Forests Sourcebook - HCV Resource Network

framework should be prepared based on free, prior, and
informed consultation with the affected communities and
in accordance with OP 4.12 on Involuntary Resettlement
(see chapter 9 for guidance on development of terms of reference
related to OP 4.36). This should only be done in a
manner that ensures that affected Indigenous Peoples share
equitably in the benefits, and that prioritizes collaborative
arrangements. The process framework should be developed
in parallel with the Indigenous Peoples’ instrument.
Disclosure, appraisal, and documentation. As soon as
the draft Indigenous Peoples’ instrument has been prepared,
it should be disclosed, together with the social assessment
report, in a form, manner, and language culturally appropriate
to the Indigenous Peoples affected by the project.
After the World Bank has reviewed the documents, and
before appraisal, the borrower shares the revised instrument
with the affected communities. If changes are made to the
instrument as a result of project appraisal, the final document
to be used for implementation should be publicly disclosed
and shared with the affected communities.
The appropriate sections of the Project Appraisal Document
should include a careful description of the processes
of social analysis and consultation undertaken during project
preparation, including the broad community support
obtained, as well as the design features and special measures
included to address particular issues concerning Indigenous
Peoples during implementation. The implementation measures
in the Indigenous Peoples instrument should be
described in more detail in Annex 10 to the Project Appraisal
Document (Safeguard Policy Issues). The World Bank’s Project
Information Document and Integrated Safeguard Data
Sheet are disclosed at the World Bank’s InfoShop along with
the Indigenous Peoples’ instrument before appraisal.
The appraisal mission should assess the project design
with regard to policy requirements concerning Indigenous
Peoples. The mission should usually include a social scientist
familiar with Indigenous Peoples’ issues and who has
operational experience sufficient to evaluate the measures
planned regarding Indigenous Peoples. The appraisal evaluates
measures to address OP 4.10 requirements and Indigenous
Peoples’ issues as appropriate for the given project
context, including the following:
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the feasibility and sustainability of the Indigenous Peoples’
instrument, including participatory implementation
processes, that is intended to provide culturally
appropriate benefits and to mitigate any adverse effects
on Indigenous Peoples
if required, the feasibility of any proposals for regularizing
land and resource tenure
the adequacy of the enabling legal and policy framework
for implementation of proposed project measures
the capacity of agencies charged with implementation of
the Indigenous Peoples’ instrument and adequacy and
timeliness of any capacity-building exercises during
project implementation
the capacity of affected communities and others who will
participate in project implementation, including the adequacy
of any capacity-building exercises during project
implementation
the adequacy of detailed budgetary and institutional
arrangements for timely implementation of the Indigenous
Peoples’ instrument
implementation schedules with measurable benchmarks
for the Indigenous Peoples’ instrument, coordinated as
necessary with the overall project implementation schedule
the results of public disclosure of the Indigenous Peoples’
instrument
arrangements for project monitoring and complaint
mechanisms
The legal document includes a covenant requiring the
borrower or the project entity to carry out in a satisfactory
manner the Indigenous Peoples’ instrument. It is often
important, depending on the project, to include additional
covenants concerning key actions or specific issues of the
instrument. These can include, for example, actions required
before the instrument can be implemented (such as staffing
or other specific institutional arrangements, special studies,
or further consultations); contentious or complex aspects of
the instrument that should be highlighted to ensure they are
fulfilled in a timely fashion (for example, regularization of
land and resource tenure); or specific benchmarks, as part of
the monitoring indicators, for monitoring timely implementation
of the instrument. Disbursement may be made conditional
on the implementation of such specific actions.
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the adequacy of the free, prior, and informed consultation
process
confirmation that affected Indigenous Peoples have provided
their broad support for the project based on free,
prior, and informed consultations
PROJECT IMPLEMENTATION
The importance of good monitoring and supervision of
project implementation cannot be emphasized enough. The
borrower’s monitoring and evaluation team and the World
354 CHAPTER 12: APPLYING OP 4.10 ON INDIGENOUS PEOPLES