urban financing partnership facility - asian development bank

Urban Financing

Partnership Facility Annual Report

January–December 2015

ABBREVIATIONS

ADB – Asian Development Bank CDIA – Cities Development Initiative for Asia CDP – City Development Plan CDTA – Capacity Development Technical Assistance

CEFPF – Clean Energy Financing Partnership Facility COE – Centers of Excellence

DC – Direct Charges DFID – Department for International Development DMC – Developing Member Countries DMF – Design Monitoring Framework DRM – Disaster Risk Management

GMS – Greater Mekong Subregion OBA – Output based Aid OCO – Office of Co-Financing OD – Operation Department PATA – Policy Advisory Technical Assistance PPP – Public-Private Partnership PPTA – Project Preparatory Technical Assistance PRC – People’s Republic of China PSOD – Private Sector Operations Department RETA – Regional Technical Assistance RF – Rockefeller Foundation RM – Resident Mission

SDAS – Sector Advisory Service Division SDCC – Sustainable Development and Climate Change Department SWM – Solid Waste Management SPV – Special Purpose Vehicle TA – Technical Assistance UCCR – Urban Climate Change Resilience UCCRTF – Urban Climate Change Resilience Trust Fund UCoP – Urban Community of Practice UEIF – Urban Environmental Infrastructure Fund UFPF – Urban Financing Partnership Facility UISC – Urban Infrastructure Steering Committee UIWG – Urban Infrastructure Working Group UOP – Urban Operational Plan

USAID – United States Agency for International Development WFPF – Water Financing Partnership Facility

NOTES

(i) In preparing any country program or strategy, financing any project, or by making any designation of, or reference to, a particular territory or geographic area in this document, the Asian Development Bank does not intend to make any judgments as to the legal or other status of any territory or area.

(ii) In this report, "$" refers to US dollars.

Governance of the Urban Financing Partnership Facility Urban Infrastructure Steering Committee (UISC)

Ma. Carmela D. Locsin, Director General, Sustainable Development and Climate Change Department (SDCC) - Chair

Sean O’Sullivan , Director General, Central and West Asia Department (CWRD) Ayumi Konishi, Director General, East Asia Department (EARD)

Xianbin Yao, Director General, Pacific Department (PARD)

Todd C. Freeland, Director General, Private Sector Operations Department (PSOD)

Hun Kim, Director General, South Asia Department (SARD)

James Nugent, Director General, Southeast Asia Department (SERD)

Urban Sector Group Directors

Anand Chiplunkar, CWUW

Sangay Penjor, EASS

Emma Veve, PAUS

Sekhar Bonu, SAUW

Tatiana Gallego-Lizon, SEUW

Urban Infrastructure Working Group

Members

Sanjay Diyakar Joshi, Senior Urban Development Specialist, CWUW

Sara Azfar, Urban Development Specialist, CWUW

Arnaud Heckmann, Senior Urban Development Specialist, EASS

Stefan Rau, Urban Development Specialist, EASS

Stephen Blaik, Senior Urban Development Specialist, PAUS

Allison Woodruff, Urban Development Specialist, PAUS

Michael Rattinger, Climate Change Specialist, SDCD

Norio Saito, Principal Urban Development Specialist, SAUW

Keichii Tamaki, Senior Urban Development Specialist, SAUW

Eri Honda, Principal Urban Development Specialist, SEUW

Sameer Kamal, Young Professional, SEUW

Facility Manager

Gil-Hong Kim, Senior Director, Sector Advisory Service Division (SDAS), SDCC

Secretariat Vijay Padmanabhan,Technical Advisor (Urban and Water), SDAS

Virinder Sharma, Senior Urban Development Specialist, SDAS

Aldrin Plaza, Urban Development Officer, SDAS

Fatima Bautista, Associate Operations Analyst, SDAS

Kristine Roa-Fallorina, Operations Assistant, SDAS

Sasank Vemuri, Climate Change Resilience Specialist , Consultant, SDAS

Anna Marie Medrano-Bahala, Urban Sector Coordinator, Consultant, SDAS

Office of Cofinancing Operations (OCO)

Sujata Gupta, Director, OCO

Toshimasa Dojima, Principal Financing Partnerships Specialist, OCO

Rikard Elfving, Senior Financing Partnerships Specialist, OCO

Lucila Chan, Financing Partnership Officer, OCO

Katherine Barrameda, Associate Financing Partnerships Officer, OCO

CONTENTS

I. UFPF OVERVIEW

II. INTRODUCTION A. Highlights and Key Achievements B. Financial Status C. Governance and Operating Structure

III. URBAN ENVIRONMENT INFRASTRUCTURE FUND (UEIF) A. Highlights and Key Achievements B. Financial Status C. Financing Partner Contributions and Status of Grant D. Resource Utilization E. Progress Towards Expected Results

1

2 2 5 6

8 8

10 11 12 12

IV. URBAN CLIMATE CHANGE RESILIENCE TRUST FUND (UCCRTF)

A. Highlights and Key Achievements B. Financial Status C. Financing Partner Contributions and Status of Grant D. Resource Utilization E. Progress Towards Expected Results

16 16 18 20 20 20

V. URBAN FINANCING PARTNERSHIP GUARANTEE FOR NON-SOVEREIGN LOANS A. Overview and Purpose B. Guarantee as a Facility under Urban Financing Partnership Facility C. Duration of the UFPF Guarantee

26

26 26 26

VI. LESSONS LEARNED

A. UFPF B. UEIF C. UCCRTF

VII. PLANNED ACTIVITIES FROM 01 JANUARY TO 30 JUNE 2016 A. UFPF B. UEIF C. UCCRTF

28 28 28 28

29 29 29 30

APPENDICES

1. UFPF Design and Monitoring Framework 2. Guidelines for Application for Assistance and Project Selection

Under UFPF 3. UFPF External Evaluation Methodology 4. FPF Rating System (Criteria and sub-criteria, their respective ratings

and weights) 5. Details of UEIF Supported Projects 6. UEIF Supported Project Categories

33 39

41 42

44 59

7. List of UCCRTF Supported Projects 8. Profiles of Selected Cities 9. UCCRTF Project Categories 10. UCCRTF Activities and Beneficiaries 11. Enhancing Urban Climate Change Resilience: Seven Entry Points

for Action 12. Knowledge Plan 13. Updates on CDIA Activities

63 66 74 76 79

84

100

1

I. UFPF OVERVIEW

1. The Urban Financing Partnership Facility (UFPF or the ‘Facility’) was established in November 2009 with the aim of raising and utilizing development partner funds for investment co-financing in urban environmental infrastructure projects and support a wide range of technical assistance to help lay the groundwork for such projects. The UFPF is expected to deliver concrete outcomes:

(i) greater coverage and access to improved infrastructure and services in drinking water, sanitation, transport, solid waste management for about 200 million people, with consequent impacts on improved health, mobility opportunities for employment and hence, economic growth;

(ii) increased investments (including, private sector) in urban environmental

infrastructure projects through UFPF upstream technical assistance, viability gap

investment financing and / or credit enhancement (guarantee) support for whole

projects or components thereof; and

(iii) investment road maps for sustainable development in 50 cities; (iv) capacity development for national sustainable urban development strategies in

10 countries.

2. The UFPF is composed of: (i) the Urban Environmental Infrastructure Fund (UEIF), which is a multi-donor trust

fund, where the Government of Sweden (Sida) has made an initial commitment of $14.00 million (and an additional commitment of $7.00 million in 2011) for investment co-financing and technical assistance (and a guarantee facility of $70.00 million1) for urban environmental infrastructure that benefits the poor; and

(ii) the Urban Climate Change Resilience Trust Fund (UCCRTF), is a multi-donor trust fund with contributions from DFID ($124.782 million), Rockefeller Foundation ($5.00 million), USAID ($5.00 million) and SECO($10.00 million) that provides untied grants for components of investment projects and technical assistance. UCCRTF complements UEIF’s mandate of assistance for environmental infrastructure projects as it allows for a whole range of resilience building measures required at city-level that is specific enough to address the particular issues related to building climate change resilience, which is an emerging concept and field that brings an important new perspective to the implementation of the Urban Operational Plan (UOP).

3. This Annual Report covers the period January to December 2015 and presents the Facility’s cumulative performance as of 31 December 2015 measured against its Design and Monitoring Framework (DMF) presented in Appendix 1.

1 The agreement was terminated in December 2012, Framework Guarantee Agreement Cooperation Agreement

between ADB and SIDA. December 2009. 22

Current equivalent amount of DFID’s commitment of £83.30 million

2

II. INTRODUCTION A. Highlights and Key Achievements

4. $13.49 million for 14 projects. For 2015, the Facility has approved 14 projects that will receive investment co-financing, technical assistance (TA), and direct charges (DC) from UEIF and UCCRTF. The total allocations for the year amounted to $13.49 million with breakdown as follows: 1 investment grant ($4.00 million), 6 TAs ($8.13 million), and 7 direct charges ($1.36). 5. $95.66 million cumulative assistance for 52 projects. As of 31 December 2015, the Facility had a total of 52 approved projects with a cumulative committed/allocated assistance amounting to $95.66 million. For the second half of 2015, the Facility has approved an additional of eight (8) projects, seven (7) projects for the Urban Environmental Infrastructure Fund (UEIF) and one (1) for the Urban Climate Change Resilience Trust Fund (UCCRTF). The total allocations for these amounted to $7.56 million consisting of: 3 Direct Charges3 ($0.68 million), 4 TA grants4 ($0.91 million) and 1 investment grant5 ($4.00 million).

6. The approved projects have merited support as they cover one or more of UEIF and/or UCCRTF project categories (Appendix 2) which demonstrates UFPF’s ability to influence project design and pilot investment projects that can be replicated in ensuing loan projects. These resources are directed to projects that are able to best contribute to the Facility’s impacts and outcomes. 7. Project Performance Monitoring. The Secretariat closely monitors projects by coordinating with the project officers to ensure that the projects are on-track at keeping their implementation targets. The Secretariat also works with the Controllers Department in updating disbursement status and timely closure of direct charges accounts after final payment is released. Projects officers with completed projects were required to submit a completion report to evaluate the outputs and achievements of desired project outcomes. On the other hand, projects without projected disbursement by 2016 were terminated.

8. Supporting Operation Departments (ODs) to ensure quality and disbursement: Building on the lessons learned in UEIF related to disbursement challenges, the UCCRTF secretariat is supporting ODs in expediting the grant components of the larger loan projects. For the “Flood Management and Coastal Protection in Support to Urban Environmental and Climate Change Adaptation Project,” the national implementing agencies for the sub-projects in Hoi An and Dong Hoi, who are responsible for the implementation of the UCCRTF grant, requested ADB for support in selecting firms to deliver the early warning system for Hoi An and sand dune

3 (i) IND: Capacity building of state entities and selected cities in state of West Bengal to develop and implement

India's National Flagship Urban Programs; (ii) Capacity building of state entities and selected cities in state of Maharashtra to develop and implement India's National Flagship Urban Programs; (iii) IND: Capacity building of state entities and selected cities in state of Tamil Nadu to develop and implement India's National Flagship Urban Programs 4 (i) PRC: Proposed Loan : Xinjiang Changji Urban-Rural Infrastructure Demonstration Project; (ii) TIM: Urban Sector

Investment Project; (iii) AZE: Support for Solid Waste Management in Azerbaijan; (i) PRC: Heilongjiang Coal-Rich Cities Redevelopment Project 5 MYA: Climate Change Resilient Urban Planning and Community-based Solid Waste Management: Support to

Mandalay Urban Services Improvement Project

3

stabilization for Dong Hoi. The secretariat is supporting in the procurement of $4.00 million in consultancy and construction services and is expected to also continue support thorough implementation. The hand-on approach of the secretariat will hopefully alleviate some of the burden of the RDs and IEs, ensure the implementation of resilience building measures, and support disbursement.

9. Facility Evaluation/Review and Revision of the Current DMF. An evaluation of UFPF has been undertaken to assess the Facility’s performance on the basis of its relevance, effectiveness, efficiency, value addition, and sustainability. The evaluation methodology (Appendix 3) and FPF Rating System (Appendix 4) are described in detail in the Appendices. The UFPF evaluation will enable the Facility’s impacts and results to be measured in terms of its support/resource allocation to initiatives towards promoting inclusive development, creating resilient environments and building economic competitiveness of cities in the Asia-Pacific region. This will also serve as basis to review and revise the current UFPF DMF to be in line with the Urban Operational Plan’s (UOP) thrusts of Competitive, Inclusive and Green cities and the objectives of both UEIF and UCCRTF. A multi-stakeholder consultation was held to agree on modifying a set of parameters of the DMF to reflect UFPF’s contribution to the UOP thrusts. Also, a workshop on the UCCRTF DMF was held on 5-6 August 2015 where the draft UCCRTF DMF was discussed and amendments were agreed on.

10. Knowledge sharing. The UFPF Secretariat has continued to learn from the experiences of the other Funding Partnership Facilities (Clean Energy and Water). It has benefitted the Facility in maximizing efficiency in fund management and monitoring of results and improving resource utilization. For example, the UFPF Secretariat learns from the experience of Water Financing Partnership Facility (WFPF) in portfolio management where it continues to implement spring cleaning exercise and close collaboration with the Controllers Department in facilitating prompt financial closure of completed activities, particularly those financed through direct charges. 11. Continuous Outreach to ODs. The Secretariat has continued to involve ODs and encourage them to adopt a demand-driven approach to obtaining funding support. Assistance in the preparation and improvement of project applications was provided by the Secretariat. The facility progress and results were also shared with user departments to create awareness and stimulate interest to consider the Facility as a funding option. 12. Total Facility Approved Allocations by Region. The Facility has been able to provide support across all the ADB operational departments through the available funding modalities. Thirty-five percent (35%) of the total approved applications are from the Private Sector Operations Department ($34.00 million) with the highest funding allocation by region. On the other hand, Southeast Asia has the highest number of projects supported (4 investments, 2 TAs and 1 DC for UEIF; 3 investments and 1 TA under UCCRTF) (Figure 1.1).

4

Figure 2.1: Total UFPF Approved Allocations by Region ($ million, %)

a UFPF Guarantee of $34 million for PAK: Foundation Wind Energy (FEW) I and II Project, approved in 08 December

2011.

13. Total UFPF approved allocations by modality. In terms of the total approved allocations by modality, 36% or $34.29 million have been committed for 23 technical assistance grants, 35% or $34.00 million have been committed for one guarantee, 26% or $24.64 million have been committed for 9 investment projects, and 3% or $2.74 million have committed for 19 direct charges activities6. Figure 1.2 shows a breakdown of the total resources available for guarantees, investment grants, TAs and direct charges.

6 In line with the innovative nature of the Facility, UFPF has made a conscious effort to use direct charges for

undertaking non-standard, non-routine and exceptional initiatives that fit with an on-going larger program.

CWRD, 2.60M, 3%

PSODa, 34.00M, 35%

EARD, 5.62M, 6%

PARD, 0.26M, 0% SARD, 10.63M, 11%

SERD, 20.19M, 22%

REG, 21.65M, 23%

5

Figure 2.2: UFPF Approved Allocations by Modality ($ million, %)

B. Financial Status

14. The total donor committed contributions as of 31 December 2015 is at $239.63 million, of which $76.35 million (31.86%) has already been remitted to ADB. The total allocated resources for approved projects amounted to $95.66 million. Table 1.1 shows the status of UFPF grant contribution.

Table 2.1: Status of UFPF Grant Contribution ($ million)

Funding

Resources Available Allocated/Committed

Balance Available for Future Allocation

(8=4-7)

Committed Amount

(1)

Actual

Amount Received

(2)

Interest Income

(3)

Total

(4=2+3)

Approved Projects

(5)

Reserve for

Admin Cost

(6)

Total including Service

Fees and Charges (7=5+6)

UEIF Sida

21.45

21.02

0.17

21.19

18.96

0.85

19.84

1.35

UCCRTF DFID Rockefeller USAID SECO

144.78 124.78

7

5.00 5.00 10.00

55.33 45.38 4.50 1.45 4.00

0.56

55.89

42.70

1.50

44.20

11.69

7 The US dollar conversion for the DFID million contribution of GBP 83.30 million is currently projected to be

$124.78 million

Direct Charge,

2.74M, 3%

Technical

Assistance,

34.29M, 36%

Investment

Grants, 24.64M,

26%

Guarantees,

34.00M, 35%

6

Guarantees Sida

8

73.4

-

-

-

34.00

-

-

-

Total

239.63

76.35

0.73

77.08

95.66

2.35

64.04

13.04

15. The Facility’s disbursement as of December 2015 is at $5.37 million. The Secretariat has continued to track disbursements of approved projects and sought the support and cooperation of project officers in accelerating disbursement. Close monitoring of payments and fund releases has been sustained and frontloading disbursement of funds in co-financed projects continued as the default practice. The Secretariat also has been coordinating with the Controllers in facilitating financial closing of activities.

C. Governance and Operating Structure

16. The Facility’s governance and operating structure includes an Urban Infrastructure Steering Committee (UISC) and an Urban Infrastructure Working Group (UIWG). The UIWG reviews and makes recommendations on projects proposals for assistance from the Facility, and make policy and procedural recommendations to the UISC regarding operations. It is made up of focal points (Urban Development Specialists) from the urban sector group (USG) in each operational department. The UISC on the other hand, provides strategic direction for the Facility based on the implementation guidelines (IG), the outcomes of annual meetings with financing partners and ADB's strategic priorities. It is comprised of the directors general of the operational departments and chaired by the director general of SDCC.

17. The Senior Director, SDAS, serves as the Facility Manager and oversees the day to day operations, monitoring and evaluation, and reporting of the Facility with assistance from UFPF Secretariat. The Facility works in close co-ordination with the Office of Co-financing Operations (OCO). OCO facilitates the contributions to the UEIF and UTFs and acts as the official channel of communication for financial issues between ADB and partners. OCO also leads negotiations and discussions with partners on procedural agreements for contributions and framework agreements, where applicable. The Facility Manager approves the use of the Facility for direct charges within the framework of annual work program and the UISC approves the allocation for TA and investment grants. Figure 1.3 presents the process flow of the approvals.

8 The SIDA Guarantee commitment of $73.4 million was approved in 11 December 2009 and terminated in 11

December 2012. Further data will be available upon consultation with PSOD and Sida and on findings of the UFPF Evaluation expected to be done by September 2015.

7

Figure 2.3: Process Flow for Approving UPFP Project Proposals

18. In terms of administration, the Facility staffing requirements to support the fund operations is shown in Figure 1.4. The Facility Manager is supported by the Technical Advisor, and the USG Secretariat. Additional support is provided by the National Fund Coordinator and UCCRTF Consultants. A secondee from the Department for International Development (DfID-UK) has joined ADB to support the management of UCCRTF. A staff consultant has also been recruited to support the development of Subproject 3 of the Cluster TA, focusing on pilots and project development.

Figure 2.4: Staffing Structure for UFPF Secretariat

8

III. URBAN ENVIRONMENT INFRASTRUCTURE FUND (UEIF)

A. Highlights and Key Achievements 19. From July to December 2015, the Facility has approved a total of seven (7) projects, three (3) direct charges and four (4) TAs with total allocation of $1.58 million. The details of these new approved projects are summarized in Table 2.1. A list of UEIF supported projects since its inception up to the coverage of this reporting period with updates on the status of each project is also shown in Appendix 5.

Table 3.1: Details of New Approved UEIF-Supported Initiatives

Country Modality/Project Name Amount ($) Details of Activities

IND

DC:

Capacity building of state entities and selected cities in state of West Bengal to develop and implement India's National Flagship Urban Programs

225,000

The project aims to improve the urban services and environment in selected cities in West Bengal. The funding will mainly support development of city-wide water and sanitation infrastructure which is known to contribute directly towards improved public health, and hence ADB's Strategy 2020's vision for sustainable urban growth and livable cities in Asia.

IND

DC:

Capacity building of state entities and selected cities in state of Maharashtra to develop and implement India's National Flagship Urban Programs

225,000

The project aims to improve the urban services and environment in selected cities in Maharashtra. The funding will mainly support development of city-wide water and sanitation infrastructure which is known to contribute directly towards improved public health, and hence ADB's Strategy 2020's vision for sustainable urban growth and livable cities in Asia.

IND

DC:

Capacity building of state entities and selected cities in state of Tamil Nadu to develop and implement India's National Flagship Urban Programs

225,000

The project aims to improve the urban services and environment in selected cities in Tamil Nadu. The funding will mainly support development of city-wide water and sanitation infrastructure which is known to contribute directly towards improved public health, and hence ADB's Strategy 2020's vision for sustainable urban growth and livable cities in Asia.

PRC TA: Xinjiang Changji Urban-Rural Infrastructure Demonstration Project

200,000

The project aims to improve the living conditions in both urban and rural areas in Changji. There is a need to identify and capitalize on its growth potential in the strategic economic connection with Urumqi, and its roles in the One Belt, One Road Initiative. Thus, it needs investments in basic infrastructure to increase its attractiveness as a place to live, work, and do business. The funding support will be used to enhance

9


the project preparation activities for the municipal solid waste management and public utility services components.

TIM

TA:

Urban Sector Investment Project

180,000

The proposed project will support ADB's Strategy 2020 objective of promoting livable and sustainable cities in Asia by supporting environmental improvements in Dili through better management of solid waste. The project will also promote inclusive urban development by providing improved livelihood opportunities to informal waste recyclers by formalizing their role in the city's waste management system; and using community-based approaches to provide waste collection service in informal settlements. The funding will be used to recruit consultants that will support the project.

AZE

TA:

Support for Solid Waste Management in Azerbaijan

225,000

The project aims to improve the urban environment and quality of life of residents of the Lower Caucasus Economic Zone and Nakhchivan Autonomous Republic. The UFPF funding would be highly complementary to the on-going works being conducted under the PPTA and will provide essential inputs into the regional SWM strategy formulation. The importance of developing a sensible SWM strategy is directly attributable to the development of livable and sustainable cities in Azerbaijan through proper management of waste and focus on recycling and reuse.

PRC

TA:

Heilongjiang Coal-Rich Cities Redevelopment Project

300,000

The proposed project and the UFPF funded activities are aligned with the objectives of ADB’s Midterm Review of Strategy 2020 and with ADB’s urban operational plan of developing livable, competitive, green and inclusive cities. The funds from the UFPF will be used for PPTA activities and strategically applied to support key infrastructures that will contribute to enabling the much needed non-coal economic revitalization and environmental cleanup.

Total 1,580,000

ADB = Asian Development Bank; IND = India; DC = direct charge; PRC = People’s Republic of China; TA = technical assistance; TIM = Timor Leste.

10

20. $18.96 million for 40 projects. As of 31 December 2015, the Facility had a total of 40 approved UEIF projects and activities with a cumulative committed/allocated assistance amounting to $18.96 million consisting of: 15 Direct Charges ($2.04 million), 19 TA grants ($6.29 million) and 6 investment grant ($10.64 million). 21. In total, the Facility has committed to directly support 33 projects (3 with both TA and Grant) that cover the following UEIF project categories: climate change adaptation and mitigation (6 projects); urban transport (6); inclusive basic water and wastewater services (16 projects); solid waste management services (19 projects); and urban renewal (10 project) within which all projects have exhibited an inherent pro-poor inclusive development approach (Appendix 6).

B. Financial Status 22. Figure 2.1 shows a breakdown of the total UEIF resources available for investment grants, TAs and direct charges of which $10.64 million or 52% of these grant resources have been committed for 6 investment projects and $6.29 million or 31% have been committed for 19 technical assistance grants. A total of $2.04 million or around 10% of grant resources have been committed for 13 direct charges activities9. About 7% or $1.35 million of UEIF grant resources remain uncommitted.

Figure 3.1: Total UEIF Grant Resources Allocation ($ million, %)

9 In line with the innovative nature of the Facility, UEIF has made a conscious effort to use direct charges for

undertaking non-standard, non-routine and exceptional initiatives that fit with an on-going larger program.

Direct Charge,

$2.04M, 10%

Technical

Assistance,

$6.29M, 31%

Investment Grants,

$10.64M, 52%

Uncommitted,

$1.35M, 7%

11

23. In terms of geographic spread, Southeast Asia has received the highest cumulative allocation (31% of the UEIF grant resources). East Asia on the other hand has the highest concentration of funding allocation by modality and number of projects (1 investment, 5 TAs and 4 DC). Figure 2.2 illustrates the UEIF assistance provided to ADB operational departments.

Figure 3.2: Cumulative UEIF Assistance by Regional Department ($ million)

C. Financing Partner Contribution and Status of Grants

24. The total donor committed contributions as of 31 December 2015 is at $21.19 million, of which 100% has already been remitted to ADB. The total approved projects amounted to $18.96 million. Table 2.2 shows the status of UEIF grant contribution.

CWRD EARD PARD SARD SERD REG

Investment Grants 0.00 3.70 0.00 1.80 5.14 0.00

Technical Assistance 2.28 1.43 0.18 0.70 0.70 1.00

Direct Charge 0.09 0.50 0.08 1.13 0.08 0.18

0.00

1.00

2.00

3.00

4.00

5.00

6.00

7.00

12

Table 3.2: Status of UEIF Grant Contribution ($ million)

Funding



(8=4-7)

Committed Amount

(1)

Actual

Amount Received

(2)

Interest Income

(3)

Total

(4=2+3)

Approved Projects

(5)

Reserve for

Admin Cost

(6)



UEIF Sida

21.45

21.02

0.17

21.19

18.96

0.85

19.84

1.35

D. Resource Utilization 25. Better Optimization of UEIF resources. The Secretariat reviewed projects that have no indication of actual disbursements taking place far ahead of the Facility’s given timeframe of expected results. This has led to the cancellation of the approved project PHI: Piloting Innovative Solid Waste Management. The funds released from this process can now be utilized for other potential urban projects in the pipeline that can ensure to generate immediate tangible results. 26. As of December 2015, the estimated disbursements for projects, TAs, and direct charges are $4.18 million, respectively or at 22.16% out of the total $18.96 million UEIF grant resources allocated. E. Progress Towards Expected Results 27. UFPF Impacts and Outcomes. The UEIF’s performance will be measured against target impacts and outcome when all projects in its portfolio have been completed. The project’s outcome is determined at project completion while the impact is often only achieved long after project implementation. ADB tracks projects’ contributions and reports on progress by monitoring the implementation of all financed projects in its portfolio. The status of UEIF’s performance in achieving the intended impacts and outcomes against the DMF is presented in Table 2.3.

Table 3.3: UEIF Status of Impact and Outcome-level Performance against DMF

Design Summary

Performance Targets/Indicators

Status / Achievements as of December 2015

Impact Improved livability in cities of all sizes in developing member countries (DMCs)

Improved environmental infrastructure/service delivery. Improved environmental parameters in cities Achievements of Millennium Development Goals (MDGs) in cities

Subject to higher level evaluation

Outcome Improved coverage, quality and continuity of

200 million in cities benefiting from improved investments or systems.

21.8 million (estimated)

13

Design Summary

Performance Targets/Indicators


environmental service delivery and sustainability.

Improved urban environmental management as demonstrated by pilot project achievements influence on policy and reform measures From the periods of 2010-2015: a. At least 20% of ADB lending

projects will be urban-related, b. over $10 billion in ADB funds

invested in urban Asia, c. and $5 billion additional investments

leveraged from other donors, government and private sector investment road maps for sustainable development in 50 cities;

capacity development for national sustainable urban development strategies in 10 countries.

36 projects

15.6% of ADB lending are urban related

10

$10.56 billion ADB urban projects11

$2.0 billion in 2015 56 cities supported by UEIF: Davangere, Harihar, Ranebennur, Byadagi, Bangalore, Chennai, Cuddalore, Nagapattinam, Velankanni, and Thoothukkudi (IND); Darkha and Ulaanbaataar (MON); Battambang, Bavet and Poipet(CAM); Kaysone Phomvihane (LAO); Dong Ha and Moc Bai, (VIE); Karaganda and Taldykorgan (KAZ); Goris, Jermuk, Dilijan, Vanadzor and Gyumri (ARM); Baku, Qazakh, Aghstafa, Dashkasan, Gadabay, Goranboy, Samukh, Goygol, Tovuz, Shamkir, Aghdam, Terter and Fuzili rayons and Nakhchivan (AZE); Dili (TIM); Trincomalee (SRI); Seven (7) Prefecture-Level Cities in Hunan Province, and the cities of Fukang, Hutubi, Qitai in Changji Prefecture, Hegang, Jixi, Qitaihe, and Shuangyashan (PRC)

12 countries: Armenia, Azerbaijan, Cambodia, People’s Republic of China, Kazakhstan, India, Lao PDR, Mongolia, Philippines, Sri Lanka, Timor Leste, and Viet Nam

28. As the Secretariat has been able to implement concrete steps to develop a robust system of monitoring results and outcomes by tracking the documentation of the projects receiving UFPF funds, estimated numbers based on the project beneficiaries the applications and reports and recommendations of the president (RRPs) were summed up as follows:

10

Estimate does not include urban transport. 11

Estimate does not include urban transport.

14

i.estimated number of beneficiaries - about 21.8 million estimated beneficiaries expected to benefit from improved urban infrastructure and services; additional investments leveraged from other donors, government and the private sector – about $2.0 billion estimated additional investments on ADB’s urban infrastructure projects in 2015;

ii.investment road maps for sustainable development - UEIF to support development of urban environments of 56 cities12;

iii.capacity development for national sustainable urban development strategies – UEIF support given to 12 countries13

29. UFPF Outputs. The UEIF output-level performance as of December 2015 against the Facility’s DMF is presented in Table 2.4. Since most of the UFPF supported projects are still in the initial stages of their implementation, the provided information is projected and subject to validation and modification.

Table 3.4: UFPF Status of Output-level Performance against DMF (UEIF Grants)

Design Summary

Performance

Targets/Indicators


Output Component 1: Increased levels of investment

Fundable investment projects

70% of grant resources or $70 million of UFPF resources spent on project investment support for either goods, works or systems At least 20

14 investments either

funded in full or cofinanced with ADB or other sources

$10.64 million (or 60% of UEIF grant resources) have been provided to 6 investment projects ($ 2 million less due to the cancellation of the PHI: Piloting Innovative SWM project)

Component 2 Technical Assistance Project development

30% of grant resources or $30 million of UFPF resources allocated to this component At least 20

15 applications for

support to project development

$6.285 million (or 26% of UEIF grant resources) have been provided to 19 TA projects 19 TAs supporting project feasibility studies, preparatory activities for

12

Davangere, Harihar, Ranebennur, Byadagi; Bangalore, Chennai, Cuddalore, Nagapattinam, Velankanni, and Thoothukkudi (IND); Darkha and Ulaanbaataar (MON); Battambang, Bavet and Poipet(CAM); Kaysone Phomvihane (LAO); Dong Ha and Moc Bai, (VIE); Karaganda and Taldykorgan (KAZ); Goris, Jermuk, Dilijan, Vanadzor and Gyumri (ARM); Baku, Qazakh, Aghstafa, Dashkasan, Gadabay, Goranboy, Samukh, Goygol, Tovuz, Shamkir, Aghdam, Terter and Fuzili rayons and Nakhchivan (AZE); Dili (TIM); Trincomalee (SRI); Seven (7) Prefecture- Level Cities in Hunan Province, and the cities of Fukang, Hutubi, and Qitai in Changji Prefecture, Hegang, Jixi, Qitaihe, Shuangyashan (PRC)

13

IND, MON, CAM, LAO, VIE, KAZ, ARM, AZE, TIM, SRI, PRC, PHI.

14

20 grants for investments based on average cost of $3.5 million per intervention during 2010-2015.

15

Design Summary

Performance

Targets/Indicators


support Project

implementation support

Non-lending

assistance addressing reforms in the areas of: policy legislation regulation institutional

arrangements

through improved design & implementation, better communication with stakeholders, etc. At least 20

16 applications for

support to project implementation through improved supervision, better communication with stakeholders, etc. At least 100 TAs from direct charge applications

17 designed to

advance reform measures in each of the areas of policy, legislation, regulation or institutional arrangements or to improve monitoring and evaluation of results

PPTA, CDTAs, PATAs and exploring opportunities with PPP 9 TAs supporting solid waste management mainstreaming initiatives 12 direct charge activities providing additional resources to finance shortfall in funds required to complete the balance activities of the PPTA and complement the original scope for the PPTA 15 direct charge activities supporting TA and other activities with a total committed funding of $2.04 million.

15

20 grants for TA based on average cost of $500K per project or a total of $10 million during 2010-2015. 16

20 grants for TA based on average cost of $500K per project or a total of $ 10 million during 2010-2015. 17

100 applications for direct charges is based on average cost of $100K each or a total of $10 million during 2010- 2015.

16

IV. URBAN CLIMATE CHANGE RESILIENCE TRUST FUND (UCCRTF)

30. The $145 million multi-donor Urban Climate Change Resilience Trust Fund (UCCRTF) was setup in November 2013 within the Asian Development Bank (ADB) originally with Rockefeller Foundation, and DFID as partners and latterly with USAID. UCCRTF helps cities plan for, and invest in, reducing the impacts of weather-related changes and extreme events, and natural resource scarcity, on the urban poor in 25 medium-sized cities in six Asian countries (initially working with Pakistan, Bangladesh, India, Vietnam, and Indonesia). It has three components:

(i) Planning component – helping cities do resilience planning, identify priorities for action in planning processes in consultation with communities

(ii) Investments component – prioritising soft and hard investments for bankable investments, develop infrastructure projects for funding and attract public, private or public/private finance for the best projects.

(iii) Knowledge component – drawing knowledge from cities, peer to peer learning and monitoring and evaluation work.

31. The type of projects to be supported by UCCRTF will be simple but effective interventions such as:

(i) Early warning systems to forewarn people of impending floods. (ii) Community initiatives which draw out the urban poor solutions to managing climate

change and disaster impacts. (iii) Improved water, drainage, flood protection and wastewater systems

32. Across all the cities, it is expected that at least 20 large scale investments which build resilience will be supported, alongside 25 planning processes, as well as attract up to $1 billion in public, private and domestic financing. This will help at least 2 million poor people better cope with the impacts from climate change and build resilient cities. A. Highlights and Key Achievements 33. In the second half of 2015, an additional investment grant was given funding commitment through the UCCRTF (Table 3.1). For 2015, there were a total of 318 projects approved for funding.

Table 4.1: Details of New Approved UCCRTF-Supported Initiatives


MYA IG:

Climate Change Resilient Urban Planning and Community-based Solid Waste Management: Support to Mandalay Urban Services Improvement Project

4,000,000

The proposed project will comprise (i) capacity development in climate change resilient urban planning, and (ii) community-based solid waste management. The project has been designed as part of the strengthened urban management capacity component of the Mandalay Urban

18

(i) PAK: Punjab Intermediate Cities Investment Program - Integrated City Development Strategy; (ii) IND: Strengthening Climate Change Resilience in Urban India; and (iii) MYA: Climate Change Resilient Urban Planning and Community-based Solid Waste Management: Support to Mandalay Urban Services Improvement Project

17


Services Improvement Project (MUSIP) and will also complement and foster the MUSIP's wastewater and drainage management component contributing to a strengthened resilience of the urban system. The project is in line with the climate change and livable cities agendas in the Strategy 2020 and ADB's Urban Operational Plan as it will support integrated urban planning and disaster risk management strengthening the urban resilience to climate change impacts.

MYA = Myanmar

34. $42.70 million for 11 projects. As of 31 December 2015, the Facility had a total of 11 approved UCCRTF projects with a cumulative commitment/allocation amounting to $42.70 million consisting of 4 DCs ($0.70 million), 4 TAs ($28.00 million), and 3 investment grants ($14.00 million). 35. A complete list of projects and mechanisms funded by UCCRTF is included in Appendix 7. Appendix 8 provides the profiles of cities and includes the expected results of UCCRTF funded projects, and alignment with donor activities. 36. The Facility has committed to support projects that reflect UCCRTF project categories. The list of UCCRTF projects with their specific categories is presented in Appendix 9. 37. Strengthened Secretariat with the appointment of a new head of the Urban Sector Working Group who brings extensive operational experience and public sector experience in urban development as well as additional consultancy support for developing community initiatives. The DFID seconded post has finally been appointed as well.

38. Concerted push on knowledge activities, community initiatives and city planning activities to accelerate all 3 components. This is a significant departure from ADB normal operations. This has included the approval by the ADB Board of a $15 million Cluster TA, the largest of its kind in ADB. 39. The partnership has also expanded lending further credibility and relevance to the partnership. USAID and Nordics have provided additional bilateral grant co-financing for investments starting in Vietnam, and in December Swiss SECO has joined the trust fund with a $10 million grant contribution. New implementing partners have also helped harmonise practices.

40. Fast-disbursement mechanisms have been developed this year. This includes a $5 million transfer to Cities Development Initiative for Asia for pre-feasibility studies, $7 million set-aside and dedicated staffing to support the community initiatives, and the knowledge consultancy with ODI/ITAD consortium to help lead on the M&E work. Finally, the implementation of a number of soft initiatives such as hydrological modelling and early warning systems in multiple cities in Bangladesh and Vietnam, will help build resilience thinking into design.

18

41. Healthy pipeline of cities, and projects have been developed this year. Around $38.7 million UCCRTF resources has mobilised $334 million from within ADB, $60 million from French AFD, $2.5 million from USAID and Nordics in Vietnam, and $5 million from counterpart domestic financing. Project preparation initiated in Pakistan, Philippines, India and Indonesia including the Green Cities projects where a number of bankable projects have emerged. The inclusion of a project in Myanmar on an exceptional basis supporting Mandalay city development is innovative and has scope for expansion.

B. Financial Status 42. Figure 3.1 shows a breakdown of the total UCCRTF resources available for investment grants, TAs and direct charges. Fourteen million ($14 million) or 9% of these grant resources have been committed for 3 investment projects, $28.00 million or 19% have been committed for 4 technical assistance grants, and 1% or around $0.70 million have been committed for 4 direct charges activities19. About 71% or $106.20 million of the fund remain uncommitted.

Figure 4.1: Total UCCRTF Grant Resources Allocation ($ million, %)

43. Figure 3.2 shows the current allocation of funding against the target areas agreed with the financing partners. As of December 2015, funds have been allocated to planning 19% (against a target of 20%), investment 68% (against a target of 70%) and knowledge 13% (against a target of 10%). It is very early in the program to draw any conclusions, however it is expected that the proportion of funds allocated to investment will rise as planning work leads to project identification.

19

In line with the innovative nature of the Facility, UCCRTF has made a conscious effort to use direct charges for undertaking non-standard, non-routine and exceptional initiatives that fit with an on-going larger program.

Direct Charge,

0.7M, 1%

Technical

Assistance, 28.0M,

19%

Investment Grants,

14.0M, 9%

Uncommited,

106.2MM, 71%

19

Figure 4.2: Total UCCRTF Grant Resources Allocation by Funding Component ($ million, %)

44. $42.70 million has been committed so far under the UCCRTF. Of this total, approximately $23 million has been allocated to specific countries for UCCR activities. One project in Myanmar was approved on an exceptional basis. From its inception, the donors of UCCRTF were keen on inter-agency coordination and strongly recommended that UCCRTF build on previous donor efforts or work collaboratively in cities. In this sprit the Rockefeller Foundation encouraged the ADB to support Mandalay though the Fund because the city was selected as one the 100 Resilient Cities. Figure 3.3 shows that Vietnam had received the most funds, followed by India and Myanmar. UCCRTF projects have been initiated now in all target countries.

Figure 4.3: Cumulative UCCRTF Assistance by Country ($ million)

Planning 19%

Knowledge 13% Investment

68%

BAN IND INO PAK PHI VIE MYA

Direct Charge 0.00 0.00 0.00 0.23 0.00 0.00 0.00

Technical Assistance 1.60 7.25 0.18 0.68 0.46 1.00 0.00

Investment Grants 0.00 0.00 0.00 0.00 0.00 10.00 4.00

0.00

2.00

4.00

6.00

8.00

10.00

12.00

20

C. Financing Partner Contribution and Status of Grants

45. The total donor committed contributions as of December 2015 is at $144.78 million, of which $55.33 million (38.22%) has been remitted to ADB while the total allocation for approved projects amounted to $42.70 million. There is around $11.69 million available for future allocations. Table 3.2 shows the status of UCCRTF grant contribution.

Table 4.2: Status of UCCRTF Grant Contribution ($’000)

Funding



(8=4-7)

Committed Amount

(1)

Actual

Amount Received

(2)

Interest Income

(3)

Total

(4=2+3)

Approved Projects

(5)

Reserve for

Admin Cost

(6)



UCCRTF DFID Rockefeller USAID SECO

144.78 124.78

20

5.00 5.00 10.00

55.33 45.38 4.50 1.45 4.00

0.56

55.89

42.70

1.50

44.20

11.69

D. Resource Utilization 46. Disbursement for the UCCRTF from January to December 2015 is at $1.19 million. These disbursements covered consulting services for the UFPF evaluation, direct charges, CDIA PFS activities, and initiated activities under SP1 of the Cluster TA. E. Progress Towards Expected Results 47. Progress is being made against the UCCRTF DMF. A summary of the achievements against each indicator are captured in Table 3.3. Details of the activities and beneficiaries is available in Appendix 10. 48. $42.7 million of grant financing from UCCRTF has mobilized $414 million in UCCR-related investments and is expected to directly benefit 254,800 people in 6 cities in two countries.

Table 4.3. Progress against UCCRTF DMF

Design Summary Performance Targets and Indicators with Baselines

Data Sources/Reporting Mechanisms

Outcome UCCRTF-funded projects deliver UCCR benefits; demonstrate potential for integration of UCCR in urban

At least 2.2 million poor and vulnerable urban residents (disaggregated by sex) are more resilient to the negative effects of climate change by 2021.

Baseline: 0 in 2014.

255,740 are expected to benefit from the activities that have been approved to date. Please refer to Appendix 10 for details.

20

The US dollar conversion for the DFID million contribution of GBP 83.30 million is currently projected to be $124.78 million

21



development practice by the ADB, and leverage complementary action and financing by other urban development actors.

At least 40 percent of the value of ADB urban sector lending in UCCRTF- incorporates UCCR principles by 2021.

Baseline: 9 percent of urban sector lending reflects awareness of UCCR principles in 2014.

Status: 9% In addition to the Urban Governance and Infrastructure Improvement Program (UGIIP) in Bangladesh that was reported in the previous report, the new figure now also includes the Mandalay Urban Services Improvement Program (MUSIP.)

At least three UCCRTF-supported DMCs include UCCR principles in national government strategies by 2021.

Baseline: No DMCs include UCCR principles in national strategies in 2014.

The secretariat is continuing discussions with the Regional Departments as well as out posted staff to identify entry points for influencing national policy. There seems to be potential to include UCCR principles into the Vietnam national urban strategy, which is being supported by the ADB. This indicator is especially challenging because of the limited number of countries that UCCRTF can work in.

Component 1: Planning and Implementation Output 1 Strengthened capacity of public authorities to incorporate UCCR principles into urban and sectoral planning

At least 25 UCCRTF-supported cities include UCCR principles in local government strategies by 2021.

Baseline: No UCCRTF-supported cities include UCCR principles in local government strategies in 2014.

12 cities have been supported through UCCRTF to produce cross sectoral, city wide climate change resilience plans, with work commencing in 5 of those cities. Please refer to Appendix 10 for details.

22



At least 25 cities engage stakeholders in multi-sectoral and iterative processes to inform planning and project design by 2021

Baseline: No cities engage stakeholders in planning and project design in 2014.

The five cities where planning has started have involved a multi-sectoral process.

At least 40 percent of poor and vulnerable stakeholders in project areas (of which half are women) are engaged in UCCR activities by 2021.

Baseline: No engaged stakeholders are poor or vulnerable in 2014.

Poor and vulnerable stakeholders have participated in the planning activities that have been conducted to date. However exact figures are not yet available because definitions of “poor” and “vulnerable” were first finalized with the baseline report in December and a methodology for gathering this data now needs to be developed.

At least 40 nonphysical measures to enhance resilience to climate change are implemented in UCCRTF-supported cities by 2021.

Baseline: No nonphysical measures implemented in 2014.

Two non-physical intervention implemented:

Flood forecast and warning system covering Vu Gia–Thu Bon river basin is established (Hoi An)

Management information system is introduced for nonrevenue water reduction (Hoi An)

At least 20 community-led initiatives that increase resilience implemented in UCCRTF cities by 2021 implemented. Baseline: No community-led initiatives in 2014.

UCCRTF funded projects are only just starting to be implemented, so while this type of engagement is planned it has not yet occurred.

23



At least 2,500 people (disaggregated by sex) complete training and awareness building by 2021.

Baseline: No UCCR training or awareness building completed in 2014

Around 940 people are initially expected to benefit from training and awareness building. Please refer to Appendix 10 for details.

Component 2: Projects and Investments Output 2 Public and private sources (including ADB) support and finance UCCR projects

At least 20 UCCR-related infrastructure projects receive UCCRFT support by 2021.

Baseline: No UCCRTF infrastructure projects supported in 2014.

Eight UCCR-related infrastructure projects are expected received support. Please refer to Appendix 10 for details.

At least $1 billion in UCCR-related loans or projects mobilized, including at least $200 million in non-ADB financing, by 2021. Baseline: No UCCR-related loans or projects financed in 2014.

$42.7 million in approved UCCRTF project are expected to mobilize $414 million in UCCR-related investments.

Component 3: Knowledge Output 3 UCCR knowledge is created, accessed, and utilized

At least 12 knowledge products disseminated and their use demonstrated in DMC cities by 2021.

Baseline: No knowledge products disseminated by 2014.

Three new publications were prepared in 2015:

1. Urban Climate Change Resilience: Sector Snapshots

2. Enhancing Urban Climate Change Resilience: Seven Entry points for Action

3. Measuring Urban Climate Change Resilience: A Research Report

The first document was produced by the secretariat and the other two were written by ODI. All three are currently going through internal peer review.

3. At least 10 peer-to-peer learning or knowledge events completed by 2020.

Baseline: No peer-to-peer or knowledge events completed by 2014.

Three internal peer-to-peer learning were organized in 2015. Please refer to Para. 55 for details.

24

49. A consortium of knowledge partners was taken on board to support the secretariat to synthesize existing experience and knowledge on building urban resilience, to identify the ADB internal and external knowledge gaps around urban resilience, to draft a plan to address these gaps, provide guidance on approaches to measuring resilience and to finalize the UCCRTF DMF. The consortium partners, Arup, Itad and Overseas Development Institute (ODI), successfully completed their assignment in November 2015. The outputs of the assessment are summarized in the next paragraphs. 50. Enhancing Urban Climate Change Resilience: Seven Entry points for Action. This analysis summarizes that current frameworks to operationalize UCCR agree that, while technological and infrastructural systems are integral to enhancing resilience in cities, engagement with organizational, financial, spatial, social, and institutional issues is also crucial. After a thorough examination of the existing practical ways in which practitioners are trying to build resilience, the analysis distilled these into seven “entry points” for action. Taken together, these are a helpful way to think about how the concept of UCCR can be put into practice and are reflective of current knowledge in this rapidly growing field of knowledge. A summary of the analysis can be found in a 4-page brief in Appendix 11. The seven entry points are:

(i) Applying knowledge information and data; (ii) Effective urban planning and land use planning (iii) Resilient systems and sectors, including basic infrastructure (iv) Strengthening institutional capacity (v) Driving resilient community development (vi) Engaging the private sector (vii) Catalyzing Finance

51. Regional Knowledge Landscape Analysis. This Regional Knowledge Landscape Analysis provides a summary of the existing baseline, gaps, and contextual challenges for UCCR knowledge; both within and beyond the ADB. It informs the Knowledge Plan to support the UCCRTF in developing member countries. The basis of the analysis are interviews with a range of ADB staff and external UCCRTF stakeholders to understand the state of knowledge on the concept of UCCR, access to UCCR knowledge, and flows of knowledge or the current knowledge management practices. 52. Knowledge Plan. The Knowledge Plan, which can be found in Appendix 12, recommends 37 interrelated activates there are intended to address the three themes mentioned above. The secretariat is currently working on an approach to operationalize this plan. The Outline Knowledge Plan has been informed by the Regional Landscape Analysis. It has three themes:

(i) Understanding UCCR: to help ADB staff and external stakeholders better

understand and engage with the concept of UCCR. (ii) Applying UCCR: assisting ADB staff and external stakeholders to put UCCR into

practice when planning and implementing projects. (iii) Supporting Knowledge: to improve systems and processes that support the way in

which knowledge is generated, captured, and shared; within and outside of the ADB.

53. Research Paper on Measuring Resilience. The paper summarizes twelve of the leading approaches that help diagnose, measure, or track resilience. It concludes by proposing a stepwise list of principles for measuring UCCR. These questions demonstrate that the

25

mechanics of monitoring and evaluating UCCR have much in common with measurement challenges in other sectors and contexts. However, the uniqueness of the resilience concept is reflected in the overall measurement decisions and in the indicators and variables chosen to represent the desired definition of the term for the particular context. The approaches are categorized into those focusing on:

(i) Assets: Avoided loss approaches that assess actual or potential losses to assets as a result of shocks and stresses

(ii) Activities: Climate-proofing and inputs-based approaches that diagnose the need for, and track the development of, resilience-building activities

(iii) Performance: Approaches that define, assess, and track the characteristics and capacities that enable resilience of urban systems and their residents

54. Baseline Report for UCCRTF. This report seeks to provide a useful and practical starting point from which to measure progress over the life of the Urban Climate Change Resilience Trust Fund (UCCRTF). 55. Three internal peer-to-peer learning were organized in 2015. As documented in the Knowledge Landscape Analysis, there is a need to support learning within the ADB on urban resilience. To this effect, the Urban Sector Group organized three internal peer-to-peer learning sessions on “Green City Development Tool Kit,” “Climate Resilience in Cities Resource Kit” and Urban Governance Infrastructure Improvement Project (UGIIP)”. These three sessions were used by the secretariat to engage with ADB urban specialists and directors on how urban resilience can be integrated into project preparation and design and how the Fund is trying to support the shift form an asset-based approach to infrastructure resilience to a systems-based approach of urban resilience. ADB Urban Sector Group has also asked external experts to share their experience in the urban resilience space with project officers Two notable sessions were given by Professor Tony Wong, one of the lead authors of the book “Resilient Sustainable Cities: a Future,” on urban water infrastructure and Thomas Tanner & Aditya Bahadur from ODI on measuring resilience. In addition to these formal peer to peer learning sessions, the secretariat (Alexandra Vogl) also posted a reliance knowledge promoting blog on ADB’s Asian Development Blog on “Urban climate change resilience: How to maintain essential functions” on May 20. 56. In terms progress on Subproject1: Planning, a team of 3 individual consultants for the first two phases of the TA assignment for BAN was engaged in September 2015 for 11 months (intermittent). The following deliverables were submitted in 2015: inception report (October 2015); draft final assessment report for 7 towns (December 2015). A consultant firm for the second phase of the assignments (10 month) was selected and contract was signed.

57. UCCRTF Activities through CDIA. Pre-Feasibility Studies (PFS) are on-going six cities through CDIA. The cities include Myusuru (IND), Palu (INO), Sahiwal and Sialkot (PAK), Baguio and San Fernando (PHI). The status of the activities is in Appendix 13.

26

V. URBAN FINANCING PARTNERSHIP FACILITY GUARANTEE FOR NON-SOVEREIGN LOANS

A. Overview and Purpose21

58. The ADB and the Swedish International Development Agency (SIDA) approved in 2009 a pilot program for a $73 million (SEK 500,000,000) Guarantee for long-term (non-sovereign/private sector) loans aimed at promoting investments in viable companies operating under challenging conditions and promoting economic growth in emerging markets. Within ADB, the Guarantee operated under the umbrella of the UFPF as one of its funding facilities - ADB is the primary guarantor and administrator with Sweden as guarantor or risk participant. 59. The purpose of the Guarantee is to promote financing of important environmental investments to public-private partnerships (PPPs), private companies, municipalities, and other public organizations operating under challenging conditions and to promote economic growth in emerging markets as agreed upon by ADB and Sweden.

B. The Guarantee as a Facility under Urban Financing Partnership Facility

60. The UFPF was designed as an umbrella operational arrangement for managing funds for co-financing from development partners to support the implementation of ADB’s Strategy 2020 by providing grant funds for technical assistance and investments focused on providing pro-poor or environmental benefits. It was envisaged as a key mechanism for managing existing and new resources which include primarily the UEIF, other trust funds to be established (i.e. UCCRTF), and project specific-guarantees such us those to be funded by the Guarantee facility.

22 This provision of the UFPF Board Approval paper therefore establishes the UFPF

Guarantee as a separate funding facility from the $21 million UEIF grant funds. C. Duration of the UFPF Guarantee

61. The Framework Guarantee Cooperation Agreement between ADB and Sweden was signed on 11 December 2009 and automatically terminated in 2012 as stated in the Guarantee Agreement. 62. Throughout this three–year duration, a renewable energy project in the Sindh Province in Pakistan was supported by this Guarantee with an approved amount of $34 million. The output-level performance for Guarantee as of December 2015 against the Facility’s DMF is presented in Table 4.1.

21

Based on the Framework Guarantee Cooperation Agreement between the ADB and Sweden (2009). 22

ADB. 2009. Urban Financing Partnership Facility: Establishment of the Urban Environmental Infrastructure Fund and Urban Trust Funds. Manila.

27

Table 5.1: UFPF Status of Output-level Performance against DMF (Guarantees)

Design Summary

Performance

Targets/Indicators

Status / Achievements as of

December 2015

Output Component 3 Guarantees

At least $150 million of guarantee resources allocated to this component Guarantees applied to at least 10 projects either standalone or in conjunction with UFPF grant, UFPF resources spent on project investment support for either goods, works or systems

$34 million (or 54% of UEIF guarantees pool) have been allocated to a wind farms project (PAK). The agreement was terminated in Dec 2012

28

VI. LESSONS LEARNED A. UFPF

63. The institutional realignment within ADB with climate change and environment and formalization of Urban Communities of Practice into an Urban Sector Group headed by a Senior Technical Advisor has help integrate wider sectoral and cross-cutting perspectives in decision-making.

64. While the Secretariat is proactively monitoring disbursements and encouraging project leaders towards prompt financial closure of completed projects, accelerating disbursement remains one of the major challenges faced by the Facility. The time between approval of allocation and ADB project approval and between ADB project approval and project inception is often too long delaying implementation of activities thus naturally slowing down disbursement and thereby posing a constraint to achieving a steady improvement in disbursement performance.

B. UEIF 65. For UEIF, the year 2015 has started off with very limited resources. The Secretariat has closely consulted and proactively managed the demand from operations department to be able to work within the limited resources available. This has enabled the Facility to provide timely advice to operations departments on proposal development.

C. UCCRTF

66. Country interest for UCCRTF has been highly differentiated. This has continued to be a challenge for ADB as there is an increasing demand outside the target countries including China, Mongolia, and Armenia. For 2015, it has been difficult for UCCRTF to have a pipeline of projects which focuses on the target countries.

67. The process of generating pipeline for the UCCRTF requires significant face to face time with operational departments and CDIA, both in identifying opportunities for using the UCCRTF, and then refining applications to ensure they meet the Implementation Guidelines.

29

VII. PLANNED ACTIVITIES FOR 2015

A. UFPF 68. Facility Marketing and Promotion. The UFPF Secretariat will continuously hold discussion and briefings with Operations Departments to bring awareness and promote the facility as a funding option. Consultations with the Secretariat will be undertaken as project proposals for funding are received. This will be parallel to the development and preparation of official applications. The project details will then be refined through discussions among the project officers and the Urban Sector Group. The Secretariat will continue to support the project officers in the conceptualization and preparation of applications. Updates on the progress of the facility will be regularly communicated and results shared to user departments.

69. Uptake, evaluation and approval of pipeline of emerging urban projects. UFPF Secretariat will commence in the evaluation of projects for the 2016 pipeline of emerging urban projects requesting UFPF assistance. Consultations with UFPF Secretariat are being undertaken, parallel to the development and preparation of official applications. Project details are then expected to be refined through discussions among the project officers and Sector Group Committee.

70. Performance Monitoring. UFPF Secretariat will continuously monitor the performance indicators for the outcome and outputs by tracking the documentation of projects receiving UFPF funds allocation as it progresses through ADB’s project processing and implementation cycle. This is also to ascertain whether individual projects are on-track toward keeping their implementation targets, and reports on any adjustments. Specifically, UFPF Secretariat will review the following:

(i) Approved concept clearance paper, for allocations made by the Urban Committee; (ii) Report and recommendation of the President or TA report, for projects receiving

UFPF fund allocations, approved by ADB (i.e., Board or President) for implementation;

(iii) Project performance report or TA performance report for ADB-approved projects in advance stages of implementation;

(iv) Project completion report or TA completion report; and (v) Progress updates or final reports for DCs

B. UEIF

71. The Secretariat will review the current UEIF pipeline noting that a limited resource is available for allocation. Additional direct charge and TA support applications are expected from the operations departments. Initial discussions are being underway with CWRD, EARD, and SERD. Project grants would be accommodated on a case-to-case basis given the available funds the trust fund has. 72. Continuous Monitoring and Feedback. The Secretariat will continuously monitor the performance of on-going projects, including expected activities with the commencement of the PHI: Water District Development Project. This is also to ensure that individual projects are on-track toward keeping their implementation targets, and reports on any adjustments. Progress updates will be requested periodically and submission of final completion reports will be required once the project has been completed.

30

73. Monitoring of Disbursement. The current status of resources and in particular the disbursement performance of the individual projects will be monitored. The Urban Committee will continue to initiate proactive dialogue with project officers and respective sector directors to discuss individual projects that are dormant to withdraw the requested fund allocation to be reallocated to other potential urban projects in the pipeline.

74. Portfolio Management. The Secretariat will continue to strictly implement the spring cleaning exercise and maintain close collaboration with operations departments and Controllers Department. This is to facilitate prompt financial closure of UEIF completed activities, particularly those financed through direct charges. This will also force operations departments to be more mindful in working out the timetable for submitting applications, knowing that approved allocations that remain dormant face the risk of termination.

C. UCCRTF 75. Communications on how resilience has been strengthened and value added of UCCRTF in each investment. Most of this is information to be gathered as under-the-radar influencing on building resilience in investments that took place this year but which is not captured in a systematic way. Need to distinguish how to capture the demand-led and the supply-led applications. It is critical in demonstrating the additionality to the investment beyond the grant and monitoring indicators. 76. Portfolio level analysis from a cities perspective and poor person’s perspective of approved investments is also critical. As a starting point, it would be good to build some peer to peer learning activities around the cities themselves so that they become more aware of the benefits of this investment beyond the ADB investment loan process. This could include looking at the DMFs of all approved investments.

77. Strategy on embedding urban resilience principles in country operations and ADB country programme strategies. Strategically influence the ADB Urban portfolio and other cross-cutting sector projects. Some of this is about thinking through different entry points including how to cascade resilience thinking through to ODs and articulating the resilience dividend of investments. 78. Finalizing the knowledge plan. Prioritize Monitoring and Evaluation framework (MEF) and knowledge plan and increase focus on planning, knowledge community and other capacity building activities alongside the drive for infrastructure investment opportunities. Knowledge plan still needs to be finalised. Finalized frameworks for thinking around resilient infrastructure, urban poor resilience and a resilient city in the context of UCCRTF are needed to help inform Secretariat influence over investment design. Also, MEF needs to articulate who will be the partners and what processes will be followed.

79. Continue to focus on disbursements for the Trust Fund. Build a strong pipeline portfolio, a strong disbursements profile and a clear work plan for the next year. New mechanisms for community initiatives, Cluster TA, and contractual arrangement with CDIA are all part of this drive. It will also allow the Secretariat to highlight again what plans they have to enhance a disbursement focus, stronger resilience thinking, better portfolio analysis and communications and stronger city-level portfolio analysis.

80. Implications of new donors joining the Trust Fund, especially with emerging issues around full donor approvals for work in exceptional countries like Myanmar and even in existing

31

priority countries. The Secretariat will need to manage issues of differing country priorities for different donor partners as this may have consequences to ADB pipeline business. Important to set basic parameters such as % splits of activities, spread across countries to ensure balanced implementation across all components early on which can be upheld over time.

81. UCCRTF Secretariat. Focus on staffing and recruitment of the Secretariat to ensure risk management for the programme. Identify new Secretariat staff and consultancy for gap areas.

Appendix 1 33

UFPF Design and Monitoring Framework

Introduction 1. The Urban Financing Partnership Facility (UFPF) was established to provide additional financial and knowledge resources for the implementation of urban environmental infrastructure, a core focus of ADB's Strategy 2020. The design and monitoring framework (DMF) sets out the objectives of the UFPF. 2. The key points to note are:

a. The DMF provides more detail on specific outputs that fall within its three major output components defined under UFPF; and

b. The "outputs" section of the DMF is defined using as basis the $100 million expected

total grant contributions and $150 million in guarantees from the financing partners and using 2010-2015 period as a base.

3. ADB's urban community of practice and operations departments are implementing new approaches to investment in environmental infrastructure and other priority areas under Strategy 2020 to achieve more livable cities in Asia, but additional resources are needed for these approaches to be made operational. Concrete outcomes will be an improved environment, safe drinking water, improved sanitation, better access to employment and improved health for about 200 million people, investment road maps for sustainable development in 50 cities, and capacity development for national sustainable urban development strategies in 10 countries. With these as targeted outcomes, the activities to be supported by the resources from UFPF are those directly contributing to the achievements of such outcomes as described below: How UFPF Resources will help achieve Targeted Outcomes: Rationale for Choice of Indicators 4. The specific output indicators used in the proposed DMF for UFPF are those that directly reflect the activities to be financed from UFPF resources. They are:

a. Component 1: Increased levels of urban environmental infrastructure investment – to be supported by UFPF in terms of additional resources to:

(i) prepare projects (through PPTAs) resulting in fundable investment proposals;

(ii) finance grant components of investments that support either works, goods

and services designed to enhance project design and implementation; and

(iii) finance specific activities that directly support a programmatic approach to the above outputs.

b. Component 2: Technical Assistance – UFPF funds may also be used for technical

assistance to support business and/or financial advisory and engineering services to:

(i) undertake economic and sector work, linking urban investments to sustained, inclusive growth and other Strategy 2020 objectives including selective

34 Appendix 1

support for other non-lending measures—such as policies, regulations, standards, and institutional capacity building;

(ii) prepare projects, transactions, and programs for investment and structure the

financing of urban projects appropriate for local governments and capital market conditions;

(iii) share costs of implementing TA components of urban investment programs in

combination with other government, donor, and commercial funding;

(iv) support knowledge development and sharing through transfer of technology and experience by developing networks of practice, and through participation at learning events; and

(v) build the capacity of capital markets to finance urban investments and

programs.

c. Component 3: Guarantees – support will be provided by UFPF to reduce financing costs and enhance the credit quality of projects, for pilot and demonstrations projects and for investments that produce new and innovative financing approaches to urban environmental infrastructure implementation targeted at local governments and utilities, community associations and apex bodies, local financial institutions, and other organizations involved in the financing of such projects either on the supply or demand side of the market.

5. Furthermore, it is envisaged that the UFPF will not only provide additional resources to produce the outputs described above but also provide added value such as:

(i) greater assurance of outcomes by providing support to counterpart agencies in respect of improving implementation and through improved dialogues with government.

(ii) greater reach to underserved, particularly the poor, by facilitating preparation of

additional projects and leveraging more resources from partners. (iii) fostering innovation by supporting activities like pilot and demonstration,

development of knowledge products and organization of knowledge events in areas of emerging priority such as climate change.

(iv) being more strategic by addressing policy and institutional issues of replication

specific and priority issues such as gender, climate change, environment and sanitation.

Appendix 1 35

Design Summary Performance Targets/Indicators


Assumptions and Risks

Impact Improved livability in cities of all sizes in developing member countries (DMCs)

Improved environmental infrastructure/service delivery. Improved environmental parameters in cities Achievements of Millennium Development Goals (MDGs) in cities

Urban sector and sector and/or thematic reports of DMC governments and international organizations Asian Development Bank (ADB) and international progress reports on the MDGs

Assumptions

There is greater commitment by stakeholders and policymakers in DMCs to improve environmental quality

Sustained emphasis on environmental infrastructure investment to keep pace with increased demand – population and economic growth

Financial mechanisms for sustainable maintenance programs in place

Outcome Improved coverage, quality and continuity of environmental service delivery and sustainability.

200 million in cities benefiting from improved investments or systems. Improved urban environmental management as demonstrated by pilot project achievements influence on policy and reform measures Funding commitments. Between 2010-2015, at least 20% of ADB lending projects will be urban-related, over $10 billion in ADB funds invested in urban Asia, and $5 billion additional investments leveraged from other donors, government and private sector

Country sector reports and analysis prepared by ADB Reports of UN and other agencies Government reports on sector matters in targeted countries. CPS, CAPEs and DMC feedback received through various formal and informal channels Reports of research bodies Project Processing Information System (PPIS) Project documents

Assumptions

Leadership of key local governments, agencies and utilities

Implementation of governance reforms for service delivery and sustainable management

Community involvement

Risks

Intensified opposition to private sector involvement in service delivery

Budgetary constraints

36 Appendix 1

Output Component 1 Increased levels of investment Fundable investment

projects Component 2 Technical Assistance Project development

support Project implementation

support Non-lending

assistance addressing reforms in the areas of: policy legislation regulation institutional

arrangements

70% of grant resources or $70 million of UFPF resources spent on project investment support for either goods, works or systems

At least 2023

investments either funded in full or cofinanced with ADB or other sources 30% of grant resources or $30 million of UFPF resources allocated to this component

At least 2024

applications for support to project development through improved design and implementation, better communication with stakeholders, etc.

At least 2025

applications for support to project implementation through improved supervision, better communication with stakeholders, etc. At least 100 TAs from direct

charge applications26

designed to advance reform measures in each of the areas of policy, legislation, regulation or institutional arrangements or to improve monitoring and evaluation of results

Published ADB data on past and future public and private sector investments and technical assistance Government evaluation studies/ research reports ADB databases TA documents, reports on sector work dealing with policies and legislation Government evaluation studies/ research reports Knowledge products developed on schedule and achieve targeted distribution levels

Assumptions

ADB investment products are attractive to DMCs

Replenishment of OCR/ADF to support increased urban investment

Internal resources allocated to deliver increased urban program

UFPF contributions are received based on the committed date of contributions

Risks

Low DMC demand for increased investment in the sector

23

20 grants for investments based on average cost of $3.5 million per intervention during 2010-2015. 24

20 grants for TA based on average cost of $500K per project or a total of $10 million during 2010-2015. 25

20 grants for TA based on average cost of $500K per project or a total of $ 10 million during 2010-2015. 26

100 applications for direct charges is based on average cost of $100K each or a total of $10 million during 2010-2015.

Appendix 1 37

Component 3 Guarantees

At least $150 million of guarantee resources allocated to this component Guarantees applied to at least 10 projects either standalone or in conjunction with UFPF grant, UFPF resources spent on project investment support for either goods, works or systems

Published ADB data on past and future public and private sector investments with guarantee involvement Government evaluation studies/ research reports

Added value provided by UFPF in terms of:

Greater assurance of outcomes by increasing country commitment and capacity

Investment Dialogues Use of knowledge

products

Dialogues conducted in each of five priority countries that produce updated urban priorities

BTOR on dialogues ADB UCoP database

Greater reach to poor and underserved by

Pro-poor orientation At least 10 pilot projects demonstrating involvement of poor communities as integral to project implementation

Post evaluation study of PPTAs and subsequent loan project design, UFPF reports

Funding proper sanitation/recycling

At least 10 pilot projects demonstrating increased investment in sanitation

Project documents/UFPF reports

Funding gender initiatives

At least 5 pilot projects demonstrating gender mainstreaming

As above

Funding initiatives that help strengthen partnership with or empower civil society

At least 10 pilot projects demonstrating greater involvement of civil society both at policy and project levels

As above

Fostering Innovation Pilot financing Knowledge products

Knowledge events Take up of new

products

Post evaluation confirms new ideas, methods, technology and approaches taken up and applied from UFPF finance initiatives

Post evaluation of approved technical assistance projects, UFPF reports

38 Appendix 1

Government evaluation studies/ research reports

Being more strategic by Funding climate

change Linking to more

partners Better dissemination of

knowledge products

At least 15 projects demonstrating climate change adaptation measures At least 10 projects implemented with cofinancing At least 50 million population in cities where knowledge activities have been targeted

ADB project documents (loans and TAs); UFPF application documents and reports Government evaluation studies/ research reports As above As above

Activities Investment

Demonstrate expansion of urban environmental investment in at least 5 countries

Mobilize private finance Build momentum for urban environment infrastructure investments

Reforms

Intensify support for national infrastructure sector reforms

Support development of regulatory frameworks Capacity Development

Develop new and innovative approaches, methodologies Strengthen institutional capacity

Enhance the knowledge base and knowledge products Strengthen regional partnerships

Inputs: Urban Financing Partnership Facility approx. $250 million Project Support Window TA Window Guarantee Window ADB TA grant resources ADB Lending ADB staff resources Government resources Private sector resources NGO resources

Appendix 2 39

Guidelines for Application for Assistance and Project Selection under UFPF

1. The applications for assistance will be proposed by the Operations Departments and the Urban Infrastructure Working Group (UIWG), made up of representatives from the operational departments and chaired by the director general of SDCC (or designate), will review, assess and make recommendations on projects that are suitable candidates for assistance under UFPF. 2. Operations Departments and the UIWG will use the following criteria as guidelines for project selection and approval to ensure that resources are directed to projects and activities that are best able to demonstrate bankability, capacity enhancement, pilot scalability and leveraging of both public and private sector finance with UFPF assistance.

Eligible Urban Infrastructure

Sectors and Specific Project

Criteria under the UEIF

Water, Sanitation, Wastewater, Transport, Energy, (city): - Climate Change Adaptation and Mitigation - Urban Water and Wastewater Services Project - Urban Solid Waste Management Service Projects - Urban Transportation Services Projects - District Heating and Cooling Services Projects - Urban Renewal

Specific Project Criteria under the

UCCRTF

- Urban Climate Change Resilience Planning, Institution and Community Capacity Building, and Study Projects - Building Climate Resilient Health Systems and Services Projects - Urban Ecosystems Strengthening and Ecosystems Services Projects - Urban Solid Waste Management, Drainage and Flood Management Projects - Strengthening and Diversifying Climate Vulnerable Urban Livelihood Projects including a fund to support urban poor led initiatives - Urban Climate Resilience Education, Awareness Building and Citizen Monitoring Projects - Improved Urban Emergency Management Projects (based on incorporation of climate change assessments) - Knowledge Generation, Dissemination and Use - Climate-resilient Urban Water Management Projects (demand management and supply measures based on specific climate change assessments) - Urban Climate Change Resilient Housing and Transportation System Projects - Low Carbon and Climate Resilient Development Projects

Eligible Countries For UEIF: ADB Developing Member Countries (DMCs) For UCCRTF: Pakistan, Bangladesh, India, Indonesia, Philippines, Viet Nam, Myanmar

Eligible Activities TA, Investment, Guarantee

Government Commitment DMC government discussion and corresponding Operations Department endorsement

Consistent With ADB Urban Initiatives under Strategy 2020

Funding Not be more readily available from other sources

Value for Money Activities aimed at ensuring value for money, including adopting the lowest cost strategies consistent with appropriate standards of quality

40 Appendix 2

Additionality

a) Environmental sustainability,

pro-poor innovative finance and

pilot demonstration

pilot projects demonstrating, pro-poor benefits, environmental sustainability, innovative financing and pilot scalability

b) Technical project proposing operations department demonstrate that without technical advisory support, for example in the form of pre-feasibility assessments, PPTAs and / or project structuring including identification of scope and nature of private sector involvement’ the proposed project would not be formulated/structured well enough to be ‘marketed’ to potential financiers

c) Financial project proposing operations department demonstrate that without viability gap investment funding assistance and /or guarantee support, the project would not be viable and/or commercially attractive

3. To ensure alignment of bank wide sector operations and close co-ordination with operations departments, proposals for UFPF assistance must originate in the operations departments of the ADB.

4. Consistent with the approval criteria, proposals relating to country-specific activities will require evidence of commitment from the government towards the project. 5. To ensure a rapid response capability, applications will be considered on a rolling basis as requests arise, without the need for a relative assessment of proposals through the periodic batching of proposals.

6. The Urban Infrastructure Working Group (UIWG) will undertake an initial screening of all proposals to ensure that the application is complete and consistent with the eligibility criteria with respect to eligible countries, DMC country commitment, sectors and additionality and nature of intervention/activities.

7. Proposals that meet the eligibility requirements will then be subject to more intensive scrutiny /technical assessment. The UIWG may undertake this assessment using RSID staff. The findings of the technical assessments shall be more in the nature of recommendations and not binding on the UIWG.

Appendix 3 41

UFPF External Evaluation Methodology

The methodology used by this evaluation has included the following steps:

(i) Participation in the design of the common evaluation framework used for all

three of the 2015 FPF evaluations, and related consultations with IED and

other ADB departments;

(ii) Review of UFPF and TF documents including: (a) establishment documents

and documents written in the course of the ADB approval process; (b)

implementation guidelines; (c) project funding applications; (d) records of the

UFPF Facility Manager (FM); (e) annual reports and workplans of the UFPF,

and others;

(iii) Personal and telephone / video interviews of (a) ADB Facility Management

personnel, (b) ADB project officers managing UFPF-supported projects, (c)

UFPF financing partners, and other ADB staff involved with TF and UFPF

management and administration;

(iv) Design and circulation of surveys for project officers and for funding partners

(Surveys targeted 31 respondents, of which 17 responded (55% response

rate), and analysis of the results; and

(v) Analysis of data gathered through the above processes in order to finalize

the evaluation and assign ratings to sub-criteria, calculate criteria ratings

and an overall assessment / rating for the UFPF.

42 Appendix 4

FPF Rating System (Criteria and sub-criteria, their respective ratings and weights)

Criterion

Weight Definition Possible Ratings

Rating

Value

Relevance

20%

Relevance (to financing partner and

ADB) of UFPF in fulfilling its role as a

useful platform for strategic, long term,

and multi-partner cooperation

Highly relevant

Relevant

Partly relevant

Not Relevant

3

2

1

0

Sub-criteria for Relevance: A. Consistency with ADB's long-term strategic directions and priorities B. Extent to which objectives of UFPF are consistent with Financing Partners’ strategic directions and priorities C. Extent to which UFPF Design and Monitoring Framework (DMF) is consistent with ADB’s and Financing Partners’ strategic directions and priorities D. Extent to which the UFPF has used intended financing mechanisms E. Extent to which the UFPF has used intended delivery modalities F. Compliance of UFPF operations with its implementation guidelines G. Design and quality of UFPF-supported projects

Effectiveness

20% Effectiveness of UFPF in terms of

achievement of its desired results

Highly effective

Effective

Less effective

Ineffective

3

2

1

0

Sub-criteria for Effectiveness: A. Achievement of FPF’s Intended Results B. Achievement of FPF-supported projects’ intended results

Efficiency

15% How well have resources been used in

targeting outputs and outcomes?

Highly efficient

Efficient

Less efficient

Inefficient

3

2

1

0

Sub-criteria for Efficiency: A. Fund allocation, administration and staffing B. Delivery modalities including the direct charge modality C. Project approval process and implementation time D. Disbursement and project progress rates

Appendix 4 43

Criterion

Weight Definition Possible Ratings

Rating

Value

Value Addition

25% Has UFPF added value (attracted other

financing to projects, engendered

innovation, propagated reforms, etc.)?

Excellent

Satisfactory

Partly Satisfactory

Not Satisfactory

3

2

1

0

Sub-criteria for Value Addition: A. Leverage of additional funds flow to the clean energy/urban/water sector B. Fostering Innovation C. Promotion of Practices in UFPF’s respective sector (Clean Energy/Urban/Water) D. Emerging Trends E. Acceleration of Sector Reforms F. Capacity Development G. Project Level

Sustainability

20% Are institutional, financial and project-

level resources sufficient to maintain the

envisaged outcome over time?

Most likely

Likely

Less likely

Unlikely

3

2

1

0

Sub-criteria for Sustainability: A. Institutional sustainability B. Financial sustainability C. Project level sustainability

Overall

Assessment

(weighted

average of

above criteria)

Highly Successful: Overall weighted average is greater than 2.7

Successful: Overall weighted average is greater than or equal to 1.6 and less than

2.7

Partly Successful: Overall weighted average is greater than or equal to 0.8 and less

than 1.6

Unsuccessful: Overall weighted average is below 0.8

ADB = Asian Development Bank, UFPF = Urban Financing Partnership Facility. Source: Independent Evaluation Department rating guidelines, FPF Evaluation Framework

44 Appendix 5

Details of UEIF Supported Projects

Project Title / Country / Amount by

Modality

Project Description /

Indicative Contribution to Results

Framework

Processing / Implementation

Status as of December 2015

Piloting Innovative Solid Waste

Management (PHI)

Indicative Contribution to UEIF Results

Framework

Reduced discharges of pollutants to

the environment (e.g. ground water,

soil and air)

Reduced discharges of GHG

Improved public health and safety

Improved quality of service delivery

Improved cost recovery

TA – Completed

Capex – Cancelled

- PPTA completed.

- Capex has been cancelled

Total disbursement (TA):

$123,435.78

Capex 2,000,000

TA 200,000

Total 2,200,000

Cities / Urban

regions

TBD

Target

beneficiaries:

TBD

Leveraged/ Catalyzed Ensuing Investments

Investment grant 800,000

Loan 70,000,000

Karnataka Integrated and Sustainable

Water Resource Management

Investment Program (IND)


Framework

Improved living conditions for the

urban poor

Reduced consumption of resources

for operation and investments in

plant capacities

Increased cost recovery

Reduced operational expenses


TA – Completed

- Total disbursement: $300,000

TA 300,000

Total 300,000

Cities / Urban

regions

ULBs of Davangere,

Harihar, Ranebennur

and Byadagi

Target

beneficiaries:

765,000 people for

enhanced access to

drinking water and

400,000 people to

improved sanitation


Investment grant 1,200,000

Loan 300,000,000

Ulaanbaatar Water and Wastewater

Operation Improvement (MON)


Framework


urban poor



plant capacities

Increased cost recovery

Reduced operational expenses


TA – Completed

Capex – Under Implementation

- Capex implementation is

ongoing. No disbursement in

2015. Contract award and

disbursement by Q2 2016 and

Q3 2016, respectively.

- TA is completed with total

disbursement amounting to

$300,000

Capex 3,700,000

TA 300,000

Total 3,900,000

Cities / Urban

regions

Ulaanbaatar

Target

beneficiaries:

1.3 million people


Loan 150,000,000

GMS Corridor Towns: Managing Solid

Waste-Mainstreaming the 3R Approach

(REG)


Framework


the environment,


TA – Completed

- Final MRF feasibility studies

submitted

- Completed fund disbursement

TA 300,000

Total 300,000

Cities / Urban Battambang, Bavet and

- COMMITTED – Approved at the Urban Committee level - UNDER IMPLEMENTATION – Approved by the Bank where funds will start / have started disbursements - COMPLETED – All funds have been disbursed/ utilized - FOR CANCELLATION – Processing cancellation of approved fund since the project is not moving since approval date

Appendix 5 45


Modality



Framework



regions Poipet (CAM); Kaysone

Phomvihane (LAO);

Dong Ha and Moc Bai

(VIE)




- Total disbursement (TA):

$299,615

Target

beneficiaries:

226,600


Investment grant 3,500,000

Loan 137,570,000



(CAM)


Framework


the environment,






- Imprest account for UEIF funds

opened in Q2 2015.

- The contract for detailed

engineering design was signed on

26 Oct 2015, and mobilization of

consultants started in November

2015. Civil works for the material

recycling facility is expected to

commence in Q3 of 2016.

- Expected disbursement by Q2 of

2016 is $110,000

Capex 1,500,000

Total 1,500,000

Cities / Urban

regions

Battambang, Bavet and

Poipet

Target

beneficiaries:

58,600



(LAO)


Framework


the environment,






- Project costs being reviewed; for

possible minor change in scope

and repackaging of works.

Capex 638,000

Total 638,000

Cities / Urban

regions

Kaysone Phomvihane

Target

beneficiaries:

60,000



(VIE)


Framework


the environment,






- Project Implementation

consultants fielded in November

2014. Preparation for the

procurement of the grant-financed

component (Materials Recovery

Facility) is underway.

Capex 1,000,000

Total 1,000,000

Cities / Urban

regions

Dong Ha and Moc Bai

Target

beneficiaries:

108,000

Alternative Urban Infrastructure

Financing Modalities (KAZ)


Framework

Improved quality of service delivery;

Improved public health and safety;

TA – Under Implementation

- The TA has been completed

but has been extended until

September 2015 at the request

of the KAZ government to arrive

TA 1,000,000

Total 1,000,000

Cities / Urban

regions

Karaganda and

Taldykorgan

46 Appendix 5


Modality



Framework



Target

beneficiaries:

1,807,894 (Karaganda

Oblast)

459,778 (Almaty

Oblast)

Improved cost recovery;


urban poor

at specific time-bound next steps

based on TA recommendations.



Investment grant 2-4 billion (investment

pipeline)

Sustainable Urban Development in

Secondary Cities (ARM)


Framework

Improved quality of service delivery;

Improved public health and safety;

Improved cost recovery;


urban poor


- The stakeholder consultation

workshops were completed in

Gyumri, Dilijan, and Yerevan (for

Vanadhzor and Jermuk). The

final stakeholder consultation

workshop was held in Gyumri on

8 December 2015.

- Total disbursements: $501,600

TA 660,000

Total 660,000

Cities / Urban

regions

Jermuk, Dilijan,

Vanadzor and Gyumri

Target

beneficiaries:

TBD

Water District Development Sector

Project (PHI)


Framework



plant capacities;

Increased cost recovery;




- TA: Consultant recruitment

underway. Contract signing

expected in July 2016.

- Capex: The Special

Presidential Authority for the

DOF to negotiate has been

signed by the Philippine

President. To proceed with the

Loan Negotiation and Board

approval of the project.

Capex 2,000,000

TA 500,000

Total 2,700,000

Cities / Urban

regions

Koronadal, South

Cotabato and other

provincial cities (TBD)

Target

beneficiaries:

1.5 - 2 million people

Karnataka Integrated Urban Water

Management Investment Program and

Bangalore City Cluster Development

Project (IND)


Framework



plant capacities;

Increased cost recovery;




urban poor


Capex – Committed

- Executing Agency is going to

engage an NGO to implement

the grant program (output-based

aid toilet construction). The

program will start in early 2016.

- Total Disbursement (TA):

$289,449

Capex 1,800,000

TA 400,000

Total 2,200,200

Cities / Urban

regions

Davangere, Harihar,

Ranebennur and

Byadagi

Target

beneficiaries:

BMR Area (1 million)

Appendix 5 47


Modality



Framework



Mainstreaming Integrated Solid Waste

Management in Asia

(REG)


Framework


the environment, e.g. ground water,

soil and air

Reduced discharges of GHG,





- Consultants on-board

- Total Disbursement: $190,165

TA 600,000

Total 600,000

Cities / Urban

regions

TBD

Target

beneficiaries:

Beneficiary cities

together are expected

to have above 1 million

Integrated Solid Waste Management

Investment Program for Intermediary

Cities (AZE)

The UEIF funds will be used to

complement the original scope for the

PPTA, but with focus on the additional

region that has been designated to

ADB. More specifically, the funds will be

used to: (i) assess collection systems,

transportation modalities for the

proposed regions; (ii) collect data on

potential disposal sites (landfills and

transfer stations), composting, materials

recovery, and transfer; (iii) conduct

waste characterization to better

determine the mode of disposal,

treatment, and/or recycling; (iv) prepare

relevant environmental, land

acquisition, and other safeguard studies

as needed upon the finalization of site

location; (v) prepare financial and

economic analysis to better understand

the viability of the project; and (vi)

complete preliminary configuration and

design of selected landfill and transfer

stations.


- TA was approved on 26 June

2014 and became effective on 8

August 2014.

- Consulting firm selected.

- Total Disbursement: $78,750

TA 225,000

Total 225,000

Cities / Urban

regions

Nakhchivan, Lower

Caucuses Economic

Zone

Target

beneficiaries:

The proposed project

will provide SWM

solutions to more than

1 million people

Solid Waste Management Improvement

Investment Program (ARM)

The UEIF funding will support shortfall

in funds required to complete the

balance activities of the PPTA.

Additional funds are required to

complete the remaining consulting work


- The TA completion date was

revised from 31 December 2015

to 30 June 2016. Due to

subsequent delay by the

TA 50,000

Total 50,000

Cities / Urban

regions

Gyumri

48 Appendix 5


Modality



Framework



Target

beneficiaries:

TBD under Phase II, which is the feasibility

study of Gyumri SWM, preparation of

the project for potential ADB financing

and bringing out a publication on the

SWM Strategy of Armenia. The PPTA

and resulting investment project(s) will

improve health, hygiene and sanitation

standards of residents in the

regional/urban centers. The outcome is

efficient and well established modern

SWM systems, operating on best

international standards and practices.

government in the selection and

approval of the regional site,

Phase II was further delayed.

The government request and

consent of the Ministry of

Territorial Administration and

Emergency Situations to proceed

with the feasibility study was

received on 9 September 2015,

identifying Shirak Region as the

selected site for the new regional

sanitary landfill. ADB gave its no

objection to conduct the activities

of Phase II on 18 September

2015. The PPTA team has now

completed the field

investigations, designs,

procurement documents and

other remaining scope of Phase

II. The program preparatory

report and related due diligence

documents were submitted to

ADB by the consultant team on

December 22, 2015. The

extension was necessary to

allow additional time to review

and incorporate ADB comments

in these documents.

Incentives for Strengthening Disaster

Resilience in Urban Areas (REG)

The UEIF funding will support the

following additional activities (i) In-depth

review of existing incentives for urban

development; (ii) consultation with a

wide range of stakeholders to discuss

possible incentives that could be

developed for promoting resilient urban

development; (iii) holding a regional

workshop at the end of the TA.

TA – Completed

- All TA activities have been

completed last 30 November

2015 and the TA was financially

closed on 29 December 2015.


TA 100,000

Total 100,000

Cities/Urban

regions

Kathmandu, Naga,

Danang

Target

beneficiaries

TBD

Darkhan Urban Utility Institutional

Development Action Plan (MON)

The project proposes to build capacity

of urban utility operators supporting

water and wastewater management

operations systems in the context of

implementing modern central

wastewater treatment plant in Darkhan.

The TA will improve urban livability

through supporting the sustainability of

urban environmental infrastructure and

services and through the support of

infrastructure planning integrated with

urban master planning contributing to


- Consultant recruitment

underway. Contract signing

expected in February 2016.

- Projected disbursement by Q2

2016 is at $64,000

TA 400,000

Total 400,000

Target

beneficiaries

Appendix 5 49


Modality



Framework



making Darkhan a “smart and green city” by 2028.

Establishment of Baku Bus Company

and Bus Network Optimization under

PPTA 8152-AZE: Baku Sustainable

Urban Transport Investment Program

(AZE)

The Government of Azerbaijan

requested additional support to top up

PPTA 8152 and conduct

complementary activities that will help

promote public transport and modal

shift from private cars to more

sustainable modes of transportation.

The activities that will be conducted

through a participatory approach are

innovative in nature since they will

introduce modern, efficient and

customer-oriented bus services in Baku.

TA – Completed


TA 120,000

Total 120,000

Target

beneficiaries

Hunan Xiangjiang River Watershed

Existing Solid Waste Comprehensive

Treatment Project (PRC)

The project will assist the Hunan

provincial government in: (i)

uncontrolled stock landfills cleanup

through landfill mining and leachate

treatment, (ii) municipal solid waste

management facilities including sorting

and recycling facilities and waste-to-

energy plants in selected cities, (iii)

contaminated land treatment for

redevelopment, and (iv) project

management and institutional capacity

building for relevant agencies.


- On-going PPTA (The consultant

engagement has been in

progress the team will be

mobilized from 1 February 2016).


2016 is at $112,500.

TA 225,000

Total 225,000

Cities/Urban

regions

TBD

Target

beneficiaries

TBD

Xinjiang Changji Urban-Rural

Infrastructure Demonstration Project

(PRC)

The funding will support the

enhancement of project preparation

activities for the municipal solid waste

management and public utility services

components. In terms of technical

aspects, the project preparatory

technical assistance (PPTA)

consultants will examine population

projections and urban development

plans for the project areas, existing

services, availability of water resources,

detailed demand projections for waste

management facilities and other utilities

including district heating, and local

capacity for operations and

maintenance.


- PPTA firm activities starting in

Jan 2016.


2016 is at $60,000

TA 200,000

Total 200,000

Cities/Urban

regions

Fukang City, Hutubi,

and Qitai

Target

beneficiaries

TBD

Support for Solid Waste Management in

Azerbaijan (AZE) The project aims to improve the urban

environment and quality of life of

residents of the Lower Caucasus

Economic Zone and Nakhchivan

Autonomous Republic. The UFPF

funding would be highly complementary

to the on-going works being conducted



2016 is at $225,000

TA 225,000

Total 225,000

Cities/Urban

regions

TBD

50 Appendix 5


Modality



Framework



Target

beneficiaries

Residents of the (i)

Lower Caucasus

Economic Zone

including Qazakh,

Aghstafa, Dashkasan,

Gadabay, Goranboy,

Samukh, Goygol,

Tovuz, Shamkir,

Aghdam, Terter and

Fuzili rayons and (ii)

Nakhchivan (NAR)

under the PPTA and will provide

essential inputs into the regional SWM

strategy formulation. The importance of

developing a sensible SWM strategy is

directly attributable to the development

of livable and sustainable cities in

Azerbaijan through proper management

of waste and focus on recycling and

reuse.

Heilongjiang Coal-Rich Cities

Redevelopment Project (PRC)

The proposed project and the UFPF

funded activities are aligned with the

objectives of ADB’s Midterm Review of

Strategy 2020 and with ADB’s urban operational plan of developing livable,

competitive, green and inclusive cities.

The funds from the UFPF will be used

for PPTA activities and strategically

applied to support key infrastructures

that will contribute to enabling the much

needed non-coal economic

revitalization and environmental

cleanup.



2016 is at $15,000 TA 300,000

Total 300,000

Cities/Urban

regions

Hegang, Jixi, Qitaihe,

Shuangyashan

Target

beneficiaries

5.4 million residents of

Hegang, Jixi, Qitaihe,

Shuangyashan

Solid Waste Management Strategy and

Urban Investment Plan (TIM)


Framework


the environment, e.g. ground water,

soil and air

Reduced discharges of GHG,




Direct Charges – Completed

- The consultant submitted an

inception report, interim report,

draft final report and final report.

All reports were submitted on

schedule, and were prepared to

a very high quality. The

consultant also prepared detailed

presentations for the government

and key stakeholders to present

and discuss the findings from the

SWM investigations and SWM

strategy. There was limited

engagement from the National

Directorate for Environment, but

strong support was provided by

other institutions with SWM

responsibilities such as: (i)

National Directorate for Basic

Sanitation, the agency

responsible for implementation of

the National Sanitation Policy

which covers SWM, and (ii)

Ministry of State of

Administration, which is

Direct Charges 75,000

Total 75,000

Cities / Urban

regions

13 District Towns

(including capital city of

Dili

Target

beneficiaries:

361,577 people

Appendix 5 51


Modality



Framework



responsible for providing solid

waste collection and street

sweeping services in Dili.

Targets included in the DMF

were achieved under Output 1;

however, since the number of

SWM investment proposals was

reduced from 13 to 1 during

implementation, Output 2 targets

were not fully achieved.

- The activity led to a further

request from the government for

ADB to provide further PPTA

assistance to carry out feasibility

and due diligence assessments

on priority investments identified

in the Dili SWM strategy. PPTA

implementation is now underway.

- Account closed in 11 December

2014.

- Total disbursement:

$59,587.87

Ulaanbaatar Urban Services and Ger

Areas Development Investment Program

(MON)


Framework



urban poor


- UEIF direct charges were used

to capitalize on the experience of

UN-Habitat Mongolia team,

which is present in Ulaanbaatar

since 2004. The UN-Habitat

team of social mobilizers was

tasked to build a participatory

process between the

communities, the program

preparation and the municipality

of Ulaanbaatar.

More specifically the main

activities funded by UFPF were

(i) Residents of selected 2 sub-

center areas are organized

through UN-Habitat Community

mobilization approach into 3 level

community organizational

structures: Primary Groups,

Micro district (Khoroo)

Community Development


Total 70,000

Cities / Urban

regions

Ulaanbaatar

Target

beneficiaries:

16,000 people

52 Appendix 5


Modality



Framework



Councils (CDC) and Sub center

Community Development

Councils. In each Khoroo CDC a

SME Development Council was

established; (ii) Needs

Assessment and Prioritization

Workshops were done with the

Primary Group leaders and

provided information on the

needs of the communities and

SME runners to the PPTA Team

for consideration in the

development of the draft physical

plans of the areas such as

designs of road, engineering

network, socio-economic

facilities and layout plans for

particular area redevelopment;

(iii) Consultation regarding the

over-all strategy of urban

functions development, options

of land readjustment/land

pooling; (iv) preparation of the

land use plan for residential,

economic, livelihood, and

logistics use; (v) preparation of

Entitlement Matrix for potential

resettlement options through

ground and community feedback

surveys; and (vi) Skills (current

and skills of interest) of the

community members mapped

and matched with demand by the

SMEs leading to the SME

Development Plan, and

community groups linked to

training institutions providing

vocational/technical skills

training.

As the result of this collaboration

the project design was enhanced

and crafted to fit the community’s needs. It created a very strong

sense of ownership among the

resident which also smoothen

the preparation of the

resettlement plan. In addition this

helps tremendously to pass the

complex domestic approval

Appendix 5 53


Modality



Framework



process as the communities

were constantly putting pressure

to the Government and the

Parliament to support the project

approval. Recognizing the

benefits and the importance of

the community participation in

the preparation and the

implementation of the program

the Government of Mongolia

decided to use ADB loan to

finance a specific community

engagement package that will be

carry out during the program

implementation.

Ulaanbaatar Urban Renewal Community

Participation - Phase 2 (MON)


Framework



urban poor

Direct Charges – Under

implementation

- Used to engage the following

consultants to provide technical

support and community

engagement for the Ulaanbaatar

Urban Services and Ger Areas

Development Investment

Program


Total 100,000

Cities / Urban

regions

Ulaanbaatar

Target

beneficiaries:

16,000 people

Urban Environmental Improvement and

Climate Change Adaptation Project (VIE)


Framework


the environment,


for operation and investments



- The terms of reference was

designed in consultation with the

Ministry of Finance. During

implementation the consultant

team worked closely with ADB

and the government (Ministry of

Finance, and Provincial People’s Committees of Quang Binh and

Quang Nam). The consultants’ engagement was extended

substantially as the government’s process to approve the Project

took longer than expected.

- The final report was submitted

in April 2014. It took longer than

anticipated as it was difficult to

obtain required data on provincial

financial management from the

Quang Bin and Quang Nam

Provinces. Comments from ADB


Total 75,000

Cities / Urban

regions

Dong Hoi and Hoi An

Target

beneficiaries:

10,000 people

54 Appendix 5


Modality



Framework



and the government (mainly the

Ministry of Finance) have been

fully incorporated in the final

report. It helped both ADB and

the government process and

approves the Project.

- Total disbursement: $71,349.65

Urban Sector Development Indicators –

Measuring Green and Inclusive Growth

and Competitiveness of Cities in Asia

and the Pacific (REG)

This stand-alone activity supports

ADB’s 3E Agenda by developing a set of geographically cross-cutting urban

sector development indicators for

designing and measuring the impacts of

TA and loan projects to achieve

development of Asia’s cities and other urban areas that is socially inclusive,

environmentally sustainable, and

economically competitive. Indicators will

be a reference for planning and

preparation of ADB’s urban sector projects




Total 100,000


Total 100,000

Cities / Urban

regions

Ulaanbaataar

Target

beneficiaries:

16,000 people

Trincomalee Integrated Urban

Development Project (SRI)


Framework



urban poor


- The consultants were first

mobilized on 21 October 2013.

An inception mission was

conducted from 21-29 October

2013, held discussions with the

government, and undertook visits

to prospective subproject sites to

determine the scope of

improvement works under the

project. Part of the project

preparatory process included

undertaking a due diligence to (i)

assess improvements required to

urban services in Trincomalee

and (ii) identify strategic

investments and actions to boost

the region’s economy.

- The PPTA for which the direct

charge was used resulted in the

pre-feasibility report completed

and submitted to the

government. Scope of the project

will now involve physical

investments, in the form of

interventions in (i) environmental


Total 100,000

Cities / Urban

regions

Trincomalee,

Gomarankadawala,

Morawewa, Padavi

Sripura, Kantale,

Seruwila

Target

beneficiaries:

200,000

Appendix 5 55


Modality



Framework



preservation, (ii) urban

regeneration, and (iii) heritage

conservation, and non-physical

investments, which will address

the medium and long term

requirements by supporting the

Urban Development Authority in

preparing the Trincomalee

Development Plan based on

economic and environmental

considerations and developing

the capacity of the project

management unit and the local

authorities to improve basic

service delivery.


Seismic Risk Mitigation Study (ARM) Indicative Contribution to UEIF Results

Framework



urban poor


- For the entire project the input

of one individual consultant

contract was envisaged. The

consultant’s ToR was formulated

in accordance with the output

and outcome requirements of the

DC.

- It was not possible to avoid

delays due to the reluctance from

the side of the government

counterparts to cooperate with

the Consultant, and the

Consultant’s delays in submitting

the reports. However, it is

evident that the project had the

desired impact by emphasizing

the importance of developing city

development plans inclusive of

seismic risk assessment both for

the local and central government

officials. The project gained the

momentum as during its

implementation the Government

of Armenia requested ADB to

finance the first seismic safety

improvement program for

Armenia and CWRD region. The

program will benefit the children,

one of the most vulnerable slices

of the population by laying


Total 85,300

Cities / Urban

regions

Jermuk, Dilijan,

Vanadzor and Gyumri

Target

beneficiaries:

230,300

56 Appendix 5


Modality



Framework



ground for creating safe school

environment.

- Total disbursement :

$83,078.58

Preparation of International Best

Practices Case Studies, with Technical

Summary Guide and Key Policy

Recommendations to Support the

Institutionalization of Urban-Rural

Environmental Master Planning (PRC)

This activity will support the small-scale

policy and advisory technical assistance

for Institutionalization of Urban-Rural

Environmental Master Planning

(UREMP) to Guide Environmentally

Sustainable Urbanization in the PRC.

This activity will contribute to the

development of UREMP in the PRC

with international best practices in

UREMP, environmental planning, and

urban development control through

environmental zoning and growth

boundaries. The expected outputs will

be international best practices cases of

UREMP including technical guidance

summaries and recommendations for

key components for a regulatory

framework adapted to the PRC from

international lessons. The international

knowledge will also be disseminated

during a training and knowledge sharing

workshop


Implementation

- On-going 2 consultants'

contracts, uncommitted balance

of $16, 659.64 is allotted for

workshop


$32,138.67


Total 100,000

Cities / Urban

regions

TBD

Target

beneficiaries:

TBD

Design of solid waste components for

proposed Dili urban sector investment

project (TIM)

The UEIF funds will support the

preparation of the solid waste

management components of the

proposed project. Activities will build on

the work financed through the UEIF by

carrying out detailed investigations

needed to prioritize and design specific

investments in Dili to support the

development of a well-functioning

integrated solid waste management

system



TA 180,000

Total 180,000

Cities / Urban

regions

Dili

Target

beneficiaries:

Dili residents including

low income households

(exact target groups

will be confirmed during

PPTA implementation)

Technical Support to Implement Solid

Waste Management Component of

Swaach Bharat (Clean India) National

Program in Urban Areas (IND)

This is a stand-alone activity which will

serve as entry point for (i) developing a

pipeline of state-level investments in

solid waste management to be

supported by ADB, and (ii) supporting

the scale up of innovative approaches

(i.e., waste-to-energy, regional

landfilling, integrated processing


Implementation

- Completed deliverables: (i)

Review 'Central Electricity

Regulatory Commission' (CERC)

order dated August 2015 on WtE

power projects, (ii) Advisory note,


Total 225,000

Cities / Urban

regions

TBD

Appendix 5 57


Modality



Framework



Target

beneficiaries:

TBD facilities, etc.) in a critically weak area of

sanitation in India. While small in size,

the outputs will be instrumental in

helping MOUD in rolling out and scaling

up implementation of their flagship

national sanitation program. The

activities will address the capacity

needs of MOUD, states, and ULBs and

contribute to improving livability of

Indian cities.

RFP, and agreement for

management of C&D Waste, (iii)

Sample RFP/ Procurement for

108 medical scheme, and (iv)

Handbook on MSWM

technologies as a decision

making tool for Municipal

Commissioners in Maharashtra

- Report on lessons learned from

earlier urban campaigns for

SBM-Urban requested by MOUD

completed


Workshop in Goris for Smart City (ARM)

The proposed Urban Environmental

Infrastructure Fund (UEIF) support

initiative would help the city realize the

importance of sustainable urban

development through initiatives for

effective land use, disaster risk

reduction, sustainable housing, energy

efficiency, and climate change adaption.

The workshop will be built on the on-

going cooperation between the

Armenian Government and the United

Nations Economic Commission for

Europe to implement a capacity building

program for urban planning and

sustainable housing in Armenia.



AMD3,928,940 or $8,212

(Central Bank of Armenia

exchange rate as of 16 July

2015; $1=AMD478.41)

- No further activities and

disbursements are expected.


Total 9,683

Cities / Urban

regions

Goris

Target

beneficiaries:

40 participants (Urban

Development

Specialists from local

and central

governments, local and

international NGOs,

bilateral and

multilateral

organizations, local

stakeholders etc.)

Mongolia National Urban Assessment

(MON) The proposed activity will formulate the

Mongolia NUA with the objectives of (i)

deepening the comprehensive

understanding of the urban sector in

Mongolia, (ii) improving the Mongolian

Government and ADB's analytical tools


Implementation

- Four out of five consultants

engaged


Total 225,000

Cities / Urban

regions

Ulaanbaatar

58 Appendix 5


Modality



Framework



Target

beneficiaries:

TBD and programming capacity in the urban

sector, and (iii) formulating a priority

project pipeline in the urban sector. It

will be jointly carried out by ADB and

Cities Development Initiative for Asia

(CDIA), who will finance consulting

services for the strategic infrastructure

investment plan component.

Capacity Building of State Entities and

Selected Cities in state of West Bengal

to Develop and Implement India's

National Flagship Urban Programs (IND)

The project aims to improve the urban services and environment in selected cities in West Bengal. The funding will mainly support development of city-wide water and sanitation infrastructure which is known to contribute directly towards improved public health, and hence ADB’s Strategy 2020’s vision for sustainable urban growth and livable cities in Asia.

Direct Charges – Under Implementation - Consultant engagement process started - Projected disbursement by Q2 2016 is at $67,500


Total 225,000

Cities / Urban

regions

TBD

Target

beneficiaries:

TBD


Selected Cities in state of Maharashtra

to Develop and Implement India’s National Flagship Urban Programs (IND)

The project aims to improve the urban services and environment in selected cities in Maharashtra. The funding will mainly support development of city-wide water and sanitation infrastructure which is known to contribute directly towards improved public health, and hence ADB’s Strategy 2020’s vision for sustainable urban growth and livable cities in Asia.

Direct Charges – Under Implementation - Projected disbursement by Q2 2016 is at $45,000


Total 225,000

Cities / Urban

regions

TBD

Target

beneficiaries:

TBD


Selected Cities in state of Tamil Nadu to

Develop and Implement India’s National Flagship Urban Programs (IND)

The project aims to improve the urban services and environment in selected cities in Tamil Nadu. The funding will mainly support development of city-wide water and sanitation infrastructure which is known to contribute directly towards improved public health, and hence ADB’s Strategy 2020’s vision for sustainable urban growth and livable cities in Asia.

Direct Charges – Under Implementation - TOR being prepared in consultation with TN state government. Consultants likely to be mobilized between March-April 2016.


Total 225,000

Cities / Urban

regions

Chennai, Cuddalore,

Nagapattinam,

Velankanni,

Thoothukkudi

Target

beneficiaries:

TBD

Appendix 6 59

UEIF Supported Project Categories

No.

Project Title / Country

UEIF Project Category

Clim

ate

Ch

an

ge

Mit

igati

on

&

Ad

ap

tati

on

Urb

an

Tra

nsp

ort

ati

on

Urb

an

Wate

r

an

d

Waste

wate

r

So

lid

Waste

Man

ag

em

en

t

Dis

tric

t H

eati

ng

an

d C

oo

lin

g

Urb

an

Ren

ew

al

Pro

-po

or

ap

pro

ach

1

IND: Karnataka Integrated and Sustainable

Water Resource Management Investment

Program

2

MON: Ulaanbaatar Water and Wastewater

Operation Improvement (Technical Assistance

and Grant)

3

REG: GMS Corridor Towns: Managing Solid


(Technical Assistance)

4

CAM: GMS Corridor Towns: Managing Solid


(Grant)

5

LAO: GMS Corridor Towns: Managing Solid


(Grant)

6

VIE: GMS Corridor Towns: Managing Solid


(Grant)

7 KAZ: Technical Assistance and Advisory

Support for Urban Infrastructure Development

8 ARM: Sustainable Urban Development in

Secondary Cities

60 Appendix 6

No.



Clim

ate

Ch

an

ge

Mit

igati

on

&

Ad

ap

tati

on

Urb

an

Tra

nsp

ort

ati

on

Urb

an

Wate

r

an

d

Waste

wate

r

So

lid

Waste

Man

ag

em

en

t

Dis

tric

t H

eati

ng

an

d C

oo

lin

g

Urb

an

Ren

ew

al

Pro

-po

or

ap

pro

ach

9 PHI: Water District Development Sector

Project (Technical Assistance and Grant)

10

IND: Karnataka Integrated Urban Water

Management Investment Program and

Bangalore City Cluster Development Project

(Technical Assistance and Grant)

11 REG: Mainstreaming Integrated Solid Waste

Management in Asia

12 AZE: Integrated Solid Waste Management

Investment Program for Intermediary Cities

13 ARM: Solid Waste Management Improvement

Investment Program

14 REG: Incentives for Strengthening Disaster

Resilience in Urban Areas

15 MON: Darkhan Urban Utility Institutional

Development Action Plan

16

AZE: Establishment of Baku Bus Company

and Bus Network Optimization under PPTA

8152-AZE: Baku Sustainable Urban Transport

Investment Program

17 TIM: Solid Waste Management Strategy and

Urban Investment Plan

18 VIE: Urban Environmental Improvement and

Climate Change Adaptation Project

Appendix 6 61

No.



Clim

ate

Ch

an

ge

Mit

igati

on

&

Ad

ap

tati

on

Urb

an

Tra

nsp

ort

ati

on

Urb

an

Wate

r

an

d

Waste

wate

r

So

lid

Waste

Man

ag

em

en

t

Dis

tric

t H

eati

ng

an

d C

oo

lin

g

Urb

an

Ren

ew

al

Pro

-po

or

ap

pro

ach

19 MON: Ulaanbaatar Urban Renewal Community

Participation - Phase 1

20 MON: Ulaanbaatar Urban Renewal Community

Participation - Phase 2

21 SRI: Trincomalee Integrated Urban

Development Project

22 ARM: Seismic Risk Mitigation Study

23

PRC: Preparation of International Best

Practices Case Studies, with Technical

Summary Guide and Key Policy

Recommendations to Support the

Institutionalization of Urban-Rural

Environmental Master Planning

24 TIM: Design of solid waste components for

proposed Dili urban sector investment project

25

IND: Technical Support to Implement Solid

Waste Management Component of Swaach

Bharat (Clean India) National Program in

Urban Areas

26 ARM: Workshop in Goris for Smart City

27

PRC: Hunan Xiangjiang River Watershed

Existing Solid Waste Comprehensive

Treatment Project

62 Appendix 6

No.



Clim

ate

Ch

an

ge

Mit

igati

on

&

Ad

ap

tati

on

Urb

an

Tra

nsp

ort

ati

on

Urb

an

Wate

r

an

d

Waste

wate

r

So

lid

Waste

Man

ag

em

en

t

Dis

tric

t H

eati

ng

an

d C

oo

lin

g

Urb

an

Ren

ew

al

Pro

-po

or

ap

pro

ach

28 PRC: Xinjiang Changji Urban-Rural

Infrastructure Demonstration Project

29

IND: Capacity Building of State Entities and

Selected Cities in state of West Bengal to

Develop and Implement India's National

Flagship Urban Programs

30


Selected Cities in state of Maharashtra to

Develop and Implement India’s National Flagship Urban Programs

31


Selected Cities in state of Tamil Nadu to

Develop and Implement India’s National Flagship Urban Programs

32 AZE: Support for Solid Waste Management in

Azerbaijan

33 PRC: Heilongjiang Coal-Rich Cities

Redevelopment Project

6 6 16 19 0 10 33

Appendix 7 63

List of UCCRTF Supported Projects

Overview Breakdown of UCCRTF Modality

($ million) $ Allocation by

Component Total Project Value

Type Project Country/

City TA

Investment Grant

Direct Charges

Total CDIA

Tracking SP1

Tracking Loan Value

Cofinance Total

Project Cost

DC

KM, Networking & Monitoring in Support of TA Promoting UCCR in Selected Asian Cities

REG

0.225 0.225

0.225

DC External Evaluation of UFPF

REG

0.025 0.025

0.025

DC

Designing PDAs in support of TA Promoting UCCR in Selected Asian Cities

REG

0.225 0.225

0.225

DC

Punjab Immediate Cities Investment Program

PAK - Sialkot Sahiwal

0.225 0.225

114.300

114.525

TA

Supporting the Cities Development Initiative for Asia (RETA 8556: CDIA)

REG 5.000

5.000

0

5.000

PFS

Water supply/SWM and flood protection, Sialkot

PAK - Sialkot

0 0.340

0

0

64 Appendix 7





City TA

Investment Grant

Direct Charges

Total CDIA

Tracking SP1

Tracking Loan Value

Cofinance Total

Project Cost

PFS

Water harvesting, water supply and Drainage, Sahiwal

PAK - Sahiwal

0 0.340

0

0

PFS

Waste water, Urban Drainage, and Flood Mitigation, Baguio

PHI - Baguio

0 0.229

0

0

PFS

Climate resilient sanitation with drainage component, San Fernando

PHI - San Fernando

0 0.229

0

0

PFS

Climate resilient bay area rehabilitation, Palu

INO - Palu

0 0.180

0

0

PFS

Climate Resilient Drainage Infrastructure

IND - Mysore

0.250

TA ; IG

Secondary Cities Development Project II (Green Cities)

VIE - Ha Giang; Hue; Vinh Yen

1.000 6.000

7.000

140.000

147.000

TA

Promoting UCCR in Selected Asian Cities

REG 15.00

15.000

15.000

Appendix 7 65





City TA

Investment Grant

Direct Charges

Total CDIA

Tracking SP1

Tracking Loan Value

Cofinance Total

Project Cost

Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh

BAN - TBC

0

1.60

0

TA

Strengthening Climate Change Resilience in Urban India

IND - TBC 7.000

7.000

7.000

IG

Flood Management and Coastal Protection in support to Urban Environmental and Climate Change Adaptation Project

VIE - Dong Hoi; Hoi An

4.000

4.000

100.000

104.000

IG

Climate Change Resilient Urban Planning and Community-based Solid Waste Management: Support to Mandalay Urban Services Improvement Project

MYA Mandalay

4.000 4.000 60.00 64.00

$28.000 $ 10.000 $ 0.700 $ 42.700 $ 1.568 $ 1.600 414.300 $ - $457.000

66 Appendix 8

Profiles of Selected Cities

Vietnam, Dong Hoi (114,000 people) Climate Risks: Dong Hoi is exposed four main climate hazards: flooding, salinity, coastal erosion, sea-level rise City profile: The urban development on the Bao Nihn peninsula in Dong Hoi has cut through the sand dune system. The development of resorts and the flattening of the ground surfaces for visual appeal have destroyed the local vegetation that supported the dune system, which is causing increased coastal erosion. The same type of ecosystem damaging urban development is planned for the dune area south of the Boa Nihn peninsula. The project aims at preventing the same mistakes that were made during the planning of the first phase of Boa Nihn urban development by piloting dune restoration measures and supporting long-term coastal zone planning for Bao Ninh Peninsula. Other Donor Activities: None Project Name: Flood Management and Coastal Protection in support to Urban Environmental and Climate Change Adaptation Project Total Project Value: ($100 million) UCCRTF Funding: ($4 million) Impact: Improved urban climate change resilience in Hoi An (By 2020: 90,000 residents in Hoi An will be less vulnerable to climate and disaster risks) Outcomes: Reduced flood damages in Hoi An and Protected beaches in Bao Ninh Peninsula (By 2020: Hoi An: Average annual damage by flooding reduced from $4.0 million (2009-13) to $1.0 million; Outputs: Hoi An flood forecasting and warning system (By 2018: Comprehensive basin-wide flood forecasting and warning system implemented; Crisis management capacity of stakeholders is strengthened through XX training workshops and XX other activities)

Vietnam, Hoi An (90,000 people) Climate Risks: Hoi An is exposed five main climate hazards: flooding, salinity, coastal erosion, river bank erosion and sea-level rise. City profile: The urbanized portion of Hoi An is situated at an elevation of between 0 to 15 meters above sea level. The coastal areas and river basin are characterized by low-lying elevations, with unstable topographic foundations, meaning they are prone to erosion, flooding and salinity problems. Flooding in Hoi An is an annual event. The last major flood event occurred in 2011, which caused over 100 deaths in the city and widespread damage. There has been a lack of investment in key flood prevention measures. Other Donor Activities: UN-Habitat VA and Strategic Plan Project Name: Flood Management and Coastal Protection in support to Urban Environmental and Climate Change Adaptation Project Total Project Value: ($100 million) UCCRTF Funding: ($4 million) Impact: Improved urban climate change resilience in Hoi and An Dong Hoi (By 2020: 13,000 expected residents in Bao Ninh Peninsula in Dong Hoi will be less vulnerable to climate and disaster risks) Outcomes: Reduced flood damages in Hoi An and Protected beaches in Bao Ninh Peninsula (By 2020: Dong Hoi: Coastal erosion in Bao Ninh Peninsula no longer threatens tourism development, creating livelihood opportunities for XX residents) Outputs: Dong Hoi integrated coastal management (By 2020: Guidelines for dune complex protection in Bao Ninh Peninsula endorsed and implemented; Damaged dune areas rehabilitated and restored; Awareness on dune protection is raised through XX training workshops and XX other activities)

Vietnam, Hue (340,000 people) Climate Risks: Hue often suffers from the severe impacts of floods, droughts and storms. In recent years, the intensity and frequency of these extreme events has increased and become more unpredictable. Sea level in Hue could rise by up to 94cm by 2100. City profile: Hue City is the economic, cultural and political center of Thua Thien Hue province, and is also one of the area’s most sensitive to climate change in the central region of Vietnam. Very rich natural surroundings, Hue’s main challenge is to maintain fast urban economic growth and development, while conserving its rich natural and cultural heritage. The project aims at supporting Hue in developing its economy through green growth strategies for improving livability in the city and boosting eco-tourism. Other Donor Activities: The Mekong-Building Climate Resilient Asian Cities (M-BRACE)

Appendix 8 67


Project Name: Secondary Cities Development Project II (Green Cities) Total Project Value: ($140 million) UCCRTF Funding: ($7 million) Impact: Increased climate resilience and economic competitiveness in the cities of Ha Giang, Hue, and Vinh Yen. By 2029: Increase in revenue generation from tourist receipts (baseline: xx in 2014); Flood protection standard increased to 1:x years storm event (baseline: 1 in x years storm event in 2014) Outcomes: Improved coverage of disaster and climate resilient urban infrastructure in the participating cities. By 2022: All weather connectivity to citadel area achieved and urban area affected by flooding reduced by xx%; All weather connectivity to industrial parks achieved and urban area affected by flooding reduced by xx% Outputs: 1. Implement prioritized investments from the GCAPs (subprojects with exact location and extent to be confirmed during PPTA). By 2022: Urban watershed based rehabilitation of storm water drainage system and roads; Septage, wastewater, solid waste management facility rehabilitated; Cluster based plan for improved environment practice in SMEs implemented. 2. Increased community awareness in Hue, Ha Giang, and Vinh Yen through IEC (information, education, and communication). By 2022: xx households oriented on 3R and environmental practice; xx communities trained on disaster risk management , vocational training, environmental practices provided to xx persons in subproject areas 3. DSS for improved competencies in integrated urban planning, resource management, climate change adaptation, and disaster risk management for city managers and communities. By 2022: Urban simulation or hydrological model applied; Asset management plan for improved O&M of urban infrastructure prepared Knowledge and skills of at least xx professional staff (30% of whom are women) strengthened [baseline: 0 in 2015]); PMUs established with xx% female recruitment; PMUs trained on project management, and reporting xx% female staff (baseline 0 in 2015); Community-based disaster response plan prepared

Vietnam, Vinh Yen (76,650 people) Climate Risks: Vinh Yen’s main climate hazard is frequent heavy flooding during the rainy season. City profile: Vihn Yen is an industrial town in peri-urban area 44 km north of Hanoi, located in the Red River Delta region in the midland of Vinh Phuc province. The main challenge in Vhn Yen is to bring together industrial competitiveness, ecological sustainability, and flood protection (large regulating basins planned and ‘green space axis’). Vinh Yen has the opportunity to develop as a competitive green city continuing to attract FDI while creating a green growth vision for the city by providing an enabling environment for: · supporting green business and green jobs; · private sector engagement in green growth; · development of eco-industrial parks Other Donor Activities: None Project Name: Secondary Cities Development Project II (Green Cities) Total Project Value: ($140 million) UCCRTF Funding: ($7 million) Impact: Increased climate resilience and economic competitiveness in the cities of Ha Giang, Hue, and Vinh Yen. By 2029 Increase in FDI (baseline: xx in 2014); Flood protection standard increased to 1:x years storm event (baseline: 1 in x years storm event in 2014) Outcomes: Improved coverage of disaster and climate resilient urban infrastructure in the participating cities. By 2022: Waste minimized (baseline: xx in 2014); All weather connectivity to industrial parks achieved and urban area affected by flooding reduced by xx% Outputs: 1. Implement prioritized investments from the GCAPs (subprojects with exact location and extent to be confirmed during PPTA). By 2022: Urban watershed based land management of Dam Vac Lake area; Roads upgrading, wastewater and solid waste management, and material resource recovery facility rehabilitated. 2. Increased community awareness in Hue, Ha Giang, and Vinh Yen through IEC (information, education, and communication). By 2022: xx households oriented on 3R and environmental practice; xx communities trained on disaster risk management , vocational

68 Appendix 8


training, environmental practices provided to xx persons in subproject areas 3. DSS for improved competencies in integrated urban planning, resource management, climate change adaptation, and disaster risk management for city managers and communities. By 2022: Urban simulation or hydrological model applied; Asset management plan for improved O&M of urban infrastructure prepared Knowledge and skills of at least xx professional staff (30% of whom are women) strengthened [baseline: 0 in 2015]); PMUs established with xx% female recruitment; PMUs trained on project management, and reporting xx% female staff (baseline 0 in 2015); Community-based disaster response plan prepared.

Vietnam, Ha Giang (40,000 people) Climate Risks: Ha Giang’s main climate hazard are catastrophic flooding, landslides and increasingly severe typhoons. City profile: Ha Giang is the capital city of the Ha Giang Province, a large, sparsely populated province on the Chinese border. Nearly 90% of its inhabitants belong to ethnic minority groups that have only recently started to enter mainstream society; and nearly half of its area comprises rocky, steep, mountainous terrain with harsh climatic conditions and limited natural resource potential. The main challenge for Ha Giang is to build up basic urban environmental infrastructure to provide the services for the growing population and industry, while protecting the ethnic minorities and rich surrounding biodiversity. Other Donor Activities: IFAD project on Ha Giang Development Project for Ethnic Minorities Project Name: Secondary Cities Development Project II (Green Cities) Total Project Value: ($140 million) UCCRTF Funding: ($7 million) Impact: Growth in the number of registered businesses (baseline: xx in 2014); Outcomes: Improved coverage of disaster and climate resilient urban infrastructure in the participating cities. By 2022: All weather connectivity to market centers increased; All weather connectivity to industrial parks achieved and urban area affected by flooding reduced by xx% Outputs: 1. Implement prioritized investments from the GCAPs (subprojects with exact location and extent to be confirmed during PPTA). By 2022: Neighborhood upgrading plan with drainage, roads, water supply and sanitation, solid waste management, and road lighting implemented (xx households, including xx ethnic minorities benefitted); Rehabilitation of market centers with improved infrastructure access; Solid waste management plan implemented with bio gas option (tbc during PPTA) 2. Increased community awareness in Hue, Ha Giang, and Vinh Yen through IEC (information, education, and communication). By 2022: xx households oriented on 3R and environmental practice; xx communities trained on disaster risk management , vocational training, environmental practices provided to xx persons in subproject areas 3. DSS for improved competencies in integrated urban planning, resource management, climate change adaptation, and disaster risk management for city managers and communities. By 2022: Urban simulation or hydrological model applied; Asset management plan for improved O&M of urban infrastructure prepared Knowledge and skills of at least xx professional staff (30% of whom are women) strengthened [baseline: 0 in 2015]); PMUs established with xx% female recruitment; PMUs trained on project management, and reporting xx% female staff (baseline 0 in 2015); Community-based disaster response plan prepared

Myanmar, Mandalay (1,225,000 people) Climate Risks: Mandalay City is at risk from various hazards, most notably earthquake, fire, and flood. City profile: Many cities in Myanmar face similar issues to Mandalay of inadequate urban services in terms of both quality and quantity, urban environmental degradation, high prevalence of water-borne diseases, and climate vulnerability to natural disasters. Accordingly, the knowledge and experience gained in Mandalay will be shared with and replicated in other cities. Other Donor Activities: 100 Resilient Cities Project Name: Climate Change Resilient Urban Planning and Community-based Solid Waste Management: Support to Mandalay City Urban Services Improvement Project Total Project Value: ($100 million) UCCRTF Funding: ($4 million) Impact: Urban climate change resilience in Mandalay is improved

Appendix 8 69


Outcomes: 1. Capacity of MCDC in climate change resilient urban planning developed 2. Urban environment and flood management improved in Mandalay By 2021: 1. Strategic city development plan, land use and spatial plan, and infrastructure development plans approved and implemented (2014 baseline: 0) 2. Solid waste collection in the selected wards increased (baseline to be established under the project) Outputs: 1. Capacity development programs implemented 2.Community-based solid waste management established in the selected wards By 2020: 1 a. Training programs in climate change resilient urban planning developed and conducted for MCDC staff (2014 baseline: 0) 1 b. Urban management database established (2014 baseline: 0) 1 c. Strategic city development plan, land use and spatial plan, and infrastructure development plans prepared (2014 baseline: 0) 2a. Target wards identified and WDCs established in the target wards (2014 baseline: 0) 2b. community mobilization and awareness the project raising activities conducted (2014 baseline: 0) 2c. Solid waste collection points improved or constructed (baseline to be established under the project) 2d. Trolleys and waste bins provided (baseline to be established under the project) 2e. Waste segregation and recycling mechanism established (2014 baseline: 0) 2f. Community-based disaster resilience action plan addressing multiple risks developed (2014 baseline: 0) Bangladesh, Cox’s Bazar (120,000 people) Climate Risks: Cox’s Bazar’s main climate hazard is high precipitation, variable temperature and frequent sea water surges together with sea-level rise. City profile: Cox’s Bazaris one of the most famous tourist spots in Bangladesh. Millions of Bangladeshis and some foreigners visit this coastal city every year and the major source of economy in Cox's Bazar is tourism. It has It is one of the world's longest uninterrupted natural sandy sea beaches. Devastating cyclones and severe sea-level rise are a severe threat Cox’s Bazar’s people and their livelihoods. Other Donor Activities: Cox's Bazar Hospital for Women and Children was supported by DFID Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($1.6 million) UCCRTF Funding: ($1.6 million) Impact: By 2023: Urban populations, especially the urban poor in selected DMC cities, are less vulnerable to direct and indirect impacts of climate change At least 50% of the poor in areas that have had a UCCR intervention have improved their resilience. Outcomes: Increased application of UCCR principles in selected DMC cities 1. At least 10 cities have applied UCCR principles in project development or implementation (2014 baseline: 0). 2. At least three Country Partnership Strategies consider applying UCCR principles in project and/or programs (2014 baseline: 0). Outputs: Under TA 8913 (Cluster TA SP1) climate resilient planning, identification of subprojects (both infrastructure and others), and project preparation (up to feasibility study level) will be undertaken in 7 cities in Bangladesh. Funds will be used in a further 15 towns in which climate resilient planning was not sufficiently addressed during processing of the UGIIP-3 approved loan. Urban master plans including structure plans and land use plans will be prepared to mainstream urban climate change resilience and mitigation in these towns. Bangladesh, Faridpur (469,410 people) Climate Risks: The main risks faced by Faridpur are flooding and erosion caused by the river Padma, which has forced the relocation of the town several times since its establishment.

70 Appendix 8


City profile: Faridpur ranks high in the same criteria (population, population growth, population density, and own revenue demand) used in the selection of original 30 UGIIP-3 towns. It is a district headquarter town and has experience in governance improvement through the Second UGIIP, which makes it suitable to participate in the project. Though Faridpur is not selected based on the vulnerability ranking, it is suffering from waterlogging, poor wastewater management, and insufficient water supply, thereby making the residents, particularly the poor, vulnerable to the impacts of climate change. Other Donor Activities: DFID financed study on "Understanding urban livelihoods in a secondary town; the case of Faridpur, Bangladesh" Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($1.6 million) UCCRTF Funding: ($1.6 million) Impact: By 2023: Urban populations, especially the urban poor in selected DMC cities, are less vulnerable to direct and indirect impacts of climate change At least 50% of the poor in areas that have had a UCCR intervention have improved their resilience. Outcomes: Increased application of UCCR principles in selected DMC cities 1. At least 10 cities have applied UCCR principles in project development or implementation (2014 baseline: 0). 2. At least three Country Partnership Strategies consider applying UCCR principles in project and/or programs (2014 baseline: 0). . Outputs: Under TA 8913 (Cluster TA SP1) climate resilient planning, identification of subprojects (both infrastructure and others), and project preparation (up to feasibility study level) will be undertaken in 7 cities in Bangladesh. Funds will be used in a further 15 towns in which climate resilient planning was not sufficiently addressed during processing of the UGIIP-3 approved loan. Urban master plans including structure plans and land use plans will be prepared to mainstream urban climate change resilience and mitigation in these towns. Bangladesh, Gopalganj (291,409 people) Climate Risks: City profile: Gopalganj ranks high in the same criteria (population, population growth, population density, and own revenue demand) used in the selection of original 30 UGIIP-3 towns. It is a district headquarter town and has experience in governance improvement through the Second UGIIP, which makes it suitable to participate in the project. Though Gopalganj is not selected based on the vulnerability ranking, it is suffering from waterlogging, poor wastewater management, and insufficient water supply, thereby making the residents, particularly the poor, vulnerable to the impacts of climate change. Other Donor Activities: Urban Partnerships for Poverty Reduction (UPPR) Project financed by DFID and implemented by UNDP supported by UN-Habitat Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($1.6 million) UCCRTF Funding: ($1.6 million) Impact: By 2023: Urban populations, especially the urban poor in selected DMC cities, are less vulnerable to direct and indirect impacts of climate change At least 50% of the poor in areas that have had a UCCR intervention have improved their resilience. Outcomes: Increased application of UCCR principles in selected DMC cities 1. At least 10 cities have applied UCCR principles in project development or implementation (2014 baseline: 0). 2. At least three Country Partnership Strategies consider applying UCCR principles in project and/or programs (2014 baseline: 0). Outputs: Under TA 8913 (Cluster TA SP1) climate resilient planning, identification of subprojects (both infrastructure and others), and project preparation (up to feasibility study level) will be undertaken in 7 cities in Bangladesh. Funds will be used in a further 15 towns in which climate resilient planning was not sufficiently addressed during processing of the UGIIP-3 approved loan. Urban master plans including structure plans and land use plans will be prepared to mainstream urban climate change resilience and mitigation in these towns. Bangladesh, Kushtia (238,000 people) Climate Risks: City profile: Kushtia Municipality is located in the district of Kushtia under Khulna Division. It is situated in the south-western part of Bangladesh lying just south of the upper Padma River.

Appendix 8 71


Other Donor Activities: Urban Partnerships for Poverty Reduction (UPPR) Project financed by DFID and implemented by UNDP supported by UN-Habitat Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($1.6 million) UCCRTF Funding: ($1.6 million) Impact: By 2023: Urban populations, especially the urban poor in selected DMC cities, are less vulnerable to direct and indirect impacts of climate change At least 50% of the poor in areas that have had a UCCR intervention have improved their resilience. Outcomes: Increased application of UCCR principles in selected DMC cities 1. At least 10 cities have applied UCCR principles in project development or implementation (2014 baseline: 0). 2. At least three Country Partnership Strategies consider applying UCCR principles in project and/or programs (2014 baseline: 0). Outputs: Under TA 8913 (Cluster TA SP1) climate resilient planning, identification of subprojects (both infrastructure and others), and project preparation (up to feasibility study level) will be undertaken in 7 cities in Bangladesh. Funds will be used in a further 15 towns in which climate resilient planning was not sufficiently addressed during processing of the UGIIP-3 approved loan. Urban master plans including structure plans and land use plans will be prepared to mainstream urban climate change resilience and mitigation in these towns. Bangladesh, Mymensingh (475,000 people) Climate Risks: Flood, drought, rainfall variation, fluctuation of temperature are common City profile: Mymensingh is one of the rapidly growing and densely populated secondary towns of Bangladesh. It is situated on the right bank of the old river Brahmaputra. The Pourashava belongs to A-1 Category and is the regional hub of the surrounding six districts. Other Donor Activities: Urban Partnerships for Poverty Reduction (UPPR) Project financed by DFID and implemented by UNDP supported by UN-Habitat Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($1.6 million) UCCRTF Funding: ($1.6 million) Impact: By 2023: Urban populations, especially the urban poor in selected DMC cities, are less vulnerable to direct and indirect impacts of climate change At least 50% of the poor in areas that have had a UCCR intervention have improved their resilience. Outcomes: Increased application of UCCR principles in selected DMC cities 1. At least 10 cities have applied UCCR principles in project development or implementation (2014 baseline: 0). 2. At least three Country Partnership Strategies consider applying UCCR principles in project and/or programs (2014 baseline: 0). Outputs: Under TA 8913 (Cluster TA SP1) climate resilient planning, identification of subprojects (both infrastructure and others), and project preparation (up to feasibility study level) will be undertaken in 7 cities in Bangladesh. Funds will be used in a further 15 towns in which climate resilient planning was not sufficiently addressed during processing of the UGIIP-3 approved loan. Urban master plans including structure plans and land use plans will be prepared to mainstream urban climate change resilience and mitigation in these towns. Bangladesh, Bagerhat (266,000 people) Climate Risks: Located in one of the most vulnerable districts in Bangladesh, Bagerhat faces cyclones, storm surges, flooding, drought, intrusion of saline water, and periods of intense rainfall. City profile: Climate change is likely to increase river salinity leading to shortages of drinking water and irrigation, and significant changes in the aquatic ecosystems in the Southwest coastal areas of Bangladesh during dry season by 2050. Other Donor Activities: NA Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($1.6 million) UCCRTF Funding: ($1.6 million)

72 Appendix 8


Impact: By 2023: Urban populations, especially the urban poor in selected DMC cities, are less vulnerable to direct and indirect impacts of climate change At least 50% of the poor in areas that have had a UCCR intervention have improved their resilience. Outcomes: Increased application of UCCR principles in selected DMC cities 1. At least 10 cities have applied UCCR principles in project development or implementation (2014 baseline: 0). 2. At least three Country Partnership Strategies consider applying UCCR principles in project and/or programs (2014 baseline: 0). Outputs: Under TA 8913 (Cluster TA SP1) climate resilient planning, identification of subprojects (both infrastructure and others), and project preparation (up to feasibility study level) will be undertaken in 7 cities in Bangladesh. Funds will be used in a further 15 towns in which climate resilient planning was not sufficiently addressed during processing of the UGIIP-3 approved loan. Urban master plans including structure plans and land use plans will be prepared to mainstream urban climate change resilience and mitigation in these towns. Bangladesh, Patuakhali (80,000 people) Climate Risks: The pressing risks in Patuakhali are tidal impact, saline water intrusion, cyclones and tidal surge. City profile: A first class Municipality, Patuakhali Pourashava is a city defined by its three rivers many canals. It is an old river port. Other Donor Activities: Coastal Livelihoods Adaptation Project (CLAP) from GIZ Bangladesh Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($1.6 million) UCCRTF Funding: ($1.6 million) Impact: By 2023: Urban populations, especially the urban poor in selected DMC cities, are less vulnerable to direct and indirect impacts of climate change At least 50% of the poor in areas that have had a UCCR intervention have improved their resilience. Outcomes: Increased application of UCCR principles in selected DMC cities 1. At least 10 cities have applied UCCR principles in project development or implementation (2014 baseline: 0). 2. At least three Country Partnership Strategies consider applying UCCR principles in project and/or programs (2014 baseline: 0). Outputs: Under TA 8913 (Cluster TA SP1) climate resilient planning, identification of subprojects (both infrastructure and others), and project preparation (up to feasibility study level) will be undertaken in 7 cities in Bangladesh. Funds will be used in a further 15 towns in which climate resilient planning was not sufficiently addressed during processing of the UGIIP-3 approved loan. Urban master plans including structure plans and land use plans will be prepared to mainstream urban climate change resilience and mitigation in these towns. Pakistan, Sahiwal (291,000 people) Climate Risks: Sahiwal faces Frequent heavy flood damages during the rainy season, drought and devastatingly high temperatures in summer months. City profile: Sahiwal is the administrative center of Sahiwal District and Sahiwal Division in the province of Punjab. Sahiwal is approximately 180 km from the provincial capital Lahore with an approximate urban population of 265,000. By 2020, it is estimated to be 482,775. Open dumping is a major problem for the city. There is no landfill facility in Sahiwal. The Sewerage lines burst frequently due to insufficient capacity. South Sahiwal is planned without adequate sewerage infrastructure. Due to unplanned expansion, the sewerage disposal stations, which was outside the city, now lies in the center of South Sahiwal. Other Donor Activities: Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($114 million) UCCRTF Funding: ($0.225 million) Impact: Improved planning for climate resilient and integrated urban development By 2018: Integrated City Development Plans, incorporating climate change resilience measures formulated by Sialkot and Sahiwal Outcomes: Integrated urban planning and climate change resilience capacity strengthened at the city level.

Appendix 8 73


By 2016: Integrated urban development strategies with climate change resilience measures incorporated in future projects of the cities. Outputs: Integrated development strategies (Sialkot and Sahiwal) developed; Stakeholder consensus reached on accepting integrated city development strategies by November 2015

Pakistan, Sialkot (221,000 people) Climate Risks: The main risks exacerbated by climate change in Sialkot are related to water resources. Increasing temperature increase water demand because of higher evaporation rates and droughts, and increase in the monsoon season rainfall cause increase in magnitude of floods. City profile: Sialkot has expanded significantly beyond old city limits but have not expanded services delivery coverage. Urban poor of the city are more vulnerable due to poor municipal infrastructure and flooding of drains in monsoon, local flooding and Chenab flooding in monsoon. They city has large industrial base and untreated effluent from industries is contaminating the soil and underground water. With increased rainfall due to climate change the depth of water table contamination is getting deeper with serious implication for water supply source and its quality. The vulnerability of city will also impact on the large numbers of migration migrant labor that comes to Sialkot city on daily basis. Water Supply of Sialkot city provides water to 65% of the population within the old Municipal Corporation limits but only about 35% of the urban population, excluding the Cantonment. Similarly, Sewerage system comprises both open and covered drains, but overall system is blocked and in poor condition. All municipal solid waste is either burned, dumped or buried on vacant land throughout the city, causing significant environmental damage and posing a health hazard. Other Donor Activities: Global Environment Fund (GEF) financed project to UNIDO on “Mainstreaming Climate Change Adaptation” UN-HABITAT support for monitoring the Hyogo Framework for Action Project Name: Climate Resilient Integrated Urban Planning and Project Preparation in Bangladesh Total Project Value: ($114 million) UCCRTF Funding: ($0.225 million) Impact: Improved planning for climate resilient and integrated urban development By 2018: Integrated City Development Plans, incorporating climate change resilience measures formulated by Sialkot and Sahiwal Outcomes: Integrated urban planning and climate change resilience capacity strengthened at the city level. By 2016: Integrated urban development strategies with climate change resilience measures incorporated in future projects of the cities. Outputs: Integrated development strategies (Sialkot and Sahiwal) developed; Stakeholder consensus reached on accepting integrated city development strategies by November 2015

74

App

en

dix 9

UC

CR

TF

Pro

ject C

ate

go

ries

Pro

jec

t Title

/ Co

un

try

UC

CR

TF

Pro

jec

t Ca

teg

ory

UCCR Planning, Institutions, Community Capacity Building

Building Climate Resilient Health Systems &Services Projects

Urban Ecosystems Strengthening and Ecosystems Services Projects

Urban Solid Waste Management, Drainage and Flood Management Projects

Strengthening and Diversifying Climate Vulnerable Urban Livelihood Projects

Urban Climate Resilience Education, Awareness Building and Citizen Monitoring Projects

Improved Urban Emergency Management Projects

Knowledge Generation, Dissemination and Use

Climate-resilient Urban Water Management Projects

Urban Climate Change Resilient Housing and Transportation System Projects

Low Carbon and Climate Resilient Development Projects

Kn

ow

led

ge

Ma

na

ge

me

nt,

Netw

ork

ing

an

d M

on

itorin

g in

su

ppo

rt of P

rom

otin

g U

rban

C

lima

te C

han

ge

Resilie

nce

in

Se

lecte

d A

sia

n C

ities

Desig

nin

g P

DA

in s

upp

ort o

f P

roje

ct Deve

lop

men

t for

Pro

mo

ting

Urb

an

Clim

ate

C

ha

ng

e R

esilie

nce in

S

ele

cted

Asia

n C

ities

Pu

nja

b In

term

ed

iate

Citie

s

Inve

stm

en

t Pro

gra

m -

Inte

gra

ted

City

De

velo

pm

en

t S

trate

gy

Su

pp

ortin

g th

e C

ities

Deve

lop

me

nt In

itiative

for

Asia

Se

co

nd

ary C

ities

Deve

lop

me

nt P

roje

ct II

(Gre

en

Citie

s)

Pro

mo

ting

UC

CR

in S

ele

cte

d

Asia

n C

ities

Ap

pe

ndix 9

75

Pro

jec

t Title

/ Co

un

try

UC

CR

TF

Pro

jec

t Ca

teg

ory

UCCR Planning, Institutions, Community Capacity Building

Building Climate Resilient Health Systems &Services Projects

Urban Ecosystems Strengthening and Ecosystems Services Projects

Urban Solid Waste Management, Drainage and Flood Management Projects

Strengthening and Diversifying Climate Vulnerable Urban Livelihood Projects

Urban Climate Resilience Education, Awareness Building and Citizen Monitoring Projects

Improved Urban Emergency Management Projects

Knowledge Generation, Dissemination and Use

Climate-resilient Urban Water Management Projects

Urban Climate Change Resilient Housing and Transportation System Projects

Low Carbon and Climate Resilient Development Projects

Stre

ng

the

nin

g C

limate

C

ha

ng

e R

esilie

nce in

Urb

an

In

dia

Flo

od M

an

ag

em

en

t and

C

oa

sta

l Pro

tectio

n in

su

ppo

rt to

Urb

an

En

vironm

en

tal a

nd

C

lima

te C

han

ge

Ad

ap

tatio

n

Pro

ject

Clim

ate

Ch

an

ge

Resilie

nt

Urb

an

Pla

nn

ing

an

d

Com

mun

ity-b

ase

d S

olid

W

aste

Ma

na

ge

men

t: Sup

po

rt to

Ma

nd

ala

y Urb

an

Se

rvices

Imp

rove

me

nt P

roje

ct

To

tal

4

0

3

3

2

2

1

4

2

1

1

76 Appendix 10

Indicator 03 and 12: UCCRTF Activities and Beneficiaries – Physical Interventions

Project City Activity Status People

Impacted Flood Management and Coastal Protection in support to Urban Environmental and Climate Change Adaptation Project Overall project value: $60 million UCCRTF grant: $4 million

Dong Hoi

New and improved wastewater collection and treatment for 5,300 households - 25 km of tertiary sewerage networks are constructed - 10 combined sewer overflows and 17 pumping stations with telemetry

systems are constructed - 7,000 wastewater connections are installed

Planned 21,200

New urban area in Bao Ninh peninsula developed, serving 2,900 new households - 5.8 km of connecting roads with sewerage and drainage networks are

constructed

Planned 11,600

Hoi An

New urban areas along the Co Co River developed, serving 2,000 new households - 30 km of connecting roads with sewerage and drainage networks are

constructed - 2,000 water supply and wastewater connections are installed - 4.8 km access road to connect with the Cua Dai Bridge is constructed

Planned 8,000

Detention capacity of Phap Bao Lake is increased by 80,000 m3 through dredging

Planned TBD

Water supply improved including: - Storage capacity of Lai Nghi reservoir is increased by 530,000 m3

through dredging - New water intake is constructed for Lai Nghi reservoir for protection from

salinity intrusion

Planned TBD

5.4 km of Provincial Road 608 is elevated to create a flood evacuation route Planned TBD Climate Change Resilient Urban Planning and Community-based Solid Waste Management: Support to Mandalay City

Mandalay

Water supply systems improved: - increase water production capacity from 97,000m3 /day to 183,000m3

/day by rehabilitating existing treatment plant and two reservoirs, and constructing a new treatment plant

- construct 19km of main transmission lines and 116km of distribution systems

- rehabilitate 18km of existing network and extend new network - replace 2,000 connections including meters

Planned 124,000

Wastewater and drainage management: - construct 27km of sewerage networks

Planned TBD

Appendix 10 77


Impacted Urban Services Improvement Project Overall project value: $100 million UCCRTF grant: $4 million

- construct 31km of interceptor networks and a pumping station at Thingazar Creek

- construct a wastewater treatment plant with a capacity of 75,000m3 /day - provide 10 septage collection vehicles - dredge and rehabilitate 60km of main canals - increase stormwater pumping capacity from 21,900m3 /hour to 65,100m3

/hour

TOTAL 164,800

Indicator 10: UCCRTF Activities and Beneficiaries – Non-Physical Interventions


Impacted Flood Management and Coastal Protection in support to Urban Environmental and Climate Change Adaptation Project

Hoi An

Flood forecast and warning system covering Vu Gia–Thu Bon river basin is established

Procurement Initiated

90,000

Management information system is introduced for nonrevenue reduction

TOTAL 90,000

78 Appendix 10

UCCRTF Activities and Beneficiaries – Capacity Development and Awareness Raising


Impacted Flood Management and Coastal Protection in support to Urban Environmental and Climate Change Adaptation Project

Hoi Ani and Dong

Hoi

Knowledge and skills of at least 40 PPC staff are strengthened in urban management, environmental protection, and climate change adaptation (at least 30% of participants are women)

Planned 40

Mandalay Urban Services Improvement Project

Mandalay

Urban services management capacity improved: - training of MRG and MCDC staff on municipal financing, non-revenue

water reduction, cost recovery, and corporatization of water and wastewater operations

- development of urban spatial plan and infrastructure development plans - pilot community-based solid waste management - awareness programs on public health and environmental protection

Planned

TBD

Livelihood enhancement and leadership training provided to 300 targeted households [Target: at least 50% of the participants are women]

Planned 300

At least 600 beneficiary households of new water supply connections covered under public awareness campaigns [Target: at least 80% poor, female-headed, and vulnerable households]

Planned 600

TOTAL 940

Appendix 11 79

Enhancing Urban Climate Change Resilience: Seven Entry Points for Action Most of the world’s population now lives in towns and cities. Many are located along coasts and rivers, exposed to the substantial risks posed by a changing climate, including sea level rise,

flooding, storms, and heat-waves. Enabling human development in the face of these risks has led to growing interest in the concept of urban climate change resilience (UCCR). This is understood as the capacity of “cities to function, so that the people living and working in cities—particularly the poor and vulnerable—survive and thrive no matter what stresses or shocks they encounter.”27 Current frameworks to operationalize UCCR agree that, while technological and infrastructural systems are integral to enhancing resilience in cities, engagement with organizational, financial, spatial, social, and institutional issues is also crucial. As these frameworks and UCCR experience emerge, there is

growing understanding of the practical ways in which it is possible to build resilience. An analysis of this available knowledge is distilled here into seven “entry points” for action.28/29 Taken together, these are a helpful way to think about how the concept of UCCR can be put into practice and are reflective of current knowledge in this rapidly growing field of knowledge. Note, though, that their sequence is not meant to prescribe a tightly bound set of steps that must be followed. Also, some cities may have made more progress on one entry point over another, which shows how some actions may be more important/relevant than others in different contexts.

Generating and disseminating data, knowledge, and information is important to enhance a city’s ability to deal with both shocks and slow-onset impacts such as waterlogging. This includes data on how exposed and vulnerable to climate change urban systems are, drawing on climate models, GIS, and novel urban systems analysis tools.

Other data streams can help assess and track the degree of social and economic vulnerability in cities, including on household income, gender, education, access to basic services, access to financial services, migration flows, and demographic trends.

27

ADB. 2014. Urban Climate Change Resilience: A Synopsis. Manila. p. 4. 28

This briefing is extracted from ADB. 2015. Practical Knowledge on Enhancing Urban Climate Change Resilience: Seven Entry Points for Action. Manila : Asian Development Bank, available at

[insert hyperlink]

29 These entry points build on the areas considered necessary to sustain action on UCCR identified in S. Kemaghan and J. da Silva. 2014. Initiating and Sustaining Action: Experiences Building

Resilience to Climate Change in Asian Cities. Urban Climate 7. pp. 47–63).

80 Appendix 11

Approaches to systematic analysis are also needed to link data to decision-making and influence urban programs and policies. The Hazards exposure, Infrastructure, Governance, Socio-economic variables Framework30 developed by the International Institute of Environment and Development provides example of an approach to combining and making sense of these diverse data streams and drawing up priority actions that city authorities can undertake to enhance resilience. Urban planning (including land use planning) is a comprehensive and sustainable route to

enhancing resilience, and involves mandating where and how development takes place. For instance, plans could identify appropriate land uses for areas exposed to natural hazards and prescribe plinth heights or other building codes for structures being built in these areas.

Planning approaches that reflect UCCR principles for urban planning include those that are: Integrated: A variety of stakeholders (from government, academia, and civil society) collaborate

in decision-making. Inclusive: Poor, marginalized, and vulnerable people have a role in decision-making. Informed: Decisions result from combining scientific information with “bottom-up”

understandings of exposure and vulnerability. Iterative: Multiple rounds of engagement inform strategies, and decisions made are revisited at

regular intervals31.

ICLEI’s resilience planning process entails circular steps spanning engagement, impact and vulnerability assessment, prioritization of actions, formation of a City Resilience Strategy, and monitoring/review.32 [insert graphic]

Mainstreaming resilience into urban systems and sectors is another important entry point for UCCR.33 Water and sanitation, energy, transport and telecommunications, ecosystems, shelter, and health and social services all need to be ready for the impacts of climate change. Quality services

enhance the ability of urban areas to bounce back from disasters, whereas building on existing sectors and systems provides a more sustainable route to UCCR. Influencing the organizational processes that underpin the functioning of these systems can enhance sector resilience34. In the water sector, this could include integrated water management practices that consider the entire water cycle. Sector resilience can also be enhanced through structural changes, such as the strategic use of valves that can de-link one part of a water network from another during disasters. ADB’s Guidebook, Increasing Climate Change Resilience of Urban Water Infrastructure,35 describes a practical approach to bridge the gap between theoretical analyses of climate change impacts and the planning decisions city authorities and utility managers need to make to increase the climate change resilience of the water sector. This extracts lessons on enhancing the resilience of urban water services through exercises conducted with the

30

J. Parikh, G. Sandal, and P. Jindal. 2014. Vulnerability Profiling of Cities. Working Paper 8. London: IIED.

31ADB. 2014. Urban Climate Change Resilience: A Synopsis. Manila. Asian Development Bank

32 S. Gawler and S. Tiwari. 2014. Building Urban Climate Change Resilience. A Toolkit for Local Governments. New Delhi: ICLEI.

33 Link to ADB UCCTRF sector snapshot publication when published and hyperlink known

34ADB. 2016. Urban Climate Change Resilience: Sector Snapshots. Manila. Asian Development Bank

35 ADB. 2013. Increasing Climate Change Resilience of Urban Water Infrastructure. Based on a Case Study from Wuhan City, People’s Republic of China. Manila.

Appendix 11 81

government of Wuhan, China, to determine the city’s vulnerability to the impacts of climate change and to identify opportunities to improve its resilience. It also sheds light on a way to narrow down on short-term infrastructure investment opportunities for enhancing UCCR.

Strengthening the capacity of those running city government departments is key to enhancing UCCR. Individuals working within city governments often know the city intimately and building their capacity can help bring UCCR to life.

While there are a number of issues on which training is essential, these fall into two broad areas. First, government officials must understand how to assess risk. This entails understanding the potential hazards the city faces, the degree to which people and assets are exposed to these hazards and existing levels of vulnerability.36 Some of this can be derived through the use of participatory methods, surveys, or questionnaires and some data, mainly those on exposure, from the use of climate models and GIS.37 After understanding risk, employees of city departments must explore ways of developing and prioritizing actions to enhance resilience. For example, Shared Learning Dialogues (SLD) are a structured approach to participatory planning and prioritizing UCCR actions deployed by the Asian Cities Climate Change Resilience Network (footnote 8). Peer-to-peer learning has also proved effective in linking actors in different settings to enhance UCCR.38 Experience from India demonstrates that mandates for resilience training need to be secured by reaching out to senior bureaucrats, but actual training should be delivered to those working in more junior roles within city governments, given lower rates of turnover and transfers among this group.39

Despite investments in infrastructure and comprehensive resilience planning, a degree of “residual risk” needs to be managed, often by communities and households. Technological and engineering approaches to enhancing UCCR must therefore be complemented by approaches to undertake resilient community development in

urban areas. This includes enhancing the ability of marginalized urban communities to understand the drivers of risk and vulnerability and determine pathways of resilience. This can be achieved by undertaking participatory risk mapping, holding iterative dialogues to understand underlying vulnerabilities, undertaking collaborative planning to prioritize a set of actions to build resilience, and organizing communities to execute the plans. These imperatives can be covered comprehensively through community-level resilience planning. For example, the Micro Resilience Planning Initiative run in Gorakhpur, India, by the non-governmental Gorakhpur Environmental Action Group from 2010 to 2014 aimed to enhance the resilience of a vulnerable urban community to the problem of water-logging (low-level, high-frequency flooding).40 A highly participatory approach was used to first understand risks and then

36

Asian Disaster Preparedness Center. 2010. Risk Assessment in Cities. Report for USAID. 37

R. Singh and D. Sharma. 2015. Capacity Building for Building a Sustainable and Smart Urban India. Briefing Paper. New Delhi: TERI. 38

Cities Development Initiative for Asia. http://cdia.asia, D.T. Lan. .2012 Introduction to Urban Climate Resilience Community of Practice. VUF National Stakeholder Workshop, Da Nang, 25 July . 39

Interview, ICLEI, 16 September 2015. 40

N. Mani and S. Wajih. 2014. A Participatory Approach to Micro-resilience Planning by Community Institutions. The Case of Mahewa Ward in Gorakhpur City. Working Paper. London: IIED.

http://cdia.asia/

82 Appendix 11

determine actions to build resilience, which ranged from demanding better services from the city government to putting protective infrastructure in place.

The private sector is the main engine of economic growth in the Global South but suffers substantial losses as a result of climate extremes and disasters. There is a need to enhance awareness in the sector about UCCR and to develop an effective business case for investing in resilience. This can build on three imperatives for the private sector:

Business continuity: Businesses may invest in protecting physical assets such as factories and warehouses. While this is primarily to safeguard the company’s own interests, it can also support other, often smaller, companies in the value chain.

Business opportunity: There could be substantial opportunities in enhancing resilience, as the provision of urban lifeline utilities such as communications, energy, transport, water, and wastewater systems is often contracted out to private sector firms. Also, local governments in at-risk locations could enter into a mutual aid agreement with such firms to formalize support that may be needed in the event of a disaster.

Business as a stakeholder: Public–private partnerships are likely to become more common, given many cities lack the financial resources to respond to the challenges of enhancing resilience. These could span activities such as delivering service contracts for governments as well as full-scale joint ventures for the delivery of protective infrastructure. Businesses themselves may also develop collaborative initiatives, as illustrated by the South Gujarat Chamber of Commerce & Industries in the formation of the Surat Climate Change Trust,41 which represents the nodal non-governmental body charged with enhancing resilience in Surat, India.

Catalyzing finance is important to the success of many of the preceding entry points. While sources of finance do exist, innovative approaches by a variety of organizations are needed to ensure these can be mobilized, accessed, and programmed to enhance urban resilience. In most cities across the Global South, there is limited capacity to absorb and effectively

program funds for urban resilience. Programs such as the World Bank’s City Creditworthiness Initiative42 are starting to deliver hands-on learning to city leaders on the fundamentals of creditworthiness and municipal finance. Finance is available from four main scales of governance: At the local level, there is a possibility of deploying microfinance (e.g. hazard-indexed micro-

insurance) and local development funds to enhance resilience. At the city level, the income generated through taxes, levies, and fines can be ploughed into

enhancing resilience either through bespoke resilience-building actions or through mainstreaming resilience in systems and sectors.

Funding from provincial and national governments is also available to cities; this can be earmarked (e.g. funds for urban development) and non-earmarked (e.g. budget support for city governments). The capacity of city functionaries will need to be built to ensure funding from

41

weADAPT. Surat Climate Change Trust. https://www.weadapt.org/organisation/surat-climate-change-trust-scct 42

World Bank. 2015. City Creditworthiness Initiative: A Partnership to Deliver Municipal Finance. Washington, DC: World Bank.

https://www.weadapt.org/organisation/surat-climate-change-trust-scct

Appendix 11 83

both these streams is creatively deployed to build resilience through actions to address city priorities.

Multilateral funding, bilateral funding, and financing from philanthropic sources can also support UCCR.

Cross-cutting challenges Relevant to all these entry points, UCCR programs across the world are grappling with a number of important crosscutting challenges: First, it is impossible to enhance UCCR without engaging with key governance challenges. For

example, city governments are often not empowered to take important decisions, which mean they need to engage with provincial and national governments when trying to enhance resilience in a particular city.

Enhancing UCCR entails navigating through tricky issues of politics and power. For example, the existence of a high amount of informality across developing countries means much urban expansion is unregulated. This informality results in a need to incentivize extra-governmental actors such as private builders, federations of slum residents, and community-based civil society organizations to participate in processes to enhance UCCR.

Finally, engaging with complexity is key to building UCCR. Resilience thinking underlines the need for understanding feedbacks between urban systems and trade-offs in resilience-building activities. This in turn can enhance the time and resource intensity of UCCR initiatives. Also, given this inherent complexity, no single organization will be able to implement the seven entry points alone, thus developing strong partnerships and networks will be essential for agencies wishing to enhance UCCR.

Addressing these challenges and leveraging the potential of the seven entry points presented here will help ensure UCCR initiatives, such as the Urban Climate Change Resilience Trust Fund (UCCRTF),43 are able to support urban areas across the Global South to not only function but also flourish despite the shocks and stresses induced by a changing climate.

43

The $150m million UCCRTF is a multi-donor trust fund established with support from the UK government’s Department for International Development, the Rockefeller Foundation, SECO, and the

US Agency for International Development. The UCCRTF aims to scale up urban climate change resilience across medium-sized cities in Asia, taking an urban systems-centered approach that supports

climate change integration into city planning, implementation of both “hard” (infrastructure) and “soft” (policy or institutional) interventions, and includes a strong knowledge component. These three

components will help cities reduce the risks that rapid urbanization and climate change have on their population, particularly the urban poor.

84 Appendix 12

Asian Development Bank

Knowledge Management,

Networking and Monitoring in

support of Promoting Urban Climate

Change Resilience in Selected Asian

Cities

Outline Knowledge Plan

244030-00

Final |

Submitted by Arup in association with

Overseas Development Institute (ODI) and Itad

Appendix 12 85

Contents

Introduction .......................................................................................................... 1

Understanding knowledge in the ADB ............................................................ 1

Plan Structure ................................................................................................... 3

The Prioritisation Strategy ............................................................................... 4

The Plan ............................................................................................................. 90

Understanding UCCR .................................................................................... 90

Applying UCCR ............................................................................................. 93

Supporting knowledge ................................................................................... 99

86 Appendix 12

Introduction This Outline Knowledge Plan has been developed to inform ADB

knowledge management in support of the Urban Climate Change Resilience

Trust Fund (‘UCCRTF’). It provides recommendations for knowledge

management to address existing gaps, enhance awareness and support

improved practice for urban climate change resilience (‘UCCR’). The Plan can be read in parallel with the UCCRTF ‘Regional Knowledge Landscape Analysis,’ which provides a summary and analysis of stakeholder

consultation findings that inform this Plan.

Understanding knowledge in the ADB

The ADB is in a strong position to practice and mainstream UCCR through

its diverse relationships and project portfolios, as a catalyst for large-scale

change across developing member countries. The different relationships at

different stages in the project cycle are generalised overleaf in Figure 1,

while Table 1 describes the relationships in more detail and summarises the

key knowledge opportunities at each stage.

The Brief for an Outline Knowledge Plan

‘To develop and specify key inputs to a Knowledge and Capacity Building Plan in the context of UCCRTF Building awareness, knowledge and improved

practice on UCCR accessible to all relevant stakeholders is an expectation of

the UCCRTF.’ (ADB Terms of Reference)

“The Outline Knowledge Plan should provide strategic guidance for the demand-driven mechanism of the Cluster TA, which has already defined

outputs, milestones and deliverables in its Design & Monitoring Framework.” (Technical Assistance Inception Report)

At least 12 knowledge products disseminated and their use demonstrated in

DMC cities by 2021. At least 10 peer-to-peer learning or knowledge events

completed by 2020. (Design Monitoring Framework. Component 3:

Knowledge, Output 3: UCCR knowledge is created, accessed and utilised)

Table 1 – ADB project cycle relationships and knowledge opportunities

Project Stage Relationship

to ADB

Primary Actors Knowledge

Process how

Short-term

Outcome why’)

Pre-project or

strategic

planning

Internal –

external

Member

states, CDIA,

ADB

Headquarters

staff, cities,

national

government

Use knowledge

to influence

Creates demand

for projects

Country

Partnership

Strategy

Internal –

external

National

governments,

ADB

Headquarters

staff, cities

Use knowledge

to influence

Creates demand

for projects

Preparation Internal ADB

Headquarters

staff, ADB

Project

Officers, (CDIA,

cities)

Apply technical

knowledge

Capacity

building of staff

Solve problems

Design projects

with UCCR

Determine

technical

assistance

requirements

Approval Internal –

external

National

government,

ADB

Headquarters

staff

Capacity

building of staff

Sensitised staff

recognise

resilient projects

Implementation External Cities, external

consultants

Apply technical

knowledge

Learn from

external

consultants

Completion,

evaluation

Internal –

external

All Learning,

capture,

sharing,

mainstreaming

Learning from

projects

Appendix 12 87

Figure 1 – ADB stakeholder relationships by project stage

88 Appendix 12

Plan Structure

Components

The Outline Knowledge Plan has been informed by the Regional Landscape

Analysis. It has three components (themes):

Understanding UCCR: to help ADB staff and external stakeholders

better understand and engage with the concept of UCCR.

Applying UCCR: assisting ADB staff and external stakeholders to

put UCCR into practice when planning and implementing projects.

Supporting Knowledge: to improve systems and processes that

support the way in which knowledge is generated, captured, and

shared; within and outside of the ADB.

Sub-components

In support of these components, the Plan also has seven specific sub-

components:

Six sub-components which relate to the knowledge gaps identified in

the Regional Knowledge Landscape Analysis.

One further sub-component which aims to support the way in which all

the gaps are addressed through ADB knowledge management

systems.

Activities

33 distinct activities have been identified to achieve the sub-component

objectives. Each activity is classified according to ‘target audience’, ‘knowledge type’, ‘lead implementer’, and ‘prioritisation’.

Target audience

Target audiences for each activity reflect the stakeholder groups identified in

Figure 1. These include ADB (all staff, or those from subgroups: Project Officers,

Headquarters, and Resident Mission), CDIA (Cities Development Initiative for

Asia staff), cities (city government), national governments, and external

consultants. In many cases the benefits of any given activity may extend beyond

its direct target audience.

Knowledge type

Four key types of knowledge have been identified in support of UCCRTF. Where

activities relate to multiple knowledge types, the primary type has been listed.

Communication tools

to help gain buy-in for

UCCR within ADB

activities and with

project partners

Tools to support and

enable knowledge

management objectives,

including plans and

strategies

Capacity building

products, programs

and champions to

enable key project

personnel to engage

effectively with UCCR

Technical advice to

address problems and

identify new

opportunities within

projects

Lead implementer

UCCRTF

Secretariat

Cities

Development

Initiative for

Asia (CDIA)

Consultant

or

contractor

Prioritisation

Each activity has been prioritised as short term, medium term or long term.

Further detail regarding the strategy for prioritising activities is provided overleaf.

Appendix 12 89

The Prioritisation Strategy

Activities are prioritised according to the ‘three gears strategy’. The

strategy draws on learning from the Regional Knowledge Landscape

Analysis which highlights that:

UCCR is an emerging concept and therefore knowledge does not

necessarily exist yet.

To harvest learning from projects as soon as possible staff need

initial practical guidance to avoid delays.

In order to create demand for more projects ADB needs to share

what is already available.

In order to create as much opportunity for learning from projects which have

a long gestation time, the processes need to be jumpstarted based on existing

information which can be refined over time. The secretariat will need to

balance the desire to be opportunistic with the importance of prioritising

these short-term needs. Activities in the Knowledge Plan which relate to any

or all of the three gears are generally categorised as ‘short term’ priorities.

The strategy can be summarised as follows:

1 Create new knowledge.

The process of filling the knowledge gaps. While ADB projects and

processes will provide evidence about what works and what doesn’t with regards to creating urban resilience, there is an immediate need to

address stakeholder ‘why, what, and how’ questions.

2 Embed existing knowledge in ADB.

In order to create demand internally and support staff to prepare loans,

processes need to be adapted to address climate change resilience.

3 Share to influence practice.

There is an increasingly prominent need for ADB to share UCCR

learning particularly, with city-level audiences, in order to create the

demand and improved practice for more projects.

Figure 2 – The ‘three gears strategy’: create, embed and share knowledge.

90 Appendix 13

The Plan

Understanding UCCR

To help ADB staff and external stakeholders better understand and engage with the concept of UCCR.

Sub-component Suggested Activities Target audience Knowledge type Lead

Implementer Priority

1. Shared

understanding

There is a need to

establish a shared

understanding of the

concept of UCCR

across the ADB.

Understanding must

move beyond the

climate change

resilience of the

asset, to that of the

urban system.

1.1 Develop a simple, agreed definition of UCCR. ADB

Short

1.2 Develop set of simple, short resources and knowledge

products to build a basic understanding of UCCR; both

for the direct benefit of staff, and to share with

stakeholders. This should include visual communication

tools, building on existing UCCR info-graphics.

ADB, CDIA,

cities, national

governments

or ADB communication

specialist

Short

1.3 Develop and implement an ADB communication strategy

to progress understanding of UCCR, spanning ADB

Headquarters staff, out-posted staff, and CDIA. Strategy

scope should include events and digital resources,

drawing upon both existing and new resources.

ADB, CDIA

or consultant

Short

1.4 Develop a short knowledge product (transition piece)

that addresses thinking about UCCR from an asset-based

approach to a more urban and systems-based approach.

ADB, CDIA

or consultant

Short

Appendix 13 91

Understanding UCCR (continued)

1.5 Ide tif a d urture champions a d e perts for UCC‘ ithi the ADB. Cha pio s should e fou d or reated

in each sectoral division.

ADB

Short

1.6 Develop and implement a strategy to provide support for

staff to engage with external (local, regional and global)

knowledge platforms, networks and events to build

UCCR knowledge and understanding.

ADB

or consultant

Long

Sub-component Suggested Activities Target

audience Knowledge type

Lead


2. The motivation

The drivers for

building UCCR need

to be better

articulated. The

risks and

opportunities

associated with

UCCR are not well

2.1 Identify and communicate the risks and costs of ot taki g a tio o UCC‘ o er a range of timeframes (emphasising

immediate issues while also recognising future challenges

and trends), with particular reference to the ADB and its

investments.

ADB, CDIA

or consultant

Medium

2.2 Identify and communicate the benefits and opportunities

associated with UCCR, emphasising those that are

immediate or short term in nature.

ADB, CDIA

or consultant

Medium

92 Appendix 13

understood by most

stakeholders. 2.3 Identify a strategy and resources to better communicate

risks and opportunities to key stakeholder groups,

including city and national governments in an accessible,

locally relevant and engaging manner.

Cities,

national

governments

or consultant

Medium

2.4 Establish and administer external city partnerships

(between cities) to share success stories on UCCR, including

immediate risks / e efits a d ho UCC‘ looks at a it scale.

Cities

Medium

Appendix 13 93

Applying UCCR

Assisting ADB staff and external stakeholders to put UCCR into practice when planning and implementing projects.



3. Practical

application

Practical, sector-

specific, locally

relevant information

is needed to identify

and implement

UCCR solutions (and

practices leading to

solutions) on

infrastructure

projects. UCCR is an

emerging field, and

stakeholders have

limited access to

data, case studies

and tangible design

solutions.

3.1 Develop knowledge products with sector perspectives on

what resilience means to key urban infrastructure sectors,

such as transport and water. These can build on the

e isti g i frastru ture a d li ate ha ge se tor s apshot resources. Products must be clear, accessible and engaging.

ADB, CDIA,

cities, national

governments

and / or CDIA

Short

3.2 Establish locally relevant online resources or tutorials on

how cities work including – ho o trols hat, ho are the stakeholders, hat rele a t de elop e t pla s, poli ies a d fu di g strea s e ist.

ADB Project

Officers, CDIA

Short

3.3 Map and communicate the politics of policy processes that

UCCR initiatives must navigate in each target city.

ADB Project

Officers, CDIA

Medium

3.4 Develop a database of guidance and technical resources,

including design solutions and templates. ADB, CDIA

Medium

3.5 Undertake a review of learning on community engagement

in cities, in order to identify how this knowledge can be

linked to ADB investments and projects. (Note: capacity

building and / or communication tools in support of

findings may be required at a later date)

ADB, CDIA,

cities

Medium

94 Appendix 13

Applying UCCR (continued)

3.6 De elop trai i g for trai ers for ity stakeholders on

UCCR (some of the work from ACCCRN may be relevant). Cities

and / or consultant

Medium



3. Practical

application

(continued)

3.7 Identify and implement a strategy and system to capture

and share data and learnings from UCCRTF funded projects.

ADB Project

Officers, CDIA

Medium

3.8 Establish a suite of lo ally appli a le k owledge produ ts

for each target city (or, clusters of similar target cities).

Engage with local staff, counterparts and stakeholders to

identify what information or knowledge products must be

identified / tailored for the local context. Knowledge

products must be clear, accessible, and engaging.

ADB, CDIA,

cities

Medium

3.9 Delegate roles and responsibilities to ensure that UCCR

knowledge from out-posted staff and beyond ADB is

captured and disseminated to staff as it emerges.

ADB

Medium

Appendix 13 95

3.10 Identify opportunities to create new (or, formalise existing)

k owledge part erships around UCCR. This may involve

partnerships/ knowledge exchange between ADB and its

counterparts, and/ or a role which ADB can play to facilitate

knowledge partnerships between cities.

ADB, CDIA,

cities

Medium

96 Appendix 13




Lead


4. Project

processes

ADB project cycles

need to be reviewed

in order to identify

how UCCR can be

accommodated

within project

planning processes.

ADB staff need

support to identify

and embed UCCR

measures at each

step in the project

cycle.

4.1 Undertake a sector-based review of how the ADB project

planning, design and implementation processes are affected

by a UCCR approach.

ADB Project

Officers

Medium

4.2 Explore mechanisms to embed UCCR into project processes in

a ti el a d effe ti e a er, su h as the e isti g li ate s ree i g pro esses or ADB proje t peer re ie pro ess. This should be considered both for UCCRTF projects and non-

UCCRTF funded projects (approach and influence may differ).

ADB Project

Officers

Medium

4.3 Review existing internal processes and identify opportunities

to uild i resilie e thi ki g. ADB

Short

4.4 Review and address concerns regardi g competitive

disadvantage arou d UCC‘ i ter e tio s. This a e addressed by improving existing processes, and/ or roll out of

communication to address misperceptions.

ADB, CDIA

Medium

4.5 Undertake staff capacity building to engage with any new or

adapted processes. ADB

Medium

4.6 Continue and expand existing communication approaches to

raise ADB staff awareness about UCCRTF funding; including

the opportunities, scope and the easiest ways to access

funding.

ADB

Medium

Appendix 13 97




Lead


5. The costs

The true financial

implications for

incorporating UCCR

within infrastructure

projects needs to be

uncovered in order

to maximise the use

of the UCCRTF

funding and create a

stronger business

case for investment.

(Note: the wider

implications of this

theme relate to sub-

component 2 –

motivation)

5.1 Undertake sector-specific reviews of UCCR application and

financial impacts. This should include consideration of the

costs associated with not taking action on UCCR, and reduced

need to spend in the future.

ADB

Medium

5.2 Establish and distribute guideli es for osti g UCC‘ on ADB

planning and infrastructure projects, and communicating any

costs (along with benefits) in a way which is not prohibitive.

Where there is no financial cost associated with UCCR

interventions, this should also be clearly communicated.

ADB, CDIA,

cities,

national

governments

Medium

5.3 If necessary, assign a ha pio or expert ithi the ADB to help staff explore project-specific financial implications on a

case-by-case basis.

ADB Project

Officers

Medium

98 Appendix 13


6. Measurement

Accessible ways to

measure resilience

are required, both at

city and project

scale and at

different project

stages.

6.1 Develop a detailed UCCRTF framework approach and methods

for measuring UCCR at different scales, relevant to different

investment projects and locations. This should include

measurement of hazards, inputs, resilience building processes,

beneficiary and attribution assessment, and outputs as well as

development outcomes.

ADB, CDIA,

cities, national

governments

and / or consultant

Short

6.2 Undertake a data audit in UCCRTF countries (or cities) to

assess the long term viability of the measurement framework,

including identification of data sources including hazards,

vulnerability, resilience characteristics, loss data, service

access and development outcomes.

ADB, CDIA,

cities, national

governments

and / or CDIA, or

UCCRTF Secretariat

Medium

6.3 Undertake a capacity building programme to develop a shared

understanding across ADB staff regarding use of the

measurement framework, including identification of data

sources.

ADB Project

Officers

and / or consultant

Medium

6.4 Undertake research on UCCR measurement in order to draw

on and informing UCCRTF investments, and also as a robust

evidence base for a wider audience of project partners and

UCCR practitioners.

ADB, CDIA,

cities, national

governments

Long

6.5 Convene ADB, partners and other international UCCR

stakeholders to develop an international set of principles and

core methods for measuring and building urban resilience

ADB, CDIA,

cities, national

governments

Long

Appendix 13 99

Supporting knowledge To improve systems and processes that support the way in which knowledge is generated, captured, and shared; both within and outside of the ADB.



7. Knowledge

systems and

practices

Develop a strategy

to improve the

underlying

knowledge systems

and practices for

UCCR.

7.1 Review existing ADB knowledge management systems

(especially tools for capturing, synthesising, storing, and

retrieving knowledge) and formulate a strategy for building a

UCCR platform that is more or less independent (depending

on the findings of the review).

ADB

Short

7.2 Review existing external network repositories such as ACCCRN

and develop a strategy for contributing to, and benefiting

from, external sources.

ADB

Medium

7.3 Develop a strategy for a UCCR community of practice. The

strategy should consider the timing for shifting from an

internal ADB focus to an external (but integrated) interaction

space.

ADB, CDIA,

cities, national

government

and / or CDIA,

and/ or consultant

Medium

100 Appendix 13

Updates on CDIA Activities

City PFS Stage Resilience Approach: Capacity Development: Outputs and Next Steps:

Palu, Indonesia

Interim Report is the Final Report Following the completion of the SymbioCity Report (funded by SIDA) for Palu City in 2014 CDIA agreed to follow up with a PFS to identify necessary infrastructure investment required to support the development and 'greening' of the bay area. The team was then expected to carry out PFS(s) in relation to these identified investments. Unfortunately the team was unable to identify any significant investment in relation to which it would be worthwhile to carry out a full scale PFS. This was principally because the Public Works Department in the City is already in the preliminary stages of carrying out such activity particularly in relation to wastewater and drainage investment which are the two most important factors impinging upon the Bayfront zone. The City is also the subject of other national programmes that are dealing with other important interventions such as slum clearance and water supply. As a result, the study was terminated early and not formal

Production of the Diagnostic Report did involve consulting with relevant climate agencies in Palu including Badan Penelitian dan Pengembangan Daerah (BPDP) and Badan Nasional Penanggulangan Bencana (BNPB) who are responsible for advising the government on incorporating climate resilience thinking into investment planning and implementation although neither agency appears to exert much influence in this regard. In the event that a PFS had been conducted then the input of these two agencies would have been incorporated.

In the event that the PFS work had gone ahead, then some capacity development activity was expected in the form of partnering with relevant local government officials in the conduct of the PFS to deliver a jointly produced set of outputs

No next steps as the various city departments appear to have everything under control - at least at this point in time.

Appendix 13 101


PFS work took place. A final Diagnostic Report was produced in December 2015.

Sialkot, Pakistan

Draft Final Report Note: same CC consultant for Sahiwal PFS

A national climate change specialist was recruited as part of the PFS team. A rapid climate change vulnerability assessment was carried out as part of the PFS process in the city. The HIGS framework approach for vulnerability assessments was implemented during the PFS. This PFS was also part of a broader exercise of helping the city to develop an integrated city development strategy, where climate change and vulnerability were a core part of the wider city stratagem. The vulnerability assessment conducted for the city factored the need for adaptation investments and set the framework for the infrastructure projects in water, wastewater, transport and solid-waste management. There are recommended projects in water, wastewater, drainage, solid waste management and transport for the city, with them in place they hope to achieve greater resilience.

Public consultations were held with civi society, non-government organisations and local government officials. Capacity development is a part of the project and the PFS sets out areas with costs where this should be addressed at a broad institutional level and also the sector specific level for the city.

The key output from the PFS work is an Integrated Medium Term Infrastructure Investment Plan for Sialkot with sector assessments and roadmap. It links clearly to the city’s vulnerability to Climate Change and proposes how this can be addressed. The MTIIP is formally endorsed and approved by the Provincial Government and is the template the provincial government will use to inform other intermediate cities of how they wish the city planning and investment preparation process to be implemented.

102 Appendix 13


Sahiwal, Pakistan

Draft Final Report A national climate change specialist was recruited as part of the PFS team. A rapid climate change vulnerability assessment was carried out as part of the PFS process in the city. The HIGS framework approach for vulnerability assessments was implemented during the PFS. The vulnerability assessment conducted for the city factored the need for adaptation investments and set the framework for the infrastructure projects in water, wastewater, transport and solid-waste management. Investment preparation process to be implemented.

Public consultations were held with civi society, non-government organisations and local government officials. This PFS was also part of a broader exercise of helping the city to develop an integrated city development strategy, where climate change and vulnerability were a core part of the wider city stratagem. Capacity development is a part of the project and the PFS sets out areas with costs where this should be addressed at a broad institutional level and also the sector specific level for the city.

There are recommended projects in water, wastewater, drainage, solid waste management and transport for the city, with them in place they hope to achieve greater resilience. The key output from the PFS work is an Integrated Medium Term Infrastructure Investment Plan (MTIIP) for Sahiwal with sector assessments and roadmap. It links clearly to the city’s vulnerability to Climate Change and proposes how this can be addressed. The MTIIP is formally endorsed and approved by the Provincial Government and is the template that the provincial government will use to inform other intermediate cities of how they wish the city planning would be.

Baguio, Philippines

Draft Final Report Baguio City has already completed the development of the Climate Change, Vulnerability Assessment, and Adaptation Scenarios Strategies, facilitated by ICLEI. A Climate Change Core Group was already organized, which has undergone various capacity building workshops. Under this PFS, the key stakeholders for the wastewater and drainage urban systems were consulted. The City

In both cities, capacity development was provided and integrated during consultation and project discussions. The options for improved wastewater and drainage management were discussed with key department involved.

The resilient interventions presented were linked to the Green and Integrated Wastewater Management (GIWM) PFS. Some of the strategies proposed are (a) capacity building for STP personnel on instrumentation/automation of STP; (b) expansion of existing sewage treatment plant and construction of

Appendix 13 103


generated a list of potential resilience building interventions. The process underscores the importance of linking these interventions to existing city plans and compile all the information into a City Resilience Strategy.

new STPs; (c) rehabilitation of existing sewer lines and expansion of coverage; (d) Provision of standby pumps to evacuate sewage-contaminated flood waters; and, (e) improvement of the existing drainage system.

San Fernando, Philippines

Draft Final Report San Fernando City, as in the case of Baguio City, has completed the same vulnerability assessment under ICLEI. A Technical Working Group (TWG) composed of the heads of the different departments of the City of San Fernando Government was formed. For the PFS, the key members of the TWG were consulted but major inputs were discussed with the City Environment and Natural Resources Office (CENRO).

Same as Baguio

Some of the strategies proposed are: (a) capacity building of CENRO in terms of improved sewage management and drainage maintenance; (b) optimization of the septage management program; (c) provision of standby pumps to evacuate sewage-contaminated flood waters and (d) improvement of the existing drainage system.

Mysuru, India Kick Off Resilience principle aim to safeguard the community from any form of vulnerability through inclusive and integrated approach in Mysuru. PFS project scoping and design would include climate vulnerability assessment, impact and mainstreaming through adaptation measures within the project development system for implementation purpose. City key stakeholders are consulted during the early stage of development of this project (Jan 2015) to identify

Capacity development will be identified as part of PFS process to focus on bringing climate resilience capacity mechanism in the institutional system of Mysuru city corporation.

The project is about to start from February 2016. As output, the overall climate resilience projects will be identified during the interim stage, which is planned in May 2016.

104 Appendix 13


and address the key resilience principles to be part of the PFS process. Yes, this PFS is unique and combine to integrated climate change resilience angle along with infrastructure projects for Mysuru

urban financing partnership facility - asian development bank

Documents