24 November 2003
II. What Information is Publicly Available and How To Get It
The Bank creates numerous standardized documents related to projects or economic policy that are relevant to citizens who wish to understand what the Bank is financing in their country and what economic advice their government is receiving from the Bank. The following explains what types of documents are available, when, and where you can locate them.
This Section is subdivided into the following categories:
A. Project and Sector Loan Documents
B. Structural Adjustment Programs (SAPs)
C. Environmental and Social Information
D. Independent Inspection Panel Information
E. Country Economic and Sector Work Reports
F. Operational Policies, Bank Procedures, and Good Practices
G. Policy Framework Papers and other IMF documents
A. Project and Sector Loan Documents
Key Facts:
- prepared for infrastructure projects such as roads, dams, water and sanitation; social sector investments such as education and health; and productive investments like mining, agriculture and fisheries
- prepared also for sector loans, e.g. financial, energy, and public sector investment loans
- includes several types of documents: Project Information Documents, Factual Technical Information, Project Appraisal Documents and Loan Agreements
- most documents available from the Infoshop or online
- the majority of the documents are in English
1. Project Information Documents (PID)
WHAT:
For citizens wanting to access basic information about a project or sector loan that has just entered the Bank's pipeline, PIDs are the main source of public information at an early stage of a project. PIDs are typically very brief (2-6 pages) and summarize the main elements of the evolving project, including (a) objectives; (b) expected or probable components; (c) costs and financing; (d) environmental issues; (e) status of procurement and consulting services; (f) studies to be undertaken; and (g) implementing agencies and relevant points of contact. The PID should be updated and expanded as the project is developed. With few exceptions, these documents are prepared in English.
WHEN:
The PID should be available as soon as a project enters the Bank's pipeline, indicated by its appearance in the Monthly Operational Summary (MOS)[Note:2]
WHERE:
PIDs are available free of charge at the Bank's Infoshop, in field offices, and on the Bank's website.
2. Factual Technical Project Documents
WHAT:
To find out more details about projects and project components during project preparation, you might want to request studies that are developed and carried out by the Bank and/or the borrower that provide more in-depth information that the project team will use to make decisions. Requests can be made for Project or Sector Loan Documents containing "factual technical information." The Bank has defined Factual Technical Documents as the following (this list is not definitive and may include other documents):
- prefeasibility studies
- feasibility studies, including cost/benefit analyses
- site and soil investigations
- detailed design studies
- financial statements of the agencies responsible for implementing the project
- a description of the institutional framework
- technical studies which support the environmental impact analysis
- project-related poverty analysis
WHEN:
During project preparation.
WHERE:
This information is not available in the Infoshop, nor is it identified in the Project Information available on the Bank's website. Thus citizens must request Project or Sector Loan Documents containing "factual technical information" directly from the Task Team Leader or Country Director.
Tips on Requesting Factual Technical Documents:
- When requesting factual technical documents, make your request in writing directly to the Task Team Leader in the relevant Country Department.
- Be specific about what you are asking for based on the list below.
- If the information you want is not included in the documents listed below, don't be discouraged. Request the information anyway and remember to be as specific as possible about what type of information or document you want.
- If the Task Team Leader is unresponsive, then send a second request to the Country Director.
3. Final Project Appraisal Documents
Key Facts:
- the final loan proposal, written for the Board of Executive Directors
- detailed description of the loan
- includes summaries of environmental and social impacts and mitigation plans for some loans
- all PADs listed on the Bank's website (look for the heading: Staff Appraisal Reports)
- with few exceptions, available only in English
WHAT:
The Project Appraisal Document (PAD)3 is the main technical document of a project or sector loan and is much more extensive than a PID. Unfortunately, the PAD is only available to the public after a loan has been approved. The document is extremely useful for citizens interested in project details, and should contain the following information:
1. who's in charge at the Bank: the Task Team Leader and the Country Director;
2. who's in charge in the country: i.e. the implementing agency and other institutional issues;
3. financial information: the loan amount, cofinancers' information, and disbursement schedule;
4. what is planned: an in-depth description of the project or the sector investment, how the project will be managed, and what is planned for monitoring and evaluation, among other things;
5. how the project supports the objectives of the Bank's Country Assistance Strategy for the Country [see BIC's Toolkit on the CAS];
6. what alternatives may have been considered and why they were rejected;
7. other major related projects financed by either the Bank or other development agencies;
8. "ownership": i.e. indications that the borrower is committed to the project;
9. summaries of all assessments done in preparation of the project, including social assessment, environmental assessment, indigenous peoples development plans, financial, economic and technical assessments, among others;
10. who participated in the development of the project: NGOs, government, academic institutions, etc.;
11. controversies: who might be opposing the project, what issues are being raised; and
12. loan conditions: what the government has to commit to in order for disbursements to continue. PADs are always written in English, since they are prepared for the Board of Executive Directors, not the citizens or governments of the borrowing country.
WHEN:
Final PADs are made available after they are approved by the Board of Executive Directors. Draft PADs may be available in some cases, e.g. projects which involve public consultation or social assessment.
WHERE:
PADs should be available at the Infoshop, in the resident missions, and in the Bank's local offices. A list of all PADs, and of previous Staff Appraisal Reports, can be found on the Bank's website. Draft PADs should be requested directly from the Task Team Leader.
4. Loan and Credit Agreements
WHAT:
Loan and credit agreements are the legal agreements between the World Bank and a borrowing country on a specific project or sector loan. Loan Agreements pertain to loans financed by the International Bank for Reconstruction and Development (IBRD). Credit Agreements pertain to credits financed by the International Development Association (IDA). Again, these documents are typically written in English.
WHEN:
Loan and credit agreements ostensibly become public documents after the Board approves a loan or credit.
WHERE:
Loan and credit agreements should be available from the Bank's Infoshop. Send a request, including the project name or project number to the Infoshop, which will then contact the Bank's Country Department lawyer to get approval to release the document.
B. Structural Adjustment Programs (SAPs)
Key Facts:
- there is significantly less information available about SAPs than about other types of Bank operations
- sector adjustment loans are considered SAPs and are thus subject to the same confidentiality as SAPs
- information that is mandatory includes: a notice in the Monthly Operational Summary and a Project Information Document
- all other document types are available only on a case by case basis
1. Project Information Documents
WHAT:
Project Information Documents for structural adjustment operations may contain: (a) information on the background of the operation; (b) objectives of the SAP; (c) loan description including poverty impact; (d) program implementation, including who is responsible; and (e) environmental considerations, if any.
WHEN:
Project Preparation. The PID is the main source of information on SAPs before a loan is approved by the Board.
WHERE:
PIDs for structural adjustment operations should be available at the Infoshop and on the Banks website.
There is NO POLICY for the release of other documents related to Structural or Sector Adjustment Loans. The following are documents that citizens can request and that may be released on a case by case basis:
2. Factual Technical Documents
WHAT:
Factual technical documents or information on World Bank structural adjustment operations may be publicly available upon request. The PID for structural and sector adjustment operations may identify the areas of the economy that are to be examined. You can use the PID to request factual technical information related to those areas.
3. Technical Annex and Memorandum of the President
WHAT:
Instead of a Project Appraisal Document, Bank staff may produce a Technical Annex (TA) and a Memorandum of the President (MOP) for submission to the Board of Executive Directors. The TA includes: (a) project description; (b) project cost estimates and financing plan; (c) implementation arrangements including responsible agencies and disbursement schedule; and (d) project benefits and risks. The TA also may include policy advice and conditionality. The MOP summarizes the TA.
WHERE:
Even though the Bank's website notes that Technical Annexes may be publicly available, this is rarely the case. The MOP is never made public. To request TAs, contact the Bank's relevant Country Director.
C. Environmental and Social Information
The Information Policy makes the following environmental and social documents publicly available:
- Environmental Assessments for IBRD and IDA funded Category "A" projects
- Environmental Analyses for IBRD and IDA Category "B" projects
- Environmental Data Sheets
- National Environmental Action Plans
- Indigenous Peoples Development Plans
- Resettlement Plans
1. Environmental Assessments (EAs)
Key Facts:
- prepared for projects with significant environmental and social impacts, which are designated Category A by the Bank.
- comprehensive study of social and environmental impacts of a proposed project
- includes resettlement action plans or indigenous peoples development plans when relevant
- must include record of public consultation
- available for public review and comment prior to project appraisal
- entire study and a summary available close to site and at the local World Bank office
- completed studies listed on Bank's website
Environmental Assessments are studies that are done to determine the probable environmental and social impacts of proposed projects, to assess possible alternatives, and to create environmental mitigation plans for projects that may have significant environmental impacts. The EA for a project is carried out by the borrower as part of project preparation, and should include measures for consultation with affected people, interested citizens and NGOs. The EA is a key document for citizens interested in both determining the potential impacts of projects, and trying to influence project outcome. [See BIC's Toolkit on The World Bank's Environmental Assessment Policy.]
WHAT:
Project specific Environmental Assessments normally contain the following information: (a) existing environmental baseline conditions; (b) potential direct and indirect environmental impacts, including opportunities for environmental enhancement; (c) comparison of alternative investments, sites, technologies and designs; (d) preventive, mitigatory, compensatory measures generally in the form of an environmental mitigation plan; (e) environmental management and training; and (f) monitoring plans. EAs sometimes include resettlement plans or indigenous peoples development plans (see below).
Sector Environmental Assessments may contain: (a) alternatives; (b) the effect of sector policy changes; (c) institutional capacities and requirements for environmental review, implementation, and monitoring at the sectoral level; and (d) the cumulative impact of many relatively small, similar investments in the sector.
Where and When:
Environmental Assessments for Category "A" IBRD/IDA projects must be made available in the local language, in some public place accessible to affected groups and local NGOs before the Bank proceeds to appraisal. This is approximately 120 days before the Board receives the loan proposal. After it is released in the borrowing country, the EA is sent to the Bank's Public Information Center. NGOs and interested parties in borrowing countries should request the EA from the World Bank field office in their country if it is not available in some public place near the project site.
Environmental Assessment Categories:Category A:Requires a full EA; the project may have diverse, significant, unprecedented, or irreparable environmental impacts, may require resettlement, or may adversely affect indigenous peoples.Category B:Requires an environmental analysis for projects that will have more limited and more specific environmental impacts.Category C:No environmental analysis is required because it is determined that the project will have insignificant or negligible environmental impacts.Category FI:(Financial Intermediary): EA required for subprojects within sector investment loans when the project may have negative environmental impacts. |
2. Environmental Analyses
Key Facts:
- prepared for Environmental Category B projects
- details site specific environmental impacts
- may be available at the project site but not mandatory
What:
Environmental analyses are completed for Category "B" projects which do not require a full environmental impact assessment. An environmental analysis may contain the following information: (a) identification and summary of all anticipated significant adverse environmental impacts; (b) description and technical details for each mitigation measure; (c) institutional arrangements; (d) implementation schedule for mitigation plan; (e) monitoring and reporting procedures; and (f) integration of mitigation plan into total project cost.
Where and When:
In IDA financed Category "B" projects, if the environmental analysis results in a separate report, the report must be made available in the borrowing country at a public place before the Bank proceeds with appraisal. After it is released in the borrower country and sent to the Bank, it should be made available in the Infoshop. If the environmental analysis does not result in a separate document, it will be included in the Project Information Document which should be available from the Infoshop. For IBRD category "B" projects, the environmental analysis will be included in the Project Information Document.
3. National Environmental Action Plans (NEAPs)
What:
NEAPs are Bank financed, government-prepared documents that provide an overview of a government's environmental priorities and programs. The World Bank information policy encourages borrower governments to make NEAPs publicly available.
Where:
If the government consents, the Bank should make NEAPs available in the Infoshop. The list of NEAPs that are available, and an abstract of each, is on the Bank's website.
4. Indigenous Peoples Development Plans
Key Facts:
- prepared as part of a project in which indigenous peoples will be significantly affected
- must be developed with indigenous peoples participation
- should be available in local languages, since the Bank's indigenous peoples policy states that "the strategy for addressing the issues pertaining to indigenous peoples must be based on the informed participation of the indigenous peoples themselves"
What:
Indigenous Peoples Development Plans (IPDPs) should be available as part of the environmental assessments in Category "A" projects and in environmental analyses in Category "B" projects. IPDPs may contain the following information: (a) legal framework; (b) baseline data; (c) land tenure issues; (d) strategy for local participation; (e) identification of development or mitigation activities; (f) institutional capacity; (g) implementation schedule; (h) monitoring and evaluation; and (i) cost estimates and financing plan.
When and Where:
Drafts should be available from project staff or resident mission before appraisal; the final draft should be available from the World Bank Infoshop. They may be included as annexes to Project Appraisal Documents or within an Environmental Assessment. Because the Indigenous Peoples Policy of the Bank notes that the Indigenous Peoples themselves must have informed participation in the creation of IPDPs, drafts and final documents should be available in local languages. However, this is not required in the Bank's policy.
5. Resettlement Plans
Key Facts
- required for projects that will forcibly displace more than 50 families
- projects are designated "Category A", therefore plans are prepared as part of environmental assessment
- must include record of public consultation
- available to the public before project appraisal
What:
Resettlement plans contain detailed information about resettlement of people who are being displaced as a result of a project. Resettlement plans are included in environmental impact assessments in category "A" projects and in environmental analyses in category "B" projects. Resettlement plans normally contain the following information: (a) recent information about the scale and impact of resettlement on the displaced population; (b) a description of household characteristics and a socioeconomic survey which describes the magnitude of displacement; (c) the resource base of the affected population; (d) the extent to which groups will experience loss of assets; (e) legal framework; (f) identification of resettlement sites; (g) rehabilitation package offered; (h) the value of lost assets; (i) a review of the land tenure and acquisition process; (j) grievance procedures; (k) infrastructure and social services offered; and (l) an implementation schedule.
When and Where:
Before appraisal, drafts are available from Task Team Leaders; and final copies are available from the World Bank Infoshop after the appraisal mission. Resettlement Plans can be included in an EA, or created as a separate document, depending on the operation. They will also be summarized in the Project Appraisal Document.
D. Independent Inspection Panel Information
Key Facts:
- all information related to Inspection Panel activities is publicly available, with the exception of those internal bank documents that the Panel reviews in the course of its investigation
- documents can be obtained from the World Bank Infoshop, the Inspection Panel office, and are listed on the Bank's website
- Inspection Panel Reports are currently prepared in English and only translated by the Bank at the demand of the requestors
What, when and where:
The Inspection Panel provides people directly and adversely affected by Bank projects an independent office within the Bank where they can bring claims if they believe that they have been materially harmed by a Bank's operation. The process of bringing and investigating a claim generates several types of documents, which are all publicly available:
- Information released after the Board has agreed to an investigation by the Panel: a) the claim; b) the Panel's Notification of Registration, which alerts the Board that the Panel has received a claim and has determined that it is eligible for review; and c) the Panel's Preliminary Review and Recommendation for an Investigation, which is made to the Board of Executive Directors.
- Information released after the Panel has investigated a project: a) Panel Report, which includes a summary of the relevant facts, conclusions and findings, a list of supporting documents which will be available on request from the Inspection Panel, and statements of the majority and minority views if the Panel does not reach consensus on the findings. The Report is issued by the Bank within 6 weeks of the Panel's submission to the Board; b) Management's Response to the Claim; c) Results of the Investigation and Action decided by the Board, released within 2 weeks after the Directors officially consider the findings.
- Other publicly available information: a) Inspection Panel Procedures (available in English, Spanish, Portuguese and French); b) Inspection Panel Annual Reports; and c) Press Releases regarding claims. These documents are available from the Infoshop, the Inspection Panel office at the World Bank and are listed on the Bank's website.
Note:
The Panel's Operating Procedures were recently changed (April 20, 1999). These changes, called "Clarifications," are included in a new document, Conclusions of the Board's Second Review of the Inspection Panel. The Conclusions are available on the Bank's website in both the "For NGOs" section and the Inspection Panel home page at www.worldbank.org/html/ins-panel
E. Country Economic and Sector Work Reports
Key Facts:
- information is produced as part of the Bank's Country Assistance Strategy for each of its borrowing countries
- documents are prepared by the Bank, not by the borrowing government
- findings often determine the level of lending and the Bank's 1 to 5 year lending portfolio for each borrowing country
- documents are developed with input from governments and in some cases from civil society organizations
These documents are typically prepared as part of the development of the Bank's Country Assistance Strategy. After approval by the Board of Executive Directors, final Country Economic and Sector Work Reports should be publicly available. These reports include a broad range of documents on borrower country economies and sectors. Documents available under this title include:
- Country Economic Memoranda: These reports are required for countries with active lending programs. They are prepared to inform the Board and management of economic prospects and issues in the borrowing country, and to provide a background for dialogue with the government. Country Economic Memoranda also provide background information and analysis to other donors. They contain a review of economic developments, a discussion of major economic policy issues, and a country's medium term prospects.
- Country Economic and Sector Reports: These reports include country economic memoranda, and special reports in the area of public investment programs, financial sector, export policies, income distribution and labor markets. Many of the reports are formal and are distributed to the Board after they are final, and some are informal or confidential studies that are not available publicly.
- Poverty Assessments: These documents include household surveys, a poverty profile, and beneficiary assessment, among other things. They should also include information about the participation of partners and stakeholders, e.g. government agencies and members of civil society.
- Country Assistance Strategy: The CAS is a key strategic document that the Bank prepares to determine the lending levels, operations and economic and sector research that it will set for each of its borrowing countries over a subsequent 1 to 5 year period. The Bank's new policy on the CAS makes a 2-page CAS Public Information Notice, the CAS itself, or a CAS Progress Report available to the public. Visit the Bank's website to see which CAS' are currently available. [See BIC's Toolkit on the CAS.]
F. Operational Policies, Bank Procedures, and Good Practices
Key Facts:
- these documents form the Bank's policy framework within which all Bank operations are developed and implemented
- environmental and social policies are called "safeguard policies" and include environmental assessment, forestry, water, safety of dams, cultural property, pest management, resettlement, indigenous peoples, and international waterways
- all policy documents are publicly available from the Bank's Infoshop and should be available on their website
What:
Operational Policies (OPs) are short focussed statements of Bank policy derived from the Bank's Articles of Agreement, general conditions, and Board approved policies. OPs are binding on Bank staff and establish the parameters for conduct in Bank-financed operations. OPs also detail conditions or circumstances when exceptions to the policy are permitted. Bank Procedures (BP) provide parameters for implementing the policies. Good Practices (GP) give guidance to Bank staff but are not mandatory.
When:
Draft sector policy papers that are in process may be released before a Board Seminar5 by either Bank staff or by Executive Directors to interested individuals or groups for comment. However, the final draft policy paper submitted to Executive Directors for approval may not be released until after approval. The rules of procedure for meetings of Executive Directors prohibit documents that are sent to the Board for consideration from being publicly released prior to the meeting. All policies will be publicly available after they have been approved by the Board of Executive Directors.
Where:
Final policy documents are available from the Infoshop, and complete texts are posted on the Bank's website. For a complete set of all operational policies of the Bank, you should request the Operational Policy Manual.
G. Policy Framework Papers and other IMF documents
What:
Policy Framework papers (PFPs) are documents prepared jointly by the Bank, the International Monetary Fund (IMF) and the member country, that lay out the country's macroeconomic and structural adjustment policies and its external financing needs and sources.
When and Where:
If the government agrees, the PFPs can be made publicly available on the World Bank's website and the IMF website. The IMF website is much more comprehensive, so if you are searching for PFPs and other IMF-related policy documents, for example the IMF Letters of Intent and Memoranda of Economic and Financial Policies, visit their website at www.imf.org.
What You Don't Have Access to but Should: Useful but Confidential InformationWhile much of the Bank's information related to its operations and policies is currently publicly available, there remain key documents that are out of reach to citizens. These documents often contain useful information that would enable citizens to better understand the Bank's operations, and its overall development strategy and plans. The following is a list of documents that are currently not publicly available but which BIC has found to be of use to civil society organizations, researchers, and other Bank observers. This is by no means a definitive list: Country Assistance Review: The Bank's evaluation of its own lending performance in a country, prepared by its Operations Evaluation Department. The CAR, which evaluates the entire country portfolio over a given period, is prepared for the Board of Directors. Sometimes the CAR is publicly available through the Infoshop.Board minutes: The Board of Executive Directors makes decisions about every Bank loan, sets Bank policy, reviews the CAS and CARs, and initiates evaluations of Bank departments, policies and operations. They meet twice a week. Considering that the Board consists of public officials representing the governments and thus the taxpayers of the member countries, their deliberations should be transparent.
Draft Policy Papers: Operational Policies determine the Bank's rules, and thus have enormous influence on their operations and in turn, on the governments and people of its member countries. Most Operational Policies are written and approved entirely without public scrutiny. Unless pressured by NGOs to release for public comment or consultation, the draft policy papers of the Bank are not public documents.
Supervision (Back to Office) Reports: Each Bank loan requires supervision by the Project Team responsible for developing and ensuring the implementation of the loan. Supervision missions evaluate progress of an operation, determine course corrections, and report back to the Bank's management on the country's perf
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