Forests Sourcebook - HCV Resource Network

Table 12.1
General Consultation Process
When With whom Substance By whom
Identification Borrower Possibility of Indigenous Peoples in the project area; World Bank policy requirements Project team
Experts on Indigenous Identification and presence of Indigenous Peoples in the project area Project team/
Peoples
Borrower
Borrower If Indigenous Peoples are present, identify the process for addressing Project team
Indigenous Peoples’ issues and OP 4.10 requirements, including terms of
reference for the social assessment and consultations
Preparation Indigenous Peoples, Information about the proposed project (preliminary design), its anticipated SA team/
first phase benefits, and possible adverse impacts Borrower
Other stakeholders Information about the project, its anticipated benefits, and possible SA team/
adverse impacts
Borrower
Indigenous Peoples, On the proposed project (detailed design) and possible measures to address SA team/
second phase particular issues concerning Indigenous Peoples Borrower
Obtaining broad community support and input to the Indigenous Peoples
instrument
Other stakeholders Consultations on the proposed project (detailed design) SA team/
Borrower
Appraisal Borrower Assessment of commitment and capacity of implementing agency Project team
concerning Indigenous Peoples’ activities
Indigenous Peoples, Assessment of feasibility and appropriateness of Indigenous Peoples’ measures Project team/
experts, and other
Borrower
stakeholders
Indigenous Peoples Select field visits as needed to determine affected communities’ broad Project team
support to the project and the feasibility of proposed measures
Implementation Borrower On the implementation and monitoring of Indigenous Peoples’ instrument Project team
Indigenous Peoples Ongoing consultation on implementation progress through borrower Borrower/
monitoring and World Bank supervision
Project team
Experts and other Consultation and feedback on implementation progress as appropriate Borrower/
stakeholders
Project team
Source: Jensby 2007.
Note: SA = Social Assessment.
them with culturally appropriate project benefits; (d) recommendations
for free, prior, and informed consultation
with and participation by Indigenous Peoples’ communities
during project implementation, monitoring, and evaluation;
and (e) any formal agreements reached with Indigenous
Peoples’ communities and/or the IPOs [Indigenous
Peoples’ Organizations]” (OP 4.10, paragraph 11).
It is the responsibility of the World Bank to review the
process and the outcome of the consultations to satisfy itself
that the affected Indigenous Peoples’ communities have provided
their broad support to the project. The World Bank
does not proceed with the project processing if it is unable to
ascertain that such support exists (OP 4.10, paragraph 11). A
mix of opinions, and sometimes disagreements, as to the
overall desirability of the project should be anticipated.
When considering the level of broad support for the project
and the strength of the consultation process itself, the project
team should ensure that all relevant and appropriate sectors
and subgroups of the communities have been given
opportunities to express themselves. If they have, and the
broad majority is generally positive about the prospects of
the project, the finding that broad support exists would be
reasonable. While a referendum may not be practical in most
situations, there is a need for broadly based validation and
documentation of what has been said, by whom, and how
any specific agreements were reached and what they contain.
Broad community support does not mean that everyone
has to agree on a given project. Nevertheless, consensus
building is an important form of decision making among
many Indigenous Peoples. Thus, consensus building should
often be an element of the free, prior, and informed consultations
that aim to facilitate broad community support for
the project. A community’s broad support may be based on
specific agreements for benefit-sharing measures or mitigation
of adverse impacts. As part of its due diligence in applying
OP 4.10, the project team must ensure that such agreements
are adequately reflected in project design and the
Indigenous Peoples’ instrument.
Indigenous Peoples’ instrument. For projects affecting
Indigenous Peoples, the borrower prepares an instrument
containing specific measures to ensure that Indigenous Peo-
352 CHAPTER 12: APPLYING OP 4.10 ON INDIGENOUS PEOPLES