About Compliance

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

Compliance Assessment is the stage where IPAM appraises the complaint 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:

    a.    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 complainants (or, if different, the relevant Project-affected People); and

    b.    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.

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. ​

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.  

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. 

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. 

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

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. 

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 Complaint 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.

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

    a.    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;

    b.    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 Complaint or on other Projects), in accordance with the recommendations of the Compliance Review Report;

    c.    an implementation plan and timetable to be followed to fulfil the commitments of the Management Action Plan; and

    d.    an estimate of the human and financial resources required to implementthe Management Action Plan.

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. 

There is no appeal procedure. 

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

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. 

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 addressing the recommendations made and resolving the non-compliance findings. 

Throughout the monitoring period, IPAM will:

    a.    consult with the complainants, the Client, Bank Management and other relevant stakeholders,

    b.    consider project documentation, documentation submitted by the complainants (or their representatives, if any), and publicly available information,

    c.    consider the contents of monitoring updates received from Bank Management,

    d.    undertake a site visit to the project area, if deemed necessary by IPAM; and

    e.    engage consultants on specific technical matters.

The monitoring timeframe depends on the actions proposed by Management and their timeframe. PAP mandates that monitoring reports be conducted at least bi-annually until all actions are deemed completed 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.