Disclosure and Public Consultation

Transparency and Participation in the Application of Safeguard Policies

Johnson AppavooOperations AnalystWB Safeguards Workshop

Ankara, March 2010Europe and Central Asia Region

* Information Available:

A. Operational InformationB. Research and DatabasesC. Financial Information about the BankD. AdministrationE. Historical Information

WB Policy on Disclosure of Information 2002

* and Disclosure Handbook

Beyond Disclosure: Public Consultation Participants: project

beneficiaries, project-affected people, other interested parties (e.g., local Government, local NGOs)

Purpose: 2-way process: people learn about and have input into design of projects that affect their lives, well-being and environment

Promotes dialogue among stakeholders: governments, communities, NGOs, implementing agencies

Disclosure and Public Consultation in Safeguard Policies

Disclosure in aid of meaningful public consultation

Disclosure to ensure transparency of World Bank operations to its shareholders and constituents

Two inter-connected objectives:

Disclosure and Consultation requirements specified in these Safeguard OPs:4.01 (Environmental Assessment)

4.04 (Natural Habitats)

4.36 (Forests)

4.10 (Indigenous Peoples)

4.11 (Physical and Cultural Resources)

4.12 (Involuntary Resettlement)

Documents to be Disclosed:

Integrated Safeguards Data Sheet All Safeguard mitigation plans:

Environmental Assessment/Env. Management Plan

Resettlement Action Plan, Policy Framework or Process Framework

Indigenous Peoples Plan Pest Management Plan*

* Covered under BP 4.01 Annex C – PMP as part of Environmental Management Plan

Timing of Disclosure and Consultation Draft documents should be made available to

stakeholders well in advance of consultations (good practice = minimum 30 days)

All required public consultations completed , and draft or final documents disclosed, prior to Appraisal

Final documents (incorporating results of consultations) should be disclosed for the record

In –country Consultations:Category A & B Projects Category A: at least 2 formal public consultations:

(1) at early stage, before finalizing TORs for EA; (2) when draft EA is ready (prior to project Appraisal)

(and other times during project preparation, as needed)

Category B: at least 1 formal public consultation, usually on draft EA or EMP

Category FI: at least 1 formal consultation on EMF; Sub-project EA/EMP consultations follow requirements based on Category (A or B)

Disclosure of documents (including summary of project, summary of EA): in local language, at a public place accessible to project-affected groups & local NGOs

Needed for Project Appraisal

Category A project EA, Category B project EA/EMP and EMF for Category FI

Publicly available in-country, and submitted to WB

WB then: Places reports in Infoshop (Cat. A, B and FI), and For Category A, sends Executive Summary (English) to WB

Board

Timing of Disclosure and Consultation Category A Project EIA

Draft TORs disclosed

Consultation on draft TORs

Draft EIA disclosed

Consultation on draft EIA

Final EIA disclosed

Project Appraisal

or

Category B Project EA/EMP

Draft EA/EMP disclosed

Consultation on draft EA/EMP

Final EA/EMP disclosed

or

Cat. A EIA disclosure includes sending Executive Summary to WB Board, prior to Appraisal

Timing of Disclosure and Consultation

Category FI Project EMF

Disclosure of draft EMF

Consultation on draft EMF

Disclosure of final EMF

Project Appraisal

Category A sub-project EIA

Disclosure of draft TOR

Consultation on draft TOR

Disclosure of draft EIA

Consultation on draft EIA

Disclosure of final EIA

Sub-project approval

or

Category B sub-project EA or EMP

Disclosure of draft EA/EMP

Consultation on draft EA/EMP

Disclosure of final EA/EMPor or

Cat A sub-project EIA Exec. Summary sent to WB Board

OP 4.01

In-country disclosure and consultation are Borrower’s responsibility

Infoshop disclosure is World Bank responsibility

Disclosure Responsibility

If Government objects to EA disclosure in Infoshop*: IDA project: processing ceases

IBRD project: WB staff submit issue of further processing to the WB Board

*Very rarely happens

Documenting Public Consultations on EIA Minutes of Consultation should be attached to final EIA Minutes should include:

Names/affiliations of participants (but participants not obligated to provide names) Key issues discussed Any agreements reached Points on which there is remaining disagreement (among stakeholders or

between stakeholders and Borrower agencies) If specific agreements reached, best to have Minutes signed by

stakeholder representatives and Borrower representatives EIA should also indicate:

How and where document was disclosed and stakeholders were informed of the consultation

Form and manner in which comments and suggestions received have been taken into account

Reasons why some comments received cannot be accommodated

Places of In Country Disclosure

Alphia Administrative Building

Ministry of Environment Alphia

Project Implementation Unit (PIU) Alphia

http://www.sunshinemoonriverbasinproject_ea.com

Alphia

Sunshine Moon River Basin Project

Disclosure and consultation requirements

in specific OPs:

Environmental Assessment (OP 4.01)The Bank advises the borrower on the Bank’s EA requirements…The Bank

may, if appropriate, require additional EA work, including public consultation and disclosure

Consultation: For all Category A and B projects proposed for IBRD or IDA financing, during the EA process, the borrower consults project-affected groups and local nongovernmental organizations (NGOs) about the project’s environmental aspects and takes their views into account. The borrower initiates such consultations as early as possible. For Category A projects, the borrower consults these groups at least twice: (a) shortly after environmental screening and before the terms of reference for the EA are finalized; and (b) once a draft EA report is prepared. In addition, the borrower consults with such groups throughout project implementation as necessary to address EA-related issues that affect them

Disclosure

15. For meaningful consultations between the borrower and project-affected groups and local NGOs on all Category A and B projects proposed for IBRD or IDA financing, the borrower provides relevant material in a timely manner prior to consultation and in a form and language that are understandable and accessible to the groups being consulted.

16. For a Category A project, the borrower provides for the initial consultation a summary of the proposed project’s objectives, description, and potential impacts; for consultation after the draft EA report is prepared, the borrower provides a summary of the EA’s conclusions. In addition, for a Category A project, the borrower makes the draft EA report available at a public place accessible to project-affected groups and local NGOs. For SILs and FI operations, the borrower/FI ensures that EA reports for Category A subprojects are made available in a public place accessible to affected groups and local NGOs.

17. Any separate Category B report for a project proposed for IDA financing is made available to project-affected groups and local NGOs. Public availability in the borrowing country and official receipt by the Bank of Category A reports for projects proposed for IBRD or IDA financing, and of any Category B EA report for projects proposed for IDA funding, are prerequisites to Bank appraisal of these projects.

18. Once the borrower officially transmits the Category A EA report to the Bank, the Bank distributes the summary (in English) to the executive directors (EDs) and makes the report available through its InfoShop. Once the borrower officially transmits any separate Category B EA report to the Bank, the Bank makes it available through its InfoShop.20 If the borrower objects to the Bank’s releasing an EA report through the World Bank InfoShop, Bank staff (a) do not continue processing an IDA project, or (b) for an IBRD project, submit the issue of further processing to the EDs.

Environmental Assessment (OP 4.01) cont

Involuntary Resettlement (OP 4.12)Consultation:

“Displaced persons should be meaningfully consulted and should have opportunities to

participate in planning and implementing resettlement programs.”

“Borrower informs potentially displaced persons at an early stage about the resettlement aspects of the project and takes their

views into account in project design.” “Displaced persons and their communities, and any host communities receiving them,

are provided timely and relevant information, consulted on resettlement options, and offered opportunities to participate in planning, implementing, and monitoring resettlement.”

Involuntary ResettlementDisclosure:

Condition of appraisal: borrower provides the Bank with (acceptable) draft RAP or RPF… and makes it available at a place accessible to displaced persons and local NGOs, in a form, manner, and language that are understandable to them.”

Bank discloses draft RAP/RPF in Infoshop

After final RAP/RPF approved by Bank, both Bank and Borrower disclose again in same way

Natural Habitats (OP 4.04)

Natural Habitats (No separate section): ”The Bank expects the borrower to take

into account the views, roles, and rights of groups, including local NGOs and local communities, affected by Bank-financed projects involving natural habitats, and to involve such people in planning, designing, implementing, monitoring, and evaluating such projects.”

Physical and Cultural Resources (OP 4.11)Consultation & disclosure linked to public consultations for EA process

“…[consultation] normally includes relevant project-affected groups, concerned government authorities, and relevant nongovernmental organizations in documenting the presence and significance of physical

cultural resources, assessing potential

impacts, and exploring avoidance and

mitigation options .”

PCR aspects can be omitted from publicly

disclosed EA if Borrower & Bank agree this

would jeopardize the safety and integrity of

the PCR involved or endanger the source of

information.

Indigenous People (OP 4.10)Principle = “…a process of free, prior, and informed consultation with the

affected Indigenous Peoples’ communities at each stage of the

project…and particularly during preparation.”

Consultation and participation: in carrying out initial social assessment… OP provides specific guidance on how to ensure free, prior and informed consultation with Indigenous groups in preparation of social assessment. Indigenous Peoples Plan or Indigenous Peoples Planning Framework is prepared based on social assessment and consultations.

Disclosure: Social assessment report, draft and final IPP/IPPF are made available to IP communities in appropriate form, manner and language; draft sent to WB for review prior to appraisal. Bank makes draft and final versions available to public in accordance with WB Policy on Disclosure of Information.

Forests (4.36)

To be eligible for WB financing, industrial commercial forest harvesting operations must be certified under an independent forest certification system acceptable to WB (or following a time-bound plan to achieve certification)

To be acceptable, certification system standards “… must be developed with the meaningful participation of local people and communities; indigenous peoples; non-governmental organizations representing consumer, producer, and conservation interests; and other members of civil society, including the private sector.”

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