Stakeholder consultations

KyivMay 13, 2011

Why stakeholder 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

Outline

• The process of consultations

• The role and responsibility of the Bank in the consultations process

• Consultations in the project cycle

• Policy-specific requirements related to consultations

• Challenges

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

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

(a) What are the issues on which there needs to be consultation?

(b) Who should be consulted on these issues?

(c) What form should the consultations take?

The process of consultations (Cont.)

(d) What are the appropriate locations for conducting consultations?

(e) What is the appropriate timing / schedule for conducting consultations?

(f) How will the consultations be documented, and their results disseminated?

(g) How will the results of consultations be reflected in project design and implementation?

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

Who to consult?

• Who represents the stakeholders? How 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

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

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

How?• The form of consultations depends on the profile of

stakeholders• Key methods of consultations are:

Public hearingsHousehold interviewsIndividual questionnairesFocus groupsElectronic 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

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

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

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

Reflecting 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

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

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

Consultations on the Bank partnership strategiesElicited important feedback for the

Country TeamProvided inputs to the strategy

formulationsConducted in Kyiv and regionsParticipants informed about how their

suggestions were addressed

Policy Requirements related to consultations

Key principles

• 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

Key principles (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

Challenges• How to conduct a comprehensive

stakeholder analysis?

• What makes consultations meaningful?

• What is the appropriate form and language for information provided to stakeholders?

• How to verify consultations were held as proposed?

• How to handle disagreements among stakeholders?

• How to handle suggestions that cannot be accepted?