module 23 environmental safeguards accreditation training, january 21 – 25, 2013 public...

Module 23

Environmental Safeguards Accreditation Training, January 21 – 25, 2013

Public Consultation

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Public Consultation: Why Consult?2

Help identify opportunities and risks Improved project design and implementation Increase project ownership and sustainability Specifically required by many of the Bank’s environmental and

social safeguard policies

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General Obligation to Consult3

Policy Requirements:OP 4.01 requires that for all Category A and B projects . . . , 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.

* OP 4.01, Environmental Assessment, para 14

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4 For meaningful consultations between the borrower and

project-affected groups and local NGOs on all Category A and B projects . . . 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.

* OP 4.01, Environmental Assessment, para. 15

Meaningful Consultations: When/how/what

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5 The Borrower initiates consultations with project-affected

people: As early as possible, and Throughout project implementation as necessary.

For a Category A project, borrower consults at least twice: Shortly after environmental screening and before the terms of reference

for the EA are finalized, and Once the draft EA report is prepared

The Borrower provides: For the initial consultation, a summary of the proposed project’s

objective, description and potential impacts. After draft EA report is prepared, a summary of the EA’s conclusions

* OP 4.01, Environmental Assessment, para. 14

When: Timing and Information

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When should the Consultations be Conducted?6

When impacts are identified (mostly during preparation) and during implementation, as required

Sufficiently before project appraisal As part of preparation of safeguard instruments For projects where designs are not final at the time of project

approval, during implementation (framework projects) When design changes lead to new impacts Consultation should be viewed as a process (that includes formal

and informal consultations). Beyond specific policy compliance, if one is to effectively manage

risk, it should be carried out as much as needed.

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Who: Identify Key Stakeholders7

Who are they? Project affected people, and specific sub groups Indirectly affected people Interest groups (any one that could affect the project, positively or

negatively) NGOs Local governments

Selecting legitimate representatives- a complicated process?

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8 This will depend on the characteristics of the different groups of

people being consulted, and the issues: public hearings or meetings focus group discussions (separate for men, women, youth, if culturally

appropriate) households surveys questionnaires electronic venues

Method will depend upon topic, education levels of people being consulted, local tradition, familiarity with electronic media- Local legal requirements?

How: Identify Appropriate Ways to Consult

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BP 4.01: Recording the Consultations9

PCD/PID records proposed consultations with project-affected groups and local NGOs, and includes a preliminary schedule

For a Category A project: the EA report includes a record of interagency and consultation meetings,

including consultations for obtaining the informed views of the affected people and local NGOs, specifying all means other than consultations that were used to obtain their views

An Annex to the PAD summarizes the EA report; the Annex details the consultations that have been conducted, the issues raised and how they have been taken into account

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Documenting the Overall Process and Results10

A good record of all consultations should be maintained how stakeholders were identified and key issues discussed what information was disseminated any agreements reached with authorized representatives of any section

of stakeholders (signed minutes advisable) means (other than consultations) used to obtain the views of affected

groups and local NGOs, such as: social surveys, rapid rural appraisals, focus groups; and how these collected views were analyzed

form and manner in which the comments and suggestions received during consultations have been taken into account in making decisions about project design and implementation arrangements

points on which there is disagreement For meaningful consultations, views must be taken into account; and, if

they were not, the reasons why some of the comments made by the stakeholders cannot be accommodated

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Consultation: A Two-Way Process11

All participating stakeholders should be informed about the proposed methods of documenting consultations, and whether views expressed will be attributed to specific stakeholders

Methods for documenting consultations can vary: Ways of documenting consultations other than on paper should be considered, such as small video or audio recorders

Inform participants how they can access the record of consultations Impacted communities need to feel that their concerns are answered in a

timely and appropriate manner (whether or not the response agrees with their concern).

Stakeholders who oppose a project must be given an opportunity to communicate the reasons why.

Responses to objections by impacted communities are specifically recorded in documentation.

Any suggestions from stakeholders that cannot be accommodated should be carefully recorded and addressed in project documentation

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12 OP 4.01 states that for projects with major social components,

consultation is required by other Bank policies: OP 4.10, Indigenous Peoples OP 4.11, Physical Cultural Resources Op 4.12, Involuntary Resettlement

Consultation and meaningful participation is also referred to in: OP 4.04, Natural Habitats OP 4.36, Forests

Additional Obligations to Consult

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Indigenous Peoples13

For all projects that are proposed for Bank financing and affect Indigenous Peoples, the Bank requires the borrower to engage in a process of free, prior, and informed consultation.

The Bank provides project financing only where free, prior, and informed consultation results in broad community support to the project by the affected Indigenous Peoples.

* OP 4.10, Indigenous Peoples, para 1

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14

“Free, prior, and informed consultation with the affected Indigenous Peoples’ communities” refers to a culturally appropriate (in native language) Respecting collective decision-making process informed participation, not coerced regarding the preparation and implementation of

the project.

It does not constitute a veto right for individuals or groups”

OP 4.10, Indigenous Peoples, para 1, Footnote 4

OP 4.10: Free, Prior and Informed Consultation

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15 “Free, prior, and informed consultation” is consultation that

occurs freely and voluntarily, without any external manipulation, interference, or coercion, for which the parties consulted have prior access to information, on the intent and scope of the proposed project, and in a culturally appropriate manner, form, and language”

* BP 4.10, Indigenous Peoples, para 2 (a)

Free, Prior and Informed Consultation

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16 Broad Community Support… (is when)

the borrower has gained the broad support from representatives of major sections of the community required under the policy . . .

* BP 4.10, Indigenous Peoples, para 7

Broad Community Support

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OP 4.12: Involuntary Resettlement17

. . . ……resettlement activities should be conceived and executed as sustainable development programs……Displaced persons should be meaningfully consulted and should have opportunities to participate in planning and implementing resettlement programs.

* OP 4.12, Involuntary Resettlement, para 2

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OP 4.04 & OP 4.36: Meaningful Participation18

OP 4.04, Para. 9 (Natural Habitats): “The Bank expects the borrower to take into account the views, roles, and rights of groups, including local NGOs and local communities …and.. involve such people in planning, designing, implementing, monitoring, and evaluating such projects.”

OP 4.36 (Forests): “…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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Successful Consultation should:19

Ensure that adequate budget is made available to allow for meaningful consultations: consultation plan

Assess the Borrower’s technical capacity to implement meaningful consultation, explore ways to fill gaps/limitations

Work with Bank project Social Specialist Hold meetings in places and at times convenient for stakeholders Ongoing information disclosure and consultation (beyond

project preparation phase) should be part of project EMP/EMF A broad Communication Plan/Strategy may be needed for more

complex projects, in order to help establish broad community support for the project and to assist in reputation risk management

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Key Points20

Identify key stakeholders Ensure that project information is relevant and in language

accessible to stakeholders Disseminate information in a timely and appropriate manner

before consultation starts Consult early and on an on-going basis Incorporate the results of consultation in the design of the

project Provide feedback to stakeholders Document the consultation process

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Toolkit/Resources21

Stakeholder Consultations in Investment Lending: Guidance Note (World Bank, November 2011) - http://www-wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2012/02/26/000386194_20120226233951/Rendered/PDF/671210WP00PUBL0ultations0Note0web20.pdf

Stakeholder Engagement: A Good Practice Handbook for Companies Doing Business in Emerging Markets (IFC, May 2007)

module 23 environmental safeguards accreditation training, january 21 – 25, 2013 public...

Documents

environmental assessment

project implementation

banks environmental

environmental screening

projects environmental

project appraisalas

risksimproved project

time of project approval