Disclosure and Public Consultation Transparency and Participation in the Application of Safeguard Policies Johnson Appavoo Operations Analyst WB Safeguards Workshop Ankara, March 2010 Europe and Central Asia Region

* Information Available:  Operational Information  Research and Databases  Financial Information about the Bank  Administration  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/EMP 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 Alphia Alphia Sunshine-Moon River Basin Project 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.20 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 Resettlement Disclosure: 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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