1

Urban Climate Change Resilience Trust Fund

under the
Urban Financing Partnership Facility
Implementation Guidelines

I. INTRODUCTION OF UFPF

1. In December 2009, the Asian Development Bank (ADB) established the Urban
Financing Partnership Facility1 (UFPF) to provide additional financial resources and technical
support for components of investment projects to improve sustainable urban development in
Developing Member Countries (DMCs).

2. The UFPF includes:

a. A multidonor Urban Environmental Infrastructure Trust Fund (UEIF)

b. Single donor urban trust funds (UTFs);
c. Framework agreements with partners for:

(i) co-financing, i.e., parallel or joint financing of lending and non-lending

assistance to ADB’s DMCs;
(ii) knowledge sharing, i.e., secondments, networks, etc.
(iii) risk sharing, i.e., credit enhancement, performance guarantees, etc.

d. Other forms of assistance.

3. These implementation guidelines (IG) set out the UFPF governance structure, activities
and processes which are eligible for funding a new trust fund being set up under the UFPF, the
Urban Climate Change Resilience Trust Fund (UCCRTF). They also set out further details on
the use of funds by ADB and the Participating Institutions which enter into a Transfer Agreement
with the ADB through ADB procurement. For UCCRTF the IG on the use of funds will
substantially follow the conditions set out in the Board Paper. The RF proposal, DFID Business
Case, and the program log frame will further guide the activities of the UCCRTF.

II. GOVERNANCE STRUCTURE OF UFPF2

4. The governance structure of UFPF will prevail for UCCRTF (Appendix 1). The Financing
Partners and ADB will jointly steer the implementation of the UFPF. Financing Partners and
ADB will do this by meeting annually to review progress and discuss administration matters,
Annual Work Programs, including pipeline list of proposed projects and the strategic direction of
UFPF. For the first two years of implementation, the UCCRTF partners will meet twice yearly in
Manila or via video conference.

1
ADB. 2009. Urban Financing Partnership Facility: Establishment of the Urban Environmental Infrastructure Fund
and Urban Trust Funds (The Board Paper). Manila.
2
An organization chart for the governance of UFPF is attached as Appendix 1.

 2

5. The Urban Infrastructure Steering Committee (UISC) will provide strategic direction for
the UFPF based on these guidelines, the outcomes of annual meetings with financing partners
and ADB's strategic priorities. The Chair of the UISC will be the designated authority for
approving allocation of UFPF resources for specific projects. Chair UISC: Director General,
Regional and Sustainable Development Department (RSDD); Members UISC: Director
Generals of user departments (UDs).

6. An Urban Infrastructure Working Group (UIWG) will review and make recommendations
on projects proposals for assistance from the UFPF, and make policy and procedural
recommendations to the UISC regarding UFPF operations. Chair UIWG: Director General,
RSDD (or designate) or Chair Urban Community of Practice; Members UIWG: Urban
Development Specialists from each UD.

7. The Regional Sustainable Infrastructure Division (RSID) of RSDD will manage the
UFPF. Director, RSID or his/her designate will be the Facility Manager for the UFPF and will
oversee the day to day operations, monitoring and evaluation, and reporting of the UFPF, with
assistance from a team of consultants who have technical and administrative expertise serving
in a management unit. The Facility Manager will serve as the secretariat for UFPF operations,
prepare semi-annual progress reports on the UFPF and serve as the focal point for UFPF
partners for technical matters.

8. The Office of Cofinancing Operations (OCO) will facilitate contributions to the UEIF,
UCCRTF and UTFs, and act as the official channel of communication for financial issues
between ADB and UFPF partners. OCO will also lead negotiations and discussions with such
partners on procedural agreements for contributions and framework agreements, where
applicable.

III. ELIGIBILITY CRITERIA for UCCRTF

9. Core Principles of UCCRTF

A. Objectives: UCCRTF aims to work in up to 25 secondary cities3 across the 6

priority countries4 in order to:

a. Improve the quality of plans and measures underpinning city development

in climate vulnerable areas;
b. Attract additional public and private finance for new investment
opportunities that will protect the poor from climate impacts; and
c. Promote effective schemes and lesson learning between cities and wider
audiences for wider replication.

3
Cities will be prioritized based on climate change and likely disaster impacts (cities with 1 in 20 year probability of
an event) and where municipal governments are strongly committed to the core principles of UCCR.
4
Bangladesh, India, Indonesia, Pakistan, the Philippines, and Viet Nam.
 3

B. Process: Investments made with funds from the UCCRTF are expected to be
informed by an integrated, inclusive city planning process which responds to
three interlocking frameworks of analysis (Figure 1):

a. urban systems and projections in

terms of growth, development,
investments, city development
priorities and strategies;
b. projections of direct and indirect
climate impacts; and
c. understanding of the vulnerable
populations within the city who will
face high exposure and risk to
direct and indirect climate impacts
and who have limited coping
capacity with which to weather
these impacts and shocks. This will
be based on the identified needs of
poor and otherwise through
vulnerability analysis.
Figure 1: Urban Climate Change Resilience
Framework

Through these analyses, it is expected that emerging projects would hit the ‘sweet spot’ (shaded
area in Figure 1) where they would be able to demonstrate how poor and vulnerable
communities are being targeted, resilient principles are being incorporated5, and how the
specific design builds resilience of systems and people to climate change 6.

C. Integration and leverage – In order to achieve the outcomes sought by the

UCCRTF, projects should further seek to:

a. Integrate with other urban climate change resilience building efforts in that
city/country and across Asia, including past and existing interventions of
the financing partners within or additional to UCCRTF;
b. Identify opportunities for scaling up ADB operations in urban
development, particularly focused on building resilience to climate
change; and

5
City resilience is the ability of the city to support its residents—particularly its poor and vulnerable ones—so they
can thrive no matter what kinds of stresses and shocks they encounter. The core characteristics of resilience
include: spare capacity, which ensures that there is a backup or alternative available when a vital component of a
system fails; flexibility, the ability to change, evolve, and adapt in the face of a disaster; limited or “safe” failure
,which prevents failures from ripping across systems, rapid rebound, the capacity to re-establish function and
avoid long term disruptions; constant learning, with robust feedback loops that sense and allow new solutions as
conditions change.
6
For instance through change to location, design features, increased flexibility of design, and any increased
incremental costs.
 4

c. Identify opportunities to leverage private sector led infrastructure projects

to contribute towards improved climate change resilience of people and
infrastructure.

10. General Criteria. All DMCs are eligible for UFPF resources, but project proposals for
DMCs in UCCRTF support would be limited to the 6 priority DMCs7. Project proposals for
UCCRTF support should:

a. be consistent with the country partnership strategy and results framework;

b. be consistent with the objectives of ADB’s Urban Operational Plan under the
Strategy 2020 and Priorities for Action on Climate Change;
c. have clear benefits in terms of building resilience to climate change and, if
appropriate, also reducing greenhouse gas emissions;
d. have high demonstration value in the sector;
e. have good potential for replication and scalability in the country and/or region;
f. adopt a participatory approach;
g. have potential for partner cooperation; co-financing and leverage
h. have clear benefits for reducing vulnerability and building the resilience of poor
communities; and
i. adopt and demonstrate integrated urban planning principles.

11. Specific Criteria. Project proposals such as the following project categories may qualify
for UCCRTF support. Although not intended to be exhaustive; any projects that can (i)
demonstrate how resilience principles have been incorporated into the design of their program;
(ii) emerge from an integrated climate resilience planning process as a prioritized investment;
(iii) highlight how this project fits with other urban climate change resilience (UCCR) planned or
existing planning and soft interventions; and (iv) make deliver improved infrastructure or service
delivery, targeted at the poor and otherwise vulnerable (especially women) may be considered.

1. Urban Climate Change Resilience Planning, Institution and Community

Capacity Building, and Study Projects

a. Strengthening institutional and community capacity to undertake multi-

stakeholder and multi-sectoral urban climate change resilience planning
and strategy development;
b. Strengthening institutional capacity for climate-resilient infrastructure
planning for new and existing transport, energy, water, wastewater
systems, solid waste management;
c. Integrating urban climate change resilience into city development
strategies and master plans;

7
Bangladesh, India, Indonesia, Pakistan, the Philippines, Viet Nam. Work in non-priority countries may be
considered if there is exceptional demonstration value, add needed diversity to the portfolio of projects, and have
exceptional impact on poverty indicators. New country work would require agreement from UCCRTF financing
partners.
 5

d. Development of policy, regulations, standards and design for resilience

provisions in land-use planning and infrastructure provision as a key
aspect of sustainable service delivery; and
e. New technical and sector studies at city-scale (e.g. hydrology modeling)
that incorporates assessment of climate change and vulnerability.

2. Building Climate Resilient Health Systems and Services Projects

a. Disease and other relevant public health surveillance and response

systems for climate related illness;
b. Improving the capacity and response capability of health providers on
climate change and health; and
c. Health insurance products for poor households in climate affected health
contexts.

3. Urban Ecosystems Strengthening and Ecosystems Services Projects

a. Coastal protection and restoration, including better land-use planning and

management;
b. Coral reef protection and restoration; and
c. Investment in storm water retention ponds and flexible “green”
infrastructure, including wetland protection and restoration.

4. Urban Solid Waste Management, Drainage and Flood Management Projects

a. Improved solid waste management systems including waste separation,

disposal and recycling;
b. Climate proofing of waste storage and disposal sites;
c. Climate-proofing drainage infrastructure and management systems; and
d. New / augmented drainage, flood control and coastal protection
investments.

5. Strengthening and Diversifying Climate Vulnerable Urban Livelihood

Projects including a fund to support urban poor led initiatives

a. Financial and technical support for diversified income sources, particularly

targeting poor and vulnerable populations;
b. Business loans, guarantees, and credit schemes to support the launching
of enterprises that enable vulnerable communities to cope with urban
climate change risks.
c. Community led initiatives in targeted vulnerable areas around housing,
land use, and water.
 6

6. Urban Climate Resilience Education, Awareness Building and Citizen

Monitoring Projects

a. Development and implementation of urban climate change resilience-

focused education curriculum ;
b. Design and implementation of citizen urban service monitoring projects
(e.g. water quality and availability, drainage failure etc); and
c. Urban climate change resilience journalism training initiatives and media
outreach.

7. Improved Urban Emergency Management Projects (based on incorporation

of climate change assessments)

a. Storm protection;
b. Early warning systems;
c. Community awareness and preparedness measures;
d. Financial services and protection;
e. Risk insurance and catastrophe bonds; and
f. Contingency planning and budgeting

8. Knowledge Generation, Dissemination and Use

a. Establishment of peer learning networks in the emerging field of urban

climate change resilience;
b. Development case studies, practice guides, planning frameworks,
templates, toolkits, practice notes, sector studies, other knowledge
generated products from reflective learning processes, and knowledge
dissemination platforms that that promote the sharing of lesson learning
between target cities and wider audiences, build evidence around urban
climate change adaptation in practice;
c. Monitoring and evaluation systems and special reports to track program
progress;
d. Curriculum development and training of city planners, urban
professionals, and urban poor groups on urban climate change resilience;
and
e. Local, national and international conferences, workshops and
communications activities that share knowledge gained from this
program; raise the profile of UCCR issues within broader urban
development frames; build local and national level support for greater
action and investment in urban climate change resilience.
 7

9. Climate-resilient Urban Water Management Projects (demand management

and supply measures based on specific climate change assessments)

a. Climate-proofing water supply, storage and wastewater infrastructure

investments;
b. Measures to build redundancy and increase availability of water supply at
household / community levels;
c. Improved demand-side management and rainwater harvesting at
residential, commercial and industrial levels;
a. Water quality and water source protection (e.g. protection against
salinization, contamination from flooding events, leaching) including
investments in groundwater protection and recharge;
b. Improved water resources monitoring, coordination, and management
systems, including meters/information communication technology (ICT);
and
c. Use of climate information in the routine management of large scale
water infrastructure (e.g. reservoirs / dams, and water treatment plants).

10. Urban Climate Change Resilient Housing and Transportation System

Projects

a. Development, sensitization, and implementation of urban climate resilient

building codes and standards;
b. Storm and flood resilient housing;
c. Safe evacuation systems, particularly for poor and vulnerable
populations;
d. New transportation infrastructure that is appropriately integrated into land-
use and flood plans; and
e. Refurbishment and improved maintenance of transport infrastructure
support systems, including power supplies, signal/information
communication technology (ICT) systems, fuel storage and distribution
systems to enhance resilience capability for sustainable service delivery,
especially during emergency situations.

11. Low Carbon and Climate Resilient Development Projects

a. Converting solid waste management to energy projects;

b. Investments in low carbon and climate resilient public transport
transportation;
c. Energy efficient and climate resilient buildings;
d. Investments in resilient heating/cooling production and distribution
networks; and
e. Investments in decentralized, renewable energy production that increases
redundancy and resilience of energy provisioning systems.
 8

IV. USE OF UCCRTF FUNDS

12. It is envisaged that the resources in the UCCRTF will be divided as follows: (i)
approximately 70% for grant components of investments for project preparation, investment
finance, used to improve technologies and to back financing mechanisms or risk sharing
facilities in support of the above process criteria and activities; (ii) approximately 20% for
technical assistance (TA) projects that fund consulting services and related equipment and
works related to climate resilience planning and project development; and (iii) approximately
10% for knowledge related activities (5% will be monitoring and evaluation initiatives). In
addition to the above, a maximum of 25% of the non-investment grant component may be used
for direct charges.

13. From the effective date of UCCRTF and for a period of twenty four (24) months,
extendable to up to thirty six (36) months the following provisions would apply:

a. A sum of $5,000,000 in technical assistance funds would be available towards

eligible projects being developed by ADB’s PSOD for designing and
implementing climate change resilience and adaptation elements in private
sector projects; and
b. A sum of $25,000,000 would be available to be used as a grant component of
investment for eligible PSOD investment projects in urban areas for incorporating
climate change resilience and adaptation elements in private sector projects.

After the 24 month period, the allocation and disbursement of UCCRTF funds for private sector
operations will be reviewed.

14. UCCRTF resources are to be used for:

1. Technical Assistance

a. Depending on procurement arrangements for each component, the

maximum contribution to a given city from UCCRTF for technical
assistance is $1 million for single country projects and $3 million for
regional projects.

b. Funds can finance consulting services, equipment and works for:

(i) economic and sector work linking urban environmental

infrastructure investments and programs to climate change
resilience;
(ii) capacity building and analytical work to support the preparation of
actionable climate change resilience strategies and plans at city
level;
(iii) developing and preparing projects, transactions and programs for
investment;
(iv) sharing project development costs for investment in combination
with other government, donor, and commercial funding;
 9

(v) transfer of technology, knowledge and experience relating to

urban climate resilience, both to participating cities and from
UCCRTF outwards in order to contribute to global knowledge;
(vi) build the capacity of market actors and the supporting systems in
the context of implementing climate resilient urban environmental
infrastructure investments and programs;
(vii) commercialize and replicate new climate resilient urban
environment infrastructure finance instruments;
(viii) formulation and implementation of non-investment measures i.e.,
policies, regulations, standards, capacity building of city
governments, non-governmental organizations, communities and
community based organizations, financial institutions, etc.; or soft
projects, such as early warning systems, climate related disease
surveillance, and other critical measures that are non-revenue
generating.

2. Grant Components of Investments

a. Resources from the UCCRTF can only be accessed as part of a new

ADB project, an addition to an ongoing project or project comprising part
of a program in which ADB is a partner. Projects will need to clearly
demonstrate where the climate resilience aspects of the investment are,
and why a grant component is required. Projects where there is a need to
subsidize cost of climate change resilience-related components to ensure
poverty alleviation and/or inclusiveness of the projects are preferred.
b. The maximum contribution of funds available per project shall not exceed
10% of total ADB loan amount. For multi-tranche financing facilities, the
funds available will be 10% of the tranche that it will support. However in
exceptional circumstances, and where it is justified, a higher percent of
funding may be considered. In such cases, UDs would be asked to justify
the amount of UCCRTF financing based on rational such as investment
scope, total financing plan, and financial sustainability of the project. The
UISC would examine the proposal closely.
c. In addition, to all activities outlined in the technical assistance section
above funds can be used to procure goods and works based on
advanced technologies to promote urban climate change resilience.
d. Funds are not meant to be used to cover financing gaps of ADF8
countries but can be used towards leveraging and enhancing the
commercial viability of the urban infrastructure projects that clearly have a
climate resilience element.

8
Asian Development Fund (ADF) countries are defined as countries that have access to the ADF. These countries
have the greatest development challenges and are eligible to receive very low interest loans and grants.
Relevant countries for UCCRTF include Viet Nam, Bangladesh and Pakistan.
 10

3. Direct Charges

a. Resources from the UCCRTF can be used as additional resources for

project-related and operational-related expenses provided these are
direct and identifiable9. Such activities include:

(i) consultant services and related expenses;

(ii) service contractors, such as translators, assistant researchers or
secretaries etc.;
(iii) conferences, forums, workshops, seminars, surveys, etc.,
including related expenses;
(iv) travel by staff as resource speakers, government officials, and
other stakeholders to regional events;
(v) facilitating learning events such as study tours for government
officials and others;
(vi) rental and associated costs for office space, in cases where
headquarters space is not available to accommodate any type of
non-ADB personnel engaged for the operation of the UCCRTF;
(vii) purchasing and/or renting office equipment relevant for the
UCCRTF operations; and
(viii) dedicated staff resources hired for specific period of time for the
UCCRTF
b. Resources from the UCRRTF can be used as fees for external audit and
financial charges for the trust funds under UCCRTF in case the
interest/investment income earned from received funds is insufficient to
cover these items.

V. APPLICATION PROCESS UNDER UCCRTF

15. Project proposals can be initiated by agencies in recipient countries, development

partners, and ADB. Buy-in and ownership from the concerned government, particularly city
government, will be required. Before the beginning of each year, UDs will send a list of
prioritized project proposals for which they will be submitting applications to the Facility Manager
for inclusion in the Annual Work Program.

16. Project proposals in non-priority countries, or that are above the financial limits outlined
in these IG’s, may be considered if there is exceptional demonstration value, add needed
diversity to the portfolio of projects, and have exceptional direct impact on poverty indicators.
New country work would require consultation with UCCRTF financing partners before approval.

9
Expenses are direct and identifiable if they relate (i) to the activity of a project which is financed by the UCCRTF,
or (ii) to an activity which is related directly to the operation of the UCCRTF ahen the UCCRTF is the only source
of financing for such activity.
 11

1. Technical Assistance/Grant Component of Investments

17. UDs will prepare a project proposal using the application form (Appendix 2) and draft
concept paper in standard ADB concept paper format and will submit them to the Facility
Manager. Applications will be reviewed in batches. Due dates for applications will be:

(i) 31 January (ii) 31 March (iii) 31 May

(iv) 31 July (v) 30 September (iv) 30 November

18. The Facility Manager will review the applications to ensure that they comply with the
Implementation Guidelines for the use of funds and the eligibility criteria outlined above. If the
application does not meet the criteria, the Facility Manager will discuss the issues with the UD
for revision or withdrawal. If the application complies, the Facility Manager will include it in the
batch for circulation to the UIWG. For each proposal, the Facility Manager will make a
recommendation to the UIWG, based on the following criteria: (i) how the project is targeting
vulnerable poor; (ii) how well the project can demonstrate changes made to design, location, or
targeting to ensure resilience infrastructure and the overall contribution of the project to building
the city’s resilience to climate change; (iii) the need to fund a viability and/or capacity gap for a
particular environmental climate resilience -related or urban renewal project; (vi) how city
resilience planning and the implementation of non-infrastructure projects related to resilience –
building are incorporated into the project; and (v) the likelihood that the project will be
implemented in a timely fashion. The Facility Manager will also advise the UIWG on the
availability of UCCRTF resources to support the applications. The Facility Manager will be
assisted by a team of consultants with technical and administrative expertise.

19. The UIWG will have 7 working days for review, comment, and endorsement. The UD will
then have 5 working days to take the comments into consideration and revise (if necessary) the
application. Once completed, the Facility Manager will forward the batch to the UISC to approve
the allocation of resources from the UCCRTF. A flow-chart of this process is attached in
Appendix 3.

20. After approval by the UISC for fund allocation, ADB-funded projects will be processed
following ADB’s standard policies, procedures, and guidelines for TA and loan approval,
including consulting services and procurement, social and environmental safeguards, financial
management and reporting, and anticorruption and governance.

2. Direct Charges

21. UDs will prepare applications using the application form (Appendix 4) and will submit
them to the Facility Manager. The Facility Manager will review the applications to ensure that
they comply with the Implementation Guidelines for the use of funds. If the application does not
comply the Facility Manager will discuss the issues with the UD for revision or withdrawal. If the
application complies, the Facility Manager can approve the allocation of resources from the
UCCRTF. A flow-chart of this process is attached in Appendix 5.
 12

VI. PROJECT IMPLEMENTATION

22. Project implementation, supervision, and monitoring will be conducted by UDs following
ADB’s standard policies, procedures, and guidelines, including consulting services and
procurement, social and environmental safeguards, financial management and reporting,
monitoring and evaluation of the program and anticorruption and governance. During
implementation, RSID will coordinate with other planning, knowledge, M&E and soft
components of the TF and assist UDs in monitoring, advice, capturing and sharing lessons
learned.

VII. UCCRTF IMPLEMENTATION10

23. Annual Work Program. The Facility Manager will prepare an Annual Work Program in
consultation with the UDs, UIWG, and Financing Partners – by city and for the full program. The
Annual Work Program will consider the prevailing and predicted conditions that can affect the
demand side (need for additional resources) and the supply side (contributions) of the UFPF
and set realistic objectives and targets (on contributions as well as on additional resource
requirements) with specific time frames. The UISC will meet once a year to discuss and approve
the Annual Work Program, and from time to time if needed.

24. Progress Reports and Frequency. The Facility Manager will prepare Annual progress
reports of UFPF activities, outputs, and outcomes in accordance with agreed indicators that will
be reviewed on a 6 monthly basis to coincide with donor results reporting. The report format and
monitoring indicators will be developed in consultation with the Financing Partners and a
Monitoring Evaluation Framework will be development in first six months of implementation11.
Semi-annual reports will be compiled into Annual Reports covering a 12-month period for the
middle and the end of the calendar year.12 A special report will be prepared for each annual
donor consultation meeting to cover specific topics like monitoring and evaluation framework,
city and project selection on the basis of resilience building and vulnerability targeting, use of
grants, how value for money is being achieved or likely to be achieved, and the transformational
impact from the program. The topics for the annual special reports will be included in the work
plan and agreed on in the Annual Donor Consultation meeting.

10
Generally follows UFPF Implementation except an unique annual partner forum led by UCCRP Advisory
Group.
11
An M&E expert to shape the monitoring and evaluation framework and expected results monitoring.
12
While ADB’s financial year ends in December, that of some Financing Partners ends in June. Compilation of
an additional report up to the end of June will accommodate the requirements of these Financing Partners.
 13

25. Anticorruption. The UFPF and activities funded there under will be subject to ADB’s
Anticorruption Policy and Integrity Guidelines and Principles 13 (as amended from time to time).

26. Annual Consultation Meeting. The Facility Manager will organize an Annual
Consultation Meeting (ACM) with UFPF partners to discuss the Annual Work Program, including
project pipeline, review progress and results of UFPF, address problems and concerns,
recommend how UFPF performance can be further improved, how partnerships can be
strengthened at country and regional level, and other business as required. Progress will be
tracked and reported on against the UFPF DMF and the preliminary UCCRTF logframe.

27. Annual Audits. OCO will arrange for financial statements, audited annually by external
auditors. For the purposes of the audited financial statements the end of the fiscal year is 31
December. The audited financial statements will be submitted to the Financing Partners
together with the semi-annual financial statements.

28. Fund Accounting. Controller's Department will provide accounting functions for the
funds and prepare financial statements.

29. Coordination among MDBs. The Facility Manager will maintain a regular exchange, as
may be required, of information and experience with other MDBs on urban climate change
resilient initiatives and projects, in order to develop and support activities like co-financing
arrangements, and broader knowledge sharing in this emerging field of practice.

30. External Review of UCCRTF. The Financing Partners and ADB will conduct an external
review of UCCRTF. Planned midterm and summative evaluations are expected to be held not
later than March 1, 2016 and March 1, 2021. The timing, depth and process for the external
evaluation will be further discussed and decided between the Financing Partners and ADB
during the ACM.

31. Amendments. ADB may, from time to time, after consultation with the Financing
Partners, make amendments to these Guidelines provided that such amendments are
consistent with the provisions of ADB's "Urban Financing Partnership Facility: Establishment of
the Urban Environmental Infrastructure Fund and UTFs" Board paper.

13
ADB's Anticorruption Policy requires staff, consultants, borrowers, beneficiaries, and contractors, executing the
UFPF and activities there under to observe the highest standards of ethics and personal integrity. Any party
found in breach of ADB;s Anticorruption Policy may be subject to disciplinary measures and/or sanctions in
accordance with ADB's Integrity Principles and Guidelines. Financing Partners and ADB will immediately
inform each other in writing on any indication of fraud and corruption of resources related to the Facility and
will consulted each other in terms of how to proceed.

 14

Appendix 1

Governance Structure of UFPF

Party Responsibilities
Financing Partners
Members: UFPF contributors (i) Provide strategic direction to UFPF
(ii) Meet with ADB for Annual Consultation
(iii) Review progress and administration and
Annual Work Program
Urban Infrastructure Steering Committee (UISC)
Chair: DG, RSDD (i) Provide strategic direction to UFPF
Secretariat: RSID (ii) DG, RSDD approves UFPF policy and
Members: DGs of UDs procedures
(iii) Approves allocation of funds to applications
for TAs and grant components of
investments
Urban Infrastructure Working Group (UIWG)
Chair: DG, RSDD (or Designate) or (i) Review and endorse proposals for UFPF
Chair of Urban Community of support
Practice (ii) Recommend policy & procedures of UFPF to
Secretariat: RSID UISC
Members: Urban Development
Specialists nominated by Urban
Division Directors as members
Facility Manager (RSID)
Manager: Director, RSID or (i) Serve as Secretariat and oversee UFPF
Designate day-to-day operations
Assistant: A team of consultants (ii) Oversee review process for applications
(iii) Review applications for compliance with
Implementation Guidelines for use of funds
(iv) Set up of procurement of the three
components including IDCs for knowledge
and planning, M&E
(v) Setup of technical advisory board.
(vi) Prepare Annual Work Program and progress
reports
(vii) Serve as focal point for UFPF partners for
technical matters
(viii) Ensure that the bi annual city visits, the
special TA report and a special report on
resilient investments design.
(ix) Results reporting against logframes
including baselines, M&E and set up of
evaluation studies from the beginning.
Office of Cofinancing Operations (OCO)
Contact: Designate by Head, OCO (i) Facilitate partner contributions to UFPF
(ii) Communicate on financial issues among the
partners
(iii) Lead negotiations with partners on financial
and procedural agreements for UFPF
contributions and framework agreement
 15

Appendix 2

APPLICATION TO ACCESS
URBAN FINANCING PARTNERSHIP FACILITY (UFPF) RESOURCES
For Grant Component of Loan Projects or TAs
(2 pages maximum)

Date: __________________

To: Director, RSID

Through: Director General

Director

From: <Project/Activity Proponent>

Re: Approval for Fund Allocation

Project or Activity Name: __________________________________________

Country/Region: __________________________________________

Loan Amount and sources: __________________________________________; OR

TA Amount and sources: __________________________________________

Amount requested from UFPF: __________________________________________

Year and Quarter Funds Needed: __________________________________________

A. Demonstrate the added value from receiving UFPF support to the proposed
project, and specify how UFPF funds will be used.

Describe how the activity supports the achievement of developing Livable and
Sustainable Cities for Asia (as set out in ADB's Strategy 2020) and supports building
urban resilience to climate change relating to the objectives of the UCCRTF.

B. Please see attached for details.

• Implementation Arrangement

• Design and Monitoring Framework (impact and outcomes should demonstrate how
the activity is supporting the achievement of UCCRTF outcomes)

• Detailed Cost Estimates

- detailed remuneration and out-of-pocket expenses for international and national

consultants. Estimate remuneration based on the estimated minimum number of
person-months and anticipated average remuneration rate at the time of contract
 16

negotiations. Base per diem on ADB’s standard per diem rates for consultants.
Other out-of-pocket expenses should be consistent with ADB’s usual practice.

- list of all travel costs and per diem for consultants

- list of all equipment (if any) and indicative price

- list of all expenses related to seminars, conferences, workshops, training and

fellowships

- list of items such as cost of laboratory tests, surveys, data collection, and
analysis

• Detailed TOR for each consultant

Assigned by: UFPF Secretariat:

Fund Code:_______________ Application Number: _____________
Approved Amount for UFPF Allocation: __________________
 17

Appendix 3

UFPF Application Process

Flow Chart

Unit Responsibilities

User Departments (UDs) Prioritize proposals and prepare
UCCRTF application with concept
paper

UFPF Facility Manager
Review for compliance with
Implementation Guidelines for use of
funds and eligibility criteria and make
recommendation for approval. If
applications do not comply, Facility
Manager will discuss with UD for
revision and re-submission or
withdrawal of applications.

Urban Infrastructure Working

Group (UIWG) Review and endorse UFPF
applications

UDs
Incorporate comments as needed

Facility Manager Forward applications to UISC for

approval

Review proposals endorsed by the
DG, RSDD as Chair of UFPF UIWG and approve UCCRTF
Steering Committee allocation for proposals

Follow standard procedures for TA
and loan approval
 18

Appendix 4

APPLICATION TO ACCESS
URBAN FINANCING PARTNERSHIP FACILITY (UFPF) RESOURCES
For Direct Charges
(2 pages maximum)

Date: __________________

To: Director, RSID

Through: Director General

Director

From: <Project/Activity Proponent>

Re: Approval for Fund Allocation

Activity Name/Title: __________________________________________

Country/Region: __________________________________________

Amount requested from UFPF: __________________________________________

Year and Quarter Funds Needed: __________________________________________

A. Brief description of the activity (describe the activity in terms of its objectives and the
issues or problems it seeks to address. Include the following information):

Is this activity linked or supporting a specific loan or TA? If yes, describe briefly what
added value does this activity provide to the loan or TA. If this is a stand-alone activity
(not linked to specific loan or TA), describe what added value does this activity provide
to ADB’s overall urban sector operations.

Describe how the activity supports the achievement of developing Livable and
Sustainable Cities for Asia (as set out in ADB's Strategy 2020) and supports building
urban resilience to climate change relating to the objectives of the UCCRTF.

B. The following are attached for more details.

• Implementation Arrangement

• Design and Monitoring Framework (impact and outcomes should demonstrate how
the activity is supporting the achievement of UCCRTF outcomes.

• Detailed Cost Estimates

 19

- detailed remuneration and out-of-pocket expenses for international and national

consultants. Estimate remuneration based on the estimated minimum number of
person-months and anticipated average remuneration rate at the time of contract
negotiations. Base per diem on ADB’s standard per diem rates for consultants.
Other out-of-pocket expenses should be consistent with ADB’s usual practice.

- list of all travel costs and per diem for consultants

- list of all equipment (if any) and indicative price

- list of all expenses related to seminars, conferences, workshops, training and

fellowships

- list of items such as cost of laboratory tests, surveys, data collection, and
analysis

• Detailed TOR for each consultant

• Copy of TA or Project Concept Paper (if activity is linked to a TA or a loan)

Assigned by: UFPF Secretariat:

Fund Code :_______________ Application Number: _____________
Approved Amount for UFPF Allocation: __________________
 20

Appendix 5

UFPF Application Process

for Direct Charges
Flow Chart

Unit Responsibilities


UDs Prioritize proposals and prepare
UCCRTF application with concept
paper

Review for compliance with
UFPF Facility Manager – Director Implementation Guidelines and FM
Level and up approves allocation of UCCRTF
funds

Follow standard procedures for TA
and loan approval