Project Design Advance

Project Administration Manual

Project Number: 47358-003 Grant Number: PDA 6013 April 2018

Independent State of Samoa: Ports Development Project

CONTENTS

I. PROPOSED PROJECT DESCRIPTION 1

II. IMPLEMENTATION PLANS 3

A. PDA Readiness Activities 3

B. Overall PDA Project Implementation Plan 4

III. PDA PROJECT MANAGEMENT ARRANGEMENTS 5

A. PDA Project Implementation Organizations – Roles and Responsibilities 5

B. Key Persons Involved in Implementation 7

C. PDA Project Organization Structure 8

IV. COSTS AND FINANCING 9

V. FINANCIAL MANAGEMENT 10

A. Financial Management Assessment (FMA) 10

B. Disbursement 12

C. Accounting 13

D. Auditing 13

VI. PROCUREMENT AND CONSULTING SERVICES 14

A. Advance Contracting, as applicable 14

B. Procurement of Goods and Consulting Services 15

C. Procurement Plan 15

D. Consultant's Terms of Reference 18

VII. SAFEGUARDS 18

VIII. GENDER AND SOCIAL DIMENSIONS 19

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING AND COMMUNICATION 19

A. Monitoring and Evaluation 19

B. Reporting 19

C. Stakeholder Communication Strategy 20

IX. ANTICORRUPTION POLICY 20

X. ACCOUNTABILITY MECHANISM 20

XI. RECORD OF PAM CHANGES 20

Project Administration Manual for the Project Design Advance: Purpose and Process

The project administration manual (PAM) for the Project Design Advance (PDA) is an abridged version of ADB’s regular PAM and describes the essential administrative and management requirements to implement the PDA on time, within budget, and in accordance with Government and Asian Development Bank (ADB) policies and procedures. The PDA 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, Samoa Ports Authority, and the Ministry for Revenue are wholly responsible for the implementation of ADB financed PDA projects, as agreed jointly between the borrower and ADB, and in accordance with Government and ADB’s policies and procedures. ADB staff is responsible to support implementation including compliance by the Ministry of Finance, Samoa Ports Authority, and the Ministry for Revenue of their obligations and responsibilities for PDA project implementation in accordance with ADB’s policies and procedures.

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

After ADB’s approval of the PDA proposal, 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 PDA PAM.

Abbreviations

ADB = Asian Development Bank ADF = Asian Development Fund AFS = audited financial statements CQS = consultant qualification selection ICB = international competitive bidding LIBOR MFR MOF

= = =

London interbank offered rate Ministry for Revenue Ministry of Finance

NCB = national competitive bidding NGO = nongovernment organization PAI = project administration instructions PAM PDA

= =

project administration manual project design advance

PIU = project implementation unit QBS = quality based selection QCBS = quality- and cost-based selection SAO = Samoa Audit Office SBD SPA SPS

= = =

standard bidding documents Samoa Ports Authority Safeguard Policy Statement (2009)

TEU = twenty-foot equivalent unit TOR = terms of reference

I. PROPOSED PROJECT DESCRIPTION

1. Since its establishment in the early 1900s, Apia port has undergone various infrastructure upgrades and rehabilitation. Today, the International Port of Apia is a multiuser, mixed cargo and marine services port facilitating bulk petroleum and LPG imports, container and general cargo trade, fish transshipment, liquid bulk storage tanks and warehousing of dry freight. In 2014, Apia port handled about 25,000 twenty-foot equivalent units (TEU); 64,416 tonnes of bulk petroleum; and 48,138 revenue tonnes of dry break-bulk. By 2035, the demand is estimated to increase to approximately 35,000 TEUs; 76,594 tonnes of bulk petroleum; and 55,746 revenue tonnes of dry break-bulk. 2. However, Apia port is increasingly vulnerable to extreme climate events and to sea swell. Under technical assistance to Samoa for the Ports Development Master Plan (TA 8889-SAM), a feasibility study is being conducted.1 The study found that the single most important issue affecting ships berthed in Apia Harbour is the incidence of wave swell entering the harbour from the north. These adverse conditions occur almost constantly through the wet season (November to April) leading to a loss of between 10–20 ship berth days a year. In addition, the report stated that the Apia International port is constrained by poor design and non-commercial usage limiting access to available port land which was required to meet the future demand at the port. A phased implementation plan was developed under the master plan study. 3. In the short term (2016–2020), improvement measures could be implemented at the existing port to enhance safety and reliability and port operating efficiency. The extension of the existing breakwater by at least 100m and enlargement of the turning basin will serve to mitigate the swell problem at the port thereby overcoming the need to delay or divert ships. Costs to shipping companies serving Samoa would be reduced which in turn should translate to freight savings. The incidence of lost berth days would be reduced as shipping lines would have more reliable port access, improving connectivity for existing and new container transshipment opportunities. The existing port area will be reconfigured to optimize the land usage at the port by relocating or removing non-commercial entities (which occupy productive terminal space) and re-siting of fence lines and various operational facilities. This is essential for delivering necessary economic gains and productivity. These provide the pathway for a performance-based stevedore contract to enhance this sectors productivity and efficient use of container terminal land. 4. The impact of the project will be increased movement of people and goods. The outcome will be enhanced capacity and safety of the existing Apia port. The outputs of the project will be (i) the existing breakwater rehabilitated and extended, (ii) the turning basin enlarged, (iii) the existing port and container terminal layout reconfigured, and (iv) X-ray scanner and ancillary facilities provided, to streamline customs inspection processes. Outputs (i) and (ii) would provide sufficient capacity to meet the forecast annual demand of 35,000 TEU up to 2035. Output (iii) contributes to enhancing efficiency of customs management process thereby promoting trade facilitation. 5. The project will be implemented for three years. The preferred option for implementation has the least land and environmental issues, as compared to other options. Continued assistance could be provided to build the institutional and financial management capacity of Samoa Ports Authority (SPA).

1 ADB. 2015. Technical Assistance to Independent State of Samoa for the Ports Development Master Plan. Manila

(TA 8889-SAM). The TA was originally financed from ADB’s Technical Assistance Special Fund, was approved on 24 April 2015 for $500,000.

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6. The proposed project is included in the Asian Development Bank’s (ADB) country operations business plan for the eleven (11) Small Pacific Island Countries, 2018–2020; and regional operations business plan for the Pacific, 2018–2020, which is also aligned with ADB’s Pacific Approach 2016–2020,2 and the government's Strategy for the Development of Samoa.3 These place priority on macroeconomic stability, sustainable tourism, a reinvigorated agriculture sector, revitalized exports and the provision of an enabling environment for business development. Improved public sector management and the private sector are also seen as key drivers for growth. These identified sectoral priorities are all underpinned and reliant upon the provision of a fully functional and efficient international seaport. 7. ADB financing for the ensuing project is estimated at $39.78 million, which will be financed by ADB’s Special Funds resources (Asian Development Fund).4 The ADB grant will help finance the civil works contract package for breakwater extension, enlargement of turning basin and reconfiguration of existing port area. This directly complements current wharf extension works under a JICA grant. 8. Activities under the project design advance (PDA) include (i) preparation of detailed engineering designs for rehabilitation and extension of the existing breakwater, assessment of dredging requirements for realignment of the navigation channel (if found necessary for safe vessel operations), land-side improvements within the Apia Port to increase container yard handling capacity, and a cargo examination facility to accommodate a proposed mobile container x-ray scanner to be operated by the Ministry for Revenue (MFR), (ii) geotechnical and hydrographic surveys, and (iii) assistance to the government for procuring civil works under the project. 9. Outputs. The following outputs are expected from the PDA: (i) detailed engineering designs that are peer reviewed, including updating of safeguards due diligence documentation, design report and construction cost estimate; (ii) hydrographic and geotechnical survey reports; (iii) progress with procurement of civil works, including preparation of bidding documents, technical and financial evaluation of bids, and contracting; and (iv) strengthened financial management system to implement the project. 10. Expected benefits. The feasibility study is being completed under the ongoing TA 8889-SAM (footnote 1). Extensive studies of sea swell and Climate Risk Vulnerability Assessment have been conducted under the feasibility study. The PDA will enable geotechnical and hydrographic surveys to be conducted to inform detailed design of the breakwater component. Detailed surveys of the port area will be conducted, and designs prepared for paving container yards and miscellaneous work areas. Robust cost estimates will be developed, and the civil works bidding packages will be developed prior to project approval. The PDA will also help maintain the momentum from project preparation to project implementation.

2 ADB. 2017. Country Operations Business Plan: Eleven (11) Small Pacific Island Countries, 2018–2020; ADB. 2017.

Regional Operations Business Plan: Pacific, 2018–2020. Manila; and ADB. 2016. Pacific Approach 2016–2020. Manila.

3 Government of Samoa. 2012. Strategy for the Development of Samoa, 2012–2016. Samoa (accessible from the list of linked documents in Appendix 2).

4 Subject to availability of funds from Asian Development Fund concessional resources from regional pool of $25 million, disaster risk reduction of $2.99 million, and performance-based allocation of $11.79 million.

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II. IMPLEMENTATION PLANS A. PDA Readiness Activities5

11. As of 4 April 2018, the following has been achieved:

(i) Establishment of the Project Steering Committee chaired by Ministry of Finance (MOF);

(ii) Establishment of the Technical Working Group chaired by SPA; (iii) Establishment of the Project Management Unit reporting to a technical working

group chaired by SPA; (iv) Consultant selection of the Detailed Design Consultants Service (DDCS)

commenced on 29 September 2017; and (v) Contract negotiations with the first ranked firm concluded on 28 March 2018.

Pending the Tenders Board approval and approval of the PDA, contract award could be awarded by May 2018.

5 The PDA is estimated to be signed by April 2018, when the selection of consultants under the PDA is substantially

completed (i.e.,95% complete). The final PDA project administration manual would state that PDA implementation readiness is adequately demonstrated, namely the selection of consultants under PDA has been substantially completed (the selection, though not necessarily contracting, of consultants for at least 80% of the total estimated contract value of consulting services under the PDA) and the related contract(s) will have been signed or will be ready for signing upon the effectiveness of the PDA agreement.

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B. Overall PDA Project Implementation Plan

Advance action PDA Year 1 PDA Year 2

Activities -6

-5

-4

-3

-2

-1

1 2 3 4 5 6 7 8 9 10

11

12

1 2 3 4 5 6 7 8 9 10

11

12

A. Implementation

Consultants selection under PDA

Advertisement

Selection

Contract award

Bidding documents (civil works)

Detailed engineering design

Bidding and bid evaluation supported

Draft bidding documents

Design Cargo examination facility

Bidding and bid evaluation supported

B. Management Activities

Submission of quarterly progress report

Submission of annual report

Submission of AFS

Projected date of ensuing grant

Submission of PCR (if appropriate)

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III. PDA PROJECT MANAGEMENT ARRANGEMENTS

A. PDA Project Implementation Organizations – Roles and Responsibilities

PDA Project implementation organizations

Management Roles and Responsibilities

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

• Pacific Department, Asian Development Bank (ADB)

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

(ii) Support project design advance (PDA) consultant recruitment. (iii) Fielding review missions. (iv) Advise project management unit (PMU) on various project

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

Executing agency • Ministry of Finance (MOF) (i) Representative of the Government as a grant recipient.

(ii) Facilitate negotiation, signing and execution of the PDA financing agreement.

(iii) Responsible for the overall execution and management of the project. (iv) Oversee financial management of the project. (v) Submit appropriate withdrawal applications and annual audit reports. (vi) Facilitate the consultant recruitment process for engaging Detailed

Design Consultants in coordination with the Samoa Ports Authority (SPA).

(vii) Through the Procurement Division, facilitate timely consideration of contract awards.

(viii) Expedite implementation by: - Ensure necessary counterpart funds are available timely. - Review invoices and payments to contractors, consultants and

service providers. - Monitor project progress and instruct SPA and Ministry for

Revenue (MFR) to take corrective action to prevent significant variations and deviations from the schedule and budgets.

PDA Project specific management body

• Project Steering Committee (PSC)

(i) Provide policy guidance and oversee project preparation and implementation.

(ii) Responsible for providing final endorsement of the due diligence reports and detailed design reports.

• Technical Working Group (i) Responsible for reviewing all technical reports, providing

technical inputs to facilitate the due diligence process and completion of detailed design of the project.

(ii) Facilitate necessary government approvals to enable project implementation.

(iii) Provide recommendations to the PSC.

• Project Management Unit (i) Provide day-to-day support to the consultant and supervise PDA consultant for the detailed design.

(ii) Track, update and monitor the status of relevant activities. (iii) Manage contracts. (iv) Manage project accounts and prepare project financial

statements. (v) Supervise PDA consultant to carry out geotechnical and

hydrographic surveys. (vi) Supervise PDA consultant in developing the detailed engineering

design and bidding documents for the project.

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(vii) Preparation of bidding documents, managing the bidding process and evaluation of bids.

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

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

ADB’s policies and requirements. (xi) Prepare month progress reports and submit to MOF and ADB. (xii) Carry out field inspections to ensure that engineering designs are

adequately implemented. (xiii) Provide input into bid documents that the PDA consultant

prepares. (xiv) Assist with any design changes during project implementation. (xv) Supervise contractors’ works including carrying out periodic

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

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

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

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

• Technical Advisor (i) Assist in conducting the tender process for all contracts for civil

works, equipment, and consulting services under the project. (ii) Ensure that the project activities follow the government and

ADB’s policies and requirements. Assist with any design changes during project implementation.

(iii) Review bidding documents including draft contracts that the PDA consultant prepares and provide inputs.

(iv) Support PMU in the procurement processes for civil works and consulting services under the project in coordination with the Central Procurement Unit.

(v) Review contractual issues including contract variations and recommend approval from the higher authority.

(vi) Coordinate with staff of MPUI to solve any technical or contractual issues.

(vii) Review the PDA consultant’s progress claims and with concurrence of ADB staff certify them for payments.

Implementing agencies • Samoa Ports Authority (i) Lead the PMU.

(ii) Ensure successful discharge of all roles and responsibilities under the PMU.

• Ministry for Revenue (i) Participate as active focal agency within the PMU to oversee

successful preparation and implementation for the component on X-ray scanner and ancillary facilities.

(ii) Provide technical inputs into the detailed design. (iii) Review detailed design and bidding documents. (iv) Preparation of bidding documents, managing the bidding process

and evaluation of bids. Source: Asian Development Bank.

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B. Key Persons Involved in Implementation Executing Agency Ministry of Finance Mr. Tupaimatuna Iulai Lavea

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

Asian Development Bank Transport, Energy and Natural Resources Division (PATE)

Mr. Olly Norojono Director Telephone No. +63 2 632 6109 Email address: onorojono@adb.org

Mission Leader Ms. Alexandra Pamela Chiang Transport Specialist Telephone No. +63 2 632 4444 Email address: apchiang@adb.org

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C. PDA Project Organization Structure

* Composition of Project Steering Committee

1. Chief Executive Officer (CEO), Ministry of Finance (Chair) 2. CEO, Ministry of Foreign Affairs and Trade 3. CEO, Ministry of Natural Resources and Environment 4. CEO, Ministry of Works, Transport and Infrastructure 5. CEO, Ministry for Revenue 6. Commissioner, Ministry of Police 7. CEO, Samoa Ports Authority 8. ADB Samoa Office 9. Samoa Shipping Corporation

** Composition of Technical Working Group 1. Samoa Ports Authority (Chair) 2. Ministry of Works, Transport and Infrastructure 3. Ministry for Revenue 4. Ministry of Police 5. Ministry of Natural Resources and Environment 6. Samoa Shipping Corporation 7. Chamber of Commerce

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IV. COSTS AND FINANCING 12. The PDA is estimated to cost $3.45 million, including taxes and duties, and contingencies. On 5 March 2018, the government requested a PDA in the amount of $3 million to be financed by a grant from ADB’s Special Funds resources (Asian Development Fund). The ADB grant portion of $3 million will fund consulting services fees inclusive of tax and duties and contingencies. The government portion of $450,000 will fund consulting service fees inclusive of tax, duties and contingencies.

Table 1: Investment and Financing Plan for the Project Design Advancea

($ million)

Item Cost ADB Government A. Base Costb 1. Detailed engineering design

consultants 2.08 1.81 0.27

2. Financial management specialist 0.06 0.05 0.01 3. Independent peer review consultant 0.12 0.10 0.02 Subtotal (A) 2.25 1.96 0.29 B. Contingenciesc 1.20 1.04 0.16 Total (A+B) 3.45 3.00 0.45

ADB = Asian Development Bank. a The PDA will finance consulting services for detailed engineering design, surveys and project preparation, and

management. b In mid-2017 prices. Includes taxes and duties of $294,000. Such amount does not represent an excessive share of the

project cost. The government will finance taxes and duties through cash contributions. c Physical contingencies computed at 53.3% for consulting services. The larger allocation for contingencies is deemed

appropriate given the uncertainty in the additional requirements that may arise during PDA implementation due to the uncertain underwater/ground conditions at the port. Price contingencies not included as all activities will be completed with one year of commencement.

Source: Asian Development Bank.

Table 2. Allocation and Withdrawal of PDA Grant Proceeds

No. Category Amount of PDA Grant Allocated ($)

Basis for Withdrawal from the PDA Grant Account

1 Consulting Services 3,000,000 86.96% of total expenditure claimed

Total 3,000,000

Table 3. Detailed Cost Estimates by Financier

ADF Grant Government

Item Amount

($ million)

% of Cost

Category

Amount ($ million)

% of Cost

Category

Total Cost

($ million)

A. Investment Costsa

Consultants

Detailed design consultants 1.81 86.96% 0.27 13.04% 2.08

Independent peer review consultant

0.10 86.96% 0.02 13.04% 0.12

Financial management specialist 0.05 86.96% 0.01 13.04% 0.06 Subtotal (A) 1.96 86.96% 0.29 13.04% 2.25

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ADF Grant Government

B. Contingenciesb 1.04 86.96% 0.16 13.04% 1.20 Total PDA Project Cost 3.00 86.96% 0.45 13.04% 3.45

PDA = project design advance. a In mid-2017 prices. Includes taxes and duties of $294,000. Such amount does not represent an excessive share of the

project cost. The government will finance taxes and duties through cash contributions. b Physical contingencies computed at 53.3% for consulting services. The larger allocation for contingencies is deemed

appropriate given the uncertainty in the additional requirements that may arise during PDA implementation due to the uncertain underwater/ground conditions at the port. Price contingencies not included as all activities will be completed with one year of commencement.

Source: Asian Development Bank.

V. FINANCIAL MANAGEMENT

A. Financial Management Assessment 13. A financial management assessment (FMA) of the project was carried out in September 2017, in accordance with ADB’s Guidelines for the Financial Management and Analysis of Projects and Financial Due Diligence: A Methodology Note. Discussions were also held with the Ministry of Finance to reconfirm details. 14. Samoa Ports Authority (SPA). The SPA is a state-owned enterprise established through the Samoa Ports Authority Act of 1998. The SPA’s financial management structure is adequate to handle the financial aspects of the project. The Finance Division, headed by a Finance Manager, has 13 personnel positions that perform accounting, reconciliation, financial reporting, payroll management, asset management and inventory, payables and receivables, and treasury functions. Responsibilities are segregated. SPA uses QuickBooks to account for its transactions which also has the capability of generating timely reports. SPA prepares its financial statements using the International Financial Reporting Standards following the fiscal year from 1 July to 30 June of the following year. The Finance Division is also tasked with the consolidation of budget submissions which is presented to SPA Management for deliberation and approval. In the event of unbudgeted expenditures, the Finance Division processes supplementary budget with appropriate justification. A separate Internal Audit Division, performs the functions of financial audit, systems and assets audit, quality assurance, and compliance checks. 15. A review of SPA’s annual reports show that the SPA registered losses for the years 2014 and 2015 but reported net income in 2016. The losses relate to the turnover of the management of 2 domestic wharves to the Samoa Shipping Corporation. The SPA has successfully requested staged increases in the tariff for a cumulative 25% increase over 5 years, an annual 5% increase starting 2015. By end 2016, SPA has implemented a cumulative 10% tariff increase. The SPA will continue further tariff increases until after the improvement to the ports under the Project is completed. 16. Audit opinion issued by SAO for SPA’s 2014 and 2015 financial statements were unqualified. The audit reports referred to the loss incurred by SPA in 2015 which also reduced working capital. However, the 2016 audit report for SPA’s financial statements in 2016 which reported overall net income was also unqualified, an indication of SPA’s strong financial management. 17. Ministry for Revenue (MFR). The MFR will implement the component relating to the provision of x-ray scanner and related facilities. The FMA of MFR has been conducted. There are two divisions handling financial matters, the Revenue Division in charge of collecting fees from

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MFR’s customs operations and turns over the funds collected to the Ministry of Finance. The Finance Division handles MFR’s operational budget and finance. The Finance Division, headed by an ACEO, has four financially qualified personnel positions that perform accounting, reconciliation, payroll management, asset management and inventory, and budget preparation. There is no separate audit of MFR’s operations as they are included in the Whole of Government audit being done by the Samoa Audit Office (SAO). There are also no separate financial statements being prepared by MFR as the MOF handles the consolidated accounts. MFR uses Finance One to account for its transactions which also has the capability of generating timely reports. 18. Similar to SPA, MFR has not implemented a foreign-funded project and, therefore, is not familiar with ADB’s disbursement processes. However, with MFR being a government office, the Ministry of Finance would be actively involved in project-related activities. The procurement assessment confirmed that the SPA and MFR have limited experience in conducting the size of procurement package expected in the ensuing project. A procurement expert – engaged under TA 9086-REG: Building Project Implementation Capacities in the Pacific (Supplementary) - has been mobilized to support the executing and implementing agencies since the fourth quarter of 2018.6 The Detailed Design Consultant, to be engaged under the PDA, will also support the IAs on the procurement of civil works packages and equipment. 19. The SPA was informed that separate accounts for the projects should be maintained to clearly identify funds received and expended for the project. The Finance Manager gave confirmation that this could be accommodated under their current financial systems. ADB’s requirements on the submission of audited project financial statements have been discussed with MOF, SPA, and MFR. In addition, SPA’s staff was informed that ADB will request the submission of the annual financial statements of SPA operations because SPA is a state-owned-enterprise. Accordingly, SPA should ensure that budget provision is made to finance the mandatory independent audits. Project funds may also be used for this expenditure. SPA made available the SPA Annual Reports for 2014–2015 and 2015–2016.The latest SPA statement is still being audited. 20. Following are the financial management risks identified and proposed mitigation actions. Overall, there is moderate risk in the current financial management structure under which the project will be implemented.

6 ADB. 2016. Technical Assistance for Building Project Implementation Capacities in the Pacific. Manila (TA 9086-

REG).

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Table 4: Risk Assessment and Mitigation Plan

Weakness Risk Rating Mitigating Actions Responsibility/

Time Frame 1. Lack of experience implementing an ADB-financed project

Moderate ADB will ensure that the PMU staff and those involved in the implementation of the project will receive adequate training in ADB disbursement and project implementation procedures. There is also good experience in the MOF and their occasional support will help the PMU at start up.

ADB and MOF - From project start up

2. Delays in the audit of state-owned enterprises accounts

Moderate This finding was indicated in the PEFA assessment. There were measures in place to ensure that independent audits are undertaken by private auditing firms if SAO would not be able to conduct a timely audit. SAO signs off on audits undertaken by private auditing firms.

SPA/SAO - To be monitored annually; cost of audits may be financed under the project

3. Limited capacity in the SPA finance division to support PMU functions

Moderate The SPA Finance Manager would not be able to provide staff support to PMU functions. It is proposed that a national financial management specialist be recruited to be assigned to the PMU under the supervision of the SPA Finance Manager

SPA/ADB -National financial management specialist included in the list of experts to be recruited.

ADB = Asian Development Bank, MOF = Ministry of Finance, PEFA = public expenditure and financial accountability, PMU = project management unit, SAO = Samoa Audit Office, SPA = Samoa Ports Authority. Source: Asian Development Bank.

B. Disbursement 21. The PDA grant proceeds will be disbursed in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time),7 and detailed arrangements agreed upon between the Government and ADB. The Ministry of Finance confirmed that the PDA will be passed on as grant to SPA. Online training for project staff on disbursement policies and procedures is available at: http://wpqr4.adb.org/disbursement e-learning. Project staff are encouraged to avail of this training to help ensure efficient disbursement and fiduciary control.

22. Direct payment procedure by ADB will be utilized for ADB cost-share of progress payments on consultants’ fees. To facilitate cash flow during project implementation, MOF, the executing agency, will facilitate approvals of withdrawal applications coming from the project implementation unit (PMU), and submit them to ADB for direct payment for all consultancy services of the project. Disbursements of grant funds under the project will be used to fund consulting services. The PMU will be responsible for accounting for the use of funds in line with project activities and maintaining the documents necessary for supporting requests for payments from the ADB. The PMU will be responsible for preparing and sending the withdrawal applications to ADB, through the MOF.

7 Available at: http://www.adb.org/documents/loan-disbursement-handbook

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23. Before submitting the first withdrawal application, MOF should submit to ADB sufficient evidence of the authority of the person(s) who will sign the withdrawal applications on behalf of the government, together with the authenticated specimen signatures of each authorized person. The minimum value per withdrawal application is in accordance with the Loan and Disbursement Handbook. Individual payments below this amount should generally be paid by the EA/IA and subsequently claimed to ADB through reimbursement, unless otherwise accepted by ADB. 24. Procedures for disbursements and liquidation of government funds will follow the Public Finances (Management) Act 1995, the Financial Management Manual and Finance Instructions. The government contribution to project costs will be budgeted for in each project year with necessary funds placed in dedicated project account or imprest account to be established for the government counterpart funds at the beginning of the financial year to cover project expenditures. C. Accounting 25. The PMU, in coordination with MOF, will maintain separate PDA project accounts and records by funding source for all expenditures incurred under the PDA following the government’s financial regulations. PMU will prepare project financial statements in accordance with government’s accounting laws and regulations which are consistent with international accounting principles and practices. Accounting systems to monitor PDA transactions will follow international accounting principles and practices or the accounting principles adopted by the Government. D. Auditing 26. The Ministry of Finance will cause the detailed consolidated PDA project accounts to be audited in accordance with International Standards or by an auditor acceptable to ADB. The audited accounts will be submitted in the English language to ADB by the executing agency within 6 months of the end of the fiscal year. MOF, in consultation with Auditor General’s Office, will appoint the external auditors to review the project financial statements. The costs of annual audits to be undertaken by independent auditors will be 100% funded by the project grant. Compliance with project financial reporting and auditing requirements will be monitored by review missions and during implementation, and will be followed up regularly will all concerned including the external auditor. 27. The annual audit report will include a management letter and auditor’s opinions, which cover (i) whether the project financial statements present an accurate and fair review or are presented fairly, in all material respects, in accordance with the applicable financial reporting standards; (ii) whether the proceeds of the grant were used only for the purpose(s) of the project; and (iii) whether the government or implementing agency was in compliance with the financial covenants contained in the legal agreements (where applicable). 28. The government, MOF, SPA, and MFR have been made aware of ADB’s approach to delayed submission, and the requirements for satisfactory and acceptable quality of the audited project financial statements.8 ADB reserves the right to require a change in the auditor (in a

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

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

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manner consistent with the constitution of the borrower), or for additional support to be provided to the auditor, if the audits required are not conducted in a manner satisfactory to ADB, or if the audits are substantially delayed. ADB reserves the right to verify the PDA project's financial accounts to confirm that the share of ADB’s financing is used in accordance with ADB’s policies and procedures. 29. Public disclosure of the audited project financial statements, including the auditor’s opinion on the project financial statements, will be guided by ADB’s Public Communications Policy 2011.9 After the review, ADB will disclose the audited project financial statements and the opinion of the auditors on the project financial statements no later than 14 days of ADB’s confirmation of their acceptability by posting them on ADB’s website. The management letter, additional auditor’s opinions, and audited entity financial statements will not be disclosed.10

VI. PROCUREMENT AND CONSULTING SERVICES 30. The procurement plan is prepared in accordance with generic or country specific templates and attached to this project administration manual (PAM). Outline terms of reference for each of consultant contracts is in section D. A. Advance Contracting, as applicable

31. All advance contracting will be undertaken in conformity with ADB’s Procurement Guidelines (2015, as amended from time to time) 11 and ADB’s Guidelines on the Use of Consultants (2013, as amended from time to time).12 Advance contracting will also be carried out by default in conformity with ADB Policy Paper (2015); the ensuing grant proposal would describe achievements in advance contracting and retroactive financing to demonstrate the levels of project readiness. 13 The issuance of invitations to bid under advance contracting will be subject to ADB approval. The grant recipient, executing and implementing agencies have been advised that approval of advance contracting does not commit ADB to finance the PDA project.

32. The Government has agreed to undertake joint consultant recruitment with ADB. The consulting firm for DDCS will be selected using quality- and cost-based selection (QCBS) with a quality-to-cost ratio of 90:10. The consulting firm for Independent Peer Review will be selected using Consultants; Qualifications Selection (CQS). Individual consultant recruitment will be undertaken for a Financial Management Specialist (national). Advance contracting will also be used for the procurement of a mobile X-ray machine.

(ii) When audited project financial statements are not received within 6 months after the due date, ADB will

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

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

9 Public Communications Policy: http://www.adb.org/documents/pcp-2011?ref=site/disclosure/publications 10 This type of information would generally fall under public communications policy exceptions to disclosure. ADB. 2011.

Public Communications Policy. Paragraph 97(iv) and/or 97(v). 11 Available at: http://www.adb.org/Documents/Guidelines/Procurement/Guidelines-Procurement.pdf 12 Available at: http://www.adb.org/Documents/Guidelines/Consulting/Guidelines-Consultants.pdf 13 ADB Policy Paper Enhancing Operational Efficiency of the Asian Development Bank (Nov. 2015).

15

B. Procurement of Goods and Consulting Services

33. A procurement assessment has been conducted for the Samoa Ports Project (with SPA as implementing agency), taking into consideration the findings from the Final Report of the Country and Sector/Agency Procurement Risk Assessment (CSPRA) in June 2017. SPA will be responsible for the all procurement of goods and consulting services, including bid evaluation, whereas the Government’s Tenders Board will consider and endorse SPA’s recommendations, including the evaluation team established by SPA. Overall, the onus is on SPA to undertake the procurement. Whilst the CSPRA does not specifically cover SPA, the procurement assessment is consistent with the CSPRA. 34. All procurement of goods will be undertaken in accordance with ADB’s Procurement Guidelines (2015, as amended from time to time). 35. An 18-month procurement plan indicating threshold and review procedures, goods and consulting service contract packages and national competitive bidding guidelines is in Section C. 36. All consultants will be recruited according to ADB’s Guidelines on the Us of Consultants (2013, as amended from time to time). The terms of reference for all consulting services are detailed in Section D. 37. The Detailed Design Consultants component is being engaged using the QCBS method with a standard quality: cost ratio of 90:10 C. Procurement Plan

38. The procurement plan is prepared in accordance with OSFMD generic or country specific templates as appropriate.14

Basic Data

Project Name: (SAM): Port Development Project Project Number: 47375-003 Approval Number: Country: Independent State of Samoa Executing Agency: Ministry of Finance Project Procurement Classification: B Implementing Agency: Samoa Ports Authority Procurement Risk: High Project Financing Amount: $ 39.78 million ADB Financing: Cofinancing (ADB Administered): Non-ADB Financing:

Project Closing Date: December 2019

Date of First Procurement Plan 12 April 2018 Date of this Procurement Plan: 12 April 2018

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

1. Procurement and Consulting Methods and Thresholds 39. Except as the Asian Development Bank (ADB) may otherwise agree, the following process thresholds shall apply to procurement of goods and works.

14 Available at:

http://wpqr2.asiandevbank.org/LotusQuickr/cosopedia/PageLibrary48257599000668D1.nsf/h_Toc/5EA6EACF755AA652482575D9002FCB8F/?OpenDocument .

16

Consulting Services

Method Comments

Quality- and Cost-Based Selection (QCBS) Detailed Design Consultants to be recruited using joint consultant recruitment by ADB and executing agency. Contract form will use output based, lumpsum contract.

Consultants’ Qualifications Selection (CQS) Independent Peer Review to be recruited. Independent Consultant Selection (ICS) Financial Management Expert to be recruited.

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

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

Package Number

General Description

Estimated Value

Procurement Method

Review [Prior /

Post/Post (Sampling)]

Bidding Procedure

Advertisement Date

(quarter/year) Comments

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

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

Package Number

General Description

Estimated Value

Recruitment Method

Review (Prior / Post)

Advertisement Date

(quarter/year)

Type of Proposal

Comments

1 Detailed design consultant

$2,080,000 QCBS Prior Q3 2017 Full Technical Proposal

2 Independent peer review consultant

$120,000 CQS Prior Q2 2018 Amplified EOI

CQS = consultants’ qualifications selection EOI = expression of interest; Q = quarter; QCBS = quality- and cost-based selection.

4. Goods and Works Contracts Estimated to Cost Less than $1 Million and Consulting Services Contracts Less than $100,000 (Smaller Value Contracts)

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

Goods and Works

Package Number

General Description

Estimated Value

Number of

Contracts

Procurement Method

Review [Prior /

Post/Post

Bidding Procedur

e

Advertisement Date

(quarter/

Comments

17

(Sampling)]

year)

Consulting Services

Package Number

General Description

Estimated Value

Number of

Contracts

Recruitment Method

Review (Prior / Post)

Advertisement Date

(quarter/ year)

Type of Proposal8

Comments9

3 Financial management specialist

$57,500 1 ICS Review is limited to draft contract

Q2 2018 N/A

ICS = Independent Consultant Selection; NA = not applicable.

B. Indicative List of Packages Required Under the Project 43. The following table provides an indicative list of goods, works and consulting services contracts over the life of the project, other than those mentioned in previous sections (i.e., those expected beyond the current period).

Goods and Works

Package Number5

General Description

Estimated Value

(cumulative)

Estimated Number

of Contracts

Procurement Method

Review [Prior /

Post/Post (Sampling)]

Bidding Procedure6

Comments7

Consulting Services

Package Number

General Description Estimated

Value (cumulative)

Estimated Number

of Contracts

Recruitment Method

Review (Prior / Post)

Type of Proposal8

Comments9

C. List of Awarded and On-going, and Completed Contracts 44. The following tables list the awarded and on-going contracts, and completed contracts.

• Awarded and On-going Contracts

Goods and Works

Package Number

General Description

Estimated Value

Awarded Contract

Value

Procurement Method

Advertisement Date

(quarter/ year)

Date of ADB Approval of

Contract Award

Comments

18

Consulting Services

Package Number

General Description

Estimated Value

Awarded Contract

Value

Recruitment Method

Advertisement Date

(quarter/year)

Date of ADB Approval of

Contract Award

Comments

• Completed Contracts

Goods and Works

Package Number

General Description

Estimated Value

Contract Value

Procurement Method

Advertisement Date

(quarter/ year)

Date of ADB

Approval of

Contract Award

Date of Completion

Comments

Consulting Services

Package Number

General Description

Estimated Value

Contract Value

Recruitment Method

Advertisement Date

(quarter/ year)

Date of ADB

Approval of

Contract Award

Date of Completion

Comments

D. Non-ADB Financing 45. The following table lists goods, works and consulting services contracts over the life of the project, financed by Non-ADB sources.

Goods and Works

General Description Estimated

Value (cumulative)

Estimated Number of Contracts

Procurement Method

Comments

Consulting Services

General Description Estimated

Value (cumulative)

Estimated Number of Contracts

Recruitment Method

Comments

D. Consultant's Terms of Reference

46. Terms of references of the detailed design consultants, financial management specialist, and Independent Peer Review are in Appendix 2.

VII. SAFEGUARDS

47. The project is categorized B for environment, and C for involuntary resettlement and indigenous peoples. The proposed port project will be within the lands owned/sub-leased by the

19

SPA. Safeguards due diligence is being undertaken via the project preparatory technical assistance. The PDA finances detailed engineering design (including: hydrographic and geotechnical surveys and construction cost estimate) and the safeguards due diligence documents will be updated by the detailed design consultants during this process. 48. Prohibited investment activities. Pursuant to ADB's Safeguard Policy Statement (2009) (SPS), ADB funds may not be applied to the activities described on the ADB Prohibited Investment Activities List set forth at Appendix 5 of the SPS.

VIII. GENDER AND SOCIAL DIMENSIONS

49. The feasibility study has undertaken social and gender assessment and identify any measures and produce relevant plans, as necessary. As required, these will be updated based on the outputs of the PDA.

IX. PERFORMANCE MONITORING, EVALUATION, REPORTING AND COMMUNICATION

A. Monitoring and Evaluation

50. PDA Project performance monitoring. PDA Project performance will be monitored based on quarterly and consolidated reports provided by the MOF as agreed. These reports will include: (a) progress achieved by activity as measured against the Implementation Schedule (Section II.A), (b) key implementation issues and solutions; (c) updated procurement plan and (d) updated implementation plan for next 12 months. To ensure PDA projects continue to be both viable and sustainable, PDA project financial statements, together with the associated auditor's report, should be adequately reviewed. Only in the event that an ensuing grant project is not approved, will MOF submit a PDA project completion report to ADB within 6 months of physical completion of the PDA project.15 51. Compliance monitoring. Grant covenants on policy, legal, financial, economic, environmental, labor standards and others will be monitored regularly through various reports (monthly progress reports, quarterly progress reports, and annual reports), and discussion during review missions. 52. Safeguards monitoring. There is a requirement for safeguards monitoring or reporting during the PDA. During which the implementing agency will prepare semi-annual safeguards monitoring reports that will describe the progress of environmental and land access activities. As the PDA includes updating of safeguards due diligence documentation during design, preparation of bidding documents, evaluation of bids, contracting, and management of project preparation activities, the semi-annual safeguards monitoring reporting will describe the implementation status of safeguards requirements in respect of these. The outline of a monitoring report and checklists for initial environmental and social safeguards review are provided in Appendix 1. B. Reporting

53. The Ministry of Finance will provide ADB with:

15 Project completion report format is available at: http://www.adb.org/sites/default/files/pai-6-07-a.pdf

20

(i) PDA project’s 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 performance targets, (b) key implementation issues and solutions; (c) updated procurement plan and (d) updated implementation plan for next 12 months;16 and

(iii) PDA project accounts and the executing agency AFSs, together with the associated auditor's report,

C. Stakeholder Communication Strategy

54. The PMU will undertake consultations with key stakeholders during the detailed design. Key project information will be updated and disclosed on ADB and government websites. A Stakeholder and Communication Plan will be prepared following approval of the port project.

X. ANTICORRUPTION POLICY

55. ADB reserves the right to investigate, directly or through its agents, any violations of the Anticorruption Policy relating to the PDA project.17 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 PDA project contractors, suppliers, consultants and other service providers. Individuals/entities on ADB’s anticorruption debarment list are ineligible to participate in ADB-financed activity and may not be awarded any contracts under the PDA project.18 56. To support these efforts, relevant provisions are included in the grant agreement and the bidding documents for the PDA project.

XI. ACCOUNTABILITY MECHANISM

57. People who are, or may in the future be, adversely affected by the PDA 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 PDA 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 a good faith effort 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.19

XII. RECORD OF PAM CHANGES

58. All revisions/updates during course of implementation should be retained in this Section to provide a chronological history of changes to implemented arrangements recorded in the PAM.

16 The regional departments will present the performance of the completed PDA in the project completion report of the

ensuing loan. See para. 51 of ADB. 2013. Project Design Advance. Staff Instruction. Manila. 17 Available at: http://www.adb.org/Documents/Policies/Anticorruption-Integrity/Policies-Strategies.pdf 18 ADB's Integrity Office web site is available at: http://www.adb.org/integrity/unit.asp 19 For further information see: http://www.adb.org/Accountability-Mechanism/default.asp.

Appendix 1 21

Appendix 1 Safeguards Compliance Checklists and Outline Contents of Monitoring Reports

Checklist for Safeguard Supervision/Monitoring (Environment)

22 Appendix 1

Appendix 1 23

Checklist for Safeguard Supervision/Monitoring (Resettlement)

Loan/Grant No.: Project Name:

Project Analyst:

1) Resettlement Categorization (Original) A B C FI

(additional financing, if any) A B C FI

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

RP Number of RPs_________ ESMS

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

No If no, actions?

No If no, actions?

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

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

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

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

Allocation of Government Budget: No If no, actions?

If yes, amount$:

4) Resettlement Monitoring and Reports

Internal Monitoring System Established: No If no, actions?

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

(month) (year)

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

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

If Yes, provide information below

Type of mission

Cumulative Progress (%):

Checklist for Safeguard Supervision: Involuntary Resettlement

PROJECT INFORMATION

Approval Date: Closing Date:

Mission Date (m/yr)

Project Team Leader(s):

Name of safeguard specialist/officer/staff consultants

Resettlement Planning Documents: RF

Yes

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

Compensation Rates Approved by the Government: Yes

PIU/PMU Resettlement Staff Assigned: Yes

Yes

Yes

Yes

Yes

Yes

Yes

Baseline ReportReport 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

24 Appendix 1

Overall safeguard rating (e-Operation):

S = Satisfactory; PS = Partly Satisfactory; US = Unsatisfactory

7) 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 Director

cc: PAU Head; PARD Safeguard Specialist

6) Compliance with Loan Covenants

List of key covenants in loan and project agreement

Item # Covenant Compliance rating* Describe status of compliance

*Note: Yes ; No; Not yet due

Items Describe Implementation Status

1 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

Issue

Proposed Action(s)

Follow-up Issues/Actions

Final Resolution of Issue

2

Issue

Proposed Action(s)

Follow-up Issues/Actions

Final 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

Appendix 1 25

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 annex 1

Additional photographs

Additional information as required

26 Appendix 2

Appendix 2

Terms of Reference

Samoa Port Development Project

Detailed Engineering Design Consulting Services

Appendix 2 27

CONTENTS

Page

I. INTRODUCTION 1

1.1 Background 1

1.2 1

II. PHASE 1: DETAILED DESIGN CONSULTING SERVICES (DDC) 2

2

2

3

4

5

5

2.7 Break-bulk handling facility 5

5

6

6

6

7

9

9

9

III. PERSONNEL 10

10

3.2 11

IV. DURATION AND TIMING OF THE SERVICES 12

V. REPORTS AND DELIVERABLES 12

VI. PROCEDURE FOR REVIEW AND ACCEPTANCE OF OUTPUTS 15

VII. COUNTERPART FACILITIES 15

6.1 15

16

16

VIII. FEASIBILITY-STAGE DOCUMENTS 16

VIII. CONSULTANT’S PROPOSAL SUBMISSION 16

Annex 1: Terms of Reference for Phase 2 Construction Supervision Services 19

Appendix 2 1

I. INTRODUCTION

1.1 Background 1. The port of Matautu, located in Apia, provides facilities for international freight, container ships, tanker and cruise vessel arrivals, bulk petroleum products and interisland ferry services. The wharf is currently being extended, financed by a $30 million grant from Japan International Cooperation Agency (JICA). These works are expected to be completed by May 2018. However, recent studies have identified that operations are still constrained by significant sea swell particularly during the wet season (November through until April). To enhance safety and capacity, the study have determined that extension of the existing breakwater by 100 meter (m) could reduce the height of the swell so that port operations can continue in most circumstances. The proposed project will comprise (i) breakwater extension and rehabilitation of the existing breakwater; (ii) reconfiguration of existing port precinct and container terminal areas; and (iii) provision of x-ray scanner and facilities. The impact of the proposed project is increased movement of people and goods. The outcome is enhanced safety and capacity of the existing Apia port. 2. The draft feasibility study reports for these proposed project components have been completed, and these have been included as attachments to this Request for Proposal to provide additional information to shortlisted firms. 3. The government has requested the Asian Development Bank (ADB) for a project design advance (PDA) grant which, if approved, will be applied to the design services referred to in these terms of reference (TOR).

1.2

4. The executing agency (EA) for the project will be the Ministry of Finance (MOF). The Samoa Ports Authority (SPA) will be the implementing agency for all works within the port boundary. A Technical Working Group, chaired by the SPA, will coordinate and guide all technical aspects of the project. The Ministry for Revenue (MFR) is part of the Technical Working Group and will oversee, review and evaluate aspects pertaining to the proposed container X-ray machine and associated facilities. Consulting services are required for the detailed design and construction supervision of the works. A consulting firm(s) will be initially selected to undertake design services. The Government will select a firm in accordance with ADB’s Guidelines on the Use of Consultants (March 2013) using quality and cost-based selection, and applying a quality to cost ratio of 90:10. 5. The initial contract, “Phase 1: Detailed Design Consultants (DDC)” will be financed from the PDA Grant. This contract will be a lump-sum contract. 6. Subject to approval of the ensuing ADB Project Grant in 2018, the government will proceed with the physical implementation of the project. Subject to satisfactory performance of the DDC consulting firm in delivering the design phase services, and subject to approval by the ADB, the government may negotiate with and single-source the same DDC consulting firm for Phase 2: Construction Supervision Consultants (CSC). The contract for Phase 2: Construction Supervision Consultant (CSC) is expected to be a time-based contract. 7. Outline terms of reference for the Phase 2 construction supervision services are attached as Annex 1.

2 Appendix 2

II. PHASE 1: DETAILED DESIGN CONSULTING SERVICES (DDC)

8. Services will be required to prepare detailed engineering designs, specifications and bidding documents for the physical components of the project specified hereunder. Services will also include updating of environmental and social safeguard documentation, Climate Risk and Vulnerability Assessment (CRVA) and Disaster Risk Reduction Assessment (DRR), cadastral surveys and all work inclusive of geotechnical investigations to complete the designs to international standards as specified hereunder. 9. The works to be designed are:

Port component

• Breakwater extension. • Reconstruction or repair of the existing breakwater. • Enlargement of inner turning basin • Realignment of navigation channel • Repositioning of navigation aids, lead lights and repositioning of mooring buoys for gas

berth • Paving of approximately 0.8 hectare (ha) heavy-duty container yard extension and about

1.4 ha other heavy-duty pavement areas. • Break-bulk handling shed • Services, including fire mains and hydrants, water supply, power supply and terminal

lighting. • Miscellaneous pavement repairs and extension of the paved area • Storm water drainage • Port equipment repair workshop • Dangerous goods area • Optimization of reefer facility and location

Customs component

• Accommodation shed/facility for mobile X-ray machine with associated access and egress.

10. The consultant will review and analyze all relevant and existing data and studies on natural conditions around the project. 11. The geotechnical investigation will include the off-shore project area which comprises the existing and proposed breakwater extension. Geotechnical investigation will ascertain foundation conditions for breakwater design and for rehabilitation of the existing breakwater. The consultant shall provide all necessary equipment including barge-mounted drilling equipment (or other suitable equipment to be specified in the technical proposal). The water depth in the area around the breakwater extension is expected to be approximately 14 m. The topographic survey will cover the entire area of the port to accurately locate all features, and elevations. Additionally, hydrographic surveys will be carried out on existing channels and turning basins to verify the adequacy of water depth data relied upon by the feasibility study (see section 7) and current charts and confirm the hydrographic data to ensure robust design of the project. Initial wave data

Appendix 2 3

has been collected and analyzed as part of the feasibility study. However, this relates to “dry season” conditions. The consultant will collect “wet season” data to the extent possible and review and assess whether further data needs to be collected or any further analysis shall be performed to verify the efficacy of the swell reduction measures proposed in the feasibility report. Contour plans, longitudinal section, and cross sections shall be prepared as part of the design reports. Relevant information is also contained in the attached Draft Engineering Feasibility Report (DEFS), section 10 – Preparatory Tasks. 12. A cadastral survey will be undertaken to accurately define the land ownership parcels within the port limits, and at its peripheral properties. The land proposed to encompass the port land, or the boundary of the port limits, will be defined (as required by the Port Act). Drawing on the cadastral survey, all existing lease arrangements within port and at its periphery, for use of port buildings, container yard will be determined. This will include establishing land ownership, current lease details including verification of processes to that were used establish such leases. The consultant will provide appropriate physical boundary markers and will identify any issues or disputes with respect to such boundaries or ownership. The consultant will provide SPA with appropriate drawings and report findings in relation to issues or disputes. 13. The consultant shall make its own arrangements for all geotechnical survey, hydrographic, topographic and cadastral survey, and material testing services. The inception report should include implementation plans for geotechnical, topographical, hydrographic and bathymetric, cadastral surveys/investigation and further wave data collection. This should include the risk assessment and management plan prior to commencement of physical surveys (particularly geotechnical surveys).

14. Detailed design shall be conducted for both the port and customs component (section 2.1 above). 15. Meteorological and oceanographic (met-ocean) data analyses were conducted as part of the feasibility studies to determine the natural disaster and climate risks for the proposed project. This included computing frequencies and magnitudes of historical long-term wind speeds, directions, wave climate, and tidal levels under normal and storm conditions for both current and future climate conditions. Detailed two-dimensional numerical modelling has been undertaken to assess the effectiveness of the breakwater enhancement. Wave measurements have been made at Apia harbor to provide a semi-quantitative indication of the confidence in the numerical model. Such climate analyses were taken into consideration in the feasibility design of the breakwater design (see section 7). Further detailed assessment is attached in the CRVA and DRR which forms part of the DEFS. 16. Taking into consideration the outcome of the geotechnical, topographical and hydrographic survey, and its implications on the detailed engineering design of the project, the consultant will peer review the report and methodology used by the feasibility study team and will confirm the adequacy and performance of the proposed breakwater design (as recommended in the feasibility study) in mitigating the swell waves and climate change impacts–or otherwise provide reasoned recommendations for any design modification that may be considered necessary. Under the DEFS, 2-D simulations were conducted on the proposed project components; the further details are included in channel risk modelling report which form part of the DEFS. In this DDCS component, the consultant shall perform more detailed simulation model studies to confirm wave conditions in the approach channel, turning basin and berthing basin. In

4 Appendix 2

particular, the consultant will conduct more advanced three-dimensional (3D) ship simulation modelling to confirm and validate safe navigability of the approach channel. 17. Similarly, feasibility studies have determined that a 400m turning circle, along with a realigned approach corridor can be accommodated within the existing harbor and approach channel without the need for dredging. The consultant will peer review the report and its recommendations including verification of the bathymetric survey data upon which the recommendations were based. If it is concluded that there is a requirement for dredging, the consultant shall incorporate all relevant assessments in the detailed engineering design and construction contract bidding documents, and update the environmental safeguard documents as necessary. 18. During the inception phase, the consultant shall confirm with SPA on (i) the status of the submarine cable project, in particular to confirm the requirement for warehousing facility to be located within the port boundary (see also section 2.3 of DEFS) and (ii) the status of reconstruction of the new diesel tank (see also section 2.4 of DEFS) - as this impacts on the detailed scope of on-shore improvements for detailed design. The project design shall take into consideration relocation of the submarine gas pipeline and manifold, pay due regard to cyclonic storm conditions and other potential naturally occurring conditions as highlighted in the Disaster Risk Reduction Assessment (see CRVA and DRR of DEFS), consider availability of construction materials and equipment, soil balance between dredging and reclamation (if required), sedimentation and maintenance dredging, cost-effective construction design, and safe and efficient construction of the works. If dredging is to be required, the consultant shall also be responsible for identifying suitable dredge disposal sites. 19. The consultant shall ensure resilience of the port infrastructure to extreme climate events, climate change, and any naturally occurring disasters. The project design shall take into consideration the CRVA and DRR assessment, and seismic risks discussed in the sections 8 and 9 of the DEFS. The design report will include discussion of construction options to address these risks and reasons for selecting the preferred option. If use of rock armor is recommended in any part of the breakwater, sources of suitable rock and estimates of heavy vehicle generation (and consequent environmental impacts) for transporting the rock shall be identified. The sources of construction materials and equipment for civil works and their supply method shall be identified. 20. Detailed engineering design and parameters for all project components (listed in section 2.1 and elaborated below) shall be prepared for incorporation in the bidding documents. Sites for temporary occupation by the contractor within the port boundary, and access routes for cartage of construction materials shall be identified and described in the bidding documents. 21. The work program for constructing all civil works and equipment packages shall be prepared. This shall take into consideration time needed to source, manufacture and deliver materials, and equipment (temporary and permanent) to the site.

22. Recommendations for the concept of the breakwater extension is discussed in section 9 of the DEFS. Similarly, feasibility studies have determined that a 400m turning circle, along with a realigned approach corridor can be accommodated within the existing harbor and approach channel without the need for dredging. The consultant will peer review the report and its recommendations including verification of the bathymetric survey data upon which the recommendations were based.

Appendix 2 5

23. The consultant will carry out all necessary geotechnical and bathymetric survey to design and accurately quantify the work necessary for the breakwater extension. The water depth in the area of the breakwater extension is expected to be approximately 14m. Geotechnical investigations for piling work for the current wharf extension works indicated that sands and silts overlie bedrock in a layer of 10m-14m thickness. The consultant shall provide all necessary equipment including barge-mounted drilling and sampling equipment (or other suitable equipment to be specified in the technical proposal). The design of the breakwater will pay due regard to cyclonic storm conditions, and potential for liquefaction in the founding layers. The design report will include discussion of options and reasons for selecting the preferred option. If use of rock armour is recommended in any part of the breakwater, sources of suitable rock and estimates of heavy vehicle generation for transporting the rock shall be identified.

24. The feasibility study has recommended that the existing breakwater should be reconstructed. The consultant will carry out an independent assessment of works required for the existing breakwater and incorporate measures into the design of the works. The feasibility study also identified a near-by site for relocation and re-use of the dolos of the existing breakwater. If relocation and replacement of the existing dolos is recommended, the consultant shall incorporate such requirement into the scope of the civil works contract. The cost shall be separately estimated and logistics arrangements determined.

25. The works will include construction of a 0.80 ha extension of the container yard in a location described in the feasibility study. Two old existing fuel tanks will be demolished (under the civil works contract) and heavy-duty pavement of about 0.23 ha will be constructed on the site of the tanks. Additionally, heavy-duty pavement will be designed for the cargo examination facility (0.30 ha), the refrigerated cargo facility (0.30 ha), plant workshop area (0.34 ha), imported vehicles are (0.24 ha) and the customs clearance yard (0.24 ha). The consultant will carry out all necessary geotechnical investigations, analyze and forecast future loading and design the pavement for a design life of 25 years. Options will be developed, including estimation of whole-life cost and maintenance requirements. Options to be evaluated may include concrete block, pavement quality concrete and asphalt options among others.

2.7 Break-bulk Handling Facility 26.. It is intended that an existing warehouse (designated as Shed 2 on the plan in the feasibility study) be demolished and the area is redeveloped to handle break bulk cargo. A new covered area will be designed for this purpose.

27. As a result of the breakwater extension under the proposed project and extension of the existing wharf implemented by ongoing JICA grant project, the navigation channel may be realigned slightly west of that currently used. The consultant will review and confirm the realignment of the navigation channel, taking into account safe navigation of vessels passing in and out of the port. Both interim vessel operation plans (during construction) and vessel operation plans (after construction) shall be developed. Both interim vessel operation plans (during construction) and vessel operation plans (after construction) shall be developed. The consultant

6 Appendix 2

shall analyze navigation performance of vessels in the approach channel and turning basin. The operation plans during and post-construction shall be validated using simulation studies and tools, such as 3-dimensional channel model simulation, to ensure sufficient safety domain. The positions of existing navigation aids, and mooring buoys used for gas tankers shall be accurately determined, and recommendations will be made for relocating or replacing them. The Consultant shall specify all necessary works to be included in the scope of the civil works contract. Specifications for the required navigation aid system shall be prepared. If additional navigational aids are required, the consultant shall also ensure that the procurement or civil works specifications and contract shall also include for the supply, installation and commissioning of the navigation system.

28. The consultant will identify and survey all existing utility services (including power, water, fire mains and hydrants, and lighting) within the area of the port. New facilities for refrigerated containers (150 units) will be designed and specified. The adequacy of existing lighting arrangements will be reviewed and new lighting towers designed and specified. It is anticipated that the fire hydrant system will require complete renewal. Recommendations for upgrading (including new electrical substation and cabling), removal or replacement of these services will be prepared and incorporated in the scope of the civil works contract.

29. The consultant will survey the entire land area of the port and will recommend repair, rehabilitation or reconstruction of any pavement (in addition to those pavement areas recommended for upgrading) that are considered to be in a condition likely to affect efficient port operations in the short and medium term. A storm drainage system will be designed. A suitable area for hazardous goods storage will be identified and be designed as part of the works accordingly. Minor works, including fencing, gates, security posts etc. will be identified in consultation with SPA. All work deemed necessary shall be designed and incorporated in the scope of the civil works contract.

30. The MFR will procure a mobile container X- ray machine. In consultation with Ministry for Revenue, and the Trade Facilitation Expert currently engaged under the ADB Regional Technical Assistance on Trade and Transport Facilitation in the Pacific, the consultant will design suitable customs examination facility for the machine in area “J” as shown on the plan in the feasibility study. An existing derelict building on the site will be demolished as part of the project. The housing (approximately 25m by 25m in plan) will be designed to accommodate the operational and maintenance requirements of the X-ray machine and associated unpacking/packing activities. The building will be designed to withstand cyclonic wind forces and potential flooding due to storm surge will be considered. The consultant shall also develop the internal configuration of the customs examination facility with to ensure operability of the x-ray machine and to ensure workable flow of goods and containers within the customs examination facility. The physical process flow diagram of goods and containers shall be indicated on the proposed internal layout of the customs examination facility. The process time for each stage of the examination process for “without x-ray scanner” and “with x-ray scanner” shall be assessed. 31. An analysis shall be conducted to indicate the expected benefits for the proposed configuration (with x-ray scanner). The assessment should also quantify who’s time is being

Appendix 2 7

saved – whether it is time savings beneficial to customs agency, or to reduce damage to perishable goods, or reducing the inventory required by businesses. All benefits should be quantified, and monetized wherever feasible. The proposed improvements relating to customs processes and procedures shall ensure compliance with WCO Kyoto Protocol and SAFE Framework. 32. The consultant will prepare a separate bidding document for procurement of these works through national competitive bidding (NCB). The Consultant will recommend access and egress arrangements (which may require relocation of the gates) and alternative parking arrangements for Customs staff. 33. Sufficient flexibility shall be incorporated in the consultant’s design phase implementation schedule to “fast-track” design and procurement of the facility. The consultant will liaise with the Customs Service on commencement of the services in regard to any “fast-tracking” that may be required.

• Equipment Maintenance workshop 34. A maintenance workshop building will be provided for equipment maintenance operations. The building will be of sufficient size to accommodate two large forklift trucks including sufficient vertical clearance for the masts. The building will a cyclone-resistant steel framed structure with electric roller shutter doors for access and security.

i. Materials and geotechnical testing and surveys

35. The consultant shall make its own arrangements for all geotechnical survey and material testing services during the design phase. The breakwater extension site is in 14m depth of water. Nearby piling works suggest that approximately 10m of sediments overlie bedrock. However, the consultant shall make its own assumptions regarding the scope of required geotechnical investigations for purposes of its technical and financial proposal.

ii. Port logistics

36. The Consultant will review logistical arrangements for handling of containers, break bulk cargo and all goods within the port area and design interventions for optimizing cargo handling operations. This will include designation of freight handling to, from, and within container yards and the port generally, including safety arrangements.

iii. Cadastral survey

37. The consultant will undertake cadastral survey of the entire land area occupied by SPA and of all leased areas within that area. The consultant will provide appropriate physical boundary markers and will identify any issues or disputes with respect to such boundaries or ownership. The consultant will provide SPA with appropriate drawings and report findings in relation to issues or disputes.

8 Appendix 2

iv. Environmental and social safeguards

38. The consultant will review and update the initial environmental examination (IEE),20 social safeguard due diligence report and consultation and communications plan prepared during the feasibility studies to accurately reflect the final design and impact of construction both on and off the site (including impacts at materials and rock sources/quarry sites and impact of traffic in respect of materials/rock haulage). The documents will be reviewed and updated in accordance with local regulations (including the Samoa Codes of Environmental Practice (COEP) as updated) and the ADB’s Safeguards Policy Statement 2009 (SPS). The detailed design is required, as far as practicable, to reflect the recommendations and proposals for mitigation of impacts made in the IEE and the environmental management plan (EMP). The IEE will be updated to reflect the final design. The updated EMP will be included in the Employer’s requirements of the bidding documents. The updated EMP will include the schedule outlining a program of baseline and compliance monitoring as required under the Planning and Urban Management Act (PUM Act), Planning and Urban Management (EIA) Regulations and SPS. The social safeguards due diligence report will be updated and any Resettlement Plan (if required) will be prepared based on the cadastral survey, further consultations, and other findings arising from the detailed design. 39. As the geotechnical surveying requires drilling of boreholes, the impacts and risks of these activities need to be assessed and a plan(s) prepared to established measures and methods to avoid or mitigate the risks and impacts. The boreholes will be drilled from a jack-up barge or platform (or similar) on the footprint of the breakwater extension. While environmental issues are likely to minor, they need to be assessed. There are likely to be navigational safety issues and risks during the preparation for, and drilling of, the boreholes which need to be identified, assessed and mitigated. Prior to the commencement of the geotechnical survey, the DDC (or firm subcontracted by the DDC) will undertake a risk assessment to identify the environmental and navigational risks and impacts and prepare a plan(s) to address such risks. The site-specific management plan(s) may include, but necessarily be limited to: (i) surveying and borehole drilling works plan; (ii) health and safety plan (workers and community); and (iii) marine traffic, navigation and safety plan. The risk assessment and plan(s) will be prepared and submitted to SPA-PMU and ADB for review and clearance ahead of any surveying activities commencing. The DDC will also check whether drilling boreholes triggers the need for separate development consent under the PUM Act (or permits under any other legislation) and as required, prepare the necessary application documentation. During the surveying activities, the PSA-PMU will monitor compliance with the management plan(s) and any other development consent or permit conditions. 40. The consultant will be responsible for delivering relevant and appropriate safeguards training to SPA and other government departments as required. This is particularly important because the existing safeguards functions are split between different roles in SPA.

v. Cost estimation

41. The ADB Fact-Finding mission is planned in early July 2018 to finalize all project documents preparing of funding approval. Hence, the initial cost estimates prepared under the feasibility studies need to be refined, no later than 15 June 2018, for preparation of the plan for the financing to be prepared by it. Therefore, the Consultant is required to prepare an interim update of the project cost estimate, as part of its draft engineering design report (see further 20 Depending on the requirements of the Planning and Urban Management (EIA) Regulations, the IEE will be updated

as a Public Environmental Assessment Report (PEAR) or Comprehensive Environmental Assessment Report (CEAR) and be the basis for development consent application for the project under the Planning and Urban Management Act.

Appendix 2 9

details in Table 2 of this TOR on “Phase 1: Detailed Design Phase – consultant’s (firm) reporting requirements”). 42. While it is not expected that detailed designs will have been completed at this point, the interim cost estimate will be based on preliminary detailed design, and identify any specific risks or likely deviation from the feasibility costs estimates. Within approximately 7 calendar months from commencement of services, the consultant will prepare final detailed estimates of the cost of all Project components in the form of the bill of quantities (BOQ) of the relevant bidding document to facilitate bid comparison and evaluation. Cost estimates shall be provided in all cases where different construction options are to be evaluated, including whole-life costs. The BOQ should also identify costs associated with preparation and implementation of the contractor’s site-specific EMP (SEMP) responding to the updated EMP contained in the bidding documents. Unit rate analyses shall be provided on a with and without tax basis.

43. The main civil works contract for the port component will be procured in accordance with ADB’s Procurement Guidelines (April 2015) and using ADB’s standard bidding document (SBD) for Civil Works under international competitive bidding. The SBD for Civil Works (Small Contracts) may be used for construction of the X-ray housing facilities, and equipment workshop and SBD for Goods (Supply and Install) for the X-ray scanning equipment (by others). Based on the above SBD the consultant will prepare draft bidding documents, including details for bid evaluation criteria and contractor qualification criteria, Employer’s Requirements, BOQ, and detailed specifications. The consultant will liaise with SPA, the Government of Samoa and ADB with regard to any conditions of particular application required to amend the standard general conditions of contract. A method of measurement clearly linked to the BOQ item descriptions will be provided either as a stand-alone document or incorporated in the specifications.

44. All designs and materials shall comply with relevant international codes of practice and standards. These may include Australian Standards and or equivalent BS and ASTM Standards and PIANC Guidelines. Use of other standards (which shall have requirement no less stringent) shall be subject to approval of SPA. Where different elements of codes or design standards are mixed, the consultant shall be responsible for ensuring compatibility. 45. The requirements set out in the Samoa COEP as updated, will be applied to construction and implementation. The World Bank’s Environmental Health and Safety Guidelines – Ports and Harbors will also apply.

46. The consultant will support SPA and Ministry For Revenue (MFR, for the customs component) in responding to questions from bidders arising during the civil works bidding period. Additionally, the consultant will assist the Government of Samoa in evaluating bids and will prepare a draft bid evaluation report in accordance with ADB’s Guide on Bid Evaluation for finalization by the Government’s procurement agency.

10 Appendix 2

III. PERSONNEL

47. The consulting firm will determine the number and the nature of experts required to achieve the objectives of these TOR, in accordance with their proposed approach and methodology. Person-months suggested in these TOR are indicative. However, a minimum of 10 international key experts are identified for Phase 1; one of which, will be expected to act as team leader for the period of the services. Table 1 shows the key experts required for the Project for the Phase 1: detailed engineering design.

Table A2.1: Summary of Consulting Services Minimum Requirements (Key Experts) Positions Minimum Person-Months

International

Port Design Engineer/Team Leader (Design Phase) 7

Geotechnical /Foundation and pavement design Engineer 2

Environmental specialist 2

Climate change specialist 2

Source: Asian Development Bank.

48. The technical evaluation will consider the qualifications and experience of the key experts listed hereunder. Minimum desirable qualifications and experience of the key experts are given below.

(i) Port Design Engineer/Team Leader (international, 7 person-months). The candidate shall preferably possess a degree in civil engineering, and possess at least 15 years of experience in design, project management, and implementation of maritime projects. As a team leader, the Port Design Engineer/Team Leader will have extensive experience in leading multi-disciplinary teams of experts, and preferably have experience in implementing projects funded by international financing institutions such as ADB or similar. As Port Design Engineer, the Port Design Engineer/Team leader will have extensive experience in designing, or managing, the design civil works and port ancillary works (including services). Experience in developing countries, and working with development agencies is preferred.

(ii) Geotechnical/foundations/pavements Engineer (international, 2 person-months). The candidate shall preferably possess a degree in civil engineering or equivalent, with at least 10 years of experience in geotechnical investigations for similar maritime projects, design of foundations and load bearing pavements. In particular, the geotechnical engineer will have experience in managing geotechnical investigations conducted in marine and coastal environment, and the interpretation of such investigations. The foundation conditions and the design of the breakwater extension, taking into account any potential for liquefaction is a key responsibility of the geotechnical/foundations/pavement engineer.

(iii) Environmental Specialist (international, 2 person-months, intermittent). The candidate shall possess a degree in environmental science or planning or related field with at least 10 years of experience in environmental assessment and management including supervising EMP requirements of construction contracts in maritime or related projects. Experience in preparing and documenting environmental aspects of construction projects to meet ADB’s Safeguards Policy Statement would be an advantage. Experience in developing countries and in the

Appendix 2 11

Pacific is essential. The international environmental specialist will work closely with the full-time national environmental and social safeguards officer (see 3.2).

(iv) Climate Change Specialist (international, 2 person-months, intermittent). The consultant should preferably have an advanced degree in Civil Engineering, Coastal Engineering, Oceanography or closely related field. The consultant shall preferably possess at least seven years’ experience in wave climate modelling, and developing and/or implementing engineering solutions for harbour swell mitigation for offshore facilities and port and maritime infrastructure. Experience in evaluating the effects of waves on ship manoeuvring and berthing would be an advantage.

3.2

49. Other non-key international experts include: (i) Structural Engineer (international or national, 1 person-month suggested). The

candidate shall preferably possess a degree in civil or structural engineering and have at least 10 years of experience in design of buildings including metal framed structures in cyclone-affected areas.

(ii) Electrical Engineer (international, 1 person-month suggested). The candidate shall preferably degree in electrical engineering and have at least 10 years of experience in the design of industrial electrical supply systems.

(iii) Procurement Specialist (international, 2 person-months suggested). The candidate shall preferably possess Bachelor’s degree in civil engineering, business administration, or related field. Should have at least 10 years of experience in procurement of goods, works and services and contract management. Applied technical knowledge related to construction and work experience in the transport sector or other similar sector is desired. Experience in developing member countries will be desirable. Experience in applying ADB’s guidelines on procurement is preferred.

(iv) Port Logistics Specialist (international, 1 person-month suggested). The candidate shall preferably possess a relevant degree, with at least 10 year’s experience of transport logistics of which at least five years shall have been related to internal maritime port logistics operations.

(v) Customs Expert (international, 1 person-month suggested). The candidate shall preferably possess a relevant degree, with at least 10 year’s experience in operating and/or designing similar customs facilities in similar freight and port terminals.

(vi) Topographical and Cadastral Surveyor (international, 2 person-months suggested). The candidate shall preferably possess a degree in surveying, or related field, with at least 10 years of experience in surveying of civil engineering projects including bathymetric surveys. Experience in developing member countries will be desirable.

(vii) Quantity Surveyor (international, 1 person-month suggested). The candidate shall preferably possess a degree in quantity surveying, or related field, with at least 10 years of experience in quantity surveying and cost estimation for civil engineering projects. Experience in developing member countries will be desirable.

(viii) Environmental and Social Safeguards Expert (national, 4 person-months minimum). The candidate shall possess a degree in environmental or social sciences or related field, with at least 5 years’ experience in both social and environmental safeguards in compliance with ADB requirements. Preference will be given to consultants who have recent experience in social or environmental assessment and management planning, stakeholder engagement and consultation and safeguards due diligence in port and/or harbor projects.

12 Appendix 2

50. The consultants shall also include in their technical proposal, in the personnel work plan and in their financial proposal all other all supporting staff including surveyors, draftspersons, administrative and office staff, drivers and the like necessary to achieve the objectives of the contract, in accordance with their proposed approach and methodology. The proposing entity must also determine and indicate the number of person-months for which each key or non-key expert will be required. All experts, whether key or non-key experts must be citizens of one of the ADB eligible countries. IV. DURATION AND TIMING OF THE SERVICES

51. It is expected that the consulting firm will be appointed and commence the phase 1 services no later than early March 2018. The duration of the detailed design phase will be approximately 7 months, and services relating to the bidding process, including preparation of bid evaluation reports are expected to be performed in the ensuing 3 months. It is expected that the civil works contracts will be awarded 9 months after invitation of bids. The construction period for the main civil works contract is expected to be 16 months. V. REPORTS AND DELIVERABLES

52. The outputs and tentative payment schedule are provided in the following table. Week numbers reflected are relative to commencement of the DDC. Tentative milestone payment percentages are relative to the total contract amount. PROPOSED PERCENTAGES ONLY ARE TO BE PROVIDED AND WILL BE SUBJECT TO VERIFICATION AT NEGOTIATIONS. DO NOT PROVIDE PRICE DETAILS. All components of each item must be completed to qualify for a milestone payment. Table A2.2: Phase 1: Detailed Design Phase – consultant’s (firm) reporting requirements Output number

Description Tentative milestone

payment as a percentage of the overall

bid price

Submission date

1 Within 21 calendar days of commencement of the services, the consultant will conduct field visit and initial condition assessment of the port, discuss and confirm with the government on the detailed scope of project to undertake the detailed engineering design. The Inception report shall include: - Consultant’s assessment/confirmation of the methodology

and approach to delivering the DDC outputs after first field visit

- Confirmation and re-statement of detailed project scope for port (off-shore and on-shore) and customs component.

- Implementation plans for geotechnical, topographical, hydrographic and bathymetric, cadastral surveys/investigation and further wave data collection. This should include the risk assessment and management plan prior to commencement of physical surveys (particularly geotechnical)

- Project risk management plan - Risk assessment to identify the environmental and

navigational risks and impacts associated with geotechnical survey and prepare a plan(s) to address such risks. The site-

XX% Within 21 calendar days of commencement of the services

Appendix 2 13

specific management plan(s) may include, but necessarily be limited to: (i) surveying and borehole drilling works plan; (ii) health and safety plan (workers and community); and (iii) marine traffic, navigation and safety plan. The SPA and ADB will provide its comments on the Inception Report within 14 calendar days of receipt.

2 The consultant will peer review existing available reports relating to the methodology adopted and efficacy of the proposed breakwater extension, existing breakwater reconstruction and channel realignment. The Peer review report shall include: - Assessment on adequacy of the methodology of CRVA and

DRR assessment, in particular the wave climate studies and channel risk modelling in the feasibility study reports assessing (i) the adequacy and performance of the proposed breakwater design in mitigating the swell waves and climate change impacts (ii) the requirement for dredging.

- Recommendations on data collection and analysis to be conducted under this DDC

- reasoned recommendations for any design modification that may be considered necessary.

XX% Within 1 months of commencement of the services

3 The Survey and land issues report to include: - Geotechnical, topographical, hydrographic, cadastral surveys

and investigations as agreed with the government and ADB. - wave measurements and analyses - identification of relevant issues to be taken into consideration

in the project design – particularly the engineering design, social and environment safeguards aspects.

XX% Within 3.5 calendar months of commencement,

4 Stakeholder Consultation Workshop The consultant shall organize and conduct a workshop to provide information on the engineering options for project implementation and construction, and to facilitate consensus agreement within the government on the preferred option to proceed with detailed design.

XX% By June 2018

5 First Draft Safeguards documentation including: - Updated CRVA and DRR assessment - Updated the IEE, reflecting detailed design and final

construction options, updated as PEAR or CEARa including the updated EMP;

- Updated social safeguards due diligence report based on the cadastral survey results, identifications/further confirmation of outstanding issues or disputes (if any), and strategy for implementing gender actions (if required) and updated consultation and communications plan.

XX% By June 2018

6 Report on draft engineering design and cost estimate to include: - Results and analysis of all relevant surveys and

investigations, proposed engineering designs, engineering drawings for all elements of the project scope

- Description of design criteria, assumptions, detailed project components, physical improvement measures, and quantify expected operational improvements resulting from the project (e.g. enabling increase in container throughput, reduction in the number of days of port closures due to swell intrusion)

- description on the engineering options considered for all project components, with explanation on technical viability,

XX% By 15 June 2018

14 Appendix 2

environmental and social impact, climate and disaster resilience and the adequacy of existing institutional structures and processes to implement and maintain the project.

- Analyses and results of 3-D simulation of navigation performance of vessels in the approach channel and turning basin during and post-construction., to ensure sufficient safety domain throughout project implementation and post construction.

- Port and customs operational report on proposals for optimization of flow of container and cargo within the port area and within the customs area. In particular, the internal configuration of the customs examination facility shall be described to ensure operability of the newly purchased x-ray machine and to ensure workable flow of goods and containers within the customs examination facility. The report shall describe operations both during and after construction to ensure undisrupted and safe operations throughout the construction period. Operational benefits resulting from the proposed project shall also be quantified, and monetized wherever feasible.

- For the preferred option, draft engineering drawings and cost estimates (with cost breakdowns and including capital cost and operation and maintenance cost) for all project components shall be produced based on preliminary detailed design, and identify any specific risks or likely deviation from the feasibility costs estimates. The draft design will reflect any modifications as identified in the IEE to ensure that environmental safeguards and standards are met.

- The procurement strategy - including number and size of civil works and equipment (if required) procurement packages - shall be recommended.

- Provide draft project implementation schedule, and updated project design parameters to enable update of economic and financial analyses undertaken by Project Economist (individual consultant engaged under ADB TA 8889 Samoa Port Development Master Plan). The initial economic and financial analyses is attached in the feasibility study.

The draft design report is crucial in supporting the preparation of documents for funding approval. The firm is expected to provide support to the government and ADB project team in providing all relevant information of the project design to facilitate such preparatory work. The Team Leader of the DDC and relevant team members are also expected to be fielded in early July 2018 to participate in the ADB’s Project Fact-Finding mission to finalize the project documents.

7 Final design report, cost estimate and bidding documents to include: - The final design report and bidding documents (including

provisions covering safeguards requirements and the updated EMP)

- Detailed engineering drawings for all project components - Detailed estimates of the cost of all Project components in the

form of the bill of quantities (BOQ) - The bidding documents shall be produced for all procurement

packages will contain the updated EMP and other safeguards provisions and requirements including the grievance redress mechanism and updated consultation and communications plan. SPA will be responsible for printing and transmission of bidding documents in the form and number required

XX% Within 7 calendar months of commencement

Appendix 2 15

- The BOQ should also identify costs associated with preparation and implementation of the contractor’s site-specific EMP (SEMP) responding to the updated EMP contained in the bidding documents. Unit rate analyses shall be provided on a with and without tax basis.

- Cost estimates shall be provided in all cases where different construction options are to be evaluated, including whole-life costs.

- Final version of the environment and social safeguard documents – including the IEE, EMP, RP (if necessary) – reflecting the final detailed engineering design shall be produced.

8 Bid Evaluation Report (civil works for port component).

Subject to there being no need to seek clarifications from bidders, a draft bid evaluation report will be provided with 21 days of receipt of the bids by the consultant. Otherwise, it is expected that bid clarifications will be dealt with expeditiously. The BER for the port component is expected within 15 calendar months of commencement.

XX% within 21 days of receipt of the bids by the consultant

9 Bid Evaluation Report (civil works for customs component) Subject to there being no need to seek clarifications from bidders, a draft bid evaluation report will be provided with 21 days of receipt of the bids by the consultant. Otherwise, it is expected that bid clarifications will be dealt with expeditiously. The BER for the examination shed for the x-ray component is expected within 13 calendar months of commencement.

XX% with 21 days of receipt of the bids by the consultant

10 Monthly progress report No milestone payments.

At the end of every month.

a As required by the requirements and criteria set out in the Planning and Urban Management (EIA) Regulations. Source: Asian Development Bank.

VI. PROCEDURE FOR REVIEW AND ACCEPTANCE OF OUTPUTS

53. Each of the outputs will be reviewed by the ADB and Independent Engineer engaged under the Project Design Advance facility. Draft outputs shall be submitted to Samoa Port Authority and the Ministry of Finance in both hard and soft copies, and to ADB in soft copy. The firm will incorporate the government, Independent Engineer review and ADB’s comments in finalizing the documents. Upon formal acceptance of the outputs by the government and ADB, the progress payments will be made according to the payment schedule specified in the contract (see also Table 2). Standard software usable on Windows shall be used for preparing the reports. VII. COUNTERPART FACILITIES

54. For phase 1 of the Project the following has been agreed with the government.

6.1

55. SPA will provide suitable basically furnished (desks, chairs, ablution facilities), air-conditioned office space near to the port for the duration of the design and supervision services. The consultant(s) will be responsible for communications and internet to facilitate videoconference meetings amongst the government, ADB and the consultants from time to time.

16 Appendix 2

56. The consultant(s) will be responsible for providing office equipment, including computers, laptops, printers, photocopiers and the like necessary for delivery of the services and preparation of all reports.

57. The consultant(s) will make its own arrangements for local and international transportation of its staff, and local accommodation. VIII. FEASIBILITY-STAGE DOCUMENTS

58. Relevant studies, including Samoa Ports Master Plan and various documents (including safeguards documents) are attached to this RFP, this includes:

• Samoa Port Development Masterplan, Final Report (April 2016) • Samoa Port Development Masterplan, Appendices (April 2016) • Draft Engineering Feasibility Study (October 2017)

o Appendix A - Investigation of development strategies to reduce wave disturbances in Apia Harbour – Site visit, SW and BW Modelling Results (June 2017)

o Appendix B - Draft Report – Climate Change Vulnerability Assessment & Disaster Risk Management (6 October 2017)

o Appendix C - Detailed cost estimates • AWARE screening for Samoa Port Project • Draft Initial Environment Assessment (September 2017) • Marine Ecological Assessment (October 2017) • Draft Due Diligence Report (September 2017) • Draft Summary Poverty Reduction and Social Strategy (November 2017) • Risk and Safety Assessment of Apia Port divided into the following sub-reports:

o Simulation Modelling Report o Simulation Runs Report o Cost Benefit Analysis Report o Port Operations Report o Threshold Operating Swell Criteria Report

VIII. CONSULTANT’S PROPOSAL SUBMISSION

59. Shortlisted consultants are invited to provide a Technical Proposal that covers the Phase 1 – Detailed Design only. The request for proposal (RFP) will describe the method to be used to evaluate the technical proposals. Similarly, the required form of the Financial Proposal for Phase 1 – Detailed Design will be described in the RFP. Technical and Financial Proposals shall be submitted strictly in accordance with the instructions given in the Consultant Selection and Recruitment Notice (CSRN). 60. This TOR has been prepared to address the detailed design consulting services. The Technical Proposals shall be clear, concise, well organized and shall not exceed a total limit of 60 pages. 61. Firms should provide relevant project experience for projects that are similar in scope and in similar geographical condition (TECH-6) e.g. on-shore port improvements, coastal protection

Appendix 2 17

and engineering projects, design of navigation systems or design and construction of navigation channels. 62. Firms should also provide workable solutions in TECH-7 form to ensure quality deliverables. The shortlisted consultants are strongly advised to visit the project sites and acquaint themselves with the on-the-ground realities and the suite of feasibility study reports provided in this RFP, and demonstrate their understanding of the objectives and quality of methodology in TECH-1 form as part of “approach and methodology”. Proposing entities are also requested to describe how they propose to deliver the outputs of the contract. Effective stakeholder engagement should be maintained throughout the duration of the DDC services to ensure delivery of outputs, and building consensus amongst respective government on accepting the outputs. In this narrative, firms should also demonstrate appreciation of the challenges in managing delivery of outputs, particularly to support successful funding approval for implementing the ensuing project, and at the same time ensuring quality outputs for successful project implementation. Firms shall explain how these would be managed with effective project management structure, stakeholder engagement plan and effective implementation of risk management plan. 63. As part of “approach and methodology”, firms must also carefully assess the adequacy of the available data in the feasibility studies, including any other background information that the firm may have, and elaborate on their approach and methodology to deliver each of the defined outputs (see Table 2). In particular, the firm shall define the expected scope of physical surveys required under this DDC, and include a plan to mobilize and complete all surveys required for the design of the works and as specified in this TOR. The associated cost of surveys shall be included in the firm’s financial proposal. The Employer provides no warranty for the adequacy or accuracy of the data provided with this Request for Proposal and the proposer is deemed to have allowed for all things necessary to satisfactorily deliver the specified outputs specified under this TOR. 64. The “Work Schedule” (TECH 1 and TECH-3) shall be sufficiently detailed and “Personnel Schedule” (TECH-2 and TECH 4) should be consistent with the proposed approach and methodology (TECH-1), with consideration in addressing the phasing of activities of the work schedule. The proposal shall provide detail which experts will be involved in undertaking key tasks. In proposing the mobilization plan (indicated in the “Work Schedule” and “Personnel Schedule”), the firm should clearly indicate the allocation of home-field time balance, ensuring sufficient field time for both key-experts and non-key experts to conduct meaningful discussions with governments. Firms shall assess the reasonableness and completeness of requirements and understanding of local conditions under the section on counterpart Personnel and Facilities (TECH-8). 65. Only one curriculum vitae (CV) must be submitted for each key and non-key expert included in the proposal (TECH-5). Each CV shall not exceed a limit of 4 pages. Only the CVs of key experts will be scored as part of the technical evaluation of proposals. The CVs of non-key experts will not be scored. However, ADB will review and individually approve or reject each CV for each non-key expert position in the proposal. 66. All positions under the contract, both key and non-key, must be included and budgeted for in the financial proposal in accordance with the person-month allocation required for each as defined by the proposing organization. 67. The required services may be conducted in the consultant’s home office but the consultant

18 Appendix 2

will be expected to conduct meaningful field visits as required for consultation with stakeholders. The Team Leader and relevant team members are expected to travel as required to facilitate and present at the options workshop. The Team Leader, environmental expert, port logistics expert, customs expert, climate change expert and procurement expert would be expected to participate and support the ADB Fact-Finding Mission planned in early July 2018, to finalize project documents to be submitted for funding approval. 68. The DDC team shall also be expected to respond to technical comments and feedback generated during the ADB inter-departmental review of project documents – expected within Q3 2018. 69. The firm shall ascertain the requirements for the costs of all physical surveys (including geotechnical, topographical, bathymetric, hydrographic, cadastral and wave measurement surveys) required to complete the detailed engineering design and include these costs in the firm’s financial proposal. In addition, the cost of international travel for specified key experts and non-key experts shall be indicated in the Financial Proposal under the category “International Air Travel”. Any additional trips deemed necessary during the course of the assignment shall be borne by the firm. The financial proposal shall be prepared inclusive of taxes. 70. The contract negotiation with the first ranked firm shall be held in Apia, Samoa. The participation costs, including travel accommodation, shall be borne by the consultant. 71. An outline TOR for construction supervision services is provided in Annex 1 for information only.

Annex 1 19

Annex 1: Terms of Reference for Phase 2 Construction Supervision Services

I. INTRODUCTION

1. The port of Matautu, located in Apia, provides facilities for international freight, container ships, tanker and cruise vessel arrivals, bulk petroleum products and interisland ferry services. The wharf is currently being extended, financed by a $30 million grant from Japan International Cooperation Agency (JICA). These works are expected to be completed by May 2018. Studies have identified that operations are constrained by significant sea swell particularly during the wet season (November through until April), and have determined that extension of the existing breakwater by 100 meter (m) will reduce the height of the swell so that port operations can continue in most circumstances. The Project will comprise provision of the breakwater extension, along with improvements to navigation aids and containers yards, and other port facilities. The Government of Samoa has applied for a grant from the Asian Development Bank (ADB) which will be applied to the project, including civil works, project management, equipment, and design and construction services.

2. The executing agency (EA) for the project will be the Ministry of Finance. There will be two implementing agencies (IA). The Samoa Ports Authority (SPA) will be the implementing agency for the breakwater and all other works within the port and the Ministry for Revenue (MFR) will be the IA for the proposed container X-ray machine and associated facilities. Consulting services are required for the design and supervision of the works. A consulting firm will be selected by the Government of Samoa in accordance with ADB’s Guidelines on the Use of Consultants (March 2013) using quality and cost-based Selection, and applying a quality to cost ratio of 90:10. 3. Two separate contracts will be awarded. The first contract for Phase 1: Detailed Design Consultants (DDC) is a consulting service to be financed from the project design advance (PDA) Grant. This contract for Phase 1: DDC shall be a lump-sum contract. 4. Pending approval of the ensuing ADB Project Grant in 2018, the Government would finance the cost of implementing the project. Pending satisfactory performance of the DDC consultants in Phase 1, the government may request to single-source the same consulting firm utilized in Phase 1 (DDC consultants) to perform the second contract for Phase 2: Construction Supervision Consultants (CSC). This contract for Phase 2: Construction Supervision Consultant (CSC) shall be a time-based contract.

5. The consultant will assume the role, power and authorities of the Engineer as set out in the general conditions of contract (FIDIC 2010 Multilateral Development Bank Harmonized edition) subject to limitations stipulated by the executing agency. The consultant firm will nominate an individual to undertake the role of the Engineer. It is expected that the Engineer will delegate certain powers and authorities to a suitably qualified and experience Resident Engineer. It is expected that the Engineer will retain powers and authorities relating to non-routine contract administration (e.g. determining claims, extensions of time, etc.). The consulting firm will remain

20 Annex 1

responsible for all actions and decisions of its personnel made in the course of supervising and administering the works contracts.

6. Contract administration and supervision services will include but not necessarily be limited to:

1. Preparing documentation to support, and making submission on behalf of SPA for, approvals required under national laws and regulations including, but not limited to, PUM Act and Regulations development consent for the project and quarry permits for new sources of materials are required for breakwater extension and reconstruction.

2. Depending on the experience of the contractor in environmental management, provide support to the contractor as required during preparation of the SEMP.

3. Approving contractor's work program, method statements, material sources, SEMP1 and health and safety plan and materials extraction and management plan(s).

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

5. Reviewing the quality control programs of the contractor. 6. Certify invoices, prepare withdrawal applications and keep records of any disbursement

under the project. Prepare and regularly update the forecast disbursement schedules. 7. Inspecting materials and works to ensure compliance with specifications and giving

immediate notice to the contractor in the event that such materials and works fail to comply with the specifications.

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

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

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

11. Accepting or rejecting any part or parts of the completed works. 12. Making measurements and keeping measurement records. 13. Maintaining records, correspondence, and diaries. 14. Certifying work volume and interim certificates for progress payments. 15. Assisting the Employer's representative with the maintenance of consolidated project

accounts, and with preparation of financial statements and withdrawal applications for submission to ADB.

16. Certifying completion of part or all of the works. 17. Assisting the Employer in preparing withdrawal applications for contractor payments. 18. Periodically checking the remaining quantities, and undertaking constant monitoring of

each contract’s costs. 19. Reviewing and recommending to the Employer variation orders, extensions of time,

claims, and other matters that may come from the contractor. 20. Negotiating with the contractor and recommending to the Employer the rates for any

unscheduled items of work that may arise. 21. Advising the Employer's representative on all matters relating to the execution of the

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

1 If required, the consultant may need to provide support to the contractor in preparation of a suitable SEMP.

Annex 1 21

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

23. Checking and certifying as-built drawings for the works prepared by the contractor. 24. Inspecting the works at appropriate intervals during the defects liability period and

certifying the defects liability certificate for issuance by the Employer's representative. 25. Providing the Employer with complete records, and inception, monthly, and completion

reports. 26. Assisting the Employer to provide on-site training where required for the Employer's field

staff on quality assurance and contract administration. 27. Assisting and training the Employer's staff to monitor and administer the performance

based maintenance portion of the civil works contract (immediately following the full or sectional transfer of completed works).

28. In parallel to assisting the government procurement, provide on-the-job training on construction supervision to the PMU and SPA staff.

29. Assist the Employer in ensuring a well-functioning and accessible grievance redress mechanism for timely resolution of complaints during construction and facilitate the implementation of the consultation and communications plan.

30. Assist the Employer in ensuring safeguards compliance during construction in line with the requirements of ADB SPS, the development consent (and any conditions therein) and national laws and regulations, and preparing safeguards inputs to quarterly progress reports and preparing semi-annual safeguards monitoring reports for submission to the executing agency and ADB. Assisting with local disclosure of monitoring reports cleared for release. This includes provision of training to SPA staff and other relevant government departments and agencies.

7. Testing of materials during construction shall be undertaken in an independent laboratory located in Samoa to be identified by the consultant. The type and frequency of testing shall be clearly specified in the bidding documents and provision made for payment for the testing services will be included in the construction contract. The supervising engineer will verify the performance of the independent laboratory and will be responsible for interpretation of the test results.

II. PERSONNEL

8. The consulting firm will determine the number and the nature of experts required to achieve the objectives of these ToR, in accordance with their proposed approach and methodology. However, a minimum of 4 international key experts have been identified for Phase 2; one of whichwill be expected to act as team leader for the services. Table A.1 shows the key experts required for the Project for the Phase 2: construction supervision.

Table A.1: Summary of Consulting Services Minimum Requirements (Key Experts) – Phase 2

Positions Minimum Person-Months International Engineer to the contract (Team Leader

Construction Phase - intermittent) 4

Resident Engineer 16.5 Deputy Resident Engineer 16.5 Environmental specialist (intermittent) 4

Source: Asian Development Bank.

22 Annex 1

9. For the Phase 2: Construction Supervision the technical evaluation will consider the qualifications and experience of the key experts listed hereunder. Minimum desirable qualifications and experience of the key experts are given below.

(i) International environmental specialist (4 person-months intermittent). The candidate shall possess a degree in environmental science or planning or related field with at least 10 years of experience in environmental assessment and management including supervising EMP requirements of construction contracts in maritime or related projects. Experience in developing countries and in the Pacific is essential. The international environmental specialist will work closely with the full-time national environmental and social safeguards officer (see 2.2).

(ii) Contract Engineer (international, 4 person months intermittent). The candidate shall preferably possess a degree in civil engineering or related field, with at least 20 years’ experience in administration of civil works contracts including at least 1o years administering maritime engineering projects. Experience in developing member countries will be desirable, particularly in the Pacific region.

(iii) Resident Engineer (international, 16.5 person-months). The candidate shall preferably possess a degree in civil engineering with at least 15 years of experience in managing and administering construction contracts in the maritime or related projects. Experience in developing member countries will be essential, particularly in the Pacific region.

(iv) Deputy Resident Engineer (international, 16.5 person-months). The candidate shall preferably possess a degree in civil engineering with at least 5 years of experience in supervising and administering construction contracts in the maritime or related projects. Experience in developing member countries will be desirable, particularly in the Pacific region.

10. The consultant shall provide a full-time national environmental and social safeguards/local liaison officer for the period of the construction supervision phase. The consultant shall also provide all supporting staff including draftspersons, administrative, office staff and drivers and the like necessary to support the key personnel.

III. DURATION AND TIMING OF THE SERVICES 11. The construction period for the main civil works contract is expected to be 16 months. Other contracts e.g. construction of the cargo examination facility will be accomplished within the period of the main civil works contract.

12. Three hard copies and a soft copy of all reports specified hereunder shall be provided.

1. Construction progress reports 13. Construction progress reports shall be provided every three months during the construction period. The progress reports will contain a section on status of safeguards

Annex 1 23

compliance, monitoring and training activities. Interim reports shall be provided in relation to specific issues as and when required. The CS consultant will provide inputs to the semi-annual safeguards monitoring reports to be prepared by SPA-PMU and submitted to MOF and ADB. The CS consultant will establish an environmental monitoring system which will include appropriate checklists and monitoring forms to document and record the monitoring of the contractor’s compliance with the approved SEMP including the inspections, corrective action requests and the like which will be reported as part of the construction progress reports.

2. Construction completion report 14. Within 1 month of issuing a taking over certificate, the consultant shall provide a construction completion report.

IV. COUNTERPART FACILITIES 15. For phase 2 of the Project the following has been agreed with the government.

16. SPA will provide suitable basically furnished (desks, chairs, ablution facilities), air-conditioned office space near to the port for the duration of the construction supervision services. The consultant will be responsible for communications including internet.

17. The consultant will be responsible for providing office equipment, including computers, laptops, printers, photocopiers and the like necessary for delivery of the services and preparation of all reports.

18. The consultant will make its own arrangements for local and international transportation of its staff, and local accommodation.

24 Annex 1

Financial Management Specialist (National Consultant) Qualification: The financial management specialist shall have a degree in finance or accountancy preferably a member of a professional organization. Terms of Reference:

(i) Under the supervision of the SPA Finance Manager, establish and administer a

financial management system for the project in accordance with the relevant ADB guidelines concerning project administration;

(ii) Establish separate accounts for transactions under various fund sources relating to the

project and maintain it according to the Government accounting principles. (iii) Provide the necessary accounting services to ensure effective financial administration

of project funds. Conduct regular reconciliation with ADB’s project records. (iv) Provide inputs to the quarterly progress reports. (v) Ensure the prompt preparation and finalization of project financial statements. (vi) Coordinate with the Auditor General’s Office for the annual auditing of the project accounts, ensuring the ADB’s requirements of audit are met. (vii) Review the consultants’ and the contractor’s progress claims and certify them for payment in coordination with the Project Director. Keep a record of disbursements,

progress payments, and direct payments to contractors. (viii) Initiate timely disbursement of project funds in accordance with ADB’s Loan Disbursement Handbook (2017, as amended from time to time). (ix) Manage the Government’s counterpart funds and keep a record of quantifiable in-kind

contribution. Support budget preparation to ensure availability of counterpart funds.

(x) Ensure project records and documentation are complete and filed to enable easy

retrieval for purposes of responding to ad hoc request for information or for preparing the project completion report.

Duration and Timing of Services:

The Financial management specialist shall be designated at the PMU at start up until the completion of the project.

Annex 1 25

Independent Peer Review (International Firm)

Outline Terms of Reference

Ports Development Project A. Background

1. Since its establishment in the early 1900s, Apia port has undergone various infrastructure upgrades and rehabilitation. Today, the International Port of Apia is a multiuser, mixed cargo and marine services port facilitating bulk petroleum and LPG imports, container and general cargo trade, fish transshipment, liquid bulk storage tanks and warehousing of dry freight. In 2014, Apia port handled about 25,000 twenty-foot equivalent units (TEU); 64,416 tonnes of bulk petroleum; and 48,138 revenue tonnes of dry break-bulk. By 2035, the demand is estimated to increase to approximately 35,000 TEUs; 76,594 tonnes of bulk petroleum; and 55,746 revenue tonnes of dry break-bulk. 2. However, Apia port is increasingly vulnerable to extreme climate events and to sea swell. Under technical assistance to Samoa for the Ports Development Master Plan (TA 8889-SAM), a feasibility study is being conducted.2 The study found that the single most important issue affecting ships berthed in Apia Harbour is the incidence of wave swell entering the harbour from the north. These adverse conditions occur almost constantly through the wet season (November to April) leading to a loss of between 10–20 ship berth days a year. In addition, the report stated that the Apia International port is constrained by poor design and non-commercial usage limiting access to available port land which was required to meet the future demand at the port. A phased implementation plan was developed under the master plan study. 3. In the short term (2016–2020), improvement measures could be implemented at the existing port to enhance safety and reliability and port operating efficiency. The extension of the existing breakwater by at least 100m and enlargement of the turning basin will serve to mitigate the swell problem at the port thereby overcoming the need to delay or divert ships. Costs to shipping companies serving Samoa would be reduced which in turn should translate to freight savings. The incidence of lost berth days would be reduced as shipping lines would have more reliable port access, improving connectivity for existing and new container transshipment opportunities. The existing port area will be reconfigured to optimize the land usage at the port by relocating or removing non-commercial entities (which occupy productive terminal space) and re-siting of fence lines and various operational facilities. This is essential for delivering necessary economic gains and productivity. These provide the pathway for a performance based stevedore contract to enhance this sectors productivity and efficient use of container terminal land. 4. Activities under the project design advance (PDA) include (i) preparation of detailed engineering designs for rehabilitation and extension of the existing breakwater, assessment of dredging requirements for realignment of the navigation channel (if found necessary for safe vessel operations), land-side improvements within the Apia Port to increase container yard handling capacity, and a cargo examination facility to accommodate a proposed mobile container x-ray scanner to be operated by the Ministry for Revenue (MFR), (ii) geotechnical and hydrographic surveys, and (iii) assistance to the government for procuring civil works under the project.

2 ADB. 2015. Technical Assistance to Samoa for the Ports Development Master Plan. Manila (TA 8889-SAM). The TA

was originally financed from ADB’s Technical Assistance Special Fund, was approved on 24 April 2015 for $500,000.

26 Annex 1

5. The constructability, wave climate and climate change impacts, berthing availability, cargo unloading risks and timeframes, and the length of the proposed breakwater extension are the key factors being considered in developing appropriate port facilities for Samoa. The feasibility study conducted various analysis and investigations to confirm merits and risks of each option, including wave analysis, ship simulation modelling, geotechnical investigations, topography and bathymetry surveys. 6. The feasibility studies formulated preliminary engineering designs, and a consulting firm will be procured under a Project Design Advance (PDA) to prepare detailed engineering designs and bidding documents. Before proceeding for procurement, the government has requested a high level review of the designs including design approach, design vessel, structural stability, berthing availability and cost effectiveness of the selected design option by an independent reviewer. A consulting firm will be recruited to undertake this independent review of the designs following ADB’s Guidelines on the Use of Consultants (2013, as amended from time to time) and will use Consultant’s Qualification Selection method and a lump sum contract will be signed between the government and the successful consulting firm. The duration of the review will be 4 weeks and a draft final report on the review shall be submitted to the government with a copy to ADB at the end of the stipulated. A final report shall be submitted within a week after receipt of comments by ADB and the government.

7. The successful consulting firm is required to engage experienced and qualified individual experts in this review to complete of the entire review and submit draft final report within 4 weeks. The following are suggested key and non-key experts. The firm may wish to provide additional non-key experts as necessary to complete the work, and all inputs shall be included in the Financial Proposal. Team composition:

• Port/maritime engineer (key expert, suggested input of 0.75 person-months) • Wave climate expert (key expert, suggested input of 0.75 person-months) • Geotechnical expert (non-key expert, suggested input of 0.25 person months) • Coastal engineer (non-key expert, suggested input of 0.25 person months) • Transport economist (non-key expert, suggested input of 0.25 person months)

8. The consulting firm is expected to review the outputs of the detailed engineering consultant team. The firm is currently under recruitment but is expected to be appointed before submission of proposals for this assignment become due. No site inspection is required and the review will be based on documents to be provided by the government. 3 Any modifications recommended by the consulting firm and agreed by the government will be transmitted to the detailed design consulting firm for their consideration. The consulting firm is required to consider responses from the detailed design team and review revised drawings. Comments on the updated drawings are expected to be completed within 2 weeks. B. Scope of the Assignment 9. The consulting firm will undertake the review covering following key aspects of the design:

(i) Vessel design parameters and berthing requirements; (ii) Wave climate, design wave loads and met-ocean design criteria;

3 This is a high-level review limited to design approach, design vessel, structural stability, berthing availability and cost

effectiveness of the selected design option. A full design review is not envisaged here.

Annex 1 27

(iii) Simulation modelling; (iv) Geotechnical investigations; (v) Design of the breakwater extension (vi) Bathymetry, topography and cadastral surveys; (vii) Logistics arrangements; (viii) Design approach for channel dredging, wharf, breakwater, port buildings,

container yard and road pavement, fencing, surface water drainage, sewerage, electricity, fire, and other maritime requirements; and

(ix) Cost estimate. 10. The above aspects will be reviewed in sufficient details to assess whether there are any deficiencies or concerns in the design details provided considering global maritime requirements and design standards. The review will confirm;

(i) The proposed design is a cost effective investment; (ii) The design vessel is adequate for Samoa considering vessels currently visiting Samoa

and the potential future vessels that will be visiting Samoa that can be reasonably assessed considering growth of seagoing vessels in the region;

(iii) The depth and maneuvering space available in the channel is adequate for the design vessel or other vessels expected to berth in this port;

(iv) The design approach for of the elements complies with international maritime design standards;

(v) The construction drawings will provide accurate information without any ambiguity allowing civil works contractor to proceed the Works with due expedition.

11. Deliverables. The deliverables of the assignment are as below.

Deliverables Estimated Submission Date

Inception Report Within one week of the start of the assignment; 1. Confirm Terms of Reference 2. Confirm review approach; 3. Confirm resources, and deliverable schedule

(Date: TBD) Draft Final Report Four weeks of the start of the assignment;

1. Confirm para 8 (i)-(ix); 2. Recommendations; 3. Proposed amendments to the designs.

(Date: TBD) Final Report Within one week of receipt of the comments on the Draft Final Report;

1. Update draft final report TBD = to be determined.