14q Sg E N V I R O N M E N T = S ^0 ~~~~D E P A R T M E N T - , *_____ P A P E R S V'aper Nni- 121 IIE- hhIN I 5 J TOWARD ENVIRONMENTALLY AND SOCIALLY SUStAINABLE Lk."fi1A K' II -I( P *\ I (IN' S P I1 lS S~ z AL i r < gpatlr-n qE t5 r1 ., n .a <]_k%t{ .$, PIPt]! ~~~~Env-ronmentolly Susta'nable Development The World Baink - - ESD Environment Department Papers Participation Series 001 Participation in Editcationl Nat J. Colletta Gillian Perkins 002 Participation in Water & Sanitation Gabrielle Watson N. Vijay Jagannathan 003 Parti ipation in Irrigationi Ruth Meinzen-Dick Richard Reidinger Andrew Manzardo 004 Participationi in Social Funtcds Mary Schmidt Alexandre Marc 006 - Participation in Coinitry Economric Dan R. Aronson anid Sector Work Ellen Tynan 007 Designin^g Comununity Based Deepa Narayan Developmuienit 020 PNrticipation in Andrew Norton Povterty Assessmiients Thomas Stephens 021 Participation annd Indigenotis Peoples Shelton H. Davis Lars T. Soeftestad Forthcoming: Participationr in Forest and Ajit Baneree Conserwation Managenment Gabriel Campbell Maria C. Cruz Shelton H. Davis Augusta Molnar Iitermediary Nongovernmalental Tom Carroll Organizations Mary Schmidt Tony Bebbington Copies are available from the World Bank's Environment Department, Social Policv & Resettlement Division. - Social Policy and Resettlement Division Participation and Indigenous Peoples Shelton H. Davis Lars T. Soeftestad June 1995 Papers in this series are not formal publications of the World Bank. They are circulated to encourage thought and dis- cussion. The use and citation of this paper should take this into account. The views expressed are those of the authors and should not be attributed to the World Bank. Acronyms and Abbreviations EA Enviomntal Assessment GEF Global Environment Facility ILO Intemational Labour Organization IPDP Indigenous Peoples Development Plan NGO No.agovernmental Organization Contents Acknowledgments ii Executive Summary 1 1. Introduction 5 2. The Foundations of Indigenous Development Planning 9 Identifying Indigenous Peoples The National Policy Framework 3. The Building Blocks of Indigenous Participation 13 Devising Appropriate Consultation Procedures Recognizng Land and Natural Resource Rights Building Upon Subsistence Lifestyles Using Indigenous Institutions Investng in Culture and Communication Strengthening Indigenous Capacity and Institutions Financing Indigenous Development 4. The Role of the World Bank 26 Notes 28 Annexes 29 1. Geographical Distributioni of the WorLd's Indigenous Peoples 2. Criteria for Identifying Indigenous Peoples 3. Selected World Bank-financed Projects With Indigenous or Tribal Peoples References 34 Acknowledgments This is one of a series of papers written as inputs Bank's indigenous peoples policy and its to the World BankWs Participation Sourcebook. implementation: Dan Aronson, Michael Cemea, These Papers were themselves produced in a Gloria Davis, Concepcion del Castillo, Charles di participatory way. Topics were selected by a Leva, Cyprian Fisiy, Mary Lisbeth Gonzalez, technical committee chaired by Bhuvan Scott Guggenheim, Kristine Ivarsdotter, Alf Jerve, Bhatnagar. Maritta Koch-Weser, Hemanta Mishra, Alberto Ninio, Harry Patrinos, William Partridge, Stan The series builds on the work of a participation Peabody, Ellen Schaengold and Jorge Uquillas. learning group which was led over three years by David Beckman and Aubrey Williams. It has Comments on an initial outline and earlier benefited from financial support from the World version of the paper were provided by Bhuvan Bank's Vice Presidencies for Environnentally Bhatnagar, Mary Lisbeth Gonzalez, Scott Sustainable Development (ESD) and Human Guggenheim, Miranda Munro and Jorge Resources Development & Operations Policy Uquillas. External reviews of an earlier version of (HRO), and from support from the Swedish the paper were also received from Simon Intemational Development Agency (SIDA) and Brascoupe, Cindy Buhl, Marcus Colchester, Jose the German Gesellschaft fiir Technische Dualok Rojas, Jonathan Fox, Andrew Gray, Jorge Zusammenarbeit (GTZ). Grunberg, ApamMuivah, Marcio Santilli, Glenn Switkes, Manuela Tomei, and Steven NM Tullberg, The authors of this paper would like to thank the Cindy Buhl of the Bank Information Center following World Bank staff members for their kindly sent out review copies of the draft paper general advice in matters relating to the World to a number ot indigenous NGOs. ii Executive Summary The characteristics of indignous groups make to the land, their dependence on renewable participatory approaches especially critical to natural resources, subsistence practices, dis- safeguarding their interests in the development tinct languages and cultures, their historical process. Such approaches, recognizing the right identities as distinct peoples, and often mis- of indigenous peoples to participate actively in trust of outsiders. For development institutions plann ing their own futures, are supported by and planners, the challenge is how to incoxpo- major donors and international organizations, rate such diversity of culture, language, eco- including the World Bank, but are difficult to logical adaptation and history into develop- implement. They call for changes in attitudes, ment planning. Cultural barriers make it policies and legislation to address the key especially difficult for thf outsider to commu- issues: recognizing rights to land and natural nicate with indigenous groups, understand resources; ensuring culturally appropriate their institutions, or discem their needs. procedures for consultation and conununica- tion; and building on the strengths of tradi- tional lifestyles and institutions. In these circumstances, the participation of indigenous people in planning and managing Why Support Partiipation? their own development is a means of safe- guarding their interests in the development Indigenous or tribal people, numbering at least process. The past decade has seen growing 250 million throughout 70 different countries, recognition of the rights of indigenous peoples, have often been on the losing end of the devel- supported by international legal instruments, opment process. ln many cases, their resources to decide their own priorities for the develop- have been exploited for the benefit of other ment or use of their lands and other resources, groups in society and, in many countries, they and to exercise control over their own eco- are the poorest of the poor Often they experi- nomic, social and cultural development ence political and economic discrimination and are perceived as backward or primitive. At the same time, from a practical point of Even when development polsand programs view, a participatory approach to indigenous have been designed specificaly to improve the development is a means of improving the welfare of indigenous peoples, the approach quality of projects. In communities whose has usually been patemalistic, seeking their institutions, leadership patterns and lifestyles cultural assimilation and ignoring the strengths are not well understood by outsiders, participa- of indigenous institutions and knowledge tion can ensure that projects and services are (including environmental knowledge). This, in relevant to perceived needs, and that they are turn, can contribute to worsening poverty, sustainable through indigenous institutions. To social marginalization and ethnic resistance. be effective, programs must be undertaken in partnership with indigenous peoples, rather The characteristics which distinguish indig- than planned for them or carried out among enous peoples include their strong attachment them. Participation Series Participation and Indigenous Peoples Key Elements in a Participatory Rights to Land and Natural Approach Resources Despite some recent progress, legal recognition Although the need for a participatory approach of the customary rights of indigenous peoples is now widely accepted by intemational to their ancestral lands is often lacking, and development agencies it is difficult to imple- many development programs have to deal with ment Obstacles include existing national policy the question of indigenous land tenure security and legi::lative frameworks, widespread and natural resource rights. Bank legal staff, prejudiceb. a tendency on the part of outside and lawyers within client countries, can help NGOs to control rater than fnrilitate, and a task managers through the complexities of lack of development plannir. .d management national land, resource and environmental skills on the part of indigenous peoples them- legislation as it relates to indigenous peoples. selves. The Bank has also had experience in improving the institutional capacity of the government In Bank operations, the challenge is typically agencies responsible for the titling of indig- confronted in two contexts. The first is in enous lands. This experience has demonstrated mandatory Enviromnental Assessments or the benefits to be gained from indigenous Indigenous Peoples Development Plans, participation in physical mapping and land intended to identify and mitigate potentially demarcation. adverse effects of Bank supported projects on the livelihoods of indigenous peoples. The Culturally Appropriate second is in a new generation of Bank-funded Communication projects where indigenous peoples are the In designing consultation and communication primary beneficiaries. Critical issues for the procedures with indigenous peoples, several task manager on these new projects are out- special aspects need to be taken into account: lined here. their distinct languages; their traditional means of transmnitting knowledge and values; and Thze Legal and Policy Framework their mistrust of outsiders. Government willingness to devolve some The language issue is central, since few indig- degree of autonomy in decisionmaking to enous people-especially women or elders- indigenous communities is a precondition of speak the national language fluently- Hence successful projects. Judgements must then be consultations need to be held in the vernacular made on whether legislative or policy reforms language with the help of skilled interpreters. are needed to support such participation in the Development strategies for indigenous educa- decisionrnaking process. Many of the line tion also need to take into account the tradi- agencies or ministries responsible for relation- tional importance of legends, folk tales and ships with indigenous people are weak, lacking proverbs for the oral transmission of knowl- professionally trained staff and often taking a edge and culture. Modem schooling of indig- patemalistic approach. In these cases, reforms enous children has proved more effective when patenalitic pprach.In tesecase, reorm it includes instruction in both vernacular and are needed before a participatory project can ntinal lnguages an wheni cultrano succeed. Even where an adequate legislative multicultural in content. and policy framework exists, however, local and regional elites may still impede authentic Effective communication depends heavily on the indigenous participation. element of trust Through historical experience, 2 Environment Department Papers Executive Summary indigenous people have learned to be cautious options and implement their own development of "benevolent" outsiders, be they missionaries, programs requires training in basic skills, and government officials, teachers or anthropolo- technical assistance in areas such as manage- gists. Those individuals or organizations which ment, topography, forestry, agriculture, market- have been able to gain their trust have usually ing and coimmunity health care. However, it done so through long years of contact, leaming also involves promoting and strengthening and respecting their languages and cultures. If traditional systems, for example of natural such individuals or organizations can be resource management and medicine. brought into the project preparation process, there is a much better chance of introducing Direct Funding culturally acceptable mechanisms for consulta- Many of the first generation Bank projects with tion and participation. indigenous peoples allocated funds to the national government agencies responsible for Building on Traditional Strengths indigenous development The typical result The traditional lifestyles of indigenous peoples was expansion of the government agency involve subsistence strategies which use locally concerned, with little direct benefit to the available natural resources to satisfy their basic indigenous communities. needs, while maintaining a balance with their environment There are many unfortunate In more recent projects, therefore, the goal is examples of programs for indigenous develop- for funds to be controlled and managed by ment which have undermnined these traditional indigenous people themselves. Group-based subsistence strategies without providing lending schemes, where groups rather than socially and ecologically viable altematives. individuals are responsible for protection The most successful programs with indigenous against default in repayments, have proved peoples are those which take traditional adaptable to the finance needs of poor indig- environmental knowledge and livelihood enous populations, as the principle of joint systems as the given basis upon which to build liability is often an important element in new knowledge, technologies and economic traditional systems of social control. activities. Similarly, the most successful projects are building on existing institutions, instead of The Role of the Bank creating new ones to deal with specific There are several ways in which the World development tasks. Bank can more actively promote the positive participation of indigenous peoples in the Social assessments, in which community development process. These include (a) focus- members participate as partners rather than ing more attention on convincing its borrower mere informants, are used to improve under- govemments to Caeate adequate policy frame- standing of the indigenous social structure works for indigenous peoples participation in and institutions on which to base develop- development; (b) the sharing of experiences in ment strategies, and to assist the communi- this area (including projects which have failed) ties in determining how best to adapt their with other donors, national govemments and institutions to new purposes. Social assess- the NGO community; and (c), where appropn- ment techniques can also reveal the existence ate, direct assistance to indigenous peoples and of conflicts with implications for participa- their organizations for capacity building, tion, for example between traditional and technical assistance and the financing of modern institutions or sources of authority. development projects. As in any other social groups, strengthening the capacitiZs of indigenous peoples to evaluate Participation Series 3 1. Introduction Although indigenous or tribal peoples com- Zealand, and the United States). In the devel- prise a significant sector of the world's popula- oping countries, it has contributed - some- tion, and often possess sophisticated environ- times with World Bank assistance - to some of mental knowledge, they have largely been at the major pockets of rural poverty, social the losing end of the development process. m ation and ethnic resistance (Burger According to conservative estimates, there are 1987; Goodland 1982; Independent Commission over 250 million indigenous peoples, living in an Intemational Humanitarian lssues 1987). 70 different countries, speaking hundreds if not thousands of distinct languages and dialects Another approach, influenced by romantic and possessing a great variety of cultural notions of the "noble savage" or "pristine practices (see Annex 1). While there is much primitive," argues for the isolation of indig- controversy about how indigenous peoples are enous peoples from the consequences of to be defined, their major characteristics are economic development. This approach is also their strong attachment to the land, their problematic, because there are relatively few if dependency on natural resources, their subsis- any isolated indigenous peoples, even in such tence practices, their distinct languages and areas as the rain forests of South Amerca and cultures and their historical identities as Central Africa, the mountainous regions of peoples (see Annex 2; cf. also Burger 1990; South and Southeast Asia, Indonesia, Papua Cultural Survival 1993). New Guinea and the other Pacific Islands and the Arctic. The vast majority of indigenous In many countries, indigenous peoples experi- peoples are no longer isolated from the forces ence political and economic discrimination and of development. They have already been are conceived as 'backward," "primitive" or fragmented and displaced, and some are "marginal." This is especially true when it inventing new types of ethnic identities and comes to national development policies and organizational forms to adapt to or resist programs, over which most indigenous peoples modernizatior. have relatively little or no control. These policies and programs tend to exploit indig- Actually, it is the great diversity of indigenous enous labor or resources for the enrichment of peoples - in terms of their cultures, languages, other social groups or regions, and seldom take ecological adaptations and historical situations into account their cultural needs and practices. - which poses the greatest challenge to devel- Even when programs are directed specifically opment institutions and planners. How, one at indigenous peoples, they are usually pater- may ask, is it possible to incorporate such nalistic and have cultural assimilation or diversity into development planning? integration as their primary outcome or objec- tive. This assimilationist approach has been One answer is an emerging approach which documented to have failed in industrial coun- recognizes the right of indigenous peoples to tries, where there are still indigenous or tribal participate actively in the planning of their enclaves (e.g., Australia, Canada, New own futures. This participatory approach to Participation Series 5 Participation and Indigenous Peoples indigenous development is contained in the Agenda 21 documents (sec Box 1). It is also programs of most contemporary indigenous reflected in the World Bank's policy on indig- organizations, as well as in several intema- enous peoples, and in recent statements on the tional statements and resolutions such as the subject by the aid agencies of such countries as Intemational Labor Organization Convention Belgium, Canada, Denmark, and The Nether- 169, the draft UN Declaration on the Universal lands.' Rights of Indigenous Peoples, and the UN's Box 1 Indigenous Participation and Intemational Legal Instruments The participation of indigenous peoples in development is emphasized in several international legal instruments, declarations and conventions. These documents establish basic principles for relating to indigenous peoples, as well as define minimal standards for the relations between them and nation states. Both general and specific aspects of indigenous peoples' participation are discussed in the following two instruments: ILO Coivenftion no. 169. Convention conicerning Indigewous and Tribal Peoples in Independent Countries (1989) includes the following relevant articles: "The peoples concerned shall have the right to decide their own priorities for the process of development as it affects their lives, beliefs, institutions and spiritual well-being and the lands they occupy or otherwise use, and to exercise control, to the extent possible, over their own economic, social and cultural develop- ment. In addition, they shall participate in the formulation, implementation and evaluation of plans and programs for national and regional development which may affect them directly." (Article 7, item 1) "The rights of ownership and possession of the peoples concerned over the lands which they traditionally occupy shall be recognized. In addition, measures shall be taken in appropriate cases to safeguard the right of the peoples concerned to use lands not exclusively occupied by them, but to which they have tradition- ally had access for their subsistence and traditional activities. Particular attention shall be paid to the situation of nomadic peoples and shifting cultivators in this respect." (Article 14, item 1) 'The rights of these peoples concerned to the natural resources pertaining to their lands shall be specially safeguarded. These rights include the right of these peoples to participate in the use, management and conservation of these resources." (Article 15, item 2) The Draft UN Declaration on thze Rights of Indigenrous Peoples (1993), which was drafted with the participation of indigenous peoples and is now under consideration by the UN, includes among others these para- graphs: "Indigenous peoples have the right to participate fully, if they so choose, at all levels of decision-making in rnatters which rnay affect their rights, lives and destinies through representatives chosen by themnselves in accordance with their own procedures, as well as to maintain and develop their own indigenous decision- making institutions." (Paragraph 19) "Indigenous peoples have the right to determine and develop priorities and strategies for exercising their right to development. In particular, indigenous peoples have the right to determnine and develop all health, housing and other economic and social programmes affecting them and, as far as possible, to administer such programmes through their own institutions." (Paragraph 23) "Indigenous peoples have the right to determine and develop priorities and strategies for the development or use of their lands, territories and other resources, including the right to require that States obtain their free and informed consent prior to the approval of any project affecting their lands, territories and other resources, particularly in connection with the development, utilization or exploitation of . .neral, water or other resources." (Paragraph 30) 6 Environment Departnent Papers Introduction While the idea of indigenous participation is primaty stakeholders or beneficiaries. The now accepted by many donor agencies, it is focus of the paper is not on those types of surprising how few development projects projects, such as roads, hydroelectric facilities, actually fit the needs of indigenous peoples, petroleum and mining developments or land The reasons for this include: (a) policy and settlement programs, which in most cases legislative frameworks which do not recognize adversely affect the lands, resources and indigenous land and natural resource rights or cultures of indigenous peoples. The Bank's provide for the participation of indigenous policy recognizes these adverse effects and tries peoples; (b) prejudices against indigenous to avoid or minimize them through such peoples and lack of knowledge of their cultures procedures as Social and Environmental Impact and needs on the part of government personnel Assessments, and the preparation and incorpo- (e.g., agronomists, foresters, health wo-'Prs, ration of special components or Indigenous teachers, etc.); (c) the tendency of .aħity non- Peoples Development Plans. governmental organizations (NGQs) (e.g., missionary societies, grassroots development Rather, the purpose of the paper is to consider agencies, environmental and indigenous a new generation of World Bank-funded defense organizations) to control rather than projects in which indigenous peoples are the assist indigenous peoples in designing and primary actors and participants. Many of these managing their own development projects; projects are in the forestry, conservation or and, (d) a lack of skills or preparedness on the natural resource management areas, or are part of many indigenous peoples to participate intended to provide basic services in education, in a self-managed process of development health or general rural development. Neverthe- (Beauclerk and Narby 1988). less, many of the issues and recommendations made in the paper can also be fruitfully applied Successful development with indigenous to those World Bank-funded projects in whicn peoples demands a change of attitudes and there is a need to mitigate adverse effects. perspectives on the part of several actors: donor agencies, national legislators and policy The discussion draws upon the statements of makers, government institutions and officials, indigenous peoples about such projects, com- non-governmental organizations and indig- mon understandings in the field of applied enous peoples themselves. To be effective, anthropology, and more than a decade of development programs must be carried out in experience of the World Bank in trying to partnership with indigenous peoples, rather implement its policy. The paper opens with a than be planned for or carried out among them. section titled, "The Foundations of Indigenous Such programs have a better chance of succeed- Develeoment Planning," which focuses upon ing if the views and needs of indigenous the identification of indigenous peoples as key peoples are recognized early in the project participants in the development planning preparation process; if an adequate policy process, and proceeds to examine the national framework exists for recognizing and protect- policy frameworks which are a necessary ing their rights to control their lands, resources condition for such participation. After this, and communities; and, if development agencies there is a section titled "The Building Blocks of respect their cultures, languages and beliefs. Indigenous Participation." Here, the paper tums to such critical issues as consultation This paper, while not providing a blueprint for procedures, land and resource recognition, successful participatory development with subsistence lifestyles, indigenous institutions, indigenous peoples, does suggest some critical culture and communication, training and issues which need to be considered in the capacity strengtening and financing indig- design and implementation of development enous development. The paper concludes with projects in which indigenous peoples are the a section titled "The Role of the World Bank," Participation Series 7 Participation and Indigenous Peoples which summarizes the various ways in which nied by three annexes, presenting population the World Bank, in partnership with indigenous estimates of indigenous peoples by regions, peoples and its borrowers, can promote more sociological criteria for identifying indigenous active participation of indigenous peoples in peoples, and a list of selected World Bank- the development process. funded projects which affect indigenous peoples and have been approved since the Where relevant, case studies are presented in World Bank's revised policy was issued in the text or boxes. Finally, the paper is accompa- 1991. 8 Environment Department Papers 2. The Foundations of Indigenous Development Planning Identifying Indigenous Peoples "scheduled tribes") who possess "a social and cultural identity distinct from the dominart World Bank staff and other development society that makes them vulnerable in the practitioners consistently face the problem of development process." This policy recognized identifying indigenous peoples as affected the great variability in the ways in which populations, beneficiaries or participants in national legislation defines indigenous peoples, their projects. The issue of defining indigenous and put forward a set of criteria for identifying peoples is somewhat different and more indigenous peoples within particular geo- complex than identifying these population graphical areas. groups in specific regional and national con- texts. Internationally, it has been extremely Recently, the World Bank has sought a more difficult to reach agreement on just what sociologically informed approach to identifying constitutes the category of "indigenous indigenous peoples which takes into account peoples" because of the great variability in the their cultural specificity and historical experi- histories and cultures of peoples throughout ence in particular regions and countries. the world. In some places, like North and Several methods are being used to identify South America or countries like Australia and populations which, because of their ethnic New Zealand, uindgenous peoples are recog- charactenstics and vulnerability, would come nizew Za .ingenou .peoples n og under the World Bank's policy and receive nized as being the "aborigspecial attention m World Bank-financed their countries and hence having certain prior . T or special rights. In other regions, such as large forentin The geographic locations parts of Africa and Asia, the entire population indigenous groups, reports by specialists which of a country because of its prior history may profileothegsocialandpculturalscompoiti of consider itself to be "indigenous" and the term, specific counthies, social assessments of popula- if used at all, is more appropriately applied to tions in particular World Bank-funded projects, specific ethnic, minority or tribal groups.2 and self-identification by indigenous peoples themselves. The World Bank, like other international institutions, has found it extremely difficult to With rare exceptions, World Bank Task Manag- reach agreement on the definition of the ers generally lack the necessary training and concept "indigenous peoples." The earliest knowledge which would enable them to World Bank directive of 1982 used the term identify indigenous peoples. However, there "tribal people" to cover relatively "isolated" and are some standard ways in which Task Manag- "un-acculturated' peoples. In 1991, the World ers can increase their knowledge of the indig- Ban-k revised its policy and used the term enous peoples and other vulnerable ethnic "indigenous peoples" to describe a broader minorities who live within the countries where spectrum oi social groups (including "indig- they work, and in the process provide oppor- enous ethnic minorities," "tribal groups," and tunities for the active participation and Participation Series 9 Participation and Indigenous Peoples involvement of these peoples in World Bank- same scale as India - exist in countries such as funded projects. China, Mexico, the Russian Federation and Viet Nam. National census bureaus and geographi- The World Bank's libraries, for example, cal institutes can also be sources of vital infor- contain a growing body of information on the mation on the size and location of particular situation of the world's indigenous peoples by ethnic and linguistic groups. These sources, country and region. One of these sources is The however, should be used cautiously, as (de- Encyclopedia of World Cultures (Levinson pending upon the national context) they often 1993). This multi-volume work contains an contain information which is unreliable, biased alphabetical listing of all language and culture or incomplete. groups by regions (e.g., Southeast and East Asia, Africa and the Middle East and the Another source of information are anthropolo- Pacific), maps showing their geographical gists with specific regional, country or ethic location, and brief descriptions written by group knowledge. The World Bank's Regional anthropologists on the demography, cultural Tedhnical Departments and the Environment practices and soci-economic situation of these Department's Social Policy and Resettlement groups. This work was organized by the Division (ENVSP) contain anthropologists, Human Relations Area Files (HRAF) in New many of whom have had years of field experi- Haven, Cornecticut and much of the data is ence living and working with indigenous also available on CD-ROM. groups. Within countries, local NGOs - inluding In almost every country where the World Bank those organized by indigenous peoples them- works, there are also universities and research selves - are often the best source of informa- centers which are staffed by persons who have tion for identifying indigenous groups. These done as thropological and/or linguistic re- organizations should be consulted early in the search. These national specialists should be project identification process, so they can assist contacted, if there are any questions about the World Bank Task Managers and implementing nature of populations living within the area of agencies in identifying and contacting indig- proposed World Bank-funded projects. enous peoples and their organizations. In some areas, there are also regional organizations, Goverunent agencies, such as social welfare, such as the Coordinating Body of Indigenous education or forestry departments, can also be People's Organizations of the Amazon Basin usefui sources of information on the mdigenous (COICA), which can provide information on or tribal groups which exist within a locality, the situation of indigenous groups in various region or country. However, like national countries. census takers, the information which they provide should be checked for its reliability. Many of the World Bank's borrowers also-have national institutes or centers which are devoted The National Policy Framework to the investigation of the country's tribal, religious, cultural and ethnic groups. For Along with the identification of indigenous example, the national government-sponsored peoples, another precondition or foundation for Anthropological Survey of India contains successful indigenous participation in the detailed, computerized documentation on over development process is the existence of an 4,000 cultural communities. The Survey main- adequate legal and policy framework Many of tains a network of national and intemational the World Bank's borrowers have constitutions contacts with ethnologists, linguists, historians or bpLcial laws which outline government and tribal research institutes (Singh 1992). policies in relationship to indigenous peoples Similar sorts of institutions - albeit not on the and other ethnic minorities. For example, most 10 Environment Department Papers Indigenous Development Planning of the Latin American and many of the Asian Act. This act constitutionally recognizes and countries have passed laws and/or created protects the local governance powers of village special institutions or agencies to deal with chiefs, grants them authority to enforce cus- issues relating to indigenous peoples and other tomary tribal laws, and establishes regional vulnerable ethnic minorities. In some countries, and national assemblies in which they can government relationships with indigenous discuss and govem their affairs. There are peoples are the responsibility of special line currently one national and ten regional Houses agencies or ministries, such as those dealing of Chiefs that have jurisdiction over numerous with education, rural development, forestry, customary legal issues, including adjudication social welfare and the like. However, many of of disputes, codification and unification of these agences are relatively weak, have staff customary law, and maintenance of cultural which have not been professionally trained to heritage, practices and ceremonies. The Houses work with indigenous peoples, and tend to of Chiefs also have responsibilities for eliminat- have a top-down or paternalistic approach. ing what are conceived to be harmful cultural Promoting indigenous participation is parti- practices. The Ghana Chieftaincy Act has cularly problematic in these countries, unless sometimes been criticized for causing the governments understand the value of a more intrusion of partisan politics into the traditional pluralistic approach to development which institution of chieftaincy and leading to dis- takes into account cultural and ethnic diversity, putes and litigations over nghtful occupancy to and are willing to devolve some degree of positions of authority and lands. Nevertheless, autonomous authority and decision-making in it has increasingly played an important role in the development process to indigenous groups. promoting greater public and grassroots involvement in development decision-making A good example of a Latin American country (see Box 2). which has taken such an approach is Colombia. Although Colombia maintains a special office Numerous other countries fall along a con- within its Ministry of Government to deal with tinuum from those which recognize and indigenous affairs, its National Constitution support the rights of indigenous peoples to recognizes the rights of indigenous communi- participate actively in development decsion- ties to control their lands and natural resources making to those which provide relatively little and their internal political affairs. Each recog- or no recognition of such rights. Even in those rized indigenous community has its own countries where the special rights of indigenous "council" which has the power to decide upon peoples or other minorities are not offically the use of the community's land and resources, recognized, there may be ways of promoting to resolve internal disputes, and to negotiate greater dialogue between official government health, education and other programs with agencies and local indigenous communities regional development corporations and the about development policies and projects, and national government Recent Colombian hence increasing the political space for the legislation also provides for the direct transfer latter to participate in the development deci- of government resources to these "councils" for sion-making process. For example, World Bank- projects which they design and execute (Roldan financed sector work can play an important Ortega and Gomez Vargas 1994). role in furthering constructive dialogue be- tween governments and indigenous peoples In Africa, some post-independence govern- over development priorities. A case in point is ments have also recognized the importance of the large amount of World Bank-financed traditional chieftainship as an institution for forestry policy and sector work which could promoting multi-ethnic or tribal particpation profit from greater and more systematic *n the development process. An example is participation by indigenous peoples, many of Ghana which in 1971 passed the Chieftaincy whom inhabit and depend for their livelihoods Participation Series 11 Participation and Indigenous Peoples Box 2 Utilizing Traditional Institutions in a Modem Nation State Context The Bank's Africa Management in the 90s program is investigating the Ghana Chieftaincy Act as an example of new approaches to African governance whereby traditional authority Lnstitutions are adapted to modem development conditions. Speaking before an audience at a 1993 World Bank conference on traditional knowledge and sustainable development, the Honorable Nana Oduro Numapau II, President of the National House of Chiefs of Ghana, said that he was "highly optimistic that the institution of chieftaincy is poised to play an enhanced role in Ghana's development." Chief Numapau mentioned the following factors as reflecting the increased potential for chiefs to participate in the nation's development policies: First, now we have highlly educated dciefs wlO understand thie rnmifications of modern development and have the expertise to contribute to it in various fields. Secondly, because dciefs are not associated with political parties,.. . their advice and exhortation will henceforth carry greater moral weightt across party lines. Thirdly, it is now widely realized that traditionalfora antd menans of communication are relevant to educating the broad masses of our people on sudh development-oriented issues as family planning and population control, indiscrimina;e sexual habits, teenage pregnancy and AIDS. Fourthly, governmnent-sponsored organs have not been able to supplant the chief as a the medium of mobilizing the local peoples fr communal efforts at development. An yet, it is now common tn7wwl- edge that to achieve true development, the laudable efforts of the government will havue to be meangfutlly supple- mented at the local, grass-root level thzrough communar effort. Source: Davis and Ebbe (1995: 20-21). on the world's remaining intact natural tion. In other cirumstances, some degree of forest. participation can take place even without a reform of current policies. In either situation, In the final analysis, govemments must show a judgments must be made about the legal and willingness to accept the participation of policy frameworks which promote or inhibit indigenous peoples in the development deci- indigenous participation, and what kinds of sion-making process. In certain circumstances, accountability mechanisms need to be in place it may be necessary to assist governments in to ensure that indigenous development can reforming their legislation or policies in order take place. to create an enabling environment for participa- 12 Environment Departrnent Papers 3. The Building Blocks of Indigenous Participation Devising Appropriate Consultation WiVthin indigenous communities, there are Procedures often strong traditional institutions and leader- ship patterns, such as councils of elders or traditional chiefs, which may not be readily Once indigenous peoples have been recognized observable to outsiders. There may also be as possible affected groups or beneficiaries, the factions within indigenous communities, long and difficult process of consultation between more traditional and modemizing begins. In some ways, the consultation process elements of the local society or between with indigenous peoples is no different than different kin groups (Talle 1994). There are no that of other groups who are poor and simple formulas for figuring out who repre- margintalized. However, there are some special sents these communities; nor should one aspects which do make their situation different assume that persons who are officially recog- from that of other groups. These aspects include nized by the government necessarily represent their distinct languages, their traditional social their communities. Local politics among structures and leadership patterns, and their indigenous peoples - like local politics generalized mistrust of outsiders, including everywhere - are complex and the best advice representatives of the government and other in setting up consultative or participatory ethnic or social groups. More than anything processes is to be aware of the dynamics and else, these factors need to be taken into account nuances of the situation and not assume that in the design of consultation procedures with first impressions are correct. Special consulta- indigenous peoples. tive procedures may be necessary in order to ensure that indigenous women have a voice in The language issue is central, because most the formulation of development plans and indigenous peoples do not speak the national projects. language, or if they do, they speak it only in a rudimentary fashion. Furthermore, while young Perhaps the major factor which determines men who have had some schooling may be whether or not consultative procedures with fluent in the national language, indigenous indigenous peoples will be successful is the women and elders may not Therefore, it is element of trust. Through historical experience, imperative that consultations with indigenous indigenous peoples have leamed to be cautious peoples be held in the vernacular languages of 'benevolent outsiders" whether they be with skilled interpreters provided. This is anthropologists, development agencies, especially true in former colonial countries, goverunent officials, missionaries or teachers. where English, French, Portuguese and Spanish Those individuals or organizations which have may be the official languages, but where been able to gain the trust of indigenous vernacular languages are still widely used in peoples, usually have done so through long rural and remote areas. years of contact, through the learning of Participa4on Series 13 Participation and Indigenous Peoples indigenous languages and through a deep and whole cultures, collectivities and groups respect for indigenous cultures and traditions. (Rudqvist 1994). If such individuals or organizations can be brought into the project preparation process, As mentioned previously, in many countries there is a much greater chance that consultative there are organizations which defend the rights and participatory mechanisms can be intro- of indigenous peoples or are actually created duced which are culturally appropriate and by them to represent their interests before the acceptable (see Box 3). national government, international organiza- tions and private companies. These organiza- Often times, outsiders think that because they tions can be an important source of support (or have gained the trust of indigenous persons criticism) of World Bank-funded projects. Task who work for their organizations, they have Managers would do well to consult with these necessarily gained the trust of the people. This organizations early on in the project cycle. They position, however, is not necessarily true, can be important allies and intermediaries m especially when these indigenous persons the design of socially-acceptable development identify more with the outside organization or projects, especially if they have close contacts agency than they do with their own communi- with grassroots indigenous leaders and com- ties, or when their primary interest is in im- munities. However, Task Managers should be proving the welfare of their own families or kin aware of the potential political issues which rather than their ethnic group. Obviously, might emerge from such collaboration, espe- development agencies need indigenous persons cially if these organizations are not officially who can serve as "cultural brokers," but these recognized or accepted by their govemments positions should not be created at the expense (see Box 4). of mutual trust and respect between outsiders Box 3 Using a Legal Aid Organization to Gain People's Trust Tin.! Legal Assistance Center for Indigenous Filipinos (PANLIPI) has provided legal assistance to the country's Indigenous Cultural Communities (ICCs) for a number of years, especially in the critical area of the recognition and demarcation of ancestral domains. Durirng the appraisal of a proposed Global Environ- ment Facility (GEF)-funded National Integrated Protected Areas System Project, the National Depirtment of Envirorunent and Natural Resources (DENR) contracted PANLIPI to organize a series of consultLtions with local ICCs for a visiting World Bank mission. In the areas visited, there were a number of contentious issues surrounding ICC ancestral domain rights in relationship to loggers, the state-owned petroleum and energy company and the DENR's Parks and Wildlife Division. The consultation meetings which were set up by PANLIPI, and conducted in the vernacular languages, provided the World Bank mission with the opportunity to better understand the nature of these conflicts, as well as the attitudes of the ICCs toward the proposed protected area project. As a result of the consultations, one proposed area was dropped from the GEF project because of ICC unwillingness to participate; and, in the other areas, more attention was focused upon indigenous land tenure, resource access, and livelihood issues and ICC participation in protected area management. Sourc: Case study and interview on the Philippines Integrated Protected Areas Project, in the World Bank Partidpation Sourcebook (World Bank 1995). 14 Environment Department Papers Indigenous Participation Box 4 The Politics of Indigenous Participation Projects which incorporate indigenous consultation and participation need to take into account ongoing and complex political situations. Without a good uiderstanding of these dynamics, even the most well- intentioned and designed projects can lead to unforeseen turmoil and frustration. An example is the checkered history of the Indigenous Peoples Component of the World Bank-funded Eastern Lowlands Natural Resource Management and Agricultural Development Project in Bolivia (approved in 1990). The purpose of the Indigenous Peoples Component is to provide land tenure security and other services to several Ayoreo and Chiquitano Indian communities in the Eastern Lowlands. Originally prepared in a highly participatory manner by a regional Indian federation in collaboration with a non-Indian technical assistance NGO, the component encountered implementation problems of a political nature immediately following project effectiveness. The precipitating event for these problems was a protest march by the Indian federation calling for more indigenous control over forest resources. This event soon escalated into a major confontation between the federation and the regional development corporation (which was the project implementing agency) over who should have control of the component. The World Bank found itself in the unenviable position of trying to negotiate the differences (some of which had a history even prior to the Indian protest march) which emerged between the indigenous federation and the regional corporation. After long meetings and unable to find a solution, the World Bank was forced to accept the redesign of the component, lessening the executing power of the indigenous federation, and putting more power into the hands of an implementing unit within the regional corpora- tion. Sourer Wali and Davis (1992). Some of the political issues which can arise in Lastly, there is a need to include government project implementation can be minimized or agencies and NGOs in the consultative process avoided through more systematic attention to with indigenous peoples. Many times, the the consultative process during project general cultural awareness and sensitivity of preparation. For example, it is important to these agencies can be increased through their provide adequate time for such consultation joint participation in consultative events with so that the views and values of indigenous indigenous peoples. Such joint consultations peoples can be fully incorporated into the can bring to the surface the differences in project design. In most cases, meetings or cultural perception tnd interests among other consultative fora need to be repeated or government agencies, NGOs and indigenous held over a long time period, because the peoples and facilitate a more genuine process decision-making and consensus-building of dialogue a.d paitnership. They c,n also processes in indigenous societies are different reduce the risk of confict that is detrimental to from those in Western societies or the na- the goals of the development initiative; avid tional societies of which they form part. they may help to bring about negotiated There may also be leaders or representatives solutions to such conflicts when they do occur. in distant villages who need to be consulted Listening to indigenous peoples is a fundamen- by indigenous organizations and the consul- tal part of an authentic consultative process, tative process should take this social and even when it leads to rejection of an outside geographic factor into account. development agency's projects or goals. Participation Series 15 Participation and Indigenous Peoples Recognizing Land and Natural statements on indigenous peoples, as well as in Resource Rights many of its projects, especially those which finance the opening up of remote frontier areas where indigenous peoples live (Wali and Davis Indigenous peoples are defined as having close 1992). In fact, many intemational observers attachments to their ancestral lands and great now acknowledge the close relationship dependence upon renewable resources for their between local participation and the recognition livelihoods. In many indigenous communities, of indigenous land rights. Without local partici- land and natural resources have strong cultural pation, most legal and administrative frame- meanings, are important to their religious and works (including those which deal with land spiritual beliefs, and define their social and and natural resources) will not address the cultural identities (Davis 1992). Most tradi- needs of indigenous peoples. tional indigenous communities also possess customary rules and norms for regulating the World Bank legal staff can play an important possession, use and transfer of lands and role in assisting Task Managers to understand natural resources. These customary or common the complexities of national land, resource and property regimes are often based upon norma- enviromnental legislation as it relates to indig- tive principles and associated with traditional enous peoples. In the Forest Management and dispute-resolution procedures which are Conservation Project in Laos (approved in different from contemporary Western property 1994), for example, one of the World Bank's systems. lawyers reviewed national forestry and land legislation as it relates to the customary rights Although some colonial powers recognized of upland villages, many of which are com- customary or indigenous land rights, most prised of ethnic minorities. The results of the governments did not, saying the lands pos- review provided the World Bank with the sessed by indigenous peoples were "unoccu- necessary information to open a dialogue with pied." The state and outsiders assumed rights the governrment on customnary land rights and over these lands without the prior consent or to include provisions for recognizing and adequate compensation of their indigenous regularizing those rights in the community inhabitants. The forests, fish, wildlife, minerals resource management component of the and other resources on these lands were also project. claimed by colonial governments and these concepts and practices were taken over by Smiilarly, lawyers within Borrower countries post-independence national govermments. who have defended indigenous peoples' rights Thus, we find today that there is still relatively to lands and resources can be invaluable little legal recognition of the customary rights sources of information and advice during of indigenous peoples to their ancestral lands, project design and implementation. A case in although the situation is rapidly changing as a point is the Colombian Center for Indigenous result of new pressures being brought by Cooperation (CECOIN), an NGO which pro- international agencies and indigenous organi- vides legal and other technical assistance to the zations (Plant 1992). National Indigenous Organization of Colombia (ONIC) and various indigenous groups. In Because of this adverse legal situation and the preparing the Natural Resource Management economic demand for indigenous resources, to Project in Colombia, CECOIN provided the be successful, many development programs project implementing agency and the World with indigenous peoples must deal with the Bank with invaluable information and analysis question of land tenure security and natural on the land rights and status of land claims of resource rights. The World Bank has recognized indigenous and Afro-Colombian groups in the critical importance of this issue in its policy the Pacific Coast region. As a result of this 16 Environment Department Papers Indigenous Participation information, the project (approved in 1994) Building Upon Subsistence contains a significant indigenous and Afro- Life 1 Colombian land demarcation and regulariza- estyles tion component. The recognition of indigenous land tenure The World Bank has also had some experience, should be accompanied by measures to main- especially in the Philippines, Brazil and other tain and reinforce subsistence lifestyles. Most South American countries, in improving the indigenous peoples are hunters and gatherers, institutional capacity of government agendes fishermen, horticulturalists, nomadic responsible for the identification, demarcation pastoralists or settled farmers who depend and titling of indigenous lands. One of the upon locally available natural resources for major lessons learned from this experience is their food, fuel, clothing, building materials, that land regularization programs for indig- medicines, etc. Under relatively isolated enous peoples are most successful when they conditions and low population densities, these include the participation of indigenous commu- peoples are able to maintain a balance with nities in the process of territorial delirieation their environment, while satisfying basic and protection. Most indigenous peoples have human needs for food and subsistence. To give a sophisticated knowledge of the physical and an example, one anffiropologist has classified cultural landscapes where they live, and this one category of indigenous peoples - the knowledge can be put to great use in the world's hunters and gatherers - as being physical mapping and legal recognition of their members of the first "affluent societies" because lands (Denniston 1994). they are able to satisfy human needs with relatively simple tools and limited amounts of The formal state recognition of lands occupied labor, thus freeing up time for ritual, story- and used by indigenous peoples should not be telling, play and other leisure activities (Sahlins confused with the individual dermarcation and 1972). titling of lands that takes place in many agricul- tural modernization and land reform pro- Indigenous peoples are not against change, and grams. While some indigenous groups may they do not wish to forsake the benefits which wish to have their traditional lands titled as they might receive from Westem ideas, tools private or familial property, the vast majority and economies. However, many development - if we are to believe recent statements made programs are introduced at the price of the loss by indigenous peoples before the United of their traditional livelihoods and lifestyles. Nations and other agencies - are seeking These programs often lead to declines in food security of title for their corporate or commu- security, with negative effects on health and nal lands. For this reason, it is important to nutrition. Many government programs whose understand the informal or customary rules objectives are to sedentarize and economically and governance structures which continue to transform nomadic peoples, for example, have define indigenous property relations, land use undermined their subsistence strategies with- and natural resource management practices. out providing socially and ecologically accept- The persistence of these customary systems, as able altematives (Hiadik et al. 1993). well as their recognition in national legal systems, are critical to achieving sustainable Indigenous peoples produce surpluses and land management, especially in environmen- have trade and exchange relationships with tally sensitive parts of sub-Saharan Africa, neighboring peoples. They also possess sophis- South and Southeast Asia, and Latin America ticated knowledge of their environments which (National Research Council 1986). car be profitably incorporated into the design Participation Series 17 Participation and Indigenous Peoples of development programs. One of the best duction systems are undermined or aban- cases of such incorporation is the West Bengal doned, this knowledge disappears. Thus, there Forestry Project in India, in which the tradi- are very critical issues which indigenous tional knowledge and livelihood patterns of peoples raise concerning the need to maintain tribal women play an important role in the the integrity of their susbsistence lifestyles, project's performrance and success (see Box 5). while at the same time protecting their intellec- Participation only makes sense when it takes tual and cultural property rights.4 place in a culturally recognizable framework. . . .i o In the economic sphere, this means building Usig Indigenous Instiutions upon what people already know, including . . . their traditional knowledge of the environment, Indigenous communities possess a variety of technologies and modes of subsistence. The forms of social organization and institutions most successful development programs with which can serve as the building blocks of indigenous peoples are those which take participatory development strategies. At the traditional knowledge and livelihood systems most basic level, these include nuclear and as givens, and build upon them new knowl- extended families and local lineages. These edge, technologies and economic activities3 social groups are, in turn, often organized into larger units such as clans, moieties, phratries The traditional environmental knowledge of and tribes. Villages may also be organized into indigenous peoples, as recognized in recent neighborhoods, age-grades, religious associa- intemational statements such as the Agenda 21 tions, secret societies and the like. Politically, documents of the UN, has a great deal to decision-making powers may rest with village contribute to the process of sustainable devel- headmen, elder's councils, longhouse authori- opment- However, planners must recognize ties or traditional chiefs. There may also be that this knowledge is deeply rooted in indig- types of religious leaders, such as traditional enous production systems and, as these pro- healers or teachers, whose cultural ideas and Box 5 Tribal Women and Forestry The West Bengal Joint Forestry Management Program in India is considered to be a model of participatory forest management. One of its most important aspects is the ways in which tribal women, their traditional environmental knowledge, and their livelihood strategies have been incorporated into the program. In most areas, the recognition of the rights of tribal women to collect and market the leaves of Sal and Kendu trees has been the major incentive which has led to the program's economic and institutional success. In the village of Pukuria, women gather sal leaves for six months of each year for purposes of plate (thui) making. One study estimates that experienced women from this village can produce 1000 plates in two days, and the village itself exports nearly 700,000 leaf plates per month (equivalent to two truck loads) during the season. "Minor forest products," the study states, "represent the primary occupation and most important source of income for Pukuria's tribal women, who are also assisted by children. Given the low investment costs for reestablishing sal forest productivity, combined with the benefits of protecting the upper ridge tracts where forests are located, this system seems to have considerable potential for increasing employment and income earning opportunities, while reducing soil erosion levels." Sourcr: Poffenberger (1990:13-14). 18 Environment Department Papers Indigenous Participation leadership may encompass whole tribes and even non-related indigenous groups. Instead of Box 6 creating new institutions to deal with specific Kinship in the Service of Community development tasks, existing indigenous Development institutions should be taken as a starting Bedouin of the Matruh region all trace their point, making them the locus of development descent to a common ancestor, and are orga- activities. nized into a segmentary lineage system com- prised of tribes, patrilineages or clans, and local A good example of this is the way in which the extended-famiily household groups. While tribal Burkina Faso NGO, Association Internationale sheikhs represent these people before the Six "S" (Se Servir de la Saison Seche en Savanne governuent, most aspects of social and eco- et au Sahel), has used the traditional Mossi (the nomic life take place at the household level. dominant indigenous eethnic group in Burkina These groups are called the bayt (bfyut, pl.), are dasom inant indtigenou KombiNaam for purposesusually 3 to 4 generations in depth, and contain on the average about 14 persons. Describing the of commurity development and organization. significance of these groups among Bedouins in The objective of the traditional Mossi institu- neighboring Libya, the British social anthro- tion was the "social integration of youth" to the pologist E. Evans-Pritchard wrote: society's "fundamental values of equality, justice, equity and democracy." This institution 7he trbe may be the residual owner of land and is now used as the basis for a more widespread waler, but the biyut are the owners in use. Thdr community organization called the members live in the same stretch of tribal territory, Groupement Naam-L Its membership has been oue during the rains to the same grazing grouuds, broadened to include other categories of people use the same wells during the dry season, and b aroadened to include other categories or people cultivate ajacent strips of arable land. The besides youth, including women and the members of a bait (i.e., bayt) have a lively sense of elderly. The elders, in fact, are the "counselors" solidarity, and this is most evident infighting and of the organization providing it with a moral feuds. (Evans-Pritchard 1949) direction which does not exist in other organi- zations imposed by outsiders or the govern- The Matruh Natural Resource Management ment (Communication by Bemard Ledea Project, unlike previous govermnent and Ouedraogo, cited in Davis and Ebbe 1995). intemational donor efforts, is using this traditional institution as the basis for local Another example is contained in the design of Resource Management Committees through AnotheWorld exarnple-isfcontaed Mainuh Nath al owhich economic livelihood and resource the World Bank-funded Matruh Natural conservation activities are being organized. Resource Management Project (approved in 1993) among Bedouin in the desert of the Sources Case study on Matruh Natural Resource westem part of Egypt. Here, it was decided to Management Projwect, in the World Bank use a traditional social form, the bayt (or Participation Soumebook (World Bank 1995); use a trdtoa oilfm,tebayt (rDavis and Ebbe (1995). Bedouin local lineage), as the basis of the project's rural livelihood and conservation activities. By identifying this institution, the project authorities were able to gain the confi- to the new political and economic realities of dence of the Bedouin population (including nation states and market economies. Some Bedouin women) and avoid some of the pitfalls hunting and gathering peoples, for example, encountered in previous projects where the are so egalitarian and informally organized that government introduced Westem-style coopera- it is difficult to establish legitimate authorities tives (see Box 6). for dealing with outsiders without causing intense rivalries and even the total social Obviously, not all indigenous social institutions disorganization of the group. Similarly, there have sufficient integrity or flexibility to adapt are situations in more complex lineage-based Participation Series 19 Participation and Indigenous Peoples societies where women have relatively limited recognize that groups and leaders which formal political authority, but where they may support traditional values may not necessarily wield power within the local lineage or domes- be opposed to development. Indigenous tic group. In these types of circumstances, the participation, if it is to be accepted and authen- uses of traditional or indigenous social institu- tic, must be based on a thorough understand- tions for purposes of development may be ing of such situations, including a recognition more problematic and there may be a need to that within indigenous communities there is create new institutions, such as Western-style often a plurality of belief systems, values and cooperatives or NGOs. The purposes of these views. organizaticns, however, should not be viewed as a means of undermining or replacing tradi- Investing In Culture and tional institutions; rather they should serve as C "mediation" institutions for dealing with Communication agencies external to the group. The above comments raise an even more The use of social assessment techniques is fundamental issue about the role of culture and fundamental to understanding the indigenous communication in indigenous societies. Indig- institutions and networks of social relation- enous peoples communicate and transmit their ships upon which participatory development traditional values through myths, stories, strategies can be based.5 Indigenous peoples legends, folk tales, proverbs, art and other should participate in these social assessments, symbolic media. The oral transmission of not as "informants" in the classical anthropo- culture is one of the defining characteristics of logical sense, but as equal partners in an indigenous cultures and, in great measure, attempt to adapt traditional or existing institu- distinguishes it from the sorts of cultures which tions to new indigenous development alterna- are transmitted through the printed word and tives or realities. Again, the use of vernacular electronic media. Culture for these people is a languages is important, both to understand the form of social capital which is guarded and nature of local social structures and cultural invested for the benefit of future generations. It norms and to ensure the informed participation is for this reason that many indigenous peoples of local peoples. talk about their culture as a type of "wisdom" inherited from their ancestors. Social assessments can also indicate the poten- tial conflicts which may exist between modem Participatory development strategies should be and traditional, or formal and informal, institu- based upon these traditional cultural means of tions. Many times, there is a layering of institu- transmitting knowledge and values. This is not tions in indigenous communities, which makes to say that indigenous peoples are not inter- it difficult to identify which individuals have ested in obtaining formal education, such as legitimate authority in the eyes of the local Western-style literacy and schooling. However, peoples. National and provincial authorities there is a large amount of research which may recognize one individual or institution as demonstrates that such schooling is more being the legitimate representative of a commu- effective when it includes instruction in both nity or group of people; while the community vernacular and national languages and when it or group recognizes another. Similarly, there is bi-cultural or multi-cultural in content will be different groups (sometimes called (Dutcher 1994). Recent World Bank-funded "factions") within communities or villages, education projects in Mexico and Viet Nam including persons who are members of differ- demonstrate the interest of national govern- ent religious groups. Some of these groups may ments in incorporating native language instruc- recognize traditional leaders and institutions, tion in their national educational programs and while others do not. However, it is important to producing pedagogical materials in vernacular 20 Environment Department Papers Indigenous Participation languages. The success of such programs in attitude is reflected in conventional approaches both countries, however, will depend not only to rural health, teclnology transfer and on the use of vernacular languages as the first agricultural extenision projects. This approach, language of instruction, but also on the capac- however, may be limiting and ethnocentric. ity of government educational ministries to Other media, suclh as songs, drama, proverbs, mobilize communities to cooperate with sucl story-telling, etc., may be more appropriate programs (see Box 7). than these Westem modes of communicating in an indigenous context (see Box 8). Some indigenous organizations are also using radios and other electronic media to communi- Culturally-appropriate modes of communica- cate with their indigenous constituencies. The tion are important ingredients in the design of use of electronic media is conceived by these consultation, development outreach and indigenous organizations as a means of rein- extension strategies. The production of forcing rather than replacing their traditional materials in the vemacular languages, and the modes of communication. En this sense, it differs use of indigenous extension agents, are greatly from the commercial use of radio, televi- essential for the communication and sion and other media which often serves to introduction of new ideas and technologies in integrate indigenous and other non-Westem an indigenous context Development peoples into a Westernized "consumer culture." practitioners need to give more attention to the overall issue of culturally-appropriate Many people think that Westem pedagogical communication strategies, which may be one of techniques, such as formal lectures and the most important ingredients in successful workshops, are the only ways of commnuni- participatory development projects. cating new ideas to non-Westem peoples. This Box 7 Community Participation in Bilingual Education Education in indigenous and tribal societies is self-initiated, self-directed and non-formal; i.e., it often takes place in the family, household compound or village and is directed toward the enculturation of local values and traditions. Formal schooling, even if done in vernacular languages, necessitates community ownership and participation to be successful. In Viet Nam, ethnic Vietnamese constitute the bulk of the population. There are, however, 53 ethnic minorities that live mostly in the mountain areas. The World Bank-funded Primary Education Project (approved in 1993) contains a special Ethnic Minorities Education Component which will finance a comprehensive package of educational inputs to children in selected ethnic minorities. This package consists of policy measures, pedagogical activities, provision for physical facilities and institution building. It is premised upon the intimate and crucial relationship between language and ethnic identity. To imple- ment the component, existing provincial and local-level committees will be involved in teacher training, textbook production and maintenance of local schools. Similarly, in the Second Primary Education Project in Mexico (approved in 1994), the use of bilingual school teachers and pedagogical materials in the vemacular languages is combined with a strong elemer ' of community participation. Such participation is linked to the country's overall poverty alleviation program, and includes the involvement of community committees, Municipal Education Councils, parent's associations and School Councils. Sourcs: Staff Appraisal Report for the Primary Education Project in Viet Nam; Staff Appraisal Report for the Second Primary Education Project in Mexico. Participation Series 21 Participation and Indigenous Peoples Box 8 New Roles for Traditional Forms of Cnmmuiication Relatively few development agencies have understood the power of traditional forms of communication. In West Africa, for example, so-called "talking drums" were never recognized or accepted by colonial administrators as genuine forms of communication. To the contrary, the use of talking drums was actively suppressed; and, in some cases, they ended up in museums so Westerners could view them as examples of "exotic" or "primitive" art. Today, African scholars argue that these drums are sacred objects which do and can play an imporhnt role in the transmission of indigenous knowledge, history and values, and hence promote the development process. Some of these drums can be heard at a distance of 40 kilometers. Among Akan of Ghana and the Ivory Coast, the texts produced by these drums record historical events, important personalities, institutiunal arrangements and fundamental beliefs about living people and their ancestors. To take another example, among Bhils and other tribal peoples in the Narmada Valley of India, highly ritualized chanting sessions are used to discuss issues and create consensus within the group. At the height of t!.e Sardar Sarovar dam controversy, both sides used such ritual chanting to convince villagers of the truth of their positions. Thus, during the heated arguments with resettlement officers surrounding the allocation of lands to eldest sons in addition to the land that their father's would receive, the chants would begin, "Are you happy? Are you feeling okay?," to which the response in the tribal languages would be, "Not so much our major sons!" Sources. Opoku (1994); personal communication from Maninder Gill (ASTHR). Strengthening Indigenous Capacity Again, using existing indigenous knowledge and Institutions and skills as the basis of capacity strengthening is the best approach. For example, indigenous peoples often possess a sophisticated knowl- Participatory development with indigenous edge of the medicinal properties of plants, and peoples implies boL-h the use of indigenous traditional healers play an important role in institutions and organizations, and the maintaining the health of local populations. strengthening of their capacity to deal with Building the local capacity of indigenous new challenges and situations. The latter communities to maintain their own health-care indudes the strengthening of the local capacity systems demands both a respect for their of indigenous peoples to solve their own traditional knowledge and healing systems, probLrms and define their own course of and the introduction of new skills and proce- development Govermment agencies and NGOs dures based upon Western medical knowledge can assist in this area by providing indigenous and public health practices. Recently, there has peoples with training in such basic skills as been a surge of interest in promoting and numeracy, accounting, management, project strnmgthening these traditional health and design and budgeting. They can also provide medical systems.' technical assistance in such diverse areas as topography and land demarcation, forestry and lndigenous peopLes are also interested in natural resource management, agriculture, strengthening and improving their traditional trade and marketing, community health care, systems of land use and natural resource and educational planning. management. For example, in April 1994, the 22 Environment Department Papers Indigenous Participation World Bank supported a workshop organized options and ensuring that those which are by the Intemational Uniorn for the chosen actually contribute to indigenous values Conservation of Nature and Natural Resources and welfare. (IUCN-Regional Office for Southem Africa) and the Africa 2000 Network on the subject of The choice of which development path and "Methodology and Tools for Researching projects to pursue should arise out of a process Indigenous Knowledge Systems in Southem of internal discussion and planning among Africa." The workshop brought together indigenous peoples, rather than from outside representatives of NGOs from ten southern agencies. In this way, indigenous peoples can African countries to discuss methodologies truly determiine their own development, rather and strategies for incorporating indigenous than always being subject to the whims of environmental knowledge into natural govemments, mnissionaries, donors or NGOs resource management and rural development (see Box 9). progrnaw. Following the workshop, each of the conference participants returned to their The best experiences with capacity strengthen- respective countries to organize small research ing have come from exchanges among indig- projects which will train village organizers in enous peoples themselves- For example, a the collection of such data. The results of this number of local workshops have been held in research were disc, tssed at a follow-up Latin American countries in which indigenous workshop in South Africa in April 1995, after peoples from different tribes and linguistic which a regional network on indigenous groups exchange experiences about land knowledge was formed. The long-term goal of protection, mapping and natural resource this program is to convince governments of the management. NGOs have played an important usefulness of incorporating indigenous role in facilitating these exchanges and many of environmental knowledge and institutions in them have been financed by international the design and implementation of rural foundations and donor agencies (Demniston 1994). conservation and development programs (International Union for the Conservation of Financing Indigenous Development Nature and Natural Resources 1994). Participatory development with indigenous Capacity strengthening also means cooperating peoples, as with other ccmmunities or groups, with indigenous peoples in defining their own demands financing. Tnis issue has been left to development strategies. The issue is compli- the end of the exposition because there are so cated because indigenous peoples are often many matters which need to be addressed prior given conflicting signals from outsiders about to the financing of indigenous development what types of assistance or development projects. Within the international donor com- projects are "best" for their organizations and munity, as well as among national governments, communities. Like other populations, indig- there has been a tendency to "throw money" at enous peoples may have a "development indigenous communities, without systemati- vision" which is not articulated, or they may cally setting the groundwork in terms of partici- consist of different groups who have differing pation, consultation, institutional development, views about tneir development needs, prefer- capacity strengthening and cultural commuuni- ences and priorities. Furthermore, the prefer- cation. Therefore, some people have argued that ences of indigenous communities and organi- at this stage the real funding needs of most zations change through time, depending upon indigenous organizations and communities are external or internal factors. Capacity strength- for capacity strengthening and pre-investment ening means obtaining the skills to analyze and activities, rather tian necessarily for financing evaluate different development paths or actual projects! Participation Series 23 Participation and Indigenous Peoples Box9 Investing in Capacity Strengthening Many observers are beginning to recognize that promoting training and capacity strengthening may be one of the best investments for the long-term economic development of indigenous communities. For example, the World Bank's Latin America and Caribbean Region's Enviromnent Unit (LATEN), in collaboration with the Hemispheric Indigenous Peoples Fund in La Paz, Bolivia, has launched a regional indigenous training program, the purposes of which are to assist indigenous organizations in (a) defining their own develop- ment strategies and proposals; (b) strengthening their institutional structures in areas such as personnel management, training programs, budgeting and finances; and, (c) improving their negotiating skills to finance their own development proposals. The program is financed through grants to government agencies and/or indigenous organizations from the World Bank's Institutional Development Fund (IDF) and with counterpart contributions from these agencies and organizations. Thus far, programs have been designed or are under preparation in Bolivia, Chile, Colombia, Costa Rica, Ecuador, Guatemala, Mexico, Nicaragua, Panama and Peru. Each training program contains a consulting seminar, a series of workshops, a monitoring and evaluation system and an evaluation seminar. Many of the seminars take place in the regions where indigenous peoples live, and all of them focus upon indigenous values, cultures and philosophies, as well as modem management and development planning skills. Swirms: Davis and Partridge (1994); Gonzalez (1994)- Furthermore, the effectiveness of funding manage and use funds effectively (ie., in terms depends upon whether it is controlled by of the peoples' actual needs and values); and, indigenous peoples themselves. Many of the (b) to ensure that those funds go directly to first generation World Bank projects with them. Sometimes intermediaries, such as non- indigenous peoples, for example, tended to indigenous NGOs or government agencies, will allocate funds to national government agencies, be needed, but the long-range goal should be which are responsible for promoting indig- the control and management of funds by enous development and managing indigenous indigenous peoples themselves. In such coun- affairs. Typically, these projects increased the tries as Bolivia and Colombia, recent legislation amount of staff, vehides and infrastructure relating to popular participation and decentral- available to the indigenous affairs departments, ized control and administration of public but did little to better the conditions of indig- services, has actually begun to channel enous peoples. In fact, analyses of the budgets govemment funds directly to indigenous of some projects showed that while govern- communities. ment agencies expanded, the direct benefits to indigenous cormmunities were relatively Some of the experiences of the World Bank and limited. This was particularly true in the case of other institutions with what is called "group- Brazil, where the World Bank promoted large based lending' also have particular relevance investments in increasing the staff and infra- to financing development projects with indig- structure of the National Indian Foundation enous or tribal peoples. The theory behind such (FUNAI) but with minimal results in such lending is that groups rather than individuals important areas as natural resources protection, are responsible for protecting against default in indigenous health and community economic loan repayments, and that the trustworthiness development." of the members of these groups, rather than land or some other asset, serves as hie Hence, the challenges are: (a) to prepare collateral for loans. This theory of joint liability indigenous communities and organizations to is fundamental to the moral principles and 24 Environment Department Papers Indigenous Participation social sanctions which underlie many indig- ethnic situation. In some cases, however, it can enous or tribal societies. Therefore, group- lead to a political backlash or social conflicts lending schemes (especially in South Asia) have which may not have been envisioned when proven to be quite adaptable to the develop- such programs were designed (see Box 10). ment finance needs of poor indigenous popula- tions, especially indigenous or tribal women.' Direct financing to indigenous communities and organizations poses special challenges in These group-based lending schemes, like others terms of the procedures of international donor which provide direct funding to the rural poor, agencies such as the World Bank. For example, challenge the traditional power relations which many of the complicated procurement and are often the cause of persistent poverty and contracting regulations which exist for mterna- backwardness among indigenous and other tionally-financed development projects may rural populations. Money lenders, wealthy need to be modified or waived when indig- landowners and other persons who have enous or other poor communities are the direct traditionally exploited local villagers find recipients of funds. Similarly, the standards and themselves without clients; men are challenged paper work required for supervising and by new sources of wealth and power in the evaluating such projects may need to be hands of women; and, bureaucrats and politi- modified. Indigenous communities and organi- cians no longer can control communities zations, like other recipients of donor funds, thiough the delivery of patronage. Providing should be held accountable and maintain funds directly to the poor, whether they be transparent records of their projects. But, there indigenous peoples or not, is a form of "em- may be a need to modify the procedures powerment" which can, under certain political followed by donor agencies when resources and social circumstances, transform the power are being channeled directly to indigenous relations in a local village, regiont, or inter- communities.'0 Box 10 Decentralized Authority and Indigenous Finance Providing direct financing to indigenous peoples or other poor segments of society is a form of empower- ment which challenges traditional power relations and forms of authority. A case in point is Mexico where, in 1988, the government's National Indigenist Institute (INI) introduced a special revolving credit fund program for indigenous peoples as part of the government's overall poverty alleviation program. The credit program provided funds to regional networks of indigenous organizations who, in turn, lent the money at low interest rates to indigenous farmer groups, fishing cooperatives, artisan groups and land-holding associations for small-scale village development projects. Eventually, the credit funds were to become autonomous entities, with their own management councils and bank accounts not under INr's tutelage. In the state of Oaxaca, the INI program functioned relatively well during its initial years of operation, because it was not opposed by the state govemor and it was supported by many of the state's municipal mayors. However, in the neighboring state of Chiapas, where there is less of a tradition of state support for indigenous development, and much greater control by the state political apparatus, it has encountered difficulties. The state governor attacked the program, arguing that it created an unacceptable parallel source of funding outside of his goverrnent's control. Just at the point when the program was about to take off, the governor accused some of the INI personnel of misusing funds. Although these accusations were never substantiated, the govemor did jail the state-level director of the agency and some of its most active personnel. Swore: Fox (1994). Participation Series 25 4. The Role of the World Bank What can the World Bank do to promote prevention and mitigation of the negative indigenous participation in the development impacts of development interventions to process? Obviously, one thing which the World creating positive and culturally acceptable Bank can do is to ensure that the projects which developmental outcomes. it finances do not adversely affect the capacity of indigenous peoples to participate in develop- The World Bank can play a potentially impor- ment Since its first policy statement on indig- tant role in tis area by convincing govern- enous peoples (1982), the World Bank has been ments to create an adequate policy, legal and aware of the potentially damaging effects of planning framework (e.g., in the areas of land, poorly planned development projects on natural resource rights, education and gover- indigenous peoples' lands, resources and nance) that respects indigenous peoples and health. It also introduced mandatory Environ- enables them to participate as distinmt peoples mLental Assessment (EA) procedures in 1989 in the development process. Here, it is impor- which, if done correctly, can help to identify tant for the World Bank to discuss more can- potential social and cultural impacts on indig- didly with its borrowers what positive at- enous peoples early in the project cyde and tributes indigenous peoples bring to the devel- lead to their prevention or reduction through opment process, e.g., in the areas of environ- changes in project designs or the implementa- mental knowledge, livelihood strategies, tion of mitigation plans. traditional forms of social organization and governance, and perhaps most importantly, Similarly, the World Bank's revised indigenous moral concerns and spiritual values. policy (1991) calls for the mitigation of poten- tially adverse effects through the mandating of The World Bank can also play a vital role by Indigenous Peoples Development Plans more systematically sharing its experiences in (IPDPs). In all these cases, the informed and this area (even when they have not been active participation of indigenous peoples is successful) with other actors, such as national necessary to ensure the adequacy of EA studies govemments, other donor agencies and NCGOs. and the acceptability to indigenous peoples of There is relatively little known about how to do IPDPs. Systematic forms of consultations with participatory development with indigenous indigenous peoples are fundamental to the peoples, and perhaps the World Bank could utility and success of these studies and plans. serve as a clearinghouse in generating more dialogue, discussion and empircal case materi- But, what about the broader issue of participa- als on this vital issue. tion - that is, the right of indigenous peoples to participate in and benefit from the develop- Finally, the World Bank can assist indigenous ment process? This is an important question, peoples themselves by supporting their initia- especially if the major goal of the World Bank's tives trough capacity building and technical policy toward indigenous peoples - as well as assistance. When conditions permit, it can also other poor populations - is to move from the provide financing to indigenous development 26 Environment Department Papers The Role of the World Bank efforts, either directly to indigenous organiza- developing countries. From the point of view of tions and communities, for example through the World Bank and its Member Countries, group-lending arrangements, or through promoting the participation of indigenous intermediaries such as indigenous NGOs or peoples makes good economic as well as social responsible govermment agences. By convinc- and environmental sense. Poverty alleviation ing its borrowers to invest in indigenous strategies must take into account the unique or peoples development, the World Bank can play specific needs and cultures of indigenous a vital role in remedying what in many cases peoples and other vulnerable groups which are centuries of historical discrinmination, comprise the population of a country. marginalization and neglect. Furhiermore, the international community is coming to recognize the rights of indigenous Indigenous peoples, as stated in the peoples to their ancestral lands and natural introduction, have historically been at the resources, and the important role of their losing end of the development process and they environmental knowledge in the design of are today the "poorest of the poor" in many more sustainable development paths. Participation Series 27 Notes 1. For discussions of these international instruments and participation of traditional healers are described in policies, cf. Alfredsson and de Zayas (1993), Eide Davis and Ebbe (1995). (1993), Hitchcock (1994), Stavenhagen (1990, 1992) and van de Fliert (194). 7. Roberto Haudry, an economist with the International Fund for Agricultural Development (WFAD), has Z For further information on issues relating to the argued the case for such pre-investment and organiza- definition and sociological criteria for identifying tional strengthening programs based upon his indigenous peoples, seeAnnex 2. experience with IFAD-funded projects among indigenous groups in the Andean and Amazon regions 3. Cf. the interesting discussions of economic develop- of South America (cf. the comments by Haudry in ment experiences among Native Americans in Canada Davis and Ebbe 1995). and the United States in the special edition of Akwe:kon Journal (Brascoupe 1992). S. Cf. the Proect Completion Reports for the Bank- funded Carajas Iron Ore and Railway Project and 4. Cf. the interesting discussion of intellectual property Northwest Amazon Regional Development Program, rights issues surrounding indigenous knowledge in both of which contained special Amerindian compo- C.reaves (1994). nents. 5. Draft guidelines for social assessment are contained in 9. For further information, cf. the section on "Group- the ENVSP document, SocialAssessment: Incorporat- Based Financial Systems," which contairs several ing Participation and Social Analysis into the Bank's examples of schemes from South Asia, some of which Operational Work (10 May 1994). A comprehensive are in tribal areas, in the World Bank Parwcphon reference list on social assessment is available from Sourcebook World Bank 1995). ENVSP2 10. For more information on this topic, cf. the study of 6. Recent projects from Mexico, Nigeria and Viet Nam in procurement and disbursement issues in Bank- which indigenous medicinal knowledge is being financed projects which contain community participa- incorporated into rural health programs with the tion by Gopal and Marc (1994). 28 Environment Department Papers Annex 1 Geographical Distribution of the World's Indigenous Peoples Region Sub-region Population Africa 1. West and North Africa 8 2. Horn of Africa and East Africa 6 3. Central Africa, i.e. Mbuti (Pygmies) 0,2 4. Southem Africa, i.e. San (Bushmen) 0,1 Asia S. Middle East and West Asia 10 6. Arabian peninsula 5 7. Central Asia 27 8. South Asia 51 9. East Asia 67 10. Southeast Asian mainland 15 11. Southeast Asian archipelago 15 Australia 12. Australia 0,25 Pacific 13. New Zealand 0,3 14. Melanesia 6,5 15. Polynesia and Micronesia 8,5 Arctic 16. Arctic 0,18 America 17. North America 3,5 18. Central America 13,0 19. South American highland 19,5 20. South American lowland 1,0 Sawrt Soeftestad (1995) Note 1: The regions and sub-regions are demarcated based on a nmber of criteria. The same set of criteria cannot be applied to all situations. The various sub-regions catn be broken down into smaller urnts for more detailed analysis. The tegions used in this table do not coincide with the term "region" as used in the World Bank. Note 2: Population figures are given in millions. Several of the figures are conservative estimates. Note 3: Sub-regions nos. 34 include basicaUy only pastoralists and hunter and gatherers, and this view is increasingly being chalienged. Sub-region no. 5 includes Kurds, Palesfinians and various peoples in Afghanistan. Te sources are especially im.consistent and confusing regarding this region, and the figure given here is very uncertain. Sub- region no. 16 covers kIuit in Alaska and Canada, Saami in North Europe and various peoples in North Asia. Sub- region no. 17 covers Indians in the United States of America as well as in Canada Sub-region no. 18 includes Mexico and the Caribbean. Participation Series 29 Annex 2 Criteria for Identifying Indigenous Peoples Introduction applied to the indigenous peoples of the Americas, but also to Australia and the Pacific This annex discusses various definitions used within the UN system and the World Bank for The proposal, however, was only accorded the identifying indigenous peoples. As will be status of a "working definition" within the UN noted below, the definitional issue is plagued system. Recognizing the difficulties of obtain- by historical complexities and ambiguities and ing consensus on the subject, the Sub- it is probably impossible to arrive at a defini- Comnmission's Working Group on Indigenous tion of "indigenous peoples" that will be Populations (established in 1982) formulated a acceptable to all parties and operational in all Draft Declaration on the Rights of Indigeous countries and settings. Therefore, rather than Peoples (in 1993) without proposing a formal seek a single definition, it is proposed here that definition of the peoples it covered. the World Bank, and perhaps other develop- ment agencies, use a set of sociological criteria The International Labour Organization RLO), - briefly described in the L^.st section of the in its Convention 169 (1989), makes a distinc- annex - for identifying indigenous peoples tion between "tribal" and "indigenous" peoples. and other vulnerable social and cultural groups The former refers to peoples "whose social, in particular regions and countries. cultural and econormic condition distinguish them from other sections of the national UN and ILO Definitions community and whose status is regulated wholly or partially by their own customs and The concept of "indigenous peoples," like that traditions or special laws or regulations." The of "ethnic" or "cultural minorities," is the latter includes peoples "who are regarded as subject of intense controversy within the UN indigenous on account of their descent from the system. The United Nations Sub-Commission populations which inhabited the country at the on Prevention of Discrimination and Protection time of conquest or colonization." of Minorities, for example, spent more than two decades seeking an intemationally accept- Interestingly, much of the debate which took able definition of "cultural minorities" without place at the ILO in formulating Convention 169 success. had less to do with the term "indigenous" than it had to do with the term "peoples" which has When the Sub-Commission began to look at the very specific connotations in international law subject of "indigenous peoples," the Rapporteur in terms of "self-determination." This became a assigned to investigate the subject came up point of great contention between the small with a proposal for a definition which was number of indigenous delegates and observers limited to "communities, peoples and nations.. at the Convention drafting meetings and the having a historical continuity with pre-invasion ILO and govemment delegates. and pre-colonial societies." This definition 30 Environment Department Papt'rs Annex 2 The World Bank's Definitions Country and Regionally Specific Criteria The World Bank in its initial policy of 1982 used the term "tribal people" to cover relatively Since the issuing of the 1991 policy, it has "isolated" and "un-acculturated" peoples. In its become clear to anthropologists within the revised policy of 1991, however, the World World Bank that there needs to be a much more Bank used the term "indigenous peoples" to sociologically nuanced approach toward describe a broader spectrum of social groups identif ing which groups the Bank's policy (including "indigenous etinic minorities," appLies to, especially in regions such as Asia "trbal groups" and "scheduled tribes') who and Africa where large parts of the population possess "a social and cultural identity distinct consider themselves to be "indigenous." from the dominant society that makes them vulnerable in the development process." Hence, the World Bank is now seekdng more Rather than proposing a formal definition of regional and country-secific ways of identify- who these social groups are, the World Bank's mg those social and cultural groups which 1991 policy recognizes the great variability in should be considered under its policy. It is also the ways in which national legislation identifies using newly developed Social Assessment and indigenous peoples and the differing social and eographical Information System (GIS) tech- economic contexts in which indigenous peoples ruques to identify particularly vulnerable ethnic are found. It lists five characteristics for identi- groups with3in specific cquntry, and project fying indigenous peoples within particular contexts. geographic areas. These are: In an effort to aid these regional and country (a) a dose attaclunent to ancestral territories specific initiatives, the following criteria, based and to the natural resources in these upon the 1991 policy directive as well as other areas; discussis of the definitional problem, are proposed: (b) self-identification and identification by others as members of a distinct cultural (a) Preexistence: the population is descen- group; dant of those people inhabiting an area prior to the amrival of another population. (c) an indigenous language, often different from the nationaL language; (b) Non-dominance: the population is differentiated in an economic, political (d) presence of customary social and political andfor social sense from the dominant institutions; and regional or national population. (e) primarily subsistence-oriented produc- (c) Cultural Difference: the population tion. speaks a different language and/or has different social customs and cultural In suggesting the above criteria, the World practices. Bank also recognized that it would be difficult to apply them in all national and social con- (d) Self-identification: the individual mem- texts. Therefore, it wamed its Task Managers to bers of the population see themselves as "exercise judgment" and to seek specialized possessing a distinct cultural identity and sociological and anthropological expertise in belonging to a distinct people or etinic determining to which populations the World group. Bank's policy applied. Participation Series 31 Participation and Indigenous Peoples In presenting these criteria, the intntion is to and social realities require different ways of highlight the historical, political and economic, assessing the relative importance of the criteria. sodo-cultural and subjective aspects of inter- The criteria can be used within the context of ethnic relations which determine the vulner- systematic Social Assessments to ensure that ability of specific social and cultural groups or indigenous peoples and other ethnic or populations within the development process. cultural minorities are not adversely affected by World Bank-funded projects and that they These criteria need to be applied carefully participate in and benefit from such develop- when adapted to concrete country and project ment interventions. contexts. The idea is that different historical 32 Environment Department Papers Annex 3 Selected World Bank-Financed Projects With Indigenous or Tribal Peoples The following is a partial list of currently active South Asia Region or recently approved Bank and GEF-financed * India - Andra Pradesh Forestry Project projects which have special components, * India - Maharashtra Forestry Project programs or action plans for indigenous or * India - West Bengal Forestry Project tribal peoples.*Ini-esBeglFrtyPojc * India - Blindness and Cataract Control Africa Region Project Burkina Faso - Envirounmental - India - Primary Education Project Management Project * India - Integrated Child Development * Kenya - Protected Areas and Wildlife Services Project Services Project S India - Rubber Project * Mali - Natural Resources Management a India - Madhya Pradesh Forestry Project Project * India - Tuberculosis Control Project * Tanzania - Forest Resources Management * India, GEF - India Ecodevelopment Project * Pakistan - Balochistan Natural Resource LUganda, GEF - Bwindi Impenetrable Management Project National Park and Mgahinga GorilLa * Pakistan - Balochistan Minor Irrigation National Park Conservation Project and Agricultural Development Project East Asia and Pacific Region Latin America & Caribbean Region * China - Basic Education in Poor and * Brazil - Mato Grosso Natural Resource Minority Areas Project Management Project * China - Southwest Poverty Reduction * Brazil - Rondonia Natural Resource Project Management Project * Indonesia - Third Community Health and * Colombia - Natural Resource Nutrition Project Management Project * Lao PDR, GEF - Forestry Management * Guatemala - Basic Education Project and Conservation Project * Mexico - Decentralization and Regional * Philippines - Environmental Management Development Project Project SECAL * Mexico - Second Primary Education * Philippines, GEF - National Integrated Project Protected Area System * Paraguay - Natural Resource * Viet Nam - Primary Education Project Management Project Middle East & North Africa Region * Egypt - Matruh Natural Resource Management Project Participation Series 33 References Alfredsson, Gudmundur and Alfred de Zayas. 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