[Title] Environmental and Social Framework
Environmental and Social Standard 3: Indigenous Peoples*1*
1. Objectives: To design and implement Projects in a way that fosters full respect for Indigenous Peoples’ identity, dignity, human rights, economies and cultures, as defined by the Indigenous Peoples themselves, so that they: (a) receive culturally appropriate social and economic benefits; (b) do not suffer adverse impacts as a result of Projects; and (c) can participate actively in Projects that affect them.
2. Scope and Application: ESS 3 applies if Indigenous Peoples are present in, or have a collective attachment to, the proposed area of the Project, and are likely to be affected by the Project. The term Indigenous Peoples is used in a generic sense to refer to a distinct, vulnerable, social and cultural group possessing the following characteristics in varying degrees: (a) self- identification as members of a distinct indigenous cultural group and recognition of this identity by others; (b) collective attachment to geographically distinct habitats or ancestral territories in the Project area and to the natural resources in these habitats and territories; (c) customary cultural, economic, social or political institutions that are separate from those of the dominant society and culture; and (d) a distinct language, often different from the official language of the country or region. In considering these characteristics, national legislation, customary law and any international conventions to which the country is a party may be taken into account. A group that has lost collective attachment to geographically distinct habitats or ancestral territories in the Project area because of forced severance remains eligible for coverage, as an Indigenous People, under ESS 3.
3. Requirements: If the Project’s screening process determines that Indigenous Peoples are present in, or have collective attachment to, the Project area, and are likely to be affected by the Project, the Client is required to prepare an Indigenous Peoples plan, as follows:
Social Assessment. Undertake a culturally appropriate and gender-sensitive social assessment or use similar methods to assess Project impacts, both positive and adverse, on Indigenous Peoples. This may be a stand-alone exercise or part of the Project’s overall social assessment. Give full consideration to options the affected Indigenous Peoples communities prefer in relation to the provision of Project benefits and the design of mitigation measures. Identify social and economic benefits for these affected Indigenous Peoples that are culturally appropriate and gender and inter-generationally inclusive, and develop measures to avoid adverse impacts on them, or when avoidance is not possible, to minimize or mitigate such adverse impacts.
Indigenous Peoples Plan. Prepare an Indigenous Peoples plan that is based on the social impact assessment prepared with the assistance of suitably qualified and experienced experts and that draws on indigenous knowledge and participation by the affected Indigenous Peoples communities. Include in the Indigenous Peoples plan: (a) a framework for continued consultation with these affected Indigenous Peoples during Project implementation; (b) measures to ensure that these Indigenous Peoples receive culturally appropriate benefits; (c) measures to avoid, minimize, mitigate, offset or
compensate for any adverse Project impacts; and (d) culturally appropriate grievance procedures, monitoring and evaluation arrangements, and a budget and time-bound actions for implementing the planned measures. In some cases, the Indigenous Peoples plan may, if approved by the Bank, be part of an overall community development plan, where the Client takes special efforts to ensure that Indigenous Peoples receive appropriate benefits through such a plan.
Indigenous Peoples Planning Framework. Prepare an IPPF if a Project is likely to involve Indigenous Peoples and (a) consists of a program or series of activities whose details are not yet identified at the time the Project is approved by the Bank, or (b) in exceptional circumstances, duly justified by the Client, the Bank determines that the environmental and social assessment of identified Project activities may be conducted
using a phased approach under paragraph 50 of the ESP.
Prepare an Indigenous Peoples plan, as described in the preceding bullet, during development of the activities in
conformity with the IPPF approved by the Bank.
Avoidance of Impacts. Avoid any restricted access to, and physical displacement from, protected areas and natural resources under the Project. Where avoidance is not possible, ensure that the affected Indigenous Peoples communities participate in the design, implementation and monitoring and evaluation of management arrangements for such areas and natural resources, and that benefits are equitably shared.
Proportionality. Ensure that the level of detail and comprehensiveness of the Indigenous Peoples plan or IPPF is proportional to the degree of the Project’s impacts. The degree of the impacts is determined by evaluating: (a) the magnitude of the impacts on the Indigenous Peoples, including: (i) customary rights of use and access to land and natural resources; (ii) socioeconomic status; (iii) cultural and communal integrity and heritage; (iv) health, education, livelihood systems and social security status; and (iv) indigenous knowledge; and (b) the vulnerability of the affected Indigenous Peoples. Ensure the Indigenous Peoples plan and IPPF (if applicable) complement the broader coverage of social risks and impacts in the environmental and social assessment and provides specialized guidance to address specific issues associated with the needs of affected Indigenous Peoples.
Commercial Development of Natural Resources. If the Project involves the commercial development of natural resources (such as minerals, hydrocarbons, forests, water, or hunting or fishing grounds) within customary lands under use by Indigenous Peoples, ensure that the affected Indigenous Peoples’ communities are informed of: (a) their rights to such resources under statutory and customary law; (b) the scope and nature of the proposed commercial development and the parties interested or involved in such development; and (c) the potential effects of such development on the Indigenous Peoples’ livelihoods, environment, and use of such resources. Include in the Indigenous Peoples plan arrangements to enable the Indigenous Peoples to receive in a culturally appropriate manner an equitable share of the benefits to be derived from such commercial development that is at least equal to or higher than that of any other affected landowners.
Commercial Development of Cultural Resources. If the Project involves the commercial development of Indigenous Peoples’ cultural resources and knowledge, ensure that the affected Indigenous Peoples’ communities are informed of: (a) their rights to such resources under statutory and customary law; (b) the scope and nature of the proposed commercial development and the parties interested or involved in such development; and (c) the potential effects of such development on Indigenous Peoples’ livelihoods, environment, and use of such resources. Reflect the nature and content of agreements in the Indigenous Peoples plan and include arrangements to ensure that Indigenous Peoples receive an equitable share of the benefits to be derived from such commercial development in a culturally appropriate way.
Consultations. Carry out a process of meaningful consultation on the Project with affected Indigenous Peoples communities and concerned Indigenous Peoples organizations, in a culturally appropriate, accessible and inclusive manner, and facilitate their informed participation: (a) in designing, implementing and monitoring measures to avoid adverse impacts or, when avoidance is not possible, to minimize, mitigate, offset or compensate for such impacts; and (b) in tailoring Project benefits to affected Indigenous Peoples communities in a culturally appropriate manner. To enhance affected Indigenous Peoples’ active participation, provide for culturally appropriate, and gender inclusive capacity development in the Project.
Special Considerations in Consultations. In addition, ensure that this process: (a) involves Indigenous Peoples’ representative bodies and organizations (e.g., councils of elders, village councils or chieftains) and, where appropriate, other community members; (b) provides sufficient time for Indigenous Peoples’ decision-making processes; and (c) allows for Indigenous Peoples’ effective involvement in the design of Project activities or mitigation measures that may affect them either positively or adversely.
Grievance Mechanism. Establish a culturally appropriate and gender inclusive grievance mechanism to receive and facilitate resolution of affected Indigenous Peoples’ concerns and grievances regarding the Project’s environmental and social performance, and inform them of its availability. Scale the grievance mechanism to the risks to, and impacts of, the Project on Indigenous Peoples. Design the mechanism to address Indigenous Peoples’ concerns and complaints promptly, using an understandable and transparent process that is gender-sensitive, culturally appropriate and readily accessible to all affected Indigenous Peoples. The grievance mechanism may utilize existing formal or informal grievance mechanisms, provided that they are properly designed and implemented, and determined by the Bank to be suitable for the Project; these may be supplemented, as needed, with Project-specific arrangements. Include provisions to protect complainants from retaliation and to remain anonymous, if requested. Make reports on grievance redress and outcomes available, in accordance with the Information Disclosure bullet below.
When Free, Prior and Informed Consultation (FPICon) Is Required. Since Indigenous Peoples may be particularly vulnerable to the loss of, alienation from, or exploitation of their land and access to natural and cultural resources, engage in FPICon and obtain the broad support of the affected Indigenous Peoples if activities under the Project would: (a) have impacts on land and natural resources subject to traditional ownership or under customary occupation or use; (b) cause relocation of Indigenous Peoples from land and limitations on access to natural resources subject to traditional ownership or under customary occupation or use; or (c) have significant impacts on Indigenous Peoples’ cultural heritage. In these circumstances, engage suitably qualified and experienced independent experts to assist in the identification of the Projects's risks to and impacts on Indigeous Peoples.
Definition of FPICon. There is no universally accepted definition of FPICon; for the purpose of ESS 3, FPICon is established as follows: (a) the scope of FPICon applies to Project design, implementation arrangements and expected outcomes related to risks to, and impacts on, the affected Indigenous Peoples; (b) FPICon builds on the process of meaningful consultation and requires good faith negotiation between the Client and these affected Indigenous Peoples; (c) the Client documents: (i) the mutually accepted process of consultation between the Client and these Indigenous Peoples; and (ii) evidence of broad community support of these Indigenous Peoples on the outcome of the negotiations; and (d) FPICon does not require unanimity and may be achieved even when individuals or groups within or among these affected Indigenous Peoples explicitly disagree with support for the Project. When the Bank is unable to ascertain that such broad community support has been obtained from the affected Indigenous Peoples, exclude from the Project those activities that would affect those Indigenous Peoples. In such cases, ensure that the Project, as redesigned, will not have adverse impacts on such Indigenous Peoples. If the Bank has determined, pursuant to paragraph 61 of the ESP, that the laws of the country in which the Project is located mandate free, prior and informed consent (FPIC), and that the Client is required to apply FPIC, apply FPIC as defined in those laws, in the manner required by the Bank.
Information Disclosure. Disclose the draft Indigenous Peoples plan, including documentation of the consultation process and the results of the social impact assessment in a timely manner in accordance with paragraph 57 of the ESP, in the Project area, in an accessible place and in a form and language(s) understandable to affected Indigenous Peoples communities and other stakeholders. Disclose the final Indigenous Peoples plan and its updates to the affected Indigenous Peoples communities and other stakeholders in the same manner. Disclose any IPPF in the same manner. Regularly disclose updated environmental and social information relating to Indigenous Peoples, along with information on any relevant material changes in the Project.
Action Plan. If the Project involves (a) activities that are contingent on establishing legally recognized rights to lands and territories that Indigenous Peoples have traditionally owned or customarily used or occupied (such as land titling activities) or (b) the acquisition of such lands, prepare and include in the Indigenous Peoples plan an action plan for the legal recognition of such ownership, occupation, or usage.
Monitoring. Monitor implementation of the Indigenous Peoples plan using suitably qualified and experienced experts; adopt a participatory monitoring approach, wherever possible; and assess whether the plan’s objective and desired outcome have been achieved, taking into account the baseline conditions and the results of monitoring of the plan. Disclose monitoring reports in accordance with the Information Disclosure bullet above. Consider use of suitably qualified and experienced third parties to support monitoring programs.
{*1*There is no universally accepted definition of Indigenous Peoples. Indigenous Peoples may be referred to in different countries by such terms as “indigenous ethnic minorities,” “aboriginals,” “hill tribes,” “minority nationalities,” “scheduled tribes,” “first nations,” or “tribal groups.” As the applicability of such terminology varies widely from country to country, the Client may agree with the Bank on an alternative terminology for the Indigenous Peoples as appropriate to the circumstances of the Client.}