andria naudé fourie world bank accountability in theory and in practice World Bank Accountability – in Theory and in Practice World Bank Accountabilit y – in Theory and in Practice A n d r i a Nau d é Fo u r i e Published, sold and distributed by Eleven International Publishing P.O Box 85576 2508 CG The Hague The Netherlands Tel.: +31 70 33 070 33 Fax: +31 70 33 070 30 e-mail: sales@elevenpub.nl www.elevenpub.com Sold and distributed in USA and Canada International Specialized Book Services 920 NE 58th Avenue, Suite 300 Portland, OR 97213-3786, USA Tel.: 1-800-944-6190 (toll-free) Fax: +1 503 280-8832 orders@isbs.com www.isbs.com Eleven International Publishing is an imprint of Boom uitgevers Den Haag ISBN 978-94-6236-599-5 ISBN 978-94-6274-371-7 (E-book) © 2016 Andria Naudé Fourie | Eleven International Publishing Cover picture: © Curt Carnemark / World Bank, 'Group reading and writing, India', IN005S05 This publication is protected by international copyright law All rights reserved No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the publisher Printed in The Netherlands To Mynie Barwise, for teaching me about literature and life Acknowledgements To my colleagues at the Erasmus School of Law, Erasmus University Rotterdam, our intellectual interaction over the past decade has expanded my world of ideas beyond anything I would ever have imagined possible, while the friendship I’ve experienced while being in the austere corridors and overflowing offices of the L-building has filled me with lightness and a deep sense of grace My sincerest gratitude to all of you It almost feels wrong to single out a few individuals, but I would also be remiss if I were not to specifically thank Prof Dr Ellen Hey (we can walk, cook, drink wine, appreciate art, music and nature – while also ‘solving’ many of the world’s problems, and unearthing a few more in the process), Dr Aleksandar Momirov (being able to quote extensively from The West Wing should surely qualify as some academic credential), as well as Prof Dr Sanne Taekema and Prof Dr Elaine Mak for helping me to shape the ideas contained in this book Another person that has helped me to shape my ideas – almost entirely through our virtual collaborations – is Prof Dr Daniel Bradlow A heartfelt word of thanks – both to him, and to whomever can truly claim to have created the Internet As always, however, the errors and shortcomings are my doing Thank you, also, to the previous two Deans of the Erasmus School of Law – Prof Dr Maarten Kroeze and Prof Dr Susan Stoter – for agreeing to a virtual employment arrangement that (and I feel I can safely generalize here) few academic administrators would even have considered De wereld is mijn (t)huis – indeed The research presented in this book would not have seen the light of day without a dedicated team who have worked with me – most of the time, virtually, and in different time zones – over a number of years Thank you Paulo da Rosa, Jamaal Mohuddy and Emelie Norling And to Emelie in particular: thank you for supporting me every step of the way and for teaching me that, if all else fails, there are always yoga and tea To Selma Hoedt and her team at Eleven Publishing/Boom Juridische Uitgevers – thank you, in particular, for your immense patience A few deadlines went swoooosh as they flew by while you pretended, politely, not to have heard the noise Women continue to fret about whether they can have (or want) ‘it all’; and while I still not know what the ‘it’ or the ‘all’ supposedly entails, I am certain that I would not have been able to ‘anything’ – including writing this book – without the help of a growing tribe of truly special women who are helping me to raise my daughters: Wilma, Mirelle, Shani, Mindy, Sam, Rhodora, Alejandra, Ann and Darcie – thank you, for ‘everything.’ And to Cecile and Amelie, thank you for accepting that this is an important part of who I am I doubt whether you and the women of your generation will figure ‘it all’ out vii Acknowledgements either, but I hope that you will always remember that whatever ‘it all’ may be for you is entirely up to you To Jac, finally, thank you for reformatting my footnotes Fine; thank you for reformatting it three times Thank you for tolerating my absences and my absentmindedness But above all, thank you for thinking with me – about thinking and about doing viii Table of Contents Table of figures xv Introduction 1.1 1.2 1.2.1 1.3 2.1 2.2 2.3 Towards a Comprehensive Shared Understanding on World Bank Accountability – in Theory and Practice Aim and central arguments Scope and approach Inspection Panel practice as a window onto World Bank developmentlending operations How this book is organized Conceptual Models Facilitating Interdisciplinary Inquiry and Discourse World Bank development-lending operations as situated in the transnational development context World Bank accountability conceived as an interdisciplinary, multidimensional and interdependent concept Interactional normative processes, embedded in a resilient and adaptable community of interest 10 13 15 16 24 31 Part I Conceptualizing World Bank Accountability 3.1 3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.2 ‘To Whom’ Should the World Bank be Accountable? ‘Power Wielders’ and ‘Accountability Holders’ Prominent actors involved in World Bank development-lending operations World Bank governance structure, management and staff World Bank clients – borrowers, guarantors, project sponsors and project implementing agencies Co-financiers and their citizen-driven IAMs Civil society organizations (‘local’ and ‘international’ NGOs) Project-affected people (beneficiaries, adversely affected people and ‘Inspection Panel Requesters’) World Bank accountability to internal and external accountability holders ix 47 47 48 58 62 66 71 75 World Bank Accountability – in Theory and in Practice Papua New Guinea: Governance Promotion (2001) Papua New Guinea: Smallholder Agriculture (2009) Paraguay/Argentina: Yacyretá Hydroelectric Project (2002) Peru: Lima Urban Transport (2009) South Africa: Eskom Investment Support (2010) Tanzania: Emergency Power (1995) Uganda: Power Projects (2001) Uganda: Power Projects (2007) Uzbekistan: Energy Loss Reduction (2010) 624 Index A Aarhus Convention – Compliance Committee, 65, 154, 155 Accountability – as interdisciplinary, multidimensional and interdependent concept, 31 – constituency groups, – external (stakeholder model), 77, 79, 87 See also Accountability, model – internal (shareholder model), 77, 87 See also Accountability, model – primacy of constituency, 82, 87 – deficit, 76, 79, 579 – definition of, 76 – dimensions of, 30 – for harm, 114 – for performance, 114 – holders, 29, 30, 81, 168 – mechanisms – independent accountability mechanism See Independent accountability mechanism (IAM) – internal accountability mechanisms, World Bank, 168 – model – bottom-up, 77, 241-243 – cosmopolitan, 167 – horizontal, 77, 82, 241 – internationalist, 80, 167 – standard, 30 – surrogate, 30, 31, 168 – top-down, 75 – vertical, 75, 81, 82, 241 – outcomes, 30 – realization, implementation of, 184, 262 – power wielders (dominant decisionmakers), 29, 30, 36, 47, 75, 78, 81, 168, 207, 576, 578 – public, 26 Adler, E., 40 African Development Bank (AfDB) – Independent Review Mechanism, 65 Albania – Albanian Institute of Archaeology, 148 – Institute of Cultural Monuments, 148 – Integrated Coastal Zone Management Project, 175, 180-182, 223, 233, 245, 283, 357, 404, 545, 549 – Power Sector Project, 65, 148, 154, 308, 359, 364, 382, 392, 508, 512, 522 – Southern Coastal Development Plan (SCDP), 180, 283, 403, 404 Alvarez, J., 42, 139, 143, 153 Anthony, G., 24, 80 Argentina – (Paraguay) Yacyretá Hydroelectric Project, 60, 123, 199, 272, 288, 300, 315, 349, 386, 416, 420, 422, 430, 432, 442, 532, 542, 549, 560, 563 – Entidad Binacional Yacyretá (EBY), 123, 271, 300, 386, 415, 419, 421, 422, 441, 442, 562 – Santa Fe Road Infrastructure Project, 73, 225, 305, 306, 363, 385, 533, 555 Asian Development Bank (ADB), 62-64, 139, 163 Ayensu, E., 242, 243 625 World_Bank_Accountability_Index.indd 625 11-5-2016 14:06:25 Index B Baimu, E., 85, 154, 166, 204, 218, 252 Balance, between technical/commercial versus non-technical/non-commercial components, of development projects, 324 See also World Bank, institutional equilibrium, achieving diverse interests within project area – expenditure, 319 – financing structure, 319 – implementation progress, 319 – project design, 314 – project modality, 314 – project organization, 314 – supervision activities, 319 – trade-off decisions, 324 – transparency about project prioritization, 324 See also Transparency Bangladesh – Jamuna Bridge Project, 379 – Jute Sector Project, 179, 385, 546 BenGaz o Benin, 60, 290 Best practice, 162 Bissell, R.E., 78, 188, 223, 224, 240 Boisson De Chazournes, L., 11, 117, 124, 125, 134, 139, 142, 145, 162, 163, 175, 189, 245, 251-253, 301, 395, 399, 446, 564, 577 Borrowers, 51, 62, 155 See also World Bank, member states – (division of) policy obligations, World Bank and, 119, 155 – borrower states, – international legal obligations of, 155 – capacity constraints, 290, 301 – institutional capacity, strengthening of, 298 – of project implementing agencies 293 – risk management, 290 – risk mitigation, 301 – constitutional system, 151 – interfaces with, 285 – policy obligations – disagreement, misunderstanding, or ambiguity in, 272 – remedial actions, 222 – state sovereignty, 60, 61, 95, 123, 156, 219, 272, 273, 301, 484, 565, 582 See also World Bank, political neutrality Bottelier, P., 255 Bradlow, D.D., vii, 8, 52, 53, 76, 77, 79, 91, 97, 132, 140, 143, 156, 157, 194, 205, 228, 231, 237, 238 Brazil, 5, 54, 61 – Itaparica Resettlement and Irrigation Project, 304, 432, 495, 554 – Paraná Biodiversity Project, 73, 215 – Rondônia Natural Resources Management Project, 182, 287, 496, 547 Brett, E.A., 86, 395 Bretton Woods era, 54 Brown Weiss, E., 27, 113, 214, 215, 232, 248, 249, 254, 255, 259-261 Brunnée, J., 33-35, 39-41 C Cambodia – Forest Concession Management Project, 59, 151, 232, 300, 312, 334, 381, 389, 441, 470, 475, 492, 500, 538, 540 – Forestry Administration (FA), 59 – Land Administration, Management and Distribution Program (LAMDP), 63, 280 – Land Management and Administration Project (LMAP), 62, 63, 149, 270, 283, 310, 337, 338, 359, 428, 530, 539, 552, 557 626 World_Bank_Accountability_Index.indd 626 11-5-2016 14:06:25 Index – Strategic Forest Management Plan (SFMP), 300, 500, 540 Cameroon – Cameroon Oil Transportation Company, S.A (COTCO), 226, 294, 295, 371, 425, 468, 496 – La Fondation pour l’Environnement et le Développement au Cameroun (FEDEC), 294, 295, 299, 467 – Petroleum Development and Pipeline Project, 225, 231, 295, 299, 372, 425, 469, 497, 505, 508, 553 – Petroleum Sector Capacity Management Project, 506 – Pipeline Steering and Monitoring Committee (CPSP), 294 Canadian International Development Agency (CIDA), 63 Chad – Comité Technique National de Suivi et de Contrôle (CTNSC), 316 – Fonds d’Actions Concertées d’Initiative Locale (FACIL), 316 – Petroleum Development and Pipeline Project, 161, 242, 296, 316, 387, 431, 507 – Petroleum Environment Capacity Enhancement Project, 293, 294, 299 Chevron, 60, 290 Chile – Quilleco Hydropower Project, 64, 509 China, 5, 54 – China Development Bank (CDB), 139 – China Export-Import (ExIm) Bank, 139 – Chinese Executive Board member, 67 – Western Poverty Reduction (Qinghai) Project, 67, 112, 138, 196, 197, 199, 201, 204, 219, 255, 256, 258, 339, 387, 401, 411, 431, 447, 454, 458, 476, 489, 498, 513, 520 Chinkin, C., 35 Cities Alliance, 63 Civil society actors, 79, 111 See also Nongovernmental organizations Civil society organizations (CSOs), 17, 63, 71, 83, 84 See also Non-governmental organizations Clark, D., 240, 247 Co-financiers, 66 Colombia – Aguas de Barcelona S.A (AGBAR), 62 – Aguas de Cartagena, S.A E.S.P (ACUACAR), 62 – Cartagena Water & Environmental Management Project, 62, 148, 288, 322, 348, 366, 371, 382, 395, 451, 516, 517 Community of practice – normative, 582 – resilience and adaptability of, strengthening the, 588 Complex societal issues, 574 See also Wicked problems Consultation, with project-affected people, 381, 392 See also Participation; Rio Declaration Principles – content of, 386 – context of, 389 – format of, 386 – frequency of, 381 – participants of, 392 – timing of, 381 Continuum of legality, 33, 146 Cosmopolitanism, 80 Country Environmental Assessments (CEAs), 332 Credibility, 170, 206, 218, 219, 235, 246, 259, 495 See also Legitimacy Credit/loan agreement, 147 627 World_Bank_Accountability_Index.indd 627 11-5-2016 14:06:25 Index – enforcement of, 552 See also Project supervision Curtin, D., 100 D Dahl, R., 123 De Wet, E., 79, 81, 167, 210, 246 Decentralization, 55 Democratic Republic of Congo (DRC) – Private Sector Development Project, 191 – Transitional Support for Economic Recovery Project, 232, 298, 319, 333, 374, 379, 452, 454, 474, 480, 492 Deutsche Gesellschaft für Technische Zusammenarbeit GmbH (GTZ), 63 Di Leva, C.E., 144, 145, 329, 471, 525 Discretion (World Bank) – management, 198 – margins of, broader versus narrower, 200 – professional judgment, 198 Disputed lands, 280 Donors, 51 Dowdle, M.W., 26 Drainage Sector Environmental Assessment (DSEA), 374, 509, 523, 524 Dual and mutually constitutive social structure, 574 Due diligence standards, 117, 119, 121, 123, 127, 134, 201, 288, 291, 545 Dynamic complexity, 7, 17, 19, 207, 326, 569, 573, 578 E Ebrahim, A., 166 Ecuador – Mining Development Project, 356, 380, 502 Environmental and Social Advisory Panel (ESAP), 500 Environmental and Social Assessment (ESA), 341 See also Environmental assessment (EA) Environmental and Social Impact Assessment (ESIA), 380, 406, 407, 500, 540 See also Environmental assessment (EA) Environmental assessment (EA), 121, 151, 526 – (World Bank) policy on, 147, 336 – content and scope, 336 – cumulative impact assessment, 510 – design alternatives, consideration of, 524 – environmental and social baseline data collection, 501 – environmental screening, 494 See also Risk categorization – process, 515 – socio-temporal scope, 510 – substantive content, 515 Environmental Impact Assessment (EIA), 290, 342, 359, 364, 367, 378, 379, 383, 490, 502, 503, 508, 512 See also Environmental assessment (EA) Environmental Management Plan (EMP), 268, 363, 468 See also Environmental assessment (EA) Epistemic communities, 40 European Bank for Reconstruction and Development (EBRD), 63, 64, 92, 163 – Project Complaints Mechanism (PCM), 65 European Investment Bank (EIB), 139 F Failure Model and Effects Analysis (FMEA), 12 Financial Times, 104 628 World_Bank_Accountability_Index.indd 628 11-5-2016 14:06:25 Index Finnish International Development Agency, 62 Food and Agriculture Organization (FAO), 59 – Code of Conduct on the Distribution and Use of Pesticides, 160 Formalism See Formalist paradigm Formalist paradigm, 38 Fox, J., 26 Frank, T.M., 39 Freestone, D., 12, 13, 134, 138, 139, 141, 163, 171, 182, 241 Fuller, L., 32-34, 146, 576 G Ghana – (Nigeria) West African Gas Pipeline Project, 60, 72, 269, 279, 291, 316, 363, 367, 383, 389, 409, 414, 419, 423, 436, 439, 501, 510, 521, 531, 535, 555 – Second Urban Environment Sanitation Project, 149, 231, 233, 341, 348, 369, 378, 387, 494, 514, 523, 533, 540, 553, 565 – Volta River Authority (VRA), 60, 290 – West African Gas Pipeline Company Limited (WAPCo), 60, 278, 279, 290, 363, 383, 407, 419, 423, 534, 555 Global Initiative for Economic, Social and Cultural Rights, 67 Governance – global, 16, 21, 80, 240 – global regulatory, 16, 82 – GRG regimes, 23 – post-national, 16 – structure of, 77 – strengthening, 229 – transnational development context, 13, 24 – transnational regulatory, 16, 24 – characteristics of, • dynamic complexity, 17 • pluralism, 17, 23 – conventional systems of characterization, 18 – functional shifts, 18 Government of France, 62 Group of Seven (G7), 53 Guarantors, 58 H Hale, T.N., 18, 68, 245, 250, 259 Handl, G., 91, 92 Hansungule, M., 74, 84, 85, 125, 191, 192, 240 Harm, 10, 74, 111, 214, 242, 282 See also Social, economic and environmental risks See also Accountability for harm; Material adverse effect Held, D., 18 Henkin, L., 12 Higgins, R., 39 Honduras – Land Administration Project, 115, 146, 152, 275, 392, 467, 475, 481-483 – Mesa Regional, 273, 467, 480, 482 – Organización de Desarrollo Étnico Comunitario (ODECO), 482, 483 – Organización Fraternal Negra Hondoras (OFRANEH), 274, 480, 482, 483 – Property Law, 466, 475 – Sambo Creek document, 481, 482 Human rights, 57, 94, 145, 146, 155, 158, 168, 239 Hunter, D.B., 68, 76, 77, 79, 140, 143, 238 I Independent accountability mechanism (IAM), 10, 65, 238, 240 See also Accountability mechanism 629 World_Bank_Accountability_Index.indd 629 11-5-2016 14:06:25 Index – categorization of, 168 – citizen-driven, 10, 41, 66, 79, 168, 191, 250, 588 Independent Accountability Mechanisms Network, 42, 65, 185, 222, 226, 577 India, 5, 54, 61 – Bombay Municipal Corporation (BMC), 426 – Coal Sector Project, 370, 373, 382, 391, 420, 425, 430, 434, 466, 536 – Ecodevelopment Project, 269, 310, 377, 390, 403, 459, 498 – Jogeshwari-Vikhroli Link Road (JVLR), 366 – Mumbai Metropolitan Region Development Authority (MMRDA), 292, 293, 366, 426, 439, 440, 537 – Mumbai Urban Transport Project, 232, 243, 293, 322, 352, 358, 364, 367, 373, 380, 382, 414, 428, 435, 440, 529, 537, 542, 549, 558 – Northern Coalfields Ltd (NCL), 518 – NTPC Power Project, 186, 289, 321, 416, 519, 535, 549, 561 – Santacruz-Chembur Link Road (SCLR), 357, 366 – Sarovar (Narmada) Project, 83 – Slum Rehabilitation Society (SRS), 412 See also Non-governmental organizations – Society for Promotion of Area Resources Centers (SPARC), 412, 439 See also Non-governmental organizations – TISS (Tata Institute of Social Sciences) Report, 435 – Uttaranchal Watershed Development Project, 73 Indigenous (Peoples) Development Plan (IPP/IPDP), 219, 273, 295, 451, 453, 481 – content of, 470 – scope of, 470 – stand-alone, 463 Indigenous peoples, 486 – (World Bank) policy on, 445 – Afro-Colombian people (AfroColombians), 451 – Bakola/Bagyeli people/communities, 468 – consultation with, 483 – broad community support, 475 – free, prior, informed consultation, 475 – in ethnically complex communities, 483 – definition of, 454 – ethnic groups, ethnic minorities, 483 – Garífuna people, 475, 481 – identification of, 454 – Naso peoples, 459 – Ngäbe peoples (Ngäbe), 460 – Pygmy peoples (Pygmies), 452, 454, 474, 479 – rights and interests, protecting, 470 Information disclosure, 375 – (World Bank) policy on access to information, 99 See also Rio Declaration Principles – activities, context of, 375 – frequency of, 364 – Infoshop, 365, 374, 375 See also Project Information Centres (PIC) – project-information material, format and content of, 372 – timing of, 364 Inspection Panel (Panel), 4, 8, 9, 30, 41, 54, 64, 68, 78, 108, 111, 113, 114, 118, 119, 129, 213, 581 See also Independent accountability mechanism (IAM) – accountability outcomes, contribution to realization of, 239 630 World_Bank_Accountability_Index.indd 630 11-5-2016 14:06:25 Index – as info-courts, 250 – chair, chairperson, 214, 260 – contribution, real value of, 260 – effectiveness of, – eligibility criteria, – causal link (between harm and noncompliance), 181 – establishment of, 10, 85, 102, 227 – functions, – compliance review/assessment, 183185, 227, 248, 250 – fact-finding, 183-185, 227, 248, 250 – formal, 186 – informal, 186 – institutional learning, 184, 185, 235 – institutional performance, strengthening, 235 – monitoring, 184, 185 – policy advice, 184, 235 – problem-solving, 184, 222 – institutional independence, 175 – institutional scope, 183 – mandate, 216, 224, 240, 242, 245, 246, 251 – complementary nature of, 183 – nature of (quasi-judicial/non-judicial), 192, 237, 250 – Operating Procedures, 194, 217, 221, 224, 244 – practice, 13 – Requesters, 75 – Resolution, 60, 66, 152, 183, 186, 193, 198, 205, 217, 221, 242, 247, 253, 344, 548 – role of, 245 Instrumentalism See Instrumentalist paradigm Instrumentalist paradigm, 38 Inter-American Development Bank (IDB), 163 Interdisciplinary/interdisciplinarity, 1543 Interdisciplinary learning, 15 International Bank for Reconstruction and Development (IBRD), 48-50, 58, 60, 62, 64, 90, 103, 105, 176, 184, 243, 589 See also World Bank International Covenant on Economic, Social, and Cultural Rights (ICESCR), 152 International Development Association (IDA), 48-50, 58, 60, 84, 90, 103, 122, 141, 176, 178, 179, 184, 243, 268, 324, 347, 368, 378, 421, 555, 589 See also World Bank International Financial Corporation (IFC), 64, 368 See also World Bank International financial institutions (IFIs), 4, 5, 8, 53, 61, 62, 68, 71, 76, 79, 81, 91, 92, 97, 140, 143, 144, 155, 156, 157, 185, 222, 237, 238, 263, 525, 577, 582 See also Multilateral development banks International Labour Organization (ILO), 144, 146, 152, 154 International Law Association (ILA), 2527, 211 International Monetary Fund (IMF), 51, 54, 77, 82, 123, 124 See also International financial institutions Involuntary Resettlement, 518 – (World Bank) policy on, 198, 213, 284, 399 – compensation, for project-affected people, 416 – cash compensation, 418 – cash versus in-kind replacement, 418 – land-for-land, 419 – loss of assets, 416 – loss, defining and differentiating, 416 631 World_Bank_Accountability_Index.indd 631 11-5-2016 14:06:25 Index – property replacement values, calculation of, 414 – definition of, 400 – move-in communities, 429 – move-out communities, 429 – project-affected communities, surveying of, 345, 404 – project-level grievance mechanisms, 438 – rehabilitation and resettlement (R&R), 292, 314, 321-324, 350, 416, 435, 535 – resettlement facilities, housing and sites, 425 – restoration of income, livelihood, 432 Islamic Development Bank, 64 J Japan International Cooperation Agency (JICA), 63 Josselin, D., 69 K Kamminga, M.T., 70 Kazakhstan – South-West Roads Project, 63, 438 Kenya – Lake Victoria Environmental Management Project, 271, 384, 499, 514, 536 Keohane, R.O., 30, 211, 259 Kingsbury, B., 20-23, 26, 66, 144, 189, 236, 237, 251, 445, 446, 584, 586 Klabbers, J., 18 Koskenniemi, M., 37, 39 Kreditanstalt fur Wiederaufbau, 62 Krisch, N., 23, 24, 76, 79, 82, 86, 576, 583 L Lebanon – Greater Beirut Water Supply Project, 229, 344 Legitimacy, 24 See also Credibility Lesotho – (South Africa) Highlands Water Project, 60, 188, 375, 384, 391 Liberia – Development Forestry Project, 74, 335, 491 M Mallaby, S., 69, 108, 256 Mansilla, B., 15 Material adverse effect, 247 See also Harm Maystadt, P., 139 McCloy, J., 55 Meyer, E., 55 Miller-Adams, M., 54, 56-58, 61, 62, 71, 86, 93, 94, 98, 100, 104, 105, 126, 235, 325, 326, 375, 393, 394 Morrison, J., 24, 80, 159 Mozambique, 61 Mulgan, R., 24 Multilateral development banks (MDBs), 5, 6, 10, 41, 42, 65, 91-93, 95, 157, 223, 224, 239 See also International financial institutions Multilateral Investment Guarantee Agency (MIGA), 60 See also World Bank N Nanwani, S., 78, 126, 188, 223, 224, 238, 239, 248 Nathan, K., 183, 189, 190 Natural Habitats – (World Bank) policy on, 355 Nepal, 61 – Arun III Project, 62, 121, 199, 268, 347, 417, 421, 448, 501, 517 – King Mahendra Trust for Nature and Conservation (KMTNC), 121 632 World_Bank_Accountability_Index.indd 632 11-5-2016 14:06:25 Index – Nepal Electricity Organization (NEA), 267, 268 Nigeria – (Ghana) West African Gas Pipeline Project, 60, 72, 269, 279, 291, 316, 363, 367, 383, 389, 409, 414, 419, 423, 436, 439, 501, 510, 521, 531, 535, 555 – Lagos Drainage Project, 308, 556 – Land Use Act, 278 – Nigerian National Petroleum Corporation (NNPC), 60, 290 – West African Gas Pipeline Company Limited (WAPCo), 60, 278, 279, 290, 363, 383, 407, 419, 423, 534, 555 Nollkaemper, A., 100 Non-discrimination, 197 Non-governmental organizations (NGOs), 18, 71, 77, 84-86, 161, 162, 172, 189, 236, 254, 257, 258, 281, 292, 293, 295, 300, 321, 359, 364, 373, 375, 376, 382-384, 389-391, 394, 411-413, 475, 480, 535, 537, 551, 561, 562, 577, 584 See also Civil-society actors; Civil society organizations – campaigning, 69 – Global Witness, 60 – implementing NGO, 71, 121, 293, 390, 391, 411, 412, 537 Non-interference, 125 See also Borrowers, state sovereignty; World Bank, political neutrality Norm(s/ativity), 18 – application of, 31 – continuum of legality, 33, 146 – creation, 31 – enforcement, 31 – entrepreneurs, 40, 578 – internalization, 582 – legal, 22, 31-33, 41 – social (non-legal), 31, 33 Normative assessment, 168 Normative development, of (World Bank) operational policy framework, 239 Normative framework, 32, 33 See also World Bank, norm-based approach, to development – compliance with, 129 Normative systems, 42 – horizontal, 32 O Obligations de moyens, 121 See also Obligations de résultat Obligations de résultat, 119 See also Obligations de moyens Oil Palm Industry Corporation (OPIC), 291, 365 Oleschak-Pillai, R., 246 Orford, A., 22 Organisation for Economic Co-operation and Development (OECD), 70 P Pakistan – Drainage Master Plan (DMP), 490 – Left Bank Outfall Drain/National Surface Drainage System (LBOD), 355 – National Drainage Program (NDP) Project, 305, 355, 374, 391, 416, 453, 491, 510, 524, 530, 559 – Trans-Basin Outfall Drain (TBOD), 490 Panama – Land Administration Project, 59, 148, 232, 277, 309, 317, 365, 461, 479, 540, 550, 557 Panou, A., 85, 154, 166, 204, 218, 252 Papua New Guinea – Governance Promotion Project, 127, 331 – Road Maintenance Trust Fund (RMTF), 127, 311 633 World_Bank_Accountability_Index.indd 633 11-5-2016 14:06:25 Index – Roundtable on Sustainable Palm Oil (RSPO), 161 – Smallholder Agriculture Project, 127, 152, 161, 201, 235, 292, 311, 321, 366, 394, 463, 473, 558 Paraguay – (Argentina) Yacyretá Hydroelectric Project, 60, 123, 199, 272, 288, 300, 315, 349, 386, 416, 420, 422, 430, 432, 442, 532, 542, 549, 560, 563 Participatory development, 375 See also Consultation Peru – Lima Urban Transport Project, 187, 288, 342, 365, 386, 438, 488, 520 Phillips, D.A., 53, 55, 61, 90, 91, 95, 101, 103, 109, 128 Pluralism, 17, 22 Postnational legal order, 23 See also Governance Poverty impact analysis, 347 Poverty reduction, 67, 89, 112, 138, 196, 197, 199, 201, 204, 219, 255, 256, 258, 312, 326, 339, 387, 411, 431, 447, 454, 458, 476, 489, 498, 513, 520 Project Affected Households (PAHs), 352, 366, 380 See also Project-affected people (PAP) Project-affected people (PAP), 6, 10, 64, 66, 67, 79, 321, 364, 366, 370, 541 See also Project Affected Households (PAHs) – adversely affected people, 75 – beneficiaries, 75 – compensation for, 416 See also Involuntary Resettlement – consultation with, 375 See also Consultation – identification of, 344 – quantification of, 344 – redress for, 227, 241 – Requesters See Inspection Panel (Panel) – resources for, 216 Project appraisal document (PAD), 228, 233, 278, 283, 284, 285, 291, 322, 347, 360 Project area See also World Bank, development-lending operations – delineation of, 336 – diverse interests within, 324 – of influence, 336 Project Concept Document (PCD), 488 Project Coordination Unit (PCU), 59 Project design documents, 360 See also World Bank, development-lending operations – key phrases, interpretation of, 352 Project implementing agencies, 62, 293 See also Borrowers Project-information material See also Information disclosure – content of, 372 – format of, 372 Project-level grievance mechanisms, 213, 214, 216, 442 See also Involuntary Resettlement Project supervision See also World Bank, development-lending operations – activities, content and context of, 563 – credit/loan agreement, enforcement of, 217, 552 See also Credit/loan agreement – follow-up, of identified issues/risks, 533 – issues/risks, identification of, 527 – location, timing and frequency of activities, 553 – mission, resourcing of, 555 – policy on, 528 – standards of, 540 634 World_Bank_Accountability_Index.indd 634 11-5-2016 14:06:25 Index Public Information Centres (PICs), 372, 373, 425, 439 See also Information disclosure Public interest, 24, 80 See also Accountability, public Public participation, 213 See also Consultation; Rio Declaration Principles R Rangarajan, N., 43 Regional action plan (RAP), 268, 278, 357, 362, 363, 366, 370, 373, 378, 380, 383, 387-389, 406-408, 414, 418, 419, 423, 435, 436, 465, 530, 534-536, 554 See also Involuntary Resettlement Relationships (between variables) See also Dynamic complexity – causal, complementary, interdependent, conflicting, competing, 573 Resettlement Action Plan (RAP), 289, 315, 321, 406, 427, 428, 435, 465 See also Involuntary Resettlement Resettlement Implementation Plan (RIP), 357, 411, 412 See also Involuntary Resettlement Resettlement Policy Framework (RPF), 149, 270, 281, 282, 348, 387, 388, 539, 557 See also Involuntary Resettlement Rio Declaration Principles, 213 – access to information, 362 See also Information disclosure, (World Bank) policy on access to information – access to justice, 437 See also Inspection Panel (Panel); Project-level grievance mechanisms – participation, 375 See also Consultation Romano, C.P.R., 167, 168, 173 Roth-Arriaza, N., 159 Rubenstein, J., 30, 168, 207, 210, 211 S Sarfaty, G.A., 108, 109, 134, 145, 163, 447, 483-486, 524, 564 Sectoral Social and Environmental Assessments (SEAs), 332 See also Environmental assessment Selznick, P., 47 Shell (Royal Dutch), 60, 290 Shields, M., 43 Shihata, I.F.I., 12, 83, 84, 85, 118, 119, 141, 179, 181, 192, 199, 203, 227, 241, 253, 254, 527, 528, 565 Social, economic and environmental risks, 111 See also Acountability for harm; Material adverse effect SotoGaz of Togo, 60, 290 South Africa – (Lesotho) Highlands Water Project, 60, 188, 375, 384, 391 – Eskom Investment Support Project, 150, 153, 161, 174, 234, 289, 307, 343, 503 Sustainable development, 6, 24, 29, 89, 92, 111, 243, 326 Suzuki, E., 125, 126, 238, 239, 248 Swedish Agency for International Technical and Economic Cooperation, 62 Swepston, L., 154, 158 T Taleb, N.N., 43, 573, 577, 578 Tan, C., 249 Tanzania – Emergency Power Project, 188 Toope, S., 33-35, 38-41 Trade-off decisions, 324 See also Balance, between technical/commercial versus non-technical/non-commercial components, of development projects 635 World_Bank_Accountability_Index.indd 635 11-5-2016 14:06:25 Index Transparency, 362 – about project prioritization, 324 U Uganda – AES Nile Power Corporation (AESNP), 436 – Bujagali Energy Limited (BEL), 436 – Uganda Power Projects, 73, 124, 228, 231, 341, 350, 355, 369, 406, 415, 437, 448, 505, 514, 518 Umaña, A., 221, 247, 303 UN Habitat, 63 United Nations Development Programme (UNDP), 60, 335 Uzbekistan – Energy Loss Reduction Project, 67, 160, 176, 178, 345 V Van Putten, M., 85, 186, 233, 245, 255, 257, 584, 585 Voluntary Settlement Implementation Plan, 401 See also Involuntary Resettlement Von Bogdandy, A., 17, 20, 21 W Wallace, W., 69 Wapenhans Report See World Bank, Independent Evaluation Group (IEG) Wellens, K., 213, 223, 226 West Bank/Gaza – Red Sea-Dead Sea Water Conveyance Study Program (RSDS), 67, 177, 187 Wicked problems, 574 See also Complex societal issues Woods, N., 51, 52, 70, 71, 77, 81, 82, 123, 170, 258, 372, 394 World Bank – (corporate) performance scorecard, 106 – performance areas, indicators, targets, 108 – activities, normative assessment of, 192 – Administrative Tribunal (AT), 173 – approval culture, 98, 303 – Articles of Agreement, 53, 89, 136, 155, 157, 241, 527 – Board of Executive Directors, 10, 54, 245, 251 See also World Bank, governance structure – Board of Governors, 50, 51, 181, 241 See also World Bank, governance structure – clients, 62 See also Borrowers – Conflict Resolution System (CRS), 173 – corrective actions, 222 – development assistance, stages of, 101 – development-lending operations, 8, 11, 13 – actors involved in, 75 – as form of transnational regulatory governance, 24 – development policy lending (DPL), 333 – instruments, 98 – Learning and Innovation Loan (LIL), 334 – lending vehicle (instrument), choice of, 336 – project beneficiaries, 75 See also Project-affected people (PAP) – project cycle, 101, 124 – project modality, 336 – structural adjustment lending See Development policy lending (DPL) – General Legal Counsel, 152, 182 – governance structure, 58, 77 – strengthening of, 229 – Independent Evaluation Group (IEG), 12, 182, 203, 286, 484, 581 – Wapenhans Report, 83, 101, 102, 134 636 World_Bank_Accountability_Index.indd 636 11-5-2016 14:06:25 Index – institutional culture, 58 – institutional equilibrium, achieving, 109-111 See also Balance, between technical/commercial versus nontechnical/non-commercial components, of development projects – institutional reforms, 105 – institutional turbulence, 104 – Integrity Vice Presidency, 172 – Internal Audit (IAD), 172, 182 – international legal obligations of, 158 – management, 56 – challenging eligibility of Request, 179 See also Inspection Panel (Panel), causal link (between harm and noncompliance) – response, 12 – member states, 51, 77 See also World Bank, governance structure – borrowers, 51 See also Borrowers – donors, 51 – norm-based approach, to development, – Office of Business Ethics (EBC), 173 – Office of Mediation Services, 173 – Ombuds Services Office, 173 – operational policy framework, 4, 11, 41, 72, 147 – application and compliance assessment, 198, 207 See also World Bank, norm-based approach, to development • flexible versus consist application, 198 • interpretation schemes, restrictive versus expansive, 203 • margins of discretion, broader versus narrower, 200 • process versus substance, 203 – Business Procedures (BP), 135-137 – Good Practice Notes, 330 – Good Practices (GP), 136 – key phrases, interpretation of, 360 – legal nature of, 147 – Operational Memos (Op Memos), 135, 136 – review, 137, 149, 150, 502 – safeguard policy/ies, 113, 116, 137, 140, 144, 145, 163, 197, 206, 233, 244, 249, 274, 288, 291, 313-315, 318, 329, 330, 334, 339, 360, 392, 444, 445, 461, 487, 493, 494, 503, 511, 522, 525, 531, 554, 557, 563, 578 – Operations Evaluation Department (OED) See World Bank, Independent Evaluation Group (IEG) – Operations Policy and Country Services (OPCS), Vice Presidency, 171 – political neutrality, 60, 273 See also Borrowers, state sovereignty – Presidents, 56 – Kim, J.Y., 6, 103, 245 – McCloy, J., 55 – Meyer, E., 55 – Wolfensohn, J., 55, 84, 102, 241, 255257 – Zoellick, R., 182 – project sponsor, 62 See also Project implementing agencies – Quality Assurance and Compliance Unit, 171 – Quality Assurance Group See World Bank, Quality Assurance and Compliance – safeguards diagnostic review (SDR), 149, 502 – strategic repositioning, 102 – survey, of project-affected people, 344 See also Involuntary Resettlement 637 World_Bank_Accountability_Index.indd 637 11-5-2016 14:06:26 Index – technical/commercial and nontechnical/non-commercial components of (development projects), 303 See also Balance, between technical/commercial versus non-technical/non-commercial components, of development projects – vice presidential unit (VPU), 55 – Voluntary Disclosure Program (VDP), 167 638 World_Bank_Accountability_Index.indd 638 11-5-2016 14:06:26 .. .World Bank Accountability – in Theory and in Practice World Bank Accountabilit y – in Theory and in Practice A n d r i a Nau d é Fo u r i e Published, sold and distributed by Eleven International... the World Institute World Bank Accountability – in Theory and in Practice As a consequence of these changes, the World Bank s status as the world s ‘premier lending institution’ has increasingly... between theory and practice In practice there is.’” – N Taleb, Antifragile: Things that Gain from Disorder (2012) – Towards a Comprehensive Shared Understanding on World Bank Accountability – in Theory