LINKED DOCUMENT 3a: PORTFOLIO ANALYSIS · IP: 10-Mar-15 CWEN CWRD ... Linked Document 3a: Portfolio...

Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies, Linked Document 3a

LINKED DOCUMENT 3a: PORTFOLIO ANALYSIS

A. Summary of all ADB Projects Approved, 2007–2015

1. By Safeguard Area

Table LD3a.1: Summary of Safeguard Classification of Projects, 2007–2015

2007 2008 2009 2010 2011 2012 2013 2014 2015

No. % No. % No. % No. % No. % No. % No. % No. % No. %

Environment

A 17 20 17 19 15 16 18 12 19 14 18 12 16 12 21 17 11 8

B, Bs 29 34 37 41 41 43 68 47 77 57 78 54 76 56 69 57 75 56

C 21 24 26 29 31 32 40 27 21 16 33 23 27 20 22 18 31 23

FI 19 22 10 11 8 8 16 11 14 10 12 8 15 11 8 7 14 10

NC - - - - 1 1 4 3 4 3 4 3 1 1 2 2 3 2

Subtotal 86 100 90 100 96 100 146 100 135 100 145 100 135 100 122 100 134 100

Involuntary Resettlement

A 19 22 22 24 21 22 17 12 27 20 29 20 22 16 22 18 14 10

B, B/C 17 20 24 27 24 25 39 27 45 33 43 30 45 33 41 34 45 34

C 50 58 44 49 50 52 73 50 46 34 57 39 52 39 48 39 59 44

FI, FI/C - - - - - - 14 10 13 10 12 8 15 11 8 7 13 10

NC - - - - 1 1 3 2 4 3 4 3 1 1 3 2 3 2

Subtotal 86 100 90 100 96 100 146 100 135 100 145 100 135 100 122 100 134 100

Total 86 100 90 100 96 100 146 100 135 100 145 100 135 100 122 100 134 100

ENV = environment, FI = financial intermediary, IR = involuntary resettlement, IP = indigenous peoples, NC = not categorized.

Notes: 1. Bs is a category B project classification with environmentally sensitive risks.

2. A proposed project is assigned to one of the following categories depending on the significance of the potential environmental impacts

and risks:

(i) Category A. Likely to have significant adverse environmental impacts and significant impacts on involuntary resettlement and

indigenous peoples.

(ii) Category B. Potential adverse environmental impacts are less adverse than those of category A projects, involuntary resettlement

impacts are not deemed significant, and impacts on indigenous peoples are likely to be limited.

(iii) Category C. Likely to have minimal or no adverse environmental impacts and no involuntary resettlement impacts, and not expected

to have impacts on indigenous peoples.

(iv) Category FI. Involves the investment of ADB funds to, or through, a financial intermediary.

Source: Loan approvals from 2005–2013 sourced from the Regional and Sustainable Development Department, Environment and Safeguards Division

(RSDD-RSES) database (now SDCC); grant approvals from 2005–2013 from the grant and information system (GFIS); and project approvals from 2014–

2015 from the loan financial information system (LFIS), and lotus notes database (LTAA). The safeguard categories were sourced from the Asian

Development Bank Operations Dashboard and project data sheet (ADB website).

2 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies

Figure LD3a.1: Summary of Safeguards Classification of Projects, 2007–2015

a) Environment

b) Involuntary Resettlement

ENV = environment, FI = financial intermediary, IR = involuntary resettlement, IP = indigenous peoples, NC = not categorized.

Source: Loan approvals from 2005–2013 sourced from the Regional and Sustainable Development Department, Environment and Safeguards

Division (RSDD-RSES) database (now SDCC); grant approvals from 2005–2013 from the grant and information system (GFIS); and project

approvals from 2014–2015 from the loan financial information system (LFIS), and lotus notes database (LTAA). The safeguard categories were

sourced from the Asian Development Bank Operations Dashboard and project data sheet (ADB website).

20% 19% 16% 12% 14% 12% 12% 17% 8%

34% 41% 43% 47% 57% 54% 56%

57% 56%

24% 29% 32% 27%

16% 23% 20% 18% 23%

22% 11% 8% 11% 10% 8% 11% 7% 10%

1% 3% 3% 3% 1% 2% 2%

0%

20%

40%

60%

80%

100%

2007 2008 2009 2010 2011 2012 2013 2014 2015

A B, Bs C FI NC

22% 24% 22% 12%

20% 20% 16% 18% 10%

20% 27%

25%

27%

33% 30% 33% 34%

34%

58% 49% 52%

50%

34% 39% 39% 39% 44%

10% 10% 8% 11% 7% 10%

1% 2% 3% 3% 1% 2% 2%

0%

20%

40%

60%

80%

100%

2007 2008 2009 2010 2011 2012 2013 2014 2015

A B, B/C C FI, FI/C n/a

Linked Document3a: Portfolio Analysis 3

Table LD3a.2: Recategorization of Safeguard Classification of Projects Approved by the Chief Compliance Officer, 2010–2015

MFF/

Loan/

Grant/

TA

Number

Project

Number

Project

Approval

Date

DMC

Project Name

(including previous project

name, if necessary)

Environment Involuntary Resettlement Indigenous Peoples

Recat.

Approval Date

DIV

DEPT

Original/

Previous

New

Category

Climate

Risk Level

Original/

Previous

New

Category

Original/

Previous

New

Category

L3118 47341 01-Apr-14 IND MFF-SASEC Road

Connectivity Investment

Program – T1

- - - - - C A IP: 1-Mar-16 SATC SARD

G0332 42094 18-Dec-12 AFG MFF-Energy Sector

Development Investment

Program (Change in Scope)

B B M B B - - EN: 27-Jul-15

IR: 24-Jul-15

CWEN CWRD

L2967 43439 13-Dec-12 KAZ CAREC Corridor 2

(Mangistau Oblast

sections) Investment

Program, Project 2

[Zhetybyl-Zhanaozen

Road Section, KM 0-73]

A B M B B - - EN: 27-Jul-15

IR: 26-Jun-15

CWTC CWRD

G0213 43150-

022

13-Aug-10 TAJ Regional Power Transmission

Project (Minor Change in

Scope)

B B M B B C C EN: 17-Mar-

15

IR: 10-Mar-15

IP: 10-Mar-15

CWEN CWRD

L3199 47086 26-Nov-14 MYA Maubin Phyarpon Road

Rehabilitation Project

- - - - - B C IP: 11-Feb-15 SETC SERD

L2916 46145 05-Oct-12 KAZ CAREC Corridor 3

(Tashkent-Shymkent

Road) Rehabilitation

Project - Western

Europe, Western PRC

Transit Project

- - - C B - - IR: 19-Dec-14 CWTC CWRD

L2468 40019-

013

07-Nov-08 VIE Health Care in the South

Central Coast Region Project

- - - A B - - IR: 20-Oct-14 SEHS SERD

L2787

L2788

44426 30-Sep-11 IND National Grid Improvement

Project (Change in Scope)

B B M B B C C IR: 2-Oct-14

IP: 2-Oct-14

EN: 8-Sep-14

SAEN SARD

L2313 37530 29-Jan-07 TAJ Rural Development Project

- - - B C B C IR: 1-Sep-14

IP: 1-Sep-14

CWER CWRD

L2916 46145 05-Oct-12 KAZ CAREC Corridor 3

(Shymkent-Tashkent Section)

Road Improvement Project

- - - C B - - IR: 14-Aug-14 CWTC CWRD

G0295 44239-

013

21-Jun-12 BHU Air Transport Connectivity

Enhancement Project

- - - C B - - IR: 8-Aug-14 SATC SARD

L2807 43405 23-Nov-11 GEO MFF-Urban Services

Improvement Investment

Program – T2

- - C B - - IR: 25-Jul-14 CWUW CWRD

L2923 45230 25-Oct-12 ARM Women's Entrepreneurship

Support Sector Development

Program

- - - - - FI FI-C IP: 28-May-14 CWPF CWRD


MFF/

Loan/

Grant/

TA

Number

Project

Number

Project

Approval

Date

DMC

Project Name


name, if necessary)


Recat.

Approval Date

DIV

DEPT

Original/

Previous

New

Category

Climate

Risk Level

Original/

Previous

New

Category

Original/

Previous

New

Category

L2833 40648-

033

15-Dec-11 IND MFF-Infrastructure

Development Sector

Investment Program for

Tourism – T2

- - - C B - - IR: 25-Apr-14 INRM SARD

G0234 41444-

022

25-Nov-10 LAO Second Northern GMS

Transport Network – T1

- - - B A - - IR: 30-Apr-14 SETC SERD

L2497 40173 22-Dec-08 PNG MFF-Highlands Region Road

improvement Investment

Program

- -

B A - - IR: 7-Apr-14 PNRM PARD

L2228

L2602

37269 10-Jan-07 CAM GMS

Rehabilitation of

the Railway in

Cambodia

Project (Major

Change in

Scope)

C C - C C C C EN: 11-Feb-14

IR: 20-Jan-14

IP:

20-Jan-14

SETC SERD

G0107 39265-

022

26-Feb-08 MON Western Regional Road

Corridor Development

Project – Phase 1

- - - C B - - IR:

12-Nov-13

EATC EARD

L2517 42182-

013

30-Mar-09 VIE Renewable Energy

Development and

Network Expansion and

Rehabilitation for

Remote Communes

Sector Project

- - - A B - - IR:

23-Oct-13

VRM SERD

L2539 42358 24-Aug-09 CAM GMS Cambodia Northwest

Provincial Road

Improvement project

(Minor Change in Scope)

C B - - - - - EN:

18-Jul-13

SETC SERD

L2227 36252 20-Dec-05 AFG Western Basins Water

Resources Management

Project

- - - A/B C - - IR:

25-Mar-13

AFRM CWER

G9156 44363 16-Feb-11 CAM JFPR-Improving Market

Access for the Poor in

Central Cambodia

C B - - - - - EN:

8-Mar-13

TRM SERD

L2658 40634-

013

6-Aug-10 PRC Inner Mongolia Autonomous

Region Environmental

Improvement Project Phase

2 (Major Change in Scope)

B B - - - - - EN:

9-Jan-13

EAEN EARD

L2742 44372-

013

30-Mar-11 PAK Flood Emergency

Reconstruction Project

- - - A B - - IR:

18-Dec-12

PRM CWRD

L2539 42358 24-Aug-09 CAM GMS Cambodia Northwest

Provincial Road

Improvement project

B C - A C C C EN:

6-Nov-12

SETC SERD

Linked Document 3a: Portfolio Analysis 5

MFF/

Loan/

Grant/

TA

Number

Project

Number

Project

Approval

Date

DMC

Project Name


name, if necessary)


Recat.

Approval Date

DIV

DEPT

Original/

Previous

New

Category

Climate

Risk Level

Original/

Previous

New

Category

Original/

Previous

New

Category

(Minor Change in Scope) IR:

2-Nov-12 IP:

2-Nov-12

L2228

L2602

37269 10-Jan-07 CAM GMS

Rehabilitation of

the Railway in

Cambodia

Project (Major

Change in

Scope)

B C - A C B C IR:

4-Sep-12

IP:

4-Sep-12

EN:

29-Aug-12

SETC SERD

L2487 40665-

013

11-Dec-08 PRC Songhua River Basin

Water Pollution Control

and Management

Project (Minor Change

in Scope)

A B - - - - - EN:

23-May-13

EASS EARD

L2571 42408-

023

14-Oct-09 AZE MFF-Water Supply and

Sanitation Investment

Program – Project 1

- - - C B - - IR:

14-May-12

CWUW CWRD

L2668 44236-

013

23-Sep-10 KGZ Emergency

Assistance for

Recovery and

Reconstruction

(Emergency Public

Expenditure Support

Program)

- - - C B - - IR:

23-Mar-12

CWUW CWRD

L2559 41930 30-Sep-09 IND Small and Medium

Enterprise Trade

Finance Development

Facility (Small and

Medium Enterprise

Export Development

Project)

FI FI - C FI C FI EN:

20-Mar-12

IR:

20-Mar-12

IP:

20-Mar-12

SAPF SARD

L2477 37381 28-Nov-08 SRI Dry Zone Urban Water

Supply and Sanitation

Project

B A - - - - - EN:

10-Apr-12

SLRM SARD

0122 31197-

032

03-Nov-08 KGZ Community Based

Infrastructure Services Sector

Project-Supplementary

- - - C B - - IR:

6-Mar-12

KYRM CWRD

L2655 42414 21-Jul-10 GEO MFF-Sustainable

Urban Transport

Investment

Program (Minor

Change in

Scope)

B B - C C C C IP:

5-Mar-12

IR:

2-Mar-12

EN:

14-Feb-12

CWUW CWRD

E7186 37909 31-Mar-09 REG Trade Facilitation Program

C FI-C - C FI-C C FI-C EN:

PSCM PSOD


MFF/

Loan/

Grant/

TA

Number

Project

Number

Project

Approval

Date

DMC

Project Name


name, if necessary)


Recat.

Approval Date

DIV

DEPT

Original/

Previous

New

Category

Climate

Risk Level

Original/

Previous

New

Category

Original/

Previous

New

Category

(Major Change in Program) 29-Feb-12

IR:

27-Feb-12

IP:

27-Feb-12

L2518 39419 14-Apr09 SRI Clean Energy and Access

Improvement Project

(Change in Scope)

B B - - - - - EN:

16-Nov-11

SAEN SARD

L2328 36595-

013

23-Apr-07 PRC Anhui Hefei Urban

Environment Project (Change

in Scope)

A B - - - - - EN:

2-Nov-11

EASS EARD

L2437 42085 10-Sep-08 AZE Power Transmission

Enhancement Project

- - - C B - - IR:

13-Oct-11

CWEN CWRD

L2755 42399 07-Jun-11 KGZ CAREC Transport Corridor I

(Bishkek-Torugart Road)

Project (Project 3)

- - - C B - - IR:

27-Jul-11

CWTC CWRD

L2407 40051-

013

23-Jan-08 PRC Gansu Baiyin Urban

Development Project (6

roads pavement-additional)

A B - - - - - EN:

24-Jun-11

PRCM EARD

L2436 38660-

023

29-Aug-08 PRC Ningxia Integrated

Ecosystem and Agricultural

Development

- - - B C - - IR:

23-Mar-11

PRCM EARD

L2458 38255-

02

22-Oct-08 IND MFF-Uttarakhand State Road

Investment Program –

Project 2

B A - - - - - EN:

28-Jan-11

INRM SARD

AFG = Afghanistan, ARM = Armenia, AZE = Azerbaijan, BHU = Bhutan, CAM = Cambodia, CAREC = Central Asia Regional Economic Cooperation, CWER = Central and West Asia Environment,

Natural Resources & Agriculture Division, CWRD = Central and West Asia Department, CWTC = Central and West Asia Transport and Communications Division, CWUW = Central and West Asia Urban

Development and Water Division, DEPT = department, DIV = division, DMC = developing member country, EASS = East Asia Urban and Social Sectors Division, GEO = Georgia, GMS = Greater

Mekong Subregion, IND = India, INRM = India Resident Mission, KAZ = Kazakhstan, KGZ = Kyrgyz Republic, KYRM = Kyrgyz Resident Mission, LAO = Lao People's Democratic Republic, MFF =

multitranche financing facility, MON = Mongolia, MYA = Myanmar, PAK = Pakistan, PNG = Papua New Guinea, PRC = People's Republic of China, PRCM = PRC Resident Mission, PRM = Pakistan

Resident Mission, RECAT = recategorized, REG = regional, SAEN = South Asia Energy Division, SAPF = South Asia Public Management, Financial Sector, & Trade Division, SARD = South Asia

Department, SATC = South Asia Transport and Communications Division, SERD = Southeast Asia Department, SETC = Southeast Asia Transport and Communications Division, SLRM = Sri Lanka

Resident Mission, SRI = Sri Lanka, TA = technical assistance, TAJ = Tajikistan, VIE = Viet Nam.

Source: Database of Sustainable Development and Climate Change Department (SDCC). Recategorization matrix was received from SDCC on 9 June 2016.


2. Sector

Table LD3a.3: Environmental Safeguards Classification of Projects by Sector, 2007–2015

Sector and

Category

2007 2008 2009 2010 2011 2012 2013 2014 2015


ANR 5 6 8 9 6 6 19 13 16 12 24 17 15 11 18 15 16 12

A - - 2 25 1 17 2 11 3 19 6 25 3 20 4 22 3 19

B 5 100 5 63 5 83 15 79 11 69 14 58 10 67 13 72 8 50

C - - 1 13 - - 1 5 1 6 4 17 1 7 - - 4 25

FI - - - - - - - - - - - - 1 7 1 6 1 6

NC - - - - - - 1 5 1 6 - - - - - - - -

Education 3 3 2 2 2 2 3 2 7 5 8 6 7 5 9 7 8 6

B - - - - - - - - 4 57 2 25 6 86 4 44 7 88

C 3 100 2 100 2 100 3 100 3 43 5 63 1 14 5 56 1 13

NC - - - - - - - - - - 1 13 - - - - - -

Energy 10 12 18 20 19 20 30 21 29 21 25 17 35 26 27 22 29 22

A 2 20 4 22 4 21 6 20 6 21 3 12 6 17 8 30 5 17

B 8 80 10 56 10 53 19 63 14 48 20 80 23 66 18 67 18 62

C - - - - - - 2 7 2 7 1 4 3 9 - - 5 17

FI - - 4 22 5 26 1 3 7 24 1 4 3 9 1 4 1 3

NC - - - - - - 2 7 - - - - - - - - - -

Finance 21 24 5 6 5 5 19 13 7 5 12 8 13 10 8 7 16 12

B - - - - - - - - - - - - - - - - - -

C 6 29 2 40 2 40 7 37 3 43 3 25 5 38 2 25 4 25

FI 15 71 3 60 3 60 12 63 4 57 9 75 8 62 6 75 12 75

HLT 1 1 3 3 2 2 8 5 3 2 5 3 4 3 - - 4 3

B - - 2 67 - - 2 25 1 33 3 60 1 25 - - 1 25

C 1 100 1 33 1 50 6 75 1 33 2 40 3 75 - - 2 50

FI - - - - 1 50 - - - - - - - - - - - 0

NC - - - - - - - - 1 33 - - - - - - 1 25

ICT - - - - - - - - 1 1 1 1 - - - - 3 2

B - - - - - - - - 1 100 1 100 - - - - 3 100

Industry 2 2 3 3 2 2 1 1 1 1 6 4 4 3 4 3 1 1

A 1 50 - - - - - - - - - - - - - - - -

B - - 1 33 2 100 - - - - - - - - 3 75 1 100

C - - 2 67 - - 1 100 1 100 4 67 2 50 1 25 - -

FI 1 50 - - - - - - - - 2 33 2 50 - - - -

Multisector 11 13 15 17 11 11 14 10 15 11 2 1 4 3 - - - -

A 2 18 5 33 3 27 - - 3 20 - - - - - - - -

B 6 55 5 33 3 27 5 36 5 33 2 100 3 75 - - - -

C 2 18 3 20 3 27 6 43 4 27 - - 1 25 - - - -

FI 1 9 2 13 2 18 3 21 3 20 - - - - - - - -

PSM 6 7 10 11 15 16 12 8 7 5 15 10 8 6 10 8 10 7

B - - - - - - 1 8 - - - - - - - - 1 10


Sector and

Category

2007 2008 2009 2010 2011 2012 2013 2014 2015


C 6 100 10 100 15 100 10 83 5 71 12 80 7 88 10 100 8 80

NC - - - - - - 1 8 2 29 3 20 1 13 - - 1 10

Transport 21 24 19 21 24 25 28 19 31 23 31 21 26 19 30 25 26 19

A 10 48 5 26 6 25 7 25 7 23 7 23 7 27 9 30 2 8

B, Bs 8 38 10 53 11 46 18 64 23 74 22 71 15 58 15 50 18 69

C 2 10 3 16 4 17 3 11 1 3 2 6 3 12 4 13 6 23

FI 1 5 1 5 2 8 - - - - - - 1 4 - - - -

NC - - - - 1 4 - - - - - - - - 2 7 - -

WUS 6 7 7 8 10 10 12 8 18 13 16 11 19 14 16 13 21 16

A 2 33 1 14 1 10 3 25 - - 2 13 - - - - 1 5

B 2 33 4 57 9 90 8 67 18 100 14 88 18 95 16 100 18 86

C 1 17 2 29 - - 1 8 - - - - 1 5 - - 1 5

FI 1 17 - - - - - - - - - - - - - - - -

NC - - - - - - - - - - - - - - - - 1 5

Total 86 100 90 100 96 100 146 100 135 100 145 100 135 100 122 100 134 100

ANR = agriculture and natural resources, ENV = environment, FI = financial intermediary, ICT = information and communications technology, IR = involuntary resettlement, IP =

indigenous peoples, NC = not categorized, PSM = public sector management, WUS = water and other urban infrastructure and services. Note: 1. The percentage column in bold font is the percentage of the sector based on the total percentage of all projects. The percentage column not in bold font is the

percentage of the category based on the total percentage of projects of the specific sector.

2. Bs is a category B project classification with environmentally sensitive risks.

3. A proposed project is assigned to one of the following categories depending on the significance of the potential environmental impacts and risks:

(i) Category A. Likely to have significant adverse environmental impacts and significant impacts on involuntary resettlement and indigenous peoples.

(ii) Category B. Potential adverse environmental impacts are less adverse than those of category A projects, involuntary resettlement impacts are not deemed significant, and

impacts on indigenous peoples are likely to be limited.

(iii) Category C. Likely to have minimal or no adverse environmental impacts and no involuntary resettlement impacts, and not expected to have impacts on indigenous

peoples.


Source: Loan approvals from 2005–2013 sourced from the Regional and Sustainable Development Department, Environment and Safeguards Division (RSDD-RSES) database (now

SDCC); grant approvals from 2005–2013 from the grant and information system (GFIS); and project approvals from 2014–2015 from the loan financial information system (LFIS),

and lotus notes database (LTAA). The safeguard categories were sourced from the Asian Development Bank Operations Dashboard and project data sheet (ADB website).


Table LD3a.4: Number of Projects with Environment Safeguards by Sector

Sector

Approval Safeguard Categories

Period A B C or FI Total

Transport 2005-2009 14 36 11 61

2010-2014 23 66 12 101

Energy 2005-2009 8 26 2 36

2010-2014 12 56 9 77

Water and Other Urban Infrastructure 2005-2009 4 21 1 26

2010-2014 2 55 1 58

Agriculture and Natural Resources 2005-2009 2 28 6 36

2010-2014 6 45 9 60

Multisector 2005-2009

12 17 29

2010-2014

14 14 28

Others 2005-2009 - 7 80 87

2010-2014 - 16 104 120

Note: Others include Education, Finance, Health, Industry and Trade, and Public Sector Management.





Table LD3a.5: Involuntary Resettlement Safeguards Classification of Projects by Sector, 2007–2015

Sector and

Category

2007 2008 2009 2010 2011 2012 2013 2014 2015


ANR 5 6 8 9 6 6 19 13 16 12 24 17 15 11 18 15 16 12

A - - 2 25 2 33 2 11 5 31 9 38 2 13 5 28 3 19

B 1 20 4 50 2 33 7 37 3 19 5 21 6 40 4 22 6 38

C 4 80 2 25 2 33 8 42 7 44 10 42 6 40 7 39 6 38

FI - - - - - 0 1 5 - - - - 1 7 1 6 1 6

NC - - - - - 0 1 5 1 6 - - - - 1 6 - -

Education 3 3 2 2 2 2 3 2 7 5 8 6 7 5 9 7 8 6

A - - - - - - - - 1 14 - - - - - - - -

B 1 33 - - - - 1 33 1 14 1 13 2 29 2 22 3 38

C 2 67 2 100 2 100 2 67 5 71 6 75 5 71 7 78 5 63

NC - - - - - - - - - - 1 13 - - - - - -

Energy 10 12 18 20 19 20 30 21 29 21 25 17 35 26 27 22 29 22

A 4 40 2 11 3 16 3 10 4 14 2 8 5 14 6 22 2 7

B 4 40 9 50 9 47 12 40 14 48 12 48 17 49 13 48 13 45

C 2 20 7 39 7 37 13 43 5 17 10 40 10 29 7 26 13 45

FI - - - - - - 1 3 6 21 1 4 3 9 1 4 1 3

NC - - - - - - 1 3 - - - - - - - - - -

Finance 21 24 5 6 5 5 19 13 7 5 12 8 13 10 8 7 16 12

A 1 5 - - 1 - - - - - - - - - - - - -

B, B/C 1

- - 1 20 - - - - - - - - - - - -

C 20 95 5 100 3 60 10 53 3 43 3 25 5 38 2 25 5 31

FI - - - - - - 9 47 4 57 9 75 8 62 6 75 11 69

HLT 1 1 3 3 2 2 8 5 3 2 5 3 4 3 - - 4 3

A - - 1 33 - - - - - - - - - - - - - -

C 1 100 2 67 2 100 8 100 2 67 5 100 4 100 - - 3 75

FI - - - - - - - - 1 33 - - - - - - - -

NC - - - - - - - - - - - - - - - - 1 25

ICT - - - - - - - - 1 1 1 1 - - - - - -

B - - - - - - - - - - 1 100 - - - - - 100

C - - - - - - - - 1 100 - - - - - - 3 -

Industry 2 2 3 3 2 2 1 1 1 1 6 4 4 3 4 3 1 1

A - - 1 33 1 50 - - - - - - - - - - - -

B - - - - - - - - - - - - 1 25 3 75 - -

C 2 100 2 67 1 50 1 100 1 100 4 67 1 25 1 25 1 100

FI - - - - - - - - - - 2 33 2 50 - - - -

Multisector 11 13 15 17 11 11 14 10 15 11 2 1 4 3 - - - -

A 2 18 7 47 4 36 - - 5 33 - - - - - - - -

B 5 45 4 27 3 27 2 14 1 7 1 50 1 25 - - - -

C 4 36 4 27 4 36 9 64 6 40 1 50 3 75 - - - -


Sector and

Category

2007 2008 2009 2010 2011 2012 2013 2014 2015


FI - - - - - - 3 21 3 20 - - - - - - - -

PSM 6 7 10 11 15 16 12 8 7 5 15 10 8 6 10 8 10 7

B - - - - - - 1 8 - - - - - - - - - -

C 6 100 10 100 15 100 10 83 5 71 12 80 7 88 10 100 9 90

NC - - - - - - 1 8 2 29 3 20 1 13 - 1 10

Transport 21 24 19 21 24 25 28 19 31 23 31 21 26 19 30 25 26 19

A 11 52 6 32 9 38 9 32 11 35 13 42 10 38 9 30 7 27

B 2 10 4 2 2 8 9 32 7 23 13 42 8 31 9 30 9 35

C 8 38 9 47 12 50 10 36 13 42 5 16 7 27 10 33 10 38

FI - - - - - - - - - - - - 1 4 - - - -

NC - - - - 1 4 - - - - - - - - 2 7 - -

WUS 6 7 7 8 10 10 12 8 18 13 16 11 19 14 16 13 21 16

A 2 33 3 43 1 10 3 25 1 6 5 31 5 26 2 13 2 10

B 3 50 3 43 7 70 7 58 14 78 10 63 10 53 10 63 14 67

C 1 17 1 14 2 20 2 17 3 17 1 6 4 21 4 25 4 19

NC - - - - - - - - - - - - - - - - 1 5

Total 86 100 90 100 96 100 146 100 135 100 145 100 135 100 122 100 134 100

ANR = agriculture and natural resources, ENV = environment, FI = financial intermediary, ICT = information and communications technology, IR = involuntary resettlement, IP =

indigenous peoples, NC = not categorized, PSM = public sector management, WUS = water and other urban infrastructure and services. Note: 1. The percentage column in bold font is the percentage of the sector based on the total percentage of all projects. The percentage column not in bold font is the

percentage of the category based on the total percentage of projects of the specific sector.

2. Bs is a category B project classification with environmentally sensitive risks.

3. Post-SPS started in 2010.

4. A proposed project is assigned to one of the following categories depending on the significance of the potential environmental impacts and risks:

(i) Category A. Likely to have significant adverse environmental impacts, significant impacts on involuntary resettlement and indigenous peoples.

(ii) Category B. Potential adverse environmental impacts are less adverse than those of category A projects, involuntary resettlement impacts are not deemed significant,

and impacts on indigenous peoples are limited.

(iii) Category C. Likely to have minimal or no adverse environmental impacts and no involuntary resettlement impacts, and not expected to have impacts on indigenous

peoples.



SDCC); grant approvals from 2005–2013 from the grant and information system (GFIS); and project approvals from 2014–2015 from the loan financial information system (LFIS), and

lotus notes database (LTAA). The safeguard categories were sourced from the Asian Development Bank Operations Dashboard and project data sheet (ADB website).


Table LD3a.6: Number of Projects with Involuntary Resettlement Safeguards by Sector



Transport 2005-2009 23 10 28 61

2010-2014 39 30 32 101

Energy 2005-2009 14 14 8 36

2010-2014 15 45 17 77

Water and Other Urban Infrastructure 2005-2009 9 13 4 26

2010-2014 7 41 10 58

Agriculture and Natural Resources 2005-2009 6 14 16 36

2010-2014 11 20 29 60

Multisector 2005-2009 3 11 15 29

2010-2014 2 5 21 28

Others 2005-2009 4 3 80 87

2010-2014 1 11 108 120

Note: Others include Education, Finance, Health, Industry and Trade, and Public Sector Management.





3. Operational Department

Table LD3a.7: Number of Projects with Environment Safeguards by Region and Country

Region/Country



East Asia 2007-2009 24 7 4 35

2010-2015 38 38 21 97

South Asia 2007-2009 8 38 26 72

2010-2015 21 134 51 206

Central and West Asia 2007-2009 7 24 17 48

2010-2015 18 78 38 134

Southeast Asia 2007-2009 5 22 36 63

2010-2015 7 86 88 181

Pacific 2007-2009 1 8 2 11

2010-2015

55 24 79

PSOD 2007-2009 4 8 32 44

2010-2015 18 52 48 118

Sri Lanka 2007-2009 2 4 4 10

2010-2015 4 21 7 32

Indonesia 2007-2009 1 3 15 19

2010-2015 2 11 15 28

Kyrgyz Republic 2007-2009 1 3 - 4

2010-2015 1 5 10 16

PSOD = Private Sector Operations Department





Table LD3a.8: Number of Projects with Involuntary Resettlement Safeguards by Region and Country

Region or Country



East Asia 2007-2009 22 4 9 35

2010-2015 41 14 42 97

South Asia 2007-2009 18 22 32 72

2010-2015 38 79 89 206

Central and West Asia 2007-2009 8 9 31 48

2010-2015 21 49 64 134

Southeast Asia 2007-2009 12 12 39 63

2010-2015 23 57 101 181

Pacific 2007-2009 1 6 4 11

2010-2015

28 51 79

PSOD 2007-2009 1 12 31 44

2010-2015 8 26 84 118

Sri Lanka 2007-2009 3 1 6 10

2010-2015 5 15 12 32

Indonesia 2007-2009 2 3 14 19

2010-2015 3 7 18 28

Kyrgyz Republic 2007-2009

1 3 4

2010-2015 3 13 16

PSOD = Private Sector Operations Department





4. Portfolio of Three Countries

Table LD3a.9: Environmental Safeguard Categories for Sri Lanka, Indonesia, and the Kyrgyz Republic

by Sector, 2007–2015

Sri Lanka Indonesia Kyrgyz

2007-

2009

2010-

2015

2007-

2009

2010-

2015

2007-

2009

2010-

2015

No. % No. % No. % No. % No. % No. %

ANR - - 1 3 - - 1 4 1 33 - -

A - - 1 100 - - - - - - - -

B - - - - - - 1 100 1 10 - -

EDU 1 10 2 6 1 5 1 4 - - 2 13

B - - 2 100 - - - - - - - -

C 1 100 - - 1 100 1 100 - - 2 100

ENE 1 10 4 13 - 0 7 25 - - 2 13

A - - 2 50 - - 2 29 - - - -

B 1 100 2 50 - - 4 57 - - 2 100

C - - - - - - 1 14 - - - -

FIN 2 20 3 9 4 21 4 14 - - 2 13

C - - 2 50 2 50 - - - -

FI 2 100 3 100 2 50 2 50 - - 2 100

HLT - - 1 3 1 5 - - - - - -

C - - - - 1 100 - - - - - -

NC - - 1 100 - - - - - - - -

IND 1 10 1 3 1 5 - - - - 2 13

A - - - - 1 100 - - - - - -

C - - - - - - - - - - 1 50

FI 1 100 1 100 - - - - - - 1 50

MUL - - 3 9 5 26 3 11 - - 1 6

B - - 3 100 3 60 1 33 - - 1 100

C - - - - 2 40 2 67 - - - -

PSM - - 1 3 6 32 5 18 - - 2 13

C - - 1 100 6 100 5 100 - - 2 100

TRA 3 30 8 25 - 0 3 11 1 33 5 31

A 2 67 - - - - - - - - 1 20

B 1 33 8 100 - - 1 33 1 100 2 40

C - - - - - - 2 67 - - 2 40

WUS 2 20 8 25 1 5 4 14 1 33 - -

A - - 1 13 - - - - 1 100 - -

B 2 100 7 88 - - 4 100 - - - -

FI - - - - 1 100 - - - - - -

Total 10 100 32 100 19 100 28 100 3 100 16 100

ANR = agriculture and natural resources, EDU = education, ENE = energy, FI = financial intermediary, FIN = financial, HLT = health,

ICT = information and communications technology, IR = involuntary resettlement, IP = indigenous peoples, PSM = public sector

management, PSM = public sector management, TRA = transport, WUS = water and other urban infrastructure and services.

Note: 1. The percentage column in bold font is the percentage of the sector based from the total percentage of all

projects. The percentage column which is not in bold font is the percentage of the category based on the total percentage of

projects of the specific sector.

2. Implementation of the Safeguard Policy Statement began in 2010.

3. A proposed project is assigned to one of the following categories depending on the significance of the potential

environmental impacts and risks:

(i) Category A. Likely to have significant adverse environmental impacts, significant impacts on involuntary

resettlement and Indigenous Peoples.

(ii) Category B. Potential adverse environmental impacts are less adverse than those of category A projects, involuntary

resettlement impacts are not deemed significant, and impacts on indigenous peoples are likely to be limited.

(iii) Category C. Likely to have minimal or no adverse environmental impacts and no involuntary resettlement impacts,

and not expected to have impacts on indigenous peoples.

(iv) Category FI. Involves the investment of ADB funds to, or through, a financial intermediary

Source: Loan approvals from 2005–2013 sourced from the Regional and Sustainable Development Department, Environment and

Safeguards Division (RSDD-RSES) database (now SDCC); grant approvals from 2005–2013 from the grant and information system (GFIS);

and project approvals from 2014–2015 from the loan financial information system (LFIS), and lotus notes database (LTAA). The

safeguard categories were sourced from the Asian Development Bank Operations Dashboard and project data sheet (ADB website).


Table LD3a .10: Involuntary Resettlement Safeguard Categories for Sri Lanka, Indonesia, and the Kyrgyz

Republic by Sector, 2007–2015

Sri Lanka Indonesia Kyrgyz

2007-

2009

2010-

2015

2007-

2009

2010-

2015

2007-

2009

2010-

2015

No. % No. % No. % No. % No. % No. %

ANR - - 1 3 - - 1 4 1 33 - -

B - - 1 100 - - 1 100 - - - -

C - - - - - - - - 1 100 - -

EDU 1 10 2 6 1 5 1 4 - - 2 13

C 1 100 2 100 1 100 1 100 - - 2 100

ENE 1 10 4 13 - - 7 25 - - 2 13

A 1 100 2 50 - - 2 29 - - - -

B - - 2 50 - - 3 43 - - 1 50

C - - - - - - 2 29 - - 1 50

FIN 2 20 3 9 4 21 4 14 - - 2 13

A - - - - 1 25 - - - - - -

C 2 100 - - 3 75 2 50 - - - -

FI - - 3 100 - - 2 50 - - 2 100

HLT - - 1 3 1 5 - - - - - -

C - - - - 1 100 - - - - - -

NC - - 1 100 - - - - - - - -

IND 1 10 1 3 1 5 - - - - 2 13

B - - - - - - - - - - 1 50

C 1 100 - - 1 100 - - - - - -

FI - - 1 100 - - - - - - 1 50

MUL - - 3 9 5 26 3 11 - - 1 6

A - - - - 1 20 - - - - - -

B - - 1 33 2 40 - - - - - -

C - - 2 67 2 40 3 100 - - 1 100

PSM - - 1 3 6 32 5 18 - - 2 13

C - - 1 100 6 100 5 100 - - 2 100

TRA 3 30 8 25 - - 3 11 1 33 5 31

A 1 33 2 25 - - 1 33 - - - -

B - - 5 63 - - - - - - 1 20

C 2 67 - - - - 2 67 1 100 4 80

NC - - 1 13 - - - - - - - -

WUS 2 20 8 25 1 5 4 14 1 33 - -

A 1 50 1 13 - - - - - - - -

B 1 50 6 75 1 100 3 75 - - - -

C - - 1 13 - - 1 25 1 100 - -

Total 10 100 32 100 19 100 28 100 3 100 16 100

ANR = agriculture and natural resources, EDU = education, ENE = energy, FI = financial intermediary, FIN = financial, ICT = information

and communications technology, IR = involuntary resettlement, IP = indigenous peoples, PSM = public sector management, PSM =

public sector management, TRA = transport, WUS = water and other urban infrastructure and services.

Note: 1. The percentage column in bold font is the percentage of the sector based from the total percentage of all projects. The

percentage column which is not in bold font is the percentage of the category based on the total percentage of projects of the

specific sector.

2. Implementation of the Safeguard Policy Statement began in 2010.

3. A proposed project is assigned to one of the following categories depending on the significance of the potential


(i) Category A. Likely to have significant adverse environmental impacts and significant impacts on involuntary

resettlement and indigenous peoples.


resettlement impacts that are not deemed significant, and impacts on indigenous peoples are likely to be limited.

(iii) Category C. Likely to have minimal or no adverse environmental impacts and no involuntary resettlement impacts, and

not expected to have impacts on indigenous peoples.




and project approvals from 2014–2015 from the loan financial information system (LFIS), and lotus notes database (LTAA). The safeguard

categories were sourced from the Asian Development Bank Operations Dashboard and project data sheet (ADB website).


a. Sri Lanka

FI = financial intermediary, N= number, NC = not categorized

Note: A proposed project is assigned to one of the following categories depending on the significance of the potential environmental

impacts and risks:

(i) Category A. Likely to have significant adverse environmental impacts and significant impacts on involuntary resettlement

and indigenous peoples.


resettlement impacts are not deemed significant, and likely to have limited impacts on indigenous peoples.

(iii) Category C. Likely to have minimal or no adverse environmental impacts and no involuntary resettlement impacts, and not

expected to have impacts on indigenous peoples.






1. Sri Lanka’s portfolio of projects has changed in recent years, particularly following the adoption of the

Safeguard Policy Statement (SPS). In the post-SPS period there has been a lower proportion of category A

projects than before and a considerably higher proportion of category B projects, indicating a greater share of

projects classified as carrying fewer environmental impacts. The percentage of Category A projects covered by

environmental safeguards decreased from 22% in the pre-SPS period to 14% under the SPS (Figure LD3a.2).

25%

50%

22% 14%

25% 33% 33%

50%

100% 44%

75%

83% 83%

75%

100%

50%

67%

25%

11%

4% 17%

50%

22%

7% 17% 17%

0%

20%

40%

60%

80%

100%

2007

(N=4)

2008

(N=2)

2009

(N=3)

Pre-SPS

(N=9)

Post-SPS

(N=28)

2010

(N=6)

2011

(N=6)

2012

(N=4)

2013

(N=3)

2014

(N=6)

2015

(N=3)

Figure LD3a.2: Environmental Safeguard Risk Classification for Projects Approved Before and

After Adoption of the Safeguard Policy Statement in Sri Lanka

A B C FI NC


N = number NC = not categorized

Note: A proposed project is assigned to one of the following categories depending on the significance of the potential













2. Figure LD3a.3 presents the statistics for Sri Lanka projects involving involuntary resettlement. Category

A for involuntary resettlement fell from 22% in the pre-SPS period to 18% in the post-SPS period, a similar

trend to that for environmental Category A projects. However, there was a significant increasing trend in

Category A projects from 2011 to 2014.

100%

33% 22% 18% 17%

25% 33% 33%

33%

11%

54%

50%

50%

75%

33% 33% 100% 100%

33%

67%

21% 50%

17%

33%

17%

7% 17% 17%

0%

20%

40%

60%

80%

100%

2007

(N=4)

2008

(N=2)

2009

(N=3)

Pre-SPS

(N=9)

Post-SPS

(N=28)

2010

(N=6)

2011

(N=6)

2012

(N=4)

2013

(N=3)

2014

(N=6)

2015

(N=3)

Figure LD3a.3: Involuntary Settlement Safeguard Risk Classification for Projects Approved Before

and After Adoption of the Safeguard Policy Statement in Sri Lanka

A B C FI NC


b. Indonesia

NC = not categorized


impacts and risks:

(i) Category A. Likely to have significant adverse environmental impacts, significant impacts on involuntary resettlement and

indigenous peoples.










3. In Indonesia, there has been a lower proportion of category A projects in the post-SPS period. There

has been a considerably higher proportion of category B projects, indicating an increased share of projects

with fewer environmental impacts. Environmental safeguard category A projects increased from 0% in the pre-

SPS period to 4% under the SPS until 2015. The increase was relevant in 2013.

4%

25% 33%

17% 19%

33%

20%

40%

50% 100%

33%

100%

67%

67% 75%

54% 80% 40%

100%

67%

17% 6% 8%

20% 25%

0%

20%

40%

60%

80%

100%

2007

(N=4)

2008

(N=6)

2009

(N=6)

Pre-SPS

(N=16)

Post-SPS

(N=24)

2010

(N=5)

2011

(N=5)

2012

(N=5)

2013

(N=4)

2014

(N=2)

2015

(N=3)

Figure LD3a.4: Environmental Safeguard Risk Classification for Projects Approved Before and After

Adoption of the Safeguard Policy Statement in Indonesia

A B C FI


NC = not categorized Note: A proposed project is assigned to one of the following categories depending on the significance of the potential environmental

impacts and risks:





(iii) Category C. Likely to have minimal or no adverse environmental impacts, if it has no involuntary resettlement impacts, and

if it is not expected to have impacts on indigenous peoples.






4. Figures LD3a.5 presents the statistics for the involuntary resettlement in Indonesia. As category FI did

not exist in the pre-SPS period for IR, the percentage of FI projects jumps from 0% in the pre-SPS period to 4%

under the SPS. The percentage of Category A projects for involuntary resettlement fell from 11% of projects in

the pre-SPS period to 8% in the post-SPS period.

17% 17% 11% 8% 20% 25%

17% 17% 16% 25%

20%

50% 100%

33%

100%

67% 67% 74% 63%

80%

60% 100%

25%

67%

4%

20%

0%

20%

40%

60%

80%

100%

2007

(N=4)

2008

(N=6)

2009

(N=6)

Pre-SPS

(N=19)

Post-SPS

(N=24)

2010

(N=5)

2011

(N=5)

2012

(N=5)

2013

(N=4)

2014

(N=2)

2015

(N=3)

Figure LD3a.5: Involuntary Resettlement Safeguard Risk Classification for Projects Approved

Before and After Adoption of the Safeguard Policy Statement in Indonesia

A B C FI


c. Kyrgyz Republic

NC = not categorized


impacts and risks:

(i) Category A. Likely to have significant adverse environmental impacts and significant impacts on involuntary

resettlement and indigenous peoples.



(iii) Category C. Likely to have minimal or no adverse environmental impacts, no involuntary resettlement impacts, and not







5. For the portfolio of projects in the Kyrgz Republic, the proportion of category A projects in the post-

Safeguard Policy Statement (SPS) period fell significantly compared with the pre-SPS period. There has also

been also a considerable decrease in the proportion of category B projects, indicating a decreased share of

projects classified as carrying some level of environmental risk. Environmental safeguard category A projects

fell from 33% of projects in the pre-SPS period to 7% in the post-SPS period.

50%

33%

7%

100% 100%

50%

67%

36%

100%

33% 25%

50%

100% 33%

75%

100%

7%

33%

0%

20%

40%

60%

80%

100%

2007

(N=1)

2009

(N=2)

Pre-SPS

(N=3)

Post-SPS

(N=14)

2010

(N=3)

2011

(N=1)

2012

(N=1)

2013

(N=3)

2014

(N=4)

2015

(N=2)

Figure LD3a.6: Environmental Safeguard Risk Classification for Projects Approved Before and

After Adoption of the Safeguard Policy Statement in the Kyrgyz Republic

A B C FI


NC = not categorized Note: A proposed project is assigned to one of the following categories depending on the significance of the potential environmental

impacts and risks:












6. As the financial intermediary category did not exist in the pre-SPS period for involuntary resettlement,

the percentage of such projects jumps from 0% in the pre-SPS period to 7% under the SPS. The percentage of

involuntary resettlement category B projects increased from 0% to 21%. Category C projects have dominated

the portfolio in the pre- and post-SPS periods.

21% 33%

67%

100% 100% 100%

71%

67%

100% 100% 100% 100%

7%

33%

0%

20%

40%

60%

80%

100%

2007

(N=1)

2009

(N=2)

Pre-SPS

(N=3)

Post-SPS

(N=14)

2010

(N=3)

2011

(N=1)

2012

(N=1)

2013

(N=3)

2014

(N=4)

2015

(N=2)

Figure LD3a.7: IR Safeguard Risk Classification for Projects Approved Before and After Adoption

of the Safeguard Policy Statement in the Kyrgyz Republic

A B C FI

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