Stakeholder Engagement and Information Disclosure PDF

Stakeholder Engagement 10 and Information Disclosure Introduction 2.  Stakeholder engagement is an inclusive process conducted throughout the project life cycle. W...

Stakeholder Engagement 10 and Information Disclosure Introduction 2.  Stakeholder engagement is an inclusive process conducted throughout the project life cycle. Where 1. This ESS recognizes the importance of properly designed and implemented, it supports the open and transparent engagement between development of strong, constructive and respon- the Borrower and project stakeholders as sive relationships that are important for success- ful management of a project’s environmental and an essential element of good international social risks. Stakeholder engagement is most effec- practice. Effective stakeholder engagement tive when initiated at an early stage of the project can improve the environmental and social development process, and is an integral part of early sustainability of projects, enhance project project decisions and the assessment, management acceptance, and make a significant con- and monitoring of the project’s environmental and tribution to successful project design and social risks and impacts. implementation. 3.  This ESS must be read in conjunction with ESS1. Requirements regarding engagement with workers are found in ESS2. Special provisions on emergency preparedness and response are covered in ESS2 and ESS4. In the case of projects involving involuntary resettlement, Indigenous Peoples or cultural heri- tage, the Borrower will also apply the special disclo- sure and consultation requirements set out in ESS5, ESS7 and ESS8. Objectives To establish a systematic approach to stake- holder engagement that will help Borrowers identify stakeholders and build and maintain a constructive relationship with them, in particular project-affected parties. To assess the level of stakeholder interest and support for the project and to enable stake- holders’ views to be taken into account in project design and environmental and social performance. To promote and provide means for effective and ESS10 inclusive engagement with project-affected par- ties throughout the project life cycle on issues that could potentially affect them. To ensure that appropriate project information on environmental and social risks and impacts is disclosed to stakeholders in a timely, under- standable, accessible and appropriate manner and format. 97 1707130_Environmental_and_Social_Framework.indd 97 5/25/17 8:35 AM  To provide project-affected parties with acces- A. Engagement during project preparation sible and inclusive means to raise issues and Stakeholder identification and analysis grievances, and allow Borrowers to respond to and manage such grievances. 10. The Borrower will identify the different stake- holders, both project-affected parties and other Scope of application interested parties.1 As set out in paragraph 5, indi- viduals or groups that are affected or likely to be 4. ESS10 applies to all projects supported by the affected by the project will be identified as ‘project- Bank through Investment Project Financing. The affected parties’ and other individuals or groups Borrower will engage with stakeholders as an inte- that may have an interest in the project will be iden- gral part of the project’s environmental and social tified as ‘other interested parties’. assessment and project design and implementa- tion, as outlined in ESS1. 11.  The Borrower will identify those project-affected parties (individuals or groups) who, because of their 5.  For the purpose of this ESS, “stakeholder” refers particular circumstances, may be disadvantaged or to individuals or groups who: vulnerable.2 Based on this identification, the Bor- rower will further identify individuals or groups who (a) are affected or likely to be affected by the proj- may have different concerns and priorities about ect (project-affected parties); and project impacts, mitigation mechanisms and ben- (b) may have an interest in the project (other efits, and who may require different, or separate, interested parties). forms of engagement. An adequate level of detail will be included in the stakeholder identification and analysis so as to determine the level of com- Requirements munication that is appropriate for the project. 6.  Borrowers will engage with stakeholders through- 12.  Depending on the potential significance of envi- out the project life cycle, commencing such engage- ronmental and social risks and impacts, the Bor- ment as early as possible in the project development rower may be required to retain independent third process and in a timeframe that enables meaningful party specialists to assist in the stakeholder iden- consultations with stakeholders on project design. tification and analysis to support a comprehensive The nature, scope and frequency of stakeholder analysis and the design of an inclusive engagement engagement will be proportionate to the nature process. and scale of the project and its potential risks and impacts. Stakeholder Engagement Plan 13.  In consultation with the Bank, the Borrower will 7. Borrowers will engage in meaningful consulta- develop and implement a Stakeholder Engagement tions with all stakeholders. Borrowers will provide Plan (SEP)3 proportionate to the nature and scale stakeholders with timely, relevant, understandable of the project and its potential risks and impacts.4 and accessible information, and consult with them A draft of the SEP will be disclosed as early as possi- in a culturally appropriate manner, which is free of manipulation, interference, coercion, discrimination and intimidation. The stakeholders of a project will vary depending on the details 1 8. The process of stakeholder engagement will of the project. They may include local communities, national and involve the following, as set out in further detail in local authorities, neighboring projects, and nongovernmental organizations. this ESS: (i) stakeholder identification and analysis; Disadvantaged or vulnerable refers to those who may be more 2 (ii) planning how the engagement with stakehold- likely to be adversely affected by the project impacts and/or ers will take place; (iii) disclosure of information; more limited than others in their ability to take advantage of a (iv) consultation with stakeholders; (v) addressing project’s benefits. Such an individual/group is also more likely to be excluded from/unable to participate fully in the mainstream and responding to grievances; and (vi) reporting to consultation process and as such may require specific measures stakeholders. and/or assistance to do so. This will take into account consid- erations relating to age, including the elderly and minors, and 9.  The Borrower will maintain, and disclose as part including in circumstances where they may be separated from their family, the community or other individuals upon which they of the environmental and social assessment, a doc- depend. umented record of stakeholder engagement, includ- Depending on the nature and the scale of the risks and impacts 3 ing a description of the stakeholders consulted, a of the project, the elements of a SEP may be included as part summary of the feedback received and a brief expla- of the ESCP and preparation of a stand-alone SEP may not be necessary. nation of how the feedback was taken into account, Where possible, stakeholder engagement will utilize engage- 4 or the reasons why it was not. ment structures within the national system, e.g., commu- nity meetings, supplemented as needed with project-specific arrangements. 98 1707130_Environmental_and_Social_Framework.indd 98 5/25/17 8:35 AM  ble, and before project appraisal, and the Borrower Information disclosure will seek the views of stakeholders on the SEP, 19. The Borrower will disclose project information including on the identification of stakeholders and to allow stakeholders to understand the risks and the proposals for future engagement. If significant impacts of the project, and potential opportunities. changes are made to the SEP, the Borrower will dis- The Borrower will provide stakeholders with access close the updated SEP. to the following information, as early as possible before the Bank proceeds to project appraisal, and 14. The SEP will describe the timing and methods in a timeframe that enables meaningful consulta- of engagement with stakeholders throughout the tions with stakeholders on project design: life cycle of the project as agreed between Bank and Borrower, distinguishing between project-affected (a) The purpose, nature and scale of the project; parties and other interested parties. The SEP will (b) The duration of proposed project activities; also describe the range and timing of information to be communicated to project-affected parties and (c) Potential risks and impacts of the project on other interested parties, as well as the type of infor- local communities, and the proposals for miti- mation to be sought from them. gating these, highlighting potential risks and impacts that might disproportionately affect 15. The SEP will be designed to take into account vulnerable and disadvantaged groups and the main characteristics and interests of the stake- describing the differentiated measures taken to holders, and the different levels of engagement and avoid and minimize these; consultation that will be appropriate for different (d) The proposed stakeholder engagement process stakeholders. The SEP will set out how communica- highlighting the ways in which stakeholders tion with stakeholders will be handled throughout can participate; project preparation and implementation. (e) The time and venue of any proposed public 16. The SEP will describe the measures that will consultation meetings, and the process by be used to remove obstacles to participation, and which meetings will be notified, summarized, how the views of differently affected groups will be and reported; and captured. Where applicable, the SEP will include (f) The process and means by which grievances differentiated measures to allow the effective par- can be raised and will be addressed. ticipation of those identified as disadvantaged or vulnerable. Dedicated approaches and an increased 20.  The information will be disclosed in relevant level of resources may be needed for communica- local languages and in a manner that is accessible tion with such differently affected groups so that and culturally appropriate, taking into account any they can obtain the information they need regarding specific needs of groups that may be differentially the issues that will potentially affect them. or disproportionately affected by the project or groups of the population with specific information 17. When the stakeholder engagement with local needs (such as, disability, literacy, gender, mobility, individuals and communities depends substantially differences in language or accessibility). on community representatives,5 the Borrower will make reasonable efforts to verify that such persons Meaningful consultation do, in fact, represent the views of such individuals 21.  The Borrower will undertake a process of mean- and communities, and that they are facilitating the ingful consultation in a manner that provides stake- communication process in an appropriate manner.6 holders with opportunities to express their views on project risks, impacts, and mitigation measures, 18. In certain circumstances,7 depending on the and allows the Borrower to consider and respond to level of information available about the project, the them. Meaningful consultation will be carried out SEP will take the format of a framework approach, on an ongoing basis as the nature of issues, impacts outlining general principles and a collaborative ESS10 and opportunities evolves. strategy to identify stakeholders and plan for an engagement process in accordance with this ESS 22. Meaningful consultation is a two-way process, that will be implemented once the location is known. that: (a) Begins early in the project planning process to For example, village heads, clan heads, community and reli- 5 gather initial views on the project proposal and gious leaders, local government representatives, civil society rep- inform project design; resentatives, politicians or teachers. For example, by conveying, in an accurate and timely manner, 6 (b) Encourages stakeholder feedback, particu- information provided by the Borrower to the communities and larly as a way of informing project design and the comments and the concerns of such communities to the engagement by stakeholders in the identifi- Borrower. For example, where the exact location of the project is not 7 cation and mitigation of environmental and known. social risks and impacts; 99 1707130_Environmental_and_Social_Framework.indd 99 5/25/17 8:35 AM  (c) Continues on an ongoing basis, as risks and mechanism9 to receive and facilitate resolution of impacts arise; such concerns and grievances. (d) Is based on the prior disclosure and dis- 27. The grievance mechanism will be proportion- semination of relevant, transparent, objective, ate to the potential risks and impacts of the project meaningful and easily accessible informa- and will be accessible and inclusive. Where feasible tion in a timeframe that enables meaning- and suitable for the project, the grievance mecha- ful consultations with stakeholders in a nism will utilize existing formal or informal griev- culturally appropriate format, in relevant ance mechanisms, supplemented as needed with local language(s) and is understandable to project-specific arrangements. Further details on stakeholders; grievance mechanisms are set out in Annex 1. (e) Considers and responds to feedback; (f) Supports active and inclusive engagement with (a) The grievance mechanism is expected to project-affected parties; address concerns promptly and effectively, in a transparent manner that is culturally (g) Is free of external manipulation, interference, appropriate and readily accessible to all coercion, discrimination, and intimidation; and project-affected parties, at no cost and with- (h) Is documented and disclosed by the Borrower. out retribution. The mechanism, process or procedure will not prevent access to judicial B. Engagement during project or administrative remedies. The Borrower will implementation and external reporting inform the project-affected parties about the grievance process in the course of its com- 23.  The Borrower will continue to engage with, and munity engagement activities, and will make provide information to, project-affected parties and publicly available a record documenting the other interested parties throughout the life cycle of responses to all grievances received; and the project, in a manner appropriate to the nature of their interests and the potential environmental (b) Handling of grievances will be done in a cul- and social risks and impacts of the project.8 turally appropriate manner and be discreet, objective, sensitive and responsive to the 24. The Borrower will continue to conduct stake- needs and concerns of the project-affected holder engagement in accordance with the SEP, and parties. The mechanism will also allow for will build upon the channels of communication and anonymous complaints to be raised and engagement already established with stakeholders. addressed. In particular, the Borrower will seek feedback from stakeholders on the environmental and social per- D. Organizational capacity and commitment formance of the project, and the implementation of the mitigation measures in the ESCP. 28. The Borrower will define clear roles, responsi- bilities and authority as well as designate specific 25.  If there are significant changes to the project that personnel to be responsible for the implementation result in additional risks and impacts, particularly and monitoring of stakeholder engagement activi- where these will impact project-affected parties, the ties and compliance with this ESS. Borrower will provide information on such risks and impacts and consult with project-affected parties as to how these risks and impacts will be mitigated. ESS10—Annex 1. Grievance mechanism The Borrower will disclose an updated ESCP, setting 1. The scope, scale and type of grievance mecha- out any additional mitigation measures. nism required will be proportionate to the nature and scale of the potential risks and impacts of the C. Grievance mechanism project. 26. The Borrower will respond to concerns and 2. The grievance mechanism may include the grievances of project-affected parties related to following: the environmental and social performance of the project in a timely manner. For this purpose, the (a) Different ways in which users can submit their Borrower will propose and implement a grievance grievances, which may include submissions in person, by phone, text message, mail, e-mail or via a web site; Additional information may need to be disclosed at key stages 8 in the project cycle, for example prior to start-up of operations, The grievance mechanism to be provided under this ESS may 9 and on any specific issues that the disclosure and consultation be utilized as the grievance mechanism required under other process or grievance mechanism have identified as of concern to ESSs (see ESSs5 and 7). However, the grievance mechanism for 100 stakeholders. project workers required under ESS2 will be provided separately. 1707130_Environmental_and_Social_Framework.indd 100 5/25/17 8:35 AM  (b) A log where grievances are registered in writing (e) An appeals process (including the national and maintained as a database; judiciary) to which unsatisfied grievances may (c) Publicly advertised procedures, setting out be referred when resolution of grievance has the length of time users can expect to wait for not been achieved. acknowledgement, response and resolution of 3. The Borrower may provide mediation as an their grievances; option where users are not satisfied with the pro- (d) Transparency about the grievance procedure, posed resolution. governing structure and decision makers; and ESS10 101 1707130_Environmental_and_Social_Framework.indd 101 5/25/17 8:35 AM