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IPAM OVERVIEW

The Independent Project Accountability Mechanism, best known for its acronym IPAM, is the grievance mechanism of the European Bank for Reconstruction and Development (EBRD). IPAM is independent from the Banking team and reports directly to the Board of Directors of the Bank.

Why does EBRD have a grievance mechanism?

EBRD is committed to promoting sustainable development in all of its investments, as a key contributor to economic transition. To ensure that the environmental and social practices of Bank Projects meet EBRD standards, the Bank requires that Projects comply with its Environmental and Social Policy. In addition, the Bank is required to disclose certain Project information to the public in accordance with its Access to Information Policy, to enhance transparency and accountability, improve discourse with affected stakeholders, and foster good governance. IPAM is part of the accountability architecture of the Bank to ensure its compliance to the mentioned policies.

What does IPAM do?

IPAM independently reviews issues raised by individuals or Organisations concerning Bank-financed Projects, which are believed to have caused or to be likely to cause, harm. The purpose of the mechanism is to facilitate the resolution of social, environmental and public disclosure issues among Project stakeholders to determine whether the Bank has complied with its Environmental and Social Policy and the Project-specific provisions of its Access to Information Policy; and where applicable, to address any existing non-compliance with these policies, while preventing future non-compliance by the Bank.

What is the Project Accountability Policy?

The Project Accountability Policy or PAP is the policy approved by the Board of Directors in 2019 determining the establishment of IPAM and detailing the structure of the office and the procedure to be followed by the Mechanism to implement its mandates.

Who is the head of IPAM?

The EBRD’s Chief Accountability Officer (CAO) is the head of IPAM, responsible for the implementation of the PAP.

What are the functions of IPAM?

IPAM has four functions: Problem Solving (dispute resolution), Compliance Review (investigation), Outreach (promote access) and institutional learning (distil lessons learned based on cases).

What is IPAM’s Problem Solving function?

In the Problem-solving function, IPAM acts as a neutral third party facilitator when the Requesters, the Client and any other relevant stakeholder agree to engage and seek mutually agreeable solutions to the concerns raised in the request. This is a voluntary, flexible, consensus-based dispute resolution process facilitated by IPAM with the objective of reaching sustainable agreements.

What is IPAM’s Compliance Review function?

The Compliance function determines whether EBRD has complied with its Environmental and Social Policy or the Project-specific provisions of its Access to Information Policy in respect of a Project. As such, the Compliance function only deals with the compliance of the Bank, rather than the compliance of the Client. IPAM engages with Project-affected People, Bank staff, Clients and other stakeholders in order to determine whether the Bank, through its actions or inactions, has failed to comply with any provision of the Environmental and Social Policy (including any provision requiring the Bank to monitor Client commitments), or the Project-specific provisions of the Access to Information Policy. If EBRD is found to be non-compliant with either of the policies above, the Compliance function also proposes Project-specific and procedural changes to Bank practices to address existing non-compliance, prevent future non-compliance and promote institutional learning and capacity building.

What is the purpose of outreach?

The purpose of outreach is to promote accessibility to IPAM amongst civil society organisations and project affected people and to raise awareness of IPAM’s purpose, functions and activities amongst EBRD staff, clients and other relevant stakeholders.

What does institutional learning mean?

IPAM will routinely share lessons learned with Bank management and produce knowledge products based on the insights, experiences and evidence emerging from its casework. In this function, IPAM promotes a culture of continuous learning at EBRD.

What policies does IPAM review?

IPAM reviews the Bank's compliance with two EBRD governance policies: the Environmental and Social Policy, and the Access to Information Policy.

How can IPAM be independent if it is part of the Bank?

In addition to conducting its case processing in an impartial fashion, regardless of any attempts at undue influence from any third party, independence in IPAM is accomplished structurally by:

Giving responsibility to the CAO for running IPAM, implementing the Project Accountability Policy and making the decisions that are within the IPAM mandate.
Determining that the CAO is not part of, and does not report to, Bank management. It reports directly to the Board.
Establishing that candidates for the CAO position cannot have worked for the Bank in the five years prior to the selection and are banned for working for the Bank at the end of their term.
Giving authority to the CAO for preparing an annual budget and determining the allocation of resources within IPAM. The Board, not Bank Management, approves the budgetary request.
Determining that the CAO is free to make recruitment decisions within the limits of the approved budget.

ABOUT THE IPAM PROCESS

How does IPAM process requests?

The Project Accountability Policy establishes the procedures that IPAM has to follow in the processing of a request. Two initial stages (Registration and Assessment) determine if the request is within the mandate of IPAM and through which function (problem solving or compliance) can the concerns be best addressed. All stages are time bound, involve continuous engagement with the involved parties and have specific criteria to determine the outcomes.

Who can file a request with IPAM?

Individuals, communities and CSOs who believe they are affected by an EBRD-financed project. In addition, IPAM may accept requests from non-affected CSOs but, if accepted, the request can only be considered for a compliance review.

What can IPAM do to prevent and respond to Requesters when they raise fears of retaliation for accessing the Mechanism?

The EBRD considers that every individual or group has the right to voice criticism or file requests related to EBRD projects without threats to their safety or fear of retaliation. The Bank expects its counterparties not to prevent stakeholders from speaking out and/or not to harm stakeholders who may (or have) criticise(d) an EBRD project or file(d) a request.

EBRD Statement: (https://www.ebrd.com/documents/strategy-and-policy-coordination/ebrd-statement-on-retaliation.pdf )

In addition to following the Bank’s internal guidance, IPAM seeks to promote safe access to the mechanism through confidential case handling whenever Requesters ask the Mechanism to keep their identity in confidence.

The Project Accountability Policy further establishes provisions to promote safe access which IPAM implements for all registered requests where fears of retaliation have been raised, undertaking an initial risk assessment to be followed by a mitigation plan drafted in collaboration with Requesters that allows for the safe processing of the case. Both the assessment and the mitigation plan are revised periodically as the case advances.

What type of requests are processed by IPAM?

IPAM reviews concerns raised by project affected people or organisations in relation to the Bank’s obligations as per the Environmental and Social Policy and the project-specific provisions of the Access to Information Policy.

For issues related to fraud, corruption and misconduct contact the Office of the Chief Compliance Officer (whistleblowing@ebrd.com ).

For issues related to project procurement, contact the Director of the Procurement Policy and Advisory Department (procurementcomplaint@ebrd.com ).

How can I submit a request?

IPAM accepts requests in writing in any of the official languages of EBRD countries/regions of operation either through e-mail or by post directed to the CAO. Also available is an electronic request format in English, Russian or Arabic. There is no established format, but you should make sure that all the information required is included in your request.

If you have any queries about how to submit your request, contact us via email: ipam@ebrd.com.

What information do I need to provide in my request?

1. Your name and other individuals that are presenting the request.

2. Your contact details (residential or mailing address, e-mail, phone number (landline or mobile).

3. If you have a representative, the name and contact details of the representative and the written authorization for him/her to represent you and the other individuals.

4. A description of the project that is or will affect you (project name, location, the name of the developer, the project activity).

5. A detailed narrative of how the project is (or will) affect you.

6. Information on your interactions with the project developer and/or the Bank team prior to contacting IPAM.

When can a request be submitted to IPAM?

IPAM can review requests from the moment projects are approved for financing by the EBRD Board up to 24 months after the EBRD ceases to have a financial interest in the project.

IPAM is a last resort. Before contacting IPAM, you should have approached the project developer or the Bank project team directly (Contact them through cso@ebrd.com). However, at times, you might face the risk of retaliation, so IPAM can waive the requirement in this case, allowing you to approach IPAM as first instance.

If IPAM receives a request related to a Project that has not been approved yet, it will be transferred to Bank management.

What does cease of “financial interest” mean?

The Bank has no ongoing relationship with the Client/Company because of full repayment, prepayment or disposal of loan proceeds.

How do I find out the status of the EBRD project?

The bank publishes documents and information related to its activities. Projects can be searched on https://www.ebrd.com/project-finder by entering either the project name, location, country, sector of activity or project ID/number.

Who decides whether the Request goes to problem solving or compliance?

The requesters have an option to indicate their choice of function during submission of a request, registration and/or assessment. They can also state that if they wish to have their request considered for both functions. The final decision on the function will be made by IPAM taking into consideration the requesters’ choice, the issues submitted and the policy criteria being met.

Are project activities stopped or suspended during an IPAM process?

No, the processing of a request by IPAM does not have the effect of suspending the Bank’s interest in a project. However, IPAM can recommend to the Board certain remedial actions if it believes that the continued processing of the project by the Bank will cause serious and/or irreparable harm. The decision to accept the recommendation lies with the Board or the competent Bank body, not on IPAM.

Can IPAM accept anonymous requests?

IPAM does not accept anonymous requests, as it is difficult to address the issues without a clear understanding of who the project-affected people are and what the project harms are.

Can requesters ask for confidentiality?

Requesters can ask IPAM to keep the confidentiality of their identities for fear of threat, safety and any form of reprisal. IPAM will engage with the requesters to assure complete confidentiality of the identity and get more understanding on their concerns so IPAM can take the necessary steps to protect their identity.

FIVE FACTS ABOUT IPAM’S PROBLEM SOLVING

1. Through Problem Solving, IPAM facilitates voluntary dialogue between parties to address the concerns raised with the aim of reaching mutually agreeable solutions.

2. Parties to Problem Solving seek to find solutions to the issues raised with IPAM without attributing blame or fault.

3. Problem Solving initiatives can be confidential if that is what the Parties decide.

4. IPAM will not support agreements that are contrary to EBRD policies or in breach of any applicable law.

5. The IPAM Problem-Solving team is comprised of the Problem Solving Lead and the local facilitation experts.

Who are the parties to an IPAM Problem Solving?

The individuals, entities and Organisations with a direct interest in a case. Parties may include (but are not limited to): the Requesters; their Representatives, if any; the relevant Bank department, team or unit; the Client; and other Project financiers or other entities responsible for the implementation of a Project.

What happens when one of the parties is unwilling to participate in Problem Solving?

Problem Solving is a voluntary process by nature. A Problem Solving initiative will only go ahead if all relevant parties are willing to participate, and may be terminated at any moment if a party decides not to engage any longer.

What is the role of the IPAM local facilitator?

A member of the IPAM Problem Solving team may act as facilitator in some cases but usually IPAM hires local dispute resolution experts to ensure direct and responsive engagement. In any case, the Problem Solving team in IPAM will always be at hand and engaged.

How can IPAM ensure that parties in Problem Solving engage constructively and do not criticise or blame each other?

The Problem Solving process seeks to build a trusting relationship between the parties. It does this in many ways: talking to each one to understand their interests, developing with them basic rules of engagement, facilitating communication and providing advice to parties and serving as a bridge between parties when difficult situations arise.

Who covers the costs of Problem Solving?

IPAM covers the cost of the local facilitator, logistics costs for convening meetings and depending on the specific needs of each case, the hiring of technical experts, translations and other costs that might assist the parties to reach an agreement within the limits of the IPAM budget and the budgetary rules of the EBRD.

How does IPAM select its local facilitators?

IPAM is currently building a roster of expert facilitators with whom to work in each country. The local facilitators work under the guidance of the IPAM Problem Solving lead.

What are the basic criteria for local facilitators?

IPAM facilitators are trained dispute resolution specialists with experience in engaging with community groups and private companies and demonstrated knowledge of the regional/local context, culture and ability to speak the language of the parties involved in Problem Solving.

Can the parties propose local facilitators?

Yes, but the ultimate decision will be made by IPAM based on skills, knowledge and the capacity to provide independent, expert, impartial facilitation. A local facilitator is not a technical expert.

What option do Requesters have if a problem solving initiative does not reach an agreement?

Requesters can ask IPAM to have the Request considered for a compliance review.

Do all Problem Solving initiatives need to last 12 months?

No, if an agreement is reached sooner, the problem-solving step concludes followed by monitoring of the agreement if required.

What should one expect from Problem Solving?

IPAM will provide the structure, coordination and safe space for Parties to engage and build communication bridges for exploring solutions to the concerns raised. During the process, you can expect IPAM to engage continuously with you and the other Parties both separately and in joint meetings; promote the exchange of information, propose different ways to address concerns, organise and facilitate meetings and in general, provide structure to the Parties’ engagement aimed at reaching an agreement.

How will IPAM ensure that the parties who sign the Problem-Solving agreement fulfil their obligations?

IPAM can monitor the implementation of the commitments made in the agreement under a jointly agreed monitoring plan with clear goals and timeframes.

How does IPAM conduct its monitoring under Problem Solving?

Based on a monitoring plan, IPAM’s approach to monitoring includes: consulting with the Requesters, the Client, Bank management and other relevant stakeholders; considering Project documentation and from other sources relevant to the agreement; undertaking site visits; and engaging technical experts, if deemed necessary by IPAM.

IPAM issues every six months a monitoring progress report that is publicly disclosed in the IPAM virtual registry of the relevant case.

Are IPAM reports public and where can I find them?

All case reports produced by IPAM are publicly disclosed in the IPAM virtual registry. If the reports contain confidential information as per the Access to Information Policy, that information will appear redacted in the document.

FIVE FACTS ABOUT COMPLIANCE

1. IPAM is the independent office of the Bank tasked with conducting investigations of projects when allegations of harm are raised and determining whether the EBRD has complied with its Environmental and Social Policy or the Project-specific provisions of the Access to Information Policy.

2. It is an investigative process by IPAM, which includes documentary review, interviewing and site visits.

3. The Compliance function looks only into the actions or omissions of the Bank, not the Client.

4. Compliance Assessment is the appraisal undertaken by IP if a request is eligible for a Compliance Review.

5. The IPAM Compliance team are responsible for cases under the compliance function.

How can I request a Compliance Review?

Requesters can specify from the start the function (Problem Solving or Compliance Review) they would like to have their Request considered for. If they are not sure, they can ask IPAM for information on each function to decide later in the process.

What is a Compliance Assessment?

Compliance Assessment is the stage where IPAM appraises the request to determine if it is eligible for a Compliance Review against the criteria established in the IPAM Policy. A Case is eligible for a Compliance Review if IPAM deems that:

upon preliminary consideration, it appears that the Project may have caused, or may be likely to cause, direct or indirect and material harm to the Requesters (or, if different, the relevant Project-affected People); and
there is an indication that the Bank may not have complied with a provision of the Environmental and Social Policy (including any provision requiring the Bank to monitor Client commitments); or the Project specific provisions of the Access to Information Policy, in force at the time of Project approval.

What does IPAM do in a Compliance Assessment?

IPAM’s appraisal approach to determine if the request is eligible for an investigation provides for discussions with requesters, Bank management, the Client and other relevant stakeholders; and considers Bank and Client written responses.

What is the outcome of a Compliance Assessment?

IPAM may recommend either proceeding with a Compliance Review or closing the case. Its determination is presented in the Compliance Assessment Report. If there is a recommendation to proceed with a Compliance Review, the report will include terms of reference for the Compliance Review based on the issues raised in the Request setting out the scope, the methods, the type of expertise required to carry out the Review, as applicable, as well as other guiding principles for the Compliance Review.

How long does the Compliance Assessment stage last?

The Policy establishes that IPAM must make a determination and issue its report within 60 business days of the start of the compliance assessment.

What does the Compliance Review entail?

The investigative process is led by the IPAM Compliance team following the scope set in the terms of reference that will include documentary review, interviews with all relevant stakeholders, at least one visit to the project site and the engagement of technical experts as needed.

How long does a Compliance Review take?

The IPAM Policy establishes a timeframe of 140 business days for the completion of the draft compliance review report. From that date, the draft undergoes a series of revisions based on the comments of Requesters, Management, and the Client. After that IPAM finalises the report, submits it to the Board and discloses it in the Public Virtual Registry.

What is the purpose of a project site visit during Compliance Review?

The Compliance team designs its visit agenda in coordination with Requesters, Client and Bank Management. A typical site visit will include meetings with all stakeholders identified by IPAM as relevant for the investigation, walks through the project and the impacted area to gather first-hand evidence.

Why does IPAM engage technical experts?

Technical experts are engaged when the IPAM Compliance team needs technical inputs to support its compliance analysis.

Can I submit new/additional information on the issues submitted in the request once the Compliance Review process has begun?

Yes, any additional information that will support the evidence on the case can be submitted at any time during the investigation stage. However, the scope of the investigation cannot change from the one established in the terms of reference.

What is the outcome of a Compliance Review process?

The output of the compliance review is a public report produced by IPAM presenting findings, its compliance determinations and any recommendations if non-compliance has been found.

What are the next steps if the Bank is found to be non-compliant?

Where IPAM concludes that the Bank has not complied, it will request to Bank Management the preparation of a Management Action Plan that will identify for each finding of non-compliance:

Project-specific actions to be carried out by the Bank to bring the Project into compliance and to address the harm or potential harm associated with the findings of noncompliance, in accordance with the recommendations of the Compliance Review Report;
changes to EBRD practices, procedures, guidance or systems, to bring the Bank into compliance and to avoid recurrence of such or similar situations (on the Project at issue in the Request or on other Projects), in accordance with the recommendations of the Compliance Review Report;
an implementation plan and timetable to be followed to fulfil the commitments of the Management Action Plan; and
an estimate of the human and financial resources required to implement the Management Action Plan.

What are the next steps if the Bank is found to be compliant?

If IPAM determines the Bank to be compliant, IPAM will submit the final Compliance Review Report to the Board and the President for information, disclose it in the IPAM Public Virtual Registry, and close the case.

Can I appeal against the findings of a Compliance Review?

There is no appeal procedure.

What does IPAM do after a MAP is approved?

IPAM monitor the implementation of the MAP and publish bi-annual progress reports until all actions are complete. See below for further details on monitoring of MAP.

What are the remedies provided by IPAM through the compliance review process?

Any recommendations issued by IPAM in the case of non-compliance will seek to ensure returning to compliance and any remedies provided will be within the scope of the Environmental and Social Policy.

MONITORING OF THE MAP IMPLEMENTATION

What does IPAM monitor?

IPAM will monitor the implementation of MAP produced to implement the recommendations by the Bank Management to address findings of non-compliance until it considers all actions have been completed.

Does IPAM monitor all cases?

The PAP mandates IPAM to monitor all cases with MAPs in implementation.

When does IPAM start monitoring?

Immediately after the approval of the MAP by the Board, which usually coincides with the date of presentation of the Compliance Review Report.

IPAM will produce a MAP monitoring plan based on the MAP and will include the expected duration of IPAM’s monitoring, proposed activities for each management action and IPAM’s requirement to determine completion of each of the MAP action items.

Does IPAM consult with parties in preparation of MAP monitoring plan?

Yes, IPAM will consult with the Requesters and the Bank Management in preparation and finalisation of the MAP monitoring plan.

How does IPAM consider MAP action items under implementation?

IPAM considers MAPs to be implemented when implementation plans and commitments detailed in the MAP monitoring plan are effectively carried out and implementation timetables are being met.

How does IPAM conduct its monitoring?

Throughout the monitoring period, IPAM will:

consult with the Requesters, the Client, Bank Management and other relevant stakeholders,
consider project documentation, documentation submitted by the Requesters (or their representatives, if any), and publicly available information,
consider the contents of monitoring updates received from Bank Management,
undertake a site visit to the project area, if deemed necessary by IPAM; and
engage consultants on specific technical matters.

What is the timeline for IPAM monitoring?

Monitoring is a continuous process with different activities and timelines. PAP mandates that monitoring be conducted at least bi-annually until all actions are deemed completed by IPAM.

How does IPAM report its findings after monitoring?

Based on a MAP monitoring plan, IPAM’s approach to monitoring includes: consulting with the Requesters, the Client, Bank management and other relevant stakeholders; considering Project documentation and from other sources relevant to the agreement; undertaking site visits; and engaging technical experts, if deemed necessary by IPAM.

Bank Management has to update IPAM on the implementation status of each approved MAP at least biannually. IPAM issues every six months a monitoring progress report that is publicly disclosed in the IPAM virtual registry of the relevant case.

FIVE FACTS ABOUT OUTREACH

1. PAP mandates the conduct of outreach among internal and external stakeholders, in order to ensure that IPAM’s purpose, functions and activities are known and understood.

2. Outreach is guided by principles of accessibility, predictability and equitability.

3. Outreach aims to promote access as an effective mechanism in all its actions and behaviours.

4. IPAM has an Outreach Strategy to guide its outreach efforts to internal and external stakeholders for the period 2021-2024.

5. IPAM outreach team is comprised of Effectiveness, engagement and Learning advisor supported by an Analyst.

Why does IPAM undertake outreach?

IPAM has a mandate to raise awareness, promote knowledge and understanding of IPAM, its policy and procedures within internal and external stakeholders.

What is the purpose of external Outreach?

To promote access to the mechanism and ensure that potentially affected people related to EBRD- financed projects know that they have the right to submit a request to IPAM.

Who are external stakeholders?

Civil Society Organisations at the international, regional and local level, other entities working in areas of common interest, EBRD Clients, Governments, and communities in the regions of EBRD operations.

What is the purpose of internal Outreach?

To raise awareness and knowledge of the PAP so the Bank staff can support in promoting communities’ access to the mechanism through their operations, and promote predictability and efficiency of IPAM’s work.

Who are internal stakeholders?

The Board of Directors, Senior Management and all EBRD staff in Head Quarters and Regional Offices responsible for projects from origination to monitoring.

The CAO periodically briefs the Board and the Bank’s Senior Management.

Does IPAM have any outreach material?

IPAM prepares outreach materials to facilitate access and clarify our processes. These materials are available in all the official languages of the regions where EBRD operates.

Can I invite IPAM or participate in an outreach event in my regions?

Send an email to ipam_comms@ebrd.com with your request and the Outreach team will contact you.

INSTITUTIONAL LEARNING

Why does IPAM do institutional learning?

The IPAM Policy has established as one of the functions of IPAM the identification of institutional learnings that distinguish common challenges, provide constructive recommendation and promote a culture of continuous learning at EBRD.

What is Institutional Learning?

It is a process in which IPAM distils lessons and trends based on cases with the purpose of promoting learning in the Bank.

How will IPAM share these learnings?

As lessons are distilled, IPAM identifies outlets to share them with Management in different ways such as the following: integrate them into IPAM Annual Report, publish a knowledge product, provide inputs in Bank publications and disseminate through workshops/seminars.

Will IPAM disclose its knowledge products?

IPAM routinely discloses its Annual Report. will publish knowledge products and organise dissemination webinars.

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