Forests Sourcebook - HCV Resource Network

lack of opportunities relative to other social groups in their
respective communities, regions, or national societies.
Indigenous Peoples’ vulnerability is multistranded. It is not
only economic, social, and political, but also demographic
(at risk of being numerically overwhelmed) and environmental
(if access to natural resources is restricted and their
subsistence and livelihoods affected). They are often
excluded from political processes at all levels. They are often
also more exposed to external shocks that have an impact on
their lives, lacking the capacity to cope with such shocks or
other external changes—including those realized through
development projects (see box 12.1 for the policy’s language
on social assessment).
The assessment is also used to inform project design to
ensure that activities are culturally appropriate, will enhance
benefits to target groups, and are likely to succeed in the given
socioeconomic and cultural context. The social assessment
will usually include the establishment of a framework for consultation
with and participation of the affected people
throughout the project cycle. This usually includes the process
of free, prior, and informed consultation with affected Indigenous
Peoples, leading to their broad community support for
the project. However, this process may be conducted partly or
fully separate from the social assessment process, particularly
for more complex projects requiring several rounds of consultations
during project preparation that go beyond the timeframe
of the social assessment.
A good social assessment will improve understanding of
Indigenous Peoples’ culture, social structure, institutions,
socioeconomic characteristics, and the specific environment
and social context in which they live. It will identify stakeholders
and analyze the local and national institutional context
and legal framework relevant to the proposed project
and affected Indigenous Peoples, including legislation concerning
customary rights, access rights to forests and natural
resources, and participation of Indigenous Peoples or
other forest-dependent communities in forest and development
planning. It should also reveal any social risks and
existing or potential conflicts. Combining analytical
processes with field-based knowledge, the social assessment
will aid efforts to design culturally appropriate and gender-inclusive
projects that take into account affected
Indigenous Peoples’ views on the benefits that they can
derive from a project, the role they can play in its implementation,
and how adverse impacts can be eliminated,
reduced, or mitigated.
The social assessment for forest-related projects, particularly
those concerned with natural resource management,
must assess the relationship between Indigenous Peoples
and forests, including livelihoods, culture, and social organization.
Mapping of traditional and existing land and natural
resource use for livelihoods as well as for cultural and
spiritual practices should be an integrated element of the
assessment. Potential conflicts and disputed claims concerning
access to land and natural resources should be identified—and
ways to address them should be recommended.
Assumptions held by project developers and other stakeholders
as well as by Indigenous Peoples about traditional
resource use practices and their environmental impacts or
benefits may not hold true. If based on mainstream cultural
models rather than a full understanding of the local context,
Indigenous Peoples’ practices may be viewed with skepticism
or outright prejudice, rendering them unsustainable,
regardless of whether the assumption actually proves to be
true. It is therefore important that interventions be based on
reliable information obtained with the participation of local
communities.
It is the borrower’s responsibility to conduct the social
assessment, which is usually done by contracting with a
research institute, university, consultant (firm or individual),
or NGO. The identified social assessment team must
have the required expertise, including knowledge of Indigenous
Peoples, and have the trust of the affected communities.
The project team provides assistance and also approves
the terms of reference and the composition of the team for
the assessment.
In addition to the World Bank’s Indigenous Peoples
Guidebook (forthcoming), guidance on conducting social
assessments can be found on the World Bank’s Web site on
social analysis (www.worldbank.org/socialanalysis), in the
World Bank’s Social Analysis Sourcebook (World Bank 2003),
and the World Bank’s Social Analysis Guidelines in Natural
Resource Management (World Bank 2005a). (See also sections
in this Forests Sourcebook on social assessment in chapter
9, Applying Forests Policy OP 4.36, and note 1.3, Indigenous
Peoples and Forests).
Free,prior,informed consultation.OP/BP 4.10 focuses
on the importance of engaging Indigenous Peoples in a
process of free, prior, and informed consultation (see box
12.2). Such a process has to be inclusive, including women,
the poorest, and members of different generations. The consultation
process should, in most projects, take place at each
step in the project cycle—project preparation, implementation,
and evaluation. This process includes the borrower, the
affected communities, and Indigenous Peoples’ organizations,
if any, or other local civil society organizations identified
by the Indigenous Peoples’ communities.
CHAPTER 12: APPLYING OP 4.10 ON INDIGENOUS PEOPLES 349