Project Number: 51268-001 Grant Number: {GXXXX} October 2020

Independent State of Samoa: Central Cross Island Road Upgrading Project

Project Administration Manual

ABBREVIATIONS

ADB – Asian Development Bank ACDMD – Aid Coordination and Debt Management Division CEMP – construction environmental management plan CW – civil works DLP – defects liability period EA – executing agency EMP – environmental management plan GAP – gender action plan GRM – grievance redress mechanism IA – implementing agency IBA – Important bird area KBA – key biodiversity area km – kilometer LDH – Loan Disbursement Handbook LTA – Land Transport Authority MCR – Ministry of Customs and Revenue MNRE – Ministry of Natural Resources and Environment MOF – Ministry of Finance MWTI – Ministry of Works, Transport and Infrastructure OCB – open competitive bidding PCC – Project Coordination Committee PEAR – preliminary environmental assessment report PMD – Project Management Division PMU – project management unit QCBS – quality- and cost-based selection RFP – request for proposal ROW – right-of-way RP – resettlement plan RRP – Report and Recommendation of the President SGSS – senior and junior social safeguards and gender specialists SOE – statement of expenditure TB – Tenders Board TISCD – Transport Infrastructure Sector Coordination Division TOR – terms of reference TRTA – transaction technical assistance UNDP VfM

– –

United Nations Development Programme value for money

CONTENTS

I. PROJECT DESCRIPTION 1

II. IMPLEMENTATION PLANS 2 A. Project Readiness Activities 2 B. Overall Project Implementation Plan 5

III. PROJECT MANAGEMENT ARRANGEMENTS 6 A. Project Implementation Organizations: Roles and Responsibilities 6 B. Key Persons Involved in Implementation 8 C. Project Organization Structure 9

IV. COSTS AND FINANCING 10 A. Cost Estimates Preparation, Revisions and Assumptions 10 B. Detailed Cost Estimates by Expenditure Category and Financier 12 C. Allocation and Withdrawal of Grant Proceeds 13 D. Detailed Cost Estimates by Year 13 E. Contract and Disbursement S-Curve 14 F. Fund Flow Diagram 15

V. FINANCIAL MANAGEMENT 18 A. Financial Management Assessment 18 B. Disbursement 19 C. Accounting 21 D. Auditing and Public Disclosure 21

VI. PROCUREMENT AND CONSULTING SERVICES 23 A. Advance Contracting and Retroactive Financing 23 B. Procurement of Goods, Works, and Consulting Services 23 C. Procurement Plan 24

VII. SAFEGUARDS 27

VII. GENDER AND SOCIAL DIMENSIONS 31

VIII. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION 34 A. Project Design and Monitoring Framework 34 B. Monitoring 36 C. Evaluation 37 D. Reporting 37 E. Stakeholder Communication Strategy 38

IX. ANTICORRUPTION POLICY 38

X. ACCOUNTABILITY MECHANISM 38

XI. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL 38

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 executing agency and the Land Transport Authority (LTA); Ministry of Natural Resources and Environment (MNRE); and Ministry of Works, Transport and Infrastructure (MWTI) as implementing agencies are wholly responsible for the implementation of ADB-financed projects, as agreed jointly between the Recipient 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, LTA, MNRE, and MWTI of their obligations and responsibilities for project implementation in accordance with ADB’s policies and procedures.

At grant negotiations, the Recipient and ADB shall agree to the PAM and ensure consistency

with the granta agreement. Such agreement shall be reflected in the minutes of the grant 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 recommendation 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.

a The name of the operational financing document may vary on a project-to-project basis; this reference shall be deemed to encompass such variations, e.g., a Framework Financing Agreement, as applicable

I. PROJECT DESCRIPTION

1. The Government of Samoa (the Government) requested assistance from the Asian Development Bank (ADB) for the Central Cross Island Road Upgrading Project (the Project)–a priority investment in the transport sector. The Project will finance (i) the upgrade of about 20 kilometers (km) of national road featuring climate proofing considerations, innovative technologies, road safety and gender-inclusive elements, (ii) 3-year routine maintenance commencing immediately after the physical completion of the road upgrade with gender-inclusive elements; and (iii) a gender-sensitive capacity strengthening for the road subsector. The design and monitoring framework of the project is presented in Section IX, A and salient features of the project are described below.

2. Impact and Outcome: The project is aligned with the following impacts as envisioned in the Government’s Transport Sector Plan 2014–2019:1 (i) Goal 1: strengthen transport sector governance framework; and (ii) Goal 2: improve, sustain, and climate-proof road transport network. The project will have the following outcome: the central cross island road project contributes to a more sustainable, more climate-resilient, and safer road network.

3. Output 1: Central Cross Island Road upgraded and made safer. This output will finance the upgrade of about 20 km of national road incorporating climate-resilient drainage facilities to withstand increased rainfall intensity; and road safety measures for the safe management of pedestrian and vehicular traffic, particularly at times of heavier pedestrian movements near schools and poor visibility because of climatic conditions. The project team will build road features that specifically cater to the requirements and welfare of women, vulnerable road users, and nonmotorized traffic. This includes 8.4 km of footpaths, 18 streetlights, 18 safe bus stops, and 11 pedestrian crossings. The additions will collectively contribute to greater disaster preparedness by making the road safely traversable in poor climatic conditions. The project attempts to reduce the carbon footprint during construction by piloting an alternative building method, i.e., recycling the existing road pavement instead of using raw materials from quarries; this will contribute to overall road industry sustainability.

4. Output 2: Maintenance of Central Cross Island Road improved. This output will finance routine maintenance for three years starting immediately after the completion of the road upgrade. It involves performance-based contracting of national contractors and community participation, targeting 30% of the contracted workforce to be women.

5. Output 3: Institutional capacity to manage the road network strengthened. This output will finance capacity strengthening to complement the World Bank’s initiatives. ADB financing will cover (i) the engagement of an additional four nationally contracted TISCD staff for procurement, gender, safeguards, financial management, and monitoring and evaluation, to support four specialists already provided through the World Bank project; (ii) training to the MWTI and LTA in project management, procurement, gender aspects, safeguards management, and public communications; and (iii) additional measures to build women’s capacity and leadership, such as (a) the formulation of the LTA’s first institutional gender strategy to increase women’s employment and their support in the workplace, (b) targets to include women in technical training, and (c) a gender-sensitive communication campaign on road and transport safety

1 Ministry of Works, Transport and Infrastructure. 2014. Transport Sector Plan 2014–2019. Apia.

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delivered to all communities in the project area.2 Capacity building for road asset management and sustainability will be coordinated with the LTA and the World Bank.

II. IMPLEMENTATION PLANS

A. Project Readiness Activities

6. The project is expected to be approved in December 2020. Grant effectiveness is anticipated in December 2020, after which the project implementation period is 6 years. The project is expected to be physically completed by 30 September 2026. The grant closing date will be 31 March 2027. The project readiness activities are shown below. These are set of start-up actions for the project implementing agencies to procure contracts, obtain statutory permits and advance land acquisition to a level that would allow contractor to mobilize resources to the project.

Table 1: Project Readiness Activities

Indicative Activities 2019 2020 2021 Responsible Q4 Q1 Q2 Q3 Q4 Q1

Complete detailed engineering design (ongoing by UNDP parallel funding)

MWTI/LTA

Obtain project development consent

MWTI/LTA

Recruit supervision consultant (AA)

Request for EOI May MWTI/LTA

Shortlisting and draft RFP Aug MWTI/LTA

GoS TB approval and issuance of RFP Dec TB/LTA

Receipt of proposals Mar TB

LTA’s evaluation report Apr MWTI/LTA

ADB’s prior review and no-objection Oct ADB

GoS TB approval Oct TB

Contract award and mobilization Nov MWTI/LTA

Resettlement

Disclose draft resettlement plan Apr MNRE/LTA

Complete evaluation MNRE

Sec 2 final resettlement plan disclosed Oct MNRE/LTA

Notice of intention and land acquisition Nov MNRE

Sec 1 final resettlement plan disclosed Nov MNRE/LTA

Notice of intention and land acquisition Jan MNRE

Complete Sec 2 land acquisition (>80%) Mar MNRE/LTA

Complete Sec 1 land acquisition (>80%) May MNRE/LTA

Procure Civil Works Package CW-1 (AA)

2 This includes supporting all community members to understand women’s concerns and ensuring that communication

is tailored to the needs of women and girls, e.g., information is delivered in formats that women understand, and at times and locations that are convenient for them.

3

Indicative Activities 2019 2020 2021 Responsible Q4 Q1 Q2 Q3 Q4 Q1

Finalize draft bidding documents Oct MWTI/LTA

Invite bids (OCB international) – 60 days Nov MWTI/LTA

Receive bids Jan TB

LTA’s bid evaluation report Feb MWTI/LTA

ADB’s prior review and no-objection Feb ADB

GoS TB Approval Mar TB

Contract award, signing and guarantees Mar MWTI/LTA

Mobilization Mar

Procure Civil Works Package CW-2 (AA)

Finalize draft bidding documents Oct MWTI/LTA

Invite bids (OCB national) – 42 days Nov MWTI/LTA

Receive bids Dec TB

LTA’s bid evaluation report Jan MWTI/LTA

ADB’s prior review and no-objection Feb ADB

GoS TB approval Feb TB

Contract award, signing and guarantees Mar MWTI/LTA

Mobilization Mar

ADB Board Approval Dec ADB

Signing Dec GoS, ADB

Effectiveness Dec GoS, ADB AA = Advance Action; ADB = Asian Development Bank, CW = civil works; EOI = expression of interest, GoS = Government of Samoa; LTA = Land Transport Authority; MWTI = Ministry of Works, Transport and Infrastructure; OCB = open competitive bidding; Q = quarter; RFP = request for proposal; TB = Tenders Board; UNDP = United Nations Development Programme

7. Detailed procurement plan for the above activities is in Section IV. Consult ADB’s procurement policy, anticorruption policy, regulations and guidance notes for further details on procedures and processes as listed below:

(i) ADB Procurement Policy, Goods, Works, Nonconsulting and Consulting Services https://www.adb.org/sites/default/files/adb-procurement-policy.pdf

(ii) Procurement Regulations for ADB Borrowers, Goods, Works, and Consulting Services https://www.adb.org/sites/default/files/procurement-regulations-adb-borrowers.pdf

(iii) Guidance Note on Procurement, Consulting Services Administered by ADB Borrowers https://www.adb.org/sites/default/files/consulting-services-adb-borrowers.pdf

(iv) Guidance Note on Procurement, Open Competitive Bidding https://www.adb.org/sites/default/files/open-competitive-bidding.pdf

(v) ADB’s Complete Sanctions List and check the eligibility of bidders, consultants, and suppliers <https://www.adb.org/sites/default/files/related/79926/adb-sanctions-list-faq.pdf>;

(vi) ADB’s Anticorruption Policy <https://www.adb.org/documents/anticorruption-policy> and ADB’s Integrity Principles and Guidelines <https://www.adb.org/documents/integrity-principles-and-guidelines>;

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(vii) Reporting integrity concern or allegation of integrity violation on ADB-related activities <https://www.adb.org/site/integrity/how-to-report-fraud>;

B. Overall Project Implementation Plan

Source: Asian Development Bank estimates.

GRANT 51268-001-SAM: CENTRAL CROSS ISLAND ROAD UPGRADING PROJECT SUMMARY IMPLEMENTATION SCHEDULEGrant approval: 30-Dec-20 Grant EffectivenessGrant signing: 30-Dec-20 30-Jan-21 F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S O N DPre-Construction Activities

Design & bid document finalisation UNDP fundStatutory permits and licenses

Package CW-1 (ST 0+000 - 15+500)Resettlement 80% completeProcurement IFB in OctMobilization Construction Section 1 (Urban KM 0+000 - 4+420)Construction Section 2 (Rural KM 4+420 - 15+500)Defects period (12 months)Completion

Package CW-2 (ST 15+500 - 19+686)Resettlement 80% completeProcurement IFB in OctMobilization Construction Lot 1 (KM 15+500 - 17+500)Construction Lot 2 (KM 17+500 - 19+686)Defects period (12 months)Completion

Construction Supervision ServicesSelectionMobilization Supervision 36 Months (Oct 2020 to Nov 2023 & intermittent input during defects liability period)Completion

OPEN TO TRAFFIC Performance-Based Road Maintenance

Procurement IFB in SepMobilization Implementation 3 years

PROJECT COMPLETE Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 PCR

GAP1 GAP2 GAP3 GAP4 GAP5 GAP6SMR1 SMR2 SMR3 SMR4 SMR5 SMR6

APFS APFS APFS

LEGEND: planning implementation 12 months defects liability period SMR Safeguards Monitoring ReportsQ1,.. Quarterly Project Progress Reports GAP Gender Action Plan Monitoring Report

milestone ADB Board Date PCR Project Completion Report APFS Audited Project Finacial Statement

2026

PROJECT MILESTONE REPORTS

2020 2021 2022 2023

2024

2025

10% 20% 35% 50% 65% 100%10% 20% 35% 50% 65% 100%

35% 70%100%

100%10% 35% 70%

10%

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III. PROJECT MANAGEMENT ARRANGEMENTS

A. Project Implementation Organizations: Roles and Responsibilities

Table 3: Roles and Responsibilities Project Implementation Organizations

Management Roles and Responsibilities

Executing agency: MOF

Responsible Division – ACDMD

Project management: (i) responsibility for overall project execution oversight, monitoring and reporting to ADB; (ii) monitor and ensure compliance with grant covenants; (ii) provide clearance and support ADB project review missions

Financial management: (i) manage provision of counterpart funding and grant proceeds in respect of Government’s internal procedures and submission of payment requests to ADB; (ii) set up and manage project advance account; (iii) provide ADB with external annual audited report and financial statements for the project accounts; and (iv) prepare and submit withdrawal applications following ADB’s Loan Disbursement Handbook (2017, as amended from time to time)

Implementing agencies: LTA – for overall project implementation

MNRE – for resettlement activities and environmental monitoring

Project management:

Undertake the day-to-day project implementation in accordance with ADB’s relevant guidelines and in coordination with TISCD

Maintain and strengthen, as needed, the PMD for the project, including recruiting individual consultants for and assigning LTA staff to the PMD; and providing office space and operational support.

Prepare, quarterly project progress and milestone reports in agreed format and content and submit to the Recipient and ADB

Maintain project records, design and implementation documents, photographs and as-built drawings

Supervise and provide timely guidance and decisions on project implementation matters to the supervision consultants

Implement project specific covenants and compliance measures

Submit to ADB a project completion report within 6 months after project completion

Procurement management:

Jointly with TISCD, procure civil works and consulting services contracts in accordance with ADB’s Procurement Policy (2017, as amended from time to time) and its associated procurement regulations and guidance notes.

Secure approval of the Government Tender Board in procurement of civil works and consulting services.

Safeguards and gender action plan management:

Gender and safeguards management: (i) overall monitoring and reporting on safeguards implementation to ADB; (ii) monitor and ensure compliance with project gender and safeguards requirements

Finalize, implement and monitor land acquisition activities following the approved land acquisition plan

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Project Implementation Organizations

Management Roles and Responsibilities

Finalize, implement and monitor all requirements and measures as identified in the PEAR and EMP for the project

Implement and monitor the Gender Action Plan

Establish and maintain project public communication strategy and grievance redress mechanism

Implement safeguards compliance measures and safeguards specific covenants

Prepare and submit safeguards monitoring reports, gender action plan monitoring reports, and corrective action plans

Financial Management:

Ensure timely review, check and approval of payment claims by the contractors and consultants following contract terms and conditions and submission to MOF

Ensure adequate management of financial resources and accountability

Prepare and submit to MOF expenditure estimates and claims to be paid out of advance account

Coordination: Transport & Infrastructure Sector Coordination Advisory Committee and TISCD of MWTI

Comprises Chief Executive Officer, MWTI (chair), MOF, MNRE, LTA, Utility Owners, Supervision Consultant (members)

TISCD leads the coordination and monitoring of the overall project and assists LTA as needed, providing technical and administrative support

ADB Finance the project expenditures in accordance with the grant agreement

Review overall implementation of the project

Support the IAs in oversight role for safeguards implementation of the project

Examine implementation problems, and work with the MOF to resolve them

Review and respond to the procurement and disbursement documents submitted by the MOF

Advise the Government on procurement, disbursement, and project implementation matters

Conduct required FM training to relevant staff of ACDMD, TISCD and LTA to ensure compliance with FM requirements.

Monitor the status of compliance with project covenants

Conduct review missions every 6 months, undertake midterm review at around 50% completion, or as needed

ADB = Asian Development Bank, ACDMD = Aid Coordination and Debt Management Division, EMP = environmental management plan, LTA = Land Transport Authority, MNRE = Ministry of National Resources and Environment, MOF = Ministry of Finance, MWTI = Ministry of Works, Transport and Infrastructure, PEAR = preliminary environmental assessment report, PMD = Project Management Division, TISCD = Transport Infrastructure Sector Coordination Division,

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Source: Asian Development Bank B. Key Persons Involved in Implementation

Executing Agency Ministry of Finance Officer's Name: Leasiosiofa’asisina Oscar Malielegaoi

Position: Chief Executive Officer Telephone: +685 34330 Email address: Oscar.Malielegaoi@mof.gov.ws Office Address: Ministry of Finance, Central Bank Building Apia, Samoa

Implementing Agencies Land Transport Authority

Officer’s Name: Galumalemana Taatialeoitiiti Tutuvanu Schwalger Position: Chief Executive Officer Telephone: +685 26740 Email address: titi.tutuvanu@lta.gov.ws Office Address: Vaitele, Apia, Samoa

Ministry of Works, Transport and Infrastructure

Officer’s Name: Magele Hoe Viali Position: Chief Executive Officer Telephone: +685 21612 Email address: hoe.viali@mwti.gov.ws Office Address: Tuiatua Tupua Tamasese Efi Building, L4, Sogi, Apia, Samoa

Ministry of Natural Resources and Environment

Officer’s Name: Filisita Heather Position: Acting Chief Executive Officer, Land Management Division Telephone: +685 20410 Email address: filisita.heather@mnre.gov.ws Office Address: Tuiatua Tupua Tamasese Efi Building, L3 – Sogi, Apia Samoa

Asian Development Bank Pacific Department Staff Name: Dong-Kyu Lee

Position: Director Telephone No.: +632 8632 6109 Email address: dklee@adb.org

Mission Leader Staff Name: Rustam Ishenaliev

Position: Principal Infrastructure Specialist Telephone No.: +632 8632 1538 Email address: rishenaliev@adb.org

Legal Department Staff Name: Douglas Perkins

Position: Principal Counsel Telephone No.: +632 8632 5946 Email address: dperkins@adb.org

Controller’s Department Staff Name: Hyon Chol Park

Position: Senior Financial Specialist

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Telephone No. +84 24 3266 2193 Email address: hcpark@adb.org

Procurement Department Staff Name: Chandra Mohan Arora

Position: Procurement Specialist Telephone No.: +632 8632 4256 Email address: carora@adb.org

C. Project Organization Structure

Figure 1 – Project Organization Structure Indicating Responsibility & Communications Flow

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IV. COSTS AND FINANCING

A. Cost Estimates Preparation, Revisions, and Assumptions

8. The project is expected to cost $55.0 million. ADB’s grant will finance the civil works, routine maintenance costs for 3 years, and consulting services for construction supervision and capacity building. The Government will finance expenditures for land acquisition and compensation, and taxes and duties. Cost estimates will be reviewed annually during implementation, based on bids and proposals received for civil works and consulting services, and upon implementation of resettlement plans.

9. Civil works. The civil works will include: (i) minor realignment and widening the existing narrow carriageway (4 meters to 5 meters) to safe design speeds of 40 km/hour along urban road section and 60 km/hour along non-urban road section; (ii) reconstructing the road pavements for 20-years design life with asphalt paved traffic carriageway width of 7.0 meters, 4.5 meters verge for utility reserve and hard shoulders in urban areas and 2.0 meters unsealed shoulder in non-urban areas and reconstructing the subbase and base course layers to carry the projected traffic loads; (iii) constructing road safety and roadside facilities incorporating gender-sensitive and vulnerable road user-friendly features, and (iv) reconstructing and providing new cross- and side-drains to protect the road from climate-change induced extreme rainfall events with high intensity and prolonged rainfalls. Initial cost estimates for the civil works were prepared in 2018 and updated in 2020 by technical assistance consultant, SMEC International Pty Ltd. Key components of the civil works are the following:

Bill of Quantity Item Total Cost

($‘000) Package CW1

($’000) Package CW2 ($’000) Lot1 Lot2

General 2,525,615 1,795,723 363,755 366,137 Site clearance 238,993 196,711 21,748 20,535 Earthworks 574,949 455,180 51,489 68,281 Drainage 3,086,790 2,545,162 225,252 316,376 Pavement and surfacing 5,340,193 4,035,786 594,641 709,766 Ancillary works 3,545,707 3,406,346 61,952 77,410 Utilities 3,900,763 2,732,340 484,358 684,065 Dayworks 510,574 296,105 107,234 107,234 Provisional sums 3,292,168 2,828,922 233,132 230,114 Contingencies (10%) 2,301,575 1,829,228 214,356 257,992 Subtotal 25,317,327 20,121,503 2,357,917 2,837,910 VAGST (15%) 3,797,599 3,018,225 353,688 425,687 Total 29,114,926 23,139,728 2,711,605 3,263,597

CW = civil works, VAGST = Value added goods and services tax (Samoa)

10. Maintenance. The routine maintenance works in the first year will be limited to vegetation and drainage control only by the road maintenance contractor utilizing the community-based approach, whereas the civil works contractors will be responsible for defects on the road pavement and road furniture (road signs, markings, facilities) under their respective defects liability period (DLP) for 12 months after the construction completion. After the DLP and take-over of the project assets from civil works contractor, LTA will instruct routine maintenance contractor to maintain all road assets as per LTA specifications for the road maintenance.

11. The routine maintenance costs are derived based on LTA’s unit rates per km per year for total of 3 years starting immediately after the completion of the civil works (para. 10). As newly

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upgraded assets are expected to have lower cost of maintenance in the initial years, unit rate of $10,000/km/year for 3 years is assumed with total estimated cost of $600,000.

12. Land acquisition. Initial costs for land acquisition and payment for affected assets have also been developed by the TA consultants in 2018 and are being updated by LTA and MNRE in 2019–2020 through surveys and meaningful consultations with affected persons in the project area.

13. The final budget needed for the land acquisition will be established by MNRE and LTA based on the detailed design, however a preliminary estimate of $9.1 million was included in the project costs to be fully funded by the Government. The budget will cover land acquisition, compensation, livelihood restoration, monitoring and evaluation, contingencies and administrative expenses. The final resettlement plan(s) will include an itemized budget. A minimum of 10% contingency will be included in the requested budget amount.

14. Consulting services. An estimated $4.34 million for about 200 person-months of consulting services will be required to supervise and support implementation of the project including additional resources provided to MWTI. Inputs from various specialists will be required to support capacity building activities during implementation for which $1 million is set aside and details will be worked jointly by LTA and MWTI with support from supervising engineer.

15. Project management. Project management costs of $0.7 million to be financed by the Government are derived based on Government’s estimates to oversee project implementation and benchmarked against similar scale projects managed by LTA under the World Bank financing. LTA’s administration of the maintenance component is estimated at $0.55 million. In addition, ADB grant will finance additional four national specialist in procurement, gender and safeguards, financial management, and monitoring and evaluation to support 4 specialists already provided through World Bank project to the TISCD.

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13

C. Allocation and Withdrawal of Grant Proceeds

16. Table 6 sets forth the categories of works and other items to be financed out of the proceeds of the ADB grant and the allocation of amounts to each category.

Table 6: Allocation and Withdrawal of Grant Proceeds

Number Item

Total Amount Allocated for ADB

Financing ($) Percentage and Basis for Withdrawal

from the Grant Account 1 Works, Consulting

Services, Recurrent Costs, Equipment, Training

40,000,000 85% of total expenditures claimed

Total 40,000,000 Source: Asian Development Bank

D. Detailed Cost Estimates by Year

Table 7: Cumulative Cost Estimates by Year ($ million)

LTA = Land Transport Authority, MNRE = Ministry of Natural Resources and Environment, MWTI = Ministry of Works, Transport and Infrastructure Source: Asian Development Bank estimates.

2020 2021 2022 2023 2024 2025 2026A.

1 Civil Works 28.71 - 11.80 20.67 27.58 28.70 28.70 28.70 a. Package CW1 (km 0 - km 15.5) 22.47 - 7.86 14.61 21.35 22.47 22.47 22.47 b. Package CW2 - Lot 1 (km 15.5 - k 17.5) 2.82 - 2.40 2.82 2.82 2.82 2.82 2.82 c. Package CW2 - Lot 2 (km 17.5 - km 19.7) 3.41 - 1.54 3.24 3.41 3.41 3.41 3.41

2 Project Implementation Support 5.46 - 1.35 2.67 3.75 4.31 4.92 5.46 Construction Supervision Consultant 5.11 - 1.28 2.55 3.57 4.08 4.60 5.11 Technical Support to MWTI 0.35 - 0.07 0.12 0.18 0.23 0.32 0.35

3 Land Acquisition 8.40 4.20 8.40 8.40 8.40 8.40 8.40 8.40 4 Project Management Support 0.70 0.12 0.28 0.37 0.50 0.56 0.66 0.70

a. LTA's project management 0.40 0.04 0.08 0.14 0.20 0.26 0.36 0.40 b. MNRE's land acquistion management 0.15 0.08 0.15 0.15 0.15 0.15 0.15 0.15 c. MWTI's project coordination 0.15 - 0.05 0.08 0.15 0.15 0.15 0.15 Subtotal (A) 43.26 4.32 21.83 32.11 40.23 41.97 42.68 43.20

B. Recurrent Costs1 Road Maintenanace (2023-2026) 1.88 - - 0.12 0.35 1.07 1.67 1.89

a. Package RM1 (km 0 - km 19.7) 0.71 - - - - 0.25 0.49 0.71 b. Capacity Development to Support to MWTI & LTA 1.18 - - 0.12 0.35 0.82 1.18 1.18

2 LTA's Road Maintenance Administration 0.55 - - 0.01 0.17 0.33 0.44 0.55 a. Contracting and performance monitoring 0.50 - - - 0.15 0.30 0.40 0.50 a. Annual external financial audit 0.05 - - 0.01 0.02 0.03 0.04 0.05 Subtotal (B) 2.43 - - 0.13 0.52 1.40 2.11 2.40 Total Base Cost 45.60 4.32 21.83 32.24 40.75 43.37 44.79 45.60

D. 9.39 - - - 9.39 9.39 9.39 9.39 a. Physical 4.64 - - - 4.64 4.64 4.64 4.64 b. Price 4.75 - - - 4.75 4.75 4.75 4.75

55.00 4.32 21.83 32.24 50.14 52.76 54.18 55.00

Total CostItem

Investment Costs

Contingencies

Total Project Cost (A+B+C+D)

Year

14

E. Contract and Disbursement S-Curve

Table 8: Cumulative Contract Award and Disbursement Projections (ADB Grant)

Figure 2: Contract and Disbursement S-Curves

Year 2020 2026Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1

Contract Awards - 29.00 29.00 29.00 29.00 29.00 29.00 29.00 30.00 40.00 40.00 40.00 40.00 40.00 40.00 40.00 40.00 40.00 40.00 40.00 40.00 40.00 Disbursements - 2.80 5.60 8.39 11.19 13.43 16.11 19.34 19.96 23.95 28.74 34.49 36.33 36.87 37.42 37.99 38.37 38.67 38.98 39.29 39.39 40.00

20252021 2022 2023 2024

15

F. Physical Outputs by Year (Overall Project)

16

G. Fund Flow Diagram

17. The fund flow diagrams below show how the funds will flow from ADB to the Recipient to implement the project activities.

Figure 3: Funds Flow Diagram – Direct Payment

17

Figure 4: Funds Flow Diagram – Advance Account

18

V. FINANCIAL MANAGEMENT

A. Financial Management Assessment

18. The financial management assessment (FMA) was conducted in January 2019 in accordance with ADB’s Guidelines for the Financial Management and Analysis of Projects and the Financial Due Diligence: A Methodology Note. The FMA considered the capacity of the MOF and the LTA, including funds-flow arrangements, staffing, accounting and financial reporting systems, financial information systems, and internal and external auditing arrangements. The key findings are: (i) the MOF’s financial management policies, systems and procedures are sufficiently robust to meet ADB’s requirements; (ii) MOF has proven capacity to administer the advance account, but (iii) the relevant staff of the LTA and MWTI are unfamiliar with the ADB’s procedures and will likely need a short period of training under the Project. It is concluded that the overall pre-mitigation financial management risk of the executing agency and implementing agencies is moderate. The Recipient and executing agency and implementing agencies have agreed to implement an action plan as key measures to address the deficiencies. The financial management action plan is provided below.

Table 11: Summary of Financial Management Assessment

Risk Type Risk

Assessment Risk

Description Mitigation Measures Timing

Country specific risk

Low Unclear governance structure that may allow for lapses in supervision

ACDMD and TISCD to closely work together with support from supervision consultants.

Ongoing

Entity specific risk

Moderate Some observed weakness in FM capacity in LTA, MWTI due to unfamiliarity with ADB requirements

Additional training on ADB procedures and financial management requirements under the Project

At inception

Funds flow Low Delays in payment to contractors and suppliers

Direct payment will be used. Relevant staff of LTA will be trained on ADB disbursements including CPD.

At inception

Accounting Low Weak accounting policies & practices

The EA and IAs use computerized accounting system based on standards acceptable to ADB.

Ongoing

Internal audit

Low Shortcomings in internal go undetected by internal audit processes.

Project accounts will be subject to annual independent audits

External audit

Moderate Delays in submission of audit requirements and possible adverse findings

Audit requirements fully explained to EA/IA and submission of annual audited project financial statements is a major covenant.

Ongoing

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Risk Type Risk

Assessment Risk

Description Mitigation Measures Timing

Monitoring/ reporting

Low Weaknesses in the quality or coverage of quarterly reports

Financial data in quarterly reports should be reconciled with ADB’s GFIS, access to which will be extended to EA/IA.

Ongoing

Information systems

Low Failure of backup systems for Project accounts

Project information is linked to MOF systems for monitoring.

Ongoing

Overall Risk

Moderate

ADB = Asian Development Bank; ACDMD = Aid Coordination and Debt Management Division; CPD = Client Portal for Disbursement, EA = executing agency, GFIS = grant financial information services, IA = implementing agency, LTA = Land Transport Authority; MOF = Ministry of Finance; MWTI = Ministry of Works and Transport Infrastructure; TISCD = Transport Infrastructure Sector Coordination Division. Source: Asian Development Bank

19. Based on the FMA, the following actions are recommended: (i) a series of brief workshops should be provided under the Project to explain the ADB’s financial management requirements to the staff of the ACDMD, the TISCD and the LTA; and (ii) additional support on financial management should be provided to ACDMD and TISCD, complementing the support provided under the World Bank project, to ensure that the ADB’s requirements are met.

B. Disbursement

1. Disbursement Arrangements

20. The grant proceeds will be disbursed in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time).3 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.

21. The processing of payments to the consultants, suppliers and contractors will generally follow the fund flow diagrams shown in Figures 3 and 4 above, Section G. The LTA will be responsible for processing payment certificates, collecting and retaining supporting documents, preparing the disbursement projections, and requesting for counterpart budget through MWTI to MOF. The MOF will be responsible for reviewing and approving LTA’s payment certificates, preparing and submitting the withdrawal applications to ADB, opening and administering the project advance account, and submitting to ADB annual audited project accounts and financial statements. Withholding tax is an eligible expenditure to be financed by ADB and may be paid from the advance account or otherwise by reimbursement procedures.5 Withholding tax will be deducted for the billed amounts by the MOF in accordance with the Government regulations and paid to Ministry of Customs and Revenue.

22. Direct payment procedure will be generally used or civil works. Payment claims from the civil works contractors will be submitted to the named “Engineer” under their respective contracts,

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

handbook) 4 Disbursement eLearning. http://wpqr4.adb.org/disbursement_elearning 5 Such taxes are not yet identifiable and determinable as the final tax amount at the time of transaction.

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i.e., the Engineer. The LTA appoints the Resident Engineer of the construction supervision consultant as the Engineer. The International Federation of Consulting Engineers (FIDIC) conditions of contract used for all civil works under the Project regulate 56 days to make payments. The LTA will ensure that (i) the Engineer will either certify the payment or reject within 28 calendar days of submission from the contractors as per FIDIC provisions; and (ii) process the payment certificates through MWTI and submit to MOF within 10–12 calendar days. The MOF will review, make necessary adjustments/deductions and submit withdrawal applications to ADB’s Controller’s Department within 5–7 calendar days following the direct payment procedures described in the Loan and Disbursement Handbook (2017).

23. Advance fund procedure will generally be used for progress payments for all consulting services, office equipment, payment of withholding taxes to the Ministry of Customs and Revenue and other smaller value payments, generally within 30 calendar days. MOF will establish an advance account promptly after grant effectiveness at the Central Bank of Samoa. MOF will be responsible for the administration of the advance account and will be accountable and responsible for the proper use of the advances to the advance account. The currency of the advance account will be in United States dollars. The advance account will be used exclusively for ADB’s share of eligible expenditures. The advance will be the estimated expenditures to be financed by the grant for the forthcoming 6 months of project implementation. The MOF, based on the LTA’s needs, may request for initial and additional advances to the advance account based on an Estimate of Expenditure Sheet6 setting out the estimated expenditures to be financed through the account for the forthcoming 6 months. Supporting documents should be submitted to ADB or retained by MOF in accordance with ADB’s Loan and Disbursement Handbook when liquidating or replenishing the advance account.

24. Statement of expenditure procedure. The statement of expenditure (SOE) procedure may be used for reimbursement and liquidation of advances to the advance account.7 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.

25. MOF has a separate division responsible for aid coordination and debt management. This division 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. Therefore, it is assessed that the MOF has the capacity to administer the advance account and SOE procedure. Although LTA is new to ADB projects, financial management capacity is considered adequate to administer SOE procedures based on their experience on World Bank projects.

26. Withdrawal application. Before the submission of the first withdrawal application, the Government 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

6 Estimate of Expenditure sheet is available in Appendix 8A of ADB’s Loan Disbursement Handbook (2017, as

amended from time to time), 7 SOE forms are available in Appendix 7B of ADB’s Loan Disbursement Handbook (2017, as amended from time to

time).

21

is stipulated in the Loan and Disbursement Handbook. Individual payments below such amount should be paid (i) by MOF and subsequently claimed to ADB through reimbursement, or (ii) through the advance fund procedure, unless otherwise accepted by ADB. The Recipient should ensure sufficient balances are available in the grant allocation category and contract balances before requesting disbursements. Use of ADB’s Client Portal for Disbursements system is encouraged for submission of withdrawal applications to ADB.8

27. Disbursement of counterpart funds. Procedures for disbursements and liquidation of Government funds will follow the Public Finances Management Act 2001, the Treasury Instructions 2013 (as amended from time to time). The Government contribution to project costs will be budgeted by the MOF for in each project year with necessary funds placed in dedicated project counterpart account (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 LTA. Government will specifically provide funds to finance VAGST, duties, and compensation of land and properties.

2. Disbursement Arrangements for Counterpart Fund

28. The LTA will be responsible for preparing disbursement projections, and requesting, through MOF and MWTI, normal and supplementary budgetary allocations for counterpart funds.

C. Accounting

29. The MOF, with inputs from LTA, will maintain or cause to be maintained, separate books and records by funding source for all expenditures incurred under the project following cash-based accounting system following the Government’s financial regulations, which are in accordance with cash-basis International Public Sector Accounting Standards (IPSAS). The MOF, with inputs from LTA, will prepare consolidated project financial statements in accordance with the Government's accounting laws and regulations which are consistent with international accounting principles and practices. D. Auditing and Public Disclosure

30. The MOF will cause the detailed consolidated project financial statements to be audited in accordance with International Standards on Auditing by an independent auditor acceptable to ADB. It will submit to ADB audited project financial statements together with the auditor’s opinion in the English language within 6 months from the end of the Samoa’s fiscal year.

31. 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 of the project; and (iii) whether the recipient or executing agency was in compliance with the financial covenants contained in the legal agreements (where applicable).

32. Compliance with financial reporting and auditing requirements will be monitored by regular project review missions, country portfolio review missions, and other ad-hoc compliance review

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

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

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conducted by other ADB’s concerned departments, including the external auditor that ADB may engage separately.

33. The Government, MOF, and LTA 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.9 ADB reserves the right to require a change in the auditor (in a manner consistent with the constitution of the Recipient), 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 accounts to confirm that the share of ADB’s financing is used in accordance with ADB’s policies and procedures.

34. 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 2018.10 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.11

9 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 grant 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 grant.

10 Access to Information Policy: https://www.adb.org/documents/access-information-policy 11 This type of information would generally fall under access to information policy exceptions to disclosure. ADB. 2018.

Access to Information Policy. Paragraph 17(ix and xiii).

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VI. PROCUREMENT AND CONSULTING SERVICES

A. Advance Contracting and Retroactive Financing

35. All advance contracting will be undertaken in conformity with the ADB Procurement Policy (2017, as amended from time to time) and Procurement Regulations for ADB Borrowers (2017, as amended from time to time). The issuance of invitations to bid under advance contracting will be subject to ADB approval. The Recipient has been advised that approval of advance contracting and retroactive financing does not commit ADB to finance the project.

36. The advance contracting and retroactive financing is for: (i) open competitive bidding (OCB) packages for civil works—one for the international advertising and another for the national advertising with 2 lots, and (ii) recruitment of a consulting firm for project implementation support using quality- and cost-based selection (QCBS) with a standard quality-to-cost ratio of 80:20 and simplified technical proposal request. The OCB draft bidding documents for the civil works have been prepared and terms of reference for project implementation support is in Annex 1. An estimated 200 person-months of consulting services are required to (i) facilitate project management and implementation, and (ii) strengthen the institutional and operational capacity of the executing agency. The selection of the consulting firm is ongoing. The retroactive financing will be used for the consulting services up to 20% of grant proceeds for eligible expenditures within 12 months of grant signing. The procurement of civil works contracts started in the second quarter of 2020. B. Procurement of Goods, Works, and Consulting Services

37. The project will additionally procure one road maintenance contract at the end of civil works, recruit individual consultants, and procure office equipment to support project coordination and management, all following ADB’s Procurement Policy – Goods, Works, Nonconsulting and Consulting Services and Procurement Regulations for ADB Borrows – Goods, Works, Nonconsulting and Consulting Services. The request for quotation procedure will be used for procurement of equipment estimated less than $100,000.

38. Before the start of any procurement, ADB and the Government will review the public procurement laws of the Government to ensure consistency with ADB’s Procurement Policy – Goods, Works, Nonconsulting and Consulting Services (2017, as amended from time to time).

39. A comprehensive procurement risk assessment has been undertaken with detailed supply market analysis to achieve value for money (VfM) by choosing the optimal procurement arrangements for the project. The project will achieve the best VfM by: (i) using the e-procurement technology to lower the transaction cost and ensure transparency; (ii) attracting international and national contracting firms to ensure best utilization of their respective capacities to deliver quality civil works following OCB method in two packages—one for international advertisement ($15 million) and another for national advertisement with two lots ($2.5 million each); (iii) procuring international consulting firms following quality and cost-based selection (QCBS) to ensure high quality services. Further, the provisions related to abnormally low bids and stands still period will also be applied for civil works to maximize VfM.

40. An 18-month procurement plan with threshold and review procedures, goods, works, and consulting service contract packages and national competitive bidding guidelines is in Section C.

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C. Procurement Plan

1. Basic Data

Project Name: Central Cross Island Road Upgrading Project Project Number: 51268-001 Approval Number: Country: Independent State of Samoa Executive Agency: Ministry of Finance (MOF) Project Procurement Classification: Category B

Implementing Agency: Land Transport Authority (LTA) Project Procurement Risk: Low

Project Financing Amount: US$ 55,000,000 ADB Financing: Asian Development Fund (Special Funds) $ 40,000,000 Non-ADB Financing (Government): $ 15,000,000

Project Closing Date: March 2027

Date of First Procurement Plan: 8 March 2019, Version 1

Date of First Revised Plan: 19 October 2020, Version 2

Procurement Plan Duration (in months): 18 Advance Contracting: Yes

e-GP: Yes

2. Methods and Arrangements

41. Except as the Asian Development Bank (ADB) may otherwise agree, the following methods shall apply to procurement of goods, works, non-consulting services, and consulting services.

Procurement of Goods, Works, and Non-consulting Services

Method Comments Open Competitive Bidding (OCB) for Works with International Advertising

Local capacity is not available to deliver high value contracts for package CW-1

Open Competitive Bidding (OCB) for Works with National Advertising

Local capacity is available to deliver package CW-02 into two lots.

Consulting Services

Method Comments Open Competitive Bidding (OCB) with International Advertising using Quality and Cost-Based Selection (QCBS)

It has been assessed that the engagement of a single consulting firm to supervise the implementation of all works packages and undertake associated tasks is in the best interests of the project. As local firms do not have experience in undertaking projects of the value anticipated below in Section B, the package will be subject to international advertisement.

Individual Consultant selection (ICS) Provision of support from international/national experts is required to successfully implement the project.

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3. List of Active Procurement Packages (Contracts)

42. The following tables list goods, works, non-consulting, and consulting services contracts for which the procurement activity is either ongoing or expected to commence within the procurement plan’s duration.

Goods, Works, and Nonconsulting Services Contract Number

General Description

Estimated Value (US $m)

Procurement Method

Review

Bidding Procedure

Advertisement Date

Comments

CW -1

KM 0+000 to 15+500

Urban Section: Km

0+000 to Km 4+420 and Rural Section: 4+420 to 15+500

19.10 OCB Prior 1S1E Q4, 2020

Advertisement: International No. of Contracts: 1 Prequalification: No Domestic Preference: No Advance Contracting: Yes Bidding Document: Works E-GP: Yes

CW – 2

Lot 1

Lot 2

KM 15+500 to 19+686

CW-2A Km 15+500

to KM 17+500

CW-2B

Km 17+500 to 19+686

2.40

2.90

OCB Prior 1S1E

Q4, 2020

Advertisement: National No. of Contracts: 2 (max) Prequalification: No Domestic Preference: No Advance Contracting: Yes Bidding Document: Works E-GP: Yes

RFQ-001 Computer Equipment 0.02 Request for

Quotation Prior Q1, 2021 Purchase of office equipment

1S1E = single-stage: one-envelope, CW = civil works, E-GP: electronic government procurement system, OCB = open competitive bidding, Q = quarter, RFQ = request for quotation

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Consulting Services Package Number

General Description

Estimated Value (US$)

Selection Method

Review Advertisement Date

Type of Proposal

Comments

CS-1 Project

implementation consultant

4.34 QCBS Prior Q2 / 2019 STP

Type: Firm Assignment: International Q/C Ratio: 80:20. Advance contracting: Yes Bidding Document: ADB Standard RFP E-GP: No (opportunity advertised on ADB CMS)

CS-2 Procurement

Specialist (National)

0.05 ICS Prior Q1/2021

Type: Individual Assignment: National Advance contracting: No E-GP: CMS

CS-3 Safeguards Specialist (National)

0.05 ICS Prior Q1/2021

Type: Individual Assignment: National Advance contracting: No E-GP: CMS

CS-4

Financial Management

Specialist (National)

0.05 ICS Prior Q1/2021

Type: Individual Assignment: National Advance contracting: No E-GP: CMS

CS-5

Monitoring and Evaluation Specialist (National)

0.05 ICS Prior Q1/2021

Type: Individual Assignment: National Advance contracting: No E-GP: CMS

CMS = Consultant Management System, CS = consulting services, E-GP: electronic government procurement system, ICS = individual consultant, FTP = full technical proposal, Q = quarter, Q/C =Quality/Cost, QCBS = quality- and cost-based selection, RFP = Request for Proposal, STP = simplified technical proposal

27

4. List of Indicative Packages (Contracts) Required Under the Project

43. The following tables list goods, works, non-consulting, and consulting services contracts for which procurement activity is expected to commence beyond the current procurement plan duration of 18 months but over the life of the project.

Goods, Works, and Non-consulting Services Package Number

General Description

Estimated Value (US$)

Procurement Method

Review

Bidding Procedure

Advertisement Date

Comments

RM1 Maintenance 0.60 OCB Prior 1S1E Q4 / 2023 Advertisement: National No. of Contracts: 1 Prequalification: No Domestic Preference: No Advance Contracting: No Bidding Document: Works E-GP: Yes

1S1E = single-stage: one-envelope, E-GP = electronic government procurement system, OCB = open competitive bidding, RM = routine maintenance

Consulting Services Package Number

General Description

Estimated Value - US$ (app.)

Selection Method

Review Advertisement Date (quarter/year)

Type of Proposal

Comments

Currently Nil

5. List of Awarded and Completed Contracts

44. The following tables list awarded and completed contracts for goods, works, non-consulting, and consulting services.

Goods, Works, and Nonconsulting Services Package Number

General Description

Contract Value US$

Date of ADB Approval of

Contract Award

Date of Completion

Comments

Currently Nil

Consulting Services Package Number

General Description

Contract Value US$

Date of ADB Approval of

Contract Award

Date of Completion

Comments

Currently Nil

VII. SAFEGUARDS

45. Safeguards due diligence has been undertaken in accordance with ADB’s Safeguard Policy Statement 2009.

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46. Environment. The project is category B for environment because the impacts of the upgrading, drainage and resealing works on a 20km section of the existing road will be site-specific, largely created during the construction period, and most of the foreseen environmental impacts can be readily mitigated or managed. A preliminary environmental assessment report (PEAR), as equivalent to an initial environmental examination, has been undertaken. The PEAR has identified that while the existing road traverses an area of urban and rural Apia which has already been highly modified and a short section of the road passes through a wider area designated as Apia Catchments key biodiversity area (KBA) and important bird area (IBA) which supports endemic, endangered, or significant terrestrial biodiversity. Some 7 km of the Central Cross Island Road between km 2+000 and km 9+000 passes through the Apia Catchments Key Biodiversity Area (KBA) which is also recognised as an Important Bird Area (IBA). Screening was undertaken to identify critically endangered and endangered threatened species listed both internationally and nationally. The IUCN Red List was referenced to provide further information on species status. A Critical Habitat Assessment was undertaken to determine if the project is situated in critical habitat. The CHA process also further identified detailed habitat status within the project vicinity. As a result, the CHA has identified the following:

(i) Critically endangered and endangered threatened species are present but are likely to be found beyond 1 km either side of the road and within the wider KBA/IBA area.

(ii) that endemic and restricted-range species also meet the same conditions as for threatened species;

(iii) The Project does not impact on threatened ecosystems or key evolutionary processes and therefore no loss of Critical Habitat occurs which might require offsetting; and

(iv) The Project is located within a wider area of conservation interest which is identified as Critical Habitat, however, a corridor from Apia to Si’umu of degraded or modified habitat has developed adjacent to the road, thereby reducing its value for biodiversity.

47. The road, the right of way and degraded habitat within 1 km do not satisfy the conditions for critical habitat. Further screening and detailed assessment have demonstrated that threatened species are unlikely to interact with the project footprint, instead preferring to utilise habitat further away from the road and disturbed degraded habitat. No net loss of critical habitat is likely to occur as a result of delivering the Project. The existing road and proposed project upgrading (construction limit-of-works) does not impinge on any areas of non-degraded or undisturbed forest. The degraded vegetative zone between the road corridor and the non-degraded forest may have habitat values but do not satisfy the criteria for critical habitat.

48. The construction works will be entirely confined to the footprint of the existing road right-of-way (ROW); the habitat values within the ROW are already severely degraded due to the influence of the existing road (confirmed by field assessments). To minimize, as far as possible, impacts beyond the existing road and drainage area, laydown and materials storage beyond the road corridor will be restricted. Construction management, including timing of some activities to avoid breeding season of key species, will be very important and measures have been included in the environmental management plan (EMP) to address this. The PEAR concluded that: (i) the project can meet the three thresholds for allowing a project to go ahead in an area of critical habitat; (ii) there are no significant adverse environmental impacts; and (iii) expected impacts will be construction-related, localized, and manageable if the mitigation measures are implemented and closely monitored. An EMP has been prepared setting out environmental mitigation measures to be adapted during implementation of the project.

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49. The civil works will be tendered as two contract packages; Civil Works (CW)-1 and CW-2 and successful contractors will prepare their construction EMP (CEMP) based on the EMP updated during detailed design, and detailing and reflecting their construction methodology and approach to the main construction elements, risk assessment and mitigation measures. The CEMP will include a health and safety plan aligned with the World Health Organization 2020 considerations for public health and social measures in the workplace in the context of the coronavirus disease pandemic,12 which includes guidelines on the use of personal protective equipment. The LTA, supported by the construction supervision consultant, will review and approve the CEMP of each contractor prior to commencement of any physical works (including site clearance) on any section. As the two lots comprised in Civil Works-2 are intended for national bidding, it is likely additional support and guidance will need to be provided to those contractors to ensure that all project requirements are fully complied with. The consultant’s team will include minimum of 30 person-months of environmental and health and safety specialists to work closely with the LTA’s safeguards officer.

50. With the development and implementation of the CEMP as described in the PEAR, the environmental-related impacts from the construction phase will be minimal. Of greater concern are the safety aspects of the road during construction, as there are many schools, churches and residences located in the urban part of the road. The development and implementation of a Traffic Management Plan will serve to minimize the risk to public safety, and this is added as one of the subset plans under the overall construction management plan included in the project.

51. The operation of the upgraded project road should have beneficial effects on the surrounding environment overall. The improvement of the road will allow more efficient travel and improved traffic flow. The improvement of crossing drains will reduce the chances of erosion due to uncontrolled run-off. The smoother asphalt pavement and improved roadside gutters and drainage can be expected to reduce noise and the accumulation of roadside dust and therefore air pollution from noise and disturbed dust should also be reduced. The installation of traffic calming measures, new signage, safety barriers, dedicated bus stops and pedestrian walkways will also improve the safety of the road.

52. Social. Following preliminary road design that used 20.0m right-of-way (ROW) width and subsequent consultations with LTA, the nominal 16.0m ROW was adopted for the entire road upgrade to minimize the resettlement impacts. This is the minimum acceptable widening required for road safety and to accommodate new drainage facilities, yet the new construction will largely be confined to the existing alignment and road footprint. Irrespectively, land still needs to be formally acquired to achieve this as there is little consistency with the existing ROW width, which in places is as narrow as about 10.0m.

53. Based on SPS (2009), the Project will be classified as category “B” in terms of involuntary resettlement (IR) and require a resettlement plan to address adverse impacts. Accordingly, a draft resettlement plan has been prepared and will be finalized based on the detailed measurement surveys and inventory of losses in consultation with all affected persons. During project preparation stage, community consultations were conducted in accordance with the SPS (2009) and all requirements will continue to be met during the finalization and implementation of the resettlement plan.

12 World Health Organization. 2020. Considerations For public Health and Social Measures in the Workplace in the

Context of COVID-19. https://www.who.int/publications-detail/considerations-for-public-health-and-social-measures-in-the-workplace-in-the-context-of-covid-19

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54. Due to the nature of customary land ownership in Samoa, affected persons can be broader than those who reside on or utilise the land. Broadly, affected persons define those owners affected through lost land, assets, or both. Lost assets may include existing structures that will be affected by the project e.g., fences, hedges, trees, and temporary structures e.g. road-side vendor shacks. Construction will not commence in a section of the road until compensation has been fully disbursed to the affected people and a completion report for this section has been cleared by ADB.

55. The MNRE is the responsible agency for land management in Samoa. It will conduct detailed measurement surveys, inventory of losses, negotiate with landowners and prepare a detailed compensation plan and implement it. The LTA will have the overall responsibility in overseeing the key activities prior to site possession and commencement of civil works, including: (i) completion of land surveys, detailed measurement survey, census and inventory of losses; (ii) consultation with each affected lot owner and customary landowner groups regarding the compensation and entitlements; (iii) working with utility providers to develop plans for utility relocations; (iv) finalizing the resettlement plan, securing ADB’s clearance, and publicly disclosing; (v) implementing the resettlement plan, including compensation and entitlement payments; and (vi) submitting compensation completion report. All consultation and disclosure activities will continue to be undertaken with the affected households, landowner groups and other concerned persons throughout the finalization of the resettlement plan and the implementation period. The updated resettlement plan(s) and completion report may be separated according to civil works contracts, and/or by road section, to allow for civil works to commence earlier in some sections.

56. The LTA will ensure that adequate staff and resources are made available for supervising and monitoring the implementation of the resettlement plan. The supervision team will have a minimum of 25 person-months of social safeguards, gender and communication specialists who will assist LTA and MNRE during project implementation. The MOF will be responsible for compliance monitoring of implementation with resettlement plan. Monitoring reports will be submitted to ADB (concurrently to MOF) semi-annually for review and disclosure. These reports will describe the progress of implementation of resettlement activities and any compliance issues and corrective actions, if identified.

57. Indigenous peoples. The project is categorized as C for indigenous peoples according to SPS (2009). The project beneficiaries are not considered as both distinct from mainstream society and vulnerable. Nonetheless, all project activities will be undertaken in a culturally appropriate manner.

58. Public consultation and communication. Public consultation was undertaken and conducted in line with the findings and recommendations described in the Rapid Gender Assessment, to capture gender specific issues that may have been missed during previous rounds of consultation. The stakeholder consultation process disseminated information to all key stakeholders including the general public and the authorities through meetings and surveys along the project corridor. Information was provided on the scale and scope of the Project works and the expected impacts and the proposed mitigation measures through meetings and surveys. The process also gathered information on relevant concerns of the local community relating to the project implementation stages.

59. A Grievance Redress Mechanism (GRM) will be established by LTA to help resolve issues associated with the Project. The GRM will receive, evaluate and facilitate the resolution of affected people’s concerns, complaints and grievances about the environmental and social performance

31

of the Project. Resolution of these issues and concerns will be undertaken expeditiously and according to the procedures of the GRM. The complaints/issues registry maintained at the site project office and by the contractor will be subject to monitoring. The GRM will aim to provide an accessible, time-bound and transparent mechanism for the affected persons to voice and resolve social and environmental concerns linked to the Project. The GRM was discussed during public consultation meetings, where affected persons were informed about their rights and procedures for addressing complaints.

60. Prohibited investment activities. Pursuant to ADB’s Safeguard Policy Statement, ADB funds may not be applied to the activities described on the ADB Prohibited Investment Activities List set forth at Appendix 5 of the Safeguard Policy Statement.

VII. GENDER AND SOCIAL DIMENSIONS

61. The project is classified as effective gender mainstreaming and a gender action plan (GAP) has been prepared with specific gender activities, targets and indicators. Key gender design features include: gender design features such as street lighting and bus shelters at strategic locations along the highway; provisions for road safety and HIV/AIDS awareness; women’s employment in routine maintenance work; training to bus drivers on preventing sexual harassment; and an institutional gender gap analysis of LTA. The GAP is presented below. The LTA’s Gender Specialist will be responsible for the implementation of the GAP working closely with the Supervision Consultant’s Social Development Specialist. These specialists will also provide awareness sessions on gender issues in transport sector to MWTI and/or Ministry of Women, Community and Social Development, contractor, and communities.

Gender Action Plan

ACTIONS INDICATORS / TARGETS RESPONSIBILITY Output 1: Central Cross Island Road upgraded and made safer Install road safety facilities to cater for special needs of women, children, the elderly and the disabled.

• 8.4 km of footpaths, 11 pedestrian crossingsa, and 18 bus stop laybys constructed with universal access considerations (inclusive of gender design features, such as lighting, and access features for people with disabilities) (2020 baseline: 0)

• Road signage related to speed, humps, speed as well as school pedestrian crossings (baseline: none)

• Pedestrian safety speed bumpsb • Covered bus shelters provided at Vailima primary school

and Siumu intersection (baseline: none) • Power grid-connected road lighting for the urban area.

(baseline: none). • Lighting in Siumu area for new footpath. • Lighting of 2 bus baysc.

1.

SSGS /LTA

Output 2: Maintenance of Central Cross Island Road improved Contractors required to meet contractual

• Annual gender training (HIV/AIDS, GBV, PSEA) of all contractors and construction crew – prior to commencement then annually

SSGS; Contractors; LTA

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ACTIONS INDICATORS / TARGETS RESPONSIBILITY obligations on use of local unskilled and semi-skilled labour.

• Ongoing HIV/AIDS and GBV awareness training program provided to key community groups along the road (youth groups, women’s groups) (baseline: none). Training will start prior to commencement of operations and run periodically until the end of the works contractd.

• Local temporary employment opportunities for unskilled or semi-skilled labor roles (10% for womene) (baseline: none)

• LTA maintenance contracts include 30% female participation in community-based maintenance contracts. (2019 baseline: none) f

Output 3: Institutional capacity to manage the road network strengthened Gender training and institutional strengthening

• Assessment to make recommendations to address gender dimensions of commuting safety and public transportation (including bus capacity vs demand) through the jurisdiction of LTAg

• At least 3 training programs on project management and 3 training programs on road maintenance & asset management conducted h.

• Gender strategy for LTA’s human resource development and capacity building developed (baseline: no gender strategy).

• Gender sensitization training for: o LTA Technical staff, road management division and

road traffic officers (approx.7 women and 28 Men) o MNRE -lands division (approx.11 women; 18 men) o MWTI – land transport division (approx. 4 women; 2

men) o Road safety committee – 5 members (all men)

Supervision consultant’s SSGS, Road Safety Specialist and National Communication Specialist; LTA

Personal public transport safety

‘Preventing sexual harassment on buses’ campaign on Siumu side. This will include:

• Gender sensitization of bus drivers • Awareness raising of the gender issues currently

experienced and materials to promote awareness; • Prevention mechanisms (load control, better lighting at bus

stops, etc.) • Information on key referral pathways for women and girls

who have experienced violence or harassment

Supervision consultant’s SSGS, Road Safety Specialist and National Communication Specialist; LTA

Commuting safety

• At least 2 gender-sensitive behavior change communication campaigns on road and transport safety conducted prior to opening of the road to traffic.

• More than 10%i of personnel from LTA providing road safety training are women (baseline: 0).

• All schools and village groupsj impacted by the CCIRUP receive road safety training (current baseline: no training).

Supervision consultant’s SSGS, Road Safety Specialist and National Communication Specialist; LTA, Ministry of Women, Community and Development.

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ACTIONS INDICATORS / TARGETS RESPONSIBILITY Ministry of Education, Sports and Culture, Police Department

CCIRUP = Central Cross Island Road Upgrading Project; GBV = gender-based violence; LTA = Land Transportation Authority; MNRE = Ministry of Natural Resources and Environment; MWTI = Ministry of Works, Transport and Infrastructure; PSEA = protection against sexual exploitation and abuse; SSGS = senior and junior social safeguards and gender specialists; RFI = results framework indicator.

a Eleven zebra crossings placed in strategic locations (including school zones – Vailima Primary School) in the Apia urban road section (1 zebra crossing and 1 speed bump currently)

b The number of speed bumps will be determined in consultation with the affected persons. c Areas for lighting highlighted as priority areas during consultation with communities, particularly women. d Training program and target participants will be developed by training providers at the start of the project. Focus will

be trainings related specifically to the project e.g. cat-calling and other harassment to local residents; threatening contractor driver behavior; sexual harassment on or near construction sites, risk of sexual violence while using public utilities (latrines, bathing areas, etc.), and risk of sexual violence in public transportation.

e Road works are not considered a culturally favored workspace for women in Samoa, hence local procurement opportunities for women would mainly be in areas such as: catering cleaning and roadside beautification.

f Currently women are providing 30% of community-based maintenance but this is not paid work. This project will ensure women who are doing this work are paid.

g Initial consultations highlighted that women and girls do not always feel safe on public transport, particularly when buses are very busy.

h All qualified women and men from MNRE, MWTI and LTA (approx. 53 men and 22 women) receive training on project management and road maintenance and asset management. (2019 baseline: 0)

i Currently no women in this role. j Two schools and two villages (Vailima and Siumu)

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VIII. PERFORMANCE MONITORING, EVALUATION, REPORTING, AND COMMUNICATION

A. Project Design and Monitoring Framework (DMF)

Impacts the Project is Aligned with Transport sector governance framework strengthened (Transport Sector Plan, 2014–2019)a Road transport network improved, sustained, and climate-proofed (Transport Sector Plan, 2014–2019)a

Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks Outcome By 2027: Central Cross Island Road made more sustainable, more efficient, more climate resilient, and safer

a. Road agency costs for periodic maintenance reduced by 20% (2020 baseline: ST? per km per year) b. Road user costs through improved ride quality reduced to IRI 2.5 m/km (2019 baseline: IRI 3–7 m/km) c. Ratio of accidents resulting in serious injury or loss of life per year reduced to 3.5 fatalities and serious injuries (2019 baseline: 6.5 fatalities and serious injuries) d. Road length with 3-star iRAPb rating for vehicle occupants increased to 17.9 km (2019 baseline: 4.5 km) e. Road length with at least 4-star iRAP rating for pedestrians increased to 4.5km (2019 baseline: 0) f. 1-star iRAP rating for both pedestrians and vehicle occupants eliminated completely (2020 baseline: 8.3 km)

a.–b. LTA’s annual expenditure reports c. National accident statistics produced by LTA. d.–f. iRAP ex-post rating

Climate change risks are underestimated. Speed limitation measures are not adequately enforced.

Outputs By 2024: 1. Central Cross Island Road upgraded and made safer

1a. 20 km two-lane road upgraded and climate-proofed to average operating speed of 55 km/hour (2020 baseline: 0 km) (RFI A) 1b. 8.4 km of footpaths, 11 pedestrian crossings, and 18 bus stop laybys

1a.–1b. Project quarterly and completion reports prepared by LTA

Delay in implementation because of disputes over land compensation packages and uncertainty over COVID-19 pandemic

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Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks constructed with universal access considerations (inclusive of gender design features, such as lighting, and access features for people with disabilities) (2020 baseline: 0)

International bidders not interested in tender because of remoteness, project size, and global health risk issues.

2. Maintenance of Central Cross Island Road improved

By 2026: 2a. Routine maintenance contract piloting community participation along the upgraded 20 km two-lane road successfully implemented (2019 baseline: not applicable); 2b. LTA maintenance contracts included 30% female participation in community-based maintenance contracts (2020 baseline: 0%)

2a.–2b. Project completion report prepared by LTA

3. Institutional capacity to manage the road network strengthened

By 2026: 3a. Road transport GHG emission reduction policy, regulations, and targets strengthened (2020 baseline: not applicable) 3b. At least three training programs on project management and three training programs on road maintenance and asset management conducted (including technology transfer to local contractors) (2020 baseline: 0) 3c. At least two gender-sensitive behavior change communication campaigns on road and transport safety conducted prior to opening of the road to traffic (2020 baseline: 0); 3d. Gender strategy for LTA’s human resource development and capacity building

3a. Published policy and regulatory documents by the Ministry of Natural Resources and Environment and LTA 3b.–3d. Project quarterly reports and training evaluation reports by LTA

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Results Chain Performance Indicators with

Targets and Baselines Data Sources and

Reporting Mechanisms Risks developed (2020 baseline: not applicable)

Key Activities with Milestones 1. Central Cross Island Road upgraded and made safer 1.1 Detailed design completed by May 2020 (completed). 1.2 Final resettlement plan for implementation approved by Q4 2020 (draft disclosed on ADB website). 1.3 Selection of construction supervision consultant completed by October 2020 (under evaluation). 1.4 Procurement of civil works started by October 2020 and completed by April 2021. 1.5 Resettlement compensations started by Q4 2020 and substantially completed by Q1 2021 (started). 1.6 Civil works started by Q1 2021 and completed by Q4 2023. 2. Maintenance of Central Cross Island Road improved 2.1 Bid documents for maintenance contract prepared by Q1 2023. 2.2 Procurement of maintenance contract prepared by Q1 2023 and completed by Q3 2023. 2.3. Maintenance contract started by Q4 2023 and completed by Q4 2026.

3. Institutional capacity to manage the road network strengthened 3.1 Detailed assessment of capacity needs complete by Q1 2021. 3.2 Capacity development plans, including gender actions design and implemented during 2021–2023. 3.3 Effectiveness of the capacity development activities reviewed in 2024–2025. Project Management Activities Assess and confirm the implementation arrangements in consultation with the World Bank and the Ministry of Finance.

Implement resettlement plan before works start.

Oversee implementation of environmental management plan.

Oversee performance of supervision consultant and contractors. Inputs ADB: $40.0 million (grant) Government of Samoa: $15.0 million Assumptions for Partner Financing Not applicable

ADB = Asian Development Bank, COVID-19 = coronavirus disease, iRAP = International Road Assessment Programme, IRI = International Roughness Index, km = kilometer, LTA = Land Transport Authority, RFI = results framework indicator, Q = quarter. Contribution to the ADB Results Framework: RFI A: Roads built our upgraded (km). Target: 20 km. a Government of Samoa, Ministry of Works, Transport and Infrastructure. 2014. Transport Sector Plan, 2014–2019.

Apia. b iRAP has delivered road safety solutions in more than 70 countries and is uniquely placed in ADB road safety

operations being the only entity that has established a specialized road safety assessment methodology that has been successfully implemented in several developing member countries. The methodology is named Star Ratings and provides an objective measure of the level of safety “built in” to the road. 5-star roads are the safest, while 1-star roads are the least safe.

Source: Asian Development Bank. B. Monitoring

62. Project performance monitoring. Project performance will be monitored using the targets, indicators, assumptions, and risks in the DMF. 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 (QPR) and after each ADB review

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mission. These quarterly reports will provide information necessary to update ADB's project performance reporting system.

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

64. Safeguards monitoring and reporting. Environment and social safeguards will be monitored by the safeguards specialists of the construction supervision team supporting LTA, in accordance with the requirements of the PEAR and the resettlement plan. The specialists will provide safeguards updates as part of the quarterly progress report and based on those inputs and summaries of the monthly reporting by the contractors, the LTA will submit semi-annual safeguards monitoring reports to the Government and ADB. The outline table of contents for semiannual monitoring reports is contained in Annex 2. ADB review missions will monitor the project’s overall safeguards compliance and be guided in this by the checklists in Annex 3. Once accepted by ADB, the semi-annual safeguards monitoring reports will be publicly disclosed in ADB and Government websites.

65. Gender and social dimensions monitoring. The LTA with support from the supervision consultants, will monitor gender and social dimensions of the project as per the specific activities and targets and implementation timeline set out in the GAP. A monitoring framework (based on GAP activities and targets) will be developed and the LTA’s Gender Specialist with inputs from the supervision consultant and contractor’s monthly progress report will prepare and submit a bi-annual GAP Monitoring Report to MOF and ADB. This will highlight the progress per proposed activities, issues and challenges in achieving the targets and proposed strategies and resolution to maintain effective implementation of GAP activities. C. Evaluation

66. 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.

D. Reporting

67. The executing 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 executing agency audited financial statement together with the associated auditor's report, should be adequately reviewed.

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E. Stakeholder Communication Strategy

68. During the preparation phase of the project, a communication strategy and communication plan was prepared that indicates the types of information, means of communication, who will provide and to whom including at what intervals to the stakeholders about the project as well as its implementation. Different modes of communications will be utilized as required and as appropriate to the audience. Communications will include project notice boards, notices in newspapers, recruitment of liaison officer in the contractor’s staff, disclosure of reports in Ministry of Communication and Information Technology and local authority offices and be made available at contractor’s camps and offices.

IX. ANTICORRUPTION POLICY

69. ADB reserves the right to investigate, directly or through its agents, any violations of the Anticorruption Policy relating to the project.13 All contracts financed by ADB shall include provisions specifying the right of ADB to audit and examine the records and accounts of the executing agency 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.14

70. To support these efforts, relevant provisions are included in the grant agreement and/or regulations and the bidding documents for the project.

X. ACCOUNTABILITY MECHANISM

71. 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.15

XI. RECORD OF CHANGES TO THE PROJECT ADMINISTRATION MANUAL

13 Anticorruption Policy: http://www.adb.org/Documents/Policies/Anticorruption-Integrity/Policies-Strategies.pdf 14 ADB's Integrity Office web site: http://www.adb.org/integrity/unit.asp 15 Accountability Mechanism. http://www.adb.org/Accountability-Mechanism/default.asp.

Annex 1 39

SAMOA – CENTRAL CROSS ISLAND ROAD UPGRADING PROJECT

CONSTRUCTION SUPERVISION

SCOPE OF WORK AND TERMS OF REFERENCE

A. BACKGROUND

1. The Government of Samoa (the Government) requested assistance from the Asian Development Bank (ADB) for the Central Cross Island Road Upgrading Project (the Project)– a priority investment in the transport sector. ADB financing has been requested to supplement ongoing efforts by the World Bank to help the Government of Samoa improve its road infrastructure. The Project will finance (i) the upgrading of about 20 kilometers (km) of national road with climate proofing considerations, incorporating innovative technologies, road safety and gender-inclusive elements, (ii) an improved maintenance targeting female participation in community-based maintenance contracts, and (ii) the institutional capacity development for the road subsector, complementing World Bank’s longstanding experience in the road sub-sector. 2. Samoa’s land transport depends on key arterial roads that serve the two main islands, Upolu where capital Apia is located, and Savai’i. Upolu is served by three cross island roads strategically located at the eastern, western, and central sections. The Central Cross Island Road is the key arterial road connecting West Coast Road in Apia with the South Coast Road in Siumu. The project road is about 20 kilometers (km) that provides access to eight villages and to the capital, Apia. The existing two-lane narrow carriageway (4 meters–5 meters) road carrying up to 6,000 average daily traffic along first 5 km, and up to 1,500 average daily traffic thereafter, is unsafe for road users and in need of upgrading. The Project is included in the Country Operations Business Plan and aligned with ADB’s Strategy 2030 operational focus areas for building climate and disaster resilience, accelerating progress in gender equity, strengthening governance and promoting the use of innovative technologies. 3. The upgrading of Central Cross Island Road will include: (i) minor realignment and widening the existing narrow carriageway (4 meters–5 meters) to safe design speeds of 40 km/hour along urban road section and 60 km/hour along non-urban road section; (ii) reconstructing the road pavements for 20-years design life with asphalt paved traffic carriageway width of 7.0 meters, 4.5 meters verge for utility reserve and hard shoulders in urban areas and 2.0 meters unsealed shoulder in non-urban areas and strengthening the subbase and base course layers to carry the projected traffic loads; (iii) reconstructing and providing new cross- and side-drains to protect the road from climate- change induced extreme rainfall events;12 and (iv) constructing roadside facilities incorporating gender-sensitive and vulnerable road user-friendly features. 4. The project has been prepared using ADB’s Transaction Technical Assistance (TRTA) grant. The TRTA found the project to be economically feasible, with social and environmental impacts that could be effectively mitigated. The Project is also supported by the United Nations Development Programme (UNDP) to develop detailed engineering designs using Green Climate Fund resources. Based on the TRTA study, the estimated cost of the project is about US$40 million.

40 Annex 1

5. The impact of the project will be strengthened transport sector governance framework; and improved, and sustained climate-proof road transport network. The outcome of the project will be improved central cross island road contributing to enhanced resilient and safer road network. The project will have the following output: (a) Upgraded central cross island road will contribute to climate resilience, disaster preparedness and improved road safety. The Project will finance the upgrading of about 20 km of national road incorporating climate resilient pavement materials and drainage facilities to withstand increased rainfall intensity, innovative technologies, and road safety features; (b) Improved maintenance of central cross island road contributing to the development of sustainable and gender-inclusive road network. The Project will finance 3-year routine maintenance of the upgraded central cross island road commencing immediately after the physical completion of the road upgrading. It will pilot the use of performance-based contracting with community participation targeting 30% of contracts to be signed with women; (c) strengthened institutional capacity leading to improved road network management. The Project will finance a capacity strengthening for the road subsector, complementing World Bank’s initiatives.

B. OBJECTIVE OF THE ASSIGNMENT

6. Objective. The main objective of the consulting assignment is to-

(i) ensure high standards of quality assurance in execution of works and

completion of work within stipulated contract period; (ii) comprehensive supervision of project implementation activities carried out

by the contractor(s) to ensure complete compliance with the drawings, technical specifications and various stipulations in the contract documents, and

(iii) monitor safeguards implementation includes environment, social, gender, health and safety activities associated with the project.

7. The project will include rehabilitation and reconstruction of about 20 km of urban and rural roads divided into two major contract packages, Civil Works (CW)-1 and CW-2 (includes 2 lots) which are planned for procurement as follows:

Contract Number

General Description Procurement Method

Bidding Procedure

Comments

CW -1

KM 0+000 to 15+500

Urban Section: Km 0+000 to Km 4+420 and Rural Section: 4+420 to 15+500

Open Competitive

Bidding

Single stage- one envelope

Advertisement: International No. of Contracts: 1 Prequalification: No Domestic Preference: No Advance Contracting: Yes Bidding Document: Works E-GP: No

KM 15+500 to 19+686 Open Competitive

Bidding

Single stage- one envelope

Advertisement: National No. of Contracts: 2 (max) Prequalification: No Domestic Preference: No Advance Contracting: Yes Bidding Document: Works E-GP: No

CW – 2

Lot 1

CW-2A Km 15+500 to KM

17+500 CW-2B

Lot 2 Km 17+500 to 19+686

CW = civil works, E-GP: electronic Government procurement system

Annex 1 41

8. The scope of civil works for the road contracts will involve the following period two period:

(i) Construction 36 Months (ii) Defects Liability 12 Months

9. Accordingly, the consulting services involve the following tasks during the construction supervision and defect liability periods.

C. SCOPE OF SERVICES – PRINCIPAL ACTIVITIES

10. The start-up and procurement support: Scope of work covers the following principal activities:

(i) Review all aspects of the TRTA feasibility study and detailed designs to

determine whether final designs have adequately incorporated feasibility study design recommendations and whether further adjustments will be required to improve the detailed designs by the contractors;

(ii) Recommend to the Employer practical means to make critical improvements, if any, to the detailed designs through modification of contractors’ contracts based on above review;

(iii) Assist MWTI and LTA with procuring contractors to construct the works including pre-bid processes, i.e. responding the bidders’ inquiries, training on ADB’s procurement procedures to national contractors, pre-bid meeting if required, bid evaluation and assistance in contract negotiations and finalizing contract documentation for signing. This task will also include technical evaluation of the alternative solutions proposed by the bidders, if any, and providing recommendations to the Employer on technical soundness and constructability of such alternative solutions;

(iv) Assist LTA and MNRE in all land acquisition and compensation associated activities and consultations/negotiation based on the final Resettlement Plan including updating of RP and undertaking additional safeguards due diligence/assessment if required; Assisting LTA and MNRE in the updating, implementation, and monitoring of the resettlement plans based on detailed design;

(v) Ensure that the project complies with the environmental and social safeguard requirements;

(vi) Assist LTA in the detailed planning and implementation of the Gender Action Plan in close collaboration with relevant agencies and organizations;

(vii) Undertake a baseline study for the project’s benefit monitoring program; (viii) Finalize capacity development plan and providing training and awareness

training programs;

11. The implementation support scope of work will include the following activities:

42 Annex 1

(i) As the Engineer for the contracts, as defined in the FIDIC Conditions of

Contract under which the contracts will be administered13, supervise all construction activities to ensure that the contracts are implemented, and the works completed, in accordance with the contract provisions;

(ii) Support LTA to review and confirm the materials sources to be used for the project. Ensure that each source (including any existing quarries) have development consent (and other permits as required). For sources without development consent, ensure the contractor(s) apply for and obtain development consent and other permits prior to extraction and use of materials for the project;

(iii) Support, as required, the contractors to prepare their construction environmental management plan (CEMP). Provide LTA with advice on submitted CEMP including when each CEMP is satisfactory for clearance/approval;

(iv) Undertake environmental monitoring and reporting semi-annually based on the approved CEMP;

(v) Assist the LTA in implementing and monitoring of the RP including update or formulation of an RP for unanticipated impacts and/or preparing corrective action plans for safeguards non-compliances as required during implementation;

(vi) Ensure that contract payments are certified, and payments made, in accordance with the contracts;

(vii) Progressively update the project’s monitoring and evaluation information, based on the baseline study completed during the detailed design phase;

(viii) Assist with implementing the project’s Gender Action Plan; (ix) Implement the capacity development plan prepared under the TRTA; (x) Provide the Government and ADB with progress and other reporting in

the form as per the Project Administration Manual (PAM) and to the frequency as per projects overall milestone reporting requirements;

(xi) Provide general project implementation support to LTA during the implementation phase, also including project coordinating meetings.

Annex 1 43

D. DETAILED TASKS OF THE ASSIGNMENT D.1 CONSTRUCTION SUPERVISION

12. The civil works will be executed under ADB’s standard bidding documents

(Procurement of Civil Works, latest version available on www.adb.org), which are based on the Fédération Internationale des Ingénieurs-Conseils (FIDIC, MDB harmonized construction contracts) Conditions of Contract. Following the FIDIC Conditions of Contract, the Employer will be LTA, the Engineer will be the construction supervision consultant, and the Engineer's Representative will be the consultant’s team leader or the resident engineer for the supervision tasks. In accordance with the FIDIC based contract between LTA and the civil works contractor, the Engineer will undertake the responsibilities defined in the Conditions of Contract, which will include the following: (i) act impartially and make determinations in accordance with the contract; (ii) assist LTA with (a) pre-bid process, evaluating bids and preparing bid

evaluation reports; and (c) answering inquiries from bidders during the bidding processes;

(iii) assist LTA with preparing formal contracts for each of the packages; (iv) assist LTA with arranging and completing the signing of the project’s civil

works contracts;

(v) represent the interest of LTA in any matters related to the construction contract and the proper execution thereof;

(vi) review and recommend for approval of LTA the contractor’s working schedule or revisions thereto and any such plans or programs that the contractor is obliged to furnish for the Engineer’s approval, and prepare and submit a disbursement schedule to LTA;

(vii) assess the adequacy of all inputs and such as materials, labor and equipment provided by contractor and its methods of work in relation to the required rate of progress of the work; when required, take appropriate action in order to expedite the work progress; keep and regularly update a list of contractor’s equipment and its condition to ensure compliance with the list of equipment which the contractor provided in its bid;

(viii) examine and make recommendations to LTA on all claims from contractors for time execution, additional payments, work or expenses or other similar matters;

(ix) compute quantities of approved and accepted work and materials; check, certify and make recommendations to LTA on the contractor’s interim and final payment certificates;

(x) prepare and submit monthly progress reports to LTA on the progress of the works, contractors’ performance, quality of the works, effectiveness of environmental management measures, and the financial status and forecasts;

44 Annex 1

(xi) propose and present to LTA for approval any changes deemed necessary for the completion of the works including information on any effect of changes on the contract amount and the time of completion, and prepare all necessary variations including altering plans and specifications and other details; inform LTA of any problems or potential problems which may arise in connection with the contract and make recommendation to LTA for possible solutions;

(xii) prepare contract reports including records of inspection, progress and performance of the works;

(xiii) review the contractor’s working drawings, shop drawings, erection drawings, and drawings for temporary works;

(xiv) verify the contractor’s surveys for centerline alignment, structure location surveys, and vertical control benchmarks;

D.2 ENVIRONMENTAL SAFEGUARDS

13. The supervising team shall include a suitable number of experienced environmental specialists to adequately supervise the implementation of environmental safeguards on the project. The senior environmental specialist (SES) and junior environmental specialists (JES) will work with the LTA’s safeguards officer. In addition, the team will include a terrestrial biodiversity specialist with appropriate qualifications and experience in critical habitat assessment and work with threatened flora and fauna to: identify if further terrestrial biodiversity baseline within the 7km long section where the road passes through the Apia catchment KBA is required prior to works commencing; be on-site during initial clearing and grubbing and site establishment activities to relocate the palm, threatened skink and snail species as required; identify the key performance indicators for the biodiversity monitoring; conduct specialist monitoring and reporting; and prepare an evaluation as to the effectiveness of project measures for meeting no net loss of biodiversity.

14. At least the senior specialist will have international experience and sufficient experience in establishing environmental management systems (database, checklists, corrective actions and close-out recording, and general reporting), providing guidance and support to contractors, reviewing and providing comments to strengthen construction EMP (CEMP) prepared by contractors, inspecting contractors’ compliance with the approved CEMP and environmental provisions of the contract and preparing required documentation for construction projects with environmental impacts similar to those of the Project. For this specialist, relevant references who may be contacted are required to be included in the CV.

15. Junior specialists will have experience working with contractors and monitoring and

reporting on contractors’ implementation of the approved CEMP including providing supporting documentation to the Engineer for issue of instruction to contractors or corrective action notices.

16. It is expected that the inputs of the SES will be intermittent and the inputs of the JES

will be full-time and sufficient to cover the works of contractors which may be working concurrently. The tasks of the SES and JES, working with the safeguards officer in LTA, include:

Annex 1 45

(i) ensure that required environmental safeguards (including the Codes of Environmental Practice) are implemented for the project;

(ii) ensure that the updated environmental assessment has been submitted to Planning and Urban Management Agency and a development consent has been issued for the project;

(iii) provide mentoring, training and capacity building as required to the LTA safeguards officer;

(iv) provide induction and/or training on the environmental management aspects of the project to PMU and LTA staff as required and the contractors;

(v) SES and JES work together to establish the environmental management system (EMS) for the overall project ensuring that there is consistency in the review and clearance of the construction environmental management plans (CEMP), guidance notes, monitoring checklists, notices of instruction to contractor and/or corrective action requests, reporting methods and formats, etc. adopted across the project;

(vi) review, as required provide comments to strengthen, and advise the Engineer when, the CEMP prepared by each contractor is satisfactory to be approved;

(vii) assist, as required, the contractor(s) to apply for development consents, permits and licenses as required to comply with national laws and regulations (biosecurity and phyto-sanitary certificates, waste discharge permits, water management, development consents for materials extraction, etc.);

(viii) monitor and report on the compliance of the contractor with the approved CEMP for each section or lot and complete monitoring checklists that will be compiled into the quarterly progress reports and semi-annual safeguards monitoring reports;

(ix) prepare instruction to contractor and/or corrective actions requests, as required, for non-conformances, to be issued by the Engineer. Record all such notices, effectiveness of the rectification and date of close-outs;

(x) coordinate and work with the PMU, social and gender specialists to implement the project’s communications and consultation plan;

(xi) coordinate and work with the PMU, social and gender specialists 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.

D.3 SOCIAL SAFEGUARDS AND GENDER

17. The construction supervision team will include senior and junior social safeguards and gender specialists (SSGS) with the senior SSGS providing intermittent inputs while the junior SSGS working full-time over the duration of the project. Both experts will work with MWTI/LTA safeguards and gender focal points. The tasks of these experts include but are not limited to the following:

46 Annex 1

(i) support the implementation of the final resettlement plan including the land acquisition and compensation activities, setting-up of grievance redress mechanism; ensuring land acquisition and compensation are completed before starting civil works on the affected sites; and consultation with all the affected persons;

(ii) prepare the compensation completion report for all relevant civil works packages for ADB’s no-objection prior to the possession of the site;

(iii) undertake 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;

(iv) inform MWTI/LTA and MNRE of any unanticipated resettlement impacts during construction and conduct field assessment to update or formulate new resettlement plan, if required;

(v) assist in implementing the project’s overall stakeholder communication and consultation plan especially dealing with the affected persons, CSOs/NGOs 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 project supervision team members and MWTI/LTA staff;

(vi) provide assistance in 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/investigation on land-related and other safeguards issues and facilitate timely resolution;

(vii) prepare semi-annual safeguards reports and other necessary safeguards monitoring reports;

(viii) implement the Gender Action Plan (GAP) including undertaking assessments required to determine gender elements in public commuting issues and providing institutional support to LTA in terms of developing gender strategy in human resource development and capacity building, among others and field visits to monitor GAP progress working closely with MWTI/LTA’s safeguards and gender focal point and project contractors;

(ix) assist in monitoring overall project implementation 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 GAP and gender indicators if required;

(x) implement the collection of sex-disaggregated data relevant to the project and reflecting on GAP targets and indicators to prepare GAP semi-annual progress reports and provide inputs to the project’s monthly/quarterly progress reports;

(xi) support the capacity building safeguards and gender activities and programs for MWTI and LTA including preparation of relevant training modules.

D. 4 PROJECT COMMUNICATION

18. The supervising team shall include a stakeholder engagement and communication specialist (SECP). The SECP will work closely with all relevant supervision team members and MWTI/LTA, MNRE, MOF and other relevant agencies throughout the

Annex 1 47

course of the project implementation. Some of the key tasks of the consultant include but are not limited to the following: (i) review the draft stakeholder communication and consultation plan (included

in the PAM) during project implementation with a view of revising it based on confirmation and analysis of key stakeholders and most appropriate strategy and adequacy to engage with the affected persons and various stakeholder groups in accordance with ADB policy and Samoan culture;

(ii) lead the implementation of the final/revised stakeholder communication and consultation plan during project implementation working closely with relevant project supervision team, MWTI/LTA, MOF and MNRE;

(iii) assist in ensuring that grievances/complaints and request for information by various stakeholders will be properly coordinated including with the contractors are timely and effectively responded;

(iv) prepare and disseminate project awareness brochure and other print materials in local language and other pertinent information, especially relating to relevant public notices during the civil works, and support the Government with press releases and preparation of other print materials and maintenance of social media and project websites;

(v) maintain a record of all consultations undertaken including preparation of minutes and attendance of participants and share to stakeholders consulted for confirmation prior to finalizing the draft;

(vi) pro-actively monitor any issues which could post potential reputational risks against the project and prepare and implement mitigation strategy in consultation with the Government and ADB;

(vii) assist the implementation of road safety training and awareness programs particularly during the preparation of training materials, campaigns and awareness activities and how it could be effective in communicating and influencing behavior change of participants

D. 5 ROAD AND CONSTRUCTION SAFETY

19. The team shall include a road safety expert to work closely with supervision team members. The key roles for this position are: (i) undertake an assessment of road safety and public commuting to identify

key issues associated with accidents, harassment in public buses, and other social issues among key road users working closely with the Social Safeguards and Gender Specialist to incorporate gender elements and identify ongoing Government programs which need to be taken into account in the assessment;

(ii) develop and implement road safety training materials and awareness campaigns based on the assessment which would cater to relevant groups along the Central Cross Island Road, working closely with the Social Safeguards and Gender Specialist to ensure gender responsive and socially inclusive materials and with Stakeholder Engagement and Communication Specialist to integrate effective means of communication/training delivery to help influence behavior change among participants;

(iii) develop capacity building programs for relevant Government agencies on how road safety measures could be sustained and effectively implemented and pilot trainings with relevant staff;

48 Annex 1

(iv) in coordination with iRAP who undertook the road safety audit of the initial technical road design elements, undertake road safety audit during construction and upon completion following (i) the initial technical road design and iRAP’s recommended designs and (ii) applicable LTA and ADB road safety audit guidelines.

(v) ensure adherence of the completed road sections to the target road safety star ratings by iRAP recommended designs

(vi) in coordination with and to be prepared by the contractor(s), propose, review and approve modifications in the design to achieve higher ratings without major cost impacts in order to attempt to increase road safety star ratings where site conditions allow.

(vii) ensure that construction sites and operations are continually monitored for any safety hazards and contractors are timely instructed to comply with construction site health and safety provisions and mitigation measures. This activity includes the assessment of traffic and road safety conditions during construction with the aim to minimize safety hazards to the construction workers as well as general public.

D.6 INSTITUTIONAL SUPPORT AND CAPACITY DEVELOPMENT

20. During the project implementation, the Consultant will refine the training needs assessment of LTA and finalize the capacity development plan. The consultant will implement the plan, once accepted by LTA and ADB. These tasks will be paid from the provisional sums of the consultant’s contract.

D.7 PROCUREMENT OF MAINTENANCE CONTRACTS

21. During the final year of project construction, the consultant will assist LTA with preparing road maintenance contracts and bidding documents and assist LTA with procurement activities.

22. The bidding documents will include requirements for the engagement of local communities.

E. CONSULTANT’S INPUTS

23. The assignment will be carried out over a period of 48 months from the date of commencement (expected by December 2019). The assignment will be implemented by a consulting firm. It is anticipated that about 84 person-months of input by international consultants (key experts), and 109 person-months of national consultants will be required. A consulting firm shall be recruited following open competitive bidding procedures using QCBS selection method, 80:20, STP in accordance with the principles and procedures explained in Procurement Regulations for ADB Borrowers – Goods, Works, Non-Consulting and Consulting Services 2017, as amended from time to time.

Annex 1 49

F. IMPLEMENTATION ARRANGEMENTS Management and Coordination

24. Reflecting the need for coordination across all aspects of the project, Transport & Infrastructure Sector Coordination Advisory Committee (the Project Coordination Committee - PCС) chaired by MWTI and made up of representatives of MOF, MWTI, MNRE, LTA, Utility Owners will meet regularly. The Consultant will assist LTA with arrangements for the meetings. The PCC will meet quarterly, or more frequently as required, for the duration of the Project. In addition, monthly working level meetings will be held by MWTI and LTA involving all other stakeholders. The PCC’s operating procedures are presented in Attachment 3.

G. Facilities

Outputs – Reports and Documents

25. The Consultant will prepare and submit the reports and documents listed below to the schedule indicated. All reports will be prepared in English and be submitted in hard copy and electronic versions to LTA. The consultant will also assist LTA with ensuring that these reports are available on a shared drive that LTA will establish. The principal reports to be submitted are: (i) Inception Report (at the start-up stage). This brief report will be submitted

within four weeks of the commencement of the services. It will update, based on initial findings and discussions with LTA, the approach, methodology, and work plan for the services originally submitted by the consultant in its proposal for the services.

(ii) Progress Reports (monthly throughout contract duration). These brief reports, to be submitted each month, will inform LTA of progress to the reporting date, identify emerging difficulties in implementation, and outline proposed solutions. The reports will provide, in clear presentations, the status of implementing the assignment, performance status, and personnel schedule, and provide plans for the next month’s work. These reports will be to the extent possible graphical in format, using a suitable project management application, with the preference being for Microsoft Project.

(iii) PCC Reports. These reports, which will include powerpoint and other presentations as appropriate, will be prepared at least 2 weeks before the scheduled date for each meeting.

(iv) Baseline Environmental, Social and Performance Monitoring Reports and Quarterly Updates. The baseline report will be prepared during the detailed design part and updated on a quarterly basis during project implementation. Environmental and social safeguards compliance reports will be included with the relevant progress report for the quarter.

(v) Works Completion report. This report will be submitted within 2 months of the completion of the civil works and will include a complete history of the implementation of the civil works and the consulting contract.

(vi) Final Project Completion Report. This report will be submitted within 2

50 Annex 1

months of the completion of the defect liability period and will include a complete history of the implementation of the civil works and the consulting contract.

26. The table below summarizes the submission schedule for the project progress reports. Hard copies will be provided to LTA as indicated below along with soft copy through a shared drive as per para 16 above.

REPORT COPIES SCHEDULE Inception Report 5 end of month 1

Progress Reports 5 monthly throughout contract duration and compile into quarterly reports for submission to the project financier

PCC Report As Required

before each PCC meeting

Environment, Social and Performance Monitoring Reports

5 baseline report 1 month before the start of construction and semi-annual monitoring reports

Works completion report 5 2 months after completion of the civil works

Final Project Completion Report 5 2 months after the defect liability period

FACILITIES

27. The Consultant will make suitable to its operations arrangements in Apia including accommodation, transportation and other needs. The Employer will arrange engineer’s facilities as described below. Due to proximity, the engineer’s facilities are expected to be based in Apia. The Consultant will make provision in its budget for temporary arrangements (up to 4 months) prior to mobilization of the international civil works contractor.

H. FACILITIES AND SUPPORT TO BE PROVIDED BY THE GOVERNMENT 26. The EA will:

(i) provide facilities for the Engineer through the international civil works contract or through other arrangements allowing the consultant to perform its supervisory tasks satisfactorily, including engineer’s office, communications, laboratory, vehicles for site use, their maintenance and insurance;

(ii) provide the consultant with all project documents relevant to project preparation including the feasibility studies and detailed designs, maps, and information necessary for the consultant to undertake the assignment;

(iii) provide assistance to the consultant for its interaction with other Government

Annex 1 51

agencies, in particular with the MNRE responsible for implementing the project’s land acquisition and resettlement program and utility owners;

(iv) assign LTA staff to the consultant’s team from time to time and for specific purposes, including during critical stages of the construction activities; and

(v) assist with all necessary permits, visas and access to the project sites.

(vi) assess the adequacy of the materials testing arrangements provided by the contractor, and oversee their operation;

(vii) monitor and report on the contractor compliance with the approved CEMP; (viii) monitor resettlement impacts caused during construction and include these

impacts and mitigation measures in the monthly progress reports; (ix) monitor and report on the biodiversity impacts and mitigations including

effectiveness of the project meeting no net loss of biodiversity; (x) finalize the LTA gender action plan for the entire project in close consultation

with relevant agencies that will be responsible for implementing the plan; (xi) assist LTA and local agencies with implementing the project’s gender action

plan; (xii) inspect the safety aspects of the construction and construction methods and

procedures to ensure that all reasonable measures have been taken to protect life and property;

(xiii) hold regular (monthly or fortnightly) site meetings with the contractor, client, and all relevant stakeholders; and

(xiv) perform any and all other items of the works not specifically mentioned above but which are necessary and essential to successfully supervise and control the construction activities in accordance with the plans, specifications and terms of contract.

52 Annex 2

Action Matrix for CCIRUP

Action Due Date: CW1 Afiamalu to

Tanugamanono

Due Date: CW2 Siumu

to Tiavi

Responsible

Initial examination of survey plans Examine survey plans and advise to LTA Consultant any corrections

June 2020 June 2020 MNRE Technical Division (MNRE TD)

Return survey plans containing corrections recommended by MNRE Consultant to accommodate corrections in survey plans and re-submit to MNRE for final examination and approval provided all corrections accommodated

July 2020 May 2020 SMEC (LTA Consultant)

Register existing road Existing road is registered, and confirmation letter send to LTA and ADB

July 2020 July 2020 MNRE LRAMD

Prepare a supplementary budget request containing estimated cost of land and non-land assets to compensate by the Government of Samoa. LTA-PMD to submit supplementary budget request to Min. of Finance to cover the remaining compensation costs for both land to be acquired and/or affected non-land assets, Plus a 20% - 30% contingency provisional sum for any unknown compensations.

November 2020 November 2020

MNRE/LTA PMD/MoF

Prepare Deed of Settlement template Prepare and Submit Draft Deed of Settlement to OAG to be used as a template during negotiations

June 2020 June 2020 LTA legal Division

Approve survey plans by MNRE Final examination of corrected survey plans

August 2020 July 2020 MNRE TD

Issue Notice of Intention to acquire land Prepare and Publish Notice of Intention to acquire land for 28days provide time for anyone to raise any issues

October 2020 August 2020 MNRE LRAMD

Schedule joint site visits with Landowners and Affected Persons (APs) Coordinate dates with Government agencies, and send invitations and letters to APs, revise census and socio-economic tools (if needed) and prepare database ready for data gathering.

October 2020 August 2020 LTA/MNRE

Conduct joint onsite visit with APs/customary landowners Implement onsite joint site visit with APs to show land areas to acquire and undertake the detailed measures and value calculations for all non-Land Assets affected. Undertake 100% census of affected households (owners of trees, etc. and private landholders) and socio-economic survey. For customary land, collect overall details of numbers of landowners, etc.

November 2020 October 2020 MNRE LRAMD, LTA, LTA CONSULTANT, APs

Annex 2 53

Action Due Date: CW1 Afiamalu to

Tanugamanono

Due Date: CW2 Siumu

to Tiavi

Responsible

Prepare the Updated RPs Based on the surveys and assessments, prepare the updated RP and submit to ADB

December 2020 September 2020

LTA

Review of Updated RPs ADB reviews the Updated RPs

December 2020 September 2020

ADB

Disclose Updated RP to Landowners and APs Consultations with APs to disclose the Updated RP, and include feedback from APs if needed

January 2021 January 2021 LTA/MNRE

Schedule negotiations with Landowners and APs Schedule negotiations with APs and ask authorized representative to provide on the day support original documents for verifications prior to negotiations starting

February 2020 January 2021 LTA

Submit Updated RP for ADB’s clearance Updated RP submitted to ADB for clearance

January 2021 October 2020 LTA and ADB

Conduct negotiations with Landowners and APs Conduct Negotiations with APs and agree on compensation amount in lieu of area of land to be acquired and Non-Land Assets to accommodate project

February 2021 October 2020 OAG, MNRE LRAMD, LTA PMD, LTA LD, MoF

Sign the Deed to Settlements with Landowners and APs Execute Agreement between Government & AP

March 2021 November 2020

OAG & LTA LD

Distribute payments of compensations to landowners and affected persons

April 2021 December 2020

LTA

Prepare 80% Compensation Completion Report Once more than 80% of deeds and compensation has been completed, prepare a Compensation Completion Report and seek ADB clearance for construction works to commence on sections where payments have been completed. No land clearance activities to be conducted on land where compensation has not yet completed.

May 2021 December 2020

LTA and ADB

Prepare 100% Compensation Completion Report Update the Compensation Completion Report once 100% of all compensation has been paid and submit to ADB for clearance. Land clearance and civil works can proceed for all remaining land.

July 2021 February 2021

LTA and ADB

54 Annex 3

Suggested Outline Contents of Safeguards 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 and RP;

Should follow sequence of items identified in EMP/CEMP and RP 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 and RP) refer to Annex 3

Additional photographs

Additional information as required

Annex 4 55

PARD Safeguards Implementation Checklist: Environment

56 Annex 4

Annex 5 57

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

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

58 Annex 5

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

Yes/No

8) Major Resettlement Issues or Complaints (Cumulative)

*Add rows as needed.

Prepared by: Confirmed by: Confirmed by:Project Analyst: Team Leader: Safeguard Specialist/Officer:Date: Date: Date:

To: Sector Director/Country Directorcc: PAU Head; PARD Safeguard Specialist

6) Compliance with Loan CovenantsList of key covenants in loan and project agreementItem # Covenant Compliance rating* Describe status of compliance

*Note: Yes ; No; Not yet due

Items Describe Implementation Status1 Satisfactory Consultation: clear responsibility;

identification of stakeholders; consultations undertaken; and documentation

2 Information of APs: database/inventory; ID cards

3 Land Acquisition: Notification, survey, approvals

4 Payment of compensation and allowances

5 Relocation of affected assets and structures

6 Rehabilitation income generation, employment

7 ………………….

Item Description

1

IssueProposed Action(s)Follow-up Issues/ActionsFinal Resolution of Issue

2

IssueProposed Action(s)Follow-up Issues/ActionsFinal Resolution of Issue

ESMS = environmental and social management system; FI = financial intermediary; MTR = mid-term review; PCR = project completion review; PAU = Project Administration Unit; PIU/PMU = project implementation/management unit; TL = team leader; RP = resettlement plan; RF = resettlement framework; SS = safeguard specialist

Annex 6 59

EXECUTING AGENCY’S PROGRESS REPORT CONTENTS A. Introduction and Basic Data

(i) grant number, project title, recipient, executing agency(ies) (EA), implementing agency(ies) (IA);

(ii) total estimated project cost and financing plan; (iii) status of project financing including availability of counterpart funds and cofinancing; (iv) dates of approval, signing, and effectiveness of ADB grant; (v) original and revised (if applicable) ADB grant closing date and elapsed grant period

based on original and revised (if applicable) grant closing dates; and (vi) date of last ADB review mission.

B. Utilization of Funds

(i) cumulative contract awards financed by the ADB grant, cofinancing, and counterpart funds (commitment of funds to date), and comparison with time-bound projections (targets);

(ii) cumulative disbursements from the ADB grant, cofinancing, and counterpart funds (expenditure to date), and comparison with time-bound projections (targets); and

(iii) re-estimated costs to completion, need for reallocation within ADB grant allocation categories, and whether an overall project cost overrun is likely.

C. Project Purpose and Implementation Progress

(i) status of project scope and implementation arrangements compared with those in the report and recommendation of the President (RRP), and whether major changes have occurred or will need to be made;

(ii) an assessment of the likelihood that the project outcome and outputs will be achieved in part or in full, and whether remedial measures are required based on the current project scope and implementation arrangements;

(iii) an assessment of changes to the key risks that affect achievement of the outcome and outputs, and quantifiable implementation targets;

(iv) other project developments, including monitoring and reporting on gender, safeguards (environment, resettlement and Indigenous Peoples), and social safeguards requirements that might adversely affect the project's viability or accomplishment of project outcome;

(v) assessment of project implementation arrangements such as establishing, staffing, and funding of the project management office or project implementation units;

(vi) information relating to the EA’s internal operations that impacts on implementation arrangements or project progress;

(vii) assessment of the progress of each implementation activity, such as, a. recruitment of consultants and their performance; b. procurement of goods and works (from preparation of detailed designs and bidding

documents to contract awards); c. the performance of suppliers, manufacturers, and contractors for goods and works

contracts; and d. comparison with the original implementation schedule—quantifiable and

monitorable target, (include charts such as bar or milestone to illustrate progress and actual versus planned expenditure, S-curve graph showing the relationship

60 Annex 6

between physical and financial performance, and actual progress in comparison with the original schedules and budgets).

D. Compliance with Covenants

(i) the recipient’s compliance with policy grant covenants such as sector reform initiatives and EA reforms, and the reasons for any noncompliance or delay in compliance;

(ii) the recipient’s and EA’s compliance with financial grant covenants including the EA’s financial management, and the provision of audited project accounts or audited agency financial statements; and

(iii) the recipient’s and EA’s compliance with project-specific grant covenants associated with implementation, safeguards (environment, resettlement, and Indigenous Peoples), social and gender dimensions, and other requirements specified in the grant agreement.

E. Major Project Issues and Problems Summarize the major problems and issues affecting or likely to affect implementation progress, compliance with covenants, and achievement of project outputs and outcome, including the findings of any project procurement-related review that may have been undertaken. Recommend actions to overcome these problems and issues (e.g., changes in scope, changes in implementation arrangements, and reallocation of grant proceeds).