, often different earth. IPs, also called tribal, aboriginal or from the official language of the country autochthonous peoples, national minorities, or region The Role of Indigenous Peoples in Biodiersity Conseration Table 1: Indigenous Populations and Number of Indigenous Ethnic Groups in Selected Countries (from IWGIA 2007 "The Indigenous World 2007") Country Indigenous Population Indigenous Groups North America Canada 976,305 52 USA 2,377,913 335 South and Central America Argentina 485,460 27 Bolivia 5,000,000 32 Brazil 734,127 250 Chile 692,192 9 Colombia 1,400,000 87 Ecuador 1,000,000 14 Guatemala 6,000,000 23 Mexico 12,700,000 62 Nicaragua 239,000 7 Panama 200,000 7 Paraguay 87,099 20 Peru 8,700,000 65 Venezuela 5,700,000 40 EastAsia Cambodia 101,000 17 China 105,000,000 55 Indonesia 1,100,000 365 Laos 6,000,000 49 Malaysia 3,400,000 53 Myanmar 30,000,000 100 PapuaNG 1,240,000 253 Philippines 8,400,000 17 Taiwan 469,000 13 Thailand 923,257 9 South Asia Bangladesh 2,500,000 45 India 84,200,000 461 Nepal 8,400,000 59 Africa Angola 6,209 2 Botswana 50,000 18 Burundi 80,000 1 Cameroon 104,000 5 CentralAfricaRepublic 41,880 2 Congo 16,142 1 DRC 270,000 4 Ethiopia 1,000,000 80 Gabon 20,000 1 (Continue on next page) Introduction Table 1: Indigenous Populations and Number of Indigenous Ethnic Groups in Selected Countries (from IWGIA 2007 "The Indigenous World 2007") (Continued) Country Indigenous Population Indigenous Groups Kenya 3,000,000 14 Mali 1,100,000 2 Niger 1,000,000 3 Rwanda 33,000 1 SouthAfrica 470,000 3 Tanzania 514,268 143 Uganda 955,000 3 TOTAL 306,685,852 2,809 BIODIvERSITy AREAS AND INDIgENOuS INDIgENOuS PEOPLES AS BIODIvERSITy TERRITORIES OvERLAP STEWARDS Many areas inhabited by Indigenous Peoples The Amazon forests in Brazil have been coincide with some of the world's remaining dwindling for decades. There is evidence major concentrations of biodiversity. Tradi- that the scope of destruction depends upon tional indigenous territories encompass up who uses the land. A recently produced map to 22 percent of the world's land surface and of the Brazilian Amazon shows that natu- they coincide with areas that hold 80 percent ral ecosystems have improved conservation of the planet's biodiversity (WRI 2005). Also, potential when Indigenous Peoples inhabit the greatest diversity of indigenous groups co- them. (See Map 1.) The researchers from the incides with the world's largest tropical forest Brazilian Institute for the Environment and wilderness areas in the Americas (including Renewable Natural Resources and the World Amazon), Africa, and Asia, and 11 percent of Wildlife Fund overlaid indigenous territories world forest lands are legally owned by In- onto a map showing forest cover. The result digenous Peoples and communities (White reveals a strong correlation between indig- et al. 2004). Recent efforts to map centers of enous presence and the protection of natural biodiversity in the Brazilian Amazon reveal ecosystems. a high degree of overlap between indigenous A similar map of the indigenous territo- territories and areas of exceptionally high bio- ries, forests, and marine resources of Central diversity. This correlation is also notable in America and southern Mexico was produced montane areas rich in biodiversity, such as the showing the same results. It is logical to assume Andes and Himalayas. Even in biomes less rich that intact habitats support greater biodiver- in biodiversity, such as the boreal forests of the sity, and environmentalists have long pointed Northern Hemisphere, the most pristine habi- to a link between cultural and biological diver- tats tend to be occupied by native populations. sity.The late geographer Bernard Nietschmann This convergence of biodiversity-significant called it "the rule of indigenous environ- areas with indigenous territories presents an ments--where there are Indigenous Peoples enormous opportunity to expand biodiversity with a homeland, there are still biologically conservation efforts beyond national parks rich environments." This map is part of a re- and reserves. cent effort to bring the tools of cartography to The Role of Indigenous Peoples in Biodiersity Conseration Map 1: Overlaid Forest Cover, Protected Areas, and Indigenous Reserves in the Brazilian Amazon indigenous cultures. Activists hope that it em- era of protected-area management can be con- powers the native peoples of Central America sidered to originate with the establishment of and southern Mexico to preserve their cultures the world's first national park at Yellowstone. and ancestral lands. Established on a Crow, Blackfeet, and Sho- shone-Bannock territory in the United States in 1872,Yellowstone was selected because of its INDIgENOuS DOMAINS AND outstanding natural features. PROTECTED AREAS Today there has been a large expansion of protected areas that now cover more than 10 Human societies have long set aside special percent of the Earth's terrestrial surface. This has areas of the natural environment to meet eco- provided society with many benefits in terms of logical and cultural needs. Such areas have ecosystem preservation, provision of environ- ranged from the communal resource areas mental services, and opportunities for recreation and the sacred trees and groves of traditional and tourism, all particularly vital in light of the societies to more formal reserves for hunting rapid economic development and the consequent or other recreational interests of the nobility extensive modification of natural environments and other social elites. However, the modern that is occurring worldwide. Introduction Despite their well-documented roles as mendation 24 of the Congress noted that many responsible environmental stewards on all con- protected areas overlap with the lands, territories, tinents, Indigenous Peoples have frequently and resources of indigenous and traditional peo- been marginalized in past efforts to conserve ples. The recommendation further noted that in biodiversity. Conflicts have long simmered be- many cases the establishment of protected areas tween conservationists and Indigenous Peoples. has affected the rights, interests, and livelihoods From the nineteenth century on, game reserves, of Indigenous Peoples and that this has subse- national parks, and other protected areas were quently resulted in persistent conflicts. frequently carved out of Indigenous Peoples' Additionally, the recommendation noted territories. Such expulsions continue today, that effective and sustainable conservation can particularly in Africa and parts of Asia, where be better achieved if the objectives of protected the legal rights of traditional peoples are more areas do not violate the rights of Indigenous tenuous (Brechin et al. 2003, Neumann 1998, Peoples living in and around them. It continued Colchester 1997). that it is widely acknowledged that successful We can illustrate this issue with a well- and enduring implementation of conservation known example. Yellowstone was conceived as a programs can only be guaranteed when there wilderness area, a place without people, and in is consent for and approval by Indigenous 1871 the Shoshone-Bannock inhabitants were Peoples, among others, because their cultures, relocated to the Wind River reservation. The his- knowledge, and territories contribute to the torical evidence about their willingness to move building of comprehensive protected areas. Rec- is mixed, but it is known that in 1877 a series of ommendation 24 also noted that there is often pitched battles occurred between tribal groups a commonality of objectives between protected and the civilian superintendents. These resulted areas and the need of Indigenous Peoples to in the death of more than 300 people, and the protect their lands, territories, and resources administration of the park was subsequently from external threats. turned over to the US Army in 1886. The World Parks Congress Resolution 1.53, The adoption of the "Yellowstone" model which was built upon a previous resolution ad- of protected areas has historically resulted in opted by members of the World Conservation the forced relocation of Indigenous Peoples in a Union­IUCN at the first World Conservation number of other areas, including the expulsion Congress in Montreal in 1996, promoted policy of the Ik to create the Kidepo National Park in based on the principles of: Uganda and the Mongondwo people to create Domonga-Bone National park in Sulawesi. The 1. Recognition of the rights of Indigenous policy of attempting to create protected areas Peoples with regard to their lands or ter- without people has often had undesirable con- ritories and resources that fall within sequences for both the affected people and the protected areas areas that governments and conservation agen- 2. Recognition of the necessity of reaching cies were attempting to protect. In many of these agreements with Indigenous Peoples prior areas, there is now a legacy of distrust between to the establishment of protected areas in affected or potentially affected people and the their lands or territories governments and conservation agencies. 3. Recognition of the rights of Indigenous It has been estimated that as much as 85 per- Peoples concerned to participate effec- cent of the world's protected areas are inhabited tively in the management of the protected byIndigenousPeoples(IUCN/WCPA2000,2004). areas established on their lands or territo- This issue is not to be taken lightly, given these ries, and to be consulted on the adoption statistics. These complexities were recognized by of any decision that affects their rights and the 2003 IUCN World Parks Congress. Recom- interest over those lands or territories The Role of Indigenous Peoples in Biodiersity Conseration INDIgENOuS PEOPLES ANCESTRAL LAND is projected that up to half of the forestlands RECOgNITION in developing countries will be communally owned or administered by 2015. In the Ama- Indigenous peoples are a distinct population in zon Basin, indigenous communities have legal that the land on which they live and the natural rights over an area greater than 20 percent of resources on which they depend are inextrica- the region, compared with only 8 percent that bly linked to their identities and cultures. For is set aside as conventional protected areas for Indigenous Peoples, conservation of biodi- biodiversity conservation (NRIC 2005). versity is not an isolated, compartmentalized The situation varies widely from country concept but an integrated part of their lives. to country,as seen in Table 3.But evidence sug- They view conservation areas as integral, func- gests that indigenous communities worldwide tional parts of the landscapes in which they are gaining increasing legal recognition of their live (i.e., sacred places, repositories for game, rights over territories and resources, including etc.). Therefore, dispossession from the land areas essential for maintaining globally sig- or restriction of access to natural resources has nificant biodiversity. As a result of this trend, brought not only economic impoverishment a comprehensive biodiversity conservation but also loss of identity and threats to their strategy must necessarily include indigenous cultural survival. territories to achieve results at required scales. In recent years there has been a global Although the territorial rights of Indig- trend to divest public lands to traditional enous Peoples in many countries have been communities, most of which are indigenous. strengthened in recent decades, economic Some numbers are presented in Table 2. To- forces and policies continue to result in the day approximately 11 percent of the world's exploitation and extraction of the resources forestlands are legally owned by or admin- and ancestral lands of Indigenous Peoples, istered by such communities; in developing impoverishing formerly asset-rich communi- countries, the figure is 22 percent (White and ties. These trends continue today as roads and Martin 2002). At current rates of divesture, it other infrastructure, extractive industries, and Table 2: Forest Ownership by Community/Indigenous Groups in Six of the Most Forested Countries in Latin America Forest Owned by Community/Indigenous Groups Country Total Forest Estate Public Private Total Brazil 550.3 74.5(13.0) 0.0(0.0) 74.5(13.0) Peru 68.2 8.4(12.3) 22.5(33.0) 30.9(45.3) Mexico 55.1 2.75(5.0) 44.0(80.0) 46.75(85.0) Colombia 53.2 n.d. 24.5(46.0) 24.5(46.0) Bolivia 52.9 16.6(31.3) 2.8(5.3) 19.4(36.7) Argentina 27.8 0.0(0.0) 0.0(0.0) 0.0(0.0) Total 807.5 102.25(12.7) 93.8(11.6) 196.05(24.3) Source:WhiteandMartin2002 Figuresinmillionhectares,withpercentagesofthecountries'totalforestestateinparentheses Thetotalareaofforestinthesecountriesownedbycommunity/indigenousgroupsisalmostaslargeasMexico.Itrepresents,in sum,11percentofthetotalareaofthesixcountriescombined. Introduction Table 3: Comparison of Land Rights of Indigenous Peoples in Latin America Land-Right Requirement Legal Enabling De-Facto Country Frameworka Policiesb Recognitionc Bolivia,Brazil,Colombia,CostaRica, Panama,Paraguay,Peru Ecuador Argentina,Guatemala,Honduras, Mexico,Nicaragua,Venezuela Chile ElSalvador,Guyana,Surinam,Uruguay Source:Roldán2004 Undereachland-rightrequirement,shadedcellssignifysubstantialfulfillmentandblankcellslackoffulfillment aEstablishmentofconstitutionalprovisionsand/oracceptanceofinternationalinstruments(e.g.,Agreement169oftheInternational LabourOrganization)recognizingtherightsofIPstotheirownlandsandtoahighdegreeofautonomyinadministeringthoselands. bApprovalandimplementationofpoliciespromotingeffectivelegalrecognitionofindigenouslandrights. cRecognitionofindigenouslandrightsinpractice,withorwithoutalegalframeworkorenablingpolicies. streams of settlers penetrate even the most re- demarcation, life and cultural development mote indigenous areas on the globe. plans,and livelihood activities),the majority of Indigenous peoples' extraordinary international and national biodiversity fund- knowledge of their natural resource base has ing still goes to government agencies, NGOs, been extensively documented by scientific re- and western scientists. search worldwide (Posey 1999, Toledo 2002), Historically, the financing of biodiver- which shows that traditional knowledge pro- sity programs has focused on conventional vides the foundation for intricate resource protected areas. For example, recent analysis management systems that have sustained in- of approximately US$200 million per year digenous societies for millennia (Clay et al. in conservation investments in the Amazon 2000,Posey 1999,Silvius et al.2005).Research Basin revealed that 46 percent went to pro- has consistently revealed that traditional tected areas and only 9 percent to IP territories ways of using and managing biodiversity are (NRIC 2005)--even though the latter are far grounded in progressive principles of sus- more extensive (> 2.5 times larger) and equal- tainability. In short, indigenous knowledge ly intact (Nepstad et al. 2006). International and management systems represent critical organizations, the private sector, and govern- yet frequently untapped resources in global ments spend over US$800 million annually conservation efforts. to support biodiversity conservation in pro- tected areas , and most of these resources are used for infrastructure and equipment needs, ShIFTINg ThE PARADIgM management plans, and the hiring of outside administrators, park guards, and land man- While Indigenous Peoples are increasingly agement specialists (Bruner et al. 2004). invited to participate in the management of James et al. (2001) estimated that the biodiversityontheirlands(e.g.,assetsmapping, shortfall in biodiversity funding for protect- The Role of Indigenous Peoples in Biodiersity Conseration ed-area management is between US$1 billion clearly related to land claims, biodiversity and and US$1.7 billion per year. In addition, ex- sacred sites conservation, cultural and spiritual panding the current protected-area systems preservation, education, and medicine. to include the highest-priority terrestrial sites increases total management cost to US$4 bil- lion per year (Lapham and Livermore 2003). FINAL POINTS Costs for new protected areas to include those sites would require either purchase or com- Some scientists have raised issues about the role pensation equivalents totaling as much as of Indigenous Peoples in biodiversity conserva- US$9 billion per year for the next 10 years tion (Terbourgh 1999, Wilshusen et al. 2002), (Rodrigues et al 2004). In short, the total costs but in general there is presently an emerging for expansion and management of protected recognition of the opportunities (Adams and areas would be equal to US$13 billion per year McShane 1996, Borrini-Feyerabend 1997, over the next decade. 2002, Brechin et al. 2003). One could argue Indigenous agendas almost invariably that biodiversity conservation with the par- begin with the claim of their ancestral ter- ticipation of Indigenous Peoples presents both ritories to assure the long-term protection of many challenges and great opportunities. This their lands and natural resources. A logical report endeavors to contribute toward bridg- next step in this process would be to develop ing the gap between conservationists´ efforts natural resource and biodiversity conservation and the aims and aspirations of IP groups, and management plans. According to scattered thereby broadening support for biodiversity literature and unpublished sources, efforts by preservation. As presented in this report, there Indigenous Peoples to plan and implement are significant global benefits that could be conservation programs do exist and appear to achieved by supporting biodiversity conserva- be increasing, especially as Indigenous Peoples tion with the active participation of Indigenous in many countries gain greater control over Peoples, "the natural but forgotten partners." their territories and resources. Yet knowledge This report thus addresses several funda- about such indigenous areas remains scattered mental questions: and incomplete. In contrast with hired outsiders, In- 1. Is the Bank biodiversity portfolio engaging digenous Peoples already live on the land, Indigenous Peoples in a significant way? reducing the cost of a labor force to maintain 2. What are the trends as regards the mean- and protect the area. The existing decision- ingful participation of Indigenous Peoples making structures that govern indigenous in the different regions of the Bank? communities lead to greater local buy-in on 3. Whataresomeof thebestpracticeexamples the decisions reached. Local populations have of real participation of Indigenous Peoples a far greater stake in the successful outcome of in the Bank projects and programs? conservation and management initiatives on 4. What are the lessons learned from projects their territories--a critical consideration for that have not performed well? initiatives to maintain protected areas over the 5. What are the most commonly held views long term. Traditional resource management of Indigenous Peoples on biodiversity systems tend to incorporate the long-term conservation and sustainable develop- perspectives required for sustainability. Box 1 ment, which have been portrayed in fora, presents an example of the main aspirations and the views of indigenous elders and that a group of Indigenous Elders discussed indigenous women regarding their par- at a Council meeting in 2004. Their aims are ticipation in biodiversity conservation? 0 Introduction Box 1: Excerpt from the Indigenous Council of Elders 2004 The following details the main outcome of the Indigenous Council of Elders meeting in Jalapa, Mex- ico in 2004. A dialogue and exchange of views took place among the elders from 27 different ethnic groups and can be summarized as: Identity and Spirituality The elders recognize that all members of their community are united be- cause they have a common origin and a spirituality that is founded on love and respect for nature. Their knowledge is practical and collective and is directly linked to people's daily lives. They also ac- knowledge the respect that they have for their elders as they are the carriers of knowledge and history and they remind them of conserving and preserving their own culture and history. Territories and Sacred Sites The discussion of territories and sacred sites also includes the topic of environment and biodiversity. The first thing that elders mention is the importance of the lands and territories to their survival and that they understand how important it is to live in harmony with nature. They have preserved certain areas within their territories that are sacred, such as rivers, caves, lakes, springs, islands, etc. They acknowledge their common history of the loss of territories. For this reason, they think that the land cannot be sold and they request common titles to their lands through presidential decrees or other similar means. They call to all humanity so that together we can preserve nature and avoid water and air pollution, deforestation of our forests, and the indiscriminate exploi- tation of resources. Education and Medicine The elders see education as a constant practice during one's life journey. They acknowledge that education comes from the parents and family, from their elders and com- munity, and while they work as adults. Their language is part of their identity and is the spirit of their cultures. They address their concern that many institutional education systems do not value their culture, history, and aspirations. They state clearly that they will not abandon their own education system, but on the contrary they will enrich it for posterity. For them, it is important to take care of certain plants and animals that constitute their food and medicine and they request that everybody respect these. They request respect from government and outsiders toward their sacred plants, instru- ments, ceremonial objects, etc. They also raise the issue of the need to stop any patenting of their plants, minerals and, animals. The Future of Their Peoples and Traditional Knowledge Elders recognized the importance of gather- ings among other elders because they believe that this strengthens the unity of indigenous peoples, instead of accentuating the differences. They acknowledge the need to disseminate the experiences and knowledge of their ancestors among our peoples. With respect to participation, the indigenous peoples of the Americas request to be consulted on time and meaningfully by the governments and the private sector regarding any action or program that may directly or indirectly affect their ter- ritories. They also recognized the equality of men and women in their communities, as a form of substantial equilibrium, and also recognize the dignity of their grandmothers, mothers, and sisters, who represent life and the future of their communities. The Role of Indigenous Peoples in Biodiersity Conseration 6. How can the Bank contribute to filling the in biodiversity conservation projects. The re- gap between conservationists' efforts and port is intended for Bank Task Team leaders, the aspirations of indigenous groups to advisors, directors, and managers and also gov- broaden support for biodiversity conser- ernment and NGOs engaged in biodiversity vation? conservation programs. Indigenous peoples seeking international funding for biodiversity- The main objective of this study is to ex- related activities in their ancestral territories amine what the World Bank needs to know to might also benefit from the tools generated by more effectively engage Indigenous Peoples this study. The Bank Biodiversity and Indigenous Peoples Portfolios T his chapter focuses the discussion on two broad analyses: 1) the World Bank's policy and legal framework for supporting Indigenous Peoples and 2) an examination of the World Bank portfolio on biodiversity and Indigenous Peoples. LEgAL FRAMEWORKS The World Bank's engagement in the complex area of Indigenous Peoples, biodiversity conservation, and protected-areas projects is guided by both the general framework of international law and the Bank's own safeguard policies. International Law The Bank seeks to assist countries implementing international agreements that they have ratified and does not finance projects that contravene applicable international environmental agreements. With regard to the issue of Indig- enous Peoples and protected areas, the main international legal framework supporting Indigenous Peoples' rights is provided by the International Labour Organization Convention 169 and the Convention on Biological Diversity. As mentioned earlier, the CBD was adopted by the 1992 United Na- tions Conference on Environment and Development. The CBD's three main goals are: conservation of biodiversity, sustainable use of biodiversity, and fair and equitable sharing of the benefits arising from the commercial and The Role of Indigenous Peoples in Biodiersity Conseration other utilization of genetic resources. The CBD More specifically, the directive seeks to ensure contains a full article (8J) on the importance of that Indigenous Peoples do not suffer adverse recognizing the rights of Indigenous Peoples to effects during the development process, partic- use, own, and control their traditional territo- ularly from Bank projects, and that they receive ries and to protect their traditional knowledge culturally compatible social and economic and skills. The article also espouses the devel- benefits.In OD 4.20,Indigenous Peoples are de- opment of working partnerships based upon fined as social groups with a social and cultural the principle of full, prior, and informed con- identity distinct from the dominant society, sent of Indigenous Peoples and that IPs also making them vulnerable to development de- gain equitable shares of conservation benefits. cisions made without their participation. OD Complementary to this, the ILO Convention 4.20 requires borrowers to prepare an Indig- refers to the importance of securing Indige- enous Peoples Development Plan (IPDP) for nous Peoples' lands and traditional knowledge, any project affecting Indigenous Peoples. linking it to biodiversity conservation. In their OD 4.20 was updated after an extensive essence, the two conventions support a more period of consultation, during which the rights equitable society where Indigenous Peoples of IndigenousPeoplesweredebatedextensively. and biodiversity are respected, secured, and The Bank's new policy on Indigenous Peoples maintained. (OP 4.10) aims to "ensure that the develop- In certain countries where the World Bank ment process fully respects the dignity, human works, the legal recognition of Indigenous rights, economies and cultures of Indigenous Peoples is still not fully incorporated in gov- Peoples" and "requires the borrower to engage ernmental agendas. In April 2007, the World in a process of free,prior,and informed consul- Bank financed a workshop that brought Pygmy tation" with Indigenous Peoples in all projects groups from the Congo Basin together with that are proposed for Bank financing and affect government officials, NGOs, and international Indigenous Peoples and that "such Bank-fi- financiers to discuss their participation in for- nanced projects include measures to: (a) avoid estry and biodiversity projects. Box 2 presents a potentially adverse effects on the Indigenous summary of the declaration voiced by Pygmies Peoples' communities; or (b) when avoidance at that meeting and shows that unless the ba- is not feasible, minimize, mitigate, or compen- sic survival, identity, and rights of Pygmies are sate for such effects. Bank-financed projects recognized and addressed,the successful imple- are also designed to ensure that the Indigenous mentation of programs and projects in natural Peoples receive social and economic benefits resources management will be difficult. that are culturally appropriate and gender and inter-generationally inclusive." This policy was approved by the World Bank's executive direc- Bank Safeguard Policies tors on May 10, 2005 (Annex 2). With regard to its policies,the Bank under- The original World Bank Operational Manual stands and respects the historical and present Statement on"Tribal Peoples in Bank-Financed situation of indigenous (and other traditional) Projects" (OMS 2.34) and its Operational Di- peoples' rights vis-à-vis the need to preserve/ rective (OD) on Indigenous Peoples (OD 4.20) conserve remaining areas of high biodiversity. have been key instruments for protecting the The safeguard policies require consultation, land and rights of Indigenous Peoples. The disclosure, and involvement in planning and ef- broad objective outlined in this directive is to forts to develop alternatives in situations where ensure that the development process fosters projects may not serve the best interests of In- full respect for the dignity, human rights, and digenous Peoples and other vulnerable groups. cultural uniqueness of Indigenous Peoples. The most succinct statement on the Bank's ap- The Bank Biodiersity and Indigenous Peoples Portfolios Box 2: Declaration of Indigenous Peoples (Populations Autochtones) of the Democratic Republic of Congo Your Excellency Mr. Minister of forest economy Mr and Mrs. Ministers Mr. Maire of the Likouala Department Mr. President of the council of Likouala Department Mr. Assistant Maire of the District of Impfondo Mr and Mrs. Representatives of the international financial institutions Mr and Mrs. Delegates of different indigenous peoples of Central Africa Distinguished Guests. DRC is one of the countries of Central Africa with a land surface of approximately 2,345,000 km2 and a population of 60 million inhabitants, including the indigenous populations. We are ap- proximately 250 to 300,000 indigenous peoples known as the Bambuti, Batwa, Baca. Our life style is hunter-gatherers. In parallel to the problems that most indigenous peoples in the world and in Central Africa suf- fered, we, in DRC, have the following serious problems: We recommend to the governments and to the international community the following: · A difficult relationship with our neighbor, the Bantu, that do not recognize us as citizens with full rights as they and others enjoy. · The lack of legal recognition of our rights as indigenous peoples from the different instances of the government. · The lack of access to education which exacerbates the social discrimination against us and gives us less opportunities to come out of poverty. · Facilitate the strengthening of capacity for our indigenous leaders and elders to promote and pro- tect our rights and ensure the sound development of our peoples. · Request free educational support in order for our children to complete primary and secondary education and provide our youth scholarships to complete university degrees. · Request DRC government to strongly engage in the problems faced by indigenous peoples by launching specific programs to promote and protect them. · Request that indigenous peoples be represented in the Parliament in order to address their issues in the Central Africa countries discussions. · Request that the government subscribes to the ILO 169. · Request to all international financiers to assess and determine the transparency and accountability of fund disbursements. · Request to all indigenous peoples to awaken to their own consciousness so that they can take their own destiny in their hands. This is in brief the declaration of the indigenous peoples of DRC. May the international forums for indigenous peoples for Central Africa live! May the indigenous peoples from DRC live! Thank you very much. Impfondo, April 13, 2007 (ontheoccasionoftheinternationalforumofindigenouspeoplesofCentralAfrica2007) The Role of Indigenous Peoples in Biodiersity Conseration proach to Indigenous Peoples' rights and the · Environment Assessment (EA) OP/BP sustainablemanagementof protectedareasand 4.01 parks is contained in the OP 4.10. Para 21: · Natural Habitats Policy 4.04 · Forests OP/BP 4.12 In many countries, the lands set aside as legally designated parks and pro- tected areas may overlap with lands Environment Assessment (EA) OP/BP 4.01: and territories that Indigenous Peoples 3. "EA takes into account the natural environ- traditionally owned, or customarily ment (air, water, and land); human health and used or occupied. The Bank recognizes safety; social aspects (involuntary resettlement, the significance of these rights of owner- Indigenous Peoples, and cultural property); ship, occupation or usage as well as the and transboundary and global environmental need for long-term sustainable manage- aspects. EA considers natural and social as- ment of critical ecosystems. Therefore, pects in an integrated way." involuntary restrictions on the access of Indigenous Peoples to legally des- 14. "For all Category A and B projects pro- ignated parks and protected areas, in posed for IBRD or IDA financing, during the particular access to their sacred sites, EA process, the borrower consults project-af- should be avoided. In exceptional cir- fected groups and local nongovernmental cumstances, where it is not feasible to organizations (NGOs) about the project's en- avoid restricting access, the borrower vironmental aspects and takes their views into prepares, with the free, prior, and in- account. The borrower initiates such consulta- formed consultation of the affected tions as early as possible." Indigenous Peoples' communities, a process framework in accordance with 15. "For meaningful consultations between the provisions of OP 4.12. The pro- the borrower and project-affected groups and cess framework provides guidelines local NGOs on all Category A and B projects for preparation, during project imple- proposed for IBRD or IDA financing, the bor- mentation, of an individual parks and rower provides relevant material in a timely protected areas' management plan and manner prior to consultation and in a form ensures that the Indigenous Peoples and language that are understandable and ac- participate in the design, implemen- cessible to the groups being consulted." tation, monitoring, and evaluation of the management plan, and share equi- Natural Habitats Policy 4.04: tably in the benefits of the parks and 4. "The Bank does not support projects that, protected areas. The management plan in the Bank's opinion, involve the significant should give priority to collaborative ar- conversion or degradation of critical natural rangements that enable the Indigenous habits." Critical natural Habitats are defined to Peoples, as the custodians of the re- include "areas initially recognized as protected sources, to continue to use them in an by traditional local communities (e.g., sacred ecologically sustainable manner. groves, and sites that maintain conditions vital for the viability of these protected areas)." The World Bank has three additional safeguard policies that relate to issues of for- 10. "The Bank expects the borrower to take est, biodiversity, and environment and that are into account the views, roles, and rights of indirectly linked to the interests of Indigenous groups, including local nongovernmental or- Peoples. These include: ganizations and local communities, affected The Bank Biodiersity and Indigenous Peoples Portfolios by Bank-financed projects involving natural ments (Human Resources, Education, Rural habitats, and to involve such people in plan- Development, Land Administration, Social ning, designing, implementing, monitoring, Justice,Land Degradation,as well as mitigation and evaluating such projects. Involvement may programs of road, mining, and dam develop- include identifying appropriate conservation ment). Many of these projects are active and measures, managing protected areas and other stilldisbursingfunds.Theseprojectsarelocated natural habitats, and monitoring and evalu- in all of the World Bank regions. Examples in- ating specific projects. The Bank encourages clude capacity building for Indigenous Peoples governments to provide such people with ap- organizations; educational and health pro- propriate information and incentives to protect grams that are tailored to Indigenous Peoples' natural habitats." needs; legal and judicial reforms that address Indigenous Peoples' rights; conservation and biodiversity programs that build on Indige- Forests OP/BP 4.12: nous Peoples' knowledge; and development of 3."This policy applies to the following types of sustainable livelihoods that directly address the Bank-financed investment projects:" poverty among Indigenous Peoples. · 3 b "projects that affect the rights and All these projects are subject to the Bank's welfareof peopleandtheirlevelof depen- Indigenous Policy. This is a rich source of op- dence upon or interaction with forests" erational experience. However, the analysis · 3 c "projects that aim to bring about presented below is limited to the engagement changes in the management, protection, of Indigenous Peoples in the Bank environ- or utilization of natural forests or planta- mental and biodiversity portfolio, specifically tions,whether they are publicly,privately, summarizing the impact of the World Bank or communally owned." biodiversity portfolio and projects on indig- enous communities between 1988 and 2008. 10. "To be acceptable to the Bank, a forest cer- The Bank portfolio includes projects fi- tification system must require" nanced through the International Bank for · 10 b "recognition of and respect for any Reconstruction and Development (IBRD), In- legally documented or customary land ternational Development Association (IDA), tenure and use rights as well as the rights the Rain Forest Trust Fund (RFTF), and the of indigenous peoples and workers" Global Environment Facility executed through · 10 c "measures to maintain or enhance the World Bank. To a lesser extent, the Interna- sound and effective community rela- tional Finance Corporation has contributed to tions." biodiversity conservation through private sec- tor investments. The portfolio includes regular 11. "In addition, the system's (certifica- Bank lending projects as well as regular and tion) standards must be developed with the medium-sized GEF projects (MSPs) and en- meaningful participation of local people and abling activities. communities; indigenous peoples; non-gov- To assess the role of Indigenous Peoples ernmental organizations." in the World Bank Biodiversity Portfolio, we used a five-step methodology: 1) Compila- BIODIvERSITy PORTFOLIO & INDIgENOuS tion of data from relevant Bank databases, PEOPLES 2) Update of Project List by cross-checking with archived project documents, 3) Comprehensive The World Bank has been engaged in financing Database Creation, 4) Peer Review and revision projects involving Indigenous Peoples through of preliminary portfolio listings and data with different instruments across different depart- task managers and the Bank biodiversity and The Role of Indigenous Peoples in Biodiersity Conseration Indigenous Peoples specialists,and 5) Database and funded, activities: 1) Institutional building, Analysis to produce summary tables and fig- policies, and strategic planning; 2) Inventories, ures of regional and annual funding, funding research, and monitoring; 3) Public awareness source, biodiversity conservation programs, and education; 4) Protected area; 5) Production and indigenous participation. Projects were landscape; 6) Sustainable financing and market assigned to a fiscal year based on their date of mechanisms; 7) Nature tourism; 8) Indigenous approval by the World Bank Board or, in the Peoples; 9) Agrobiodiversity; and 10) Invasive case of MSPs, by the country management species. The present analysis covers category 8 unit. The data range from FY 1988 to FY 2008. on Indigenous Peoples and does not include Co-financing amounts include contri- local communities. butions from borrower governments, local beneficiaries, NGOs, bilateral donors, regional development banks, and United Nations orga- Results nizations. For each project, figures have been computed for total cost, total biodiversity costs The Bank, through IDA, IBRD, and GEF fund- (World Bank Group (WBG) funds plus as- ing, has been one of the largest financiers of sociated co-funding), and Bank biodiversity biodiversity projects. The portfolio of the funding. It was not possible to accurately judge World Bank Group has grown steadily over the the funding that has been destined for Indig- past 20 years and especially over the last decade. enous Peoples needs and programs. A more Between 1988 and 2008, the Bank approved as- detailed analysis would be needed to collect sistance totaling US$6,177 million through 596 this type of information. projects that fully or partially supported biodi- Biodiversity activities supported by Bank versity conservation in all major ecosystems. projects or project components were put into The distribution of these projects by re- the following 10 categories of explicitly stated, gion is presented in Figure 1 : Figure 1: Distribution and Funding of Biodiversity Projects by Geographic Region Overall WB Biodiversity projects BD US$ Region projects million Percent SAR MENA 30 26 LAC GLO 16 306 2.7 195 AFR 160 1,799 26.8 GLO EAP 77 771 12.9 16 ECA 92 364 15.4 LAC 195 2,410 32.7 AFR MENA 26 149 4.4 160 SAR 30 378 5.0 ECA 92 Total 596 6,177 100.0 EAP 77 FigurerepresentsnumberofprojectsandtotalfundingperWorldBankgeographicregionfrom1988to2008whereAFR=Africa region,GLO=global,EAP=EastAsiaandPacificregion,ECA=EuropeandCentralAsiaRegion,LAC=LatinAmericaandthe Caribbeanregion,MENA=MiddleEastandNorthernAfricaregion,SAR=SouthEastAsiaregionandpercentsrepresentthe proportionoftotalprojectsfundedinthatregionduringthattimeperiod. The Bank Biodiersity and Indigenous Peoples Portfolios Figure 2: Number of Active WB Biodiversity Projects That Support Indigenous Peoples WB projects with IP involvement BD Projects ECA Region projects with IP Percent 0 EAP GLO 16 4 2.7 20 AFR 160 14 26.8 AFR EAP 77 20 12.9 14 ECA 92 0 15.4 LAC LAC 195 60 32.7 60 GLO MENA 26 0 4.4 4 SAR 30 11 5.0 SAR Total 596 109 100.0 11 MENA 0 The largest group of biodiversity projects The number of biodiversity projects that is in the Latin America and Caribbean region, are supporting Indigenous Peoples is still rela- with 32.7 percent of the total projects funded tively marginal, as can be observed in Figure 3, worldwide (195 projects amounting to US$2.4 where the number of biodiversity projects that billion). The next largest share is from the Af- do not address IP objectives is represented in rica region, with 26.8 percent (160 projects lighter shade and the number of projects that amounting to US$1.8 billion), followed by the have a positive impact on IP objectives is rep- remaining regions. resented in darker shade. In Figure 3 the lighter The analysis undertaken allowed us to shade shows projects mainly supporting pro- assess how many of the biodiversity projects tected areas and biodiversity projects without are supporting Indigenous Peoples programs and livelihoods. A first level of analysis reveals that there are 109 projects out of the 596 that have supported or are supporting Indigenous Peoples programs and needs. In other words, Figure 3: Proportion of Biodiversity Projects in terms of number of projects, 18.3 percent with and without Impacts on Indigenous of the Bank biodiversity portfolio supports In- Peoples digenous Peoples' objectives. The distribution of projects that support Indigenous Peoples 300 objectives across the different regions is pre- 250 sented in Figure 2. 200 The Latin America and Caribbean region supports the largest number of biodiversity 150 projects that include support for Indigenous 100 Peoples programs (60 projects). The next larg- 50 est number of projects with positive impacts on 0 Indigenous Peoples is East Asia Region, with 20 GLO AFR EAP ECA LAC MENA SAR projects, followed by the Africa and South Asia. Projects with IP BD projects The Role of Indigenous Peoples in Biodiersity Conseration the involvement of IPs. This analysis did not The results show that of the 109 proj- provide sufficient data to know if some of these ects analyzed only 32% have full engagement projects overlap with Indigenous Peoples, but (stand alone IP projects or biodiversity projects this could be the case. that support in their totality the IP programs A deeper analysis of the portfolio reveals and needs) and the largest number of full en- that the participation of Indigenous Peoples gagement projects is in the Latin America and is quite variable between one project and an- Caribbean region while the other regions have other. For the purposes of this analysis, the 109 only started to fully engage IP in very few proj- WB projects that involved Indigenous Peoples ects (Figure 4). There is a need to increase this were subdivided into three categories. The first type of engagement in the immediate future. category, labeled "full engagement," included The data also show that in the Latin American projects that were either designed exclusively and Caribbean and the East Asia and Pacific to benefit Indigenous Peoples or were imple- regions, recent projects have applied IPDPs mented by an indigenous organization. The to biodiversity projects, but that in the Africa second category, labeled "IPDP prepared," in- region projects continue to involve IPs in a cluded projects that had complied with the marginal way. The Europe and Central Asia Bank Policy OP/BP4.10 and were benefiting and the Middle East and Northern Africa re- Indigenous Peoples but not as the prime ob- gions do not have any biodiversity projects jective of the project. The application of Bank directed at IP activities. Policy OP/BP 4.10 that included the prepara- There are some countries that have consis- tion of Indigenous Peoples Development Plans tentlydirectlyincorporatedIndigenousPeoples has strengthened project effectiveness in terms objectives into biodiversity projects (Figure of meeting their global objectives by facilitat- 5). The top-ranking countries with the largest ing IP participation as partners and principal number of projects that support IPs beyond actors in conservation actions. The third cate- the IPDP requirements are Peru, Mexico, Costa gory, labeled "marginal involvement," includes Rica, Colombia, India, Laos, Ecuador, and Bra- projects without an initial IPDP but benefit to zil. These projects have borrowed from the WB Indigenous Peoples or communities was estab- or have fully endorsed GEF funds toward In- lished as an outcome of the project upon its digenous Peoples' traditional knowledge, land completion. demarcation, capacity building, etc. The top- Figure 4: Distribution of the Level of Engagement of Indigenous Peoples in Biodiversity Projects 35 Full 30 Region engagement IPDP Marginal TOTAL 25 GLO 1 3 0 4 20 AFR 2 6 6 14 15 EAP 2 14 4 20 10 ECA 0 0 0 0 5 LAC 28 29 3 60 0 MENA 0 0 0 0 GLO AFR EAP ECA LAC MENA SAR SAR 2 7 2 11 Full engagement IPDP Marginal Total 35 59 15 109 0 The Bank Biodiersity and Indigenous Peoples Portfolios Figure 5: Top-Ranking Countries with the Largest Number of Projects That Support IPs Peru Brazil Mexico Phillipines Costa Rica Mexico Colombia Vietnam India China Lao Cameroon Ecuador Panama Nicaragua Brazil India Uganda Papua Venezuela Lao Guatemala Gabon Bolivia Costa Rica Belize SriLanka Argentina Bolivia 1 2 3 4 5 6 7 0 2 4 6 8 10 12 Full engagement IPDP ranking countries that support IPs within the The results of the review indicated that Safeguard policies by preparing IPDPs are Bra- almost all projects involved IP as beneficia- zil, the Philippines, Mexico, Vietnam, China, ries, and 35 projects (73 percent) specifically Cameroon, Panama, and Nicaragua. included provisions to comply with OD 4.20 The results from this analysis have some (new OP/BP 4.10) to ensure that IP become similarities with those of a 2004 review of the beneficiaries of project activities. Nine projects LAC portfolio, which examined Indigenous included Indigenous Peoples Development Peoples' participation and biodiversity con- Plans, 14 projects had IP as the primary ben- servation (World Bank 2004b, GEF 2006). eficiaries and were therefore considered IPDPs The review covered 48 projects, including 8 in themselves, and 12 projects prepared In- completed projects, 32 under active imple- digenous Peoples Strategies to ensure that IP mentation, and 8 under preparation. The benefit from project activities. These Plans and geographic span was dominated by the two Strategies have strengthened project effective- mega-biodiversity regions, with 22 projects in ness in terms of meeting global objectives by the Andean subregion and 19 in Mesoamerica facilitating IP participation as partners and countries. In terms of investment volume, the principal actors in conservation actions. largest project was in Brazil and the second Most of the World Bank projects support- largest in Mexico. ing Indigenous Peoples consist of individual The Role of Indigenous Peoples in Biodiersity Conseration country projects except for one regional proj- workshop, 20 indigenous women representing ect in Central America, Integrated Ecosystem Argentina, Chile, Bolivia, Panama, Costa Rica, Management by Indigenous Communities. Guatemala, El Salvador, and Mexico gathered to This project includes, among other activities, discuss issues and actions to strengthen the par- the strengthening of indigenous networks for ticipation of indigenous women in biodiversity ecotourism, organic cacao production, and conservation. Box 3 summarizes the main rec- payment for environmental services. An analy- ommendations from the meeting and illustrates sis of this project shows that Indigenous Peoples the priorities of indigenous women, who are value the active support provided by networks, very supportive of biodiversity conservation. since these provide information and services to indigenous organizations to increase their ca- pacities in an effective way. The World Bank has yearly Trends had very limited funds to support networks. In 2006, the Bank supported a workshop Figure 6 shows the yearly trends in engaging IP to strengthen the Latin American Network of in biodiversity projects. The figure shows that Indigenous Women for Biodiversity. During the between 1990 and 1995, biodiversity projects Box 3: Recommendations from a Meeting of Latin American Network of Indigenous Women for Biodiversity (Panama, 2006) Improve Communication To the participants,it is important to raise awareness among municipal governments of the importance of biodiversity and indigenous peoples'role and to ensure that municipal zoning plans regulate biodiversity use. They also see that workshops to exchange information and experiences of the in-situ conservation of seeds and medicinal plants would strengthen their work. The use of publications and videos to com- municate their best practices at regional and national events would raise their visibility. Radio programs have been successful, and they see the need for increased support for this type of activity. Capacity Building The need for capacity building continues to be a strong element that all women at the workshop recognized. In addition, the women's organizations are weak and there is a need to increase their administrative capacity. Increase Participation Support the participation of women in international forums that discuss biodiversity; promote the participation of youth to all the international meetings of the CBD; prepare tools and materials to monitor the implementation of the application of Article 8-j. Conservation Recovery of endangered wildlife; reforestation of degraded watersheds and conservation of wildlife; develop indigenous seed banks to bring back to local communities as a strategy for climate change adaptation. (Continue on next page) The Bank Biodiersity and Indigenous Peoples Portfolios Box 3: Recommendations from a Meeting of Latin American Network of Indigenous Women for Biodiversity (Panama, 2006)(Continued) Preservation of Ancestral Knowledge Develop local programs to recover indigenous knowledge; carry out programs to collect stories, legends, and videos of the traditional knowledge held by indigenous peoples; recover traditional art- crafts and agricultural products; develop indigenous traditional recipes; develop national programs in indigenous languages that disseminates ancestral knowledge in the school curricula; promote nation- al trade fairs to promote traditional art-craft; protect indigenous emblems and traditional medicine; develop an international red book of endangered indigenous ancestral knowledge; hold regional and international workshops to exchange experiences in preserving traditional knowledge; prepare pub- lications and annual reports on the progress made by countries to protect traditional knowledge; develop a legal framework to assist IPs in the disputes regarding property rights of traditional knowl- edge; support policy preparation to protect traditional knowledge. The vision of indigenous women and particularly of elders reflects very clearly a need to support their traditional and ancient forms of spirituality, language, culture, and medicine. The ethical ques- tion that needs to be asked is how many projects from the international funders and government have been supporting indigenous women's work. were marginally engaging Indigenous Peoples. significant trend occurred between 2001 and Between 1996 and 2000, when the IP Policy 2006, when many more projects were designed was fully put in place at the Bank, many proj- to include stand alone IP projects supporting ects started complying with the policy and were biodiversity objectives rather than the other engaging IP in different manners. The most way around. While this is a positive trend, there were some projects during this time period where biodiversity objectives and Indigenous Peoples objectives overlapped, yet IPs were still marginally engaged despite the safeguard policy Figure 6: Yearly Trends in Engaging IP in WB on Indigenous Peoples. This is something that Biodiversity Projects will be carefully addressed in the final chapter. 25 gEF-WB Financed projects 20 Projects 15 Many of the GEF biodiversity projects imple- of mentedbytheWorldBankhavebeensupporting 10 protected areas around the world as well as the Number 5 development of corridors, long-term financing mechanisms, and payment for ecosystem ser- 0 1990­1995 1996­2000 2001­2006 vices. The portfolio was analyzed in a somewhat Year different manner to assess the contribution of IP led IPDP Minimal GEF-WB funding to support Indigenous Peo- projects engagement ples' programs and technical assistance. The Role of Indigenous Peoples in Biodiersity Conseration Figure 7: Distribution of GEF Projects across Regions 200 GEF WB Total GEF­WB US$ US$ BD US$ 150 Region Projects million million projects million 100 GLO 8 70 266 16 306 AFR 90 400 796 160 1799 50 EAP 40 168 244 77 771 ECA 53 136 199 92 364 0 LAC 94 509 1065 195 2410 GLO AFR EAP ECA LAC MENA SAR MENA 16 64 196 26 149 GEF Projects BD projects SAR 8 67 101 30 378 Total 309 1414 2866 596 6177 Between 1988 and 2008, GEF supported Peoples' programs and needs. This represents a total of 309 GEF-WB Biodiversity projects 16 percent of the GEF-WB biodiversity portfo- amounting to US$1.4 billion (GEF Funding). lio, compared with 18 percent observed in the This represents about 45 percent of the total overall Bank portfolio, which includes GEF, Bank financing in biodiversity. Figure 7 shows IBRD and IDA loans, the Rain Forest Trust the distribution of GEF projects across the re- Fund, Development Grant Facility funds, and gions and compares the amount of projects other sources of funding. financed by GEF to those with overall biodi- The trends in the distribution of these versity Bank financing. projects across the different regions can be Fifty GEF-WB projects out of the 309 observed in Figure 8. The GEF funds have sup- have supported or are supporting Indigenous ported biodiversity projects with Indigenous Figure 8: Distribution across Regions of the GEF Biodiversity Projects with a Positive Impact on IPs Positive Impact GEF-WB ECA GEF­WB Projects 0 GLO Region Projects with IP Percent 2 SAR GLO 8 2 2.6 2 AFR 90 7 29.1 LAC EAP 40 10 12.9 29 AFR ECA 53 0 17.2 7 LAC 94 29 30.4 MENA 16 0 5.2 EAP SAR 8 2 2.6 10 MENA Total 309 50 100.0 0 The Bank Biodiersity and Indigenous Peoples Portfolios Peoples involvement to a larger extent in the LAC region and to a lesser extent in the Africa Figure 9: Comparison between GEF and region and the East Asia and the Pacific region. Overall WB Portfolio in the Number of These results are very similar to the analysis of Projects with Positive IP Impacts across the overall WB biodiversity portfolio. Regions Figure 9 illustrates how GEF compares with the overall Bank portfolio. There are no 70 major differences between the overall portfolio 60 trends and the GEF trends with respect to posi- 50 tive impact on Indigenous Peoples. 40 30 Existing Financing gaps 20 10 There are many ways to look at whether the 0 funding of biodiversity projects has captured GLO AFR EAP ECA LAC MENA SAR the diversity of indigenous populations and Overal WB Projects with IP GEF WB Projects with IP cultures around the world. The World Bank is indeed the largest financier of biodiversity projects in the world. The global distribution of the Bank biodiversity portfolio is repre- sented in Map 2. Brazil, Mexico, India, China, with the diversity of indigenous cultures and several South and East African countries, as ethnic groups, we observe that there is a high well as Pacific Island countries have received a diversity of ethnic cultures in the countries large share of the funding. On the other hand, where significant WB biodiversity and indig- if we look at a similar map (Map 3) where only enous funding has previously been allocated the projects with indigenous components are (i.e., Brazil, India, Mexico). However, there mapped, we see clearly that the African and are some countries in West and Central Africa Pacific Island countries have received a lot that have a high diversity of ethnic groups, yet less funding from the biodiversity share of almost no funding has gone to support in- resources. digenous groups. This result requires further If we look at the diversity of ethnic lan- thought and evaluation and leads to the dis- guagesintheworld(Map4),whichiscorrelated cussion in the next section. The Role of Indigenous Peoples in Biodiersity Conseration Map 2: Number of Bank Biodiversity Projects around the World Biodiversity projects ($ mil.) 0.1 ­ 38.9 38.9 ­ 140.2 140.2 ­ 757.7 Source:DEC2007.TheWorldBank Map 3: Number of Projects with Indigenous Components Bank biodiversity projects w/indigenous component ($ mil.) No projects 0.1 ­ 10.1 10.1 ­ 60.9 60.9 ­ 195.6 Source:DEC2007.TheWorldBank The Bank Biodiersity and Indigenous Peoples Portfolios Map 4: Diversity of Ethnic Languages in the World Number of languages 0 ­ 29 30 ­ 99 100 ­ 199 200 ­ 822 No Data Lessons Learned from Biodiversity Projects T he portfolio review reveals that several biodiversity projects have ef- fectively incorporated indigenous community participation, and these projects vary in how they engaged Indigenous Peoples in their design and implementation. Therefore, in lieu of providing a full description of all the different types of projects implemented with Indigenous People, this section of the report instead presents a general overview and analysis of the types of activities that projects have supported. Some of the best examples of effective participation are discussed in detail. The analysis presented in this section is based on data from 15 projects that have completed their implementation or that have had a very thorough preparation phase integrating Indigenous Peoples' views (e.g., Venezuela Canaima project, Gabon). The projects reviewed cover a geographic range from Central and South America to Africa and Asia. Five of the World Bank projects reviewed exemplify current best practices in terms of engaging IP priorities within the overall project design and results framework. The five projects listed below are good examples of projects that were initiated by indigenous groups and support IP objectives: 1. Ecuador Biodiversity Conservation in Pastaza Project (WB/GEF) sup- ported management plans, community livelihood, and capacity-building activities. 2. Central America Regional Indigenous Ecosystem Management Project (WB/GEF full-size project (FSP), active) supported the establishment of conservation areas, community livelihood, and capacity-building activities. The Role of Indigenous Peoples in Biodiersity Conseration 3. Belize Community Managed Sarstoon- 7. Bolivia, Sustainability of Protected Areas Temash Conservation Project (WB/GEF Project (WB/GEF) supported the co-man- MSP,active)supportedlandmapping,estab- agement of protected areas. lishment of conservation area, management 8. China Gansu and Xinjiang Pastoral De- plans, and community livelihood activities. velopment Project (WB/GEF) supported 4. Brazil Indigenous Lands Project (WB/ land use management plans and rehabilita- RFTF) supported land titling and demar- tion of wetlands. cation activities. 5. Colombia Conservation and Sustainable The remaining two projects that experi- Development of the Mataven Forest (WB/ enced challenges during implementation are GEF MSP, closed) supported community also discussed: mapping and establishment of a new indig- enous conservation area. 1. Guyana Protected Areas Project 2. Cameroon Campo-Maan Reserve Project Eight of the projects reviewed include in- digenous activities within the scope of large To facilitate the analysis and discus- protected area or natural resource manage- sion, project activities are categorized into ment projects. These eight projects included nine common themes: 1) Indigenous Peoples Indigenous Peoples as intermediaries to the and protected-areas co-management, 2) ti- government-led effort: tling and demarcation of indigenous lands, 3) indigenous life plans, 4) establishment of 1. Venezuela Expanding Partnerships for indigenous conservation areas, 5) indigenous the National Parks System (WB/GEF FSP, community management and zoning plans, under development, transferred to U.N. 6) indigenous community mapping and Development Programme (UNDP) due conservation, 7) community sustainable live- to political situation in the country) sup- lihood, 8) capacity building and training, and ported the preparation of a life plan for the 9) Indigenous Peoples Development Plan. indigenous groups. Projects that included activities within each 2. Cambodia Biodiversity and Protected Ar- thematic area are presented in detail. The final eas Management (WB/GEF) supported topic discussed is why some projects failed. indigenous community management and zoning plans. 3. Peru Indigenous Management of Pro- INDIgENOuS PEOPLES AND PROTECTED- tected Areas (WB/GEF) supported the AREAS CO-MANAgEMENT co-management of protected areas. 4. Panama Atlantic Mesoamerican Forest Boliia Sustainability of Protected Areas Project Corridor Project (WB/GEF) supported capacity building and training. The Bolivia Sustainability of Protected Areas 5. Gabon Forest and Environmental Sector Project is one of the Bank's best examples of Program (Natural Resources Management a co-management model. The WBG/GEF has Development and Policy Loan) (WB/IDA/ been financing Kaa-Iya National Park, the larg- GEF) supported Indigenous Peoples Devel- est protected area in Bolivia, covering almost opment Plan. 3.5 million hectares. Adjacent to the western 6. Lao Peoples Democratic Republic (PDR) boundary of this park, the government has District Upland Development and Con- established a 1.9-million-hectare Indigenous servation Project (WB/IDA) supported Peoples' territory belonging to the Isozu- community livelihood activities. Guarani indigenous population. The Park is 0 Lessons Learned from Biodiersity Projects being managed by the indigenous organization protected areas, the State experienced Capitania del Alto y Bajo Isozu (CABI) as the initial difficulties in interacting with the co-management agency in partnership with indigenous population that necessitated the protected-area agency,Servicio Nacional de the construction of a social space based Areas Protegidas. The GEF provides 70 percent on mutual trust between the State and In- of the annual recurrent costs for park manage- digenous Peoples. Conservation proposals ment as well as additional financial support to were integrated with cultural aspects of themanagementcouncilandcapacity-building Indigenous Peoples, forming the basis for programs. Also, the indigenous territory adja- an intercultural dialogue to build co-man- cent to the Park has benefited from additional agement processes for the categorization external financing due to a US$3.7-million of protected areas, the introduction of allocation for the implementation of an Indig- control instruments, and biological moni- enous Peoples Development Plan as part of the toring, among others. mitigation package for a WBG-loan-financed gas pipeline that crosses Isozu-Guarani terri- Social Participation Strategy: The proj- tory. The US$3.7-million investment for the ect designed, tested, and implemented the IPDP, for which CABI is the implementing tools for a conservation strategy based on agency, covers issues of land tenure resolution the active participation of local inhabit- andcommunity-basedsocialandeconomicde- ants through: (i) the establishment of velopment projects such as irrigation projects, National Protected Area (NPA) Manage- educational facilities, and the construction and ment Committees; (ii) the organization of furbishing of one hospital. communitiesforthedesign,prioritization, and execution of productive subprojects; (iii) the establishment of surveillance Peru Indigenous Management of Protected committees; and (iv) participation in the Areas Project biological and social Monitoring and Eval- uation System. As shown in beneficiaries' The Peru Indigenous Management of Pro- surveys, this approach promoted project tected Areas Project also constructed a ownership and contributed to the success co-management model. This form of par- of the activities and their sustainability. ticipatory protected-area conservation was a new experience for the main implementers of Community-based Subprojects (Bio- this project: the park agency (National Insti- investment Projects): "Bio-investment tute of Natural Resources, INRENA) and the projects,"a concept developed in this proj- government of Peru. This project helped to ect, combine the sustainable use of natural change the prevailing conservation paradigm resources in the NPA's buffer zones with of establishing national parks and sanctuaries the community's livelihood. This concept that prohibit human occupation and uses. The has proved to be an excellent instrument following lessons enriched INRENA's capac- for providing local communities with ity to collaborate with Indigenous Peoples in viable economic alternatives allowing protected areas and resulted from combining the sustainable use of natural resources. traditional knowledge of Indigenous Peoples Traditionally, the implementing agency with modern conservation techniques: considered economic or productive activ- ities around protected areas as secondary Social Approaches to a Participatory or the responsibility of other government Conservation Model: While establish- agencies. In this case, carrying out these ing the co-management mechanisms for subprojects in buffer zones has proved The Role of Indigenous Peoples in Biodiersity Conseration to be effective in reducing pressures on process and supported the agreement protected areas. It also helped to promote reached despite opposition from national conservation activities in the context of organizations; (ii) they actively partici- co-management of protected areas with pated in the identification, selection, and Indigenous Peoples. implementation of community-based subprojects; (iii) they organized surveil- The Power of Training: Indigenous or- lance groups that have been officially ganizations have consistently requested recognized by INRENA; (iv) they con- training for indigenous persons, and tributed to the design and preparation of responding to this demand was an es- the participatory Monitoring and Evalu- sential project activity. Training was a ation System; and (v) their participation key element in the development of the in surveys helped to prepare the project's co-management model because: (i) it evaluation report. In addition, they were has helped to strengthen and empower a mechanism of social control that helped people to achieve social change; (ii) the to ensure the good use of project resourc- process incorporated intercultural dia- es and their benefits. logue, and (iii) it was relevant and timely. This process was applied in stages, was Institutional Limitations: The difficulties permanent, custom-made to local needs, experienced in the first years of project andwasperceivedasamutuallybeneficial implementation demonstrated the need process. The premise that "we all learn in to address institutional constraints and an intercultural dialogue" has helped to prepare an institutional strengthening adapt and improve project implementa- program upfront. While the establish- tion. ment of the Project Implementation Unit and the incorporation of the Peruvian Intercultural Dialogue: The project veri- Trust Fund for National Parks and Pro- fied that intercultural dialogue includes tected Areas (PROFONANPE) helped to not only defining the subjects of the di- overcome INRENA's lack of expertise in alogue but also the cultural rules that certain areas, it also created some coordi- determine those subjects and the way in nation problems. The resolution of these which this dialogue takes place. The cul- issues took time and distracted the proj- tural dialogue as tested and executed in ect's attention from other important tasks. the project had the following basic condi- The main lesson here is that the plan for tions: (i) mutual respect, (ii) willingness appropriate institutional arrangements to reach mutual understanding, (iii) eq- merits major attention during the design uity in the information exchange, (iv) phase of the project. abandonment of all forms of imposition or violence, and (v) transparency. The Participatory Conservation: The mod- main results of this intercultural dialogue el of participatory conservation is the were the consultation agreements, design project's more notable result because of the legal framework, and the realization it combines the conservation and sus- of Communal Reserves. tainable use of natural resources in the National Protected Areas System with the Communal Work: Indigenous commu- priorities of indigenous communities. nities have been a relevant element in The model has three main characteristics: the success of the project: (i) they played (i) indigenous organizations are directly an important role in the categorization in charge of the conservation of commu- Lessons Learned from Biodiersity Projects nal reserves through administration which constitute about 103 million hectares, contracts; (ii) productive subprojects to or 20.6 percent of the Legal Amazon. Legal- promote sustainable use of natural re- ization of indigenous lands requires that they sources are managed by the communities; be formally identified, delimited, demarcated, and (iii) community organizations par- decreed, and registered.When the Brazil Indig- ticipate in the monitoring and evaluation enous Lands Project was prepared in 1994­95, of social and environmental factors. These only 50 percent of 556 Indigenous lands recog- activities were implemented under the nized by Brazil's National Indian Foundation framework of participatory master plans had been legalized. In 1996, the Indigenous for the protected areas, the establishment Lands Project began to enhance the well-be- of communal reserves, and the bylaws for ing of Indigenous Peoples and promote the management that have been officially rec- conservation of their natural resources by ognized by INRENA. completing the legalization and assisting in the protection of approximately 121 Indigenous Categorization of the Reserved Zones: areas in the Brazilian Amazon. It has also spon- Under Peruvian legislation, indigenous sored targeted studies, capacity building, and territories are not legally recognized. community-driven protection activities. This However, the aspiration of the indigenous US$22-million project was financed by the communities living inside the protected Rain Forest Trust Fund, the German govern- areas was to receive a legal recognition ment, and Brazilian counterpart funds. for their ancestral lands. This controversy By now, more than 65 Indigenous territo- could not be resolved by INRENA, which ries have been demarcated, covering 45 million lacks decision-making authority on this hectares (equivalent to more than 10 percent issue. Nevertheless, the project was able of the Amazon forest or an area larger than to categorize the four protected areas that Germany, the Netherlands, and Switzerland were zonas reservadas at the beginning of combined). This project has been an innova- the project. The implemented model of tive and pioneering effort not only to regularize Communal Reserves provided an alter- indigenous lands in the Brazilian Amazon native acceptable to both sides. However, but also to improve technical quality and in- Peruvian society has yet to resolve the crease indigenous participation and control in above-mentioned controversy with the the processes of regularizing, protecting, and participation of the appropriate State managing their lands. Satellite maps clearly institutions in a suitable negotiation sce- show that the area of the Amazon covered by nario. indigenous lands represents one of the largest remaining reserves of essentially intact tropical forest. After many years of conflict and unre- TITLINg AND DEMARCATION OF solved land tenure, the Indigenous Peoples of INDIgENOuS LANDS. the upper and middle Rio Negro in Brazil are finally having their lands legally recognized. Many within and outside the Bank consider the The 106,000-square-kilometer area is home to Brazil Indigenous Lands Project a best-practice 19 ethnic groups. Especially satisfying to every- example of a project that strategically fulfills one concerned is that the project supports an the needs of large populations of Indigenous alternativewayof demarcatingtheland.There- Peoples in Brazil, particularly in the Amazon gional indigenous organization and a national region. Since the beginning of the twentieth NGO (the Socio-Environmental Institute) are century, Brazilian law has accorded legal rec- actively involved in the process, as are all the ognition to Indigenous Peoples' land rights, indigenous communities who live there. The Role of Indigenous Peoples in Biodiersity Conseration INDIgENOuS LIFE PLANS move forward in defining policies and generat- ing autonomy in decision-making. The life plan has become an increasingly strong A good example of an indigenous commu- planning tool for Indigenous Peoples in Latin nity's life plan was prepared for the "Pemons" America. These plans are guided by the elders of Canaima National Park through the Ven- of the communities and follow two steps. The ezuela--Expanding Partnerships for the first step is to search for unity and reach a com- National Parks System Project.The objective of mon identity as a people. The second step is this project is to implement a co-management to have an agreed understanding of the qual- model that guarantees the sustainable manage- ity and living conditions they want to achieve ment of Canaima National Park through an or maintain as a people during the next seven alliance between Indigenous Peoples, private generations,ataminimum.Duringthisprocess sector institutions, and government agencies. of building a common identity, communities With funding from the GEF, this project pro- organize themselves around a clear Life Plan, vides an opportunity to fulfill the aspiration of apply a common methodology, and define a Indigenous Peoples to participate in the park's spiritual common thread to guide the people management-- an aspect considered funda- from generation to generation. These genera- mental to the project's success. The Indigenous tions should be capable of autonomously and Life Plan, originally written in Spanish and en- adequately planning their proposals and tak- titled Plan de Vida de los Pueblos Indigenas de 8 ing the necessary steps to design their own Life Sectores de la Federacion de indigenas del Estado Plans without depending on homogenous pro- Bolivia (FIEB­Federation of Indigenous Peo- posals. Indigenous peoples can no longer wait ples in Bolivar State) was elaborated through for government or academic institutions to a highly participatory process involving all take the initiative and formulate such propos- interested indigenous groups residing in the als. The Life Plan allows Indigenous Peoples to eight local sectors governed by the FIEB. Initial consultations began in 2004, culminating in the final drafting of the Life Plan in early 2006. Both the FIEB and the World Bank provided consultants throughout the entire process to Figure 10: Life Plan of the Cofan People in facilitate the community consultations, meet- Colombia ings, and drafting of the document. As part of the Life Plan, an Inter-Institutional Agreement Economics and production between the Venezuela Park Service, the Elec- tric Corporation of Venezuela, and FIEB was signed and constitutes one of the most inno- Social Organizational infrastructure vative agreement between IPs and private and government sectors. As per the request of the Venezuelan government, the project was trans- ferred to UNDP, through which it is currently being implemented. Bi-lingual Education Ethno-medicine and Health ESTABLIShMENT OF INDIgENOuS Land, environment, culture & spirituality CONSERvATION AREAS Source: Fundacion Zio Ai (2002) This figure illustrates how elders and communities see the Thefirstlarge-scaleprojectdevotedtostrength- priority investments for the welfare of their peoples. ening Indigenous Peoples' role in biodiversity Lessons Learned from Biodiersity Projects conservation and management is the Regional areas: Community Conservation Areas (CCA) Integrated Ecosystem Management Project by and Areas of Cultural Use (ACU). In the CCAs, Indigenous Communities in Central America. communities commit themselves to preserving This project has a strong focus on biodiversity biodiversity and make an agreement with all conservation, institutional strengthening, and surrounding communities that these areas are cultural preservation.The project was original- not to be degraded or utilized except for con- ly designed to work in 10 biodiversity priority servation and limited tourism. In the ACUs, areas that were selected following strict selec- the extraction and utilization of biodiversity tion criteria to ensure that biodiversity impacts is done according to ancestral customs. These are significant. The criteria used include: areas can preserve sacred sites and areas tradi- tionally used by their ancestors. At the design · diversity of ecoregions stage, the project set aside 135,000 hectares for · presence of indigenous groups targeted flora and fauna conservation and wa- · land titles preferably assigned to indig- ter resource protection through the CCAs and enous communities 45,000 hectares for improved agro-ecological · presence of indigenous organizations productivity through the ACUs. In February · located within the Mesoamerican corri- 2008, progress to meet these targets was mea- dor sured during the project's mid-term review · under threat of environmental degrada- and is presented in Table 4. tion The results of the mid-term review also · located close to protected areas showed that 193 indigenous and rural com- · presence of flora and fauna in threat of munities participated in the conservation and extinction agro-ecological productivity systems. Commu- · water source nity organizations were strengthened; farmers · significant landscape value received technical assistance in agro-ecologi- · supports indigenous livelihood (agricul- cal systems management without the use of tural productivity). agro-chemicals; and training in biodiversity conservation and ecotourism was provided. Under the project, indigenous communi- In the Mataven project in Colombia, 16 in- ties are setting aside two types of conservation digenous communities lead the land planning Table 4: Progress Made in Establishing Conservation Areas by Indigenous Communities Ecoregions in Central America where the project is intervening Talamanca Bocas Darien Kuna Altiplano RAAN Type of Conservation Base Base Base Base Base Base Base Base Base Base Areas line 10/07 line 10/07 line 10/07 line 10/07 line 10/07 Community 6,000 41,025 n.d. 5,000 n.d. 10000 n.d. 1,000 n.d. 5,000 Conservation Areas Areasof 0 17,486 0 5,000 0 2,000 0 -- 0 16,000 CulturalUse The Role of Indigenous Peoples in Biodiersity Conseration process to establish a conservation area extension Cambodia Biodiersity and Protected-Areas to their already demarcated indigenous terri- Management tory. This MSP has assisted six different ethnic groups--the Piapoco, Piaroa, Cubeo, Sikuani, Another good example of community manage- Curripaco, and Puinave in the Mataven Forest-- to map natural resources, demarcate their lands, mentplansisfromthehighlandsofnortheastern produce and market crafts, and strengthen their Cambodia, where Bank/GEF financing is sup- organizations. porting the protection and management of Virachey National Park (VNP) in the province of Ratanakiri. Encompassing 350,000 hectares INDIgENOuS COMMuNITy MANAgEMENT of forest and mountain habitats, VNP is one AND ZONINg PLANS of the largest expanses of intact forest left in Cambodia. It also adjoins protected areas in Ecuador Biodiersity Conseration in neighboring Laos and Vietnam to form part Pastaza Project of a tri-national conservation triangle. The re- gion is home to numerous ethnic minorities The Ecuador Biodiversity Conservation in who have lived in the project area for many Pastaza Project was designed to improve the generations but moved settlements many times sustainable use of biodiversity through the during the political strife and warfare that rav- creation and implementation of community aged the region during the Vietnam War and management plans in three Quichua com- subsequent Khmer Rouge regime. These com- munities located in the southeastern Amazon munities are now settled along the rivers at the region of Ecuador. The project closed in 2007 edge of the park. Park staff and the indigenous with very positive results. The communities Brou, Kravet, and Krueng communities are designed management plans that assessed the working together to articulate and implement key biological resources in a 250,000-hectare long-term community resource management area spanning the community territories of plans in lands that overlap park boundaries. Yana Yacu, Nina Amarun, and Lorocach. The These plans will assist the communities to plans included three principal components: assert their rights against large-scale timber in- a proposal for community zoning based on terests, which are moving into the region. ancestral criteria of land use, a proposal of Community Standards for the sustainable management of the principal biological re- INDIgENOuS COMMuNITy MAPPINg sources of the territory, and a proposal for AND CONSERvATION projects to recuperate the quality of life of the families in the three communities. Criteria The Community Managed Sarstoon Temash utilized in developing the management plans Conservation Project (COMSTEC) in Belize included the existence of ancestral spaces, the was originated by five indigenous commu- validity of community regulations oriented nities (four Q'eqchi' Maya groups and one toward the conservation of the principal Garifuna) to preserve their ancestral lands, threatened species of fauna and sacred places, which included the Saarstom Temash conser- and the ancestral forms of administration of vation area in the Sarstoon Temash region. The community justice. Considering its participa- International Fund for Agricultural Develop- tory and culturally sensitive approach, this ment and the World Bank have supported this management proposal should be replicable project since 2002 and funding has resulted in for other indigenous territories in the Ama- the establishment of the Sarstoon Temash In- zon. stitute for Indigenous Management (SATIIM), a formally registered NGO. This project has Lessons Learned from Biodiersity Projects supported the gathering of comprehensive productivity of their crops and established mi- baseline data on flora, fauna, soils and geology, croprojects with species of short-cycle crops. hydrology, socioeconomic situation, and in- The resulting surplus from the production digenous traditional knowledge. Participatory (particularly from the short-cycle crops) al- conservation community mapping identified lowed the community to have a seed bank for 4,026 hectares of coastal marine protected ar- future crops and to trade or exchange for corn, eas within the buffer zone that the indigenous peanuts, or other managed vegetable species communities claimed as ancestral lands. The (at small scales). The project allowed indig- Sarstoon Temash Marine Management Area enous farmers to plant 40 hectares of organic was established in May 2005 through arrange- cacao in the buffer zone. ments with the Belize Fisheries Department. It encompasses 4,026 square kilometers of coastal waters adjacent to the national park Belize Community Managed Sarstoon-Temash and is managed by SATIIM in conjunction Conseration Project with coastal communities. A Co-management Agreement was signed with the government. Also facilitating sustainable resource use by Five Village Resource Centers have been estab- communities, the COMSTEC project has af- lished, and 38 kilometers of trails, 15 bridges, fected three sectors: and four visitation areas have been constructed for eco-ethno-tourism. · Indigenous subsistence systems where One of the foremost success stories of this the use of non-timber forest products in project is that the empowerment of the indig- the protected area is now legally permit- enous communities to own and manage their ted and monitored lands bolstered their ability to fight an oil ex- · Indigenous agro-forestry sector where or- traction claim within their territory. SATIIM ganic cacao production and sales through brought this case to the Supreme Court in May the Toledo Cacao Growers Association 2006, challenging the legality of the permission has been expanded and is being marketed granted to the oil company by the Forestry De- in Europe through a fair trade agreement partment. This action resulted in an injunction · Eco- and ethno-tourism sector, which on oil exploration in the Park until a judicial has been strengthened through invest- review was complete. On September 27, 2006, ments in infrastructure, training, and the judicial review found that the permis- marketing, thus expanding visitation to sion granting the oil company entry into the the Sarstoon-Temash National Park and National Park was illegal because no Environ- buffer zone communities. mental ImpactAssessment (EIA) was prepared. The permission was then revoked and an EIA Additionally, 100 Maya and Garifuna was required. students and 95 farmers were trained; 135 in- digenous villagers regularly participate in park management activities. COMMuNITy SuSTAINABLE LIvELIhOOD Ecuador Biodiersity Conseration Lao PDR District upland Deelopment and in Pastaza Project Conseration Project In the Ecuador project, participating commu- The Lao PDR District Upland Development nity families consider that they have improved and Conservation Project exemplifies how their local economy. The project increased community livelihood initiatives can be well The Role of Indigenous Peoples in Biodiersity Conseration supported. The development objective of the · Construction, staffing, furnishing, and project was to improve the livelihoods of local supplying of six schools in the target area. communities while conserving the biodiver- To solve the problem of maintaining teach- sity of a high-priority protected area through ers from the public sector in such remote the adoption of more-intensified agricultural areas, the project arranged training for 17 practices by farmers in the pilot areas.The com- young villagers chosen by the villages. munities involved are recognized as the poorest · Training of six district nurses sent to the in the country, and the conservation of biodi- three pilot village dispensaries. The vol- versity is intimately linked with the welfare of unteer training for village health workers these communities. The project is located with- (VHW) and traditional birth attendants in a National Biodiversity Conservation Area (TBA) was successfully organized in sev- (NBCA) that is considered to be of great sig- eral sessions by the provincial and district nificance for global biodiversity. This area also medical staff. containssignificantculturaldiversity;thatis,the · Training of 28 VHWs and 22 TBAs. In area consists of around 5,000 people of various general, those volunteers met the villag- ethnic groups living in 32 villages speaking 28 ers' satisfaction in the improvement of languages in four major language families.Most health conditions. of them face severe poverty, expanding popula- · Establishment of 15 village medical kits tions, and deterioration of their resource base. that were kept reasonably replenished (57 The main response to their situation has been percentof thetargetof 60percent).Train- to further reliance on forest products, expand ing on data collection was also proposed swidden agriculture, and collect wildlife and for project monitoring and evaluation forest products for cash income. The expan- purposes but was not systematically fol- sion of swidden and increasing demand on the lowed up on by the health authorities. natural resources was compromising the biodi- · Improvement of wet rice cultivation, versity of the NBCA. The NBCA addressed by leading to a doubling of the annual rice the project covers three sub-watersheds (zones) cropping area. of the Nam Theun watershed area, with the 32 · Improvement of home gardens, increas- villages inhabited by several indigenous ethnic ing the area of settled vegetable and fruit minority groups. tree gardens and stabilizing the areas The project design chose 3 pilot villages cultivated in second-choice staple foods for the Agriculture Support component, one (maize and cassava). from each watershed; 15 villages for the So- · Involvementof 150outof 160households cial Support component; and 6 villages for the (94 percent) in the three pilot villages in Conservation Support and Awareness compo- demonstrations of different types. nent. These villages are remote, lying between one and two-and-a-half days of travel (by boat and walking) from the district town of Nakai. China gansu and Xinjiang Pastoral Deelopment The project supported ethnic groups through Project the following activities: The objective of the Gansu and Xinjiang Pas- · Establishment of six Village Conservation toral Development Project is to sustain the Monitoring Units (VCMUs) (doubling the natural resources and improve the lives and project target) that are now equipped and livelihoods of herders and farmers in the trained for patrolling and monitoring of project areas in China. The main targeted ben- wildlife and human impacts on the NBCA. eficiaries in both Gansu and Xinjiang are ethnic Each VCMU consisted of six villagers. minority semi-sedentary herders (sedentary in Lessons Learned from Biodiersity Projects winter, nomadic during summer) and farm- management of biodiversity,socio-environmen- ers belonging to the Dongxiang, Hui, Kazakh, tal monitoring,and evaluation of the indigenous Mongol, Sala, Uyghur, and Yugu ethnic groups. territories and their management plans. During project preparation, extensive social as- sessments were carried out in both Gansu and Xinjiang by Chinese social scientists. Partici- Panama-Atlantic Mesoamerican Biological patory Rapid Appraisals involved focus group Corridor Project discussions, village-wide meetings, household case studies, and householder interviews. In The Panama-Atlantic Mesoamerican Bio- order to"stream-line"beneficiary participation logical Corridor Project provides an excellent during implementation, innovative Beneficiary example of how the embracing of indigenous Participation Manuals (BPM) were prepared. lands is central to achieving a country's over- The purpose of the BPMs is to formalize and all conservation vision.This project integrated describe in detail the consultation and partici- indigenous groups as major participants in all pation process with affected groups. As such, components of the project and treated indig- they define a strategy for allowing stakehold- enous comarcas, or territories, as important ers to influence the decisions and resources foci for conservation action. At the outset, that affect them. By 2007, project beneficiaries the project signed formal agreements with were found in 359 villages of the 24 project indigenous communities guaranteeing their counties/cities. In addition, 2,107 households participation in planning and implementa- chosen utilizing the selection criteria benefited tion of the Mesoamerican Biological Corridor from the project directly; of these, 358 house- in their comarcas. Capacity-building activities holds were Han nationality, 756 Kazaks, 659 specifically targeted indigenous communi- Uyghurs, 212 Mongols, Hui 69, and Kerkez 53. ties, and two-thirds of the community leaders The project supported the rehabilitation of an who received training on environmental important wetland site in Suzhou district where legislation, the biological corridor, and par- herders voluntarily imposed a grazing ban on ticipation and organization were indigenous. 44 percent of the 20,000 mu degraded land. A The project supported meetings of the Gen- monitoring system was put in place and showed eral and Regional Indigenous Congresses, that the project resulted in improvement in as well as meetings to discuss the protection biomass and ground cover in the grazing areas of indigenous territories and the resolution compared with the grazed area. of land tenure conflicts between indigenous communities and settlers. Indigenous com- munities were supported on 15 exchanges CAPACITy BuILDINg AND TRAININg with communities inside and outside Panama to build capacity for sustainable development The Ecuador Biodiersity Conseration in subprojects. Finally, indigenous communities Pastaza Project accounted for 75 percent of the 100 alternative livelihoods subprojects financed by the proj- The Ecuador Biodiversity Conservation in ect, at a total cost of almost US$2 million. Pastaza Project implemented a community-level The Mesoamerican Biological Cor- capacity-building program that helped develop ridor project had substantial institutional skills for the sustainable management and con- development impact.The project supported the servation of the ecosystems and biodiversity establishment of a new comarca for the Naso of the indigenous territories of Pastaza. The Teribe territory, which overlapped with an im- program emphasized participatory diagnostic portant protected area, and was subsequently methodologies, design of management plans, taken under consideration by the national Con- The Role of Indigenous Peoples in Biodiersity Conseration gress. With project support, volunteer patrols Peoples Development Plan in accordance were created in some territories, and action with the OP 4.20. plans were written for areas where indigenous 2. Provide Indigenous Peoples with ID cards territories overlap with protected areas. Also, and establish through that equity in the le- protected-areas management was better inte- gal domain for the Babongo,Bakoya,Baka, grated with comarca management through the Barimba, Bagama, Bakouyi, and Akoa. opening of regional offices of the national pro- 3. Recognize the settlements of Indigenous tected-areas management agency in the Kuna Peoples as villages equal to all other settle- Yala and Ngobe-Bugle comarcas. The project ments. also supported a more visible and active role 4. Establish community forests for In- for indigenous authorities at the national level digenous Peoples with at least 1 square by financing the preparation of a proposal for kilometer per capita. the establishment of the National Council for 5. Recognize and protect the land use areas Indigenous Development. The Council would of Indigenous Peoples--especially within provide the mechanism for Indigenous Peoples national parks and protected areas--and to be directly involved in defining their own de- legalize access and utilization (subsistence velopment strategy and to be included in the as well as income-generating). national government's social agenda. 6. Elaborate a national policy on how to ad- dress illegal immigrants. INDIgENOuS PEOPLES Establish equal technical opportunities DEvELOPMENT PLAN 7. Provide Indigenous Peoples with the capacities to participate actively in the TheIndigenousPeoplesDevelopmentPlanpre- management of natural resources. pared by the Gabon Forest and Environmental 8. Enhance the capacities staff and all other Sector Program (also called Natural Resources relevant civil servants of the Ministry of Management Development and Policy loan) Forest Economy, Water, Fisheries, and En- is potentially a good example of indigenous vironment, in charge of Nature Protection support in the Africa region. The project is (MEFEPEPN) and of the National Agency currently under implementation. The Babon- of National Parks (ANPN) in intercultural go, Bakoya, Baka, Barimba, Bagama, Bakouyi, communication so that they can actively and Akoa--the "pygmies"--were identified as cooperate with Indigenous Peoples. Indigenous Peoples affected by the project. In- 9. Enhance research on Indigenous Peoples digenous Peoples are depending on forests and to provide baseline information for a well- forest resources within the following national informed decision-making process. parks: Minkebe, Ivindo, Akanda, Pangara, Waka, Birougou, Lopé, Plateau Batéké, and Establish equal financial opportunities Moukalaba-Doudou (the final three will be 10. Make sure that Indigenous Peoples receive supported by the GEF project). a fair share of the redistribution of forest The Forest, Fisheries, Biodiversity and En- revenues. vironment Sector Program (PSFE), the GEF 11. Offer special conditions for Indigenous project, and the government of Gabon have Peoples to receive employment in jobs be- approved 19 activities within five objectives of ing established in the context of the PSFE the IPDP: (eco guides, etc.). 12. Assist in the establishment of priority Establish equal legal opportunities access to jobs in the forestry sector for In- 1. Put in place the capacity and structures digenous Peoples. needed to implement the Indigenous 0 Lessons Learned from Biodiersity Projects Establish equal organizational opportunities what has failed in the past and the perceived 13. Facilitate the participation of Indigenous differences between Indigenous Peoples and Peoples in all forest-related decision-mak- conservationists. ing processes. A detailed review of project documents at 14. Assist Indigenous Peoples to create in- completionconcludedthatthefollowingarethe dependent structures to represent and most common challenges faced by projects: communicate their interests and needs. 15. Invite Indigenous Peoples to participate in · Indigenouscommunities'traditionallands all relevant structures of the PSFE. overlap with many protected areas, and 16. Establish a participatory monitoring and those communities were never adequately evaluation system for the IPDP of the consulted about the establishment of the PSFE. protected area. An example in Cameroon below illustrates this situation. Establish equal cultural opportunities · Establishment of protected areas places 17. Sensitize Indigenous Peoples on the risks strict controls on indigenous community of the development process. access to forest and natural resources. 18. Support the Indigenous Peoples associa- Projects restrict the Indigenous Peoples' tions in the area of capacity building to traditional use of forest resources with- protect their traditional knowledge, their out providing adequate compensation culture, and their livelihoods. and viable alternatives. Restrictions im- 19. Promote the establishment of discussion posed on their customary resource use fora in which Indigenous Peoples and their were unjust, as IP consider their tradi- neighbors can discuss relevant issues. tional livelihood activities sustainable. · The country legislation to protect In- The main actors of the IPDP are digenous Peoples' rights is weak and the MEFEPEPN, CNPN/ANPN, national and in- Bank is not able to change the framework ternational NGOs working on Indigenous that is in place to have adequate recogni- Peoples issues in Gabon, the associations of the tion of indigenous rights. An example in Indigenous People, and the Babongo, Bakoya, Guyana is presented below. Baka, Barimba, Bagama, Bakouyi, and Akoa · Themainimplementerschosenforaproj- themselves. The 19 activities of the IPDP of the ect are not the most adequate to promote PSFE, with a financial volume of US$ 455,000 effective indigenous participation. Some (< 0.4 percent of the overall PSFE budget for government officials who are in charge of more that 5 percent of the rural population), project design and implementation lack are able to guarantee that the PSFE is executed sufficient skills and experiences in car- in accordance with the OD 4.20. rying out adequate consultation process with IPs. · The views of government-led protected Why SOME PROjECTS FAILED areas continues to prevail in many coun- tries, and some government officials Over the past 15 years the Bank has support- still have a perception that involving ed some projects that had difficulties during Indigenous Peoples will threaten the bio- the design or implementation stage. In order diversity conservation aspects. to effectively manage projects that address · Projects have difficulty working har- Indigenous Peoples participation and biodi- moniously in conflicts arising between versity conservation and to harmonize their indigenous groups and non-native colo- objectives, it is important to understand both nists and outsiders who claim land and natural resources access rights. The Role of Indigenous Peoples in Biodiersity Conseration · When issues of land tenure are not ad- of protected areas within their ancestral terri- equately addressed, much distrust exists tories and the enforcement of new rules that between indigenous groups and other ac- affect and restrict their livelihoods.This type of tors and the projects struggle taking off. project should not happen with Bank financ- · There is a cultural disconnect between ing, but unfortunately it has happened and is the Bank staff and indigenous commu- illustrated by the Cameroon Biodiversity Con- nities regarding the meaning of "effective servation and Management (BCM) project. participation and project timing." This project was initiated with funding · Many Bank managers and staff consider from the GEF (48 percent), with contribu- that working with Indigenous Peoples is tions from the governments of Cameroon, the risky, so many projects avoid working al- Netherlands, Germany, France, the UK, and together in areas inhabited by Indigenous the European Union. The BCM project aimed Peoples. to consolidate and upgrade the management of protected areas in Cameroon, and this in- Weak Indigenous Legislation in the Country: cluded the identification of core conservation guyana National Protected Areas System zones and external boundaries of the six Pri- (gNPAS) Project ority Project Sites. Campo Ma'an was one of the Priority Sites. In 1999, Campo Ma'an Re- serve became a national park, and in 2000 the Since 1994 the government of Guyana has government of Cameroon demarcated the area been seeking international support to establish as part of an environmental offset to miti- a system of protected areas. It was in this con- gate the impacts from the Chad-Cameroon text that the Guyana National Protected Areas oil-pipeline project (partly funded by Interna- System (GNPAS) project was initially con- tional Finance Corporation, WB). Indigenous ceived as a component of a World Bank/IDB Bagyeli lands used for traditional hunting and Natural Resources Management Project. Guy- gathering were affected since they overlapped ana's National Strategy for the Establishment with the new national park. The Chad-Camer- a Protected Areas System was being conceived oon oil pipeline project went to the inspection within a country that had no national legis- panel of the WB. Bagyéli people claimed that lation to protect Indigenous Peoples' rights. they were never adequately consulted about These concerns were raised by Indigenous the establishment of this park, the pipeline Peoples. To address those concerns, the Bank project, or the new management plan. As a re- conditioned its approval of GNPAS on the pas- sult of these complaints, a more detailed IPDP sage of an Ameridian Law that would protect was prepared to protect the indigenous com- the Indigenous Peoples of Guyana. After sev- munities. The new program promoted the eral years of negotiating the language of this participation of local population and stake- law, the Bank decided to pull out of the GNPAS holders in biodiversity conservation at all because the Ameridian Law had not reached a sites and supported the creation of numerous level of satisfaction compared to other stan- community-based organizations and NGOs; it dards in the region. also created sustainable management plans for protected areas, which included production of Limiting Access to Traditional uses: Cameroon non-timber forest products (e.g., beekeeping, Biodiersity Conseration and Management Prunus bark, and giant snails). Project There are other examples of WB projects that have had negative impacts on Indigenous One of the most delicate and frustrating issues Peoples. For a detailed review, see Forest Peo- for Indigenous Peoples is the establishment ples Programme 2007. Synthesis and Recommendations T he previous chapter identified key factors for successful interventions in the Bank biodiversity portfolio. To name a few, it is important in designing projects to: · Assign indigenous rights to land tenure and/or access to resources · Implement projects directly by the right indigenous organization/s in the specific project location/s · Respect IPs´ own decision making processes and traditional authori- ties' structure · Strengthen cultural integrity in parallel with technological capacities · Allow for flexibility in timing and processes to reach agreement on project design · Provide adequate resources for capacity building in different aspects of project development On the other hand, the main reasons interventions are more successful in some parts of the world than in others can be summarized in a few issues that are recurrent: · Uneven legislation regarding Indigenous Peoples and their resource rights · Greater difficulties where there is no in-country legislation (i.e., Guy- ana, Democratic Republic of Congo) · IP population numbers low compared with other groups considered to be poor · Overlap between IP ancestral lands and other land use designations (protected areas, extractive industries), which is difficult to undo The Role of Indigenous Peoples in Biodiersity Conseration · Working with IPs perceived as "risky," resources. A recent World Bank review of indig- especially in complex conditions (e.g., enous lands titling in Latin America brings an post-conflict countries) objective understanding of this complex issue (Roldan 2004). The paper recognizes the com- plexity of land rights and titling systems, which LAND RIghTS AND CONSERvATION must be immediately confronted by policy mak- SuCCESS ers or they will continue to be ignored in the public debate. Accordingly, policy coherence and Over the past two decades, many govern- legislation will ultimately benefit Indigenous ments have ratified constitutional provisions Peoples and the rural poor who live from the recognizing the rights of Indigenous Peoples. land. The report also demonstrates that land is Territorial rights are a central claim for IPs, and not only a physical asset with economic and fi- many governments have assigned large terri- nancial value but also an intrinsic dimension of tories to them. These territories often contain peoples' lives and belief systems. high biodiversity richness, and through GEF biodiversity focal area projects the WBG pro- vides assistance in biodiversity management PROTECTED AREAS AND INDIgENOuS in countries such as Brazil, Mexico, Colombia, PEOPLES and Bolivia. In other countries, indigenous lands legislation is not always clearly defined, Indigenous peoples have raised many concerns creating less enabling environments for carry- about the establishment of protected areas in ing out development or conservation projects. their ancestral territories. These concerns are Frequently, governments have established pro- mainly land-related, likely resulting from deci- tectedareasoverlappingwithterritoriesclaimed sion makers' lack of recognition of Indigenous by Indigenous Peoples (although the national Peoples' history with the land. That being said, legislation might not be there to support these the results of this study indicate that the In- claims), causing conflicts between protected- digenous Peoples'situation continues to evolve area managers and indigenous groups. through time despite shortcomings. In Latin Theresultsof ourreviewof WBprojectssug- America, particularly, serious efforts have been gest that where indigenous legislation framework made to remedy IP concerns regarding the legal is stronger, conflicts between Indigenous Peoples status of their land. Bolivia, Brazil, Colombia, and protected-area projects are less severe. For Mexico, Peru, and Ecuador have all developed example, Brazil and Colombia have some of the different models of assigning land rights. Also, strongest indigenous rights legislation, and the in some areas of Southeast Asia and Nepal, collaborationbetweenprotected-areasspecialists, many efforts undertaken by officials have been biodiversity specialists, and Indigenous Peoples successful at attenuating anxieties that may is clearer and less conflictive. The exceptions to arise during the creation of protected areas. this usually occur when, although the legislation As discussed in Chapter 3, Indigenous exists, it is not enforced. Peoples' participation in biodiversity conser- Because territorial rights are a central claim vation efforts empowers them and reduces the for Indigenous Peoples throughout the world, it incidence of conflict. Indigenous participation is critical to understand the processes and frame- can be defined as the direct role they play in work that are found in different countries. These applying their traditional knowledge to fur- rights form the basis for their abilities to survive ther conservation goals; the contribution they as peoples, uphold their spirituality and culture, make by sharing their knowledge to outsiders, maintain and develop their organizations and particularly for scientific purposes; or their ac- productive systems, and conserve their natural tive role in the management and operations Synthesis and Recommendations of protected areas. Projects in Latin America get for co-management with Indigenous have provided outstanding examples of the Peoples (Bolivia and Colombia) or they are latter, and in those cases where participation managed by protected-areas officials with has been weak, efforts have been made to make minimal conflict (Brazil). Many projects sure that those people are better represented that experienced conflicts did so because through the establishment of new committees. indigenous lands claims were not initially Conversely, the most failures with respect to addressed (Peru, Guyana, Cameroon). Indigenous Peoples' active management and 3. Cooperatively map community assets: operational participation are observed in Af- More projects have been requesting that rica, particularly Campo Ma'an (Cameroon), mapping activities be supported. These where denial of the local peoples occurred. mapping activities include training, As we see in the case of Africa, where the equipment, and participatory workshops worst cases have occurred, emphasis should withallcommunitymemberssothattheir be put on local decision makers to promote a hunting places, sacred sites, agricultural better future. Although we have cited only a plots, etc. are mapped. These exercises very few cases from Africa, they are represen- represent a very important empowering tative of a common pattern, as Africa is one of tool for Indigenous Peoples and facilitate the areas where Indigenous Peoples have been future claims of their ancestral lands (Be- more frequently evicted from protected areas lize, Colombia). (Brockington and Igoe 2006). Most of those 4. Promote full participation: There is a need protected areas from which evictions have to ensure that prior consultation, par- been reported were set up before 1980 (Brock- ticipation, and consent procedures are ington and Igoe 2006). designed to be acceptable to Indigenous Peoples and are culturally appropriate. One of the best practices is to establish LESSONS LEARNED FROM BANK signed formal agreements between indig- PORTFOLIO enous organizations and the government authorities before the project starts (Ven- Experience drawn from its extensive portfolio ezuela, Central America). has enabled the World Bank to derive key les- 5. Respect organizational structure of Indig- sons learned from interviews with Indigenous enous Peoples: It is important to maintain Peoples, Bank task managers, NGOs, and Indigenous Peoples' own institutional governments. The key lessons identified for arrangements and decision-making pro- improving indigenous participation in biodi- cesses and avoid the inclination to create versity projects include: new institutional arrangements. Over the long term, this approach will save time 1. Create indigenous-led conservation areas: and effort, reinforce community orga- The cases reviewed in this study show that nization and capacity, and foster better empowering Indigenous Peoples to man- achievement of project objectives and sus- age biodiversity in their own territories tainability. has resulted in a more sustained and cost- 6. Create cooperative governance: If institu- effective way to protect biodiversity. tional arrangements beyond indigenous 2. Assign indigenous land rights: Projects that institutions are needed, unnecessary have assigned indigenous groups their an- complexity should be avoided. Decision- cestral lands experience much less conflict making processes through voting tends during implementation. Protected areas to create winners and losers, which may adjacent to these areas become either a tar- result in conflict. Instead, projects that The Role of Indigenous Peoples in Biodiersity Conseration support forums for reaching consensus indigenous groups in establishing adequate and avoid voting are preferred. indicators for the projects they implement. 7. Develop flexibility of rules and processes: In- digenous Peoples place great importance on processes versus products. Processes BANK OPERATIONAL POLICy ON can themselves be outcomes in project de- INDIgENOuS PEOPLES signs, therefore specific process-oriented indicators should be given more careful The original World Bank Operational Manual consideration. Statement on Tribal Peoples in Bank-financed 8. Provide adequate timing: The application Projects (OMS 2.34) and its current Opera- of Bank procedures and timing should be tional Directive on Indigenous Peoples (OD simplified to ensure that Indigenous Peo- 4.20) have both been instrumental to protect- ples are able to participate. Also, projects ing the land and other rights of Indigenous with Indigenous Peoples require more Peoples. In OD 4.20, Indigenous Peoples are time for reaching agreements or making defined as social groups with a social and decisions, and Bank management should cultural identity distinct from the dominant be aware of these needs. society that makes them vulnerable to being 9. Strengthen cultural integrity: Indigenous disadvantaged in the development process. OD communities that have strong histori- 4.20 requires borrowers to prepare Indigenous cal continuity and cultural and spiritual Peoples Development Plans for any project af- heritage should be supported. These com- fecting Indigenous People. munities are more determined to preserve, The results of this project analysis re- develop, and transmit their ethnic iden- veal that the Latin America and Caribbean tity and ancestral territories to future region engages in the largest number of proj- generations as the basis of their continued ects that have either stand alone IP projects existence as peoples and in accordance or biodiversity projects that support, in their with their own cultural patterns, social totality, IP programs and needs. Both the LAC institutions, and legal systems. Contribu- and the East Asia and Pacific regions consis- tions to cultural revitalization (traditional tently demonstrate due diligence in applying knowledge and spiritual beliefs) can OD 4.20 and IPDPs to biodiversity projects. therefore reflect back well on improved However, it is also evident that the West and conservation efforts. Central Africa and the Pacific regions lag be- 10. Advance income-generating activities: Due hind the others in fully engaging Indigenous to the widespread nature of these types of Peoples in biodiversity projects, where the activities, more in-depth understanding actual projects and their components are car- and review is needed to identify challeng- ried out by indigenous communities and their es, opportunities, and best practices for organizations. improving the quality of outcomes and Furthermore, OED conducted an evalua- increasing sustainability. It is important tionoftheapplicationofOD4.20onIndigenous to avoid requiring that development ben- Peoples. The report concludes that the OD ob- efits be made available only to indigenous jectives are consistent with the Bank's poverty communities that live outside parks, dis- reduction strategy. In some countries and re- criminating against groups who live inside. gions, however, there is insufficient ownership 11. Utilize culturally appropriate indicators: of the OD approach, in part because some of What Indigenous Peoples value might not its features may not be aligned with domestic be the same as what conservationists and approaches toward protecting such vulner- economists value. It is important to assist able groups. The Bank's response has varied, Synthesis and Recommendations given the ambiguity of the policy. In general, engage the Borrower in discussions on how the Bank's approach has been to work within the Bank can best assist the country in pro- the country's legal framework in order to meet viding culturally appropriate assistance to the objectives of the policy. In countries where IPs within the context of the Country Assis- no specific legal framework exists, the Bank tance Strategy and agree with the Borrower sometimes opted to not raise the issue. In those on IP poverty monitoring indicators. The cases, expert opinion secured by the Opera- proposed Bank Procedure should specify tions Evaluation Department suggests a need to clear accountabilities to this end. be more proactive in order to meet the spirit as v. Design regional and subregional strategies well as the letter of the policy. Coherence with to implement the OP given the significant the application of other safeguard policies (for differences in circumstances faced by Bank example, resettlement and environment) and staff in implementing the policy. harmonization with other multilateral agencies have also proved to be challenges. Based on the Phase I review, the OED rec- INDIgENOuS PEOPLES' PERSPECTIvES IN ommended that the Bank: BIODIvERSITy CONSERvATION i. Clarify the intent,scope,and requirements Indigenous peoples have voiced their aspira- of the revised OP. tions in all the forums and meetings they have ii. Distinguish clearly between the safeguard engaged in during the past years. Table 5 pres- (do no harm) aspects of the revised OP ents the list of recommendations drawn from a and its do-good aspects. The OP should consultation of the many different documents clearly delineate the extent of the Bank's generated from these forums and meetings. safeguard responsibilities. On the other The first column lists priority actions that hand, many of the do-good aspects would are spelled out in many of these declarations be better specified in the Source Book. by IPs. In the other columns we have counted The policy relating to projects where IP the number of WB projects that have exercised are only beneficiaries should be moved best practices with Indigenous Peoples. The out of the safeguard section of the policy WB projects accounted for only include biodi- and placed in the second section in the versity projects and do not include other Bank proposed OP 4.20. projects in health,education,and other sectors. iii. Identify indigenous and tribal groups in a In those sections of Table 5 without any cross- manner consistent with the country's legal es, we can see that the Bank has room to grow framework. In countries where the legal to complete the biodiversity investments and framework does not meet the standards fully engage Indigenous Peoples' participation of the policy relating to coverage of IPs, in many of their aspirations. We also observe the Bank should ensure that IP are pro- that most projects have supported co-manage- tected within the overall framework of its ment programs (line with more crosses) with poverty reduction policies and establish a National Parks agencies. project-level system to monitor disaggre- The Bank's indigenous policy has been gated impact on IPs. In addition, the Bank a key legal instrument in the development of should address the issue wherever appro- the biodiversity portfolio and recognizes that priate in its country dialogue. conservation objectives should never under- iv. Ensure that in countries with significant IP mine inalienable indigenous rights; rather, the populations the Country Director, in con- two should be integrated in the search for truly sultation with the Environmentally and sustainable development. The Bank has also Socially Sustainable Development Network, gained a vast operational experience given the The Role of Indigenous Peoples in Biodiersity Conseration Table 5: Synthesis of the Aspirations of Indigenous Peoples Based on Meetings, Workshops, and Declarations from Forums Recommendations Legal & Political Framework Developlegislation/IPrights Developlegislation/landaccess/Intellectual propertyrights Enforcelegislation ProvideseatstoIPleadersinstatedecisionmaking Territories and Land Use Zoning Providelandtitle xxxxx Assignaccessrights xxxxx Landmapping xxxxxxxxx Carryoutlanddemarcation xxxx Developlifeplan/communityplans xxxxxxxxxxxxx Regulateplanthroughcommunitystatuses Environment and Cultural Sites Co-managementprograms xxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxxx Protectsacredsites Protectendangeredspecies xxx Restorationandreforestation xxx Controllinginvasion Managingfire Education & Professional Training Ensurebilingualsystem xxx DevelopIPuniversity Targetedcapacity-buildingactivities xxxxxxxxxxxxxxxxxxx Health & Traditional Medicine Recovertraditionalmedicine xx Youthtransmissionprograms Cultural &Spiritual Knowledge Ethnohistoricalrecovery Eldersknowledgepreservation Youthapprenticeshipprogram Recoveryofseedbanksandplants Social Infrastructure to achieve a minimum standard of living Healthcarefacilities Educationfacilities Watersupplyandtreatment Communityfacilities(markets,assemblies,workshops...) Transport (Continue on next page) Synthesis and Recommendations Table 5: Synthesis of the Aspirations of Indigenous Peoples Based on Meetings, Workshops, and Declarations from Forums (Continued) Recommendations Public Awareness & Communications Radioprograms Workshops xxxxxxx DocumentariestorecoverTK Exchangeprogramswithothers Bestpractices Production and Economic Alternatives Providefoodsecurity Paymentsforecosystemservices Agro-biodiversity xxxxx Crafts Tourism xxxxx Improvemarkets Researchnewproducts large portfolio of protected-areas projects in tremendous responsibility to ensure that this the world that it manages, some of which inter- potentially irreversible loss is averted, as there act closely with Indigenous Peoples' lands and is probably only a short window of time to ad- their interests. In some cases, these projects have dress these threats effectively. worked in a positive way to find win-win solu- This discussion paper has allowed us to tions, but other projects have had challenges in reflect on the gaps in financing and supporting meeting both the human and biodiversity goals. activities that are part of the future of Indige- As can be noted in Table 5, programmatic nous Peoples and their lands and environment. areas that have not yet been supported by WB The World Bank through the environment biodiversity projects with indigenous partici- portfolio is financing a very limited number of pation include legal and political framework, activities, as seen in Table 5. The areas of high health and traditional knowledge, cultural and biodiversity and Indigenous Peoples are under spiritual knowledge, and social infrastructure tremendous threats to be eliminated, along to achieve a minimum standard of living. By with the knowledge that these societies still also supporting activities in these areas, the hold. The responsibility of government and fi- Bank will contribute to improved community nanciers is tremendous and there is probably health, quality of life, strengthened community only a short window of time to address these and cultural identity, and enhanced sustain- threats, otherwise the loss can be irreversible. able development, ultimately resulting in less environmental degradation, especially in those areas where indigenous territories overlap with WIN-WIN SITuATION By ENgAgINg IPS areas rich in biodiversity. In these geographic MORE EFFECTIvELy areas of overlap the threats and potential for loss of cultural and biological diversity are The findings of this report support the con- great. The governments and financiers have a tention that engaging IPs more effectively in The Role of Indigenous Peoples in Biodiersity Conseration biodiversity conservation represents a win-win involving Indigenous Peoples has many situation, as the following concrete examples more benefits than if only government illustrate: and/or the private sector are involved. Indigenous peoples are some of the most · Expanding Beyond National Parks. Many vulnerable groups to the negative effects or most of the world's major centers of of climate change. Also, they are a source biodiversity coincide with areas occu- of knowledge to the many solutions that pied or controlled by Indigenous Peoples. will be needed to avoid or ameliorate Traditional Indigenous Territories en- those effects. For example, ancestral ter- compass up to 22 percent of the world's ritories often provide excellent examples land surface. They coincide with areas of a landscape design that can resist the that hold 80 percent of the planet's bio- negatives effects of climate change. Over diversity (WRI 2005). Also, the greatest the millennia, Indigenous Peoples have diversity of indigenous groups coincides developed adaptation models to climate with the world's largest tropical forest wil- change. They have also developed genetic derness areas in the Americas (including varieties of medicinal and useful plants Amazon), Africa, and Asia and 11 percent and animal breeds with a wider natural of world forest lands are legally owned range of resistance to climatic and eco- by Indigenous Peoples and communities logical variability. (White et al. 2004). This convergence of · Complying with Agreed Policies. Focus- biodiversity-significant areas and indig- ing on Indigenous Peoples´ leadership is enous territories presents an enormous consistent with the World Bank's imple- opportunity to expand efforts to conserve mentation of the Operational Policy on biodiversity beyond parks, which tend to Indigenous Peoples. The IP policy is a benefit from most of the funding for bio- key instrument to ensure that the voices diversity conservation. of IP are heard and that projects address · Tapping on Ancestral Knowledge. Indig- their interests. enous Peoples are carriers of ancestral knowledge and wisdom about this bio- diversity. Their effective participation hOPE FOR A BETTER FuTuRE in biodiversity conservation programs would result in more innovative and Most people and organizations want to see ma- cost-effective conservation and manage- terial progress, wealth, and higher standards of ment. living.Many actions in society that could be in- · Addressing the Climate Change Agenda. terpreted as violations of indigenous rights and Indigenous Peoples have played a key destruction of the environment are justified in role in climate change mitigation and thenameof progress,growth,development,etc. adaptation. The territories of indigenous Everywhere the world is struggling to reconcile groups who have been given the rights to the different human actions taken by individu- their lands have been better conserved als,groups of individuals,governments,private than the adjacent lands (i.e., Brazil, Co- companies,multinationalcorporations,etc.We lombia, Nicaragua, etc.). Preserving large live in a very diverse world with many points of extensions of forests would not only view, particularly in the areas of ethics, respect support the climate change objectives, for each other's well-being and for nature, gen- but it would respect the rights of Indig- erosity, responsibility, caring for communities enous Peoples and conserve biodiversity and the world, and taking care of the environ- as well. A climate change agenda fully ment. 0 Synthesis and Recommendations WithrespecttoIndigenousPeoplesandbio- Fourth, support training programs to en- diversity conservation, it seems that the ground hance Indigenous Peoples' skills for accessing is prepared for a more positive integration of funding, developing programs and projects understanding the synergies and addressing the according to their needs, and communicating respective challenges. The key need is to develop with the external world. This would improve a shared, long-term vision of the issues of bio- their capacity to negotiate on any activities that diversity conservation and Indigenous Peoples' happen in their lands. rights. The societal trends show an increase in Indigenous Peoples' rights approaches to de- Fifth, support the development of global da- velopment, which is more likely to have many tabases that track the status of Indigenous positive outcomes in the eradication of poverty Peoples, their rights, land claims, and biodiver- and elimination of conflicts. This implies that sity. These databases are urgently needed and over the long run, national legislation is increas- could serve as a tool for avoiding controversial ingly likely to address many of the indigenous land issues and conflicts between indigenous rights' issues mentioned in this report. For ex- groups, conservationists and all the extractive ample, it is likely that countries will continue to industries that seek the same remote areas. give more land rights to poor and indigenous Indigenous Peoples should be responsible communities, and indeed this trend can already for developing these databases with the full be seen in the actions of many governments funding and support by non-indigenous or- around the world. ganizations, governments, and international There is an incredible opportunity lying funders and organizations. This should be a ahead to work with Indigenous Peoples toward global coordinated effort. the protection of their environments in areas of the world very rich in biodiversity. In order Sixth,support a comprehensive program of as- to increase this opportunity, key actions need set mapping and demarcation for Indigenous to be taken by all national governments and in- Peoples in the areas under greatest threats as ternational organizations and funders: a tool for empowerment and for protecting their heritage, lands, and biodiversity. Such a First,support processes toward the recognition program should include training and support of the rights of Indigenous Peoples to their an- for individual on-the-ground activities and cestral lands and natural resources. for regional and global workshops for train- ing, exchange of ideas, and sharing of lessons Second, ensure that any conservation or de- learned. velopment projects or programs fully respect the WB policy BP and OP 4.10 on Indigenous Seventh, facilitate the regular participation of Peoples and/or the United Nations Declaration Indigenous Peoples in dialogues and negotia- on the rights of Indigenous Peoples. tions of biodiversity, forestry, climate change strategies and in on-going portfolio and pro- Third, dedicate funding for supporting In- grams reviews. Research and monitoring of digenous Peoples in biodiversity conservation their participation in biodiversity conservation and climate change. Currently, the funding has should be regularly carried out with them. been limited. Indigenous Peoples' programs have been excluded from large funding mecha- Eight, support the research and documenta- nisms. (In the WB biodiversity portfolio, only tion of best practices of on-going indigenous 18 percent goes to IP programs.) Funding initiatives in biodiversity, climate change, car- needs to address technical assistance needs for bon sequestration, forestry, and so on so that building the capacity of indigenous communi- governments, funders, and international orga- ties to receive support. The Role of Indigenous Peoples in Biodiersity Conseration nizations appreciate the value and importance population, they are not on the radar screens of of indigenous-led conservation programs. governments or international financiers. How- ever, these groups do represent 95 percent of Nine, support Indigenous Peoples' networks the global cultural diversity and are replete with whose aim is to promote IP rights to land and traditions, cultures, and knowledge of their en- ancestral recovery, biodiversity conservation, vironments, plants, medicine, astronomy, inner and development.An initial project is being de- science, and land and soil management. veloped with First Peoples World Wide to carry The models of development in the mod- out three regional workshops to assess Indig- ern world that we are following have not used enous Peoples' access to biodiversity funding. the ancestral knowledge accumulated during This initiative, while completely run by an thousands of years of interactions between indigenous-led organization, should not pre- humankind and nature. Ignoring these past in- clude the Bank from engaging as international novations has brought us to many of the global financiers in other initiatives, particularly in problems that we are facing with biodiversity Africa and Asia, where the current Bank port- extinction, climate change, and other ecologi- folio is still weak. calproblems.Inrecentyears,wehaveseenmore appreciation for ancestral knowledge. King, Ten, support the creation of indigenous elders' in his book Farmers of Forty Centuries (2004) networks. Many elders have started to come presents soil and farming techniques 40 centu- out and speak about their concerns, the ur- ries old and acknowledges their usefulness to gency of rescuing traditional knowledge, and modern organic agriculture and soil conserva- their visions of the solutions. The two great- tion and management. Also, the discovery of est threats faced by Indigenous Peoples are the "Indian black soil," an old technique used by loss of their lands and the loss of their cultural Amazonian Indigenous Peoples to manage and spiritual identity and ancestral knowledge. soils, has proved to be one of the most effec- This is as serious a threat as the massive extinc- tive ways to store large quantities of carbon in tion of species on Earth. Gatherings of elders the soil for long periods of time and is becom- where they share their knowledge with other ing an inspiration for the development of new ethnic groups and with westerners can be an technologies to combat climate change. effective mechanism for ensuring that knowl- One of the most unique qualities of the edge is not lost, especially if two conditions are World Bank is that it is a global institution and met: indigenous youth are active participants is like a small macrocosm in itself. This puts and the recording and archiving of information the Bank in a unique position of influence to is supported. Support for indigenous women's help re-establish the harmonious interaction networks is also needed as they are in many so- between men and nature. The wisdom of In- cieties the carriers of ancestral knowledge. digenous Peoples has not made it into the Bank thinking but could potentially support new Eleven, contribute to the establishment and ways of approaching problems and appropriate operation of effective indigenous advisory processes to find more long-lasting solutions. groups in the new global initiatives for biodi- But most of all, supporting the conservation of versity, forest, or climate change that affect IP Indigenous Peoples and their knowledge could livelihood and programs. help many societies in the world. On one hand, our societies depend on modern scientists who Finally, 5000 ethnic groups currently com- look into the technical solutions through the prise only 4 percent of the population. Because power of the intellect. On the other hand, our they are such a small interest group, represent- societies have not relied enough on Indigenous ing a tiny fraction of the overall global human Peoples who look into the power of nature, Synthesis and Recommendations based on thousands of years of experience and for biodiversity conservation worldwide will wisdom. Ideally, a marriage between modern critically depend on the active and effective science and indigenous wisdom would make engagement of Indigenous Peoples. Without a greater contribution to help our planet and their full engagement, major conservation maintain a balance. In many ways, Indigenous initiatives under way today--both public and Peoples are also viewed as scientists in their private--will be compromised, and all citizens own right. The richness that they contribute of the world will lose as a result. Indigenous is an invaluable asset for building peaceful, peoples are the forgotten partners in biodiver- harmonious, wise, and balanced societies. The sity conservation, and this report makes the Bank and other international financiers need case for their immediate incorporation into all to take a more proactive role in ensuring that forms of development interventions that have the needs these groups have identified are sup- to do with their land, resources and environ- ported through programs and projects. ment. This is an issue not only of rights but In conclusion, the principal finding of also of development effectiveness and social this report is that creating a sustainable future equity in all their tenor and scope. 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Annexes Annex 1 United Nations Declaration on the Rights of Indigenous Peoples Adopted by General Assembly Resolution 61/295 on 13 September 2007 ThE gENERAL ASSEMBLy, Guided by the purposes and principles of the Charter of the United Nations, and good faith in the fulfilment of the obligations assumed by States in ac- cordance with the Charter, Affirming that indigenous peoples are equal to all other peoples, while recog- nizing the right of all peoples to be different, to consider themselves different, and to be respected as such, Affirming also that all peoples contribute to the diversity and richness of civilizations and cultures, which constitute the common heritage of human- kind, Affirming further that all doctrines, policies and practices based on or advo- cating superiority of peoples or individuals on the basis of national origin or racial, religious, ethnic or cultural differences are racist, scientifically false, legally invalid, morally condemnable and socially unjust, Reaffirming that indigenous peoples, in the exercise of their rights, should be free from discrimination of any kind, The Role of Indigenous Peoples in Biodiersity Conseration Concerned that indigenous peoples have suf- Recognizing in particular the right of indig- fered from historic injustices as a result of, enous families and communities to retain inter alia, their colonization and dispossession shared responsibility for the upbringing, train- of their lands, territories and resources, thus ing, education and well-being of their children, preventing them from exercising, in particular, consistent with the rights of the child, their right to development in accordance with their own needs and interests, Considering that the rights affirmed in trea- ties, agreements and other constructive Recognizing the urgent need to respect and arrangements between States and indigenous promote the inherent rights of indigenous peoples are, in some situations, matters of in- peoples which derive from their political, eco- ternational concern, interest, responsibility nomic and social structures and from their and character, cultures, spiritual traditions, histories and phi- losophies, especially their rights to their lands, Considering also that treaties, agreements and territories and resources, other constructive arrangements, and the re- lationship they represent, are the basis for a Recognizing also the urgent need to respect strengthened partnership between indigenous and promote the rights of indigenous peoples peoples and States, affirmed in treaties, agreements and other con- structive arrangements with States, Acknowledging that the Charter of the Unit- ed Nations, the International Covenant on Welcoming the fact that indigenous peoples are Economic, Social and Cultural Rights (2) organizing themselves for political, economic, and the International Covenant on Civil and social and cultural enhancement and in order Political Rights,2 as well as the Vienna Decla- to bring to an end all forms of discrimination ration and Programme of Action,(3) affirm and oppression wherever they occur, the fundamental importance of the right to self-determination of all peoples, by virtue Convinced that control by indigenous peoples of which they freely determine their political over developments affecting them and their status and freely pursue their economic, social lands, territories and resources will enable and cultural development, them to maintain and strengthen their institu- tions, cultures and traditions, and to promote Bearing in mind that nothing in this Decla- their development in accordance with their as- ration may be used to deny any peoples their pirations and needs, right to self-determination, exercised in con- formity with international law, Recognizing that respect for indigenous knowledge, cultures and traditional practices Convinced that the recognition of the rights of contributes to sustainable and equitable de- indigenous peoples in this Declaration will en- velopment and proper management of the hance harmonious and cooperative relations environment, between the State and indigenous peoples, based on principles of justice, democracy, re- Emphasizing the contribution of the de- spect for human rights, non-discrimination militarization of the lands and territories of and good faith, indigenous peoples to peace, economic and social progress and development, understand- Encouraging States to comply with and effec- ing and friendly relations among nations and tively implement all their obligations as they peoples of the world, apply to indigenous peoples under interna- Annex . united Nations Declaration on the Rights of Indigenous Peoples, September 00 tional instruments, in particular those related Article to human rights, in consultation and coopera- Indigenous peoples and individuals are free tion with the peoples concerned, and equal to all other peoples and individuals and have the right to be free from any kind of Emphasizing that the United Nations has an discrimination, in the exercise of their rights, important and continuing role to play in pro- in particular that based on their indigenous moting and protecting the rights of indigenous origin or identity. peoples, Believing that this Declaration is a further Article important step forward for the recognition, Indigenous peoples have the right to self- promotion and protection of the rights and determination. By virtue of that right they freedoms of indigenous peoples and in the de- freely determine their political status and free- velopment of relevant activities of the United ly pursue their economic, social and cultural Nations system in this field, development. Recognizing and reaffirming that indigenous individuals are entitled without discrimination Article to all human rights recognized in international Indigenous peoples, in exercising their right to law, and that indigenous peoples possess col- self-determination, have the right to autonomy lective rights which are indispensable for their or self-government in matters relating to their existence, well-being and integral development internal and local affairs, as well as ways and as peoples, means for financing their autonomous func- tions. Recognizing that the situation of indigenous peoples varies from region to region and from Article country to country and that the significance of Indigenous peoples have the right to maintain national and regional particularities and vari- and strengthen their distinct political, legal, ous historical and cultural backgrounds should economic, social and cultural institutions, be taken into consideration, while retaining their right to participate fully, if they so choose, in the political, economic, so- Solemnly proclaims the following United Na- cial and cultural life of the State. tions Declaration on the Rights of Indigenous Peoples as a standard of achievement to be pursued in a spirit of partnership and mutual Article respect: Every indigenous individual has the right to a nationality. Article Indigenous peoples have the right to the full Article enjoyment, as a collective or as individuals, of 1. Indigenous individuals have the rights to all human rights and fundamental freedoms life, physical and mental integrity, liberty as recognized in the Charter of the United and security of person. Nations, the Universal Declaration of Human 2. Indigenous peoples have the collective Rights(4) and international human rights right to live in freedom, peace and secu- law. rity as distinct peoples and shall not be subjected to any act of genocide or any The Role of Indigenous Peoples in Biodiersity Conseration other act of violence, including forcibly Article removing children of the group to anoth- 1. Indigenous peoples have the right to prac- er group. tise and revitalize their cultural traditions and customs. This includes the right to maintain, protect and develop the past, Article present and future manifestations of their 1. Indigenous peoples and individuals have cultures, such as archaeological and his- the right not to be subjected to forced torical sites, artefacts, designs, ceremonies, assimilation or destruction of their cul- technologies and visual and performing ture. arts and literature. 2. States shall provide effective mechanisms 2. States shall provide redress through ef- for prevention of, and redress for: fective mechanisms, which may include a. Any action which has the aim or effect restitution, developed in conjunction with of depriving them of their integrity as indigenous peoples, with respect to their distinct peoples, or of their cultural val- cultural, intellectual, religious and spiritu- ues or ethnic identities; al property taken without their free, prior b. Any action which has the aim or effect and informed consent or in violation of of dispossessing them of their lands, their laws, traditions and customs. territories or resources; c. Any form of forced population transfer which has the aim or effect of violating Article or undermining any of their rights; 1. Indigenous peoples have the right to d. Any form of forced assimilation or in- manifest, practise, develop and teach their tegration; spiritual and religious traditions, customs e. Any form of propaganda designed to and ceremonies; the right to maintain, promote or incite racial or ethnic dis- protect, and have access in privacy to their crimination directed against them. religious and cultural sites; the right to the use and control of their ceremonial ob- jects; and the right to the repatriation of Article their human remains. Indigenous peoples and individuals have the 2. States shall seek to enable the access and/or right to belong to an indigenous community repatriation of ceremonial objects and hu- or nation, in accordance with the traditions man remains in their possession through and customs of the community or nation con- fair, transparent and effective mechanisms cerned. No discrimination of any kind may developed in conjunction with indigenous arise from the exercise of such a right. peoples concerned. Article 0 Article Indigenous peoples shall not be forcibly re- 1. Indigenous peoples have the right to revi- moved from their lands or territories. No talize, use, develop and transmit to future relocation shall take place without the free, generations their histories, languages, oral prior and informed consent of the indigenous traditions, philosophies, writing systems peoples concerned and after agreement on just and literatures, and to designate and re- and fair compensation and, where possible, tain their own names for communities, with the option of return. places and persons. 2. States shall take effective measures to en- sure that this right is protected and also Annex . united Nations Declaration on the Rights of Indigenous Peoples, September 00 to ensure that indigenous peoples can of non-indigenous media without dis- understand and be understood in politi- crimination. cal, legal and administrative proceedings, 2. States shall take effective measures to en- where necessary through the provision sure that State-owned media duly reflect of interpretation or by other appropriate indigenous cultural diversity. States, with- means. out prejudice to ensuring full freedom of expression, should encourage privately owned media to adequately reflect indig- Article enous cultural diversity. 1. Indigenous peoples have the right to es- tablish and control their educational systems and institutions providing educa- Article tion in their own languages, in a manner 1. Indigenous individuals and peoples have appropriate to their cultural methods of the right to enjoy fully all rights estab- teaching and learning. lished under applicable international and 2. Indigenous individuals, particularly chil- domestic labour law. dren, have the right to all levels and forms 2. States shall in consultation and coop- of education of the State without discrim- eration with indigenous peoples take ination. specific measures to protect indigenous 3. States shall, in conjunction with indig- children from economic exploitation enous peoples, take effective measures, and from performing any work that is in order for indigenous individuals, par- likely to be hazardous or to interfere with ticularly children, including those living the child's education, or to be harmful outside their communities, to have access, to the child's health or physical, mental, when possible, to an education in their spiritual, moral or social development, own culture and provided in their own taking into account their special vulner- language. ability and the importance of education for their empowerment. 3. Indigenous individuals have the right Article not to be subjected to any discriminatory 1. Indigenous peoples have the right to the conditions of labour and, inter alia, em- dignity and diversity of their cultures, tra- ployment or salary. ditions, histories and aspirations which shall be appropriately reflected in educa- tion and public information. Article 2. States shall take effective measures, in Indigenous peoples have the right to par- consultation and cooperation with the ticipate in decision-making in matters which indigenous peoples concerned, to combat would affect their rights, through representa- prejudice and eliminate discrimination tives chosen by themselves in accordance with and to promote tolerance, understand- their own procedures, as well as to maintain ing and good relations among indigenous and develop their own indigenous decision- peoples and all other segments of society. making institutions. Article Article 1. Indigenous peoples have the right to es- States shall consult and cooperate in good tablish their own media in their own faith with the indigenous peoples concerned languages and to have access to all forms through their own representative institu- The Role of Indigenous Peoples in Biodiersity Conseration tions in order to obtain their free, prior and Article informed consent before adopting and imple- Indigenous peoples have the right to deter- menting legislative or administrative measures mine and develop priorities and strategies for that may affect them. exercising their right to development. In par- ticular, indigenous peoples have the right to be actively involved in developing and determin- Article 0 ing health, housing and other economic and 1. Indigenous peoples have the right to social programmes affecting them and, as far maintain and develop their political, eco- as possible, to administer such programmes nomic and social systems or institutions, through their own institutions. to be secure in the enjoyment of their own means of subsistence and development, and to engage freely in all their traditional Article and other economic activities. 1. Indigenous peoples have the right to their 2. Indigenous peoples deprived of their traditional medicines and to maintain means of subsistence and development their health practices, including the con- are entitled to just and fair redress. servation of their vital medicinal plants, animals and minerals.Indigenous individ- uals also have the right to access, without Article any discrimination, to all social and health 1. Indigenous peoples have the right, with- services. out discrimination, to the improvement 2. Indigenous individuals have an equal right of their economic and social conditions, to the enjoyment of the highest attainable including, inter alia, in the areas of edu- standard of physical and mental health. cation, employment, vocational training States shall take the necessary steps with and retraining, housing, sanitation, health a view to achieving progressively the full and social security. realization of this right. 2. States shall take effective measures and, where appropriate, special measures to ensure continuing improvement of their Article economic and social conditions. Particu- Indigenous peoples have the right to main- lar attention shall be paid to the rights tain and strengthen their distinctive spiritual and special needs of indigenous elders, relationship with their traditionally owned or women, youth, children and persons with otherwise occupied and used lands, territories, disabilities. waters and coastal seas and other resources and to uphold their responsibilities to future gen- erations in this regard. Article 1. Particular attention shall be paid to the rights and special needs of indigenous el- Article ders, women, youth, children and persons 1. Indigenous peoples have the right to the with disabilities in the implementation of lands, territories and resources which they this Declaration. have traditionally owned, occupied or 2. States shall take measures, in conjunction otherwise used or acquired. with indigenous peoples, to ensure that 2. Indigenous peoples have the right to indigenous women and children enjoy the own, use, develop and control the lands, full protection and guarantees against all territories and resources that they pos- forms of violence and discrimination. sess by reason of traditional ownership Annex . united Nations Declaration on the Rights of Indigenous Peoples, September 00 or other traditional occupation or use, as their lands or territories and resources. well as those which they have otherwise States shall establish and implement assis- acquired. tance programmes for indigenous peoples 3. States shall give legal recognition and for such conservation and protection, protection to these lands, territories and without discrimination. resources. Such recognition shall be con- 2. States shall take effective measures to ducted with due respect to the customs, ensure that no storage or disposal of haz- traditions and land tenure systems of the ardous materials shall take place in the indigenous peoples concerned. lands or territories of indigenous peoples without their free, prior and informed consent. Article 3. States shall also take effective measures States shall establish and implement, in con- to ensure, as needed, that programmes junction with indigenous peoples concerned, for monitoring, maintaining and restor- a fair, independent, impartial, open and ing the health of indigenous peoples, as transparent process, giving due recognition developed and implemented by the peo- to indigenous peoples' laws, traditions, cus- ples affected by such materials, are duly toms and land tenure systems, to recognize implemented. and adjudicate the rights of indigenous peo- ples pertaining to their lands, territories and resources, including those which were tradi- Article 0 tionally owned or otherwise occupied or used. 1. Military activities shall not take place in the Indigenous peoples shall have the right to par- lands or territories of indigenous peoples, ticipate in this process. unless justified by a relevant public interest or otherwise freely agreed with or request- ed by the indigenous peoples concerned. Article 2. States shall undertake effective con- 1. Indigenous peoples have the right to sultations with the indigenous peoples redress, by means that can include restitu- concerned,throughappropriateprocedures tion or, when this is not possible, just, fair and in particular through their representa- and equitable compensation,for the lands, tive institutions, prior to using their lands territories and resources which they have or territories for military activities. traditionally owned or otherwise occupied or used, and which have been confiscated, taken, occupied, used or damaged without Article their free, prior and informed consent. 1. Indigenous peoples have the right to 2. Unless otherwise freely agreed upon by maintain, control, protect and develop the peoples concerned, compensation their cultural heritage, traditional knowl- shall take the form of lands, territories edge and traditional cultural expressions, and resources equal in quality, size and as well as the manifestations of their sci- legal status or of monetary compensation ences,technologies and cultures,including or other appropriate redress. human and genetic resources, seeds, med- icines, knowledge of the properties of fauna and flora, oral traditions, literatures, Article designs, sports and traditional games and 1. Indigenous peoples have the right to the visual and performing arts. They also have conservation and protection of the envi- the right to maintain, control, protect and ronment and the productive capacity of develop their intellectual property over The Role of Indigenous Peoples in Biodiersity Conseration such cultural heritage, traditional knowl- traditions, procedures, practices and, in the edge, and traditional cultural expressions. cases where they exist, juridical systems or cus- 2. In conjunction with indigenous peoples, toms, in accordance with international human States shall take effective measures to rec- rights standards. ognize and protect the exercise of these rights. Article Indigenous peoples have the right to determine Article the responsibilities of individuals to their com- 1. Indigenous peoples have the right to deter- munities. mine and develop priorities and strategies for the development or use of their lands or territories and other resources. Article 2. States shall consult and cooperate in good 1. Indigenous peoples, in particular those faith with the indigenous peoples con- divided by international borders, have the cerned through their own representative right to maintain and develop contacts, institutions in order to obtain their free relations and cooperation, including ac- and informed consent prior to the ap- tivities for spiritual, cultural, political, proval of any project affecting their lands economic and social purposes, with their or territories and other resources, particu- own members as well as other peoples larly in connection with the development, across borders. utilization or exploitation of mineral, wa- 2. States, in consultation and cooperation ter or other resources. with indigenous peoples, shall take ef- 3. States shall provide effective mechanisms fective measures to facilitate the exercise for just and fair redress for any such ac- and ensure the implementation of this tivities, and appropriate measures shall be right. taken to mitigate adverse environmental, economic, social, cultural or spiritual im- pact. Article 1. Indigenous peoples have the right to the recognition, observance and enforcement Article of treaties,agreementsandotherconstruc- 1. Indigenous peoples have the right to de- tive arrangements concluded with States termine their own identity or membership or their successors and to have States hon- in accordance with their customs and tra- our and respect such treaties, agreements ditions. This does not impair the right of and other constructive arrangements. indigenous individuals to obtain citizen- 2. Nothing in this Declaration may be inter- ship of the States in which they live. preted as diminishing or eliminating the 2. Indigenous peoples have the right to de- rights of indigenous peoples contained in termine the structures and to select the treaties, agreements and other construc- membership of their institutions in accor- tive arrangements. dance with their own procedures. Article Article States in consultation and cooperation with Indigenous peoples have the right to promote, indigenous peoples, shall take the appropri- develop and maintain their institutional struc- ate measures, including legislative measures, to tures and their distinctive customs, spirituality, achieve the ends of this Declaration. Annex . united Nations Declaration on the Rights of Indigenous Peoples, September 00 Article Article Indigenous peoples have the right to have ac- All the rights and freedoms recognized herein cess to financial and technical assistance from are equally guaranteed to male and female in- States and through international cooperation, digenous individuals. for the enjoyment of the rights contained in this Declaration. Article Nothing in this Declaration may be construed Article 0 as diminishing or extinguishing the rights in- Indigenous peoples have the right to access digenous peoples have now or may acquire in to and prompt decision through just and fair the future. procedures for the resolution of conflicts and disputes with States or other parties, as well as to effective remedies for all infringements Article of their individual and collective rights. Such 1. Nothing in this Declaration may be inter- a decision shall give due consideration to the preted as implying for any State, people, customs, traditions, rules and legal systems of group or person any right to engage in any the indigenous peoples concerned and inter- activity or to perform any act contrary to national human rights. the Charter of the United Nations or con- strued as authorizing or encouraging any action which would dismember or impair, Article totally or in part, the territorial integrity The organs and specialized agencies of the or political unity of sovereign and inde- United Nations system and other intergovern- pendent States. mental organizations shall contribute to the 2. In the exercise of the rights enunciated in full realization of the provisions of this Decla- the present Declaration,human rights and ration through the mobilization, inter alia, of fundamental freedoms of all shall be re- financial cooperation and technical assistance. spected. The exercise of the rights set forth Ways and means of ensuring participation of in this Declaration shall be subject only indigenous peoples on issues affecting them to such limitations as are determined by shall be established. law and in accordance with international human rights obligations. Any such limi- tations shall be non-discriminatory and Article strictly necessary solely for the purpose of The United Nations, its bodies, including the securing due recognition and respect for Permanent Forum on Indigenous Issues, and the rights and freedoms of others and for specialized agencies, including at the country meeting the just and most compelling re- level, and States shall promote respect for and quirements of a democratic society. full application of the provisions of this Dec- 3. The provisions set forth in this Declara- laration and follow up the effectiveness of this tion shall be interpreted in accordance Declaration. with the principles of justice, democracy, respect for human rights, equality, non- discrimination, good governance and Article good faith. The rights recognized herein constitute the minimum standards for the survival, dignity (2) See resolution 2200 A (XXI), annex. and well-being of the indigenous peoples of (3) A/CONF.157/24 (Part I), chap. III. the world. (4) Resolution 217 A (III). Annex 2 Operational Policies These policies were prepared for use by World Bank staff and are not necessarily a complete treatment of the subject. INDIgENOuS PEOPLES Note: OP and BP 4.10 together replace OD 4.20, Indigenous Peoples, dated September 1991. These OP and BP apply to all projects for which a Project Concept Review takes place on or after July 1, 2005. Questions may be ad- dressed to the Director, Social Development Department (SDV). 1. This policy1 contributes to the Bank's2 mission of poverty reduction and sustainable development by ensuring that the development process fully respects the dignity, human rights, economies, and cultures of Indigenous Peoples. For all projects that are proposed for Bank financing and affect In- digenous Peoples,3 the Bank requires the borrower to engage in a process of free, prior, and informed consultation.4 The Bank provides project fi- nancing only where free, prior, and informed consultation results in broad community support to the project by the affected Indigenous Peoples.5 Such Bank-financed projects include measures to (a) avoid potentially adverse ef- fects on the Indigenous Peoples' communities; or (b) when avoidance is not feasible, minimize, mitigate, or compensate for such effects. Bank-financed projects are also designed to ensure that the Indigenous Peoples receive social and economic benefits that are culturally appropriate and gender and inter- generationally inclusive. 2. The Bank recognizes that the identities and cultures of Indigenous Peo- ples are inextricably linked to the lands on which they live and the natural resources on which they depend. These distinct circumstances expose Indigenous Peoples to different types of risks and levels of impacts from development projects, including loss of identity, culture, and customary livelihoods, as well as exposure to disease. Gender and intergenerational The Role of Indigenous Peoples in Biodiersity Conseration issues among Indigenous Peoples also are d. an indigenous language, often different complex. As social groups with identities that from the official language of the country are often distinct from dominant groups in or region. their national societies, Indigenous Peoples are frequently among the most marginalized A group that has lost "collective attachment and vulnerable segments of the population. to geographically distinct habitats or ancestral As a result, their economic, social, and legal territories in the project area"(paragraph 4 (b)) status often limits their capacity to defend because of forced severance remainseligible their interests in and rights to lands, territo- for coverage under this policy.8 Ascertaining ries, and other productive resources, and/or whether a particular group is considered as restricts their ability to participate in and "Indigenous Peoples" for the purpose of this benefit from development. At the same time, policy may require a technical judgment (see the Bank recognizes that Indigenous Peoples paragraph 8). play a vital role in sustainable development and that their rights are increasingly being 5. Use of Country Systems. The Bank may de- addressed under both domestic and interna- cide to use a country's systems to address tional law. environmental and social safeguard issues in a Bank-financed project that affects Indigenous 3. Identification. Because of the varied and Peoples. This decision is made in accordance changing contexts in which Indigenous Peo- with the requirements of the applicable Bank ples live and because there is no universally policy on country systems.9 accepted definition of "Indigenous Peoples," this policy does not define the term. Indig- enous Peoples may be referred to in different PROjECT PREPARATION countries by such terms as "indigenous ethnic minorities,""aboriginals,""hill tribes,""minor- 6. A project proposed for Bank financing that ity nationalities," "scheduled tribes," or "tribal affects Indigenous Peoples requires: groups." a. screening by the Bank to identify whether 4. For purposes of this policy, the term"Indige- Indigenous Peoples are present in, or have nous Peoples"is used in a generic sense to refer collective attachment to, the project area to a distinct, vulnerable, social and cultural (see paragraph 8); group6 possessing the following characteristics b. a social assessment by the borrower (see in varying degrees: paragraph 9 and Annex A); c. a process of free, prior, and informed con- a. self-identification as members of a distinct sultation with the affected Indigenous indigenous cultural group and recogni- Peoples' communities at each stage of the tion of this identity by others; project, and particularly during project b. (b) collective attachment to geographical- preparation, to fully identify their views ly distinct habitats or ancestral territories and ascertain their broad community in the project area and to the natural re- support for the project (see paragraphs 10 sources in these habitats and territories;7 and 11); c. (c) customary cultural, economic, social, d. the preparation of an Indigenous Peoples or political institutions that are separate Plan (see paragraph 12 and Annex B) or from those of the dominant society and an Indigenous Peoples Planning Frame- culture; and work (see paragraph 13 and Annex C); and Annex . World Bank OP and BP .0 on Indigenous Peoples, july 00 e. disclosure of the draft Indigenous Peoples fications, experience, and terms of reference Plan or draft Indigenous Peoples Planning are acceptable to the Bank. Framework (see paragraph 15). 10. Consultation and Participation. Where the 7. The level of detail necessary to meet the re- project affects Indigenous Peoples, the bor- quirements specified in paragraph 6 (b), (c), rower engages in free, prior, and informed and (d) is proportional to the complexity of consultation with them. To ensure such con- the proposed project and commensurate with sultation, the borrower: the nature and scale of the proposed project's potential effects on the Indigenous Peoples, a. establishes an appropriate gender and whether adverse or positive. intergenerationally inclusive framework that provides opportunities for consulta- Screening tion at each stage of project preparation and implementation among the bor- rower, the affected Indigenous Peoples' 8. Early in project preparation, the Bank un- communities, the Indigenous Peoples dertakes a screening to determine whether Organizations (IPOs) if any, and other Indigenous Peoples (see paragraph 4) are local civil society organizations (CSOs) present in, or have collective attachment to, identified by the affected Indigenous the project area.10 In conducting this screen- Peoples' communities; ing, the Bank seeks the technical judgment of b. uses consultation methods11 appropriate qualified social scientists with expertise on the to the social and cultural values of the af- social and cultural groups in the project area. fected Indigenous Peoples' communities The Bank also consults the Indigenous Peoples and their local conditions and, in design- concerned and the borrower. The Bank may fol- ing these methods, gives special attention low the borrower's framework for identification to the concerns of Indigenous women, of Indigenous Peoples during project screening, youth, and children and their access to when that framework is consistent with this development opportunities and benefits; policy. and c. provides the affected Indigenous Peoples' Social Assessment communities with all relevant informa- tion about the project (including an 9. Analysis. If, based on the screening, the Bank assessment of potential adverse effects concludes that Indigenous Peoples are pres- of the project on the affected Indigenous ent in, or have collective attachment to, the Peoples' communities) in a culturally ap- project area, the borrower undertakes a social propriate manner at each stage of project assessment to evaluate the project's potential preparation and implementation. positive and adverse effects on the Indigenous Peoples, and to examine project alternatives 11. In deciding whether to proceed with the where adverse effects may be significant. The project, the borrower ascertains, on the ba- breadth, depth, and type of analysis in the so- sis of the social assessment (see paragraph 9) cial assessment are proportional to the nature and the free, prior, and informed consultation and scale of the proposed project's potential ef- (see paragraph 10), whether the affected In- fects on the Indigenous Peoples, whether such digenous Peoples' communities provide their effects are positive or adverse (see Annex A for broad support to the project. Where there is details). To carry out the social assessment, the such support, the borrower prepares a detailed borrower engages social scientists whose quali- report that documents: The Role of Indigenous Peoples in Biodiersity Conseration a. the findings of the social assessment; IPPispreparedinaflexibleandpragmaticman- b. the process of free, prior, and informed ner,12 and its level of detail varies depending on consultation with the affected Indigenous the specific project and the nature of effects to Peoples' communities; be addressed. The borrower integrates the IPP c. additional measures, including project de- into the project design. When Indigenous Peo- sign modification, that may be required to ples are the sole or the overwhelming majority address adverse effects on the Indigenous of direct project beneficiaries, the elements of Peoples and to provide them with cultur- an IPP should be included in the overall proj- ally appropriate project benefits; ect design, and a separate IPP is not required. d. recommendations for free, prior, and In such cases, the Project Appraisal Document informed consultation with and participa- (PAD) includes a brief summary of how the tion by Indigenous Peoples' communities project complies with the policy, in particular during project implementation, monitor- the IPP requirements. ing, and evaluation; and e. any formal agreements reached with In- 13. Indigenous Peoples Planning Framework. digenous Peoples' communities and/or Some projects involve the preparation and the IPOs. implementation of annual investment pro- grams or multiple subprojects.13 In such The Bank reviews the process and the out- cases, and when the Bank's screening indi- come of the consultation carried out by the cates that Indigenous Peoples are likely to be borrower to satisfy itself that the affected In- present in, or have collective attachment to, digenous Peoples' communities have provided the project area, but their presence or collec- their broad support to the project. The Bank tive attachment cannot be determined until pays particular attention to the social assess- the programs or subprojects are identified, ment and to the record and outcome of the the borrower prepares an Indigenous Peoples free, prior, and informed consultation with the Planning Framework (IPPF). The IPPF pro- affected Indigenous Peoples' communities as vides for the screening and review of these a basis for ascertaining whether there is such programs or subprojects in a manner consis- support. The Bank does not proceed further tent with this policy (see Annex C for details). with project processing if it is unable to ascer- The borrower integrates the IPPF into the tain that such support exists. project design. 14. Preparation of Program and Subproject Indigenous Peoples Plan/Planning Framework IPPs. If the screening of an individual pro- gram or subproject identified in the IPPF 12. Indigenous Peoples Plan. On the basis of the indicates that Indigenous Peoples are present social assessment and in consultation with the in, or have collective attachment to, the area affected Indigenous Peoples' communities, the of the program or subproject, the borrower borrower prepares an Indigenous Peoples Plan ensures that, before the individual program (IPP) that sets out the measures through which or subproject is implemented, a social assess- the borrower will ensure that (a) Indigenous ment is carried out and an IPP is prepared Peoples affected by the project receive cultur- in accordance with the requirements of this ally appropriate social and economic benefits; policy. The borrower provides each IPP to the and (b) when potential adverse effects on In- Bank for review before the respective program digenous Peoples are identified, those adverse or subproject is considered eligible for Bank effects are avoided, minimized, mitigated, or financing.14 compensated for (see Annex B for details). The Annex . World Bank OP and BP .0 on Indigenous Peoples, july 00 Disclosure 17. If the project involves (a) activities that are contingent on establishing legally recognized 15. The borrower makes the social assessment rights to lands and territories that Indigenous report and draft IPP/IPPF available to the af- Peoples have traditionally owned or custom- fected Indigenous Peoples' communities in arily used or occupied (such as land titling an appropriate form, manner, and language.15 projects), or (b) the acquisition of such lands, Before project appraisal, the borrower sends the IPP sets forth an action plan for the legal the social assessment and draft IPP/IPPF to recognition of such ownership, occupation, or the Bank for review.16 Once the Bank accepts usage. Normally, the action plan is carried out the documents as providing an adequate ba- before project implementation; in some cases, sis for project appraisal, the Bank makes them however, the action plan may need to be car- available to the public in accordance with The ried out concurrently with the project itself. World Bank Policy on Disclosure of Informa- Such legal recognition may take the following tion, and the borrower makes them available forms: to the affected Indigenous Peoples' commu- nities in the same manner as the earlier draft a. full legal recognition of existing custom- documents. ary land tenure systems of Indigenous Peoples; or b. conversion of customary usage rights to SPECIAL CONSIDERATIONS communal and/or individual ownership rights. Lands and Related Natural Resources If neither option is possible under domestic 16. Indigenous Peoples are closely tied to land, law, the IPP includes measures for legal rec- forests, water, wildlife, and other natural re- ognition of perpetual or long-term renewable sources, and therefore special considerations custodial or use rights. apply if the project affects such ties.In this situ- ation, when carrying out the social assessment and preparing the IPP/IPPF, the borrower pays Commercial Deelopment of Natural and particular attention to: Cultural Resources a. the customary rights17 of the Indigenous 18. If the project involves the commercial Peoples, both individual and collective, development of natural resources (such as pertaining to lands or territories that they minerals, hydrocarbon resources, forests, wa- traditionally owned, or customarily used ter, or hunting/fishing grounds) on lands or or occupied, and where access to natural territories that Indigenous Peoples traditional- resources is vital to the sustainability of ly owned, or customarily used or occupied, the their cultures and livelihoods; borrower ensures that as part of the free, prior, b. the need to protect such lands and and informed consultation process the affected resources against illegal intrusion or en- communities are informed of (a) their rights to croachment; such resources under statutory and customary c. the cultural and spiritual values that the law; (b) the scope and nature of the proposed Indigenous Peoples attribute to such lands commercial development and the parties in- and resources; and terested or involved in such development; and d. Indigenous Peoples' natural resources (c) the potential effects of such development management practices and the long-term on the Indigenous Peoples' livelihoods, en- sustainability of such practices. vironments, and use of such resources. The The Role of Indigenous Peoples in Biodiersity Conseration borrower includes in the IPP arrangements to relocation,the borrower will not carry out such enable the Indigenous Peoples to share equi- relocation without obtaining broad support tably in the benefits18 to be derived from such for it from the affected Indigenous Peoples' commercial development; at a minimum, communities as part of the free, prior, and the IPP arrangements must ensure that the informed consultation process. In such cases, Indigenous Peoples receive, in a culturally ap- the borrower prepares a resettlement plan in propriate manner, benefits, compensation, and accordance with the requirements of OP 4.12, rights to due process at least equivalent to that Involuntary Resettlement, that is compatible to which any landowner with full legal title to with the Indigenous Peoples' cultural prefer- the land would be entitled in the case of com- ences, and includes a land-based resettlement mercial development on their land. strategy. As part of the resettlement plan, the borrower documents the results of the consul- 19. If the project involves the commercial de- tationprocess.Wherepossible,theresettlement velopment of Indigenous Peoples' cultural plan should allow the affected Indigenous resources and knowledge (for example, phar- Peoples to return to the lands and territories macological or artistic), the borrower ensures they traditionally owned, or customarily used that as part of the free, prior, and informed or occupied, if the reasons for their relocation consultation process, the affected communi- cease to exist. ties are informed of (a) their rights to such resources under statutory and customary law; 21. In many countries, the lands set aside as (b) the scope and nature of the proposed com- legally designated parks and protected areas mercial development and the parties interested may overlap with lands and territories that or involved in such development; and (c) the Indigenous Peoples traditionally owned, or potential effects of such development on Indig- customarily used or occupied. The Bank rec- enous Peoples' livelihoods, environments, and ognizes the significance of these rights of use of such resources. Commercial develop- ownership, occupation, or usage, as well as the ment of the cultural resources and knowledge need for long-term sustainable management of these Indigenous Peoples is conditional of critical ecosystems. Therefore, involuntary upon their prior agreement to such develop- restrictions on Indigenous Peoples' access to ment. The IPP reflects the nature and content legally designated parks and protected areas, in of such agreements and includes arrangements particular access to their sacred sites, should be to enable Indigenous Peoples to receive ben- avoided. In exceptional circumstances, where efits in a culturally appropriate way and share it is not feasible to avoid restricting access, the equitably in the benefits to be derived from borrower prepares, with the free, prior, and in- such commercial development. formed consultation of the affected Indigenous Peoples' communities, a process framework in accordance with the provisions of OP 4.12. Physical Relocation of Indigenous Peoples The process framework provides guidelines for preparation, during project implemen- 20. Because physical relocation of Indigenous tation, of an individual parks and protected Peoples is particularly complex and may have areas' management plan, and ensures that the significant adverse impacts on their identity, Indigenous Peoples participate in the design, culture, and customary livelihoods, the Bank implementation, monitoring, and evaluation requires the borrower to explore alternative of the management plan, and share equitably project designs to avoid physical relocation in the benefits of the parks and protected ar- of Indigenous Peoples. In exceptional cir- eas. The management plan should give priority cumstances, when it is not feasible to avoid to collaborative arrangements that enable the Annex . World Bank OP and BP .0 on Indigenous Peoples, july 00 Indigenous Peoples, as the custodians of the pare, implement, monitor, and evaluate resources, to continue to use them in an eco- development programs; logically sustainable manner. g. strengthen the capacity of government agencies responsible for providing devel- opment services to Indigenous Peoples; INDIgENOuS PEOPLES AND h. protect indigenous knowledge, includ- DEvELOPMENT ing by strengthening intellectual property rights; and 22. In furtherance of the objectives of this i. facilitate partnerships among the govern- policy,the Bank may,at a member country's re- ment, IPOs, CSOs, and the private sector quest, support the country in its development to promote Indigenous Peoples' develop- planning and poverty reduction strategies by ment programs. providing financial assistance for a variety of initiatives designed to: 1 This policy should be read together with a. strengthen local legislation, as needed, to other relevant Bank policies, including En- establish legal recognition of the custom- vironmental Assessment (OP 4.01), Natural ary or traditional land tenure systems of Habitats (OP 4.04), Pest Management (OP Indigenous Peoples; 4.09),PhysicalCulturalResources(OP4.11), b. make the development process more Involuntary Resettlement (OP 4.12), Forests inclusive of Indigenous Peoples by incor- (OP 4.36), and Safety of Dams (OP 4.37). porating their perspectives in the design 2 "Bank"includes IBRD and IDA;"loans"in- of development programs and poverty cludes IBRD loans,IDA credits,IDA grants, reduction strategies, and providing them IBRD and IDA guarantees, and Project with opportunities to benefit more fully Preparation Facility (PPF) advances, but from development programs through pol- does not include development policy loans, icy and legal reforms, capacity building, credits, or grants. For social aspects of de- and free, prior, and informed consultation velopment policy operations, see OP 8.60, and participation; Development Policy Lending, paragraph 10. c. support the development priorities of In- The term "borrower" includes, wherever digenous Peoples through programs (such the context requires, the recipient of an as community-driven development pro- IDA grant, the guarantor of an IBRD loan, grams and locally managed social funds) and the project implementing agency, if it developed by governments in cooperation is different from the borrower. with Indigenous Peoples; 3 This policy applies to all components of d. address the gender19 and intergenerational the project that affect Indigenous Peoples, issues that exist among many Indigenous regardless of the source of financing. Peoples, including the special needs of in- 4 "Free, prior, and informed consultation digenous women, youth, and children; with the affected Indigenous Peoples' com- e. prepare participatory profiles of In- munities" refers to a culturally appropriate digenous Peoples to document their and collective decisionmaking process sub- culture,demographic structure,gender and sequent to meaningful and good faith intergenerational relations and social orga- consultation and informed participation nization, institutions, production systems, regarding the preparation and implemen- religious beliefs, and resource use patterns; tation of the project. It does not constitute f. strengthen the capacity of Indigenous a veto right for individuals or groups (see Peoples' communities and IPOs to pre- paragraph 10). The Role of Indigenous Peoples in Biodiersity Conseration 5 For details on "broad community support 10The screening may be carried out indepen- to the project by the affected Indigenous dently or as part of a project environmental Peoples," see paragraph 11. assessment (see OP 4.01, Environmental 6 The policy does not set an a priori mini- Assessment, paragraphs 3, 8). mum numerical threshold since groups 11Such consultation methods (including us- of Indigenous Peoples may be very small ing indigenous languages, allowing time in number and their size may make them for consensus building, and selecting more vulnerable. appropriate venues) facilitate the articula- 7 "Collectiveattachment"meansthatforgen- tion by Indigenous Peoples of their views erations there has been a physical presence and preferences. The "Indigenous Peoples in and economic ties to lands and territo- Guidebook" (forthcoming) will provide ries traditionally owned, or customarily good practice guidance on this and other used or occupied, by the group concerned, matters. including areas that hold special signifi- 12When non-Indigenous Peoples live in the cance for it, such as sacred sites."Collective same area with Indigenous Peoples, the IPP attachment" also refers to the attachment should attempt to avoid creating unneces- of transhumant/nomadic groups to the sary inequities for other poor and marginal territory they use on a seasonal or cyclical social groups. basis. 13Such projects include community-driven 8 "Forced severance" refers to loss of collec- development projects, social funds, sector tive attachment to geographically distinct investment operations, and financial inter- habitats or ancestral territories occurring mediary loans. within the concerned group members' 14If the Bank considers the IPPF to be ad- lifetime because of conflict, government equate for the purpose, however, the Bank resettlement programs, dispossession from may agree with the borrower that prior their lands, natural calamities, or incor- Bank review of the IPP is not needed. In poration of such territories into an urban such case, the Bank reviews the IPP and its area. For purposes of this policy, "urban implementation as part of supervision (see area"normally means a city or a large town, OP 13.05, Project Supervision). and takes into account all of the following 15The social assessment and IPP require characteristics, no single one of which is wide dissemination among the affected definitive: (a) the legal designation of the Indigenous Peoples' communities using area as urban under domestic law; (b) high culturally appropriate methods and loca- population density; and (c) high propor- tions. In the case of an IPPF, the document tion of nonagricultural economic activities is disseminated using IPOs at the appro- relative to agricultural activities. priate national, regional, or local levels to 9 The currently applicable Bank policy is OP/ reach Indigenous Peoples who are likely to BP 4.00, Piloting the Use of Borrower Sys- be affected by the project. Where IPOs do tems to Address Environmental and Social not exist, the document may be dissemi- Safeguard Issues in Bank-Supported Proj- nated using other CSOs as appropriate. ects. Applicable only to pilot projects using 16An exception to the requirement that the borrower systems, the policy includes re- IPP (or IPPF) be prepared as a condition of quirements that such systems be designed appraisal may be made with the approval of to meet the policy objectives and adhere Bank management for projects meeting the to the operational principles related to In- requirements of OP 8.00, Rapid Response to digenous Peoples identified in OP 4.00 (see Crises and Emergencies. In such cases, man- Table A1, section E). agement's approval stipulates a timetable Annex . World Bank OP and BP .0 on Indigenous Peoples, july 00 and budget for preparation of the social as- seasonal or cyclical use, rather than formal sessment and IPP or of the IPPF. legal title to land and resources issued by 17"Customary rights" to lands and resources the State. referstopatternsof long-standingcommu- 18 The "Indigenous Peoples Guidebook" nity land and resource usage in accordance (forthcoming) will provide good practice with Indigenous Peoples' customary laws, guidance on this matter. values, customs, and traditions, including 19 See OP/BP 4.20, Gender and Development. The Role of Indigenous Peoples in Biodiersity Conseration Bank Procedures men, and tribal leaders, and pay special attention to women, youth, and the elder- ly; These procedures were prepared for use by World c. the consultation process starts early, since Bank staff and are not necessarily a complete treat- decisionmaking among Indigenous Peo- ment of the subject. ples may be an iterative process, and there is a need for adequate lead time to fully INDIgENOuS PEOPLES understand and incorporate concerns and recommendations of Indigenous Peoples into the project design; and Note: OP and BP 4.10 together replace OD d. a record of the consultation process is 4.20, Indigenous Peoples, dated September maintained as part of the project files. 1991. These OP and BP apply to all invest- ment projects for which a Project Concept Review takes place on or after July 1, 2005. PROjECT IDENTIFICATION Questions may be addressed to the Director, Social Development Department (SDV). 3. Screening. Early in the project cycle, the task team leader (TTL) initiates a process to deter- 1. For all investment projects in which Indig- mine whether Indigenous Peoples (see OP 4.10, enous Peoples are present in, or have collective paragraph 4) are present in, or have collective attachment to, the project area, the Bank's task attachment to, the project area. In doing so, the team (TT) consults with the Regional unit re- TTL seeks technical advice from qualified so- sponsible for safeguards and with the Legal cial scientists with expertise on the social and Department (LEG) throughout the project cultural groups in the project area. If adequate cycle.The Indigenous Peoples Guidebook (forth- information is not available, the TTL holds di- coming) provides good practice advice to staff rect consultations with the Indigenous Peoples on application of the policy.1 who would be affected by the proposed project. 2. Free, Prior, and Informed Consultation. 4.Consultation with the Borrower. If the screen- When a project affects Indigenous Peoples, the ing indicates that Indigenous Peoples are TT assists the borrower in carrying out free, present in, or have collective attachment to, the prior, and informed consultation with affect- project area, the TTL: ed communities about the proposed project throughout the project cycle, taking into con- a. informs the borrower that the Indigenous sideration the following: Peoples policy applies to the project and brings the provisions of OP/BP 4.10 to the a. "free, prior and informed consultation" is borrower's attention; consultation that occurs freely and volun- b. discusses with the borrower its policies tarily, without any external manipulation, and institutional and legal arrangements interference, or coercion, for which the for Indigenous Peoples; parties consulted have prior access to in- c. reaches agreement with the borrower on formation on the intent and scope of the how the policy will be implemented under proposed project in a culturally appropri- the project;2 and ate manner, form, and language; d. discusses any technical assistance to be b. consultation approaches recognize exist- provided to the borrower. ing Indigenous Peoples Organizations (IPOs), including councils of elders, head- 0 Annex . World Bank OP and BP .0 on Indigenous Peoples, july 00 5. Documentation, Review, Clearance, and Dis- project processing if it is unable to ascertain closure. The TT summarizes in the Project that such support exists. Concept Note (PCN) and Project Information Document (PID) the results of the screening 8. Decision on Instruments. Taking into account and the agreements reached with the borrower the nature of the project and a review of the to comply with policy requirements, and notes relevant Indigenous Peoples issues, the TTL in the Integrated Safeguards Data Sheet (ISDS) agrees with the Regional unit responsible for that OP 4.10 is triggered. The TTL seeks com- safeguards on the type of Indigenous Peoples ments on and clearance of the PCN, PID, and instrument (Indigenous Peoples Plan or Indig- ISDS from the Regional unit responsible for enous Peoples Planning Framework) and other safeguards. Once the PID is cleared, the TTL instruments (Resettlement Action Plan, and/or sends it to the InfoShop. process framework for national parks and pro- tected areas) to be prepared by the borrower and on the scope and level of detail required. PROjECT PREPARATION The TTL conveys this decision to the borrower, discusses with the borrower the actions neces- 6. Social Assessment. Where screening re- sary to prepare the instrument(s), and agrees veals that Indigenous Peoples are present in, on a timeline for preparation and delivery to or have collective attachment to, the project the Bank. area, the TTL asks the borrower to undertake a social assessment (SA) in accordance with a. Indigenous Peoples Plan (IPP). The bor- the requirements of paragraph 9 and Annex rower prepares the IPP in accordance A of OP 4.10 to evaluate the project's poten- with the requirements of Annex B of OP tial positive and adverse effects on Indigenous 4.10 and integrates it into the design of Peoples and, where adverse effects may be sig- the project. The IPP has a level of detail nificant, to examine project alternatives. The that is proportional to the complexity of TT: the proposed project and commensurate with the nature and scale of the proposed a. reviews the terms of reference for the SA, project's potential effects on Indigenous ensuring in particular that they provide Peoples (see OP 4.10, paragraph 7). If for the affected Indigenous Peoples to project activities are contingent on estab- participate in the SA through a process of lishing legally recognized rights to lands free, prior, and informed consultation (see or territories that Indigenous Peoples have paragraph 2 of this BP); and traditionally owned, or customarily used b. comments on the qualifications and ex- or occupied,the IPP outlines the steps and perience of the social scientists who will timetable for achieving legal recognition carry out the SA. of such ownership, occupation, or usage (see OP 4.10, paragraph 17). For projects 7. Broad Community Support. When the bor- involving the commercial development rower forwards to the Bank the documentation of natural resources on such lands or ter- on the SA and the consultation process, the ritories or of the cultural resources and TT reviews it to verify that the borrower has knowledge of Indigenous Peoples, the gained the broad support from representatives IPP includes arrangements to enable the of major sections of the community required Indigenous Peoples to share equitably in under the policy. The TT proceeds with project the benefits to be derived and to receive processing once it confirms that such support these benefits in a culturally appropri- exists. The Bank does not proceed further with ate way (see OP 4.10, paragraphs 18­19). The Role of Indigenous Peoples in Biodiersity Conseration Additionally, for projects involving com- e. Preparation of Program and Subproject mercial development of Indigenous IPPs. If thescreeningof anindividualpro- Peoples' cultural resources and knowl- gram or subproject identified in the IPPF edge, the IPP documents the agreement indicates that Indigenous Peoples are reached with the affected communities present in, or have collective attachment for such development. When Indigenous to, the area of the program or subproject, Peoples are the sole or the overwhelming the TT ensures that the borrower carries majority of direct project beneficiaries, a out an SA and prepares an IPP and other separate IPP is not required and the bor- relevant instrument(s) in accordance rower includes elements of an IPP in the with the requirements of OP 4.10. The overall project design. The TT prepares a borrower provides each relevant instru- brief summary of how the project com- ment to the Bank. The TTL forwards the plies with the policy, in particular the IPP instrument(s) to the Regional unit re- requirements, as an annex to the Project sponsible for safeguards for review and Appraisal Document (PAD). clearance before the respective program b. Resettlement Action Plan (RAP). If the or subproject is considered eligible for borrower proposes the physical relocation Bank financing. Where the Regional unit of Indigenous Peoples, the TT ascertains responsible for safeguards considers the specifically that (a) the borrower has ex- IPPF as adequate for policy compliance, plored alternative project designs to avoid the TTL may agree with the borrower that physical relocation; and (b) the borrower the Bank's prior review of IPPs or other has obtained broad support from the af- instrument(s) for individual programs fected communities as part of the free, or subprojects will not be needed. How- prior, and informed consultation process, ever, the TT supervises the preparation of and has documented it. The borrower also the SA (see paragraph 6 of this BP), and prepares a RAP in accordance with the the formulation of any IPPs and other requirements of OP 4.12, Involuntary Re- instrument(s) and their implementation settlement, and of OP 4.10, paragraph 20. by the borrower (see OP 4.10, paragraph c. Process Framework for Parks and Protect- 14 and footnote 15). ed Areas. When the access of Indigenous 9. Instrument Review and Disclosure. When the Peoples to legally designated parks and borrower submits the draft instrument(s) to protected areas is restricted, the borrower the Bank, the TT reviews each instrument to preparesaprocessframeworkwiththefree, ensure that it complies with the policy set out prior,and informed consultation of the af- in OP 4.10; has been made available to the af- fected Indigenous Peoples' communities, fected Indigenous Peoples' communities at an and in accordance with the provisions of accessible place and in a culturally appropriate OP 4.12, Involuntary Resettlement, and of form, manner, and language; has been appro- OP 4.10, paragraphs 20 and 21. priately reflected in the project design; and can d. Indigenous Peoples Planning Framework serve as the basis for project appraisal. The TT (IPPF). For projects that involve the prep- forwards the draft instrument(s) to the Region- aration and implementation of annual al safeguards unit for comments and clearance. investment programs or multiple subproj- Once the documents are cleared, the TT makes ects, the borrower prepares an IPPF in them available to the public in accordance with accordance with the requirements of An- The World Bank Policy on Disclosure of Infor- nex C of OP 4.10 and integrates it into the mation. project design. Annex . World Bank OP and BP .0 on Indigenous Peoples, july 00 PROjECT APPRAISAL SuPERvISION 10. The TTL ensures that appraisal includes 12. The Regional vice president, in coordina- appropriate social science expertise to assess tion with the relevant country director, ensures the feasibility and sustainability of specific the availability of resources for effective super- measures reflected in the relevant Indigenous vision of projects affecting Indigenous Peoples. Peoples and other instrument(s) and appro- Throughout project implementation, the TTL priate legal expertise to assess the country's ensures that Bank supervision includes appro- legal and policy framework related to the proj- priate social science and legal expertise to carry ect. The TT reflects the provisions related to out the provisions of the Loan Agreement. The Indigenous Peoples in the PAD and attaches TT also ascertains whether the relevant legal the relevant instrument(s) to the PAD as an covenants related to the Indigenous Peoples annex. When Indigenous Peoples are the sole and other instrument(s) are being imple- or the overwhelming majority of direct project mented. When the instruments are not being beneficiaries, the annex to the PAD includes a implemented as planned, the Bank calls this to summary of how the project complies with the the attention of the borrower and agrees with policy. In addition, when the borrower propos- the borrower on corrective measures (see OP/ esthephysicalrelocationof IndigenousPeoples BP 13.05, Project Supervision). or restrictions of their access to resources, the RAP or process framework is included as an annex to the PAD. The TTL seeks comments IMPLEMENTATION COMPLETION REPORT on and clearance of the PAD package (which includes the IPP, IPPF, or summary, together 13. Upon completion of the project, the Imple- with any RAP or process framework, if appli- mentation Completion Report (see OP 13.55, cable) from both the Regional unit responsible Implementation Completion Reporting) evalu- for safeguards and LEG. ates project compliance with OP 4.10 and assesses: NEgOTIATIONS AND DISCLOSuRE a. the degree of Indigenous Peoples' partici- pation in the project cycle; 11. Prior to negotiations, the TT confirms b. the impact of the project, both positive that the responsible authority of the borrow- and adverse, on the affected Indigenous er has provided final approval of the relevant Peoples; IPP, IPPF and other instrument(s). The Loan c. the achievement of the objectives of the Agreement provides for the borrower's obliga- relevant instrument(s), as relevant; and tion to implement the relevant instrument(s). d. lessons for future operations involving In- After the borrower and the Bank agree to the digenous Peoples. final instrument(s) and the project has been approved, the Bank makes the PAD and the If the objectives of the relevant final instrument(s) available to the public instrument(s) have not been realized, the Im- in accordance with the Bank's policy on dis- plementation Completion Report may propose closure. The borrower makes the documents a future course of action, including, as appro- available to the affected Indigenous Peoples' priate, continued post-project supervision by communities at a locally accessible place and the Bank. in a culturally appropriate form, manner, and language, in the same manner as for the draft instruments (see paragraph 9 above). The Role of Indigenous Peoples in Biodiersity Conseration Country Assistance Strategy and Policy country's policy, institutional, and legal frame- Dialogue work for Indigenous Peoples, including the groups to whom this policy applies. Outcomes 14. In countries with a series of operations of this dialogue are reflected in the Country affecting Indigenous Peoples, the ongoing Assistance Strategy. country and sector dialogue with the govern- ment includes any issues pertaining to the 1 The Indigenous Peoples Guidebook (forth- coming) provides good practice advice to staff on application of the policy. 2 If there is disagreement with the borrower on the application of the policy, the TTL seeks advice from the Regional unit re- sponsible for safeguards and LEG for a final technical judgment. THE WORLD BANK 1818 H Street, NW Washington, DC 20433 USA Telephone: 202-473-1000 Internet: www.worldbank.org/biodiversity E-mail: feedback@worldbank.org