Project Number: 47358-002 Grant Number: GXXXX August 2019

Independent State of Samoa: Enhancing Safety, Security, and Sustainability of Apia Port Project

Project Administration Manual

ABBREVIATIONS

ADB – Asian Development Bank ADF – Asian Development Fund CEO – Chief Executive Officer CEMP – construction environmental management plan DRR – disaster risk reduction EA – executing agency FIDIC – Fédération Internationale des Ingénieurs-Conseil GPP – green port policy GRM – grievance redress mechanism MAF – Ministry of Agriculture and Fisheries MFR – Ministry for Revenue MNRE – Ministry of Natural Resource and Environment MOF – Ministry of Finance MOH – Ministry of Health MPE – Ministry for Public Enterprises MWCSD – Ministry of Women Community and Social Development MWTI – Ministry of Works, Transport and Infrastructure PDA – project design advance PMU – project management unit PSC – project steering committee PUMA – Planning and Urban Management Agency SAO – Samoa Audit Office SPA – Samoa Ports Authority SSC – Samoa Shipping Corporation STA – Samoa Tourism Authority SUNGO – Samoa Umbrella for Non-Governmental Organizations VAGST – value-added general services tax

CONTENTS

I. PROJECT DESCRIPTION 1

II. IMPLEMENTATION PLANS 1 A. Project Readiness Activities 1 B. Overall Project Implementation Plan 2

III. PROJECT MANAGEMENT ARRANGEMENTS 3 A. Project Implementation Organizations: Roles and Responsibilities 3 B. Key Persons Involved in Implementation 4 C. Project Organization Structure 5

IV. COSTS AND FINANCING 6 A. Cost Estimates Preparation and Revisions 6 B. Key Assumptions 7 C. Detailed Cost Estimates by Expenditure Category 8 D. Allocation and Withdrawal of Grant Proceeds 9 E. Detailed Cost Estimates by Financier 9 F. Detailed Cost Estimates by Outputs and/or Components 11 G. Detailed Cost Estimates by Year 12 H. Contract and Disbursement S-Curve 14 I. Fund Flow Diagram 15

V. FINANCIAL MANAGEMENT 16 A. Financial Management Assessment 16 B. Disbursement 19 C. Accounting 20 D. Auditing and Public Disclosure 21

VI. PROCUREMENT AND CONSULTING SERVICES 22 A. Advance Contracting 22 B. Procurement of Goods, Works, and Consulting Services 22 C. Procurement Plan 23 D. Consultant's Terms of Reference 26

VII. SAFEGUARDS 42

VIII. GENDER AND SOCIAL DIMENSIONS 43

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION 44 A. Project Design and Monitoring Framework 44 B. Monitoring 46 C. Evaluation 47 D. Reporting 47 E. Stakeholder Communication Strategy 47

X. ANTICORRUPTION POLICY 52

XI. ACCOUNTABILITY MECHANISM 52

XII. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL 52

Project Administration Manual Purpose and Process

The project administration manual (PAM) describes the essential administrative and management requirements to implement the project on time, within budget, and in accordance with the policies and procedures of the government and Asian Development Bank (ADB). The PAM should include references to all available templates and instructions either through linkages to relevant URLs or directly incorporated in the PAM.

The Ministry of Finance (MOF) as the executing agency, Samoa Ports Authority (SPA) and Ministry for Revenue (MFR) are wholly responsible for the implementation of ADB-financed projects, as agreed jointly between the borrower and ADB, and in accordance with the policies and procedures of the government and ADB. ADB staff is responsible for supporting implementation including compliance by MOF, SPA, and MFR of their obligations and responsibilities for project implementation in accordance with ADB’s policies and procedures.

At grant negotiations, the borrower and ADB shall agree to the PAM and ensure consistency with the grant agreement. Such agreement shall be reflected in the minutes of the loan negotiations. In the event of any discrepancy or contradiction between the PAM and the grant agreement, the provisions of the grant agreement shall prevail.

After ADB Board approval of the project's report and recommendations of the President (RRP),

changes in implementation arrangements are subject to agreement and approval pursuant to relevant government and ADB administrative procedures (including the Project Administration Instructions) and upon such approval, they will be subsequently incorporated in the PAM.

I. PROJECT DESCRIPTION

1. Samoa is a geographically compact country in the South Pacific with a population of about 200,000. The two main islands—Savai’i and Upolu—account for almost all the land area. Samoa faces challenges typical of small island economies, including geographic isolation, limited human and financial resources, a narrow economic base, and underdeveloped markets. The economy is heavily dependent on agricultural exports and fisheries, and imports of fuel and basic commodities. Apia Port is a critical lifeline asset for Samoa and operates as a natural monopoly and singular international gateway for nearly 100% of all physical freight movements in and out of the country. The project will improve efficiency, safety, and environmental sustainability of seaport in Apia, Samoa (the Port). It will upgrade terminal infrastructure to enhance safety and capacity; strengthen existing breakwater to enhance resilience to climate change and severe storms; and construct customs facility with a new container x-ray scanner to facilitate effective border management. The project will support gender-sensitive green port initiatives to promote clean and sustainable port operations and management. 2. The impact will be to improve safety, security, and competitiveness of trade and maritime services; and environmentally sustainable, energy efficient, and socially responsible transport sector. The outcome will be efficiency, safety, and environmental sustainability of Apia International Port improved. 3. The project outputs are (i) safety and capacity of port infrastructure enhanced, (ii) preparedness and resilience of port operations to climate change and natural hazards enhanced, (iii) border security and trade facilitation capacity enhanced, and (iv) gender-sensitive green port initiatives piloted.

II. IMPLEMENTATION PLANS

A. Project Readiness Activities

Table 1: Project Readiness Activities

ADB = Asian Development Bank; MFR = Ministry for Revenue; MOF = Ministry of Finance; PDA = project design advance; SPA = Samoa Ports Authority. Source: Asian Development Bank.

Complete design of civil works Beca InternationalADB approval of draft bidding documents (civil works) ADBProcurement of civil works MOF (Tenders Board), SPAADB approval of draft bidding documents (x-ray scanner) ADBProcurement of x-ray scanner MOF (Tenders Board), MFR

Complete specifications for tugboat procurement Royal HaskoningDHV

ADB approval of draft bidding documents (tugboat) ADB

Procurement of tugboat MOF (Tenders Board), SPAProcurement of construction supervision services MOF, SPA, ADB (Joint selection)Procurement of consulting services for Green Port Policy MOF, SPA, ADB (Joint selection)

Board approval ADB

Grant signing ADB, MOF, SPA, MFR

Government legal opinion Attorney General's Office

Grant effectiveness ADB

Oct-19Responsible

Individual/Unit/Agency/Government

Advance contracting actions (under PDA)

Sep-19Jun-19 Jul-19 Aug-19Indicative Activities

Months

Nov-19 Dec-19 Jan-20 Feb-20

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B. Overall Project Implementation Plan

Table 2: Overall Project Implementation Plan

MOF = Ministry of Finance; MFR = Ministry for Revenue; PDA = project design advance; Q = quarter; SPA = Samoa Ports Authority. Source: Asian Development Bank.

Indicative Activities 2019 2020 2021 2022 2023 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3

Output 1. Breakwater Rehabilitation Construction Output 2. Landside Improvements Construction Output 3. X-ray Scanner Delivery Commissioning and training Output 4. Procurement of Tugboat Construction and delivery Output 5. Green Port Policy Manual Deliver Green Port Policy Management Activities (managed under PDA unless otherwise stated)

1.1 Market sounding for civil works 1.2 Invite bids for civil works 1.3 Contract award 2.1 Invitation for bids - x-ray scanner 2.2 Contract award 3.1 Invitation of bids for supply of tugboat 3.2 Contract award 4.1 Recruit construction supervision consultant 5.1 Recruit project management team 6.1 Recruit consultant firm for green port policy 7.1 Contracts administration ` 8.1 Mid-term review

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III. PROJECT MANAGEMENT ARRANGEMENTS

A. Project Implementation Organizations: Roles and Responsibilities

Table 3: Project Implementation Organizations: Roles and Responsibilities Project Implementation Organizations

Management Roles and Responsibilities

Executing Agency (i) Representative of the Government as a grant recipient. (ii) Facilitate negotiation, signing and execution of the financing

agreement. (iii) Provide strategic oversight to ensure successful completion of

the project. (iv) Oversee financial management of the project. (v) Submit appropriate withdrawal applications and annual audit

reports. (vi) Facilitate the consultant recruitment process for engaging

detailed design consultants in coordination with the SPA. (vii) Through the Procurement Division, facilitate timely

consideration of contract awards. (viii) Expedite implementation by:

- Ensure necessary counterpart funds are available timely. - Review invoices and payments to contractors, consultants

and service providers. - Monitor project progress and instruct SPA and MFR to take

corrective action to prevent significant variations and deviations from the schedule and budgets.

Project Steering Committee

(i) Provide policy guidance and oversee project implementation. (ii) Facilitate necessary government approvals to enable project

implementation. Project Management Unit (i) Led by SPA, with membership from MFR.

(ii) Provide recommendations to the PSC. (iii) Run procurements and contract award. (iv) Provide day-to-day support to the consultant and supervise

construction supervision consultant. (v) Track, update and monitor the status of relevant activities. (vi) Manage contracts. (vii) Manage project accounts and prepare project financial

statements. (viii) Review and verify documents submitted by consultants. (ix) Review the consultant’s invoices and submit withdrawal

applications to ADB, through MOF. (x) Ensure that the project activities follow the government and

ADB’s policies and requirements (including gender and social safeguards).

(xi) Ensure that the required environmental safeguards are implemented for the project.

(xii) Prepare monthly progress reports and submit to MOF and ADB. (xiii) Carry out field inspections to ensure that engineering designs

are adequately implemented. (xiv) Assist with any design changes during project implementation. (xv) Oversee contractors’ works including carrying out periodic

performance audits to ensure quality control and core labor standards are met.

(xvi) Review and approve the contractor’s installation methodology and workplans.

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Project Implementation Organizations

Management Roles and Responsibilities

(xvii) Review and endorse progress claims of the supervision consultant and the contractor.

(xviii) Coordinate with staff of PUMA in reviewing contractor environmental management plans, carrying out regular audits and monitoring, and as required providing technical advice to the project implementation unit on ensuring compliance with environmental assurances under the project.

ADB Assist all government agencies involved in preparing and implementing the project by:

(i) Facilitate smooth decision making on project preparation and implementation.

(ii) Support project construction supervision consultant and PMU recruitment.

(iii) Fielding review missions. (iv) Advise project management unit on various project management

matters. (v) Disclosing project information to the public.

Implementing agencies (1) Samoa Ports Authority

(i) Lead the PMU (Samoa Ports Authority). (ii) Ensure successful discharge of all roles and responsibilities

under the PMU. (iii) Participate as active focal agency within the PMU to oversee

successful preparation and implementation for the component on x-ray scanner and ancillary facilities (MFR).

(iv) Provide technical inputs into project implementation. (v) Prepare and submit progress reports to ADB. (vi) Facilitate ADB project review missions.

Implementing agencies (2) Ministry for Revenue

ADB = Asian Development Bank; MFR = Ministry for Revenue; MOF = Ministry of Finance; PDA = project design advance; PMU = project management unit; PSC = project steering committee; PUMA = Planning and Urban Management Agency; SPA = Samoa Ports Authority. Sources: Asian Development Bank; Ministry of Finance.

B. Key Persons Involved in Implementation

Executing Agency Ministry of Finance Mr. Leasiosio Oscar Malielegaoi

Chief Executive Officer P.O. Box 30017, Apia, Samoa Tel: (+685) 34332 Fax: (+685) 21312 Email: Oscar.Malielegaoi@mof.gov.ws

Asian Development Bank Transport and Communications Division (PATC)

Mr. Dong-Kyu Lee Director Telephone No. +63 2 632 6818 Email address: dklee@adb.org

Mission Leader Ms. Alexandra Pamela Chiang Senior Transport Specialist Telephone No. +63 2 632 1541 Email address: apchiang@adb.org

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C. Project Organization Structure

Composition of the Project Steering Committee Chief Executive Officer (CEO), Ministry of Finance, Executing Agency (Chair) CEO, Ministry of Foreign Affairs and Trade CEO, Ministry of Natural Resources and Environment CEO, Ministry of Works, Transport and Infrastructure CEO, Ministry for Revenue (MFR), Implementing Agency CEO, Samoa Ports Authority (SPA), Implementing Agency Asian Development Bank Composition of the Project Management Unit Project Manager (to be engaged under the grant) SPA sub-team Environment Management Officer (to be recruited) Project Accountant (Moe Lene) Social Safeguards Expert (Moe Lene) Project Implementation Consultant (to be recruited) MFR sub-team Project Manager (Alvin Onesemo) Project Accountant (Valasi Iosefa) Health and Safety Officer (Michael Maua)

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IV. COSTS AND FINANCING

4. The project is estimated to cost $75.03 million, including taxes and duties, and contingencies (Table 4). The government has requested an amount of $62.26 million to be financed by a grant from the Special Funds resources (Asian Development Fund [ADF]). The Asian Development Bank (ADB) grant will finance civil works, consulting services, goods, and contingencies. The government portion of $12.77 million will finance recurrent maintenance costs for the x-ray scanner and the tugboat, contingencies, and value-added general services tax (VAGST) levied on all works, consulting services and goods contracts, and equipment maintenance. 5. ADB will provide $62.26 million in ADF grants in 2019, comprising performance-based allocation of $14.79 million; disaster risk reduction (DRR) of $7.47 million; and concessional assistance regional pool of $40 million. The DRR allocation has been increased from $2.99 million to $7.47 million to fully utilize DRR allocations for 2017–2018 (carried over) and 2019–2020.1 A project design advance (PDA) grant of $3 million was already approved on 26 April 2018 to fund preparation of detailed design and peer review of the proposed project.

Table 4: Tentative Investment and Financing Plan

($ million) Item Cost ADB Government A. Base Costa 1. Port civil worksb 43.11 37.48 5.62 2. Container x-ray scanner 3.45 3.00 0.45 3.

4. 5.

Tugboat Consultants a. Project manager b. Environmental safeguards c. Construction supervision d. Project management unit (local

staff) e. Green port policy practice manual f. Support to SPA miscellaneous

Individual consultants Equipment maintenance (scanner and tugboat)

6.90

0.29 0.29 3.47

0.24 0.84

0.12

2.58

6.00

0.25 0.25 3.02

0.73

0.12

0.90

0.04 0.04 0.45

0.24 0.11

2.58 Subtotal (A) 61.28 50.85 10.43 B. Contingenciesb 13.75 11.41 2.34 Total (A+B) 75.03 62.26 12.77

ADB = Asian Development Bank; SPA = Samoa Ports Authority. Notes: Numbers may not sum precisely because of rounding. a In mid-2019 prices includes taxes and duties of $10.76 million. Such amount does not represent an excessive share of the project cost. The government will finance taxes and duties (VAGST) from its own resources and administer VAGST provisions in accordance with its regulations.

b Physical contingencies computed at 18.2% and price contingencies at 3.58%. Source: Asian Development Bank.

A. Cost Estimates Preparation and Revisions

6. Construction cost estimates were prepared by the PDA detailed design consultant utilizing cost information from its own databank, and from consultations with potential suppliers of major inputs. Taxes and duties, and cost of consultants’ services, and the cost or procuring and

1 Subject to availability of funds from ADF concessional resources from regional pool and DRR fund.

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maintaining the x-ray scanner and the tugboat have been estimated by reference to information supplied by potential suppliers. The construction cost estimates are preliminary and will be updated on completion of detailed design and prior to invitation of bids. The estimates will be further updated on award of contracts for the project components. B. Key Assumptions

7. The following key assumptions underpin the cost estimates and financing plan:

(i) Exchange rate: ST2.626 = $1.00 (as of 26 June 2019).

(ii) Price contingencies based on expected cumulative inflation over the implementation period are as follows:

Table 5: Escalation Rates for Price Contingency Calculation

Item 2019 2020 2021 2022 2023 Foreign rate of price inflation 1.5% 1.5% 1.6% 1.6% 1.6% Domestic rate of price inflation 1.5% 1.5% 1.6% 1.8% 1.8% Cumulative weighted inflation

Source: Asian Development Bank.

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C. Detailed Cost Estimates by Expenditure Category

Table 6: Detailed Cost Estimates by Expenditure Category ($ million)

Item Foreign

Exchange Local

Currency Total Cost

% of Total Base Cost

A. Investment Costs 1. Civil Works a. Breakwater repairs 21.16 4.19 25.34 33.8%

b. Port landside improvements (including x-ray facility) 14.83 2.93 17.76 23.7%

2. Mechanical and Equipment a. X-ray scanner 3.00 0.45 3.45 4.6%

b. Tugboats 6.00 0.90 6.90 9.2%

3. Environment and Social Mitigation a. Relocation of private service providers 4. Consultants a. Project manager 0.24 0.05 0.29 0.4%

b. Environmental safeguards 0.24 0.05 0.29 0.4%

c. Miscellaneous PMU personnel c. Construction supervision 2.90 0.57 3.47 4.6%

d. PMU (local staff) 0.24 0.24 0.3%

e. Green port policy practice manual 0.70 0.14 0.84 1.1%

f. Support to SPA miscellaneous individual consultants 0.10 0.02 0.12 0.2%

Subtotal (A) 49.40 9.30 58.70 78.2% B. Recurrent Costs

5. Equipment Operation and Maintenance a. X-ray scanner maintenance 1.23 0.43 1.66 2.2%

b. Tugboat maintenance 0.68 0.24 0.91 1.2%

Subtotal (B) 1.91 0.67 2.58 3.4% Total Base Cost 51.31 9.97 61.28 81.7% C. Contingencies

Physical (18.2%) 9.34 1.81 11.15 14.9%

Price (3.58%) 2.17 0.42 2.59 3.5%

D. Financing Charges During Implementation Total Project Cost (A+B+C+D) 62.82 12.21 75.03 100.0%

Notes: Numbers may not sum precisely because of rounding. PMU = project management unit; SPA = Samoa Ports Authority. Source: Asian Development Bank.

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D. Allocation and Withdrawal of Grant Proceeds

Table 7: Allocation and Withdrawal of Grant Proceeds Number Item Total Amount Allocated for

ADB Financing ($) Basis for Withdrawal from the

Grant Account Category

1 Works, Equipment and Consulting Services**

62,260,000 100% of total expenditure claimed*

Total 62,260,000 *Exclusive of taxes and duties imposed within the territory of the Recipient. **Note “Condition of Withdrawals from Grant Account” as stipulated in the Schedule 2 of Grant Agreement.

E. Detailed Cost Estimates by Financier

Table 8: Detailed Cost Estimates by Financier ($ million)

Item ADB Government of Samoa Total Cost

A. Investment Costs Amount % of Cost Category Amount

% of Cost Category Amount

Taxes and Duties

1. Civil Works 37.48 87.0% 5.62 13.0% 43.11 5.62 a. Breakwater repairs 22.04 87.0% 3.31 13.0% 25.34 3.31

b. Port landside improvements (including x-ray facility) 15.45 87.0% 2.32 13.0% 17.76 2.32

2. Mechanical and Equipment 9.00 87.0% 1.35 13.0% 10.35 1.35 a. X-ray scanner 3.00 87.0% 0.45 13.0% 3.45 0.45 b. Tugboat 6.00 87.0% 0.90 13.0% 6.90 0.90

3. Consultants 4.37 83.3% 0.88 16.7% 5.25 0.88 a. Project manager 0.25 87.0% 0.04 13.0% 0.29 0.04 b. Environmental safeguards 0.25 87.0% 0.04 13.0% 0.29 0.04 c. Construction supervision 3.02 87.0% 0.45 13.0% 3.47 0.45 d. Project management unit (local staff) 0.24 100.0% 0.24 0.24

e. Green port policy practice manual 0.73 87.0% 0.11 13.0% 0.84 0.11

f. Support to SPA miscellaneous individual consultants 0.12 100.0% 0.12 0.02

Subtotal (A) 50.85 86.6% 7.85 13.4% 58.70 7.85

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Item ADB Government of Samoa Total Cost

A. Investment Costs Amount % of Cost Category Amount

% of Cost Category Amount

Taxes and Duties

B. Recurrent Costs 4. Equipment Maintenance a. X-ray scanner maintenance 1.66 100.0% 1.66 0.43

b. Tugboat maintenance 0.91 100.0% 0.91 0.24 Subtotal (B) 2.58 100.0% 2.58 0.67 Total Base Cost 50.85 83.0% 10.43 17.0% 61.28 8.52

C. Contingencies Physical (18.2%) 9.26 83.0% 1.90 17.0% 11.15 1.82

Price (3.58%) 2.15 83.0% 0.44 17.0% 2.59 0.42 D. Financing Charges During Implementation Total Project Cost (A+B+C+D) 62.26 83.0% 12.77 17.0% 75.03 10.76

ADB = Asian Development Bank; SPA = Samoa Ports Authority. Notes: Numbers may not sum precisely because of rounding. Source: Asian Development Bank.

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F. Detailed Cost Estimates by Outputs and/or Components

Table 9: Detailed Cost Estimates by Outputs and/or Components ($ million)

Item

Output 1 Output 2 Output 3 Output 4

Total Cost Amount

% of Cost

Category Amount

% of Cost

Category Amount

% of Cost

Category Amount

% of Cost

Category A. Investment Costs 1. Civil Works a. Breakwater repairs 25.34 25.34 b. Port landside improvements (including x-ray facility) 17.76 16.11 1.65 2. Mechanical and Equipment a. X-ray scanner 3.45 3.45 b. Tugboats 6.90 6.90 3. Environment and Social Mitigation a. Relocation of private service providers 4. Consultants a. Project manager 0.29 0.12 40% 0.10 35% 0.04 15% 0.03 10%

b. Environmental safeguards 0.29 0.12 40% 0.10 35% 0.04 15% 0.03 10% c. Miscellaneous PMU personnel

c. Construction supervision 3.47 1.39 40% 1.39 40% 0.69 20% d. PMU (local staff) 0.24 0.10 40% 0.10 40% 0.05 20% e. Green port policy practice manual 0.84 0.84 f. Support to SPA miscellaneous individual consultants 0.12 0.05 40% 0.05 40% 0.02 0.2 Subtotal (A) 58.70 24.77 27.08 5.95 0.90 B. Recurrent Costs 5. Equipment Operation and Maintenance a. X-ray scanner maintenance 1.66 1.66 b. Tugboat maintenance 0.91 0.91 Subtotal (B) 2.59 0.91 1.66 Total Base Cost 61.28 25.68 27.08 7.62 0.90 Output cost as percentage of total base cost 41.9% 44.2% 12.4% 1.5%

PMU = project management unit; SPA = Samoa Ports Authority. Source: Asian Development Bank.

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G. Detailed Cost Estimates by Year

Table 10.1: Detailed Cost Estimates by Year (Disbursements) ($ million)

Item 2020 2021 2022 2023 A. Investment Costs

1. Civil Works a. Breakwater repairs 22.04 5.51 11.02 4.41 1.10

b. Port landside improvements (including x-ray facility) 15.45 7.72 5.41 2.32 2. Mechanical and Equipment a. X-ray scanner 3.00 3.00 b. Tugboats 6.00 1.20 4.80 3. Environment and Social Mitigation a. Relocation of private service providers 4. Consultants a. Project manager 0.25 0.11 0.11 0.03 b. Environmental safeguards 0.25 0.11 0.11 0.03 c. Construction supervision 3.02 1.51 1.51 d. PMU (local staff) e. Green port policy 0.73 0.55 0.18 d Support for SPA 0.12 0.09 0.03 Subtotal (A) 50.85 18.60 19.57 11.57 1.10 B. Recurrent Costs

5. Equipment Operation and Maintenance a. X-ray scanner maintenance b. Tugboat maintenance Subtotal (B) Total Base Cost 50.85 C. Contingencies

Physical 9.26 0.93 0.93 3.70 3.70 Price (3.58%) 2.15 0.22 0.22 0.86 0.86

D. Financing Charges During Implementation Total Project Cost (A+B+C+D) 62.26 19.74 20.71 16.14 5.67

PMU = project management unit; SPA = Samoa Ports Authority. Source: Asian Development Bank.

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Table 10.2: Detailed Cost Estimates by Year (Contract Awards) ($ million)

Item 2020 2021 2022 A. Investment Costs

1. Civil Works a. Breakwater repairs 22.04 22.04 b. Port landside improvements (including x-ray facility) 15.45 15.45 c. Implementation of green port initiatives 2. Mechanical and Equipment a. X-ray scanner 3.00 3.00 b. Tugboats 6.00 6.00 3. Environment and Social Mitigation a. Relocation of private service providers 4. Consultants a. Project manager 0.25 0.25 b. Environmental safeguards 0.25 0.25 c. Construction supervision 3.02 3.02 d. PMU local staff e. Green port policy 0.73 0.73 f. Support for SPA 0.12 0.12 Subtotal (A) 50.85 50.85

B. Recurrent Costs 5. Equipment Operation and Maintenance a. X-ray scanner maintenance b. Tugboat maintenance Subtotal (B) Total Base Cost 50.85 50.85

C. Contingencies Physical 9.26 6.48 2.78 Price (3.58%) 2.15 1.51 0.65

D. Financing Charges During Implementation Total Project Cost (A+B+C+D) 62.26 58.84 3.42

PMU = project management unit; SPA = Samoa Ports Authority. Source: Asian Development Bank.

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H. Contract and Disbursement S-Curve

8. Contract and disbursement projections are in Figure 1.

Figure 1: Contract and Disbursement S-Curve

Contract Awards (in US$ million) Disbursements (in US$ million) Q1 Q2 Q3 Q4 Total Q1 Q2 Q3 Q4 Total 2019 0.000 0.000 2020 0.979 55.579 0.000 0.250 56.808 0.351 0.968 2.105 4.610 8.034 2021 5.452 0.000 0.000 0.000 5.452 5.263 4.057 3.757 3.799 16.875 2022 0.000 8.331 3.508 4.671 8.134 24.644 2023 0.000 3.483 4.081 5.142 0.000 12.707

Total Contract Awards: 62.260 Total Disbursements: 62.260

0

10

20

30

40

50

60

70

Cumulative Disbursement Cumulative Contract awards

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I. Fund Flow Diagram

9. A Funds Flow diagram is in Figure 2.

Figure 2: Funds Flow

ADB = Asian Development Bank; EA = executing agency; IA = implementing agency; VAGST = value-added general services tax; WA = withdrawal application. Source: Asian Development Bank.

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V. FINANCIAL MANAGEMENT

A. Financial Management Assessment

10. The financial management assessment (FMA) was conducted in 2018–2019 in accordance with ADB’s Technical Guidance Note for Financial Management Assessment (2015). The FMA considered the capacity of the Samoa Ports Authority (SPA) and the Ministry for Revenue (MFR), including funds flow arrangements, staffing, accounting and financial reporting systems, financial information systems, and internal and external auditing arrangements. Pre-mitigation financial management risk has been assessed as substantial. Based on the assessment, the key financial management risks identified are (i) SPA’s lack of experience as an implementing agency for ADB projects; (ii) incorrect accounting practices on the treatment of government grants, divestment of previously vested assets including the transfer of borrowings for the said investments; (iii) lack of explicit demarcation of the internal audit reporting structure to ensure functional reporting through the Audit Committee to the Board and administrative reporting to the Chief Executive Officer (CEO); (iv) extensive use of off-system spreadsheets in the preparation of financial statements. For MFR, the financial management risk is that it has no experience as an implementing agency for ADB projects. It is concluded that the overall pre-mitigation financial management risk of SPA and MFR is substantial for SPA and low for MFR. An advance fund will be held within the Ministry of Finance (MOF) for the purpose of withholding taxes and project management expenses. The SPA and MFR have agreed to implement an action plan as key measures to address the deficiencies. The financial management action plan is provided in Table 11. 11. Samoa Ports Authority. The SPA’s financial management structure is adequate to handle the financial aspects of the project. The Finance Division, headed by a Finance Manager, has 13 personnel positions that perform accounting, reconciliation, financial reporting, payroll management, asset management and inventory, payables and receivables, and treasury functions. Responsibilities are segregated. SPA is considering replacing its current QuickBooks software in order to limit the current use of spreadsheets off-system, which are time-consuming and prone to error. SPA prepares its financial statements using the International Financial Reporting Standards following the fiscal year from 1 July to 30 June of the following year. The Finance Division is also tasked with the consolidation of budget submissions which is presented to SPA Management for deliberation and approval. A separate Internal Audit Division performs the functions of financial audit, systems and assets audit, quality assurance, and compliance checks. 12. A review of SPA’s annual reports shows that the SPA registered losses for the years 2014 and 2015 but reported net income in 2016. The losses relate to the divestment of two domestic wharves to the Samoa Shipping Corporation which were originally vested by the government with SPA. The SPA has successfully requested staged increases in the tariff for a cumulative 25% increase over 5 years, an annual 5% increase starting 2015. By end 2016, SPA has implemented a cumulative 10% tariff increase. The SPA will continue further tariff increases until after the improvement to the ports under the project is completed. 13. Audit opinion issued by Samoa Audit Office (SAO) for SPA’s financial statements from 2013–2017 were unqualified. The audit reports referred to the loss incurred by SPA in 2015 which also reduced working capital. However, SPA’s business model as reflected by its earning before

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tax, interest, depreciation and amortization (EBITDA) has been strong and the loss was due to non-operating events beyond its control. 2 14. Ministry for Revenue. The MFR will implement the component relating to the provision of the container x-ray scanner. A financial management assessment of MFR has been conducted. Being a government office, the MFR’s financial systems are identical to that of MOF. There were two divisions handling financial matters: The Revenue Division in charge of collecting fees from MFR’s customs operations and turns over the funds collected to the Ministry of Finance. The other division (Finance Division) handles MFR’s operational budget and finance. The Finance Division, headed by an Assistant CEO, has four financially qualified personnel positions that perform accounting, reconciliation, payroll management, asset management and inventory, and budget preparation. There is no separate audit of MFR’s operations as they are included in the Whole of Government audit being done by the SAO. There are also no separate financial statements being prepared by MFR as the MOF handles the consolidated accounts. MFR uses Finance One to account for its transactions which also has the capability of generating timely reports. 15. Similar to SPA, MFR has not implemented a foreign-funded project and, therefore, is not familiar with ADB’s disbursement processes. However, with MFR being a government office, MOF would be actively involved in project-related activities. The risk to financial management is mitigated by the fact that SPA has in-house staff with experience in the ADB process through her previous ADB projects in the Electric Power Corporation 16. The SPA was informed that separate accounts for the projects should be maintained to clearly identify funds received and expended for the project. The Finance Manager gave confirmation that this could be accommodated under their current financial systems. ADB’s requirements on the submission of audited project financial statements have been discussed with the MOF, SPA, and MFR. In addition, SPA’s staff has been informed that ADB will request the submission of the annual financial statements of SPA operations because SPA is a state-owned enterprise. Accordingly, SPA should ensure that budget provision is made to finance the mandatory independent audits by SPA. Project funds may also be used for this expenditure. SPA made available the SPA Annual Reports for 2013–2017.The latest SPA statement is still being audited. 17. Following are the financial management risks identified and proposed mitigation actions. in the current financial management structure under which the project will be implemented:

Table 11: Risk Assessment and Management Plan – SPA Risk Type Risk

Assessment Risk Description Mitigation Measures Timing 1. Entity specific

risk M SPA has not been an

implementing agency for an ADB project

The recently recruited Finance Manager of SPA has experience with ADB procedures in her previous organization. Training was provided to MOF, SPA and MFR in Q1 2019 on ADB’s financial management requirements. Further training on ADB’s disbursement procedures will be provided in Q3 2019.

Completed.

2. Internal audit S Separate unit with Audit Committee which meets

The Internal Audit should report functionally to the Board through the

Within 6 months of loan effectiveness.

2 Loss of assets due to the Tsunami of 2009, de-vesting of assets under government directive.

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Risk Type Risk Assessment Risk Description Mitigation Measures Timing

quarterly. Organization Chart not explicit on demarcation of reporting lines.

Audit Committee and administratively to management. As an interim measure, the audit committee is encouraged to hold meetings with the head of internal audit, without management present, at least once annually.

3. External audit H Material accounting treatment deficiencies not identified and corrected. In addition, SPA uses QuickBooks and extensive use of off-system spreadsheets by SPA which is prone to error.

SPA will adjust the financial statements within the first year of the grant approval to rectify identified material accounting deficiencies. SPA will procure a new integrated financial management information system which will reduce off-system spreadsheet use. Project will be audited separately by an auditor acceptable to ADB and Government of Samoa similar to other ADB projects in-country.

Prior to grant disbursement.

4. Information systems

S SPA uses QuickBooks. However, extensive use of off-system spreadsheets by SPA

Engage a local accounting firm/adviser to re-design the reporting formats, populate the fixed assets module and upload the budget to make comparisons with actual on-system.

Within first year of project implementation

5. Reporting and monitoring

M Monthly, quarterly and annual reporting on-time. Formats must be improved to show operational results separate from financing and other adjustments.

SPA to separate expenditure into operational, financing and others

Within first year of project implementation.

ADB = Asian Development Bank; H = high; MFR = Ministry for Revenue; MOF = Ministry of Finance; M = moderate; Q = quarter; S = substantial; SPA = Samoa Ports Authority. Source: Asian Development Bank.

Table 12: Risk Assessment and Management Plan – MFR

Risk Type Risk Assessment Risk Description Mitigation Measures Timing

1. Entity specific risk

M MFR has not been an implementing agency for an ADB project.

SPA will host the project management unit with necessary expertise. Training was provided to MOF, SPA and MFR in Q1 2019 on ADB’s financial management requirements. Further training on ADB’s disbursement procedures will be provided in Q3 2019.

Completed.

ADB = Asian Development Bank; MOF = Ministry of Finance; MFR = Ministry for Revenue; M = moderate; Q = quarter; SPA = Samoa Ports Authority. Source: Asian Development Bank.

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B. Disbursement

1. Disbursement Arrangements for ADB Funds

18. The grant proceeds will be disbursed in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time), 3 and detailed arrangements agreed upon between the government and ADB. MOF confirmed that the grant will be made available as grant to SPA and MFR. Online training for project staff on disbursement policies and procedures is available. 4 Project staff are encouraged to avail of this training to help ensure efficient disbursement and fiduciary control. 19. Advance fund procedure. An advance account would be established and maintained by the executing agency (Ministry of Finance). The currency of the advance account is the US dollar. The advance account is to be used exclusively for ADB’s share of eligible expenditures. The executing agency (EA) who administers the advance account is accountable and responsible for proper use of advances to the advance account. The Advance Account will be managed by MOF.

20. The total outstanding advance to the advance account shall not exceed the estimate of ADB’s share of expenditures to be paid through the advance account for the forthcoming six months. The EA may request for initial and additional advances to the advance account based on an estimate of expenditure sheet 5 setting out the estimated expenditures to be financed through the account for the forthcoming six months. Supporting documents shall be submitted to ADB or retained by the EA in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time) when liquidating or replenishing the advance account.

21. Statement of expenditure procedure.6 The SOE procedure may be used for reimbursement of eligible expenditures or liquidation of advances to the advance account. The ceiling of the SOE procedure is the equivalent of $100,000 per individual payment. Supporting documents and records for the expenditures claimed under the SOE should be maintained and made readily available for review by ADB's disbursement and review missions, upon ADB's request for submission of supporting documents on a sampling basis, and for independent audit. Reimbursement and liquidation of individual payments in excess of the SOE ceiling should be supported by full documentation when submitting the withdrawal application to ADB.

22. MOF has a separate unit responsible for aid coordination and debt management, headed by an Assistant CEO reporting to the CEO of MOF. This unit manages Advance Accounts for all projects in the country and is also ensures that documentation such as withdrawal applications from the implementing agencies are accurate and complete prior to submission to the relevant agency. Therefore, it is assessed that the MOF has the capacity to administer the Advance Account. Although SPA and MFR are new to ADB projects, financial management capacity is adequate to administer SOE procedures. Furthermore, training on ADB’s disbursement procedures will be provided to SPA and MFR in Q3 2019.

3 The handbook is available electronically from the ADB website (http://www.adb.org/documents/ loan-disbursement-

handbook 4 Disbursement eLearning. http://wpqr4.adb.org/disbursement_elearning 5 Estimate of expenditure sheet is available in Appendix 8A of ADB’s Loan Disbursement Handbook (2017, as

amended from time to time), 7 The CPD facilitates online submission of withdrawal applications to ADB, resulting in faster disbursement. The forms

to be completed by the Borrower are available online at https://www.adb.org/documents/client-portal-disbursements-guide.

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23. Before the submission of the first withdrawal application, the borrower should submit to ADB sufficient evidence of the authority of the person(s) who will sign the withdrawal applications on behalf of the government, together with the authenticated specimen signatures of each authorized person. The minimum value per withdrawal application is stipulated in the Loan Disbursement Handbook (2017, as amended from time to time). Individual payments below such amount should be paid (i) by the EA and subsequently claimed to ADB through reimbursement, or (ii) through the advance fund procedure, unless otherwise accepted by ADB. The borrower should ensure sufficient category and contract balances before requesting disbursements. Use of ADB’s Client Portal for Disbursements (CPD) 7system is encouraged for submission of withdrawal applications to ADB.

24. No withdrawals shall be made from the Grant Account until (a) MFR and SPA have duly executed and delivered the Lease Agreement for the new customs examination facility, in form and substance acceptable to ADB, and all conditions precedent to its effectiveness have been fulfilled or arrangements satisfactory to ADB have been made for the fulfilment thereof within a period of time satisfactory to ADB; (b) SPA’s board of directors has (i) passed a resolution establishing the Reserve Fund; and (ii) approved operational rules for the Reserve Fund, acceptable to ADB, specifying the annual appropriations from earnings, the investment policy for the Reserve Fund and restriction on the use of the proceeds of the Reserve Fund; and (c) MFR has obtained cabinet approval to institute the Cost Recovery Charge.

2. Disbursement Arrangements for Counterpart Fund

25. Procedures for disbursements and liquidation of government funds will follow the Public Finances (Management) Act 1995, the Financial Management Manual and Finance Instructions. The government contribution to project costs will be budgeted by the EA for in each project year with necessary funds placed in dedicated project account or advance account to be established for the government counterpart funds at the beginning of the financial year to cover project expenditures. Disbursement projections will be calculated by the project management unit (PMU). Government will specifically provide funds to finance VAGST and make payment of the billed amounts to the suppliers of goods and services. Withholding tax will be deducted for the billed amounts by the EA in accordance government regulations and paid to MFR. Withholding tax is an eligible expenditure to be financed by ADB and may be paid from the advance account or otherwise by reimbursement procedures.

C. Accounting

26. The MOF, through PMU, will maintain or cause to be maintained, separate books and records by funding source for all expenditures incurred under the project. SPA project accounts will be in accordance with the accrual based International Financial Reporting Standards as adopted by SPA and MFR project accounts will follow cash-based accounting system following the government’s financial regulations, which are in accordance with cash-basis International Public Sector Accounting Standards. The EA through PMU will prepare separate project financial statements for the SPA and MFR in accordance with the government’s accounting laws and regulations which are consistent with international accounting principles and practices.

7 The CPD facilitates online submission of withdrawal applications to ADB, resulting in faster disbursement. The forms

to be completed by the Borrower are available online at https://www.adb.org/documents/client-portal-disbursements-guide.

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D. Auditing and Public Disclosure

27. MOF, through PMU, will cause the detailed project accounts to be audited in accordance with International Standards on auditing by an auditor acceptable to ADB. The audited accounts will be compiled and submitted in the English language to ADB by MOF through PMU within 6 months of the end of the fiscal year. The EA, in consultation with Auditor General’s Office will appoint the external auditors to audit the project financial statements. The audited project financial statements together with the auditor’s opinion will be presented in the English language to ADB within 6 months from the end of the fiscal year by the EA. For SPA, the audited entity financial statements, together with the auditor’s report and management letter, will be submitted in the English language to ADB within 1 month after their approval by the relevant authority.

28. MOF will cause the detailed consolidated project accounts to be audited in accordance with International Standards on auditing or by an auditor acceptable to ADB. The audited accounts will be submitted in the English language to ADB by the EA within 6 months of the end of the fiscal year. Compliance with project financial reporting and auditing requirements will be monitored by review missions and during implementation and will be followed up regularly will all concerned including the external auditor. The audited entity financial statements, together with the auditor’s report and management letter, will be submitted in the English language to ADB within 1 month after their approval by the relevant authority.

29. The audit report for the project financial statements will include a management letter and auditor’s opinions, which cover (i) whether the project financial statements present an accurate and fair view or are presented fairly, in all material respects, in accordance with the applicable financial reporting standards; (ii) whether the proceeds of the grant were used only for the purpose(s) of the project; and (iii) whether the borrower or EA was in compliance with the financial covenants contained in the legal agreements (where applicable). 30. Compliance with financial reporting and auditing requirements will be monitored by review missions and during normal program supervision, and followed up regularly with all concerned, including the external auditor. 31. The government, EA, and implementing agencies have been made aware of ADB’s approach to delayed submission, and the requirements for satisfactory and acceptable quality of the audited project financial statements. 8 ADB reserves the right to require a change in the auditor (in a manner consistent with the constitution of the borrower), or for additional support to be provided to the auditor, if the audits required are not conducted in a manner satisfactory to ADB, or if the audits are substantially delayed. ADB reserves the right to verify the project's financial

8 ADB’s approach and procedures regarding delayed submission of audited project financial statements:

(i) When audited project financial statements are not received by the due date, ADB will write to the executing agency advising that (a) the audit documents are overdue; and (b) if they are not received within the next 6 months, requests for new contract awards and disbursement such as new replenishment of advance accounts, processing of new reimbursement, and issuance of new commitment letters will not be processed.

(ii) When audited project financial statements are not received within 6 months after the due date, ADB will withhold processing of requests for new contract awards and disbursement such as new replenishment of advance accounts, processing of new reimbursement, and issuance of new commitment letters. ADB will (a) inform the executing agency of ADB’s actions; and (b) advise that the loan may be suspended if the audit documents are not received within the next 6 months.

(iii) When audited project financial statements are not received within 12 months after the due date, ADB may suspend the loan.

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accounts to confirm that the share of ADB’s financing is used in accordance with ADB’s policies and procedures. 32. Public disclosure of the audited project financial statements, including the auditor’s opinion on the project financial statements, will be guided by ADB’s Access to information Policy 2018. 9 After the review, ADB will disclose the audited project financial statements and the opinion of the auditors on the project financial statements no later than 14 days of ADB’s confirmation of their acceptability by posting them on ADB’s website. The management letter, additional auditor’s opinions, and audited entity financial statements will not be disclosed.

VI. PROCUREMENT AND CONSULTING SERVICES

A. Advance Contracting

33. All advance contracting will be undertaken in conformity with ADB Procurement Guidelines (2015, as amended from time to time) and ADB’s Guidelines on the Use of Consultants (2013, as amended from time to time). The issuance of invitations to bid under advance contracting will be subject to ADB approval. The borrower, executing and implementing agencies have been advised that approval of advance contracting does not commit ADB to finance the project. 34. Advance contracting. Advance contracting, to include the preparation of tender documents, shortlisting (of consultants only), issuance of bidding documents, receipt and evaluation of bids shall be undertaken for the following project components:

(i) Port and breakwater civil works (ii) Procurement of container x-ray scanner (iii) Procurement of tugboat (iv) Recruitment of construction supervision consultant (v) Piloting green port initiative

B. Procurement of Goods, Works, and Consulting Services

35. All procurement of goods and works will be undertaken in accordance with ADB’s Procurement Guidelines (2015, as amended from time to time).10 36. International competitive bidding procedures will be used for civil and building works contracts estimated to cost $3 million or higher and goods contracts valued at $1,000,000 or higher. Shopping will be used for contracts for procurement of works and equipment worth $300,000 or less. Electronic procurement, such as Tenderlink, may be used for single-stage one envelope procurement subject to ADB’s approval. 37. A project procurement risk assessment concluded that SPA and MFR have limited experience with procurement of major development partner-financed projects and little or no resources for preparation of the technical aspects of bidding documents or supervision of contracts. However, in mitigation of this risks, it is noted that:

(i) through the project design advance, additional technical and procurement assistance has been provided to SPA and MFR to cover detailed design, bid document preparation and

9 ADB. 2018. Access to Information Policy. Manila. 10 Due consideration will be given to Samoa’s procurement regulations to the extent that these regulations do not

conflict with ADB’s Procurement Guidelines (2015, as amended from time to time) and Guidelines on the Use of Consultants (2013, as amended from time to time).

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procurement support, with further targeted support of the construction supervision consultant to be provided during contract implementation;

(ii) the PMU will provide additional support and oversight to the project throughout its implementation; and

(iii) all procurement packages will be issued using ADB standard bidding documents and shall be subject to prior review by ADB in accordance with the ADB Procurement Guidelines (2015, as amended from time to time) and the Guidelines for the Use of Consultants (2013, as amended from time to time).

38. Since June 2018, under the Project Design Advance supporting this project, Beca International Consultants Ltd (Beca) was competitively engaged to undertake the detailed design of the main civil works portion of the project (breakwater and port rehabilitation). As part of the increased flexibility afforded to the delivery of the projects in the Pacific, the advertised request for proposal (RFP) for the detailed design stage included a provision, whereby the engaged firm could be direct contracted for the construction supervision stage of the project, upon satisfaction of certain conditions. Therefore, subject to satisfactory performance, availability of suitably qualified and experienced staff and receipt of an acceptable proposal, the EA will directly engage, via single source selection, Beca as the construction supervision consultant responsible to oversee the construction of the main civil works components of the project. 39. All consultants will be recruited according to ADB’s Guidelines on the Use of Consultants (2013, as amended from time to time). The terms of reference for all consulting services are detailed in Section D.

40. An estimated 247 person-months (95 international, 152 national) of consulting services are required to (i) facilitate project management and implementation, and (ii) strengthen the institutional and operational capacity of the EA. 41. During the fact-finding mission in April 2019, the Government requested ADB support to jointly recruit all consulting services packages required under the project. A delegation matrix outlining the responsibilities of government and ADB for consultant selection has been provided by the recipient. ADB will support the recruitment process including the advertisement, tender, and evaluation stages. Government will remain responsible for negotiating and signing the consulting services contracts. 42. An 18-month procurement plan indicating thresholds and review procedures, goods, works, and consulting service contract packages is contained in Section C.

C. Procurement Plan

PROCUREMENT PLAN

Basic Data Project Name: Enhancing Safety, Security, and Sustainability of Apia Port Project Number: 47358-002 Approval Number: TBD Country: Independent State of Samoa Executing Agency: Ministry of Finance

Project Procurement Classification: Category B Implementing Agencies: Samoa Ports Authority and Ministry for Revenue (x-ray scanner and container examination facility) Project Procurement Risk: Low to moderate

Project Financing Amount: $75.03 million ADB Financing: $62.26 million Cofinancing (ADB Administered): None

Project Closing Date: 31 March 2024

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Non-ADB Financing: $12.77 million Date of First Procurement Plan: 8 April 2019 Date of this Procurement Plan: 31 July 2019

1. Methods, Thresholds, Review and 18-Month Procurement Plan

a. Procurement and Consulting Methods and Thresholds

43. Except as the Asian Development Bank (ADB) may otherwise agree, the following process thresholds shall apply to procurement of goods and works.

Procurement of Goods and Works Method Threshold Comments

International Competitive Bidding for Goods US$ 1,000,000 and Above Prior Review National Competitive Bidding for Goods Between US$ 300,001 and US$

999,999 First subject to prior review, post review thereafter

Shopping for Goods Up to US$ 300,000 Post Review International Competitive Bidding for Works US$ 3,000,000 and Above Prior Review National Competitive Bidding for Works Between US$ 300,001 and US$

2,999,999 First subject to prior review, post review thereafter

Shopping for Works Up to US$ 300,000 Post Review

Consulting Services Method Comments

Quality and Cost Based Selection A quality/cost ratio of 90:10 will be applied for consulting firm recruitment

Single Source Selection See paragraph 38 of the PAM for further details Individual Consultants Selection

PAM = project administration manual. Source: Asian Development Bank.

b. Goods and Works Contracts Estimated to Cost $1 Million or More

44. The following table lists goods and works contracts for which the procurement activity is either ongoing or expected to commence within the next 18 months.

Package Number

General Description

Estimated Value (US$

million)

Procurement Method

Review (Prior/ Post)

Bidding Procedure

Advertisement Date

(quarter/year) Comments

ESSSAP-W-01

Landside civil works and breakwater repair

43.1 ICB

Prior 1S1E Q4 2019 Advertising: International AC: Yes eGP: TBC SBD: Large Works

ESSSAP-G-01

X-ray scanner

3.5 ICB Prior 1S1E Q3 2019 Advertising: International AC: Yes eGP: TBC SBD: Goods

ESSSAP-G-02

Tugboat 6.9 ICB Prior 1S1E Q3 2019 Advertising: International AC: Yes eGP: TBC SBD: Goods

AC = advance contracting; DPA = domestic preference applicable; eGP = electronic procurement; ICB = international

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competitive bidding; NCB = national competitive bidding; PQ = prequalification of bidders; Q = quarter; SBD = standard bidding document; TBC = to be confirmed. Source: Asian Development Bank.

c. Consulting Services Contracts Estimated to Cost $100,000 or More

45. The following table lists consulting services contracts for which the recruitment activity is either ongoing or expected to commence within the next 18 months.

Package Number

General Description

Estimated Value (US$

million)

Recruitment Method

Review (Prior/ Post)

Advertisement Date

(quarter/year)

Type of Proposal Comments

ESSSAP-CS-01

Construction supervision

3.5 SSS Prior Q3 2019 FTP Type: Firm Assignment: International QCR: 90/10 AC: Yes eGP: CMS

ESSSAP-CS-02

Pilot green port initiative

0.8 QCBS Prior Q3 2019 FTP Type: Firm Assignment: International QCR: 90/10 AC: Yes eGP: CMS

AC = advance contracting; CMS = consultant management system; FTP = full technical proposal; Q = quarter; QCBS = quality and cost-based selection; QCR = quality/cost ratio; SSS = single source selection. Source: Asian Development Bank.

d. Goods and Works Contracts Estimated to Cost Less than $1 Million

and Consulting Services Contracts Less than $100,000 (Smaller Value Contracts)

46. The following table lists smaller-value goods, works and consulting services contracts for which the activity is either ongoing or expected to commence within the next 18 months.

Consulting Services

Package Number

General Description

Estimated Value (US$)

Number of

Contracts

Recruitment Method

Review (Prior/ Post)

Advertisement Date

(quarter/year)

Type of Proposal Comments

ESSSAP-CS-03

Project manager – PMU (National)

290,000 1 ICS Prior Q4 2019 Type: Individual Assignment: National AC: Yes eGP: CMS

ESSSAP-CS-04

Gender and social safeguards (National)

290,000 1 ICS Prior Q4 2019 Type: Individual Assignment: National AC: Yes eGP: CMS

ESSSAP- CS-05

Project implementation consultant

120,000 1 ICS Prior Q4 2019 Type: Individual

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ICS = international consulting services; CMS = consultant management system; PMU = project management unit; SSS = single source selection; Q = quarter. Source: Asian Development Bank.

2. Non-ADB Financing

47. The following table lists goods, works and consulting services contracts over the life of the project, financed by Non-ADB sources.

Goods and Works

General Description Estimated Value (US$

million)

Estimated Number of Contracts

Procurement Method Comments

5-year maintenance for x-ray scanner 1.66 1 TBC

TBC

5-year maintenance for tugboat 0.91 1 TBC

TBC

TBC = to be confirmed. Source: Asian Development Bank.

D. Consultant's Terms of Reference

1. Firm - Construction Supervision Consultants

48. Construction supervision. The consulting firm will assume the powers and authorities of the Engineer, subject to such limitations as may be specified in the construction contracts. The general conditions of contract for the main civil works contract will be the Conditions of Contract for Construction for Building and Engineering Works Designed by the Employer, Multilateral Development Bank Harmonized Edition, prepared by the Fédération Internationale des Ingénieurs-Conseil (FIDIC) (FIDIC MDB Harmonized Construction Contract) available at FIDIC MDB June 2010. 49. Contract administration and supervision services will include but not necessarily be limited to:

i. Ensure the contractor is made aware of the approvals required under national laws and regulations for each source or quarry proposed by it prior to extraction of any materials. Review applications prepared by the Contractor for such approvals, but not limited to, development consent for each source or quarry, and quarry permits for each source or quarry.

ii. Providing advice to the contractor on relevant national laws and regulations as required during contractor’s preparation of the construction environmental management plan (CEMP).

iii. Approving, upon receipt of satisfactory, contractor's work program, method statements, plans for obtaining material sources, CEMP11 and health and safety plan and materials extraction and management plan(s).

iv. Approving and/or issuing working drawings, approving the setting out of the works, and giving instructions to the contractor.

v. Reviewing the quality control programs of the contractor. 11 If required, the consultant may need to provide support to the contractor in preparation of a suitable CEMP.

Assignment: International AC: Yes eGP: CMS

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vi. Certify invoices, support preparation of withdrawal applications and keep records of any disbursement under the contract. Prepare and regularly update the forecast disbursement schedules.

vii. Inspecting materials and works to ensure compliance with specifications and giving immediate notice to the contractor in the event that such materials and works fail to comply with the specifications.

viii. Identify any problem areas during contract implementation, proposing remedial actions, and promptly report any outstanding issues to PMU/SPA.

ix. Conduct field visits and appropriate tests of port facilities at regular and appropriate times during construction, testing and commissioning.

x. Regularly inspecting and reporting on construction activities to ensure the approved CEMP is being implemented and providing notices to the Resident Engineer to issue corrective action requests for non-compliances as required. This will require preparing suitable checklists and monitoring forms that will be completed during the inspections and included in the progress and semi-annual safeguards monitoring reports.

xi. Accepting or rejecting any part or parts of the completed works. xii. Making measurements and keeping measurement records. xiii. Maintaining records, correspondence, and diaries detailing activities and conditions on

the site on a daily basis. xiv. Certifying work volume and interim certificates for progress payments. xv. Certifying completion of part or all of the works. xvi. Assisting the Employer in preparing withdrawal applications for contractor payments. xvii. Monitoring of each contract’s costs. xviii. Reviewing and recommending to the Employer variation orders, extensions of time,

claims, and other matters that may arise under the contracts. xix. Negotiating with the contractor and recommending to the Employer the rates for any

unscheduled items of work that may arise. xx. Advising the Employer's representative on all matters relating to the execution of the

works; and assisting the representative with processing the contractor's possible claims.

xxi. Preparing, at the completion of the contract, a consolidated project completion report in a format provided by ADB.

xxii. Checking and certifying as-built drawings for the works prepared by the contractor. xxiii. Inspecting the works at appropriate intervals during the defects liability period and

certifying the defects liability certificate for issuance by the Employer's representative. xxiv. Providing the Employer with complete records, and inception, monthly, and completion

reports. xxv. Assisting the Employer to provide on-site training where required for the Employer's

field staff on quality assurance and contract administration. xxvi. In parallel to assisting the government procurement, provide on-the-job training on

construction supervision to the PMU and SPA staff. xxvii. Assist the Employer in ensuring a well-functioning and accessible grievance redress

mechanism for timely resolution of complaints during construction and facilitate the implementation of the consultation and communications plan.

xxviii. Assisting the Employer in preparing (i) safeguards inputs to quarterly progress reports and (ii) semi-annual safeguards monitoring reports for submission to the EA and ADB. Assisting with local disclosure of monitoring reports cleared for release. This includes provision of training to SPA staff and other relevant government departments and agencies.

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xxix. Assist the Employer in ensuring safeguards compliance during construction in line with the requirements of ADB Safeguard Policy System (SPS) 2019, the development consent (and any conditions therein) and national laws and regulations.

50. Materials testing. Testing of materials during construction shall be undertaken in an independent laboratory located in Samoa to be identified by the main civil works contractor. The type and frequency of testing shall be as specified in the bidding documents (as a minimum) and provision made for payment for the testing services will be included in the construction contracts. The supervising engineer will verify the performance of the independent laboratory and will be responsible for interpretation of the test results. 51. Implementation of wave monitoring system to manage swell. The consulting firm shall develop proposals for two initiatives intended to provide better information on swell conditions in Apia Port and reduce vessel movement at the wharf which in turn reduces productivity and safety. The first is a feasibility study of the relationship between the wave climate in the open sea outside the harbour and reef line and conditions close to the wharf which affect berthing and loading and unloading operations. This will require a study of the feasibility of a year’s long study of data from a waverider buoy at sea and one within the harbour, results from which can be correlated with handling problems at the wharf. The objective is to examine the feasibility of providing better information on likely wharf conditions based on a waverider buoy at the pilot boarding area, the readings from which the ships Master can relate to his visual observations and experience in deciding whether to enter the port. The second component is the evaluation of vessel and wharf based “intelligent” mooring and warp handling systems to assess whether they are likely to have a significant effect on vessel motion and are a cost-effective means of improving productivity during periods of swell in the wet season. The feasibility study will assess both the technical feasibility of both alternatives and the issues in there development in an isolated location such as Apia, where maintenance skills and spares are likely to be limited and which are served by relatively small vessels with small crews and narrow profitability margins which will be tested by the strengthened environmental regulations which are about to be introduced. 52. Personnel. The consulting firm will determine the number and the nature of experts required to achieve the objectives of these terms of reference, in accordance with their proposed approach and methodology. However, a minimum of four international key experts have been identified for Phase 2; one of who will be expected to act as team leader for the services. Table A.1 shows the key experts required for the construction supervision of the Project.

Table 13: Summary of Consulting Services Minimum Requirements (Key Experts) – Phase 2

Positions Minimum Person- Months International Engineer to the contract (Team Leader) 4 Resident Engineer 20 Works Inspector 18 Environmental Specialist 3 Wave Climate Expert 3 National Deputy Resident Engineer 20 Works Inspector 18 International or National Social Safeguards and Gender Specialist 3

Source: Asian Development Bank.

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53. Engineer to the contract (international). The consultant firm will nominate an individual with primary responsibility for undertaking the role of the Engineer to the contract. The individual nominated as the Engineer will have at least 20 years’ experience in the administration of civil engineering contracts including experience with the FIDIC suite of contracts. At least 10 years shall have been in the role of Engineer or Engineer’s Representative. The Engineer will preferably possess a degree in civil engineering or closely related subject. The Engineer is expected to be based in the home office and to visit the site at regular intervals to be continuously aware of the progress of the work and any contractual issues arising. 54. Resident engineer (international). The Resident Engineer will manage the construction supervision team on the site. He/she will undertake roles and responsibilities as may be delegated by the Engineer in accordance with the construction contract. The Resident Engineer shall have at least 15 years-experience in design and construction supervision of maritime works including land-side development. or closely related civil works. He/she will preferably possess a degree in civil engineering or a closely related subject. The Resident Engineer is expected to be based full time at the site i.e. resident in Apia. The responsibilities of the Resident Engineer are those listed in para. 48 above, to the extent that they have been delegated. 55. Deputy resident engineer (national). The consultant firm will engage a national Assistant Resident Engineer. He/she will assist the Resident Engineer in managing the supervision team and administering the contract. The Assistant Resident Engineer shall have at least 5 years post-graduate experience including contract administration experience. The Assistant Resident Engineer is expected to have sufficient experience to make a significant contribution to administration of the contract but should also be mentored by the consultant’s senior staff to facilitate knowledge building and transfer. 56. Works inspector (international). The Senior Works Inspector will monitor, supervise and report on the day-to-day activities of the Contractor on the site. The Senior Works Inspector will have at least 15 years-experience in a similar role, of which at least five years should have been related to implementation of maritime projects. The Senior Works Inspector will be based full-time on the site i.e. resident in Apia. The Senior Works Inspector will:

i. Keep daily records of all activities on the site; ii. Undertake physical inspections of contractor’s operations and works; iii. Ensure Contractor’s activities comply with its Construction Management Plan and

report non-compliance to the Resident Engineer; iv. Coordinate with geotechnical engineer to ensure all required sampling and testing is

undertaken; and v. All other activities in support of the Resident Engineer and geotechnical engineer.

57. Works inspector (national). The consultant firm will engage a national Works Inspector. He/she will assist the Resident Engineer and Works Inspector (international) in supervising the works. The Works Inspector (national) shall have at least 5 years’ experience including construction site works supervision. The Works Inspector (national) is expected to have sufficient experience to make a significant contribution to supervision of construction but should also be mentored by the consultant’s senior staff to facilitate knowledge building and transfer. 58. Site supervision team – other experts and non-key personnel. The consultant shall provide all experts and supporting staff including laboratory technicians, laboratory assistants, surveyors, draftspersons, administrative and office staff, drivers and the like necessary to support the key personnel.

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59. Environmental specialist (international or national with suitable expertise). The environmental specialist will be a core member of the supervision consultant. The specialist will be either an international or a national with suitable international experience. The specialist will have a degree in environmental science or planning or related field with at least 10 years of experience in environmental assessment and management including supervising environmental management plan (EMP) requirements of construction contracts in maritime or related projects. Experience in developing countries and in the Pacific is essential. The environmental specialist will work closely with the full-time environmental safeguards officer in SPA-PMU.

i. Ensure that required environmental safeguards (including requirements under the updated Codes of Environmental Practice) are implemented for the project;

ii. Assist SPA in applying to Planning and Urban Management Agency for development consent for the project as required by the Planning and Urban Management Act;

iii. Ensure that any conditions included in the development consent issued for the project are integrated into the bid and contract documents;

iv. Provide induction and/or training on the environmental management aspects of the project to SPA and PMU staff and the contractor;

v. Review, as required provide comments to strengthen, and advise the Resident Engineer when, the construction environmental management plan (CEMP) prepared by the contractor is satisfactory to be approved;

vi. Establish the environmental management system (EMS) for the project; vii. Assist, as required, the construction contractor to apply for permits and licenses as

required to comply with national laws and regulations (biosecurity and phytosanitary certificates, waste discharge permits, water management, permits or licenses for materials extraction etc.);

viii. Monitor and report on the compliance of the construction contractor with the development consent conditions and approved CEMP and complete monitoring checklists that will be compiled into quarterly progress reports and semi-annual safeguards monitoring reports;

ix. Prepare corrective actions requests, as required, for non-conformances, to be issued as instructions to the contractor by the Resident Engineer;

x. Coordinate and work with the PMU, contractor and supervision consultant to implement the project’s communications and consultation plan;

xi. Coordinate and work with the PMU, contractor and supervision consultant and other concerned stakeholders to implement the project’s grievance redress mechanism; and

xii. Provide guidance, as required, to other PMU or project-related staff on the environmental safeguard requirements of the project.

60. Social safeguards and gender specialist (international or national with suitable expertise). The supervision consultant will comprise social safeguards and gender specialist who will support the PMU and ensure that both country and ADB SPS requirements and gender targets are complied with during project implementation. The expert should have a degree in social science, gender and development studies or relevant field, and significant working experience. Main tasks include but are not limited to the following:

i. Undertake a gender audit and assessment of key plans and policies of SPA, to identify gaps that would promote more gender-responsive and sensitive approaches which could be adopted by SPA;

ii. Identify training and capacity building opportunities to assist in the career progression especially of women staff in technical and management roles. Identify recruitment strategies to encourage more women to apply in job vacancies;

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iii. Ensure that trainings to be implemented by the project will maximize women participation, set-up training register to help monitor training participation by staff and provide sex-disaggregated report;

iv. Ensure all contractors meet commitments to provide gender training (HIV/AIDs, gender, sexual exploitation and abuse, trafficking);

v. Develop an overall gender monitoring and evaluation framework for the project and assist in the implementation and monitoring of overall gender activities and targets and with the view to identifying any unanticipated social risks and/or sensitive gender impacts. If such risks and/or impacts eventuate, adjust, adapt, and/or develop project activities to implement appropriate mitigation measures including revision of gender targets/activities if required;

vi. Coordinate with the relevant staff of green port technical assistance and share information as required to assist in developing gender-sensitive green port policies and gender-sensitive emergency and disaster response plan;

vii. Assist in implementing the stakeholder and engagement plan and timely resolution of grievances and any concerns involving the project social safeguards working closely with the Social Safeguards and Gender Officer and other relevant staff;

viii. Assist the PMU and the contractor in setting-up and resolving grievances during project implementation including, but not limited to, communicating with concerned parties the grievances by the affected persons /communities, including women and vulnerable groups, conducting assessment on any social safeguards related concerns to help resolve issues/complaints;

ix. Assist in undertaking regular check and supervision of all the contractor’s compliance with social safeguards requirements and prepare corrective actions to address non-compliance, if any, during construction;

x. Inform SPA and PMU of any unanticipated resettlement impacts during construction and conduct field assessment to prepare required safeguards documents;

xi. Assist in preparing semi-annual gender and safeguards report and other necessary inputs for the monthly/quarterly progress report; and

xii. Provide training and capacity building to PMU/concerned government staff from SPA and MFR on gender mainstreaming and social safeguards.

61. Wave climate expert (key expert). The consultant should preferably have an advanced degree in Civil Engineering, Coastal Engineering, Oceanography or closely related field. The consultant shall preferably possess at least ten years’ experience in wave climate modelling and developing and/or implementing engineering solutions for harbour swell mitigation for offshore facilities and port and maritime infrastructure.

2. Individual Consultant - PMU Project Manager

62. PMU project manager. The Project Manager will support the CEO of the Samoa Ports Authority in leading the PMU, which will have overall responsibility for managing the implementation of the Samoa Port Development project activities under the project. The Project Manager will serve as the principal liaison with the partners of the project, including local authorities and the construction supervision firm, and community stakeholders. The assignment is expected to be for 21 months, commencing upon effectiveness of the project grant. 63. With reference to the PMU’s responsibilities highlighted in Table 3 of the PAM (to be provided as separate appendix during consultant selection), the Project Manager will report to the CEO of the Samoa Ports Authority with the following key roles and responsibilities.

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i. Provide day to day support to the consultant and supervise construction supervision consultant for contract administration;

ii. Plan, supervise and run all procurements under project from bid preparation, advertisement, evaluation to contract award;

iii. Track, update and monitor the status of relevant activities; iv. Manage contracts; v. Manage project accounts and prepare project financial statements; vi. Review and verify documents submitted by consultants; vii. Review the consultant’s invoices and submit withdrawal applications to ADB through

MOF; viii. Ensure that the project activities follow the Government and ADB’s policies and

requirements; ix. Prepare monthly progress reports and submit to MOF and ADB; x. Carry out field inspections to ensure that engineering designs are adequately

implemented; xi. Assist with review and approval of Government and ADB of any design changes in

scope of contracts during project implementation; xii. Supervise contractors and consultants works including carrying out periodic

performance audits to ensure quality control and core labour standards are met; xiii. Review and approve the contractor’s installation methodology and work plans; xiv. Review and endorse progress claims of the PDA consultant and the contractor; and xv. Coordinate with staff of PUMA in reviewing contractor consultant environmental plans,

carrying out regular audits and monitoring, and as required providing technical advice to the project implementation unit on ensuring compliance with environmental assurances under the project.

64. Qualifications and experience. The Project Manager should preferably possess the following qualifications and attributes:

i. Advanced University degree in civil engineering, environmental science, solid waste management, public health management, or related field;

ii. A minimum of 10 years progressively responsible experience in a similar role – specifically preferably in managing donor funded projects;

iii. In-depth knowledge and past experience in project design, project management and project implementation;

iv. Management skills and experience, including line management, management of other resources, evidence of capacity to support others;

v. Solid communication, interpersonal, negotiation and relation management skills and experience;

vi. Proven ability to work effectively in government sector and its development partners environments;

vii. Experience in leading projects and managing and supervising staff; viii. Experience in managing grants would be an advantage; and ix. Excellent command of written and oral English.

3. Individual Consultant - PMU Social Safeguards and Gender Officer

65. PMU social safeguards and gender officer (national, 9 person-months, intermittent). The expert will provide oversight to the social safeguards and gender activities and targets of the project. The expert should have a degree in social science, gender and social development and at least 3 years of relevant experience in gender mainstreaming and social safeguards, ideally in projects funded by international development agencies. The expert will report to the PMU project

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manager and work closely with the SPA assigned focal point on social safeguards and gender. Among the key roles include:

i. Provide overall direction and oversight on the work of the Social Safeguards and Gender Specialist from the Supervision Consultant to ensure that it’s properly align with the SPA and MFR expectations and all project activities are in compliance with ADB safeguards and gender policies and pertinent government laws including undertaking regular check and supervision of contractor’s compliance with social safeguards and gender requirements and preparation of corrective actions to address non-compliance, if any, during construction;

ii. Provide necessary inputs and information (existing plans and policies) and coordination to facilitate the work and timely outputs of the Social Safeguards and Gender Specialist with key staff from SPA and MFR and other relevant government agencies;

iii. Drive the progress of receiving SPA and MFR feedback and comments where its required on the overall gender targets/activities and any social safeguards issues, if any, during implementation;

iv. Set-up grievance redress mechanism and timely resolution of grievances during project implementation including, but not limited to, communicating with concerned parties the grievances by the affected persons /communities, including women and vulnerable groups;

v. Implement the project’s overall stakeholder communication and consultation plan especially dealing with the affected persons, civil society organizations and nongovernment organizations and other relevant stakeholders and ensure gender-inclusive participatory consultation such as with local women and men (in separate groups) and provide all the meeting minutes and documentation, working closely with relevant construction supervision team members;

vi. Finalize the preparation and submission of semi-annual gender and safeguards report and other safeguards plans, if required, to the government and ADB; and

vii. Participate in relevant capacity building trainings and assist in identifying staff especially women who should participate in trainings to be implemented by the project/construction Supervision.

4. Individual Consultant - PMU Project Implementation Expert

66. PMU project implementation expert (international, 6 person-months, intermittent). The consultant will provide expert advice to the PMU to ensure smooth interface between the different components of the project – The consultant shall possess minimum bachelor’s degree, minimum of 20 years of relevant professional experience in procurement, project management. S/he shall possess a wide range of experience in procurement and project management. Experience in overseeing maritime projects in the Pacific would be desirable. Experience in ADB procurement policies and guidelines is required. The consultant will report to the CEO of SPA and work closely with the all consultants involved in the project. Among the key roles include:

i. Providing strategic direction and oversight on progress of consultant recruitment and contract administration on all project components to ensure objectives of the project are met efficiently, and in accordance with the relevant ADB policies and guidelines.

ii. Ensuring efficient coordination between the different components to ensure successful implementation of the project including (a) effective monitoring of the reconstruction of the breakwater component to ensure its safe and timely completion (b) effective coordination on the construction timeline of the customs examination facility and delivery of the x-ray scanner, and to ensure the x-ray scanner can be successfully commissioned (c) timely delivery of the new tugboat (3) timely delivery of the

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multihazard disaster preparedness plan (4) timely recommendation of wave monitoring system and advising on efficient implementation strategy taking into consideration ongoing construction of the ports component.

iii. Support the PMU in troubleshooting during project implementation. iv. Provide on-the-job training and advice to SPA and MFR on contract administration.

5. Firm - Piloting Green Port Initiatives

67. Objectives of the capacity building component. The ADB is providing a grant for the project to improve the climate resilience, safety and efficiency of Apia Port through implementation of physical and non-physical components. In common with other ‘gateway ports’ in the Pacific, the ongoing environmental management (including health and safety) of the port could also be improved. Through the capacity development component of the grant, a specialized firm will be engaged to develop a gender-sensitive green port policy (GPP) and multihazard disaster preparedness plan for Apia Port. The key objective would be to reduce the impact of the port operations on the local and global environment and minimize impact on port operations after a disaster event. It is also an opportunity to ensure gender analysis is mainstreamed into green port principles and training and capacity building for the implementation of a ‘green port’ approach that is inclusive of women. 68. The component will also include strengthening procedures for meeting and reporting of requirements under international treaties and agreements signed by Samoa including monitoring the compliance of vessels calling at Apia Port with agreement for the control of emissions from vessels at sea. This will require the development of a gender-sensitive green port practice manual and procedures for monitoring compliance and environmental performance which will be embedded in the institutional structure of SPA in the same manner as financial, operational and safety controls. 69. The intention is that the component will not only provide guidance to the SPA on appropriate means of increasing efficiency, performance and safety at Apia Port while reducing environmental impact but will also act as a demonstration project to promote similar initiatives in other international gateway ports serving Pacific nations. 70. Scope and implementation. The component will be implemented in four stages:

(i) Stage 1 - Inception. Based on inception field visit, update and provide further details to the approach and methodology (and initial approach and methodology should already be provided as part of firm’s Technical Proposal). The consultant shall also prepare a concept report outlining the objectives and components of a gender-sensitive green port and multihazard disaster preparedness concept for small international ports such as Apia Port. For the green port component, a preliminary concept, as a starting point, has been prepared and is attached as Appendix 1. During the Inception Field Visit to SPA, support SPA in establishing a Green Port Initiative Working Group within the Government and ADB, chaired by SPA. The report at this stage should also include the proposed main report structure, and (ii) questionnaire to conduct performance audit interviews with key stakeholders on what are current operational challenges, current issues, current status on environment and safety operations at the port.

(ii) Stage 2 - Development. Subject to approval of the stage 1 report and recommendations, stage 2 of the study involves further development of the concept through audit of current performance in Apia against good international industry practice and requirements of international conventions, treaties and agreements

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ratified by the government, prepare a gender-sensitive green port practice manual and multihazard disaster preparedness plan for the SPA managers in Apia Port (including gender analysis and outlining opportunities for women’s training and employment) and identify sub-projects for implementation at Apia Port.

(iii) Stage 3 - Options and Prioritization. Subject to approval of the stage 2 report and recommendations, stage 3 of the study involves development of each sub-project to the pre-feasibility level assessment including the rationale, conceptual design and approach, description on the likely hardware or software that is required, training needs, likely risks, quantify and monetize (wherever feasible) costs and benefits, key stakeholders, and initial implementation plan shall be described. This is to enable SPA to make an informed decision on the sub-components to prioritize. At this stage, the consultant is also required to develop a prioritization framework and process, in consultation with the Green Ports Initiative Working Group, to map the short, medium- and long-term implementation of the sub-projects. The consultant shall assist SPA in organizing a workshop to discuss the findings and recommendations and collect feedback from key stakeholders to fine-tune the study outputs.

(iv) Stage 4 - Implementation, For the selected (at least 4) short to medium term sub-projects that are agreed by the Green Ports Initiative Working Group for implementation, fully develop the implementation plan for the sub-projects, and support SPA in its piloting implementation of the high-priority sub-projects. The consultant may be called upon to assist SPA in specifying and procuring small equipment (if required) and study (suitable for subsequent detailed study, design and procurement for the implementation) of the priority interventions which may include capacity development, regulatory, institutional or legal reform.

71. Detailed scope: Stage 1 - For the Green Port Component - Review the preliminary concept (Appendix 1) and agree with SPA and Ministry of Works, Transport and Infrastructure (MWTI) the main components of the green port initiative to be developed for Apia Port. Identify the key stakeholders to be involved in the process of developing the gender-sensitive GPP. This will include, but not be limited to, SPA, MWTI, Ministry of Women, Community and Social Development, Ministry of Natural Resources and Environment (MNRE), including Planning and Urban Management Authority, Chemical and Hazardous Waste Section, Solid Waste Management Section, and Division of Environment and Conservation (DEC),12 Ministry of Agriculture and Fisheries – Fisheries Division, Ministry for Revenue – Customs Division, Samoa Shipping Corporation, and civil society organizations. For the multihazard disaster preparedness plan. Based on discussions with SPA and relevant stakeholders, develop recommendations on disaster risk reduction measures and disaster preparedness planning for the port to function as a lifeline in the aftermath of an extreme event. Prioritization and recommended approach for disaster risk management (DRM) options which may include in the recommendations: (i) emergency response plan, (ii) oil-spill and marine pollution response plan, (iii) cyclone preparedness plan, (iv) port operations handbook, (v) port operations risk model, (vi) retrofitting of port infrastructure and suggestions for update of National Building Code, (vii) monitoring, evaluation and data collection, (viii) online database and geographic information system technology, and (ix) capacity development and training. The recommended approach shall also take into consideration assistance to local communities if the port facilities are temporarily out of use or a vessel is damaged, and oil is blown ashore. This can occur even with good design if a vessel is blown onto a wharf and sinks alongside or even (in the case of oil spill) due to malfunction

12 It will be particularly important to coordinate and consult with the DEC which has been working with MWTI to

undertake a risk assessment of oil spills and is also, in consultation with key national stakeholders, developing a National Oceans Strategy.

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of vessel steering in the approach channel. The gender composition of the communities shall be assessed, to ascertain whether particular genders/households etc. are particularly affected. The disaster risk management plans shall be gender-sensitive. 72. Stage 2 - Based on an initial literature review and experience on related projects, the preliminary concept developed (Appendix 1) has identified areas which could, based on initial information and experience elsewhere in the South Pacific, be included in the gender-sensitive GPP and green port practice manual for Apia Port. These are set out in Table 1 of Appendix 1 and include:

(i) Port operational efficiency (ii) Energy and water use (iii) Maritime water quality, including visiting vessel wastewater and ballast water

management (iv) Air quality (v) Solid waste management (vi) Noise reduction (vii) Light spillage (viii) Biosecurity and invasive/alien species control (ix) Impact of port traffic (x) Emergency environmental response and protection

73. The first item--port operational efficiency---is covered by the project design advance work which is assisting in preparation of the project and is being carried out by Beca consultants. The other items fall within the scope of this component. Gender analysis and opportunities for training and employment for women will be identified as part of this component. Detailed appraisal of maritime water quality impacts (Item 3) is to be confined to port-related discharges and emissions, but the consultants are also required to carry out a high-level desk study of existing data sources including the work undertaken for the JICA-financed Project for Enhancement of Safety at Apia Port (2014) and the preliminary environmental assessment report (PEAR) prepared for the Apia Port Development Project (2019). The consultants will review the overall water quality in Apia Harbour and the non-port sources of pollution which affect it to provide an initial guide as to what further studies which may need to be carried out under the Ministry of National Resources and Development to improve the overall harbour water quality. Elaborating on the DRM approach developed in Stage 1, undertake an appraisal of emergency environmental response and protection (Item 10) to also consider disaster preparedness of Apia Port. Recognizing the fact that disaster events can disrupt the functioning of the port, the appraisal process should: (i) analyze existing procedures (plans, standard operational procedures, human resources, finances etc.) in place by SPA to deal with disaster events; (ii) understand how disaster preparedness of critical infrastructure (such as Apia Port) features in Samoa’s wider disaster management plan; and (iii) propose concrete measures on how to improve disaster preparedness of Apia Port, including through improved contingency planning, and advanced contracting with private sector to deal with debris clearance and emergency construction, allocation of contingency budget to undertake annual preparedness measures (maintenance, drills, access to early warning). 74. The consultant should take account of the preliminary concept (Appendix 1) and the included references but not be constrained by them in preparing:

(i) A revised and updated list of the components of a gender-sensitive GPP for Apia, together with information on stakeholders, including responsible government ministries, regulatory bodies and commercial enterprises (e.g. shipping lines, private

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stevedores) and civil society organizations whose activities affect environmental performance under each of the items identified.

(ii) Baseline information for each item sufficient to allow an audit of current performance under each item to be carried out. This should include gender analysis, an assessment, estimated cost and TOR for any additional surveys of air and water quality and the benthic environment which may be required in addition to those provided by the MNRE, earlier JICA and ADB financed studies and reports.

(iii) A review of the current international treaty and agreement obligations of the government, SPA and MWTI under each of the items. This aspect should also identify any agreements, conventions or treaties the government may ratify in the future and what commitments and obligations would need to be met to comply.

(iv) A performance checklist and audit of current port shortfalls under each of the identified items. The checklist and audit will identify any gender issues and opportunities. The consultant will establish current (baseline) performance for each item and the targets and target dates for future performance to meet the stated and agreed green port objectives.

(v) A gender-sensitive green port practice manual covering all identified items suitable for use in Apia Port and including examples of best practice appropriate to ports of the size and nature of Apia. This element will include identifying current baseline performance for each item, targets for performance and monitoring and reporting procedures to establish progress towards the objectives.

75. In Stage 3, the consultant will undertake pre-feasibility level study and assessment for projects supporting improvements in the items to be determined as priority investments by SPA, MWTI and other stakeholders and agreed with ADB. 76. The deliverable from each study will be a report setting out the background analysis and conclusions and a description and preliminary costing of the remedial options (sufficient for subsequent feasibility study to be undertaken later as required).

(i) A study of cost-effective means of improving energy efficiency and reducing emissions for fixed and mobile equipment within the port, including that used by private stevedores. The study will include the possible use of electric and hybrid equipment and alternative sources of power and their impact on investment in fixed and mobile equipment.

(ii) A study of water use within the port, including alternative clean water sources (e.g. rainfall collection as an alternative to the use of public water supplies) and recycling for secondary uses. This element must take account of the findings in study 3) below.

(iii) A study of the impact of port activities (as distinct from visiting vessel activities) including ground-water contamination from leakage from equipment, vehicles and wastewater and run-off on marine water quality. The study will include means of reducing port-related contamination at source, prevention of the release of potentially contaminated water and required treatment prior to release. The study will also include an overview of wider harbour water quality taking account of existing reports and sources of data and emissions of from non-port sources. The options for remediation will be confined to port discharges and emissions. If further remediation is recommended, this will be elaborated upon discussion and agreement with responsible parties such as the MWTI and MNRE.

(iv) A study of the requirements to ensure compliance with obligations and commitments under international treaties and agreements which Samoa has signed or intends to sign protecting the marine environment and in particular, monitoring and regulating compliance with International Maritime Organization maritime pollution 2020 (IMO

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Marpol 2020) requirements by visiting vessels. This will require identifying training needs for port staff in inspection, monitoring and regulation related to protocols including but not limited to IMO Marpol 2020 (atmospheric sulphur emissions) the Ballast Water Management Convention 2004 (treatment of ballast water and limitations on releasing ballast water in Apia Harbour and Samoa Waters) and Marpol Annex V (1996) (solid waste and facilities for its disposal in Samoa).

(v) Review of the building maintenance program to ensure proper disposal of waste (including handling and disposal of asbestos containing material from demolished buildings) and the use of environmentally friendly materials in future repair work.

(vi) Development of the national plan for Emergency Environmental Protection Procedures for marine spill emergencies for the Port of Apia including the approaches and adjacent reefs to be in accordance with Pacific Islands Regional Marine Spill Contingency Plan (PACPLAN, 2013) requirements and proposals for the physical improvements in equipment provision, staff allocation and training. This component will also include port management procedures and staff training to handle emergencies including cyclones with warning periods measured in days, tsunamis, with warning periods in hours and earthquakes, where little or no notice is possible, and the protection of life rather than property is paramount. All these procedures are to be developed in coordination with the National Disaster Management Plan. The feasibility study will develop detailed proposals which will be implemented as a Stage 4 project. The scope does not include design standards for the impact of these events on permanent infrastructure which is part of the current Beca design studies.

77. Reporting phases. The scope of work is divided in the following general reporting phases (see also Section 9 - Key Outputs and Deliverables): 78. Initial mission and inception report. The consultant will undertake an initial mission to Samoa to obtain data on the selection and development of components of the gender-sensitive GPP, identify the stakeholders in each area and obtain stakeholder views and existing sources of data on environmental conditions and port policies and activities. Stakeholders should include women working in each area as well as women’s organizations and the Ministry of Women, Community and Social Development. This will lead to an Inception Report which will outline the approach to Stage 2 studies and deliverables in detail and provide an updated plan and work program for the remainder of the component.

79. Performance checklist, audit, green port practice manual, options for the improvement projects and midterm report. It will include any agreed additional environmental survey and data collection work and cover all the Stage 2 items, together with Options for the Stage 3 studies. The results will be presented in a mid-term report and at a Workshop to be held in Samoa at which the gender-sensitive green port practice manual and associated documents and the options for the initiatives to be the subject of the pre-feasibility level assessment and study will be presented for discussion and approval. 80. Key experts’ requirements. The following key experts are required:

Table 14: Key Experts

Position Minimum Qualifications and Requirements Team Leader Master’s degree in environmental planning, marine civil engineering or port planning and at least

10 years’ experience of applying environmental management principles to port operations. At least 5 years of experience in (i) team leading and project management positions of feasibility studies, engineering designs or construction management of environmental projects; and (ii)

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Position Minimum Qualifications and Requirements ADB’s or other international financial institutions technical assistance studies or projects. Work experience in the Pacific or other similar small island nations is required.

Environmental Specialist

Degree in environmental science or related field. At least 7 years of experience in development projects preparing environmental assessments, environmental management plans and environmental audits. Work experience in the Pacific or similar developing country environments is required.

Port Operations Specialist

Degree in civil engineering or port operations. At least 7 years of experience in projects in the maritime transport sector, with at least 5 years of experience of port operations. Port experience in the Pacific or other similar developing small countries is required.

Gender Specialist

Degree in social science (additional qualifications in engineering would be an advantage). At least 5 years’ experience in gender analysis and gender mainstreaming. Experience working on gender and climate change/DRM in infrastructure or transport sector is required. Work experience in the Pacific is preferred.

DRM = disaster risk management. Source: Asian Development Bank. 81. The consultant shall provide a list of other non-key experts that it would intend to use to deliver the outputs required under this component. These individuals will not be scored as part of the key expert evaluation but will be taken into account when evaluating the approach and methodology and personnel schedule. The government may request replacement of personnel not deemed suitable to form part of the team. 82. Outputs and deliverables. The consultant will be required to carry out at least three missions to Samoa: the initial mission (inception), the midterm mission (including delivery of the workshop) and the final mission. The following deliverables are required:

Table 15: Contract Outputs Item Report Tentative Completion 1 Stage 1 (Inception) Report and work program. Q2 2020

2 Stage 2 (Development) Report, Green Port Practice Manual, Multihazard Disaster Preparedness Plan. Q2 2020

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Mid-term report including findings of audit on gender-sensitive Green Port concepts, draft gender-sensitive Green Port Practice Manual and Workshop Presentations setting out options for the priority investments/improvement projects.

Q3 2020

4 Stage 3 (Options) Report submitted. This should include prefeasibility information of options, and prioritization criteria and framework. Q3 2020

5 Stakeholder Workshop completed. Q4 2020

6

Stage 3 (Options) Report finalized with inputs from Stakeholder Workshop. This should describe the appraisal process of the sub-options, the short-medium and long-term plan, and recommendation on the selected sub-project agreed by the Green Ports Technical Working Group to proceed for further study and implementation. .

Q2 2021

7 Stage 4 (Implementation) Report submitted for sub-projects 1 & 2 (Green Port Component). Q4 2021

8 Stage 4 (Implementation) Report submitted for sub-projects 3 &4 (Green Port Component). Q2 2022

9 Stage 4 (Implementation) Report submitted for Multihazard Disaster Preparedness Plan. Q2 2022

10 Training program conducted for Green Port component and training report submitted, incorporating feedback from participants. Q4 2022

11 Training program conducted for multihazard disaster preparedness component and training report submitted, incorporating feedback from participants (See note).

Q4 2022

12 Final report submitted. This shall include finalized gender-responsive GPP, Green Port Practice Manual, assessment on performance of study implementation, recommendations provided to SPA and the Green Ports

Q1 2023

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Item Report Tentative Completion Technical Working Group on long term implementation of the Gender-responsive GPP, progress report on effectiveness of green port initiatives and future recommendations.

Q = quarter; GPP = green port policy; SPA = Samoa Ports Authority. Notes: Provisional sum will be set aside for training. The detailed scope and cost of the training shall be developed by the consultants, in consultation and for prior approval by SPA. Source: Asian Development Bank. 83. Procedure for review and acceptance of outputs. Each deliverable will be reviewed by SPA, who will be required to provide comments within 10 working days after submission. Upon formal acceptance as determined by SPA, the progress payments will be made according to the payment schedule specified in the contract. Deliverables will be provided as soft copies in MS Word and PDF formats, and hard copies will be provided to SPA and ADB in copies agreed in the contract. 84. Terms of the assignment. An 18-month duration is expected for planning and implementation of the green port initiatives. The consultant is expected to monitor progress and effectiveness of the green port initiatives at 6 monthly intervals up to mid-2023, before project completion. The government will provide data and will support further data collection. However, the consultant should assess the quality of available data, and will be responsible for further data collection, as necessary, to deliver the required outputs under this assignment, other than the additional water and air quality survey data referred to above if this is not available from existing sources. 85. All key experts will be required to travel to Apia and carry out studies, surveys, and meaningful consultations with the government and all stakeholders in preparing the outputs and deliverables. SPA will provide office accommodation for the assignment. 86. The procurement process will be a quality and cost-based selection (QCBS) in accordance with ADB Guidelines on the Use of Consultants (2013, as amended from time to time). Consultants will submit full technical and financial proposals. The engagement of the selected Consultant will be through a lump sum contract based on this output-based TOR with milestone payments in accordance with accepted deliverables (Table 3).

Table 16: Indicative Payment Schedule Item Report Payment milestone

payment (%) 1 Stage 1 (Inception) Report and work program xx

2 Stage 2 (Development) Report, Green Port Manual, Multihazard Disaster Preparedness Plan xx

3

Mid-term report including findings of audit on gender-sensitive Green Port concepts, draft gender-sensitive Green Port Practice Manual and Workshop Presentations setting out options for the priority investments/improvement projects

xx

4 Stage 3 (Options) Report submitted. This should include pre-feasibility information of options, and prioritization criteria and framework. xx

5 Stakeholder Workshop completed xx

6

Stage 3 (Options) Report finalized with inputs from Stakeholder Workshop. This should describe the appraisal process of the sub-options, the short-medium and long-term plan, and recommendation on the selected subproject agreed by the Green Ports Technical Working Group to proceed for further study and implementation. .

xx

7 Stage 4 (Implementation) Report submitted for subprojects 1 & 2. (Green Port Component) xx

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Item Report Payment milestone payment (%)

8 Stage 4 (Implementation) Report submitted for subprojects 3 &4. (Green Port Component) xx

9 Stage 4 (Implementation) Report submitted for Multihazard Disaster Preparedness Plan. xx

10 Training program conducted for Green Port component and training report submitted, incorporating feedback from participants xx

11 Training program conducted for Multihazard Disaster Preparedness component and training report submitted, incorporating feedback from participants

xx

12

Final report submitted. This should include finalized Gender-responsive Green Port Policy, Green Ports Practice Manual, assessment on performance of study implementation (based on six-monthly monitoring), recommendations provided to SPA and the Green Ports Technical Working Group on long term implementation of the Gender-responsive Green Ports Policy, progress report on effectiveness of green port initiatives and future recommendations.

xx

SPA = Samoa Ports Authority. Source: Asian Development Bank.

87. Preparation of proposals. The consultant is requested to prepare a detailed description of how they propose to deliver on the outputs of the contract in the section of their proposal called “Approach and Methodology”. The provision of generic information shall be avoided. In this narrative, entities should be explicit in explaining how they will achieve the outputs and include any information on their past experience of delivering similar projects.

88. The client welcomes proposals from the consultant that would increase the value of the assignment. These proposals should be listed in the section titled “Comments and Suggestions on the Terms of Reference”, with the related details also covered in the section on “Approach and Methodology”.

89. Only one curriculum vitae (CV) must be submitted for each key and non-key expert included in the proposal. Only the CVs of key experts will be scored as part of the technical evaluation of proposals. The CVs of non-key experts will not be individually scored, however ADB will review and individually approve or reject each CV of non-key expert positions in the proposal and consider the suitability of the bidders proposed team.

90. All positions under the contract, both key and non-key experts, must be included and budgeted for in the financial proposal, using the forms provided in the RFP. Within the approach and methodology, the consultant shall link the number of person months proposed to the delivery of the outputs, justifying the allocation accordingly.

91. The consultants personnel schedule shall clearly show the percentage of home and field presence of each team member and both full time and intermittent time application to the project. The consultant is also encouraged to overlay the contents of its work schedule with its personnel schedule in order to further elaborate on how the inputs of its staff are aligned with the completion of outputs under the project. This may be included separately as part of the submission.

92. Implementation arrangements. The consultant shall report to the environmental management officer, who would be a permanent staff of SPA. The environment management officer will be part of the project PMU and oversee the day-to-day activities of the green ports initiative. The consultant shall facilitate the establishment of a Green Port Initiative Working Group

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within the Government, with participation from ADB, during the Inception Mission with other public and private sector agencies to provide strategic oversight to the study. 93. The consultant shall be required to consult and work with other key government officials and stakeholders as and when required by ADB and the government. A communications and consultation plan (CCP) have been prepared for the overall project, the consultant is expected to familiarize themselves with the requirements of the CCP and generally work in accordance with the CCP in respect of providing information about the component and conducting meetings and consultations. The consultant’s contract will be administered by the ADB in close coordination with the government. The consultant will mobilize promptly after signing the contract agreement, and will compile, prepare and submit all required reports within the timelines mentioned in the terms of reference. The consultant will respond promptly to all queries raised by ADB and the government.

94. Facilities to be provided by the government. The government will provide support in the form of counterpart staff, office accommodation, access to data etc.

VII. SAFEGUARDS

95. Environment. The project is categorized as B for environment according to ADB’s Safeguard Policy Statement 2009 (SPS). An initial environmental examination was prepared during the preparatory technical assistance which has been updated during the detailed design as a preliminary environmental assessment report (PEAR) as required for the development consent application under the Planning and Urban Management Act 2004. The reconstruction of the existing breakwater at Apia Port will result in the loss and or disturbance of approximately 10,000 square meters of highly modified and disturbed benthic habitat of low ecological value. Such impacts are considered minor and overall insignificant. There will be no impacts on the western reef systems of Apia bay, including hard and soft coral communities, due to the works. Green sea turtles, which is identified as an endangered species on the IUCN Red List, have been recorded within the waters of Apia bay along the western reefs. These turtles are not resident in the port area, rather they periodically frequent the reefs adjacent to the port for feeding purposes. The reconstruction of the breakwater will not impact the ability of sea turtles to move freely throughout the bay of Apia and access reef habitats to forage. Therefore, no impacts on the sea turtles are expected. Health and safety risk associated with the x-ray scanner will be mitigated by the scanner being housed in an appropriately designed building, equipped with screen(s) to manufacturer’s standards to avoid radiation impacts on staff operating the scanner. Staff operating the x-ray scanner will be trained in its use, including in health and safety procedures necessary to minimize radiation exposure during operation. Provided these measures are adhered to, the health and safety impacts associated with the operation of the x-ray scanner are considered to be minor. 96. The PMU will be supported by a supervision consultant which includes an environmental specialist as a key expert. The supervision consultant will provide training and capacity building to PMU and SPA staff as required and the environmental specialist will work closely with the environment officer assigned to the PMU (and later SPA). Prior to any works commencing, the civil works contractor will be required to develop and submit their construction environmental management plan (CEMP)—based on the EMP in the updated assessment—reflecting their construction approach and work method statements. The CEMP will include sub-plans and site-specific plans as necessary. The CEMP will be reviewed and cleared by the PMU and supervision consultant.

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97. Social. The project is category C for involuntary resettlement and indigenous peoples. A due diligence report has been prepared confirming that civil works will be within the existing port area which belongs to SPA and breakwater footprint is owned by the government. The project will not require any physical and economic displacement. Any unanticipated land acquisition during implementation will be done through negotiated settlement and will not result to any compulsory acquisition by the government. Two existing port leases need to relocate outside of the port. Due diligence confirmed that SPA negotiated with the lessees according to the provision of their existing contract and these lessees will not experience significant impacts from their relocation. Nonetheless, the actual relocation of the lessees will be monitored and reported for any unanticipated impacts to ensure compliance with ADB safeguards policy. There are no indigenous peoples considered distinct and vulnerable. The SPA through the PMU will be responsible for overseeing and mitigating any social safeguards issues which may occur during implementation. SPA will be supported by the Social Safeguards and Gender Specialist engaged as part of the construction supervision during project implementation. There are no expected grievances related to involuntary resettlement, however, a grievance redress mechanism will still be established to address any other potential social and environmental issues. The Social Safeguards and Gender Specialist will be the focal point to receive, record, and resolve grievances during project implementation. 98. Prohibited investment activities. Pursuant to ADB’s SPS, ADB funds may not be applied to the activities described on the ADB Prohibited Investment Activities List set forth at Appendix 5 of the SPS.

VIII. GENDER AND SOCIAL DIMENSIONS 99. Proactive gender design features include: gender training for contractors (HIV/AIDs, gender, sexual exploitation and abuse, trafficking); gender audit and assessment of SPA to ensure more gender-sensitive and responsive ways of working and to encourage more women into the workplace, particularly in technical and management positions; the development of a gender-sensitive GPP and gender-sensitive emergency and disaster response plan which will include gender analysis of all initiatives and proactively highlight areas in which women can be provided training and skills to implement the initiatives. Gender aspects will focus primarily on skills training for women in green jobs e.g. opportunities to train more women in air and water quality management, and training for women on compliance with international treaties and agreements. In addition, green port policies will also consider the impact of green port initiatives such as harbor water quality, air quality and noise pollution on women in the communities surrounding the port. Examples of gender aspects in the disaster preparedness and response plan could include ensuring women are involved in trainings and have clearly assigned roles and responsibilities in disaster and emergency preparedness and response. Other examples could include gender-responsive early warning systems and ensuring information related to disasters is gender-sensitive and discussed and shared with women in nearby communities; collecting sex disaggregated data on impact of disasters; training on tackling GBV and trafficking in the aftermath of an extreme event. In addition to the ‘green jobs’ skills building and technical training provided through the gender-sensitive GPP and emergency and disaster response plan, existing women staff will also benefit from training on tug boat maintenance (3 women) and border control measures including the use of new x-ray scanners (6 women).13 Consultation with key government agencies and other stakeholders will ensure women’s participation, women’s involvement in HIV/AIDS trainings and awareness raising activities and women will not be

13 New Zealand is currently supporting MFR in developing capacity building programs on border control and the project

will assist in building the capacity required for the x-ray scanner operations and maintenance.

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prohibited in employment where they are qualified during civil works. The Ministry of Women will be a key stakeholder on the project. Under the construction supervision consultant component, a Social Safeguards and Gender Specialist will be engaged for the overall implementation and monitoring of gender activities and targets. This expert will work closely with the PMU’s Social Safeguards and Gender Officer who will have the oversight of these activities during project implementation. In addition, a gender specialist will be engaged through the gender-sensitive green port initiative to proactively develop and support the implementation of the gender elements of the GPP and practice.

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND

COMMUNICATION

A. Project Design and Monitoring Framework

DESIGN AND MONITORING FRAMEWORK Impacts the Project is Aligned with Improved safety, security, and competitiveness of trade and maritime servicesa

Environmentally sustainable, energy-efficient, and socially responsible transport sectorb

Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks Outcome Efficiency, safety, and environmental sustainability of Apia International Port improved

By 2023: 1a. Average time for imports to clear customs reduced from 38 hours in 2019 to 12 hours. 1b. Gender-responsive green port policy mainstreamed in port operations manuals

1a. Reports from the MFR’s selectivity committee

1b. SPA’s operations manuals.

Labor market demand causes high turnover of trained staff in SPA and the MFR.

Outputs 1. Safety and capacity of port infrastructure enhanced

By 2023: 1a. Container throughput capacity at Apia Port increases to 53,700 TEUs (Baseline: 29,000 TEUs). 1b. Wave-monitoring system implemented (2019 baseline: not applicable) 1c. One new tugboat delivered to replace tugboat that is past its design life (Baseline: not applicable) 1d. SPA gender audit and assessment completed with recommendations to increase the number of women in the workplace, particularly in technical and management

1a.–b. Progress report by construction supervision consultants 1c.–d. PMU progress report.

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Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks roles (Baseline: No gender audit).

2. Preparedness and resilience and preparedness of port operations to climate change and natural hazards enhanced

By 2023: 2a. 100 meters of existing breakwater reconstructed 2b. Gender-responsive multihazard disaster preparedness plan for Apia port delivered

2a. Progress report by construction supervision consultants 2b. PMU progress report

3. Border security and trade facilitation capacity enhanced

By 2023: 3a. One new container x-ray scanner commissioned by 2020 (Baseline: 0). 3b. 100% of MFR staff (38 staff) upskilled to manage effective border control, including the use of an x-ray scanner, with all women staff (6) attending (Baseline: 0 men, 0 women trained).

3a. Progress report by PMU 3b. Post-completion report by trainer

4. Gender-sensitive GPIs piloted

By 2023: 4a. Gender-responsive green port policy delivered by SPA (2019 baseline: not applicable). 4b. At least three new proposals to promote gender-responsive GPIs completed by SPA (2019 baseline: not applicable).

4a–b. Progress report by PMU

Slow implementation because of unexpected demands on SPA’s human resources.

Key Activities with Milestones 1. Safety and capacity of port infrastructure enhanced 1.1 Award construction contract for the following items by Q2 2020. 1.1.1 Pavement repairs 1.1.2 Reefer facility 1.1.3 Lighting upgrade 1.1.4 Storm water drainage to mitigate flood 1.1.5 Rehabilitation of water supply lines 1.1.6 Wharf deck repair 1.1.7 X-ray scanner facility, inspection shed, and pavement 1.1.8 Replacement of fuel pipeline cover lids 1.1.9 Replacement of old wharf deck 1.1.10 Navigation channel alignment 1.1.11 Aids to navigation 1.1.12 Gas berth modifications

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1.1.13 New fencing and replacement of gates 1.1.14 Implementation of wave-monitoring system 1.2 Award contract for the supply of tugboat by Q2 2020. 1.2.1 Staff trained on the operation and maintenance of tugboat (Q1 2022–Q1 2024). 1.3 Award construction supervision consultant contract by Q2 2020. 1.3.1 Gender audit and assessment of SPA 2. Resilience and preparedness of port operations to climate change and natural hazard

enhanced 2.1 Award rehabilitation of breakwater contract by Q2 2020 (same contract as in 1.1). 2.2 Award consulting service contract to deliver multihazard disaster preparedness plan for Apia Port by

Q1 2020 (same contract as in 4.1). 3. Border security and trade facilitation capacity enhanced 3.1 Award contract for construction of new custom building by Q2 2020 (same contract as in 1.1). 3.2 Award contract for X-ray scanner and operationalize the equipment (Q2 2020–Q4 2021). 4. Gender-responsive green port initiatives piloted 4.1 Award consulting service contract by Q1 2020. 4.2 Agree on priority gender-responsive GPIs by Q3 2020. 4.3 Complete implementation of priority gender-responsive GPIs by Q1 2023. Project Management Activities Award construction supervision consultant contract by Q2 2020. Establish PMU and appoint project manager by Q2 2019 (completed). Mobilize PMU consultants by Q4 2019. Inputs Asian Development Bank: $62.26 million (grant) Government of Samoa: $12.77 million Assumptions for Partner Financing The government of New Zealand is currently supporting the MFR in developing capacity-building programs on border control and the project will assist in building the capacity required for integrating the new x-ray scanner as part of risk-based intelligent customs management.

GPI = green port initiative, MFR = Ministry for Revenue, PMU = project management unit, Q = quarter, SPA = Samoa Ports Authority, TEU = twenty-foot equivalent unit. a Government of Samoa, Ministry of Works, Transport and Infrastructure. 2014. Transport Sector Plan, 2014–2019.

Apia; and Government of Samoa, Ministry for Revenue. Compliance Improvement Plan 2016–2018. Apia. b Samoa Ports Authority. 2015. Corporate Plan 2017–2020. Apia. Source: Asian Development Bank. B. Monitoring

100. Project performance monitoring. Project performance will be monitored using the targets, indicators, assumptions, and risks in the design and monitoring framework. Disaggregated baseline data for output and outcome indicators gathered during project processing will be updated and reported quarterly through the implementing agency’s quarterly progress reports and after each ADB review mission. These quarterly reports will provide information necessary to update ADB's project performance reporting system.14

101. Compliance monitoring. Compliance monitoring will be provided through regular quarterly progress reports and during regular ADB review missions.

14 ADB's project performance reporting system is available at http://www.adb.org/Documents/Slideshows/PPMS/default.asp?p=evaltool

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102. Safeguards monitoring. Environmental and social safeguards issues, if any, including grievances received, breaches of the approved CEMP, safeguards non-compliance requiring corrective actions and unanticipated safeguards impacts, such as concerning the affected lessees, which would trigger SPS will be monitored and reported in the quarterly progress report to be prepared by environmental officer, environmental specialist and Social Safeguards and Gender Specialist and supervised by the PMU. This information will also be part of the semi-annual safeguards monitoring report. Checklists for safeguards monitoring and suggested contents for the semi-annual safeguards monitoring report are in Appendix A and B respectively. The semi-annual safeguards monitoring reports will be disclosed. 103. Gender and social dimensions monitoring. The PMU’s Social Safeguards and Gender Officer with assistance from the Social Safeguards and Gender Specialist from the Construction Supervision will be the focal point responsible to ensure gender activities and targets will be implemented. The progress of its implementation will be included in the project progress report. C. Evaluation

104. ADB will review the Project every 6 months. Each review will cover institutional, administrative, organizational, technical, environmental, social, poverty reduction, resettlement, economic, financial, and other aspects affecting the performance of the Project and its continuing viability. The Government and ADB will jointly undertake a midterm review of the Project within about 2 years of its start. The midterm review will focus on (i) project impact, (ii) implementation progress, (iii) the performance of consultants and contractors, (iv) the status of compliance with covenants in the grant agreement, and (v) the need for any midcourse changes in project scope or schedule to ensure full achievement of the intended impact. Within 6 months of physical completion of the Project the implementing agency will submit a project completion report to ADB.15

D. Reporting

105. The implementing agency will provide ADB with (i) quarterly progress reports in a format consistent with ADB's project performance reporting system; (ii) consolidated annual reports including (a) progress achieved by output as measured through the indicator's performance targets, (b) key implementation issues and solutions, (c) updated procurement plan, and (d) updated implementation plan for the next 12 months; and (iii) a project completion report within 6 months of physical completion of the project. To ensure that projects will continue to be both viable and sustainable, project accounts and the EA audited financial statement together with the associated auditor's report, should be adequately reviewed.

E. Stakeholder Communication Strategy

106. SPA prepared the stakeholder engagement and communication plan to ensure meaningful consultation with key stakeholders during project preparation and implementation. It indicates the types of information, means of communication, responsibility and timing of consultation throughout the duration of the project. SPA will be responsible for implementing and updating the plan as required with assistance from the supervision consultant.

15 Project completion report format is available at: http://www.adb.org/Consulting/consultants-toolkits/PCR-Public-

Sector-Landscape.rar

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STAKEHOLDER ENGAGEMENT AND COMMUNICATION PLAN Objectives Target Stakeholders Messages/

Agenda Means of

Communication Schedule/ Frequency

Responsible Agencies/Groups

Project Preparation / Detailed Design Phase

To inform key stakeholders of the final project design and key information prior to project construction.

Government agencies - MOF, SPA, MNRE, MAF, SSC, STA, MOH, MPP, MFR, MWCSD. All commercial operations on the wharf precinct including leaseholders/ occupiers. Reps of Apia, Matautu villages. Others – SPREP; UNDP, JICA, AusAID, NZAID, WB, ADBNGO and civil society reps – SUNGO, Samoa Conservation Society; women’s groups.

Finalized project design including dredging or no dredging; Potential benefits and impacts; Proposed GRM Indicative implementation schedule and period, project contacts, and other details such as probably restricted area to use along access road or potentially blocking of access road from pedestrians; Potential communicable / transmittable diseases brought with the entry of workers and proposed mitigating measures; Overall health and safety hazards during construction and mitigating measures.

Public meetings/ consultations and or FGD. Agenda to be tailored to suit target audience(s).

Before project construction. At least, two initial public meetings, one in Samoan for village reps and civil society reps; and one in English for others including Government agencies, donors etc. Initial meetings held in April and August 2017. Two workshops to be held with Government stakeholders (to confirm preferred option) and port users (to be discussed the potential design options and confirm preferred). Workshops to occur at the end of October 2018 and be held in English. Public meeting with invited stakeholders.

SPA MOF Initial safeguards specialists (individual ADB consultant, Sam Sesega). Detailed design consultant.

Public information and awareness.

General public including women community members. Joint meetings (both genders present) acceptable (as advised by MWCSD).

Explain the project -objectives, key design features, major benefits and impacts; implementation

Press release in local newspapers – Samoa Observer; Samoa News and the Savali.

Prior to and following preliminary engineering design (April 2017, March 2019, May 2019).

SPA / PMU

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Objectives Target Stakeholders Messages/ Agenda

Means of Communication

Schedule/ Frequency

Responsible Agencies/Groups

Local villages (Apia, Matautu, Vaiala, Vaipuna).

schedule, GRM, details of Construction Environmental Management Plan.

Presentation in Samoan and provision of Project Brief handout (translated in both English and Samoan) for meeting attendees. Local village meetings.

Paid press releases in at least 2 weekend issues of the two daily/weekly papers. Timing to coincide with commencement of procurement process. Following Contractor appointment and once the Construction Environmental Management Plan has been prepared and approved.

Detailed Design Consultant to draft press releases. SPA/PMU/ Contractor

Finalize land lease arrangements.

Ministries and agencies responsible for land lease.

Land lease negotiation with leaseholders of Shed 1 (Molida and Apia Deep Sea Fishing).

Informal exchange of information to coordinate. Face-to-face meetings.

Before project construction.

SPA / PMU

Obtain consents and approvals.

MNRE PUMA; MNRE Land Management Division, SPA.

Application for Development Consent Application for Land.

Face-to-face meetings. Frequency - As often as needed.

SPA / PMU

Quarry / landowner(s) Application for Quarry License.

Face-to-face meetings. Frequency - As often as needed.

Contractor

Implement communicable diseases awareness and prevention training including STIs and HIV/AIDS, gender, sexual exploitation and abuse, trafficking, etc.

Contractor personnel and workers; fish processing operations on wharf precinct including women.

Raise awareness of HIV/AIDS; contact details for help and information; etc.

Workshop Following contractor appointment but prior to construction works commencing.

PMU / SPA / MOH, approved service provider engaged by the contractor.

Green jobs’ skills building and technical training provided

Contractor personnel; MFR staff

Training to provide new skills and offer

Workshop Prior to and during construction.

PMU/SPA/ADB

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Objectives Target Stakeholders Messages/ Agenda

Means of Communication

Schedule/ Frequency

Responsible Agencies/Groups

through the gender-sensitive green port policy. Also, gender upskill training on tugboat maintenance and on border control measures including the use of new x-ray scanners.

employment opportunities.

Construction Phase

Project implementation progress monitoring.

Project Steering Committee.

Review progress report from PMU and Project Supervision Consultant

Face-to-face meetings. Quarterly over the life of the project.

PMU / SPA / Project Supervision Consultant

PMU, Project Supervision Consultant and Contractor.

Review implementation progress; discuss and address any issues arising;

Face-to-face meetings. Monthly, and or as required. PMU

Resolve grievances received by the project.

Members of GRM Committee (include women members in the committee).

To address grievances referred to the Committee

Face-to-face meetings, phone calls or other (to be determined by complainant).

As necessary. PMU / SPA/Project Supervision Consultant, contractor.

Operations and Maintenance Phase

Information dissemination on new operations of the port

General public. All government agencies. All commercial and non-commercial operations on the wharf and in the Matautu area. All exporters and importers.

(1) Information on new port configuration, location of different public facilities and services; Safety and access protocols for entering port precinct, interisland ferry terminal, MAF Quarantine, Customs (MOR)

Posting on bulletin boards; SPA website; SSC website, others. Information leaflets A 15-minute video for TV and or TV panel discussion A newspaper article(s)

As soon as possible of opening of upgraded port. To coincide with the opening of the new tanks, and several times thereafter. Within Month 1 of operations.

SPA, SSC MOF MOF/SPA

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Objectives Target Stakeholders Messages/ Agenda

Means of Communication

Schedule/ Frequency

Responsible Agencies/Groups

Villages around the perimeter of the port precinct (Matautu, Apia, Apia Central Business District (CBD), Matafele, Sogi, Mulinuu.

(3) Information on new fuel tanks – location, safety features, emergency protocols etc.

For general public and targeted villages, public meeting(s) are recommended.

Implement communicable diseases awareness training including STIs and HIV/AIDS, gender, sexual exploitation and abuse, trafficking, etc.

Personnel of fish processing operations on wharf precinct including women. Other commercial ventures on wharf precinct.

Raise awareness of HIV/AIDS; contact details for help and information; etc.

Workshop Early in Operations Phase and throughout in response to need, as required.

MOH

ADB = Asian Development Bank; AusAID = Australian Agency for International Development; FGD = focus group discussion; GRM = grievance redress mechanism; JICA= Japan International Cooperation Agency; MAF = Ministry of Agriculture and Fisheries; MFR = Ministry for Revenue; MNRE = Ministry of Natural Resource and Environment; MPP = Ministry for Pacific Peoples; MOF = Ministry of Finance; MOH = Ministry of Health; MPE= Ministry for Public Enterprises; MWCSD = Ministry of Women Community and Social Development; NGO = nongovernment organization; NZAID = New Zealand Agency for International Development; PMU = project management unit; PUMA = Planning and Urban Management Agency; SPA = Samoa Port Authority; SPREP = Secretariat of the Pacific Regional Environment Programme; SSC = Samoa Shipping Corporation; STI = sexually transmitted infection; STA = Samoa Tourism Authority; SUNGO = Samoa Umbrella for Non-Governmental Organizations; UNDP = United Nations Development Programme; WB = World Bank.. Source: Asian Development Bank.

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X. ANTICORRUPTION POLICY

107. ADB reserves the right to investigate, directly or through its agents, any violations of the Anticorruption Policy relating to the project. 16 All contracts financed by ADB shall include provisions specifying the right of ADB to audit and examine the records and accounts of the EA and all project contractors, suppliers, consultants, and other service providers. Individuals and/or entities on ADB’s anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contracts under the project. 17 108. To support these efforts, relevant provisions are included in the grant agreement/regulations and the bidding documents for the project.

XI. ACCOUNTABILITY MECHANISM

109. People who are, or may in the future be, adversely affected by the project may submit complaints to ADB’s Accountability Mechanism. The Accountability Mechanism provides an independent forum and process whereby people adversely affected by ADB-assisted projects can voice, and seek a resolution of their problems, as well as report alleged violations of ADB’s operational policies and procedures. Before submitting a complaint to the Accountability Mechanism, affected people should make an effort in good faith to solve their problems by working with the concerned ADB operations department. Only after doing that, and if they are still dissatisfied, should they approach the Accountability Mechanism. 18

XII. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL

110. All revisions and/or updates during the course of implementation should be retained in this section to provide a chronological history of changes to implemented arrangements recorded in the PAM, including revision to contract awards and disbursement s-curves.

16 Anticorruption Policy: https://www.adb.org/documents/anticorruption-policy 17 ADB’s Office of Anticorruption and Integrity web site: https://www.adb.org/site/integrity/sanctions 18 Accountability Mechanism.http://www.adb.org/Accountability-Mechanism/default.asp.

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Annex 1 Environment Safeguards Checklist and Contents of Monitoring Report

Date:

Loan/Grant No.: Project Name:

Implementing Agency

1) Categorization(Original) A B C FI(additional financing, if any) A B C FI

(Please complete the following sections if the project has been categorized as A, B or FI)2) Planning

IEE/EIA No. of IEE/EIA _________ EMPNo If no, actions?

EMP Finalizeded or Updated after Detailed Design No If no, actions?CEMP submitted, reviewed and approved: No If no, actions?(Attach a list of subprojects and status if necessary.)

3) Institutional SetupNo If no, actions?

If yes, Name: Since: /(month) (year)

Environmental Specialist/Consultant Mobilized: No If no, actions?If yes, National Specialist's Name: Since: /

(month) (year)

If yes, International Specialist's Name: Since: /No If no, actions?

If yes, Name: Since: /(month) (year)

Grievance Redress Mechanism Established: No If no, why?

Allocation of Government Budget: No If no, actions? If yes, amount$:

4) Monitoring and Reports

Internal Monitoring System Established: No If no, actions? Compliance monitoring incorp. into Q Progress Reports: No If no, actions?

External Monitor Engaged (if needed): No If no, actions?If yes, Name: Since: /

(month) (year)

Monitoring Report Submitted to ADB: No If no, actions?If Yes, provide information below

5) Field Review with Participation of Safeguard Specialist/Officer/Staff Consultant No If no, actions?If Yes, provide information below

Type of mission:

IEE/EIA Disclosed and Posted on ADB Website: Yes

Yes

Approval Date: Closing Date: Cumulative Progress (%):

Yes

Mission Date (m/yr)

Participants (safeguard specialist/officer/staff consultants)

Report 2Report 1Baseline Report Report 4Report 3

PARD Safeguards Implementation Checklist: Environment

PROJECT INFORMATION

Documents:

Project Team Leader(s):

Name of ADB Reviewer

PIU/PMU Environment Staff Assigned:

Yes

EARF

Submission Date (m/yr)ADB Review Date (m/yr)Web-posting Date (m/yr)

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Yes

Participation of Gov. Environment Agency/Division: Yes

54

Overall safeguard rating (e-Operation): S = Satisfactory; PS = Partly Satisfactory; US = Unsatisfactory7) Status of Implementation of EMP Activities (Please provide a cross reference if it is already covered under Section 6 above)

Yes/No

8) Major Issues or Complaints (Cumulative)

*Add rows as needed.

Prepared by: Confirmed by: Confirmed by:Team Leader: Safeguard Specialist/Officer:

Date: Date: Date:

To: Sector Director/Country Directorcc: Project Team Leader; PARD Safeguard Specialist

6) Compliance with Loan Covenants

Item # Describe status of compliaceList of key covenants in loan and project agreement

Covenant

IssueProposed Action(s)

*Note: Yes ; No; Not yet due

Final Resolution of Issue

Compliance rating*

Items

Final Resolution of Issue

Follow-up Issues/Actions

IssueProposed Action(s)

Description

Follow-up Issues/Actions

Describe Implementation Status

Item

1

2

IEE = initial environmental examination; EIA = environmental impact assessment; EMP = environmental management plan; FI = financial intermediary; MTR = mid-term review; PCR = project completion review; PIU/PMU = project implementation/management unit; TL = team leader; EARF = environmental assessment and review framework; SS = safeguard specialist

55

Outline Contents of Environmental Semi-Annual Monitoring Report

Heading/Section Contents

Introduction Brief background on the project and subproject;

Institutional arrangements for project management and environmental management;

Monitoring Activities Who participated in the monitoring;

Methodology for monitoring (whether checklists prepared etc.);

When the monitoring was undertaken and what period it covers;

Summary of other monitoring undertaken in the period (i.e. form contractor’s monthly reports and if any survey/sample monitoring undertaken);

Main activities – observations/inspections, consultations, interviews with contractor staff etc.

Works in Progress Details of the works being undertaken, (with photographs);

Include whether any environmental training/awareness has been provided to contractor staff in the period (what, by whom etc.)

Monitoring Results and Actions Required

Whether works and measures comply with the approved EMP/CEMP;

Should follow sequence of items identified in EMP/CEMP and verify that all mitigations measures noted are being implemented;

Corrective actions cited (date to be resolved and person responsible on contractor team and verification by IA/PMU)

Summary and Conclusions Summary of main findings;

Main issues identified and corrective actions noted;

Can include summary table which can be updated each period to track completion of actions required

Attachments Monitoring checklist (based on items identified in the EMP/CEMP) refer annex 1

Additional photographs

Additional information as required

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Annex 2 Checklist for Safeguard Supervision/Monitoring (Resettlement)

Loan/Grant No.: Project Name:

Project Analyst:

1) Resettlement Categorization (Original) A B C FI (additional financing, if any) A B C FI

(Please complete the following sections if the project has been categorized as A, B or FI involving land acquisition/resettlement issues) 2) Resettlement Planning

RP Number of RPs_________ ESMS

RP Finalized or Updated after Detailed Design: No If no, actions? (Attach a list of subprojects and status if necessary.)

No If no, actions?

No If no, actions?

3) Institutional Setup for Resettlement No If no, actions?

If yes, Name: Since: / (month) (year)

Resettlement Specialist Consultant Mobilized: No If no, actions? If yes, Name: Since: /

(month) (year) Grievance Redress Mechanism Established: No If no, why?

Allocation of Government Budget: No If no, actions? If yes, amount$:

4) Resettlement Monitoring and Reports

Internal Monitoring System Established: No If no, actions?

External Monitor Engaged (if needed): No If no, actions? If yes, Name: Since: /

(month) (year) Monitoring Report Submitted to ADB: No If no, actions?

If Yes, provide information below

5) Resettlement Field Review with Participation of Safeguard Specialist/Officer/Staff Consultant No If no, actions?

If Yes, provide information below

Type of mission

Cumulative Progress (%):

Checklist for Safeguard Supervision: Involuntary Resettlement

PROJECT INFORMATION

Approval Date: Closing Date:

Mission Date (m/yr)

Project Team Leader(s):

Name of safeguard specialist/officer/staff consultants

Resettlement Planning Documents: RF

Yes

Final/Updated RP Disclosed and Posted on ADB Website: Yes

Compensation Rates Approved by the Government: Yes

PIU/PMU Resettlement Staff Assigned: Yes

Yes

Yes

Yes

Yes

Yes

Yes

Baseline Report Report 1 Report 2 Report 3 Report 4

Submission Date (m/yr) ADB Review Date (m/yr) Web-posting Date (m/yr) Name of ADB Reviewer

Yes

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Suggested Contents of Resettlement Monitoring Report

Heading/Section Contents Introduction Brief background on the project/subproject and progress status

The project’s category and planning documents (original, updated or new plans) on resettlement impacts Institutional arrangements and budget allocation for resettlement/social management; Arrangement for the monitoring

Monitoring Activities Methodology for monitoring (whether checklists prepared etc.); What period the monitoring covers Main activities – site visits, consultations, survey etc.

Monitoring Results and Actions Required

Progress and performance in implementation of RPs and other programs (how they were implemented, what are the outputs, etc.) Results on consultations, disclosure and grievance redress (whether they have been effective, level of satisfaction of affected persons [AP] with various aspects of the resettlement plan [RP], public awareness of the compensation policy and entitlements will be assessed among APs.) Whether the implementation comply with the approved RPs (e.g. whether compensation rates were at replacement cost, full payment made to all APs sufficiently before land acquisition; prompt attention to unforeseen damages or losses, to ensure APs are fully compensated for losses) Results on outcome (whether APs were able to restore livelihoods and productive activities) Compliance on monitoring and disclosure (whether reports have been submitted, posted on website) Whether any issues and corrective measures identified to achieve the RP objective. If yes, actions with target dates and responsible agency/person) Follow-up item/plan for next report

Summary and Conclusions Summary of main findings; Main issues identified and corrective actions noted; A table on follow-up action which can be updated each period to track completion of actions required including progress of the follow-up of problems and issues identified in the previous report

Attachments Monitoring checklist (based on items identified in the RPs) Photographs Additional information as required