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Operating Procedure - English

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Introduction:
Composition
Purpose
Functions
Participants
Administration

I. Subject Matter of Requests:
Scope
Limitations

II. Preparation of a Request:
A. Who Can File a Request
B. Contents of a Request
C. Form of a Request

Written
Format
Language
Representatives
Documents

D. Delivery of Request
E. Advice on Preparation

VI. Board Decision and Public Release
Notification
Public Information

VII. An Investigation
A. Initial Procedures
B. Methods of Investigation
C. Participation of Requester
D. Participation of Third Parties

Annexes
Annex 1: The Resolution
Annex 2: Guidance and Model Request Form
III. Procedures on Receipt of a Request:
A. Register
B. Request Additional Information
C. Outside Scope
D. Need for Review
E. Advice on Preparation

IV. Management's Response
Clarification


V. Panel Recommendation
A. Basis
B. Required Criteria

Criteria for Satisfactory Response
Preliminary Review

C. Contents
D. Submission



VIII. Panel Report
Contents
Submission

IX. Management's Recommendations


X. Board Decision and Public Release


XI. General
Business Days
Copies
Consultations
Access to Bank Staff and Information Legal Advice
Confidentiality
Information to Requester and Public


Introduction

The Inspection Panel (the "Panel") is an independent forum established by the Executive Directors of the International Bank for Reconstruction and Development ("IBRD") and the International Development Assocation ("IDA") by IBRD Resolution No. 93-10 and the identical IDA Resolution No. 93-6 both adopted by the Executive Directors of the respective institutions on September 22, 1993 (collectively the "Resolution"). The text of the Resolution is in Annex 1. References in these procedures to the "Bank" includes the IBRD and IDA.
The Panel's authority is dictated by the Resolution: within that framework, these Operating Procedures are adopted by the Panel to provide detail to the operational provisions. The text is based on the Resolution and takes into account suggestions from outside sources.


In view of the unprecedented nature of the new inspection function the current procedures are provisional: the Panel will review them within 12 months, and in light of experience and comments received, will revise thme if necessary and will recommend to the Bank's Executive Directors ("Executive Directors") amendments to the Resolution that would allow a more effective role for the Panel.

Compostion

The Panel consists of three Inspectors. At the outset one Inspector, the Chairperson, will work on a full-time basis: the other two will work part-time. This arrangement is provisional. The Panel's workload will be dicatated by the number and nature of requests received. If necessary, the Panel will recommend alternative arrangements to the Executive Directors.


Purpose

The Panel has established for the purpose of providing people directly and adversely affected by a Bank-financed project with an independent forum through which they can request the Bank to act in accordance with its own policies and procedures. It follows that this forum is available when adversely affected people believe the Bank itself has failed, or has failed to require others, to comply with its policies and procedures, and only after efforts have been made to ask Bank Managment ("Management") itself to deal with the problem.


Functions

The role of the Panel is to carry out independent investigations. Its function, which will be triggered when it receives a request for inspection, is to inquire and recommend: it will make a preliminary review of a request for inspection and the response of Management, independently assess the information and then recommend to the Board of Executive Directors whether or not the matters complained of should be investigated. If the Board decides that a request shall be investigated, the Panel will collect information and provide its findings, independent assessment and conclusions to the Board. On the basis of the Panel's findings and Management's recommendations, the Executive Directors will consider the actions, if any, to be taken by the Bank.


Participants

During the preliminary review period—up to the time the Panel makes a recommendation to the Board on whether or not the matter should be investigated—the Panel will accept statements or evidence from (a) the Requester, i.e. either the affected people and/or their duly appointed representative, or an Executive Director; (b) Management; and (c) any other individual or entity invited by the Panel to present information or comments.


During an investigation, any person who is either a party to the investigation or who is either a party to the investigation or who provides the designated Inspector(s) with satisfactory evidence that he/she has an interest, apart from any interest in common with the public, will be entitled to submit information or evidence relevant to the investigation.

Administration

The Panel has approved separate Administrative Procedures which are available from the Office of the Inspection Panel.


Please note that all headings are for ease of reference only. They do not form part of these procedures and do not constitute an interpretation thereof.


I. SUBJECT MATTER OF REQUESTS

Scope


1. The Panel is authorized to accept requests for inspection ("Request(s)") which claim that an actual or threatened material adverse effect on the affected party's rights or interests arises directly out of an action or omission of the Bank to follow its own operational policies and procedures during the design, appraisal and/or implementation of a Bank-financed project. Before submitting a Request steps must have already been taken (or efforts made) to bring the matter to the attention of Management with a result unsatisfactory to the Requester.


Limitations

2. The Panel is not authorized to deal with the following:


(a) complaints with respect to actions which are the responsibility of other parties, such as the borrower, or potential borrower, and which do not involve any action or omission on the part of the Bank;

(b) complaints against procurement decisions by Bank borrowers from suppliers of goods and services financed by the Bank under a loan/credit agreement, or from losing tenderers for the supply of any such goods and services, which will continue to be addressed by Bank staff under existing procedures;

(c) Requests filed after the Closing Date of the loan/credit financing the project with respect to which the Request is filed or when 95% or more of the loan/credits proceeds have been disbursed; or

(d) Requests related to a particular matter or matters over which the Panel has already made its recommendation after having received a prior Request, unless justified by new evidence or circumstances not known at the time of the prior Request.


II. PREPARATION OF A REQUEST


3. The Panel's operational proceeding begin when a Request is received. This section of the procedures is primarily designed to give further guidance to potential Requesters on what facts and explanations they should provide.



A. Who Can File A Request


4. The Panel has authority to receive Requests which complain of a violation of the Bank's policies and procedures from the following people or entities:

(a) any group of two or more people in the country where the Bank-financed project is located who believe that as a result of the Bank's violation their rights or interests have been, or are likely to be adversely affected in a direct and material way. They may be an organization, association, society or other grouping of individuals; or

(b) a duly appointed local representative acting on explicit instructions as the agent of adversely affected people; or

(c) in the exceptional case referred to in paragraph 11 below, a foreign representative acting as agent of adversely affected people; or

(d) an Executive Director of the Bank in special cases of serious alleged violations of the Bank's policies and procedures.


B. Contents of a Request

5. In accordance with the Resolution, Requests should contain the following information:

(a) a description of the project, stating all the relevant facts including the harm suffered by or threatened to the affected party;

(b) an explanation of how Bank policies, procedures or contractual documents were seriously violated;

(c) a description of how the act or omission on the part of the Bank has led or may lead to a violation of the specific provision;

(d) a description of how the party was, or is likely to be, materially and adversely affected by the Bank's act or omission and what rights or interests of the claimant were directly affected;

(e) a description of the steps taken by the affected party to resolve the violations with Bank staff, and explanation of why the Bank's response was inadequate;

(f) in Requests relating to matters previously submitted to the Panel, a statement specifying what new evidence or changed circumstances justify the Panel revisiting the issue; and

(g) if some of the information cannot be provided, an explanation should be included.


C. Form of Request


Written

6. All Request must be submitted in writing, dated and signed by the Requester and contain his/her name and contact address.


Format
7. No specific form is necessary: a letter will suffice. A Requester may wish to refer to the guidance and use the model form specifying required information. (Attached as Annex 2)

Language
8. The working language of the Panel is English. Requests submitted directly by affected people themselves may be in their local language if they are unable to obtain a translation. If requests are not in English, the time needed to translate and ensure an accurate and agreed translation may delay acceptance and consideration by the Panel.


Representatives
9. If the Requester is a directly affected person or entity representing affected people, written signed proof that the representative has authority to act on their behalf must be attached.


10. If the Request is submitted by a non-affected representative, he/she must provide evidence of representational authority and the names and contact address of the party must be provided. Proof of the original signed copy of the affected party's explicit instructions, must be attached.

11. In addition, in cases of non-local representation, the Panel will require clear evidence that there is no adequate or appropriate representation in the country where the project is located.

Documents
12. The following documents should be attached:


(a) all correspondence with Bank staff;

(b) notes of meetings with Bank staff;

(c) a map or diagram, if relevant, showing the location of the affected party or area affected by the project; and

(d) any other evidence supporting the complaint.

13. If all the information listed cannot be provided an explanation should be included.


D. Delivery of Request


14. Requests must be sent by registered or certified mail or delivered by hand in a sealed envelope against receipt to the Office of the Inspection Panel at 1818 H Street, N.W., Washington, D.C. 20433, U.S.A. or to the Bank's resident representative in the country where the project is located. In the latter case, the resident representative shall, after issuing a receipt to the Requester, forward the Request to the Panel through the next pouch.


E. Advice on Preparation



15. People or entities seeking advice on how to prepare and submit a Request may contact the Office of the Inspection Panel, which will provide information or may meet and discuss the requirements with potential requesters.

III. PROCEDURES ON RECEIPT OF A REQUEST

16. When the Panel receives a Request the Chairperson, on the basis of the information contained in the Request, shall either promptly register the Request, or ask for additional information, or find the Request outside the Panel's mandate.
A. Register



17. If the Request, appears to contains sufficient required information the Chairperson shall register the Request in the Panel Register; promptly notify the Requester, the Executive Directors and the Bank President ("President") of the registration; and transmit to the President a copy of the Request with the accompanying documentation, if any.

Contents of Notice

18. The notice of registration shall:


(a) record that the Request is registered and indicate the date of the registration and dispatch of that notice;

(b) the notice will include the name of the project, the country where the project is located, the name of the Requester unless anonymity is requested, and a brief description of the Request;

(c) notify the Requestor that all communications in connection with the Request will be sent to the address stated in the Request, unless another address is indicated to the Panel Secretariat; and

(d) request Management to provide the Panel, within 21 days after receipt of the notice and Request, with written evidence that it has complied, or intends to comply with the Bank's relevant policies and procedures. The notice shall specify the due date of the response.


B. Request Additional Information

19. If the Chairperson finds the contents of the Request or documentation on representation insufficient, he/she may ask the Requester to supply further information.
20. Upon a receipt of a Request, the Chairperson shall send a written acknowledgement to the Requester, and will specify what additional information is required.


21. The Chairperson may refuse to register a Request until all necessary information and documentation is filed.


C. Outside Scope


22. If the Chairperson finds that the matter is without doubt manifestly outside the Panel's mandate, he/she will notify the Requesters of his/her refusal to register the Request and of the reasons therefor; this will include but not limited to the following types of communications:

(a) Requests which are clearly outside the Panel's mandate including those listed above at paragraph 2;

(b) Requests which do not show the steps taken or effort made to resolve the matter with Management;

(c) Requests from an individual or from a non-authorized representative of an affected party;

(d) any correspondence, including but not limited to letters, memoranda, opinions, submissions or requests on any matter within the Panel's mandate which are not requests for an inspection; and

(e) Requests that are manifestly frivolous, absurd or anonymous.

Records

23. The number of such Requests and communications received shall be noted in the Register on a quarterly basis and the yearly total included in the Annual Report.



D. Need for Review


24. In cases where additional information is required, or where it is not clear whether a Request is manifestly outside the Panel's mandate, the Chairperson shall designate a Panel member to review the Request.


E. Revised Request



25. If the Requester receives significant new evidence or information at any time after the initial Request was submitted, he/she may consider whether or not it is serious enough to justify the submission of a revised Request.
26. If a revised Request is submitted, the time periods for Management's response and the Panel recommendation will begin again from the time such Request is registered.


IV. MANAGEMENT'S RESPONSE


27. Within 21 days after being notified of a Request, Management shall provide the Panel with evidence that it has complied, or intends to comply with the Bank's relevant policies and procedures. After the Panel receives Management's response, it shall promptly enter the date of receipt in the Panel Register.

28. If there is no response from Management within 21 days, the Panel shall notify the President and the Executive Directors and send a copy to the Requester.

Clarification

29. In order to make an informed recommendation, the Panel may request clarification from Management; in the light of Management's response, request more information from the Requester; and provide relevant portions of Management's response for comment. A time limit for receipt of the information requested shall be specified; and


(a) whether or not such clarification or information is received within the time limit, make its recommendation to the Executive Driectors within 21 days after receipt of Management's response; or

(b) in the event it is not possible for the Requester to provide the information quickly, the Panel may advise the Requester to submit an amended Request; the Executive Directors and Bank Management will be notified that the process will begin again when the amended Request is received.



V. PANEL RECOMMENDATION

30. Within 21 days after receiving Management's response, the Panel shall make a recommendation to the Executive Directors as to whether the matter should be investigated.


A. Basis

31. The Panel shall prepare its recommendation on the basis of the information contained in:

(a) the Request;

(b) Management's response;

(c) any further information the Panel may have requested and received from the Requester and/or Management and/or third parties; and

(d) any findings of the Panel during this stage.

B. Required Criteria


32. If, on the basis of the information contained in the Request, it has not already been established that the Request meets the following three conditions required by the Resolution, the Chairperson, in consultation with the other Panel members may, if necessary, designates a Panel member to conduct a preliminary review to determine whether the Request:

(a) was filed by an eligible party;

(b) is not time-barred; and

(c) relates to a matter falling within the Panel's mandate.

Criteria for Satisfactory Response

33. The Panel may proceed to recommend that there should not be an investigation, if, on the basis of the information contained in the Request and Management's response, the Panel is satisfied that Management has done the following:


(a) dealt appropriately with the subject matter of the Request; and

(b) demonstrated clearly that it has followed the required policies and procedures; or

(c) admitted that it has failed to follow the required policies and procedures but has provided a statement of specific remedial actions and a time-table for implementing them, which will, in the judgement of the Panel, adequately correct the failure and any adverse effects such failure has already caused.

Preliminary Review

34. If, on the basis of the information contained in Management's response and any clarifications provided, the Panel is satisfied that Management has failed to demonstrate that it has followed, or is taking adequate steps to follow the Bank's policies and procedures, the Panel will conduct a preliminary review in order to determine whether conditions required by provisions of the Resolution exist.


35. Although it may not investigate Management's actions in depth at this stage, it will determine whether Management's failure to comply with Bank policies and procedures meets the following three conditions:

(a) whether such failure has had, or threatens to have, a material adverse effect;

(b) whether, the alleged violation of the Bank's policies and procedures are, in the judgement of the Panel, of a serious character; and

(c) whether remedial actions proposed by Management do not appear to adequate to meet the concerns of the Requester as to the application of the Bank's policies and procedures.

Initial Study

36. If the Chairperson considers, after the preliminary review and consultation with the other Panel members, that more factual data not already provided by the Requester, Management or any other source is required to make an informed recommendation to the Executive Directors, he/she may designate a Panel member to undertake a preliminary study. The study may include, but need not be limited to, a desk study and/or a visit to the project site.

C. Contents

37. On the basis of the review, the Panel shall make its recommendation to the Board as to whether the matter should be investigated. Every recommendation shall include a clear explanation setting forth reasons for the recommendation and be accompanied by:


(a) the text of the Request and, where applicable, any other relevant information provided by the Requester;

(b) the text of Management's response and, where applicable, any clarifications provided;

(c) the text of any advice received from the Bank's Legal Department;

(d) any other relevant documents or information received; and

(e) statements of the majority and minority views in the absence of a consensus by the Panel.

D. Submission

38. The recommendation shall be circulated by the Executive Secretary of the Panel to the Executive Directors for decision. The Panel will notify the Requester that a recommendation has been sent to the Executive Directors.

VI. BOARD DECISION AND PUBLIC RELEASE


39. The Board decides whether or not to accept or reject the Panel's recommendation; and, if the Requester is a non-local representative, whether exceptional circumstances exist and suitable local representation is not available.

Notification

40. The Panel shall promptly inform the Requester of the Board's decision on whether or not to investigate the Request and shall send the Requester a copy of the Panel's recommendation.


Public Information

41. After the Executive Directors have considered a Request the Bank shall make such a Request publicly available together with the Panel's recommendation on whether to proceed with the inspection and the decision of the Executive Directors in this respect.

VII. AN INVESTIGATION

A. Initial Procedures

42. When a decision to investigate a Request is made by the Board, or the Board itself requests an investigation, the Chairperson shall promptly:


(a) designate one or more of the Panel's members (Inspector(s)) to take primary responsibility for the investigation;

(b) arrange for all Panel members to consult, taking into account the nature of the particular Request, on:

(i) the methods of investigation that at the outset appear the most appropriate;

(ii) an initial schedule for the conduct of the investigation;

(iii) when the Inspector(s) shall report his/her (their) findings to the Panel, including any interim findings; and

(iv) any additional procedures for the conduct of the investigation.

43. The designated Inspector(s) shall, as needed, arrange for a meeting with the Requester and schedule discussions with directly affected people.

44. The name of the Inspector(s) and in initial work plan shall be made public as soon as possible.


B. Methods of Investigation

45. The Panel may, taking into account the nature of the particular Request, use a variety of investigatory methods, including but not limited to:

(a) meetings with the Requester, affected people, Bank staff, government officials and project authorities of the country where the project is located, and representatives of local and international non-governmental organizations;

(b) holding public hearings in the project area;

(c) visiting project sites;

(d) requesting written or oral submissions on specific issues from the Requester, affected people, independent experts, government or project officials, Bank staff, or local or international non-governmental organizations;

(e) hiring independent consultants to research specific issues relating to the Request;

(f) researching Bank files; and

(g) any other reasonable methods the Inspector(s) consider appropriate to the specific investigation.

Consent Required

46. In accordance with the Resolution, physical inspection in the country where the project is located will be carried out with prior consent. The Chairperson shall request the Executive Director representing such country to provide written consent.

C. Participation of Requester


47. During the course of the investigation, in addition to any information requested by the Inspector(s), the Requester (and affected people if the Requester is a non-affected Representative or an Executive Director) or Bank staff may provide the Inspector(s) either directly or through the Executive Secretary with supplemental information that they believe is relevant to evaluating the Request.

48. The Inspector(s) may notify the Requester of any new material facts provided by Bank staff or by the Executive Director for, or authorities in, the country where the project is located.

49. To facilitate understanding of specific points, the Panel may discuss its preliminary findings of fact with the Requester.
D. Participation of Third Parties



50. During the course of the investigation, in addition to any information requested by the Inspector(s), any member of the public may provide the Inspector(s), either directly or through the Executive Secretary, with supplemental information that they believe is relevant to evaluating the Request.

51. Information should not exceed ten pages and include a one-page summary. Supporting documentation may be listed and attached. The Inspector(s) may request more details if necessary.

VIII. PANEL REPORT


Contents

52. The report of the Panel (the "Report") shall include the following:


(a) a summary discussion of the relevant facts and of steps taken to conduct the investigation;

(b) a conclusion showing the Panel's findings on whether the Bank has complied with relevant Bank policies and procedures;

(c) a list of supporting documents which will be available on request from the Office of The Inspection Panel; and

(d) statements of the majority and minority views in the absence of a consensus by the Panel.

Submission
53. Upon its completion, the Panel shall submit the Report to:


(a) the Executive Directors: accompanied by notification that the Report is being submitted to the President on the same date; and

(b) the President: accompanied by a notice against receipt that within 6 weeks of receipt of the Report, Management must submit to the Executive Directors for their consideration a report indicating Management's recommendations in response to the Panel's findings.

IX. MANAGEMENT'S RECOMMENDATIONS


54. Within 6 weeks after receiving the Panel's findings, Management will submit to the Executive Directors for their consideration a report indicating its recommendations in response to the Panel's findings. Upon receipt of a copy of the report, the Panel will notify the Requester.

X. BOARD DECISION AND PUBLIC RELEASE


55. Within 2 weeks after the Executive Directors consider the Panel's Report and the Management's response, the Bank shall inform the Requester of the results of the investigation and the action decided by the Executive Directors, if any.

56. After the Bank has informed the Requester, the Bank shall make publicly available:

(a) the Panel's Report;

(b) Management's recommendations; and

(c) the Board's decision.

These documents will also be available at the Office of The Inspection Panel.

57. The Panel will seek to enhance public awareness of the results of investigations through all available information sources.

XI. GENERAL


Business Days

58. "Days" under these procedures means days on which the Bank is open for business in Washington, D.C.


Copies

59. Consideration of Requests and other documents submitted throughout the process will be expedited if an original and two copies are filed. When any document contains extensive supporting documentation the Panel may ask for additional copies.


Consultations

60. The borrower and the Executive Director representing the borrowing (or guaranteeing) country shall be consulted on the subject matter before the Panel's recommendation and during an investigation.


Access to Bank Staff and Information

61. Pursuant to the Resolution and in discharge of their functions, the members of the Panel shall have access to all Bank staff who may contribute information and to all pertinent Bank records and shall consult as needed with the Director General, Operations Evaluation Department and the Internal Auditor.


Legal Advice
62. The Panel shall seek, through the Vice President and General Counsel of the Bank, the written advice of the Bank's Legal Department on matters related to the Bank's rights and obligations with respect to the Request under consideration. Any such advice will be included as an attachment to the Panel's recommendation and/or Report to the Executive Directors.


Confidentiality
63. Documents, or portions of documents of a confidential nature will not be released by the Panel without the express written consent of the party concerned.


Information to Requester and Public
64. The Executive Secretary shall record in the Register all actions taken in connection with the processing of the Request, the dates thereof, and the dates on which any document or notification under these procedures is received in or sent from the Office of The Inspection Panel. The Requester shall be informed promptly. The Register will be publicly available.


65. A notice that a Request has been registered and all other notices or documents issued by the Panel will be available to the public through the Bank's PIC in Washington, D.C.; at the Bank's Resident Mission in the country where the project is located or at the relevant regional office; at the Bank's Paris, London and Tokyo offices; or on request from the Executive Secretary of the Panel.


ANNEX 1

--------------------------------------------------------------------------------

September 22, 1993
INTERNATIONAL BANK FOR RECONSTRUCTION AND DEVELOPMENT
INTERNATIONAL DEVELOPMENT ASSOCIATION

Resolution No. 93-10
Resolution No. IDA 93-6
"The World Bank Inspection Panel"

The Executive Directors:
Hereby resolve:
1. There is established an independent Inspection Panel (hereinafter called the Panel), which shall have the powers and shall function as stated in this resolution.


Composition of the Panel
2. The Panel shall consist of three members of different nationalities from Bank member countries. The President, after consultation with the Executive Directors, shall nominate the members of the Panel to be appointed by the Executive Directors.


3. The first members of the Panel shall be appointed as follows: one for three years, one for four years and one for five years, provided that no member may serve for more than one term. The term of apointment of each member shall be subject to the continuity of the inspection function established by this Resolution.

4. Members of the Panel shall be selected on the basis of their ability to deal thoroughly and fairly with the requests brought to them, their integrity and their independence from the Bank's Management, and their exposure to developmental issues and to living conditions in developing countries. Knowledge and experience of the Bank's operations will also be desirable.

5. Executive Directors, Alternates, Advisors and staff members of the Bank Group may not serve on the Panel until two years have elapsed since the end of their service in the Bank Group. For purposes of this Resolution, the term "staff" shall mean all persons holding Bank Group appointments as defined in Staff Rule 4.01 including persons holding consultant and local consultant appointments.

6. A Panel member shall be disqualified from participation in the hearing and investigation of any request related to a matter in which he/she has a personal interest or had significant involvement in any capacity.

7. The Panel member initially appointed for five years shall be the first Chairperson of the Panel, and shall hold such office for one year. Thereafter, the members of the Panel shall elect a Chairperson for a period of one year.

8. Members of the Panel may be removed from office only by decision of the Executive Directors, for cause.

9. With the exception of the Chairperson who shall work on a full-time basis at Bank headquarters, members of the Panel shall be expected to work on a full-time basis only when their workload justifies such an arrangement, as will be decided by the Executive Directors on the recommendation of the Panel.

10. In the performance of their functions, members of the Panel shall be officials of the Bank enjoying the privileges and immunities accorded to Bank officials, and shall be subject to the requirements of the Bank's Articles of Agreement concerning their exclusive loyalty to the Bank and to the obligations of subparagraphs (c) and (d) of paragraph 3.1 and paragraph 3.2 of the Principles of Staff Employment concerning their conduct as officials of the Bank. Once they begin to work on a full-time basis, they shall receive remuneration at a level to be determined by the Executive Directors upon a recommendation of the President, plus normal benefits available to Bank fixed-term staff. Prior to that time, they shall be remunerated on a per diem basis and shall be reimbursed for their expenses on the same basis as the members of the Bank's Administrative Tribunal. Members of the Panel may not be employed by the Bank Group, following the end of their service on the Panel.

11. The President, after consultation with the Executive Directors, shall assign a staff member to the Panel as Executive Secretary, who need not act on a full-time basis until the workload so justifies. The Panel shall be given such budgetary resources as shall be sufficient to carry out its activities.

Powers of the Panel
12. The Panel shall receive requests for inspection presented to it by an affected party in the territory of the borrower which is not a single individual (i.e., a community of persons such as an organization, association, society or other grouping of individuals), or by the local representative of such party or by another representative in the exceptional cases where the party submitting the request contends that appropriate representation is not locally available and the Executive Directors so agree at the time they consider the request for inspection. Any such representative shall present to the Panel written evidence that he is acting as agent of the party on behalf of which the request is made. The affected party must demonstrate that its rights or interests have been or are likely to be directly affected by an action of omission of the Bank as a result of a failure of the Bank to follow its operational policies and procedures with respect to the design, appraisal and/or implementation of a project fi

nanced by the Bank (including situations where the Bank is alleged to have failed in its follow-up on the borrower's obligations under loan agreements with respect to such policies and procedures) provided in all cases that such failure has had, or threatens to have, a material adverse effect. In view of the institutional responsibilities of Executive Directors in the observance by the Bank of its operational policies and procedures, an Executive Directors in the observance by the Bank of its operational policies and procedures, and Executive Director may in special cases of serious alleged violations of such policies and procedures ask the Panel for an investigation, subject to the requirements of paragraphs 13 and 14 below. The Executive Directors, acting as a Board, may at any time instruct the Panel to conduct an investigation. For purposes of this Resolution, "operational policies and procedures" consist of the Bank's Procedures and Operational Directives, and similar documents issued before these
series were started, and does not include Guidelines and Best Practices and similar documents or statements.

13. The Panel shall satisfy itself before a request for inspection is heard that the subject matter of the request has been dealt with by the Management of the Bank and Management has failed to demonstrate that it has followed, or is taking adequate steps to follow the Bank's policies and procedures is of a serious character.

14. In considering requests under paragraph 12 above, the following requests shall not be heard by the Panel:

(a) Complaints with respect to action which are the responsibility of other parties, such as a borrower, or potential borrower, and which do not involve any action or omission on the part of the Bank.

(b) Complaints against procurement decisions by Bank borrowers from suppliers of goods and services financed or expected to be financed by the Bank under a loan agreement, or from losing tenderers for the supply of any such goods and services, which will continue to be addressed by staff under existing procedures.

(c) Requests filed after the Closing Date of the loan financing the project with respect to which the request is filed or after the loan financing the project has been substantially disbursed.1

(d) Requests related to a particular matter or matters over which the Panel has already made its recommendation upon having received a prior request, unless justified by new evidence or circumstances not known at the time of the prior request.

15. The Panel shall seek advice of the Bank's Legal Department on matters related to the Bank's rights and obligations with respect to the request under consideration.

Procedures
16. Requests for inspection shall be in writing and shall state all relevant facts, including, in the case of a request by an affected party, the harm suffered by or threatened to such party or parties by the alleged action or omission of the Bank. All requests shall explain the steps already taken to deal with the issue, as well as the nature of the alleged actions or omissions and shall specify the actions taken to bring the issue to the attention of the Management, and Management's response to such action.


17. The Chairperson of the Panel shall inform the Executive Directors and the President of the Bank promptly upon receiving a request for inspection.

18. Within 21 days of being notified of a request for inspection, the Management of the Bank shall provide the Panel with evidence that it has complied, or intends to comply with the Bank's relevant policies and procedures.

19. Within 21 days of receiving the response of the Management as provided in the preceding paragraph, the Panel shall determine whether the request meets the eligibility criteria set out in paragraphs 12 to 14 above and shall make a recommendation to the Executive Directors as to whether the matter should be investigated. The recommendation of the Panel shall be circulated to the Executive Directors for decision within the normal distribution period. In case the request was initiated by an affected party, such party shall be informed of the decision of the Executive Directors within two weeks of the date of such decision.

20. If a decision is made by the Executive Directors to investigate the request, the Chairperson of the Panel shall designate one or more of the Panel's members (Inspectors) who shall have primary responsibility for conducting the inspection. The Inspector(s) shall report his/her (their) findings to the Panel within a period to be determined by the Panel taking into account the nature of each request.

21. In the discharge of their functions, the members of the Panel shall have access to all staff who may contribute information and to all pertinent Bank records and shall consult as needed with the Director General, Operations Evaluation Department and the Internal Auditor. The borrower and the Executive Director representing the borrowing (or guaranteeing) country shall be consulted on the subject matter both before the Panel's recommendation on whether to proceed with the investigation and during the investigation. Inspection in the territory of such country shall be carried out with its prior consent.

22. The Panel shall submit its report to the Executive Directors and the President. The report of the Panel shall consider all relevant facts, and shall conclude with the Panel's findings on whether the Bank has complied with all relevant Bank policies and procedures.

23. Within six weeks from receiving the Panel's findings, Management will submit to the Executive Directors for their consideration a report indicating its recommendations in response to such findings. The findings of the Panel and the actions completed during project preparation also will be discussed in the Staff Appraisal Report when the project is submitted to the Executive Directors for financing. In all cases of a request made by an affected party, the Bank shall, within two weeks of the Executive Directors' consideration of the matter, inform such party of the results of the investigation and the action taken in its respect, if any.

Decisions of the Panel
24. All decisions of the Panel on procedural matters, its recommendations to the Executive Directors on whether to proceed with the investigation of a request, and its reports pursuant to paragraph 22, shall be reached by consensus and, in the absence of a consensus, the majority and minority views shall be stated.


Reports
25. After the Executive Directors have considered a request for an inspection as set out in paragraph 19, the Bank shall make such request publicly available together with the recommendation of the Panel on whether to proceed with the inspection and the decision of the Executive Directors in this respect. The Bank shall make publicly available the report submitted by the Panel pursuant to paragraph 22 and the Bank's response thereon within two weeks after consideration by the Executive Directors of the report.


26. In addition to the material referred to in paragraph 25, the Panel shall furnish an annual report to the President and the Executive Directors concerning its activities. The annual report shall be published by the Bank.

Review
27. The Executive Directors shall review the experience of the inspection function established by this Resolution after two years from the date of the appointment of the first members of the Panel.


Application to IDA projects
28. In this resolution, references to the Bank and to loans include references to the Association and to development credits.


__________

1. This will be deemed to be the case when at least ninety-five percent of the loan proceeds have been disbursed.



ANNEX 2

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GUIDANCE ON HOW TO PREPARE A REQUEST FOR INSPECTION
The Inspection Panel needs some basic information in order to process a Request for Inspection:


1. Name, contact address and telephone number of the group or people making the request.

2. Name and description of the Bank project.

3. Adverse effects of the Bank project.

4. If you are a representative of affected people attach explicit written instructions from them authorizing you to act on their behalf.


These key questions must be answered:

1. Can you elaborate on the nature and importance of the damage caused by the project to you or those you represent?


2. Do you know that the Bank is responsible for the aspects of the project that has or may affect you adversely? How did you determine this?

3. Are you familiar with Bank policies and procedures that apply to this type of project? How do you believe the Bank may have violated them?

4. Have you contacted or attempted to contact Bank staff about the project? Please provide information about all contacts, and the responses, if any, you received from the Bank. You must have done this before you can file a request.

5. Have you tried to resolve your problem through any other means?

6. If you know that the Panel has dealt with this matter before, do you have new facts or evidence to submit?



Please provide a summary of the information in no more than a few pages. Attach as much other information as you think necessary as separate documents. Please note and identify attachments in your summary.


You may wish to use the attached model form.


MODEL FORM:
REQUEST FOR INSPECTION
TO: THE INSPECTION PANEL: 1818 H St., N.W., Washington, D.C. 20433, U.S.A.


We,__________________________________________________, and __________________________, and other persons whose names and addresses attached live/represent others living in the area known as: ___________________________________ [and shown in the attached map or diagram] claim the following:





1. The Bank is financing the design/appraisal or implementation of a project [name and brief description]





2. We understand that the Bank has the following policies and/or procedures [list or describe]:





3. Our rights/interests are [describe]:





4. The Bank has violated its own policies/procedures in this way:





5. We believe our rights/interests have been/are likely to be adversely affected as a direct result of the Bank's violation. This is, or is likely to cause us to suffer [describe harm]:




6. We believe the action/omission is the responsibility of the Bank.





7. We have complained/made an effort to complain to Bank staff by [describe]:




Please attach evidence or explanation.
8. We received no response; or
We believe that the response(s) attached is unsatisfactory because: [describe why]:




9. In addition we have taken the following steps to resolve our problem:



We therefore believe that the above actions/omissions which are contrary to the above policies or procedures have materially and adversely affected our rights/interests and request the Panel to recommend to the Bank's Executive Directors that an investigation of these matters be carried out in order to resolve the problem.

As advised in your Operating Procedures, this Request for Inspection is brief. We can provide you with more particulars.

DATE:______________________________________________________
SIGNATURES:_______________________________________________
CONTACT ADDRESS: ________________________________________
___________________________________________________________
___________________________________________________________


Attachments: [Yes][No]

We authorize you to make this Request public [Yes][No]





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