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FUNBIO PHYSICAL CULTURAL RESOURCES
OPERATIONAL PROCEDURES
OP-05/2013
Responsible Unit: Program Management
OBJECTIVE:
To provide the methodology and tools to implement Funbio Environmental and Social
Safeguards Policy with respect to physical cultural resources.
ORGANIZATIONAL SCOPE:
This Policy applies to GEF funded projects.
OP-05/2013
VALIDATION
Current version
2
Action
Approval
Effective date
Next review
Date
27 Mar 2014
27 Mar 2014
Fev 2016
VERSION CONTROL
Version
0.1
0.2
1
1.1
2
Date
25 Nov 2013
27 Nov 2013
06 Dec 2013
25 Fev 2014
27 Mar 2014
Prepared by
Daniela Leite
Fernanda F. C. Marques
Governing Council
Daniela Leite
Rosa Lemos
Status
Draft
Reviewed
Approval
Revised
Approval
RELATED DOCUMENTS:
•
•
•
•
•
•
•
•
P-21 Appraisal and Selection of Projects for Funbio;
P-24 Funbio Environmental and Social Safeguards Policy;
OP-02 Funbio Indigenous Peoples Operational Procedures;
OP-03 Funbio Environmental and Social Impact Assessment Operational
Procedures;
OP-04 Funbio Protection of Natural Habitats Operational Procedures;
OP-06 Funbio Involuntary Resettlement Operational Policies;
OP-07 Funbio Pest Management Operational Procedures;
OP-08 Grievance Systems Operational Procedures.
Privacy:
This document is public and is available at Funbio’s website. It should not be amended
or altered without prior consent.
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OP-05/2013
TABLE OF CONTENTS
I.
Introduction .............................................................................................................. 4
II.
Statement of Principles ............................................................................................ 4
III. Institutional structure............................................................................................... 5
IV. Project preparation and implementation ................................................................ 5
IV.1
Definitions .......................................................................................................... 5
IV.2
Screening............................................................................................................ 5
IV.3
Consultation ....................................................................................................... 8
IV.4
Disclosure ........................................................................................................... 8
IV.5
Monitoring and evaluation ................................................................................ 8
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I.
INTRODUCTION
1. This policy addresses Physical Cultural Resources – PCR, which are crucial for the
memory and identity of Brazilian society and for the country’s economic and social
development.
2. Funbio recognizes the importance of explicit in-house PCR safeguard policies and
practices as an integral part of sustainable development efforts supported by the
institution. While Funbio, by its nature, does not support projects that entail
significant impacts on physical cultural resources, it is important to identify
possible adverse project impacts in the clearest manner possible to prevent or
minimize any adverse impacts from financed activities and minimize operational
and reputational risks.
3. To adequately address Physical Cultural Resources issues within its institutional
framework, Funbio has established this specific policy on the subject, containing (a)
a set of principles to orient its work with the theme; (b) internal structures for the
screening, consultation and assessment of projects; and (c) norms for the design,
implementation, monitoring and evaluation of projects involving Physical Cultural
Resources.
II.
STATEMENT OF PRINCIPLES
4. Funbio avoids financing projects that may cause significant direct damage to PCR,
seeking alternative actions to avoid, minimize, or compensate risks of impacts.
5. Funbio follows the recommendations and guidelines of the United Nations
Educational, Scientific and Cultural Organization (UNESCO) Convention concerning
the Protection of the World Cultural and Natural Heritage (1972), and also by the
Convention for the Protection of Underwater Cultural Heritage (2001).
6. Funbio requires all project beneficiaries to comply with national legislation,
including Article 216 of the Brazilian Constitution of 1988 which supports ‘Brazilian
cultural heritage’, as well as Article 24 paragraph VII and Article 30 paragraph IX,
which detail the roles of municipalities and states, and regulations issued by the
Institute of National Historical and Artistic Heritage (IPHAN), linked to the Brazilian
Ministry of Culture (MinC).
7. Impacts on Physical Cultural Resources resulting from project activities, including
mitigating measures, may not breach national legislation or other obligations
under relevant international treaties and agreements.
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III.
INSTITUTIONAL STRUCTURE
8. Funbio designated a staff person as the institutional Focal Point for Social
Safeguards. This staff person is responsible for the coordination, implementation
and oversight of the Physical Cultural Resources Safeguards Policy.
9. Funbio will maintain a pool of ad hoc specialists in the area of Physical Cultural
Resources, taken from the fields of anthropology, archaeology, paleontology,
history, architecture, biology and related disciplines, which will perform specific
functions in the implementation of the Physical Cultural Resources Safeguards
Policy.
IV.
PROJECT PREPARATION AND IMPLEMENTATION
IV.1 DEFINITIONS1
10. Physical cultural resources (PCR): PCR are movable or immovable objects, sites,
structures, groups of structures and natural features and landscapes that have
archaeological, paleontological, historical, architectural, religious, aesthetic, or
other cultural significance. Physical cultural resources may be located in urban or
rural settings, and may be above or below ground, or under water. Their cultural
interest may be at the local, provincial or national level, or within the international
community.
11. Physical Cultural Resources are important as sources of valuable scientific and
historical information, as assets for economic and social development, and as
integral parts of a people’s cultural identity and practices.
12. PCR are also known as ‘cultural heritage’, ‘cultural patrimony’, ‘cultural assets’ or
‘cultural property’.
IV.2 SCREENING
13. Project proponents need to explain if the proposed project involves, or potentially
impacts, Physical Cultural Resources. This information will be used by the
institutional Focal Point for Social Safeguards to determine whether or not PCR are
involved, directly or indirectly, in the proposed project.
14. Proposed actions by the project in relation to the minimum requirements of the
Minimum Standard 6: Physical Cultural Resources of P-24 Funbio Environmental
1
Definitions taken from Operational Policy OP 4.11 - Physical Cultural Resources, revised April 2013 and
available from www.worldbank.org.
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and Social Safeguards Policy must be identified and provisionally assigned to one of
three categories2:
1) No Impact: pre-determined classes of actions with no impact on physical
cultural resources;
2) Low Impact: classes of actions with minor impact, addressed with
appropriate mitigation measures. These consist of impacts that are sitespecific, few if any of them are irreversible, and in most cases mitigation
measures can be designed more readily than for Significant Impact
projects. An environmental and social assessment and PCR Management
Plan are required; and
3) Significant Impact: significant impact on Physical Cultural resources
requiring Environmental and Social Assessment and project redesign. These
consist of adverse impacts on physical cultural resources that are
irreversible, diverse, or unprecedented. These impacts may affect an area
larger than the sites or facilities subject to physical works. A full
Environmental and Social Impact Assessment must be conducted and a PCR
Management Plan elaborated.
15. If initial examination indicates that no Physical Cultural Resources are involved in
the proposed project (No Impact), then the remainder of this policy will not be
applicable.
16. Projects classified as No Impact are those that do not expect to encounter or
impact PCR. However, in case of ‘Chance finds’, the project proponent must
immediately stop the work being conducted and notify Funbio’s Focal Point for
Social Safeguards. The Focal Point person for Social Safeguards, or the professional
expert hired by Funbio, shall notify the Institute of National Historical and Artistic
Heritage (IPHAN), which in turn would provide the required instructions. If
necessary, Funbio shall prepare and execute salvage and documentation activities.
The project proponent must wait until it receives clearance to proceed or requests
for modifications from IPHAN. Only then can the proponent prepare a reassessment of the project´s impacts, including any required adjustments (for
example, project relocation, or an adjustment of planned activities) and an
indication of the new project category. From that point onwards the project
proponent will follow the new classification determinations.
2
The operational definitions of the safeguard categories were based on the World Bank’s classification
of projects. See Operational Policy OP 4.01 – Environmental Assessment, revised on April 2013 and
available from www.worldbank.org.
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17. Projects located in or nearby physical cultural resources sites; that involve
significant excavations, demolition, movement of earth, flooding, or other
environmental changes; or specifically designed to support the management or
conservation of physical cultural resources are individually reviewed and should be
classified as Low Impact.3
18. Projects classified as Low Impact require:
(i) Identification of public and private institutions, in addition to IPHAN, whose
work is related to the preservation or maintenance of PCR and the
definition of a strategy to be adopted for stakeholder engagement in
accordance with the role of each institution, as required;
(ii) Physical Cultural Resources Management Plan, in accordance with
procedures established by IPHAN, which includes an investigation and
inventory of physical cultural resources likely to be affected by the project;
documentation of the significance of such physical cultural resources; and
assessment of the nature and extent of potential impacts on these
resources identifying compatible actions to prevent, mitigate or offset any
impact, noting the preservation and conservation of cultural heritage and
seeking the adequacy of the project’s planned actions; and a monitoring
system ; and
(iii) Social Communications Plan, to disseminate information to local
communities, including planned actions to mitigate or compensate the
project’s potential impact.
19. Projects classified as Significant Impact are expected a priori to impact physical
cultural resources, and so all requirements for a Low Impact project must be
addressed, including a Physical Cultural Resources Management Plan
contemplating the general procedures required by IPHAN, and at least the
following points: collection of baseline data, indication of the physical cultural
resources likely to be affected by the project and an assessment of the project’s
potential impacts on these resources, and the formulation of mitigating measures.
Compensation measures must also be detailed. The estimated cost of
implementing the Physical Cultural Resources Management Plan must be included
in the project budget.
20. Upon completion of the full Environmental and Social Impact Assessment, a
determination is made by the Focal Point for Social Safeguards whether sufficient
financial and technical resources are available to minimize, mitigate, offset, and
3
Screening criteria taken from BP 4.11 - Physical Cultural Resources, revised April 2013 and available
from www.worldbank.org.
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monitor possible adverse impacts, or whether proposed project actions should be
redesigned.
IV.3 CONSULTATION
21. The consultations required as part of the environmental and social assessment in
the context of physical cultural resources must involve relevant project-affected
groups, concerned government authorities, and relevant nongovernmental
organizations, with the aim of documenting the presence and significance of
physical cultural resources, assessing potential impacts, and exploring avoidance
and mitigation options. Specific consultation methods may vary depending on the
nature and scope of the proposed project.
IV.4 DISCLOSURE
22. The content of the PCR Management Plan should follow the guidelines established
in Funbio safeguards policy, and should be made available in the form and
language appropriate for local communities prior to project appraisal. The means
for such disclosure shall include publication of the material on Funbio’s website
and on the proponent’s website, as well as in paper form in the locality where the
GEF project will be implemented. Additional disclosure methods may include
meetings with affected community groups, regional workshops, radio
announcements, flyers and other written documents and electronic media.
23. Restrictions on disclosure should be considered in case of risk to the security or
integrity of the physical cultural resources involved.
IV.5 MONITORING AND EVALUATION
24. In addition to the regular process of monitoring of projects conducted by Funbio
for all its projects, for those projects involving Physical Cultural Resources the
monitoring of the items listed in the Physical Cultural Resources Management Plan
will be conducted. This aspect of the monitoring process will be carried out by the
project proponent with supervision by the Focal Point person for Social Safeguards,
who may decide to hire consultants to perform this task, and should involve the
participation of the communities in a collaborative manner. Results of each
monitoring cycle should be communicated in a timely manner to the affected
communities.
25. The actions to maintain and enhance efficient and solid relationships with the
community should involve the clear expression of the social goals involved, as well
as information on the procedures to be followed to avoid, minimize or compensate
impacts on physical cultural resources.
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26. Monitoring and evaluation of adverse impacts of the project’s actions on physical
cultural resources should be assessed and communicated, and the effectiveness of
avoidance, mitigation and compensation measures evaluated.
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