linked document 3a: portfolio analysis · ip: 10-mar-15 cwen cwrd ... linked document 3a: portfolio...
TRANSCRIPT
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
4 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
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
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
(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
(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
6 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
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
(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.
Linked Document 3a: Portfolio Analysis 7
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
No. % No. % No. % No. % No. % No. % No. % No. % No. %
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
8 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
Sector and
Category
2007 2008 2009 2010 2011 2012 2013 2014 2015
No. % No. % No. % No. % No. % No. % No. % No. % No. %
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.
(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).
Linked Document 3a: Portfolio Analysis 9
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.
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).
10 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
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
No. % No. % No. % No. % No. % No. % No. % No. % No. %
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 - - - -
Linked Document 3a: Portfolio Analysis 11
Sector and
Category
2007 2008 2009 2010 2011 2012 2013 2014 2015
No. % No. % No. % No. % No. % No. % No. % No. % No. %
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.
(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).
12 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
Table LD3a.6: Number of Projects with Involuntary Resettlement Safeguards by Sector
Approval Safeguard Categories
Period A B C or FI Total
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.
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).
Linked Document 3a: Portfolio Analysis 13
3. Operational Department
Table LD3a.7: Number of Projects with Environment Safeguards by Region and Country
Region/Country
Approval Safeguard Categories
Period A B C or FI Total
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
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).
14 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
Table LD3a.8: Number of Projects with Involuntary Resettlement Safeguards by Region and Country
Region or Country
Approval Safeguard Categories
Period A B C or FI Total
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
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).
Linked Document 3a: Portfolio Analysis 15
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).
16 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
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
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 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.
(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).
Linked Document 3a: Portfolio Analysis 17
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.
(ii) Category B. Potential adverse environmental impacts are less adverse than those of category A projects, involuntary
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.
(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).
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
18 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
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.
(ii) Category B. Potential adverse environmental impacts are less adverse than those of category A projects, involuntary
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.
(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. 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
Linked Document 3a: Portfolio Analysis 19
b. Indonesia
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, 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).
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
20 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
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.
(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, if it has no involuntary resettlement impacts, and
if it is 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).
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
Linked Document 3a: Portfolio Analysis 21
c. Kyrgyz Republic
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.
(ii) Category B. Potential adverse environmental impacts are less adverse than those of category A projects, involuntary
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, 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).
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
22 Real-Time Evaluation of ADB’s Safeguard Implementation Experience Based on Selected Case Studies
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.
(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).
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