Learning Curves

OED
February2007

ADBsIndigenousPeoples Safeguards
Indigenouspeoplesareamongthepoorestpeopleonearth.Manyarethreatenedwith marginalizationorextinctionoftheirlives,livelihoods,cultures,andlanguages.Concerns includeculturalandlinguisticpreservation,landrights,ownershipandexploitationof naturalresources,politicaldeterminationandautonomy,environmentaldegradation, poverty,health,anddiscrimination. TheUnitedNationsreckonindigenouspeoplesat300370millionworldwide,composedof over5,000distinctgroupsin70countriesonfivecontinents.About150millionofthemlivein Asiaand68millionarescheduledtribesinIndia(Adivasis).TheUnitedNationsestimate correspondstoamorerestrictivedefinitionofindigenouspeoples.ADBcountsmore. ADBsPolicyonIndigenousPeoplesof1998definesindigenouspeoplesmoreexpansively aspeopleswithasocialorculturalidentitydistinctfromthedominantormainstreamsociety. Thepolicy,asoperationalizedbyADBsOperationsManual,isperceivedbyADBproject missionleaderstobedifficulttoapply.Theprovisionscanbeonerous.Somedeveloping membercountriesarguethatrequiredcompliancehasbecomeadisincentivetoseekingADB financing;othersclaimthattheirpoliciesareofacceptablestandardandthatADBmust becomemoreflexible.Nongovernmentorganizationscontendthatconsultations,public disclosure,implementation,andmonitoringshouldbeimproved.
Background TheAsianDevelopmentBank(ADB)hassafeguard policieson:(i)involuntaryresettlement(1995),(ii) indigenouspeoples(1998),and(iii)theenvironment (2002).Sincetheiradoption,thethreepolicieshave guidedformulationandimplementationofADBs assistanceprograms,particularlyitslendingactivities. However,theevolvingdevelopmentalcontextin whichADBoperatesandtheexperienceaccumulated warrantregularreviewsofthepolicies.ADBhas embarkedonanupdateofitssafeguardpoliciesto enhancetheireffectiveness,andensuretheirrelevance tochangingclientneedsandnewfinancingmodalities andinstruments. ADBsPolicyonIndigenousPeoplesrequiresthat safeguardprinciplesbeupheldinpreparingand implementingADBassistedprojectsinareaswith indigenouspeoplesto:(i)ensurethatdevelopment
Operations Evaluation Department Asian Development Bank

interventionsarecompatibleinsubstanceandstructure withtheaffectedindigenouspeoplessocial,cultural, andeconomicinstitutions,andconsistentwiththe needsandaspirationsofthosepeoples;(ii)designand implementprojectswhichensurethatindigenous peoplesareatleastaswelloffastheywouldhavebeen withoutdevelopmentinterventions;and(iii)make certainthatindigenouspeoplesbenefitfrom interventions. In2006,theOperationsEvaluationDepartment undertookaSpecialEvaluationStudyonIndigenous PeoplesSafeguardstowardapolicyupdatein2007.1 Thestudydrewon:(i)ADBdatabasesanddocuments; (ii)interviewswithADBstaffandexperts;(iii)two questionnairesurveys;(iv)countrystudiesinIndia,the PeoplesRepublicofChina,Philippines,andVietNam; and(v)sevenprojectcasestudies.

6 ADB Avenue, Mandaluyong City, 1550 Metro Manila, Philippines Tel +63 2 632 4444; Fax +63 2 636 2444; evaluation@adb.org; www.adb.org/evaluation/

SummaryofFindings Thestudywasoftheviewthatdecisionstakenby ADBsManagementhadgraduallyexpandedthescope ofthepolicy.Theoriginalfocusonadverseand significantimpactswasreinterpretedtocoveradverse orpositiveimpacts,andtheassociatedprocedureshad becomemoreelaborateovertheyears. ThepolicyissomewhatconfusingforADBstaffand clients.First,thedistinctionbetweenindigenous peoplesandethnicminoritiesisnotalwaysclear:very fewAsiancountriesrecognizeindigenouspeoplesand lesssoanyconnectedspecialrights.Therearealsosome definitionaldifferencesbetweenthepolicyandADBs OperationsManual.Second,thepolicyisambiguous aboutwhetherthedefinitionprovidedbynational legislationorthatderivedfromthepolicyistobe followed.Third,thereisoverlapwithADBspolicieson involuntaryresettlementandtheenvironment.The clearestadverseimpactsofADBassistedprojectson indigenouspeoplesrelatetoinducedenvironmental change,lossoflandandrelatedlivelihood,and resettlement.Thesearealsothesubjectofthepolicies oninvoluntaryresettlementandtheenvironmentand areprimarilyaddressedinresettlementplansand environmentalmanagementplans.Thisisnotefficient. Ifconsiderationsofland,livelihood,andresettlement werediscountedthentheimpactsthattriggerthepolicy wouldbelessstraightforwardadverseimpactsrelated toculturalchangeand,perhaps,integrationintothe economicmainstreamand/orcompetitionwithnon indigenouspeopleswhenanareaisopenedupor developed.Fourth,theneedtoprepareindigenous peopledevelopmentplansforprojectswithsignificant benefitstoindigenouspeoples,andspecificactionsfor projectswithlimitedpositiveornegativeimpactson them,hasleftunclearthenatureoftheseplansand relatedspecificactions.Inpractice,anacceptablescope foraseparateindigenouspeopledevelopmentplanhas thereforeprovendifficultforADBstafftodefine.Fifth, therequiredconsultationofindigenouspeopleshas beenexpandedbyrequirementstoestablishsomething veryclosetotheirfullconsenttotheproject.Thepolicy offerslittleadviceonhowtodefineanacceptablelevel ofconsentorhowtodocumentandmeasureit. Recommendations Thepolicyupdateshouldclarifytheareasthatcause misunderstandinginthepolicyandaddressthe policydriftrelatedtoADBsOperationsManualand practiceinADB.
Learning Curves available @ www.adb.org/evaluation/

ADBshouldsetgoalsforthedevelopmentof indigenouspeoplesandrelatedstrategiesforsome developingmembercountrieswhereADBsforward programinvolvesconsiderableinteractionwith indigenouspeoples. IfADBmaintainsastandalonepolicy,itshould includearesultsbasedframeworkdistinguishing impact,outcomes,outputs,activities,andinputs, bothatmacro(country)andatmicro(project)level. Asequentialapproachtopolicydevelopmentand capacitybuildinginindigenouspeoplessafeguards shouldbeadopted,focusingonafewdeveloping membercountriesfirst. Indigenouspeopledevelopmentplansshouldbe preparedforprojectsthathaveclearrisksfor indigenouspeoples,andcanbemitigatedthrough projectinterventions. Conceptualworkandcasestudyworkisneededto layouttheparticularrisksforindigenouspeoples associatedwithdifferentcategoriesofinvestments, asthereiscurrentlyahighdegreeofdivergencein approachestothedefinitionoftheserisks. Thepolicyupdateshoulddescribethecriteriatobe usedtodeterminewhethertheamountof consultationandbroadcommunicationsupportfor aprojectandrelatedmitigationmeasuresis adequateandinwhatcircumstancesADBendorses theprincipleoffree,prior,andinformedconsentfor theprojectfromthesideofindigenouspeoples. Tocomplementthepolicyupdate,thereisaneedfor apolicyimplementationplanthatreconcilespolicy aspirationswithorganizational,budget,andhuman resourcesimplications. Feedback AtthetimeofpreparationoftheseLearningCurves, ADBManagementsResponsehadnotyetbeen formulated,norwastheChairsSummaryofthe DevelopmentEffectivenessCommitteeDiscussions available.Theywillbeincorporatedintime.Thestudy wascompletedinFebruary2007.
1

ADB.2006.SpecialEvaluationStudyonIndigenous PeoplesSafeguards.Manila.Available: http://www.adb.org/documents/ses/reg/SSTREG2007 01/SESIP.asp.

Team Leader: Walter Kolkma; Tel +63 2 632 4189; kolkma@adb.org