REFERENCE

Independent Consultation and Investigation Mechanism of the Inter-American Development Bank

The IDB Board of Executive Directors established ICIM, which became effective on September 9, 2010. More details at: www.iadb.org/icim

Mission, Roles, Responsibility and Areas of Focus

Mission: The ICIM‟s core mission is to respond to Requests of individuals , organizations and/or communities that have been or believe they will be impacted because IDB has departed from its Operational Policies, thus contributing to more sustainable development results in the LCR Region.

Roles, Responsibility and Areas of Focus The ICIM is led and manage by the three Principals: Executive Secretary, Project Ombudsperson and Panel Chairperson. They report directly to the Board of Executive Directors of the Bank. The Project Ombudsperson and the Panel have functional independence and act on their own initiative and according to their best judgment, in a manner consistent with the ICIM Policy.

• Consultation Phase: The main objective of this phase is to provide individuals and communities with an opportunity to voice and address their concerns through a solution seeking dialogue sponsored by the Project Ombudsperson. The approaches and tools used in the Consultation Phase are flexible and collaborative, giving the parties the opportunity to find agreeable remedial options and adequate mitigating measures. In addition, as a result of the Consultation Phase, the Project Ombudsperson would identify systemic issues that might have contributed to the specific situation; gather lessons learned and extract good practices targeted to improve the social and environmental sustainability of IDB‟s operations.
• Compliance Review Phase: Enables individuals and communities to request an investigation of a Bank-Financed Operation by a Compliance Review Panel when they reasonably assert that their rights or interests have been, or could be expected to be directly, materially adversely affected by the failure of the IDB to follow its relevant Operational Policies. The objective of a Compliance Review investigation shall be to establish whether (and if so, how and why) any Bank action or omission, in respect of a Bank-Financed Operation, has resulted in non compliance with a Relevant Operational Policy and direct, material and adverse effects (potential or actual) exist.
• Principles: The ICIM follows, among others, the principles of independence, integrity, impartiality, collaboration, responsibility and predictability, Promotes transparency in Bank operations through its Public Registry, and pursues a positive impact on Bank-finance operations.

Key Outputs, Practices & Engagement with Internal & External Stakeholders

Key outputs and practices: ICIM‟s products (effective Consultations and effective Compliance Reviews) contribute to improvements in the adherence to and the implementation of Operational Policies, and thus to better and more sustainable projects and their results.

• Consultation Phase
• Eligibility Determinations: Being the entry point for the Mechanism, during the Consultation Phase the first analysis of requests is carried out to ensure that the eligibility criteria set forth in the ICIM Policy is met and no exclusion applies. During this initial prima facie analysis, the merits of the request are not assessed.
• Assessment Reports: These allow a close-up aimed at gathering relevant information and performing an in-depth analysis of the requests and their alleged impacts, potential or actual.
• Dialogue or Solution-Seeking Process: These are collaborative exercises that help the parties in the clarification/prioritization of issues. Dialogue processes constitute an early warning tool to prevent and/or manage escalation risks, among other.
• Consultation Reports: Are also the closing reports of the Consultation Phase in which the process since inception is recorded; the main results and outcomes of the effort are made public and systemic lessons are identified and collected.
• Compliance Review Phase
• Eligibility reports: If requesters decline to participate in a consultation or if consultations do not lead to agreements, then the Panel conducts another eligibility determination to take account of evolving circumstances.
• Investigation reports and findings: Independent investigation and fact-finding assesses project-level policy compliance, and leads to remedies for harm to people and environment. Findings reported directly to the Board.
• Bank Management Responses and Action Plan: In response to Panel findings on compliance and harm, Bank Management prepares Response and Action Plan (with Government) to address findings. Reports and findings are made available to requesters, affected people and the public.
• Systemic Observations, Corporate Learning: Reports and Management Responses include systemic observations and lessons learned which promote corporate learning and transparency through their publication.
• Public Awareness: Produces publications to inform public of its activities and for outreach (Annual Report, press releases, etc).
• Case Studies : Based on lessons learned, the ICIM produces case studies in support of institutional strengthening and development effectiveness of IDB operations.

ICIM engages with the following internal and external stakeholders:

• IDB Board (reports directly to the Board) and MIF Donors Committee;
• Management: The Mechanism interacts with project teams, the safeguards Unit, country offices, technical experts and Management across the institution. This interaction is mainly through independent problemsolving exercises; fact-finding assessments, lessons-learned reporting and advisory services.
• External Stakeholders: ICIM gives voice to project affected people and builds awareness through outreach. It routinely engages and interacts with communities, civil society organizations, NGOs, public agencies, private sector and others. The ICIM also partners with other IAMS when necessary.

Eligibility - Compliance

MICI-IDB Policy

a. The Request is filed by two or more persons who believe that they have been or may be affected and who reside in the country where the Bank-Financed Operation is implemented. If the Request is filed by a representative, the identity of the Requesters on whose behalf the Request is filed will be indicated and written proof of representation will be attached. b. The Request clearly identifies a Bank-Financed Operation that has been approved by the Board, the President, or the Donors Committee. c. The Request describes the Harm that could result from potential noncompliance with one or more Relevant Operational Policies. d. The Request describes the efforts that the Requesters have made to address the issues in the Request with Management and includes a description of the results of those efforts, or an explanation of why contacting Management was not possible. e. None of the exclusions set forth in paragraph 19 of this Policy apply.