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首页> 外文学位 >Improving institutional accountability: Environmental and social policy compliance in Asian Development Bank-funded projects in Cambodia, Laos, and Vietnam.
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Improving institutional accountability: Environmental and social policy compliance in Asian Development Bank-funded projects in Cambodia, Laos, and Vietnam.

机译：改善机构问责制：柬埔寨，老挝和越南在亚洲开发银行资助的项目中遵守环境和社会政策。

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摘要

Accountability of international financial institutions (IFIs) affects the lives of millions of people and has enormous environmental and social impacts. This study takes the case of the Asian Development Bank (ADB), the leading IFI in Asia and the Pacific, and examines if it is accountable by (i) analyzing its environmental and social policies, (ii) assessing its degree of policy compliance, and (iii) evaluating the effects of the environmental and social polices on protecting the environment and people's livelihoods. The goals of this research are (i) to explore the linkages among the ADB's environmental and social policies, the degree of project-level policy compliance, and their environmental and social impacts on the local communities, and (ii) to identify key factors that could improve policy compliance and accountability at the ADB. This study employs an interdisciplinary analytical approach, combining (i) institutional behavior (organizational theory), (ii) the literature on accountability related to the World Bank, and (iii) political ecology. Methods include content analysis of the policy literature; institutional ethnographic research; qualitative analysis; and three country case studies in Cambodia, Laos, and Vietnam in the Mekong river region, which sustains over 30 million people and harbors unique biodiversity. This study differs from previous research on safeguard policy compliance, which focused on projects subjected to external pressures from non-governmental organizations. Analysis of safeguard policy compliance in projects that were not the focus on advocacy campaigns provides a clear test case of the degree to which the ADB invests economic, technical and political resources in encouraging project-level compliance with its standards. This study analyzes and compares the degree of compliance in ADB-financed three power transmission projects. The country case studies include field visits, literature reviews, and semi-structured interviews with government officials, officials of executing and implementing agencies, project affected people, and ADB staff.;The study demonstrates the slow and challenging process of the institutionalization of environmental and social considerations at the ADB, and the reform process of the compliance mechanism. In addition, the case studies in Cambodia, Laos, and Vietnam show the low degree and uneven effects of policy compliance. Furthermore, the case in Vietnam demonstrates that the ADB's involvement in the power transmission project enabled the government to build the controversial Son La hydropower project which has caused enormous environmental and social impacts, and also ADB's commitment to ensure the safeguards of the associated facility proved ineffective. The case reveals that the Son La hydropower project opened up an opportunity for large-scale rubber plantations under the name of forest restoration and livelihood project. This development of rubber plantation could place increased pressure on both water availability and people's livelihoods in northwestern Vietnam. Regarding the institutional change, with pressures by the donor countries, and the bitter lessons from the Samut Prakarn Wastewater Management Project in Thailand, the ADB has shifted from a project-lending bank for agricultural development to a regional development institution for poverty reduction. Although the ADB's policy changes were prompted mostly by the donor countries until the early 2000s, the study also highlights the role of non-governmental organizations and the emerging economic power in the region which has started to influence the policy process at the ADB. Yet the study shows the power of the nongovernmental organizations superseded the voices of the emerging economic power and developing member countries, and significantly influenced the substance and process of the ADB's safeguard policy reform.
机译：国际金融机构（IFI）的问责制影响着数百万人的生活，并对环境和社会产生了巨大影响。这项研究以亚太地区领先的国际金融机构亚洲开发银行（ADB）为例，并通过（i）分析其环境和社会政策，（ii）评估其政策遵从程度， （iii）评估环境和社会政策对保护环境和民生的影响。这项研究的目标是（i）探索亚行环境与社会政策，项目级政策合规程度及其对当地社区的环境与社会影响之间的联系，以及（ii）找出影响亚行的关键因素。可以改善亚行的政策合规性和问责制。本研究采用跨学科分析方法，将（i）制度行为（组织理论），（ii）与世界银行有关的问责制文献和（iii）政治生态相结合。方法包括对政策文献进行内容分析；制度民族志研究；定性分析;以及在湄公河地区的柬埔寨，老挝和越南进行的三个国家案例研究，该地区拥有超过3000万人口，并拥有独特的生物多样性。这项研究与以往关于保障政策合规性的研究不同，后者的研究重点是受到非政府组织外部压力的项目。对并非侧重于倡导运动的项目中保障政策合规性的分析提供了一个清晰的测试案例，说明了亚行在鼓励项目一级遵守其标准方面投入经济，技术和政治资源的程度。本研究分析并比较了亚行资助的三个输电项目的遵守程度。国别案例研究包括实地访问，文献综述以及对政府官员，执行和实施机构官员，项目影响人员以及亚行工作人员的半结构化访谈。该研究表明了环境与社会制度化的缓慢而艰巨的过程。亚行的社会考量以及合规机制的改革过程。此外，柬埔寨，老挝和越南的案例研究表明，政策合规的程度较低且影响不均。此外，越南的案例表明，亚行参与输电项目使政府得以建设有争议的桑拉水电站项目，该项目对环境和社会造成了巨大影响，而且亚行承诺确保相关设施的保障措施无效。 。该案例表明，Son La水电项目以森林恢复和生计项目的名义为大型橡胶园开辟了机会。橡胶种植园的发展可能给越南西北部的水供应和人们的生计带来越来越大的压力。关于体制改革，在捐助国的压力下，以及在泰国《北榄府污水管理项目》的惨痛教训下，亚行已从农业发展项目贷款银行转向区域减贫机构。尽管亚行的政策变化主要是由捐助国推动的，直到2000年代初，但该研究还强调了非政府组织的作用和该地区新兴的经济力量，这些力量已开始影响亚行的政策进程。然而研究表明，非政府组织的力量取代了新兴经济强国和发展中成员国的声音，并极大地影响了亚行保障政策改革的实质和过程。

著录项

  • 作者

    Kakegawa, Michiyo.;

  • 作者单位

    University of California, Santa Cruz.;

  • 授予单位 University of California, Santa Cruz.;
  • 学科 Geography.;Sociology Organizational.;Political Science International Law and Relations.
  • 学位 Ph.D.
  • 年度 2011
  • 页码 690 p.
  • 总页数 690
  • 原文格式 PDF
  • 正文语种 eng
  • 中图分类
  • 关键词

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