OCIAL DEVELOPMENT NOTES - N V N R CNM EN TAliLY AND SO CIA LLY SU STA INAB LE DE VE LOPMEN T NETWORK Note No. 39 September 1998 Meaningful Consultation in Environmental Assessments The World Bank's Operational Directive to local NGOs and affected groups. This 4.01 on Environmental Assessments (to be information has to be provided in a timely released as Operational Policy 4.01) calls for manner and a form that is meaningful and consulting the public on environ,mental accessible to the groups being consulted. impacts in Bank-financed projects. The operational directive (OD) requires Borrowers the OD resetatt itherintial - . ~~~~~~~~~~~consultation the relevant information consists to prepare envirornental assessments in those of a summary of the proposed project, categories of projects that have potentiali A vJ categories of projects that have potential including its potential positive and negative significant impact on the environment. This effects. Once the draft EA report is ready, includes both category A and B projects. information should consists of a summary of Category A projects potentially pose a the conclusions and a discussion of significant impact on the environment and recommended mitigating activities and plans Category B projects do not. Therefore the OD is prepared. requires that a full EA be carried out in Despite the existence of these general Category A projects and only an Caegr Aprjct ndorl a uidelines, the Bantk's second EA Review environmental analysis be carried out for guid the Bank's second Bareview Category B projects. The OD requires that the found.thatk"many Ecsnaretstill characte views o "affeced perons" an localby. . .weak public consultation." This was the nongoviernmo'fenta perg ons" anGlos)a b case across all sectors and appears to be a takernm"fullyentalortaccountionsu asGsbes . result of several factors, including inadequate taken '>fully into account in such assessments. nainllgsaiefaeok'n ako national legislative frameworks and a lack of The views of affected groups and NGOs open consultative processes and expertise on are obtained through a consultative process the part of project managers and EA that occurs at two stages during project consultants. preparation; first, after assigning the EA The following note is based on the premise category or during the scoping of issues and that both World Bank and Borrower preparation of draft terms of reference (TOR) perfori ance could be significantly improved. and second, after a draft EA has beenD prepaned.scondaer afdra BAeasengfu The OD describes several factors which, if prepared. In order for "meanlingful consultation" to occur, the OD requires adequately considered, could provide Borrowers to provide -relevant information guidance to Bank task team leaders, project This note was prepared by Shelton H. Davis and Nightingale Rukuba-Ngaiza based on the Bank's Operational Directive 4.01 on Environmental Assessments. For more information, contact the authors at The World Bank, 1818 H Street, NW, Washington, DC 20433, USA, Fax: 202-522-3247, E-mail: sdavis2@worldbank.org, or nrukuba- ngaizalworldbank.org. The views expressed in tfhis note are those of the authzor(s) and do not necessarily reflect the official policies of the World Bank. preparation agencies, private companies, and In many cases, women and the poor are not environmental consultants on minimal World consulted and local NGOs are often the only Bank standards and expectations for involving social actors who participate in consultations. affected groups and local NGOs in the EA Meaningful consultations only occur when the process. Six of these factors are discussed in EA reflects the views of a cross-section of this note. A checklist is also provided for affected groups, including those traditionally reviewing and evaluating public consultation excluded from the process. plans and processes. To ensure that affected groups and Context of the Consultative Process interested NGOs are identified and participate in consultations, it is usually necessary to Public consultation, like other aspects of an . conduct atsocia asusessmenterecruitm EA need to be siuae wi, its pol.cv conduct a social assessment. The recruitment d ic, of appropriate professionals (from local legal, and administrative contexts. As a first D universities or NGOs) may be necessarv to step toward planning an effective public I consltatn statey fo an A, t isvita toconduct these assessments, the goal of which consultation strategy foransta,it is vitalet should be to identify all relevant stakeholders undtherstnde howiety. pubi chonuldentation isand highlight potential issues and conflicts to inrthewidery asociety.his sthouldenatail be analyzed in the EA. For more information preliminary analysis of the legislative seSca sesetDseiainNt framework and what it says about the rights of Ner S eptmer 1995. citizens to be consulted in administrative N processes, as well as their access to Consultation Facilitators environmental and other types of information. Under certain circumstances involving In some countries an adequate public professional facilitators or respected community consultation legislative framework may be members may be necessary to ensure lacking, but there may be other cultural or meaningful ns.ahi is ecause , . . ............. .. . ~meaningful consultations. Th:is is because many informal ways in which citizens participate i projects that have significant environmental and decisionmaking. social impacts often involve contending interests The World Bank recognizes the need for and values, and government officials or private sensitivity in designing public consultation sector institutions may lack the trust of affected strategies for projects in countries lacking groups and local NGOs. In other cases NGOs adequate statutory frameworks or in cases themselves may provide biased accounts of how where affected groups and NGOs lack local communities perceive potential impacts. In appropriate conditions to express their views. these situations dialogue may only be possible In certain contexts, relevant environmental when a neutral facilitator serves as an agencies and public and private institutions intermediary among the affected groups, local may need to be strengthened to carry out an NGOs, and the project's sponsor. effective and meaningful consultation Timin and Implementation of the program. Such institutional strengthening mav v be needed to fulfill the objectives of the OD. Consultative Process Identification of Affected Groups and The stages at which public consultations are Local NGOs required determine and limit the input of affected groups into the EA. World Bank policy If meaningful and effective consultation is requires that consultations be carried out after to occur, it is vital that a mechanism for the EA category has been assigned and the draft identifying affected groups and interested EA prepared. By participating in the EA process NGOs be in place. Sometimes this does not after assignment of the EA category, affected occur because of lack of guidance as to how groups help define the issues in the EA, some of affected groups and local NGOs should be which may be critical in drafting the TORs. identified; for example, narrow definitions of The OD does not require consultations with affected groups may ordy include those affected groups during EA preparation althouah directly impacted by the project. 2 good practice and certain conditions such as NGOs can assist in developing strategies for resettlement or project effects on indigenous identifying the appropriate information, peoples merit participation by affected groups methods of dissemnination, and a reasonable throughout project and EA preparation. Certain timeframe. types of envirorunental information on land use Documentation of the Consultative or pollution effects may also be discovered rocess through close collaboration with affected groups Process during EA consultations. Finally, World Bank policy requires that EA There is no requirement for consultations reports contain a record of consultations with with affected groups after the final EA affected people and local NGOs. The record preparation. However, the World Bank's policy should specify how stakeholders were identified on disclosure of information, subject to certain and what information was disseminated, as well limitations, requires the Borrower to make the as the means (other than consultations) used to EA report available in a public place accessible obtain the views of affected local groups, such as to affected groups and local NGOs for their social surveys, rapid rural appraisals, or focus review and comment. Formal consultatiors groups. The documentation should also indicate with affected groups after the final EA how the collected views were analyzed and preparation is good practice, and it enables incorporated into the final EA. Without affected groups to determine whether or not documentation of the consultative process or their concerns have been incorporated into the alternative means of obtaining information, it is final EA document. When the affected group's difficult to determine w%hether meaningful concerns have been omitted from the final EA, consultation has taken place. it is standard practice to discuss the reasons for Summary exclusion. Such consultations should be conducted before the final document is The World Bank requires that at designated deposited in a place accessible to the public. stages of the EA cycle, Borrowers conduct meaningful consultations with affected groups Information and Communication and local NGOs. The criteria for assessing World Bank policy requires that information meaningful consultation is based on the to affected groups be provided in a "meaningful Borrower's or EA preparer's capacity to identify and accessible fashion" and "timely manner." the affected groups and obtain information. The Responsibility for ensuring that the information Borrower or EA preparer should conduct is comprehensible to the affected groups rests additional consultation when new issues arise with the Borrower or EA preparer, who should, during the EA cycle. Documenting the if necessary, obtain the expertise required to consultative process enables interested persons translate the information into a form to determine whether appropriate consultations comprehensible to the affected groups. have been conducted. Affected groups may include the illiterate While the final decision on EA and those who do not speak the national recommendations rests with the Borrower or languages, but they nonetheless must be able implementing agency, project performance to understand the information in order to and action plans arising from EAs can be participate in the EA process. Appropriate substantially improved through consideration communication processes must be designed of the viewpoints of all relevant stakeholders and employed in the process, so that and affected groups. Meaningful consultation information reaches and is understood by will be deemed to have taken place if the final affected groups and local NGOs. EA document reflects the views of affected groups, local NGOs, and those traditionallv The information has also to be received by excluded from the consultative and planning the affected groups in a "timely" manner. What processes, as well as those of the project's constitutes a reasonable time may vary across sponsor and other relevant government localities, depending on the sociocultural agencies. context of the project. Local social scientists and 3 Checklist for Reviewing and Evaluating Public Consultation Plans and Processes Methodology Selection of Participants * Were representatives of the public involved in selecting participants? * Have all potential stakeholders been identified? * Have key stakeholders been given the opportunity to express their views? Selection of Consultation Techniques * Are the chosen techniques suitable for the objective? * Are the techniques appropriate for the size of the audience? a Are they appropriate for the technical knowledge of participants? * Has sufficient time been allowed for informing participants? * Will suitably qualified staff be involved? Implementation Suitability of Arrangepnents for Consultations * Is the location appropriate? * Is the time appropriate? * Can everyone attend who may want to participate? Adequacy of information Provided to the Public * Has sufficient information been provided for participants to make informed judgments? * Is the technical level of the information suited to participants' background knowledge? * Has appropriate language and vocabulary been used? * Was information provided sufficiently early? Infonnation for Decisionmakers * Was a nontechnical summary provided? * Is information clearly and concisely presented? * Has an appropriate language been used? * Was it provided in time to inform decisionmakers? Resources for Participants * Have resources been provided to enable all those who wish to participate to do so? * Were resources distributed fairly? Analysis of Results * Have views of participants been recorded? * Have they been analyzed? * Have suitably qualified staff been involved? Feedback and Use of Results * Have the results of the consultation been reflected in the decisionmaking process? * Have participants been informed of the outcomes and how their input was used? * Has the process resulted in a better decision? Source: Adapted from Manual on Public Participation, 1995, European Bank for Reconstruction and Development, London, U.K. Social Development Notes are published informally by the Social Development Family in the Environmentally and Socially Sustainable Development Network of the World Bank. For additional copies, contact Social Development, The World Bank, 1818 H Street, NW, Washington, DC 20433, USA, Fax: 202-522-3247, E-mail: sdpublications@worldbank.org Prmledon Recycled Paper 4