Disclosure and Public Consultation Transparency and Participation in the Application of Safeguard Policies

WB Policy on Disclosure of Information 2002* Information Available:  Operational Information  Research and Databases  Financial Information about the Bank  Administration  Historical Information * and Disclosure Handbook

Beyond Disclosure: Public Consultation Participants: project beneficiaries, project- affected people, other interested parties (e.g., local Government, local NGOs) Participants: project beneficiaries, project- affected people, other interested parties (e.g., local Government, local NGOs) Purpose: Purpose: 2-way process: people learn about and have input into design of projects that affect their lives, well- being and environment2-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 agenciesPromotes dialogue among stakeholders: governments, communities, NGOs, implementing agencies

Disclosure and Public Consultation in Safeguard Policies Disclosure in aid of meaningful public consultation Disclosure in aid of meaningful public consultation Disclosure to ensure transparency of World Bank operations to its shareholders and constituents Disclosure to ensure transparency of World Bank operations to its shareholders and constituents Two inter-connected objectives:

Disclosure and Consultation requirements specified in 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 Integrated Safeguards Data Sheet All Safeguard mitigation plans: All Safeguard mitigation plans: Environmental Assessment/Env. Management PlanEnvironmental Assessment/Env. Management Plan (Resettlement Action Plan, Policy Framework or Process Framework (Resettlement Action Plan, Policy Framework or Process Framework Indigenous Peoples PlanIndigenous Peoples Plan Pest Management Plan*Pest Management Plan* * Covered under BP 4.01 Annex C – PMP as part of Environmental Management Plan

OP 4.01 In-country disclosure and consultation are Borrower’s responsibility In-country disclosure and consultation are Borrower’s responsibility Specified disclosure requirements vary depending on Category (A vs. B); source of financing (IDA vs. IBRD)* Specified disclosure requirements vary depending on Category (A vs. B); source of financing (IDA vs. IBRD)* Objectives of disclosure & consultation: enable affected groups and interested parties (emphasis on NGOs) to understand likely implications of project and have input into project design * In practice, no distinction between IBRD and IDA requirements

In –country Consultations: Category A & B Projects Category A: at least 2 formal public consultations: Category A: at least 2 formal public consultations: (1) at early stage, before finalizing TORs for EA;(1) at early stage, before finalizing TORs for EA; (2) when draft EA is ready (prior to project Appraisal)(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 B: at least 1 formal public consultation, usually on draft EA or EMP Category FI: at least 1 formal consultation on EF; Sub- project EA/EMP consultations follow requirements based on Category (A or B) Category FI: at least 1 formal consultation on EF; Sub- project EA/EMP consultations follow requirements based on Category (A or B) Disclosure of documents (including summary of project, summary of EA): at a public place accessible to project- affected groups & local NGOs

Needed for Project Appraisal IBRD: Category A project EA, IBRD: Category A project EA, IDA*: Category A project EA and any separate Category B (or FI) project EA Report: IDA*: Category A project EA and any separate Category B (or FI) project EA Report: Publicly available in-country, and submitted to WB WB then: Places reports in Infoshop (Cat. A & B), andPlaces reports in Infoshop (Cat. A & B), and Sends Executive Summary to WB Board (Cat. A)Sends Executive Summary to WB Board (Cat. A) * In practice, usually applied also to IBRD

If Government objects to EA disclosure in Infoshop*: IDA project: processing ceases IDA project: processing ceases IBRD project: WB staff submit issue of further processing to the WB Board IBRD project: WB staff submit issue of further processing to the WB Board *Very rarely happens

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.” 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 Bank discloses draft RAP/RPF in Infoshop After final RAP/RPF approved by Bank, both Bank and Borrower disclose again in same way 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.” 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 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.” 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.”