CONSULTATION AND THE SAFEGUARD POLICIES

ECA Safeguard Training for PIUs, May 17, 2011

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Outline

• The rationale of consultations

• World Bank policies on consultations

• The process of consultations

• Key Points & Principles to keep in mind

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Rationale of consultations

• To help improve project design and implementation

• To inform people about changes that affect them

• To take their views into account in the design and implementation of projects

• To identify adverse impacts and mechanisms to enhance project benefits

• To identify risks from and to a project

• To increase project ownership and sustainability

• To comply with Bank/Government policies that require consultations

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Bank Policy: General Obligation to Consult

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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Bank Policy: Meaningful Consultations

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

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Bank Policy: Involuntary Resettlement

. . . the overall objectives of the Bank's policy on involuntary resettlement are the following[(a) to (c)]:

(b) ……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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The process of consultations

• The primary responsibility for consultations rests with the borrower – often carried out with the help of consultants

• Consultations can take place in the context of Bank-required processes or otherwise

• Importance of having a Communications strategy for the consultations

• Questions that need to be addressed as part of the design of consultations:

Issue Stakeholder Form Location Timing Documentation& Dissemination Reflection to the project

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What issues should be consulted on?

• Identification of Impacts (negative, positive, cumulative, other)

• Improving project design • Designing measures to enhance opportunities

and mitigate adverse impacts• Improving Implementation, including

institutional arrangements• Changes during project implementation

9Who to consult?

• Who represents the stakeholders? How to select them?

• Directly affected people (consult all affected “groups”, not a sample), including, but not limited to, those covered by the Bank’s safeguard policies

• Project beneficiaries• Key interest groups who are known to have views on

project issues• Government agencies other than the main

counterparts, especially those that have a role in project implementation

• Local CSOs• In some cases, international NGOs

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When?

• As soon as the design options are known• Before design is finalized• As part of developing mitigation measures required

by safeguard policies• During implementation, if design options are not

specified during preparation• When changes during implementation lead to

identification of new impacts• For complex projects, throughout project

implementation• If Bank gets involved late, assess consultations

carried out up to that point and assess need for additional consultations

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Where?

• At a location close to those who are directly affected

• In projects with large footprint, at different locations so that everyone directly affected by the project has an opportunity to attend

• If held at a distance, may need to provide transport to and from the location

• Special arrangements may be required for women, the elderly, handicapped etc.

• Location should be perceived as safe by participants

• Arrangements at the location should be adequate

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How?

• The form of consultations depends on the profile of stakeholders

• Key methods of consultations are: Public hearings Household interviews Individual questionnaires Focus groups Electronic consultations

• Also establish mechanisms where stakeholders can register their views / suggestions / comments on an ongoing basis

• Special ways of consultation may be necessary for those strongly opposed to a project

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How to make public hearings effective

• Explain, up front, the objective of the consultations, rules of participation and the proposed follow up

• Manage expectations of participants• Agree on the agenda of consultations with the

participants• Provide advance information to key stakeholders

in appropriate format• Provide sufficient time for the consultations• Use appropriate moderation / facilitation skills

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How to make public hearings effective

• Don't allow a few stakeholders to dominate the discussion

• Assess the need for translation and interpretation

• Ensure people feel safe participating in consultations

• Make special efforts to ensure vulnerable and potentially reticent groups are able to express their views

• Conclude the meeting by reiterating how the comments and suggestions received will be processed

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Documenting and disseminating the results

• Maintain good record of consultations• Use audio and video to maintain record but disclose

form of recording in advance• Discuss the issue of attribution of comments• Inform participants how they can access the record of

consultations• Explain to participants the next steps after the

consultations• Record and address any stakeholder suggestions that

cannot be accommodated• Report back to participants how their suggestions were

addressed, including those that could not be accepted• Minutes of consultation meeting are to be attached to

project EIA

16Reflecting the results of consultations in

project design and implementation

• Take key recommendations from consultations into account in project design – key measure of the meaningfulness of consultations

• Include suggestions on implementation arrangements

• Clearly explain why some of the comments / suggestions could not be accepted

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How to make consultations meaningful?

• Provide relevant information to stakeholders in advance of the meeting, in a form and manner they can understand

• Document the process, and key issues that emerge, thoroughly

• Discuss, in project documents, how the key issues raised by stakeholders during consultations have been taken into account in project design and implementation

• Clearly discuss the suggestions made by stakeholders that cannot be accepted

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How to make consultations meaningful? (Cont.)

• Disseminate the results of the consultations with a clear explanation of how stakeholder who disagree with how consultations have been characterized can register their objections

• Respond to any objections raised by stakeholders on how the results of the consultations have been addressed in project design and implementation, and described in the documentation

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Examples from Turkey

BOTAŞ held consultations with the local villagers around Salt Lake while designing Gas Sector Development Project

Lack of Consultations in Ikizdere Valley Project brought reputational and financial risk as construction of 8 dams were cancelled

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Key Points to keep in mind

Identify stakeholders Ensure that project information is relevant and

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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Key principles to keep in mind• Consult project affected persons and local NGOs

meaningfully about the project and take their views into account

• For category A, consult (i) before the ToR for the Environmental Assessment are finalized, and (ii) after the draft EA report is prepared

• Consult stakeholders throughout implementation as necessary to address issues that affect them

• Provide relevant material in a timely manner prior to consultations in a form and language that are understandable and accessible to the groups being consulted

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Key principles to keep in mind (Cont.)

• For projects that affect indigenous peoples, engage them in a process of free, prior and informed consultation. This should result in broad community support to the project

• For projects involving involuntary resettlement, the displaced people are consulted on, offered choices among, and provided technically and economically feasible resettlement alternatives

• Consult host communities, local authorities and NGOs