Technical Assistance Consultant’s Report No. 3860 - Samoa: Implementation of the Urban Planning and Management Strategy Technical Assistance Final Report Contents EXECUTIVE SUMMARY

Technical Assistance Consultant’s Report

Project Number: TA3860-SAM August 2003

Independent State of Samoa: Implementation of the Urban Planning and Management Strategy Samoa (Financed by the Technical Assistance Special Fund)

Prepared by:

Virtual Consulting Group

Albury, Australia

For: Ministry of Finance Planning and Management Agency, Ministry of Natural Resources and

Environment
This consultant’s report does not necessarily reflect the views of ADB or the Government concerned, and
e Government cannot be held liable for its contents. ADB and th

. . . . . . . . . .

A Technical Assistance Project financed by the Asian Development Bank and the Government of Samoa

TA 3860 - SAM

Implementation of the Urban Planning and Management Strategy- Samoa

Technical Assistance Final Report - August 2003 Planning and Urban Management Agency (PUMA) Ministry of Natural Resources and Environment (MNRE) Vaiala Beach Apia, Samoa Ph: 25 869

The Virtual Consulting Group Farrer House 526 Swift Street PO Box 321 Albury NSW 2640 Australia Ph: (02) 6041 1150 Fax: (02) 6023 2768 Email: [email protected]

mailto:[email protected]

TA No. 3860 - Samoa: Implementation of the Urban Planning and Management Strategy Technical Assistance Final Report

Acronyms and Abbreviations

ACEO Assistant Chief Executive Officer ADB Asian Development Bank AusAID Australian Agency for International Development CBA Central Business Area CC Climate Change CEO Chief Executive Officer CIDA Canadian International Development Agency EIA Environmental Impact Assessment DEC Division of Environment and Conservation DLSE Department of Lands, Survey and Environment DMO Disaster Management Officer EIA Environmental Impact Assessment EPC Electric Power Corporation FFM Fact Finding Mission (Drainage and Sanitation Project) GIS Geographical Information System IAMP Infrastructure Asset Management Project IEE Initial Environmental Examination JICA Japanese International Cooperation Agency KPI Key Performance Indicator MOU Memorandum of Understanding MNRE Ministry of Natural Resources and Environment MoW Ministry of Works, Transport & Infrastructure NDC National Disaster Council NDMO National Disaster Management Office NGO Non Government Organization NIP National Implementation Plan PDMO Principal Disaster Management Officer PEAP Public Education and Awareness Programme PEAR Preliminary Environmental Assessment Report PIREP Pacific Island Renewable Energy Program PIC Pacific Island Countries PO Principal Officer POP Persistent Organic Pollutants PSC Public Service Commission PUMA Planning and Urban Management Agency PUMA Planning and Urban Management Agency PUMB Planning and Urban Management Board QCBA Quality Cost Based Assessment SAT Samoan Tala SDO Sustainable Development Officer SDS Sustainable Development Section SPO Strategic Planning Officer SPS Strategic Planning Section SMP Sustainable Management Plan SWA Samoa Water Authority SPREP South Pacific Regional Environment Program TA Technical Assistance TEC Target Environment Component

The Virtual Consulting Group ii


TOR Terms of Reference TSY Treasury UMO Urban Management Officer UMS Urban Management Section UNDP United Nations Development Programme

Footnote: The report cover features the winning PUMA logo designed by Junior N. Gale of Apia. The logo competition for PUMA was sponsored by TA No. 3860 as part of the PUMA community education and awareness activities during MNRE Environment Week, November, 2002.

The Virtual Consulting Group iii


Contents EXECUTIVE SUMMARY…………………………………………………………………………………..VI

I. SECTION 1: INTRODUCTION................................................................................................. 1

II. SECTION 2: BACKGROUND TO THE TA.............................................................................. 2 A. URBAN SETTING FOR THE TA............................................................................................................... 2 B. OBJECTIVES OF THE TA........................................................................................................................ 2

III. SECTION 3: APPROACH TO THE TA................................................................................ 6 A. PHASING OF INPUTS.............................................................................................................................. 6 B. CONSULTANT INPUTS ........................................................................................................................... 6 C. IMPLEMENTATION ARRANGEMENTS..................................................................................................... 7

IV. SECTION 4: ACHIEVEMENT OF TA OUTPUTS................................................................ 8 A. OVERVIEW OF ACHIEVEMENTS OF TA OUTPUTS.................................................................................. 8 B. OUTPUT 1: CONCEPT PLANS FOR DRAINAGE AND SANITATION.......................................................... 10

1. Drainage ....................................................................................................................................... 10 a) Background and Rationale for PUMA’s Involvement in the Drainage Concept Plan ...............................10 b) PUMA’s contribution to the Drainage Concept Plan.................................................................................11

2. Sanitation Concept Plan................................................................................................................ 11 a) Background and Rationale for PUMA’s Involvement in the Sanitation Concept Plan..............................11 b) PUMA’s contribution to the Sanitation Concept Plan ...............................................................................12

C. OUTPUT 2: PLANNING AND POLICY TOOLS FOR PUMA..................................................................... 13 1. Planning and Policy Framework .................................................................................................. 14 2. PUMA Implementation Priorities, 2003-2006 .............................................................................. 17 3. Planning and Development Guidelines for Housing..................................................................... 20 4. Planning and Urban Management Legislation ............................................................................. 22

D. OUTPUT 3: PUMA BUSINESS PLAN AND PUMA SECTION ACTION PLANS........................................ 23 1. PUMA Business Plan ................................................................................................................... 24 2. PUMA Responsibilities ................................................................................................................. 28

a) PUMA’s role in MNRE.............................................................................................................................29 b) PUMA Structure........................................................................................................................................29 c) PUMA Staffing .........................................................................................................................................29 d) Management and Staff Responsibilities ....................................................................................................30

3. Requirements of the Planning and Urban Management Board .................................................... 31 a) Board Membership ....................................................................................................................................31 b) Modus Operandi for PUMB/PUMA..........................................................................................................31 c) Support for PUMB/PUMA Processes .......................................................................................................32 d) Proposed Arrangements to Meet PUMB’s Requirements .........................................................................32

E. OUTPUT 4: PUMA COMMUNITY EDUCATION AND AWARENESS ....................................................... 33 1. Objectives and Achievements ........................................................................................................ 33

a) Objectives..................................................................................................................................................33 b) Achievements ............................................................................................................................................33 c) PEAP Development and Implementation ..................................................................................................34

F. OUTPUT 5: PUMA PLANNING AND INFORMATION MANAGEMENT SYSTEM ...................................... 35 1. Data Needs of PUMA.................................................................................................................... 35 2. Computer Applications Needed by PUMA.................................................................................... 35 3. Implementation Arrangements ...................................................................................................... 36

V. SECTION 5: ACHIEVEMENT OF TA PURPOSES............................................................... 39 A. PURPOSES OF THE TA......................................................................................................................... 39 B. ACHIEVEMENTS OF PURPOSES............................................................................................................ 39

1. Purpose 1 - Capacity Building ...................................................................................................... 39 a) How can capacity be assessed? .................................................................................................................39 b) Capacity Requirements..............................................................................................................................39 c) Timeframe for capacity building ...............................................................................................................40 d) Achievements under the TA......................................................................................................................40

The Virtual Consulting Group iv


e) Current Capacity of PUMA.......................................................................................................................41 f) A summary of Achievement of Purpose 1.................................................................................................42

2. Purpose 2 - Improved Urban Infrastructure ................................................................................. 47 a) The starting point ......................................................................................................................................47 b) Improvements in drainage and sanitation ..................................................................................................47 c) Other improvements ..................................................................................................................................47

3. Purpose 3 - Planning and Policy Framework ............................................................................... 47 a) The starting point ......................................................................................................................................47 b) A sense of direction...................................................................................................................................48 c) Tools to deliver desired outcomes .............................................................................................................48

VI. SECTION 6: ACHIEVEMENT OF TA OBJECTIVES AND GOAL.................................... 49 A. ACHIEVEMENT OF OBJECTIVES........................................................................................................... 49

1. Improved urban infrastructure and services ................................................................................. 49 2. Improved physical environment .................................................................................................... 49 3. Institutional development and strengthening of PUMA ................................................................ 49 4. Increased private sector participation .......................................................................................... 50

B. ACHIEVEMENT OF TA GOAL .............................................................................................................. 50 VII. SECTION 7: LESSONS LEARNED................................................................................... 52

A. IMPORTANCE OF A TEAM APPROACH AND GOVERNMENT COMMITMENT........................................... 52 B. RELEVANT AND APPROPRIATE SOLUTIONS ........................................................................................ 52

VIII. SECTION 8: CONCLUSIONS AND RECOMMENDATIONS............................................ 53 A. CONCLUSIONS .................................................................................................................................... 53

1. Achievements................................................................................................................................. 53 2. Challenges in moving forward ...................................................................................................... 53 3. Scope for External Assistance ....................................................................................................... 54

B. RECOMMENDATIONS .......................................................................................................................... 55 1. Follow-up Actions ......................................................................................................................... 55

IX. LIST OF ATTACHMENTS .................................................................................................. 57 ATTACHMENT 1 TA TERMS OF REFERENCE (TOR) ATTACHMENT 2 STAFFING SCHEDULE ATTACHMENT 3 TA OBJECTIVES AND KEY OUTPUTS ATTACHMENT 4 PROGRESS REPORT TO PUMA STEERING COMMITTEE, NOVEMBER, 2002 ATTACHMENT 5 KEY GROUPS BENEFITING FROM DRAINAGE-SANITATION PROJECT ATTACHMENT 6 PLANNING AND POLICY FRAMEWORK ATTACHMENT 7 PLANNING AND DEVELOPMENT GUIDELINES FOR HOUSING ATTACHMENT 8 DRAFT PLANNING AND URBAN MANAGEMENT BILL, 2003 ATTACHMENT 9 BUSINESS AND ACTIONS PLANS FOR PUMA ATTACHMENT 10 FUNCTIONS, DUTIES AND RESPONSIBILITIES OF THE SECTIONS IN PUMA ATTACHMENT 11 REQUIREMENTS OF THE PUMA BOARD ATTACHMENT 12 PUBLIC EDUCATION AND AWARENESS PROGRAM ATTACHMENT 13 PLANNING AND INFORMATION MANAGEMENT SYSTEM ATTACHMENT 14 INITIAL ENVIRONMENTAL EXAMINATION AND PRELIMINARY ENVIRONMENTAL

IMPACT ASSESSMENT

The Virtual Consulting Group v


Executive Summary

Background to the TA This final technical assistance (TA) report summarizes the outputs and findings of the TA Project No. 3860-SAM Implementation of the Urban Planning and Management Strategy. The Project commenced August, 2002 and concluded in country in June, 2003. A concluding Tripartite meeting with ADB, the Government of Samoa and the consultant was held on July 31, 2003. This TA was implemented following several unsuccessful attempts to tackle urban planning and management in Samoa, including past failures to find acceptable solutions to urban infrastructure problems such as drainage and sanitation. However, between June, 2001, and March, 2002, with assistance from ADB through TA No. 3566-SAM, Capacity Building in Urban Planning and Management, the Government developed a new planning and urban management strategy to achieve the outcomes sought by stakeholders. On March 27, 2002, Government approved the planning and urban management strategy, including the implementation of new institutional arrangements involving the creation of a new body, the Planning and Urban Management Agency (PUMA) within the then Department of Lands, Surveys and Environment (DLSE).1 Government agreed that PUMA would take the lead role in coordinating and planning the physical, social and economic environment of Apia as well as the rural areas of Samoa. The TA 3860-SAM, Implementation of the Urban Planning and Management Strategy, aimed to build on the substantial achievements of DLSE during TA 3566-SAM by assisting PUMA implement the new urban planning and management strategy. This approach would assist PUMA and the Ministry of Natural Resources and Environment (MNRE) to develop its institutional capacity whilst concurrently improving the economic, social and physical environment of Apia and Samoa generally. In this setting, TA 3860-SAM was designed as a capacity building and implementation activity to address urban infrastructure problems such as sewage and drainage, whilst simultaneously developing a policy and planning framework which would enable coordinated urban (and rural) development to take place in Samoa. The agreed approach was to implement the TA with three phases of in-country support – Phase 1 from August 2002 to November 2002, Phase 2 from February to March, 2003, and Phase 3 from May to June, 2003 – so as to allow sufficient time in Samoa for consultation and deliberation of issues and concerns in the development of policies, plans and strategies and their subsequent endorsement and implementation. The goal of TA 3860-SAM was to help improve the economic, social and physical environment of Apia and thus assist in underpinning further economic and social development in Samoa. The TA was to contribute to that goal by addressing four objectives: (i) institutional development and strengthening of PUMA; (ii) increased private sector participation in urban planning and management; (iii) improved urban infrastructure and services; and (iv) improved physical environment of the urban and peri-urban areas. In a Tripartite meeting in Samoa at the commencement of the TA, it was agreed that the TA goal would be achieved by the TA producing the following five key outputs: (i) Operating and Work Plans for PUMA; (ii) Concept plans for drainage and sewerage improvements in Apia; (iii) Planning and Policy Tools for PUMA; (iv) A PUMA Land Information System; and (v) A PUMA Community Education Programme.

1 DLSE was changed to the Ministry of Natural Resources and Environment in February, 2003, as part of the Government of Samoa’s ongoing public sector reform program.

The Virtual Consulting Group vi


Achievements under the TA The final TA report demonstrates that the TA goal, objectives and five TA outputs have been achieved. The commitment and support of the key Government stakeholders (MNRE, PUMA, SWA and Finance) has remained excellent throughout the TA. The status of achievements in relation to the agreed outputs is summarized in the Table below. Status of TA Outputs at the End of the TA TA Output Status at end of TA 1. Development of Concept Plans for Drainage and Sanitation

Concept plans agreed by PUMA Steering Committee November 18, 2002. Plans endorsed by TA Executing and Implementing Agencies. Concept plans progressed during ADB LFFM in February-March, 2003, and loan pre-appraisal mission in May, 2003. Consultant revised the Initial Environmental Examination (IEE) completed in Phase 1 during Phase 3 (see Attachment 14).

2. PUMA Planning and Policy Tools

Completed as indicated below for each of the four tools.

2.1 Planning and Policy Framework

Progress reports submitted to PUMA Steering Committee November 18, 2002, and May 30, 2003. Final Planning and Policy Framework endorsed PUMA Steering Committee June 13, 2003 (see Attachment 6).

2.2 PUMA Implementation Priorities, 2003-2006

Progress report on PUMA Priorities submitted to PUMA Steering Committee November 18, 2002, and May 30, 2003. Final PUMA Implementation Priorities endorsed PUMA Steering Committee June 13, 2003. Discussed as separate matter with Executing Agency June 10, 2003. Copies provided to Minister NRE (see Attachment 6 – Section 5).

2.3 Planning and Development Guidelines for Housing

Progress report submitted to PUMA Steering Committee Phase 2. Housing Guidelines endorsed PUMA Steering Committee May 30, 2003. Graphics now in process of preparation prior to printing of guidelines (see Attachment 7).

2.4 Legislation: Draft Planning and Urban Management Bill, 2003

Final draft legislation agreed by MNRE, PUMA and Office of Attorney General, June 5, 2003. Following translation, legislation scheduled for 1st reading in Parliament late August, 2003. 2nd reading and passing of Bill anticipated December 2003 (see Attachment 8).

3. PUMA Operating and Work Plan

PUMA Operating (Business) Plan and PUMA Section Action Plans completed with staff and management May-June, 2003. Endorsed by PUMA Steering Committee, May 30, 2003 (see Attachments 9, 10 and 11)

4. PUMA Community Education and Awareness

Progress reports and ‘hands on’ work submitted in all Phases. Public Education and Awareness Strategy endorsed PUMA Steering Committee June 13, 2003 (see Attachment 12).

5. PUMA Planning and Information Management System

PUMA Planning and information system endorsed by PUMA Steering Committee June 13, 2003. (see Attachment 13).

Through the PUMA Steering Committee, Government has indicated its satisfaction with the TA outputs, outcomes and results and with the consistent manner in which the TA outputs were achieved with the consultants working with PUMA and MNRE on development of counterpart skills, confidence and understanding. 2 An assessment of the achievement of TA objectives and goal is presented below.

2 These outcomes were acknowledged in final TA wrap up meetings on June 17, 2003, with Chief Executive Officer of Ministry of Finance (TA Executing Agency) and Chief Executive Officer of MNRE (TA Implementing Agency).

The Virtual Consulting Group vii


Improved urban infrastructure and services: The most direct contribution has been the formulation of the Concept Plans for Drainage and Sanitation in Apia. These plans provided the basis for development of the drainage and sanitation project for which the Government is requesting loan financing from ADB. In addition, agreement has been reached that PUMA will take a facilitating role in ensuring that all future urban development is coordinated. Outside Apia, PUMA has commenced planning for a new township at Salelologa in Savaii. PUMA is also ensuring better services in Apia and in rural areas through its coordination of selected urban services. Improved physical environment: Apart from its efforts to deal with solid waste management, it is too early to claim that PUMA has improved the physical environment of Samoa. It has put in place mechanisms that will undoubtedly lead to improvements in the future but, given the lead times needed for infrastructure projects, it will be several years before the physical improvements can be noted. One of the earliest improvements will be improved water quality when the drainage and sanitation project is completed. Another early improvement is likely to be improved amenity in housing areas as new development conforms with the Housing Guidelines developed under the TA.

Institutional development and strengthening of PUMA: At the time the TA started, PUMA had only just been established. By the time the TA ended PUMA was almost fully staffed and had developed a Business Plan that was supported with a significant budget and detailed Action Plans for each Section in PUMA. The predominantly young staff are academically well-qualified and, although they lack work experience, they are enthusiastic and committed to making PUMA a success. The agency has developed the basic tools needed to start to function as a planning agency and is ready to begin applying those tools. The legislation that will underpin the new planning system has been fully developed and is expected to be passed by Parliament in the September session, 2003. PUMA has come a long way in its first year of existence.

In summary, the TA has achieved capacity building in PUMA in the context of developing the agreed outputs. The TA has played a strong role in taking Samoa from a situation where there was minimal capacity at the start of the TA to the situation where PUMA has is now functioning and has already demonstrated its capacity in several practical ways. PUMA is on-track to achieve its stated goal of reaching full functionality over the next three years.

Increased private sector participation: The TA project has helped create an environment that has encouraged private sector participation in urban development. This has been most evident in efforts to keep the private sector informed about the operations of PUMA and to seek its views on urban needs. Since there has not yet been any detailed design work or urban construction there have been no direct opportunities for the private sector to participate commercially. PUMA has signaled its intention to make full use of the private sector where appropriate by its out-sourcing of contract work for solid waste collection, maintenance of public parks, cleaning of public toilets and maintenance of cemeteries. PUMA is making a major effort to educate the wider community and to keep the community well-informed. This is evident in the comprehensive Public Education and Awareness Programme that it has developed

Achievement of TA Goal: It is too early to expect to be able to attribute any changes in slow moving measures of this type to the TA project. Nonetheless there are good indications that substantial progress towards achievement of this goal has and is being made.

The Virtual Consulting Group viii


Lessons Learned

Two lessons were learned. First, the TA has shown that where a team approach is adopted and all parties genuinely commit to participating to achieve the outputs sought, the outcomes are likely to be sustainable and pragmatic. Secondly, the TA reinforces the important lesson that projects need to be appropriately scaled to reflect the prevailing enabling and operating environments including capacity for growth. Unlike earlier failed attempts, the solutions for drainage and sanitation that have now been adopted by Government embrace such features.

Conclusions

The TA project has concluded and the TA goal, objectives and outputs have been achieved. In addition to the specific outputs sought by ADB and Government, the TA has played a significant role in facilitating other outcomes and results including: (i) establishing planning processes; (ii) increasing coordination among key development agencies including MoW and PUMA; and (iii) generally elevating the important role of planning and development assessment in both the community and Government. While this final TA report has outlined the specific outputs and outcomes achieved, the results of the TA can be best be measured by talking to stakeholders on the ground in Samoa. The two faceted TA approach of developing the concept plans for drainage and sanitation in Phase I and focusing on achieving and consolidating the other TA outputs in Phase 2 and Phase 3 appears to have been a success. The challenge now for PUMA, MNRE and Government is to take the work that has been completed under the TA and continue to develop and implement it where appropriate. PUMA has built a solid platform on which to begin addressing its functional responsibilities in a systematic way. PUMA will need to continue with its capacity building efforts so as to improve its own operating environment through staff development, procurement of equipment, development of new work processes and at some point expansion of office space. It will also need to continue to work to improve the overall enabling environment by building community awareness and acceptance, by completing the range of regulations, standards and codes needed to complement the PUMA Bill and by improving the efficiency and effectiveness of PUMA as an agency. Most of all, PUMA will need to achieve its priority outputs so as to gain the confidence of all stakeholders that it is an agency worth supporting. PUMA will need to behave strategically in determining its priorities so that it avoids become overwhelmed by its workload. The Implementation Priorities, Business Plan and Action Plans have provided PUMA with a good starting point, focusing on core priority outputs at a range of levels. PUMA already has already achieved some important outputs and has shown that it has the potential to achieve more. Aside from developing the drainage and sanitation concept pans and facilitating the planning process, other recent examples include: (i) the preparation of housing guidelines, and (ii) the preparation of Coastal Infrastructure Management Plans PUMA would benefit from targeted support over the next several years in order to fully develop its capacity to function as a planning and urban management agency. External assistance is likely to speed up PUMA's rate of development by addressing its inherent weaknesses associated with high workload, low level of resources and limited work experience of its staff. PUMA will survive and ultimately thrive even if there is no external assistance but it will just take longer. The main areas where PUMA would benefit from targeted external assistance are: (i) support with transport, office equipment and furniture;

The Virtual Consulting Group ix


(ii) technical assistance in preparation of regulations and associated administrative procedures and processes; (iii) technical assistance in developing the measures to achieve environmental, planning and development outcomes including measures such as plans, policies, standards, guidelines, codes and environmental monitoring; (iii) technical assistance in development of the Planning and Management Information System; and (iv) technical assistance in addressing the wide range of PUMA staff training needs. In order to continue the pace of improvement in PUMA’s capacity and to build on the outputs generated under the TA, the following actions are recommended:

1. Ensure that the PUMA Steering Committee continues in its current planning and coordination role until the PUMA Board is established.

2. Resolve the siting of the wastewater treatment plant at Sogi to progress the proposed drainage and sanitation project.

3. Ensure that PUMA participates in the forthcoming ADB loan appraisal mission.

4. Ensure that the Apia Framework Plan and policy implications are formally raised with Cabinet.

5. Ensure that the Planning and Policy Framework, the Implementation Priorities and the Business Plan are used to guide the development of PUMA.

6. Ensure that PUMA and MNRE use the Implementation Priorities as the overarching PUMA plan with Finance, PUMA Board (when established) and other key stakeholders. Monitor progress against these priorities.

7. Finalize the graphics and print the Planning and Development Guidelines for Housing, promote the Guidelines with community education and awareness and produce ‘Best Practice’ photo guides for developers/applicants.

8. Monitor the progress of the draft Planning and Urban Management Bill 2003 through Parliament with Attorney General's office.

9. Prepare and conduct awareness and information seminars on the PUMA Act when passed.

10. Ensure that PUMA and MNRE use the Business Plan as a management and monitoring tool.

11. Ensure that Sections in PUMA and PUMA management use the Action Plans as a management and monitoring tool.

12. Ensure that the Public Education and Awareness Program (PEAP) is mainstreamed into PUMA operations.

13. Strengthen the links between PUMA and Corporate Services to assist in effective implementation of the PEAP.

The Virtual Consulting Group x


14. Check the electrical wiring in the PUMA offices prior to installing the Planning and Information Management System (Computer network, server, registers, processes and procedures). 3

15. Allocate back-up staff for GIS work.

3 To be funded under remaining TA budget.

The Virtual Consulting Group xi


I. Section 1: Introduction

This final report summarizes the achievements and findings of the Technical Assistance (TA) Project No. 3860-SAM Implementation of the Urban Planning and Management Strategy. It has been prepared by the consultants following the conclusion of in-country work in June 2003 and includes comments received at the TA Tripartite Meeting held July 31, 2003, in Apia, Samoa. The TA Project commenced in country August 19, 2002 and was undertaken over three phases. The TA concluded in country on June 17, 2003. The report comprises eight sections as follows: Section 1: Introduction Section 2: Background to the TA and TA objectives Section 3: Approach to the TA Section 4: Achievement of TA outputs Section 5: Achievement of TA purposes Section 6: Achievement of TA goal and objectives: Section 7: Lessons learned; and Section 8: Conclusions and recommendations

In addition to this report, the TA generated 13 reports covering various aspects of the TA. The key reports are referenced primarily in the discussion in Section 4: Achievement of Outputs and provide the detail to the summary provided in this overarching final report. Examples of the community information and awareness material produced under TA No. 3860 are attached to the rear report cover of the final TA report. The TA also generated an Inception Report (October 2002), an End of Phase One Report (December 2002) and a Mid Term TA Progress Report (April 2003).

The Virtual Consulting Group 1


II. Section 2: Background to the TA

A. Urban Setting for the TA Samoa has emerged as one of the economic and social development success stories in the South Pacific. Its success reflects both the willingness of Samoans to embrace new opportunities and the commitment of the Government of Samoa to put in place a social, economic and physical environment that enables Samoans to participate fully in the development of the nation. The outstanding economic performance of Samoa is evident in the continuing rapid growth of Apia that is now the economic hub of the nation and home to approximately 35% of the national population.4 This rapid growth presents the Government and community with the challenge of planning for and managing the urban and rural areas in a way that will improve the social and physical environment whilst providing an improved environment in which business can operate. Over the past fifty years, there have been several unsuccessful attempts to tackle urban planning and management in Apia, including efforts to improve urban infrastructure such as drainage and sanitation. However, between June, 2001, and March, 2002, with assistance from the Asian Development Bank (ADB) through TA 3566-SAM, Capacity Building in Urban Planning and Management, the Government was able to set in place a procedure which resulted in the development of a new planning and urban management strategy for Samoa. This strategy was a direct response to the consultations with stakeholders who made it clear that they wanted four urban outcomes: (i) safe healthy and cohesive communities; (ii) sustainable natural resource management; (iii) supportive environment for business; and (iv) appropriate urban structure and form for Apia.5 Government approved the strategy and its implementation on March 27, 2002. In order to build on these achievements, the Government sought assistance from ADB to implement the new urban planning and management strategy. A cornerstone of this strategy was the implementation of new institutional arrangements for planning and urban management. These arrangements involved the creation of a new body, the Planning and Urban Management Agency (PUMA) within the then Department of Lands, Surveys and Environment (DLSE). Government agreed that PUMA would take the lead role in coordinating and planning the physical, social and economic environment of Apia and rural areas of Samoa.

B. Objectives of the TA

ADB formulated TA 3860-SAM, the Implementation of the Urban Planning and Management Strategy, to build on the substantial achievements of DLSE during TA 3566-SAM by assisting PUMA to implement the new planning and urban management strategy. The TA was intended to further develop institutional capacity whilst concurrently improving the economic, social and physical environment of Apia. The TA was intended to address four outstanding issues: (i) inadequate urban infrastructure including sewerage and drainage; (ii) the need for a framework and coordinated approach to urban planning; (iii) unclear institutional arrangements in urban planning and management; and

4 The 2001 Census indicates the national population of Samoa as 176,848 persons of which 60,872 persons reside in the built up urban area of Apia 5 See Table 4.1 Emerging Urban Outcomes in ‘An Integrated Urban Planning and Management System for Samoa’. December 2001



(iv) the need to resolve land issues to meet demand for housing, infrastructure and urban expansion. In this setting, the TA was designed as a capacity building and implementation activity to address some of the inadequate urban infrastructure such as sewage and drainage, whilst simultaneously developing a policy and planning framework to facilitate coordinated urban (and rural) development. The over-arching goal of TA 3860-SAM was to help improve the economic, social and physical environment of Apia and thus assist in underpinning further economic and social development in Samoa. The TA was to contribute to that goal by addressing four objectives: (i) institutional development and strengthening of PUMA; (ii) increased private sector participation in urban planning and management; (iii) improved urban infrastructure and services; and (iv) improved physical environment of the urban and peri-urban areas. In a Tripartite meeting in Samoa at the commencement of the TA, it was agreed that the TA producing the following five key outputs would achieve the TA goal: 1. Operating and Work Plans for PUMA 2. Concept plans for drainage and sewerage improvements in Apia 3. Planning and Policy Tools for PUMA 4. A PUMA Land Information System 5. A PUMA Community Education Programme The TA Conceptual Approach is presented in Figure 1. The TA Conceptual Approach shows the four key issues identified in the TOR and indicates the five key TA outputs as agreed by ADB, PUMA Steering Committee, MNRE and Finance at the beginning of the TA to collectively address these issues. It also shows that by producing these outputs, the TA will have made substantial progress towards achieving the three major purposes of the TA. The TA Conceptual Approach also shows how the achievement of these purposes will flow through to the achievement of the four TA objectives and overarching TA goal. Based on the TA Conceptual Approach, Table 1 indicates the TA outputs to be achieved, their purpose and the main TA objective that they support.

This approach has been used to report on the achievements of the TA.



T

Figure 1: The TA Conceptual Approach

he Virtual Consulting Group 4

TA Issues Needforcoordination

UnclearInstitutionalArrangements

UnresolvedLandIssues

InadequateUrbanInfrastructure

PUMAOperat ing &Work Plans

Improved urbaninfrast ructure working with

private sector

Drainage &Sewerage

concept plans

Expanded capacity ofPUMA & key stakeholders

Planning &Policy Tools for

PUMA

PUMACommunityEducat ion

PUMA LandInformat ion

System

New planning and policyrk for housing,rast ructure &

n expansion

TA Purposes

TA Outputs

T Increased

framewoland, inf

urba

TA Goal

A Objectivesprivatesectorparticipation

Institutionaldevelopment& strengtheningof PUMA

Improvedphysicalenvironment

ImprovedUrbanInfrastructure& services

To help improve the economic, social & physical environment of Apia and Samoa



Table 1 TA Outputs, Purpose and TA Objective Supported by the Output TA Output Purpose of the Output Key TA Objective Supported Improved

urban infrastructure and services

Improved physical environment

Institutional strengthening and development of PUMA

Increased private sector participation

1.Development of Concept Plans for Drainage and Sanitation

To develop concept plans for an urban infrastructure investment project which addresses outstanding drainage and sanitation issues in Apia

To involve PUMA and other stakeholders including private sector in the design and development of a major infrastructure project

√ √ √ √

2. Planning and Policy Tools for PUMA

To provide PUMA with a range of essential planning and policy tools which allows PUMA to develop and grow in line with capacity and resources

√ √ √ √


To provide strategic policy and planning direction for development and growth of PUMA

√ √

2.2 PUMA Implementation Priorities, 2003/6

To identify overarching PUMA priorities for implementation for 2003-2006 period for both urban and rural areas

√ √


To provide guidelines for housing which supports and enhances the planning & development process

To provide housing guidelines relevant to the Samoan situation

√ √ √ √


To provide legislation which provides for (i) undertaking land use planning and development assessment in Samoa and (ii) establishing the functional activities of PUMA and PUMA Board

√ √ √ √

3. PUMA Operating and Work Plans

To assist in expanding capacity of PUMA and stakeholders To provide Business and Section Action Plans for PUMA To define the functions, duties and responsibilities of staff To assess the requirements of the PUM Board

√ √ √


To provide a strategy to guide community education awareness activities in both PUMA and in PUMA Sections

To undertake ‘hands on’ awareness activities with staff

√ √ √


To design a planning and information management system including phasing and costing implications, for PUMA

√ √


III. Section 3: Approach to the TA

The ADB TOR for the consultants are presented as Attachment 1. The approach for TA implementation which was agreed with ADB and Government was to simultaneously assist PUMA in implementing the urban planning and management strategy to tackle the most pressing shorter term issues associated with the functioning and development of the urban areas of Apia whilst building capacity in PUMA to deal with the short, medium and longer term planning and urban management issues for Apia and Samoa generally.

The consultant’s proposed approach indicated that these aims would be achieved by fostering a working environment within PUMA that enables its staff to ‘learn by doing’ under guidance and mentoring from the consultants. This approach was proven to be well received and highly successful under TA No. 3566-SAM.6 This involved working with and through the young and enthusiastic staff of PUMA so that they experience and learn the skills associated with planning and urban management in a small Pacific Island community. The TA therefore stressed strong counterpart involvement in all facets of Project implementation, including continuous support and learning by doing through on-the-job training, the need for adequate time for deliberation by the TA PUMA Steering Committee combined with ‘one-on-one’ consultation with senior Government officials. The TA approach was founded on the principle that the development and fostering of a ‘team environment’ in PUMA so as to encourage local leadership, commitment and enthusiasm to resolving the issues and concerns at hand, was paramount.7

A. Phasing of Inputs The in-country work of the consultants was split into three phases allowing sufficient time between the phases for Government and other stakeholders to deliberate on the issues. The experience of the consultants elsewhere had shown that this phasing would be more likely to lead to sustainable achievements and improved implementation. It was envisaged that this phasing would assist PUMA, MNRE, Samoa Water Authority (SWA), Ministry of Works, Transport and Infrastructure (MoW) and Finance and other key stakeholders to maintain ownership of the new urban planning and management strategy, its key elements and their subsequent implementation including institutional development. Phase 1 occurred from mid August 2002 to end November 2002, Phase 2 in February and March, 2003, and Phase 3 from May to June, 2003. The actual timing of inputs was varied to suit PUMA and ADB needs. For example, Phase 2 was timed to coincide with a Fact Finding Mission for the proposed Sanitation and Drainage Improvement Project while the Phase 3 schedule was realigned to ensure key PUMA management staff were in country at the same as the TA team.

B. Consultant Inputs The staffing schedule for the TA showing the timing of inputs for team members is shown in Attachment 2, indicating a total of 12 person months of international advisers and 3 person months of domestic advisers. Given the need by ADB to develop agreed concept plans for drainage and sanitation in the early period of the TA, Phase 1 comprised the major inputs (10 person months) with Phase 2 and Phase 3 having inputs of 2 and 3 person months respectively.

6 The Virtual Consulting Group was appointed by ADB to undertake TA No. 3566. 7 The TA approach incorporated the features that the Minister for Lands, Surveys and Environment (now Minister for Natural Resources and Environment), the Hon. Tagaloa Tuala Sale Tagaloa, had applauded in the preceding TA No. 3566-SAM viz. “the emphasis on collaborative teamwork and clarity of analysis” (see Final ADB TA No. 3566 Report, page ii).



C. Implementation Arrangements The TA Project implementation arrangements comprised the Ministry of Finance as the Executing Agency and MNRE as the Implementing Agency.8 The PUMA Steering Committee met regularly as required during the TA.9 The PUMA Steering Committee was initially established in July 2001 and named the PUMA Steering Committee following Government's adoption of the new institutional arrangements for planning in March, 2002. The PUMA Steering Committee comprised the Chief Executive Officer (CEO) of Finance or her designate representing the Executing Agency, the CEO of MNRE (Chairperson of the PUMA Steering Committee) representing the Implementing Agency, plus key senior representatives from the SWA, Public Works Department, Ministry of Health, Ministry of Internal Affairs, Electric Power Corporation and Ministry of Transport as core members. Other members have been invited from time to time by the Chairperson such as the Ministry of Foreign Affairs and the Fisheries Division of the Ministry of Agriculture depending on issues to be discussed and action to be taken. These arrangements worked successfully under both this TA and the earlier TA No. 3566-SAM

Government provided excellent support for the TA through PUMA and through MNRE. Despite heavy workloads, the CEO of MNRE, the Assistant CEO of PUMA and PUMA section staff made themselves available whenever requested to discuss each critical stage in the TA and each aspect of capacity building. Often this was outside of normal working hours. The consultants were supported by enthusiastic young counterparts who progressively assumed increasing responsibilities for PUMA’s work outputs. The Ministry of Finance provided strong support for PUMA in terms of overall strategic direction, budget allocation and through the participation of the CEO or her designate in PUMA Steering Committee meetings.

The facilities provided by Government for PUMA were adequate to meet their needs and those of the TA although it was necessary for the TA to provide access to the rented TA vehicle to allow PUMA staff to carry out their responsibilities.

8 Prior to February, 2003, the Ministry of Finance was the Treasury Department. 9 For example, in the four weeks allowed for Phase 3, the TA Steering Committee met three times, namely, Wednesday May 21, Friday May 30 and Friday June 13, 2003.



IV. Section 4: Achievement of TA Outputs

A. Overview of Achievements of TA Outputs There were five major outputs to be achieved under the TA, with four key sub outputs encompassed within output two, Planning and Policy Tools for PUMA.10 Comments on the status of the outputs at the conclusion of the TA are summarized in Table 2.

Table 2: Status of TA Outputs at the End of the TA TA Output Status at end of TA 1. Development of Concept Plans for Drainage and Sanitation

Concept plans agreed by PUMA Steering Committee November 18, 2002. Plans endorsed by TA Executing and Implementing Agencies. Concept plans progressed during ADB LFFM in February-March, 2003, and loan pre-appraisal mission in May, 2003. Consultant revised the Initial Environmental Examination (IEE) completed in Phase 1 during Phase 3 (see Attachment 14).

2. PUMA Planning and Policy Tools

Completed as indicated below for each of the four tools.


Progress reports submitted to PUMA Steering Committee November 18, 2002, and May 30, 2003. Final Planning and Policy Framework endorsed PUMA Steering Committee June 13, 2003 (see Attachment 6).

2.2 PUMA Implementation Priorities, 2003-2006

Progress report on PUMA Priorities submitted to PUMA Steering Committee November 18, 2002, and May 30, 2003. Final PUMA Implementation Priorities endorsed PUMA Steering Committee June 13, 2003. Discussed as separate matter with Executing Agency June 10, 2003. Copies provided to Minister NRE (see Attachment 6 – Section 5).


Progress report submitted to PUMA Steering Committee Phase 2. Housing Guidelines endorsed PUMA Steering Committee May 30, 2003. Graphics now in process of preparation prior to printing of guidelines (see Attachment 7).


Final draft legislation agreed by MNRE, PUMA and Office of Attorney General, June 5, 2003. Following translation, legislation scheduled for 1st reading in Parliament late August, 2003. 2nd reading and passing of Bill anticipated December 2003 (see Attachment 8).

3. PUMA Operating and Work Plan

PUMA Operating (Business) Plan and PUMA Section Action Plans completed with staff and management May-June, 2003. Endorsed by PUMA Steering Committee, May 30, 2003 (see Attachments 9, 10 and 11)


Progress reports and ‘hands on’ work submitted in all Phases. Public Education and Awareness Strategy endorsed PUMA Steering Committee June 13, 2003 (see Attachment 12).


PUMA Planning and information system endorsed by PUMA Steering Committee June 13, 2003 (see Attachment 13).

The TA outputs to be achieved were: (i) Concept plans for drainage and sanitation; (ii) A set of planning and policy tools for PUMA comprising: a). Planning and Policy Framework (for PUMA); b) PUMA Implementation Priorities 2003-2006; c). Planning and Development Guidelines for Housing; and d) draft Planning and Urban Management legislation for PUMA; (iii) PUMA Business Plan and PUMA Section Action Plans; (iv) PUMA community education and awareness; and (v) PUMA Planning and Information Management System.

10 For earlier reviews of TA progress, see (i) Implementation of the MOU for the Inception Mission for the Urban Planning and Management Strategy, October 18, 2002, and (ii) the Aide Memoire of the Tripartite Meeting for Implementation of the Urban Planning and Management Strategy, May 21, 2003.



Throughout the TA, the consultants sought and obtained comments on outputs, priority issues and concerns from the Implementing and Executing Agencies (MNRE and Finance), ADB, members of the PUMA Steering Committee and PUMA. This was undertaken to ensure the TA remained relevant and responsive to the needs and concerns of the stakeholders. Notwithstanding minor changes to the output names to ensure their appropriateness and relevance,11 the contents and scope of the outputs remain as those agreed to by all parties at the commencement of the TA (see Attachment 3).12 In addition to the above outputs, the consultants prepared milestone reports as indicated in Table 3.

Table 3: Milestone Reports Milestone Report Scope of Milestone Report Status of Report to

ADB and Government

1. Inception Report

Progress report and position paper on key issues and concerns arising after 2 months of TA on drainage, sanitation, planning policy, new PUMA Bill and community education.

Considered by Tripartite Review meeting September. Submitted October, 2002

2. End of Phase One Report

Included: (i) Progress report by PUMA Steering Committee on TA progress on outputs to date including concept plans for drainage and sanitation (adopted November, 2002); (ii) consultant’s reports on Phase One outputs, namely, drainage and sanitation, preliminary environmental assessment reports (PEAR), financial implications of drainage and sanitation schemes, and Apia Framework Plan including PUMA Implementation Priorities.

Submitted December, 2002

3. A Mid Term TA Progress Report

Interim TA Progress Report addressing progress of all TA outputs, TA goal and objectives by end Phase 2. Report includes PUMA Operating Plan, draft Community Education Plan and draft PUMA Housing Guidelines.

Submitted April, 2003. Considered Tripartite Review meeting, May, 2003

4. Draft Final TA report

Draft Final TA report for comments by ADB and Government.

Submitted, July, 2003. Considered at Tripartite Review July 31, 2003

5. Final TA report Final TA report with inclusion of consideration of comments by ADB and Government

Submitted, August, 2003

The remainder of this section four of the report presents a summary for each output detailing their purpose, the activities and findings and any implications for the future.

11 For example, the report on PUMA plans and policy needs was changed from ‘Apia Planning and Policy Framework’ to ‘Planning and Policy Framework’ to reflect PUMA ‘s functional responsibility for both urban and rural areas. Operating Plan was renamed Business Plan, Work Plans renamed Section Action Plans and PUMA GIS renamed as PUMA Planning and Management Information System. 12 Outputs to be achieved have been transparent in all TA phases, including the TA Interim Report and TA Inception report.



B. Output 1: Concept Plans for Drainage and Sanitation Purpose of Output: To develop a concept plan for an urban infrastructure project that addresses

outstanding drainage and sanitation concerns and issues in Apia To involve PUMA and other stakeholders including the private sector in the design

and development of a major infrastructure project To help build the capacity of PUMA to carry out concept planning for urban

infrastructure improvement projects 1. Drainage

a) Background and Rationale for PUMA’s Involvement in the Drainage Concept Plan Drainage represents one of the pressing urban problems facing residents in Apia. It is a problem that has been long-standing despite periodic efforts all of which have failed owing to poor conceptual approach and/or poor maintenance. For PUMA, as a new planning agency, drainage (and sanitation) presented the opportunity for this agency to demonstrate the contribution it could make to the community through planning for improved urban infrastructure.

Drainage problems in Apia are severe in low-lying flood prone land adjoining Vaiusu Bay and the Apia Central Business Area (CBA). The lack of urban planning, land use controls, indiscriminate land-filling, encroachment into waterways and lack of drainage maintenance, have exacerbated flooding and impacted adversely on property and health of the population. PUMA and the TA team considered that the issues of drainage and flooding required a ‘whole of catchment’ approach. PUMA wanted to avoid a focus only on drainage solutions in the bottom of the catchment which may mean more efficient movement of polluted waters from the upper catchment into coastal waters. PUMA sought to develop a strategic approach that dealt with both cause and effect in each catchment. The priority area for the Concept Plan was identified as Vaiusu Bay and adjoining flood prone developed areas. This was an environmentally sensitive and economically important area since it included remnants of what had been prior to extensive land reclamation, the most expansive area of mangroves in Western Polynesia. Fishing in Vaiusu Bay provides a livelihood for many villagers in the priority area and it is threatened by declining water quality. Wastewater entering Vaiusu Bay and Apia Harbor have high BODs, high nutrient concentrations and suspended solids and low dissolved oxygen.13 The health of the mangrove areas, the coastal marine environs, Vaiusu Bay and Apia Harbor generally depend on the quality and quantity of the freshwater flows they receive from the adjacent shorelines that include urban drainage and storm runoff.

Stakeholders agreed that the concept should be to redirect the water coming from the upper reaches of the catchment through the remaining mangrove area and streams to Vaiusu Bay and the ocean. This would require efforts to improve drainage in specific locations where there has been uncontrolled in-filling of existing drainage lines and where silt and rubbish accumulation has blocked key drains.

13 See for example, JICA/SWA Wastewater Study – Results Summary, September, 2002: GHD Wastewater Review 1998: GKW Sewerage Study, 1993.



A key reason for Government focusing on this area as the priority drainage area is that the land adjoining the Fugalei Stream floodway is primarily Government owned, thus potentially minimizing land access issues during construction and asset maintenance. In terms of alternative solutions to improving drainage in this area – for example, flood levy banks, seawalls, land reclamation, high technical solutions such as levee banks and major pump out stations - solutions which may be sustainable are limited given the extent of existing development on the floodplain, the mix of customary and freehold land tenure patterns and potential dispute over boundaries. Importantly, Government's track record on drainage maintenance in the past has been poor. This led the team to avoid recommending high technology solutions but to emphasize the need to understand past lessons and to promote an integrated and incremental approach in line with capacity and Government’s new institutional arrangements for planning.

b) PUMA’s contribution to the Drainage Concept Plan PUMA staff, PUMA and MNRE management and the consultants worked as a team in developing the Concept Plan. This exposed the staff to a range of processes including: (i) assessment of preliminary environmental assessment; (ii) preparation of a Preliminary Environmental Assessment Report; (iii) participation in engineering design; (iv) consultation with other stakeholders; (v) participation in financial analysis; (vi) consideration of options and costs; (vii) reporting and presentation of findings to relevant authorities; and (viii) interaction with ADB missions as part of the loan project cycle. The consultants took particular care to involve the young PUMA staff as much as possible in the development of the Concept Plan.

The concept plan for drainage that PUMA developed comprised the three key elements:

a phased approach to drainage, with the priority focus for loan funding under the proposed ADB Drainage and Sanitation Project being the Fugalei village and Vaiusu Bay area;

the application of a range of solutions, both engineering and planning, to resolve

drainage and flooding issues and concerns in the Vaiusu Bay area and the need for a concurrent review of other pressing drainage and flood areas in Apia

that could be the subject of future investment projects including the upper catchment areas.

Full details of the Concept Plan were included in the Progress Report to the PUMA Steering Committee, November 2002 (Attachment 4). Details of the engineering design, cost implications and initial environmental assessment were used as a basis for the Loan Fact Finding Mission and subsequently updated as part of the preparation of the proposed Loan project.14 The key groups who will benefit from development of the concept plan are summarized in Attachment 5. 2. Sanitation Concept Plan

a) Background and Rationale for PUMA’s Involvement in the Sanitation Concept Plan As with drainage, sanitation represents another long-standing urban problem facing residents in Apia. There have been several proposals aimed at improving sanitation in the past but none have gained the support of stakeholders needed for implementation. The approaches suggested in the past were too costly, too dependent on high technology and ignorant of capacity needs required to support extensive physical schemes. What

14 These comprehensive reports were submitted to ADB in December, 2002 (Phase 1 reports).



was needed under the TA was a concept that avoided these past difficulties. The need for a concept plan for sanitation presented PUMA with another opportunity to demonstrate the contribution it could make to the community through planning for improved urban sanitation infrastructure.

Human waste in Apia is discharged to septic tanks, pit latrines and, for some commercial premises and Government facilities, waste is discharged to small wastewater treatment plants. There is minimal technical backup for the operation and maintenance of septic tanks and treatment plants generally, with many treatment plants operating only intermittently. There is no regulation over the quality of wastewater outputs. Allow most specialized wastewater treatment plants in Apia perform poorly their installation is encouraged by the lack of a reticulated centralized community sewage system. Septage is disposed of via a pump out system to open unlined pits at the Tafa’igata landfill site in northwest Apia while effluent enters the groundwater and drainage system via absorption trenches or directly to surface waters. Responsibility in Government for regulating sanitation in both private and Government premises including disposal of trade waste and the impact on the environment and public health has been clearly lacking. There is no monitoring of effluent water quality and there are no effluent water quality standards in place.

b) PUMA’s contribution to the Sanitation Concept Plan The involvement of PUMA staff and management was very similar to that described above for the Drainage Concept Plan, that is, emphasis on a strong team approach. The concept plan for sanitation focused on identifying areas of sanitation need in the lower lying flood-prone areas of Apia, including the Apia CBA, as well as high sewage output uses (‘Special Needs’) both within and outside the low lying flood-prone area. Classifying the areas of need in the low-lying areas of Apia has been based on environmental constraints, intensity of land use, land tenure (customary and freehold) and population density. The agreed concept plan for sanitation involved three major components: (i) individual on-site systems primarily in areas adjoining waterways and low lying areas adjacent to the Apia CBA; (ii) the Apia CBA with its intensive commercial, retail and Government uses; and (iii) special need areas covering high volume sewage uses such as schools, hospitals and larger commercial and industrial premises both within and outside the Apia CBA.

The key features of the sanitation concept plan as agreed by the PUMA Steering Committee on November 18, 2002, are summarized in the report submitted to the Steering Committee (Attachment 4).15 For the Apia CBA sewerage scheme, it was agreed following an evaluation of six sites that the preferred site for the wastewater treatment plant was the former BP site adjacent to the Origin Gas facility in Sogi on Mulinu’u Peninsula. It was noted in the report to the PUMA Steering Committee that an ocean outfall for the disposal of wastewater is a potential long-term strategy and is not affordable at this stage given the relatively small size of the proposed CBA sewerage scheme. In proposing the CBA sewerage scheme, it was agreed that design considerations should provide for the long-term strategy including designing the sewerage system to facilitate agreed service area extensions, converting the wastewater treatment plant to an outfall pre-treatment facility and connecting the effluent discharge from the treatment plant to the ocean outfall.

15 For development of the concept plans into the more detailed loan project designs that emerged during the ADB Loan Fact Finding Mission (LFFM) in February-March, 2003, see the MOU for the Loan Fact Finding Mission for Samoa Drainage and Sanitation Project, March 6, 2003



The key groups who would benefit from implementation of a project based on the concept plans for drainage and sanitation are summarized in Attachment 5. As with the drainage component, the overall environmental effects of an improved sanitation and wastewater system are considered positive, but an EIA is recommended to be undertaken during the detailed design phase of the Project so as to ensure (i) the planned design and mitigation measures and environmental monitoring arrangements are in place and (ii) support is provided to the Governments draft EIA regulations and polices. As with drainage, it will be paramount that a community education and awareness program is carried out as well as Project monitoring. The results of the full EIA will need to be mainstreamed into these programs, including education awareness activities to ensure commercial and industrial waste (including hazardous and toxic waste and wastewater) is not deposited into the sewerage system. Status of Output: The PUMA Steering Committee endorsed the concept plans for drainage and sanitation on November 18, 2002, at the end of Phase 1 (see Progress Report to Steering Committee in Attachment 4. Map as attached - the Apia Drainage and Sanitation Project - reflects concept plans as agreed at November, 2002). A report with full details of the Drainage and Sanitation Concept Plans was submitted to Government and ADB in December 2003. The SWA Board was briefed on the sanitation concept plan on November 15, 2002. 16 The Concept plans were included in the TA progress report to Cabinet in January, 2003. The consensus reached on the concept plans was reflected in the success of the ADB Loan Fact Finding Mission (LFFM), February - March, 2003, during which the concept plans were further developed and agreed by Government. A successful pre-appraisal mission followed this in May, 2003. There continues to be enthusiasm and support in both Government and private sector for progression of the drainage and sanitation project as soon as possible.

C. Output 2: Planning and Policy Tools for PUMA Purpose of Overall Output: To provide PUMA with a set of essential planning and policy tools to allow the

organization to develop and grow in capacity A second major output of the TA was the preparation of a set of planning and policy tools to enable PUMA to carry out its planning and urban management functions. The approach taken with this output (and all others) was to develop realistic and achievable tools that could be used to address current demands on PUMA and thus help PUMA deliver its outputs while continuing with its own development and capacity building.17 The consultants worked closely with PUMA staff and management to develop the following four planning and policy tools:

16 The TA Team Leader and La’avasa Malua, Assistant CEO, PUMA, carried out briefing. The key issue raised at the briefing by the Minister for Works (a member of the SWA Board) was the appropriateness of the proposed BP site at Sogi, including concerns over odor and smell. 17 This approach was developed in response to the lessons learned from previous attempts to develop urban planning in Samoa. The 1996 Integrated Urban Development Review project had recommended the establishment of a costly Urban Management Commission and proposed urban development programs which were too ambitious in scope given Samoa’s institutional capacity at that time. As a result, the recommendations did not gain the support of stakeholders and no action was taken.



Planning and Policy Framework for PUMA; PUMA Implementation Priorities 2003-2006; Planning and Development Guidelines for Housing; and Draft Planning and Urban Management Bill, 2003.

1. Planning and Policy Framework

Purpose of the Sub-Output: To provide the strategic policy and planning direction for the development and growth

of PUMA and of planning and urban management services in Samoa To provide the overarching framework in which PUMA must work and operate so as

to meet its functional responsibilities One of the challenges for PUMA as a new planning agency was to come to grips with the plethora of issues and concerns of stakeholders on the one hand and of existing policies and development trends that needed to be addressed on the other. There was a real risk that PUMA would be unable to develop any sense of strategic direction or priority because it would become mired in the detail of countless issues. The Planning and Policy Framework was developed as a tool to enable PUMA to deal with the detail and yet emerge with a sense of direction. Essentially the Framework is a means of considering all the details in a systematic fashion so that PUMA could reach a strategic decision on direction and priorities. The Planning and Policy Framework document brings together in one place: (i) the results of an analysis of Apia’s issues and needs; (ii) a Physical Framework Plan for Apia indicating preferred development patterns and directions; (iii) a policy development process intended to integrate policies of Government, the PUMA Bill and policies that PUMA itself identified as necessary; and (iv) an explanation of the range of tools (guidelines, codes, standards etc.) that PUMA could use to achieve its planning and environmental objectives. The document itself will serve as a useful source of reference and direction for PUMA staff. However, the real value of the Planning and Policy Framework came from the participation of PUMA staff including management in its creation and understanding its relevance.

The Planning and Policy Framework has:

(i) outlined the setting for land use and development change in Samoa (ii) identified the key issues and concerns that will shape the management of the

future of the Apia urban area including elements such as housing, open space, transport and land

(iii) identified policy directions and principles for such elements so that they may shape and guide directions for the future planning and development of Apia and has

(iv) identified the overarching strategic directions for the development of PUMA - that is, the required priority plans and polices, legislation and key planning tools and mechanisms – so that PUMA can meet its mandate as an effective planning and development agency at the local, district, regional and national level.



The conceptual approach to developing and understanding the planning and policy framework for PUMA as applied throughout the three TA phases is shown in Figure 2.18 The full report on the Planning and Policy Framework is presented in Attachment 6. A major focus of the framework is on Apia and urban growth directions. An analysis of population trends indicated that most of the future population growth was likely to occur in Apia and adjoining areas to the west. This growth in population will need to be accommodated primarily in Apia's growth corridor, North West Upolu and in the catchments to the south.19 Trends indicate that population growth will lead to continued pressure on the resources of Apia as well as continued economic, social and environmental change within the wider regions of Upolu and Savaii. In order to assist PUMA in managing this growth and change, an Apia Physical Framework Plan, 2003-2013, has been prepared as part of the Planning and Policy Framework. (See Figure 3.2 in Attachment 6). It is called a Physical Framework Plan rather than a Structure Plan because it aims to ‘set the rules’ for future development rather than to create zones and lines on maps. A Structure Plan would imply a fixed and definitive plan such as used as the basis for development of zoning plans, where land uses are segregated and separated from each other. MNRE and PUMA consider the use of the term Structure Plan premature to establishing a new system at this point in time. Hence, the emphasis is on identifying the physical directions, the enabling physical framework and the important parameters and values embodied in it to set the ‘rules.’ The Apia Physical Framework Plan stresses the importance of preserving the environmental elements needed to underpin and sustain development whilst providing for development ‘corridors’ in the northwest. Key themes implied in the plan are environmental management and minimizing the environmental impacts of development and land use conflicts through regulating development. The key parameters determining the framework plan include: land use — including provision for existing housing and ‘living areas’, industry and

employment centers; protection of environmental assets such as catchments, rivers and streams open

space and national parks, coastal foreshores and marine resources; providing for infrastructure assets such as roads and water; ensuring an adequate supply of land as the basis for future housing development and

creation of ‘living areas’. (Recognizing that land tenure – customary, freehold or Government – will determine where and how development occurs and for what use. In this setting, Government is the key player as it is the main provider of potential freehold land on the urban edge whilst at the same time it is responsible for protection of water catchments and the integrity of the water resources).

18 The PUMA Implementation Priorities is a separate sub output discussed in Section 4.3.2. However, it is included in the report of the Planning and Policy Framework so that the linkages between PUMA policies and plan directions and subsequent priorities for implementation are appreciated and understood. 19 In 2001, Apia and North West Upolu contained 52% of the national population.



Figure: 2 Conceptual Approach – Developing the Planning and Policy Framework for PUMA

Analysis* Pat terns of growtheconomic growth t rends forSamoa and Apia, Populat iongrowth t rends urban & rural

* Apia - 40% of populat ionKey Issues, concerns &possible policies ident ified

*Apia Physical FrameworkPlan - assumpt ions,const raints and opportunit ies

Strategic Directions for PUMA

The Planning and Policy Frameworkcomprising:

* PUMA Legislat ion

* Plans and Policies developed by PUMA

* Planning tools and the mechanisms toimplement them - the agreed PUMA 'toolkit '

Next Steps for PUMA

PUMA ImplementationPriorities 2003 - 2006

Ident ifying the outputs that are needed totake the planning and policy framework

forward

PUMA Policy and PlanDevelopment

Derived from:

* Exist ing Government policiesand plans- Nat ional, MNRE,PUMA

* Policies embedded in PUMABill

* Needs ident ified during the TA

Apia's Issues andNeeds

* Land tenure* Water catchments* Apia CBA* Drainage and flooding* Land use* Urban growth direct ions* Choice of parameters toguide growth -environmental protect ion,roads, r ivers, coastalhazards, parks etc



The Physical Framework Plan should be seen as a tool to guide the strategic planning and development ‘road map’ for the next 10 years. It is a means to an end, not an end in itself. It defines the enabling framework needed to direct and manage the growth of Apia and sets the parameters on which other plans and polices need to be developed. Environmental outcomes and the development of measures to achieve them are key themes of the framework. PUMA will continue to refine the Physical Framework Plan so that ultimately, it will reflect those values, aspirations, issues and concerns that are considered most important in the Samoan context. The Physical Framework Plan thus reflects the social, economic and environmental setting in which land use and development decisions will take place and the values important in directing their location and assessing their impacts and benefits. Preparation of the Apia Physical Framework Plan during the TA helped to develop broad consensus and agreement on the aspirations, issues and concerns that are considered to be most important to stakeholders. The Planning and Policy Framework for PUMA is a key reference document that PUMA is now using to guide its future development. Collectively, the most pressing planning and policy priorities derived from the Planning and Policy Framework for PUMA have been considered by the PUMA Steering Committee and subsequently developed and detailed in the overarching PUMA Implementation Priorities (see discussion in next section). Priority outputs identified in the PUMA Implementation Priorities as well as other outputs have been incorporated into the PUMA Business Plan and PUMA Section Action Plans. Status of Output: The first progress report on the Planning and Policy Framework was endorsed by the PUMA Steering Committee, November 18, 2002. The draft Planning and Policy Framework including the Apia Physical Framework Plan, policy and plan needs, and preferred planning tools and mechanisms was considered at the PUMA Steering Committee on May 30, 2003. The final Planning and Policy Framework report was endorsed at the PUMA Steering Committee June 13, 2003 ( see Attachment 6). 2. PUMA Implementation Priorities, 2003-2006 Purpose of Output: To identify PUMA’s Implementation Priorities for the 2003-2006 period To provide PUMA with experience in setting priorities for its activities

The TA assisted PUMA in setting its Implementation Priorities as a fundamental step in capacity building. It also assisted PUMA in beginning to meet its functional responsibilities. Figure 3 indicates the relationship between the PUMA Implementation Priorities and the development of the PUMA Business Plan and the PUMA Section Action Plans (see discussion in section 4.3). The PUMA Implementation Priorities represent the ‘higher order’ plan indicating the overall direction in which PUMA must move towards in achieving priority outputs. The Implementation Priorities comprised both: (i) actions needed so that PUMA could function effectively (an enabling framework for PUMA); and (ii) actions needed to address specific urban and rural development issues where PUMA could take a key role in planning, facilitating, coordinating and/or providing the desired outcome. PUMA management recognized that it would be necessary to set priorities for its work given its limited resources and other constraints and opportunities which emerged during



the TA process. Importantly, in addition to its use by PUMA management and MNRE, it should play a significant role as an initial management tool for focusing the activities of the PUMA Board when it is established in late 2003 or early 2004.

In developing the Imp

PUMA Act ion Plan

To improve its op

To further strengtarrangements andpolicies, guideline

To meet the exp

as expressed in tPUMA Business technical capacity

Each of these needawareness and educof PUMA’s priorities.PUMA Implementatdevelopment of the PTA is shown in Figure

The priority outputs fthe PUMA Steering C

The Virtual Consulting

Figure 3: Relationship between Plans for PUMA

lementation Priorities, PUMA recognized three pressing needs:

PUMA Im plem entat ion Priorit ies

PUMA Business

Plan

s

* Act ion Plans for the four Sect ions of PUMA

* Business Plan for PUMA -- detailed for next 12 m onths & indicat ive for following two years

* PUMA Im plem entat ion Priorit ies -- short to m edium term plan indicat ing keydirect ions and crit ical priorit ies for PUMA that em erged from the overarching Planning and Policy Fram ework for PUMA

erating environment so it can deliver its outputs.

hen its enabling environment by consolidating the new institutional by augmenting the proposed legislation with extensive regulations, s, codes and standards.

ectations of stakeholders to address priority needs and concerns he MNRE Corporate Plan, the PUMA Implementation Priorities, the Plan and PUMA Section Action Plans, whilst realizing human and is limited

s can only be addressed by ensuring a high level of community ation and hence the theme of community awareness cuts across all It is a combination of the above needs that have determined the ion Priorities 2003-2006. The conceptual approach to the UMA Implementation Priorities 2003-2006 as applied throughout the 4 below.

or PUMA implementation over the period 2003-2006 as agreed by ommittee in June, 2003, are discussed in Section 5 of Attachment

Group 18


6. Nine Priority Areas have been identified for implementation over the 2003/4-2005/6 timeframe supporting the five key PUMA strategies. These implementation priorities have been subsequently reflected as outputs in the PUMA Business Plan and PUMA Section Action Plans. The priority outputs will be used to drive the operational activities of PUMA and will need to be supported by other stakeholders where relevant.

A number of mechanisms have been developed and identified within PUMA, MNRE and the TA to ensure that the PUMA Implementation Priorities are taken forward and implemented in a systematic and timely manner. These monitoring mechanisms are summarized in Table 4 and discussed in Attachment 6.

Table 4: Monitoring Mechanisms – PUMA Implementation Priorities

Figure 4 Considerations in developing PUMA's Implementation Priorities

Understandingthe State ofPUMA'sOperatingEnvironment(Staff, human andtechnical resources,budget, capacity,facilit ies availableetc.)

Understandingthe PriorityNeeds ofStakeholders(Short and mediumterm needs ofcommunity,business, otherpartners, andGovernment)

Understandingthe State ofPUMA'sEnablingEnvironment(Institut ionalarrangements,legislat ion, exist ingregulations,policies, plans, etc.)

PUMA's Implementation Priorities

Institutional Level

Agreed Monitoring Mechanisms for Implementation of PUMA Priority Outputs

1. PUMA * PUMA Business Plan * PUMA Section Activity Plans * PUMA Management Team – review * Planning and Urban Management Board – review

2. MNRE * MNRE Corporate Plan * MNRE and PUMA progress reports to Minister * MNRE and PUMA progress reports to Cabinet

3. Ministry of Finance

* PUMA performance against PUMA/MNRE budget output * National Statement of Development Strategy (SDS) - review PUMA’s consistency with achieving overarching national priorities



Status of Output: PUMA’s Implementation Priorities were considered by the PUMA Steering Committee on November 18, 2002. In Phase 3, the PUMA Implementation Priorities were discussed at the PUMA Steering Committee May 30 and endorsed at the PUMA Steering Committee June 13, 2003 (see Section 5 of Attachment 6). The PUMA Implementation Priorities were also discussed with CEO, Finance (TA Executing Agency) on June 10, 2003. Copies of the PUMA Implementation Priorities were provided to the Minister NRE, June 16, 2003 3. Planning and Development Guidelines for Housing Purpose of Output: To provide guidelines for housing which support and enhance the planning and

development process To ensure the housing guidelines are relevant to the Samoan situation

This planning tool was developed as a resource document for PUMA to address social and environmental concerns with housing. It seeks to ensure that acceptable standards for planning and development are maintained at the individual site level for the benefit of the community now and in the future. The Guidelines ensure that reasonable levels of safety, health and amenity are provided for in the planning process for residential development. The Guidelines are aimed towards all stakeholders with a role in shaping the urban and village environment in Samoa including landowners, developers, Government, surveyors, engineers and builders. The Guidelines promote good land planning and residential development within a framework that: responds to site analysis, regardless of whether the land tenure is customary or

freehold; seeks to obtain more consistency and certainty in the planning process at the local

site and village level; and aims to enhance the quality of life and health of village communities and environment.

PUMA and the consultants undertook a consultative process in Phases 2 and Phase 3 20 with the PUMA Steering Committee, other Government representatives and private sector to ensure the Guidelines were understood and met local needs. Building on the draft Guidelines prepared in Phase 2, the Guidelines were further developed in Phase 3 and now include a new section (Section B) on the development and assessment process and how the Guidelines relate to this process, revised performance criteria, the need to consider coastal hazards in the assessment process as well as the need to connect to a reticulated sewage system where one exists. In line with best practice for development of guidelines, a comment form seeking stakeholders’ input on the underlying approach, methodology, format, content, feasibility and implementation arrangements was prepared and circulated with the Guidelines by PUMA. The format used in the Guidelines was developed to ensure clarity, consistency and user friendliness. The format that was approved by the PUMA Steering Committee comprises five sections: identification of the element to be addressed — for example, accessibility, site

coverage, built area;

20 Phase 2 was the commencing Phase in March, 2003.



the basis for each element — a statement about the issues and concerns, that is, the background about that element, which generated the need to develop the guidelines of that specific element;

the performance objective for the element — a statement of intent to identify the objectives that the provisions of that element are intended to achieve;

the varying perspectives and outcomes that the affected groups wish to achieve — for example, from the landowner’s and Government’s viewpoint; and

a set of performance criteria to meet the objective — how the objectives can be achieved.

It needs to be recognized that the Guidelines start from a point where there were no previous guidelines nor information since there has been no ‘formal’ planning system prior to the establishment of PUMA. Consequently, the emphasis in the Guidelines is on targeting important local planning issues including the need for proper site analysis and appropriate design response. As part of the overall approach being taken to develop the new planning system in Samoa the Guidelines give emphasis to the achievement of desired environmental outcomes and the setting of measures by which these outcomes can be achieved (in this case, by Guidelines). Rather than prohibit uses except in special circumstances, the emphasis in the new planning system is on developing measures including performance criteria to achieve environmental outcomes such as desirable siting, design and layout of housing.21 The draft Guidelines are divided into four sections: Part A: Contextual Setting (based on the original discussion paper prepared in Phase

2 giving the rationale for the Guidelines, why the need, varying approaches, etc) Part B: The Planning and Development Assessment Process Part C: Site Analysis and Design Response Part D: Housing Elements (including front and side setbacks, site coverage, height of

buildings, drainage, sanitation and landscaping). Noting no planning guidelines exist in Samoa, PUMA intends that the Guidelines prepared during the TA will evolve over time. Thus incremental approach is reflected in the proposed staging of the Guidelines as indicated below: Stage 1 — The draft Guidelines will serve as a transitional measure while the

Guidelines await the passing of the new Planning and Urban Management legislation Stage 2 —The Guidelines will be adopted as policy after the passing of the new

Planning and Urban Management legislation Stage 3 — after an agreed trial period (perhaps 12 months), the Guidelines will

become a legally binding policy document under measures allowed for in the new Planning and Urban Management Act.

The Guidelines are intended to apply to all of Samoa but with an emphasis on Apia and Government’s new town settlement of Salelologa. Other measures can be developed over time to met desired outcomes as capacity, resources and community acceptance allow. These measures include guidelines, codes or the like for the siting of industry, subdivision (that is, the division of land involving two or more lots), planning and development guidelines for the CBA, developer contributions, land reclamation, and the like. The further development of a range of guidelines, standards and the like are

21 For a discussion on the underlying philosophical basis for the choice of land use planning tools (traditional regulatory measures versus performance based approaches based on desired environmental outcomes), see the discussion in Attachment 6, Planning and Policy Framework.



reflected in the PUMA Implementation Priorities, PUMA Business Plan and PUMA Action Plans for individual sections. Status of Output: Preparation of the Guidelines commenced in Phase 2 and was completed end Phase 3 (see Attachment 7). Amended draft Guidelines were tabled with the PUMA Steering Committee May 30 and agreed by the PUMA Steering Committee June 13, 2003. Printing of Guidelines now being undertaken by PUMA. 4. Planning and Urban Management Legislation

Purpose of Output: To support the finalization and implementation of legislation which allows for: (i) the

undertaking of land use planning and development assessment in Samoa; and (ii) the establishment and operation of PUMA and the PUM Board

PUMA and the TA team completed a draft of the Planning and Urban Management (PUM) Bill 2003 during Phase 1 of the TA. In line with recent international best practice, the PUM Bill is wide-ranging and comprehensive in its approach. It defines development broadly and considers its impact on the 'total' environment, social, economic and bio-physical (see Attachment 8). 22 The major components in the Bill are:

the establishment of PUMA and its functions; the objectives of the new Act; the functions, powers and responsibilities of the new Planning and Urban

Management Board; 23 the preparation of strategic plans and policies (known as Sustainable Management

Plans); a process for planning and development assessment including EIA; provision for payment of compensation; the provision for the establishment of a Planning Tribunal to hear appeals on

development matters as well as sustainable management plans; and provision for the preparation of agreements with landowners and other groups where

land needs to be preserved for environmental or public interest matters. Key features of the PUMA Bill 2003 include an emphasis on:

decision making rules that are ‘triggered’ depending on the type of development proposed, for example, guideline assessable, impact assessable or development plan assessable as part of the overall development process;

coordination and integration at all phases; regulation that promotes policy development with an emphasis on environmental

outcomes and measures by which they will be achieved; and the ability to create a range of planning tools and mechanisms (including agreements

with landowners and villages) to achieve the desired environmental outcomes.

22 The environment as defined in the PUMA Bill 2003 encompasses not only the bio physical setting but also the social and economic environs. 23 The PUMA Board includes equal community and Government representation.



Although the Bill has yet to be passed by Parliament, all the indications are that it will be well received. The draft Bill has the full support of the Minister of NRE, MNRE management, PUMA management and Finance. The passage of the Bill has been made more likely as a result of the extensive consultation process that has been carried out under the TA.24 The TA Team has made presentations on the legislation to two Government seminars, three PUMA Steering Committee meetings (Phases 1, 2 and 3) and to the Samoa Chamber of Commerce and Industry. In addition, in Phase 2 and Phase 3, seminars have been held with PUMA staff on the new legislation to clarify key components and policy issues including implications for the development of regulations when the Bill becomes law. 25 Finalization of the PUM Bill including formatting, legal editing and clarification of provisions has been undertaken primarily in Phase 2 and Phase 3 in conjunction with MNRE, PUMA and the Office of the Attorney General. The final review of the PUM Bill was undertaken by the office of the Attorney General in consultation with PUMA and MNRE in the first half of June, 2003, to ensure that the final draft of the legislation complies with Samoan statute drafting protocol, rather than policy maters which are the domain of MNRE, PUMA and, where relevant, of Treasury.26 The Office of Attorney General is currently translating the draft PUM Bill into Samoan language. Advice from the Office of the Attorney General and MNRE27 is that the legislation is to be tabled in Parliament in the August session, 2003 (1st reading) and considered by the Parliamentary Bill Review Committee and, subject to there being no objections, submitted back to Parliament and passed into law in December, 2003 (2nd reading). Status of Output: The Draft Planning and Urban Management Bill 2003 was completed and endorsed by MNRE, PUMA Steering Committee, PUMA and the Office of the Attorney General (see Attachment 8 for supporting correspondence from the Office of the Attorney General and draft PUM Bill, 2003). The PUM Bill is to be presented to Parliament in the August session, 2003.

D. Output 3: PUMA Business Plan and PUMA Section Action Plans

Purpose of Output: To assist in expanding the capacity of PUMA and stakeholders To provide a Business Plan for PUMA and Action Plans for each Section of PUMA To define the functions, duties and responsibilities of staff in PUMA To assess the requirements of the PUM Board

The TA facilitated the development of a Business Plan for PUMA and detailed Action Plans for each Section of PUMA. In addition, the TA helped to define the functions, duties and responsibilities of PUMA and to assess the requirements of the Planning and Urban Management Board. The results of the work carried out in each of these areas is documented in Attachments 9, 10 and 11 and outlined below. Details of the process

24 The level of consultation undertaken on the new draft PUM Bill as been applauded by both Finance and MNRE (Executing and Implementing Agencies). 25 Seminars were held Thursday March 20, 2003 (Phase 2) and Monday June 16, 2003 (Phase 3). 26 For example, the draft legislation makes provision that any plans made under the PUMA Bill must be consistent with the overarching national statement of development strategy, facilitated by Treasury, as legally provided for under the Public Finance Management Act, 2001. 27 From discussion with Tony Lawson, office of the Attorney General, and Tuuu Ieti Taulealo, MNRE, July 30, 2003. Confirmed



followed in developing the Business Plan were presented in the Interim TA Progress Report. The achievements in relation to this Output are discussed below. 1. PUMA Business Plan 28 As indicated in the TOR, this TA aimed to assist in the institutional development and strengthening of PUMA. In its approach to this task, the team worked in collaboration with PUMA management to achieve a high level of participation since this has been shown to contribute greatly to improved effectiveness of institutional development in the Pacific and elsewhere. Where possible, the team used the preparation of the Business Plan as a training opportunity for PUMA management and staff. As a result, all managers and staff now have skills in development of SMART29 goals and in the formulation of One Page Plans that can be used for any level of strategic business planning. Full details of the outputs and processes from the planning work were presented in a Working Paper.30

In addition to adhering to the principle of participatory development in developing the Business Plan, the team also ensured that the plan fully complied with and complemented other over-arching Government plans and policies. To this end, the Business Plan that was developed is PUMA’s response to the Corporate and Management Plans of MNRE that in turn responds to the Budget and to the Cabinet’s Statement of Development Strategies for Samoa.

As part of the rationalization of Government that has been undertaken in Samoa over the past several years, PUMA was chosen as the agency that would take over Disaster Management that was previously a responsibility of the Office of the Prime Minister. Consequently, this responsibility has been added to the three core planning and urban management responsibilities that were envisaged for PUMA when this TA was formulated.

The Business Plan responds to the PUMA Implementation Priorities that were identified by the TA for the PUMA Steering Committee for the three years to June 2006. (See Section IV, C above) The priorities embrace nine Priority Areas as outlined in Table 5 below. In setting these priorities, the Steering Committee reflected Government’s development priorities as well as the aspirations of the wider community of stakeholders. This TA and the preceding TA No. 3566 played an important part in ensuring that stakeholders’ needs and aspirations were identified. Table 5 shows how the five strategies that PUMA has adopted to achieve its goal will deliver across the nine Priority Areas identified in the PUMA Implementation Priorities.

One of the implications of the participatory approach taken to develop the Business Plan is that the goals and priorities were set by PUMA management after taking into account the stakeholders’ needs and aspirations. It also meant that the Business Plan, as it finally emerged, is a practical plan, able to be achieved with the resources expected to be available to PUMA over the next three years. The Steering Committee wanted to have a plan that would require PUMA to work hard to develop its capacity (an element of

28 The report refers to a Business Plan and Action Plans rather than the term Operating or Operational Plan used in the Terms of Reference (TOR) for this TA project. The use of these replacement terms was requested by Government to clarify the difference between these plans and others currently in use in Samoa. In the context of this report, the Business Plan for PUMA comprises a ‘whole of PUMA’ plan while the Action Plans comprise individual plans for each of the four sections within PUMA together with a fifth plan for PUMA management as a group. 29 Specific, Measurable, Accountable, Realistic and Timebound. 30 See Report on First Workshop on the Operational Plan for PUMA — 17 March 2003 which was an Annex to the Interim Progress Report (April 2003)



Table 5 PUMA’s Implementation Priorities and Key Strategies PUMA Strategies31Priority

Area 1. Improve PUMA effectiveness and build capacity

2. Regulate development and protect the environment

3. Plan for development that meets stakeholders’ needs

4. Coordinate provision of PUMA’s urban and rural services

5. Provide for disaster management that minimizes adverse impacts

1. PUMA Management

√

2. Community awareness & education

√ √ √ √ √

3. Legislation √ √ √ 4. Regulatory framework

√

5. Strategic development framework

√

6. Disaster management

√

7. Urban improvement

- Environmental management

√ √ √

- Infrastructure planning

√ √ √

- Urban services

√ √

- Land planning √ 8. Town improvement

- Environmental management

√ √

- Infrastructure planning

√ √

- Urban services

√ √

- Land planning √ 9. Rural Services

√ √

‘stretch’) while still remaining achievable with the resources likely to be available to PUMA in the Samoan context.32

Under the MNRE Corporate Plan, PUMA is charged with meeting the MNRE Objective 4 which is ‘to provide strategic planning and disaster management services for the sustainable management of the environment and natural resources.’

In responding to this Objective and facilitated by this TA, PUMA’s management and staff set the following vision, mission and goal for the agency:

PUMA’s Vision — Well planned and regulated development protecting the environment together with well coordinated provision of urban and rural services and effective disaster management. 31 Note: Strategies 2, 3, 4 and 5 are functionally reflected in the four separate Sections within PUMA. 32 For an assessment of achievements of the TA in relation to capacity building see Section V below.



PUMA’s Mission — To provide efficient and effective planning, regulation, environmental protection, service coordination and disaster management on behalf of the current and future populations of Samoa to improve the quality of life.

PUMA’s Goal — In the three years to June 2006, to establish PUMA as a fully functional planning, regulatory service coordinating and disaster management agency. 33

PUMA proposes to implement five strategies to achieve its goal, the MNRE Objective and its specific Implementation Priorities. These strategies and the responsibility for their achievement are shown in Table 6 below.

Table 6 PUMA Strategies and Responsibilities Strategies Responsibilities34

1. Improve PUMA effectiveness and build capacity

PUMA Management

2. Regulate development and protect the environment

Sustainable Development Section

3. Plan for development that meets stakeholders’ needs

Strategic Planning Section

4. Coordinate provision of PUMA’s urban and rural services

Urban Services Section

5. Provide for disaster management that minimizes adverse impacts

Disaster Management Section

In pursuing these strategies, provided certain assumptions about support for PUMA hold true, PUMA will produce the Outputs shown in Table 7 below during the next 12 months. The Business Plan also details further outputs which are to be generated in the following two years to June 2006.

The Business Plan for PUMA is a summary specification of the Strategies and Results that PUMA as a whole will apply to generate Outputs. The specification of the Business Plan include Responsibility for delivery, due Dates for presentation of Outputs and the Key Performance Indicators that will be used to monitor progress and performance. The Business Plan provides detailed specification for those Outputs to be provided over the period 2003/4 (i.e. in accordance to the just announced budget) and provides less detailed specifications for those Outputs to be provided beyond 2003/4.

Details of the Strategies that will be applied and the intermediate Results that will be achieved in generating these Outputs are presented in the Business Plan along with Responsibilities, Completion Dates and Key Performance Indicators. In addition, the detailed Action Plans for PUMA Management and for each of the four Sections in PUMA

33 The term ‘fully functional’ refers to PUMA’s ability to perform all the planning and urban management activities assigned to it by Government. Fully functional is the level an organization has reached which allows it to respond (or potentially respond if the need arose) to its range of mandated functional responsibilities with reasonable levels of human and technical resources including skills and experience and in a timely and professional manner. Progression to a fully functional level will depend on opportunities that arise and resources that are provided to stimulate and retain development of capacity. Vital to achieving a fully functional level is support provided for the development of both operating and enabling environments. 34 In addition, the various projects that PUMA undertakes will contribute as is appropriate to the execution of each strategy.



are presented in an Annex to the report. These Action Plans have been developed by each PUMA Section with assistance from the TA and they are intended to serve as a checklist and guide for the day-to-day management of each Section.

Table 7 PUMA Outputs for 2003-200435

Output Responsibility Quarter for Completion

Q1 Q2 Q3 Q4

Management of PUMA PUMA Business Plan implemented ACEO √ √ √ √ PUMA staff developed ACEO & PO s √ √ √ √ Funds Mobilized ACEO & PO s √ PUMA activities integrated ACEO, PO s &

CEO √

PUMA acts as Secretariat to PUMB ACEO & PO s √ √ √ √ Public kept informed (Public Education and Awareness Program [PEAP])

ACEO & PO s √ √ √ √

Sustainable Development Section Support PUMA Bill with regulations & policies PSDO & SDO √ √ √ √ — List regulations needed from SD Section PSDO √ — Operating procedures & processes for SD Section PSDO √ — Regulations for EIA, Hazardous Substances, New Organisms and Climate Change

PSDO SDO s & PO s of Projects

√

Development assessments & environmental assessments completed

PSDO & SDOs √ √ √ √

Environment protected & regulations enforced & responses to complaints

PSDO & SDOs √ √ √ √

Multilateral environmental agreements supported PSDO, SDOs & ACEO

√ √ √ √

Collaborate through PEAP with other sections in achieving community awareness and education

PSDO, SDOs & ACEO

√ √ √ √

Strategic Planning Section Q1 Q2 Q3 Q4

Support PUMA Bill with appropriate strategies & policies PSPO & SPOs √ √ √ √ Formulate Sustainable Management Plans PSPO & SPOs - Salelologa Township PSPO & SPOs √ √ √ √ - Apia Framework Plan finalization (including land supply) PSPO & SPOs √ √ √ √ - Apia Drainage Improvement & Wastewater Management

PSPO & SPOs √

Formulate planning and development guidelines, standards and codes

PSPO & SPOs

— Housing Guidelines PSPO & SPOs √ —Environmental (waste, pollution, etc.) monitoring guidelines available

PSPO & SPOs √

— Subdivision guidelines available PSPO & SPOs √ Facilitate the coordination of urban utility service provision PSPO & SPOs √ Establish information management processes to support PUMA operations

PSPO and SPO s √

—Planning & Information Management System designed PSPO and SPO s √ — Databases installed PSPO and SPO s √ Collaborate through PEAP with other sections in achieving community awareness and education

PSPO and SPO s √ √ √ √

— Community awareness workplan PSPO and SPO s √ — Consultation & awareness activities for year

PSPO and SPO s √ √ √ √

Urban Management Section Q1 Q2 Q3 Q4

Manage existing contracts and identify opportunities to improve efficiency of contracts

PUMO & UMO s √ √ √ √

Provide specified urban & rural services (including landfill PUMO & UMO s √ √ √ √

35 Key acronyms - Assistant Chief Executive Officer (ACEO): Principal Officer (PO): Principal Strategic Planning Officer (PSPO): Principal Sustainable Development Officer (PSDO): Principal Urban Management Officer (PUMO): Principal Disaster Management Officer (PDMO).



and operation of health care incinerator) Opportunities for more efficient PUMA urban services identified including landfill and market operation

PUMO & UMO s √ √ √ √

— Investigation into waste composting PUMO & UMO s & JICA PO

√

Public kept well informed through PEAP PUMO & UMO s √ √ √ √ — Complaints investigated PUMO & UMOs √ √ √ √

Disaster Management Section Q1 Q2 Q3 Q4

Integrate existing capabilities of the disaster management unit into PUMA to achieve complementarity and mutual support.

PDMO & DMOs √

— Review of Operation of Disaster Management Unit PDMO & DMOs √ — Implementation program to integrate PDMO & DMOs √ Review existing disaster management plan and identify priority areas for update and revision

PDMO & DMOs √

Develop and implement National Preparedness Plans including mitigation, response and recovery

PDMO & DMOs √

Provide secretariat for National Disaster Council PDMO & DMOs √ √ √ √ Provide an emergency response capability PDMO & DMOs √ √ √ √ Public kept well informed through PEAP PDMO & DMOs √ √ √ √

The report also outlines the proposed arrangements for monitoring and evaluation of the Business Plan. The Policy and Planning Framework (see Attachment 6) identified a number of monitoring mechanisms for the PUMA Implementation Priorities based on the planning tools developed with PUMA and MNRE under the TA. These mechanisms are also relevant to ensuring the outputs produced under the TA are progressed beyond the completion of the TA. Table 8 below indicates the mechanisms that could be used by PUMA, MNRE and Finance to monitor progress in urban planning and management.

Table 8: Implementing PUMA Outputs - Monitoring Mechanisms Institutional Level

Monitoring Mechanisms for Implementation

1. PUMA * PUMA Business Plan * PUMA Section Action Plans * PUMA Management Team - review * Planning and Urban Management Board – review

2. MNRE * MNRE Corporate Plan * MNRE and PUMA progress reports to Minister * MNRE and PUMA progress reports to Cabinet

3. Ministry of Finance

* PUMA/MNRE performance against PUMA budget output * National Statement of Development Strategy (SDS) - review PUMA’s consistency with achieving overarching national priorities

2. PUMA Responsibilities As part of the institutional development assistance under the TA, the team worked with PUMA to agree on its roles and responsibilities. This involved consideration of PUMA’s role as part of MNRE, the structure and staffing of PUMA and its management and staff responsibilities.



a) PUMA’s role in MNRE PUMA became operational in July 2002 as one of six divisions within the Ministry of Natural Resources and Environment (MNRE).36 MNRE itself is committed to providing eight budget outputs to Government comprising:

Policy advice to the Minister Ministerial support Land management Technical services Legal services Environment conservation Planning and urban Management Agency Operation of the national disaster management office.

PUMA is responsible for the provision of the last two of these budget outputs.

b) PUMA Structure The structure of PUMA has been agreed with the Public Service Commission, Finance PUMA and MNRE. The structure has been designed in response to the functional responsibilities of PUMA as set out in the draft PUMA Bill and to the recent Government rationalization which resulted in Disaster Management being assigned to PUMA. PUMA comprises four sections plus a range of special projects, as indicated in Figure 5 below. Collectively, the function of PUMA is to provide the regulatory framework on matters relating to the sustainable development and protection of natural resources at national, regional and international levels.

The specific functions of PUMA are indicated by its Budget sub-outputs are as follows:

1. Sustainable development — regulate development and protect the environment

2. Strategic planning — plan for development that meets stakeholders’ needs

3. Urban management services — coordinate provision of PUMA’s urban/rural services

4. Operation of the National Disaster Management Office — minimize the adverse impact of disasters.

c) PUMA Staffing PUMA is headed by an Assistant Chief Executive Officer (ACEO) and has an establishment comprising the Assistant CEO and 34 staff distributed as indicated in Table 9 below. As of the end of the TA (June 2003), PUMA had seven staff vacancies comprising:

All of the staff from Disaster Management since none at that time had transferred from the Office of the Prime Minister, and

Four vacancies in the newly established inspectorate for the Sustainable Development Section.

36 The other divisions within MNRE are Land Management, Technical Services, Environment and Conservation, Legal and Corporate Services



Figure 5. PUMA Corporate Structure April 2003

Note: Vacant positions are shown with broken border.

Most of the senior management of PUMA were transferred from other divisions in what was previously DLSE but is now MNRE. The staff have either been recruited as new graduates or have transferred from other parts of DLSE or other government agencies.

Chief Executive Officer PUMA

Principal Officer

Strategic Planning

Principal Officer Waste

Reduction

Principal Officer Ozone

Principal Officer POPs

Principal Officer

Climate Change

Principal Officer

Disaster Management

Principal Officer Urban

Management

Principal Officer Sustainable Development

Sen SP Officer

1

SP Planners

2

Projects

Regulatory Sen SD Officer

1

SD Planners

3

Inspection Sen

Inspector 1

Inspectors 2

Assistant 1

Sen Officer Urban Mgmt

UM Officers 5

UM Assistant 2

Sen DM Officer

DM Officers 2

Sen Officer

Officer Officer

d) Management and Staff Responsibilities PUMA is managed by a team headed by the Assistant Chief Executive Officer (ACEO) and comprises the Principal Planners heading each of the four PUMA sections. The team meets at least monthly (more frequently when needed) to monitor progress, plan activities and to address current opportunities and difficulties. There is close and frequent contact and consultation with the Chief Executive Officer (CEO) of MNRE and amongst other divisions in MNRE.

The roles and responsibility of the senior staff are summarized below with full details for all staff presented in Attachment 10 providing job descriptions for each position.

Assistant CEO. Primary Objective — To ensure, based on effective planning and quality management, that the outputs and associated targets for PUMA as well as any that will be set out and incorporated in the Ministry’s Corporate and Management Plans are achieved.

Principal Planner (Strategic Planning Section). Primary Objective — To manage and direct the efficient operation of the Strategic Planning and Policy Section within PUMA

Principal Planner (Sustainable Development Section). Primary Objective — To manage and direct the efficient operation of the Sustainable Development Section within PUMA



Principal Officer (Urban Services Section). Primary Objective — To manage and direct the efficient operation of the Urban Management Section within PUMA

Principal Officer (Disaster Management Section). Primary Objective — To manage and direct the efficient operation of the Disaster Management Section within PUMA

Principal Officers (Special Projects). Primary Objective — To manage and direct the efficient operation of Special Projects within PUMA

3. Requirements of the Planning and Urban Management Board The PUM Board will be established when the PUMA Bill passes through Parliament and the legislation becomes operational. Under the TA, the team discussed the requirements of the Board with MNRE, Finance and PUMA management and the results of these discussions were used to prepare the report on Board Requirements (see Attachment 11). The PUM Board will have a crucial role to play in the achievement of PUMA’s goal and mission and the way in which it is envisaged playing this role is outlined below.

a) Board Membership The TA team outlined the requirements of the proposed Planning and Urban Management Board (PUMB) which forms part of the Planning and Urban Management Agency (PUMA). PUMB will be a statutory board to be created under the Planning and Urban Management Bill37 when it is enacted. In consultation with the CEO of MNRE, it was recommended that the five government representatives of PUMB would comprise:

The CEO of the Ministry of Natural Resources and Environment representing MNRE The CEO of the Ministry of Finance The CEO of the Department of Women, Community and Social Development The Director of Police The CEO of the Ministry of Health

The community representatives of PUMB will be appointed by the Minister but are expected to include representatives of:

The Chamber of Commerce representing business interests The churches Rural communities Urban communities

The functions of PUMB and its powers are clearly set out in the PUMA Bill and are summarized in Attachment 11.

b) Modus Operandi for PUMB/PUMA It is envisaged that the PUMB will operate in a manner similar to the Land Board.38 The key features of the operation of PUMB are envisaged as follows:

37 This bill will establish a Planning and Urban Management Agency to implement a framework for planning the use, development, management and protection of land in Samoa in the present and long-term interests of all Samoans and for related purposes. 38 The Land Board is a statutory board established under the Lands, Surveys and Environment Act 1989 to deal with the management of government lands. MNRE’s Division of Land Management serves as the Secretariat to the Land Board.



PUMA will act as the secretariat to PUMB with the CEO of MNRE acting as Deputy Chairman of the PUMB and the Assistant CEO of PUMA acting as the PUMB secretary;

PUMB will delegate its powers to PUMA for most of its activities only becoming involved in reaching decisions in difficult or contentious matters;39

PUMA will be required to develop policies, guidelines, standards and plans in order to put into effect the provisions of the PUMA Bill. These policies, guidelines, standards and plans will all require the approval of PUMB before they can be applied;

In order to provide PUMB with the information and analysis needed to reach a decision on contentious or difficult matters, PUMA will need to document the full details of its investigations along with its recommendations (and those of the designated referral authorities) to the Board on the matter under consideration;

PUMB will provide an oversight and support to the functioning of PUMA in its efforts to ensure that PUMA has the necessary processes in place to be able to ensure good governance in the exercise of its functions;

PUMB will report to Parliament on its operations annually as part of PUMA’s Annual Report to Parliament and PUMB will certify, as part of this section of the Annual Report of PUMA, that at that time that it has ensured that PUMA and PUMB have acted in accordance with the PUMA Bill.

c) Support for PUMB/PUMA Processes In order to implement the PUMA Bill, there will need to be a large number of operational processes and policies developed by PUMA and by the Board itself. These policies and processes are detailed in Attachment 11 and summarized below.

Policies will be developed and submitted for approval of the board in the following areas:

PUMB Governance. The Board will need to develop a range of policies to ensure that it can be operated effectively and efficiently while demonstrating all the elements of good governance.

PUMA Operation Policies. PUMA will need to develop Operational Policies to substantiate its approach to all aspects of planning and urban management. These policies will be numerous and continually expanding in number and possibly in scope. PUMA will need to document these policies, keep them in a form that is accessible to the public and ensure that there is consistency at all times amongst these policies and other over-arching policies such as the Statement of Development Strategies.

Planning Policies, Guidelines, Standards, Codes and Regulations. PUMA will need to progressively develop a large number of Planning Policies, Guidelines, Standards, Codes and Regulations.

d) Proposed Arrangements to Meet PUMB’s Requirements The requirements of PUMB outlined above will be treated as high priority by PUMA and implemented as quickly as possible. The Business Plan for 2003/4 specifies those requirements which are to be met during 2003/4. Specifically, these include but may not be limited to the following:

39 These are defined in Attachment 11.



PUMA will provide PUMB with a secretariat.40

PUMA will develop the necessary regulations, policies, guidelines, standards and codes needed to support the PUMA Act.

When the PUM Board is appointed it is envisaged that PUMA will need to provide the Board members with substantial support so that they are able to understand the new planning system and to function effectively within that system.

Status of Output: The PUMA Operating (Business) Plan and Action Plans for each Section of PUMA were completed with staff and management in May-June, 2003 and endorsed by the PUMA Steering Committee, May 30, 2003. PUMA staff responsibilities were agreed with ACEO PUMA June 2003. PUM Board requirements were discussed and agreed with CEO MNRE June 2003.

E. Output 4: PUMA Community Education and Awareness Purpose of Output: To provide a strategy to guide community education awareness activities in PUMA as

a whole and in each Section of PUMA To conduct ‘hands on’ public awareness and education activities with PUMA staff

1. Objectives and Achievements

a) Objectives The two main objectives for the community and education component of the TA were: (i) to undertake ‘hands on’ training and work with PUMA staff in the development of awareness tools and media in regard to the establishment of PUMA and implications in the community; and (ii) in Phase 2 and 3, to undertake the development of a formal public education and awareness programme (PEAP) for PUMA which can be taken forward after the completion of the TA.

b) Achievements In terms of the ‘hands on’ work under the TA to promote awareness of PUMA, the focus has been on working side-by-side with counterparts to undertake the following: news articles and press releases to the Samoan Observer, Televise Samoa and

radio;

promotion of PUMA displays at special event days such as the PUMA exhibition at the Environment Week display in November, 2002;

PUMA logo search competition – and selection of a winner;41

40 The functions of the secretariat are detailed in Attachment 11 41 See winning logo on front cover of this Final TA report.



development and printing of the PUMA brochure in Samoan and English (includes the new PUMA logo);

preparation of a template for a PUMA newsletter for distribution to stakeholders;

development of an internal press release form; and

development of a PEAP tracking system as part of the concurrent design of the

Planning and Management Information System under the TA.

(Examples of the above are contained in the rear cover of this Final TA Report).

c) PEAP Development and Implementation The major challenges associated with development of the strategy for the PUMA were: Staff turnover including absence for overseas study;

Fragmentation of existing awareness programs in PUMA due primarily to the donor- funded special projects in PUMA implementing their own programs. Externally funded projects in PUMA generally have established awareness programs that promote awareness of their own project in contrast to promoting awareness on both the project and broader PUMA objectives;

Institutional arrangements within PUMA. The responsibility for the development and implementation of community education and awareness in PUMA is shared across individual PUMA sections, externally funded special projects and PUMA management. The preparation of the PUMA PEAP, the PUMA Business Plan and PUMA Section Action Plans have gone a substantial way towards integrating functional activities for community education and awareness in PUMA. Given there is no specific designated community education section or officer in PUMA, PUMA management will need to assume responsibility for coordination of the PEAP across projects to ensure consistent implementation.

Institutional arrangements within MNRE. The institutional arrangement for community education and awareness in MNRE is that the Corporate Services Division (specifically, the Capacity Building Section) has responsibility for coordinating the design and implementation of all awareness programs in MNRE including those for PUMA.42 Thus, all community education and awareness activities proposed from PUMA including implementation of the PEAP need to be coordinated via the Corporate Services Division. The role of the Corporate Services Division is to: (i) ensure that the community education and awareness activities of PUMA (and other Divisions of MNRE) are in accordance with the overall MNRE community education and awareness framework; and to (ii) assist in implementation by providing technical and human resources such as in the production of TV adverts and videos. The day-to-day implication of the above is that there needs to be strong coordination and monitoring between PUMA and the Corporate Services Division as the lead Division in MNRE responsible for overall coordination and implementation of MNRE including PUMA community education activities.

The PEAP to be implemented by PUMA in consultation with Corporate Services and MNRE is contained in Attachment 12. It sets out the objectives, section strategies and activities and identifies the preferred media to deliver activities to target groups. The

42 Confirmed during the MNRE Corporate Plan review process, March-April, 2003.



PEAP has been designed to allow full coordination with the Corporate Services Division along with strengthened coordination between PUMA Sections and projects to ensure that awareness material is fully supportive of the overall PUMA goals and objectives.

Status of Output: An extensive range of ‘hands on’ community education and awareness material was produced under the TA (examples attached to rear of Final TA Report). The PUMA Public Education and Awareness Program was approved by the PUMA Steering Committee June 13, 2003. (see Attachment 12 for PUMA Public Education and Awareness Program).

F. Output 5: PUMA Planning and Information Management System

Purpose of Output: To design a planning and information management system for PUMA

1. Data Needs of PUMA Based on PUMA’s functional responsibilities and the organization of PUMA into four sections plus external projects, PUMA is responsible for the production of a range of regulations, policies, guidelines, and management plans. This includes development assessment and environmental monitoring. Many of the documents that PUMA will deal with are spatial documents, that is, documents that are associated with a geographic feature or boundary. As part of the development assessment process, PUMA will need to examine the interaction between these document objects. For example, PUMA will need to know whether a particular development application or proposal falls within a hazard zone such as coastal slip or flood prone areas. To produce these documents, PUMA will need to secure a wide range of data from various Government agencies. This will require agreements with agencies to ensure the periodic supply of up-to-date planning data. The bulk of the GIS data will come from MNRE. As part of the TA, organizations were contacted to ascertain what data they had, whether it may be useful to PUMA and its format. In addition to MNRE, organizations included SWA, EPC, MESC, SamoaTel and Finance. What emerged was that the most significant dataset not yet available is the digitization of land parcel boundaries. This dataset is required not only by PUMA, but also by the utility and public works agencies to accurately identify property boundaries.43 During the assessment of user needs, it became evident that there is a need to rationalize the supply of planning data as some agencies are reluctant to part with it and/or put a relatively high price on its supply. National planning in Samoa could be hindered if planning data is not readily available at a reasonable cost. Obtaining data from other Divisions in MNRE such as Technical Services has been made easier by the establishment of a high-speed network link between the buildings that MNRE occupies. 2. Computer Applications Needed by PUMA To perform its functional requirements, PUMA will need a range of computer applications such as databases to store and retrieve documents. Key databases identified under the

43 MNRE advises that the digitizing of cadastral boundaries is planned as part of the World Bank IAMP Phase 2, 2003.



TA include: (i) a Document Management System to manage the production of plans, policies and the approval of development and planning applications; (ii) a Spatial Document Index which looks for interaction between document objects; (iii) a Complaints Management System; and (iv) a Geographic Information System (GIS) to produce maps and plots for inclusion in reports and plans. Under the TA, a computer network was designed for PUMA to allow controlled access to shared data and documents by PUMA staff. These requirements have been included in the proposed Planning and Information Management System as shown in Figure 6. 3. Implementation Arrangements Given the document handling processes and procedures including format and content is not yet detailed, it is recommended that manual paper-based systems be developed first while PUMA users’ requirements are refined during the development of the extensive regulations required to support the PUM Bill 2003. These manual systems will be comparatively easy to amend and will save on software development time and costs. When the requirements have been developed to the point where they reflect day-to-day operations in PUMA without major changes being required, computerization of the manual paper-based systems can proceed. Implementation of the proposed PUMA Planning and Information Management System is has been designed in three phases and is indicated in Figure 7. The phased approach will allow PUMA to develop its paper requirements and manual systems while budget funding is secured for development of the computer-based systems proposed for Phase 3 in Figure 7.

The proposed implementation Phases are as follows: Phase 1 - Check/fix the electrical wiring in the PUMA office, install the computer

network and fileserver, and develop book and paper based systems Phase 2 - install network services and GIS enhancements (could be incorporated into,

Phase 1 if funding is sufficient) Phase 3 - Develop the computer-based systems including software development.

Status of Output: The design and implementation aspects of the proposed Planning and Information Management System were agreed by the PUMA Steering Committee June 13, 2003. (see Attachment 13 for report on the Planning and Information Management System).



Figure 6 – Planning and Information Management System Outline

UDI

Document Trackers

Spatial Document Index

Document Initiation/Query

Progress Reports

Coincidence Reports

Document Registers

Geographic Information System

Map/Boundary Plots

Document Data

Internet

Register Reports

Map & Plot Tasks

Tracking Data

GISLayer Data

Documents

UDI

UDI

UDI

UDI

UDI

Complaints Register

Complaints Reports

Complaints

Complaints Tracker

Progress Reports

Strategic Planning

Sustainable Development

Urban Management

Disaster Management

Projects

External Data Providers (including MNRE)

PUMA

Complaints Management

System

UDI

Major Application

Component Application

Database

LEGEND

ComplaintsData

Complaints Tracking

Data

UDI

UDIUDI Unique Document

Planning Image Data

Process Management

Systems

Planning Image Library



Figure 7 – The Planning and Information Management System - Implementation Plan

ID Task Name2003

Jul Nov

4 Install the computer network & fileserver

9 Install the network services and GIS enhancements

5Develop processess, registers and trackers (format &content)

7Build, use & modify Registers, Process ManagementSystems & Complaints Management System (manualsystems)

6 Make data supply arrangements with Data Providers

11

Sep

Develop Registers, Process Management Systems,Spatial Document Index & Complaints ManagementSystem (computer systems)

OctAugDuration

3w

3w

6w

6w

4w

18w

Responsibility

PUMA, LocalContractor

PUMA

PUMA

PUMA

PUMA

PUMA,TechnicalAssistance

Eqpt & S/WCosts USD

9,600

10,600

68,500

1 10wPhase 1

10 18wPhase 3

2PUMA, LocalContractor

3wCheck & fix PUMA building electrical wiring

3 PUMA3wDetermine PUMA Users, Folder structure &Permissions

8 3wPhase 2



V. Section 5: Achievement of TA Purposes

A. Purposes of the TA As set out in the TOR for the TA and indicated in Figure 1, the TA had three purposes:

1. Expanded capacity of PUMA and key stakeholders44

2. Improved urban infrastructure working with the private sector

3. New planning and policy framework for housing, land, infrastructure and urban expansion

B. Achievements of Purposes

1. Purpose 1 - Capacity Building

a) How can capacity be assessed? The TA team viewed capacity as a two-dimensional attribute with the first dimension being technical know-how (or perhaps better capability) and the second being resources available including human, financial institutional and support resources including vehicles and equipment. The assessment of capacity needs to consider both these dimensions.

b) Capacity Requirements In seeking to build PUMA’s capacity, an early question for the TA team was to decide what capacity PUMA needed to acquire. The answer to this question was provided by three considerations: (i) the PUMA Bill which sets out clearly the capabilities that PUMA will need to acquire if it is to achieve its objectives; (ii) PUMA’s Implementation Priorities and mission statement which have been endorsed by the CEO of MNRE; and (iii) the scope for out-sourcing some of the functions to other government agencies and to the private sector.

The requirements of the PUMA Bill are comprehensive particularly in that: (i) the Bill defines ‘development’ to include a very wide range of activities 45, and (ii) that it requires PUMA to examine all development applications prior to giving consent.46 In theory, the Bill means that PUMA could be faced with an extensive workload examining all forms of development. In practice, PUMA intends to operate pragmatically and, in the short term, to focus on potentially high impact forms of development. Nonetheless, the PUMA Bill sets a high capacity requirement on PUMA and the PUM Board. The Bill also sets obligations on the public that they will need to meet if they want to undertake any form of development.

PUMA’s mission statement has been developed by PUMA staff and management and sets the scope for PUMA’s capacity to include: (i) planning; (ii) regulation and environmental protection; (iii) delivery of urban and rural services provided by PUMA; and (iv) disaster management. This scope is already mandated by the obligations that MNRE has accepted under its Corporate Plan and matches the budget outputs it is committed to generating.

44 Capacity building in PUMA related to building capacity within the context of the TA outputs to be achieved, noting this assessment includes all functions in PUMA. 45 “Development” includes the use of land (including for a temporary purpose), the erection of a building or other structure, the carrying out of a work, subdivision, and any other activity regulated under the Act. 46 Part V of the Bill indicates inter alia ‘Development needing consent – All development needs consent unless a sustainable management plan or regulations provide otherwise.



There is some scope to out-source some of PUMA’s functions but it is limited. In relation to environmental monitoring, PUMA will tend to rely on MNRE and others to provide baseline data. Similarly, most of the data that PUMA will need will be obtained from other agencies. Similarly, PUMA will generally review environmental assessments carried out by others (including the private sector) rather than attempting to conduct the full assessments themselves. As a regulator using outcome-based performance criteria, PUMA will avoid provision of prescriptive advice and instead limit its inputs to assessment of likely performance of developers.

Given these considerations, PUMA has made a pragmatic decision about the level of capacity it seeks to achieve and this is implicit in its Goal and its Business Plan. The Goal indicates that it seeks to establish itself as a ‘fully functional’ planning, regulatory, service coordinating and disaster management agency in the three years to June 2006. Fully functional is understood to mean that it is able to generate the list of outputs provided in its Business Plan as and when they become due.

c) Timeframe for capacity building As indicated above, PUMA has set a period of three years as its target to achieve its goal of full functionality with functionality defined in terms of the outputs it has committed to produce. For those who might argue that three years is too long to wait, it needs to be recognized that PUMA only came into existence in 2002 and that it will have to take a pioneering role for most of its activities.

Under a ‘learning by doing’ approach, the rate at which PUMA reaches a fully functional capacity will depend both the opportunity it has to develop the capability and the resources provided to carry out the tasks. For some functions both the opportunities and the resources are likely to be readily available and capacity will be developed in the short term. For others, such as disaster management 47, capacity will only be fully developed after PUMA has recruited appropriately trained personnel and existing disaster management programs including readiness, disaster response and risk reduction, are reviewed.

d) Achievements under the TA Capacity building has been kept at the forefront in achievement of all TA outputs and their activities. It has formed an important part of the ‘modus operandi’ for the consultants, PUMA and the TA team approach. The results of these capacity building efforts are evident both in the TA’s formal outputs as reported above (See Section IV) and also in other ways as reported in Table 10 below. This capacity building has been achieved in many ways including: (i) insistence that all consultants work with and through counterparts; (ii) all consultants worked out of the PUMA offices so that counterparts were able to understand and participate in every activity despite often difficult working conditions; (iii) all information was shared with counterparts and all decisions reached by consensus; (iv) counterparts were encouraged to take leading roles in presentation of TA findings as part of their own personal and professional development; (v) staff were invited to participate in workshops throughout the TA where, amongst other things, the consultants provided training in the use of a range of techniques and procedures; (vi) consultants provided counterparts with access to their own networks of contacts, books, reference material and examples of best practice where-ever appropriate; and (vii) the consultants maintained an ‘open door’

47 Note: The disaster management function was added to PUMA’s three core functions after the commencement of the TA



policy so that they were at all times accessible to PUMA staff to discuss any job-related matter.

Table 10 Indicators of capacity building in PUMA under the TA Attribute Indicator of Success Management and staff performance

Management and staff are confident and enthusiastic about PUMA and their own roles

Staff have participated in, and feel ownership for, the TA outputs

Staff have strong sense of direction for PUMA and increasingly understand PUMA functions

Staff have become familiar with best practice in those areas to which they have been exposed during the TA

PUMA’s linkages with other agencies

PUMA has good collaborative relationships with Finance, MoW, SWA, SamoaTel and EPC amongst others

Community awareness Private sector has been kept aware of PUMA role and direction

Churches, NGOs, community groups and the public at large have been kept informed of PUMA activities

PUMA support facilities PUMA has made good use of the computer, office equipment and rental vehicle provided under the TA

Government, through PUMA and MNRE endorsed the approach of the consultants and responded extremely well to the capacity building opportunities offered under the TA in achieving the required outputs. Implementation has benefited significantly by the provision of counterparts at all levels and by their keenness to resolve issues and concerns as part of a ‘team’. In this context, the consultants approach to facilitating the TA objectives and outputs by placing strong emphasis on counterpart development and building of capacity in PUMA specifically and MNRE generally has been applauded and recognized by Government at a variety of levels. The rationale for promoting such an approach is that the development of these human resources are fundamental to sustaining the TA whilst playing a key role to support the future growth of Samoa. All the TA team members carried out capacity building activities and each helped assess the current capacity and provide opportunities for PUMA staff to improve their capacity.

e) Current Capacity of PUMA The team has prepared an assessment of the current capacity of PUMA for all its functions as indicated in Table 11 below. The assessment is based on the following

• deciding what services and functions PUMA will provide. These are detailed in the PUMA Business Plan and PUMA Section Action Plans.

• assessing whether and to what extent PUMA is capable of providing these services and functions based on: a) client satisfaction such as from key stakeholders such as MNRE, Finance, PWD and community groups: b) competency of staff members – as noted, staff are academically strong but lack experience owing to their youth and limited opportunities: c) the methodologies and tools that PUMA is using are appropriate for PUMA’s stage of growth (these are assessed throughout this TA report): d) the management arrangements for PMA are adequate and appropriate with sufficient budget allocated to produce the outputs specified in the PUMA Business Plan, and e) the physical infrastructure supporting PUMA is adequate to deliver the functions, noting offices are crowded, poorly air-conditioned and equipment available is generally adequate apart from shortages of vehicles for transport.




The assessment ranks the current capacity for all attributes required by PUMA to be fully functional as either low, medium or high in relation to full functionality. Attributes that have been targeted for capacity building via the outputs produced under the TA, are noted in Table 11. It needs to be stressed that at this early stage of PUMA’s existence that it would be unreasonable to expect that its capacity would be any higher than Low except for those activities that might have been carrying out previously in DLSE, have been specifically strengthened under the TA or are the subject of other external assistance. Hence, not surprisingly, PUMA’s current capacity in relation to full functionality is generally ranked as Low. However, PUMA is well placed to continue with its capacity building and to achieve its goal of becoming fully functional within three years. Part of the PUMA approach to achieve this is a deliberate strategy to involve external agencies such as ADB, JICA, World Bank, UNDP etc. where the support being offered complements the priority output that PUMA and MNRE seeks to achieve.

Table 11 indicates that the three main causes of PUMA’s current low capacity in relation to full functionality are: (i) the very large workload associated with a new agency faced with the high expectations of the stakeholders and the obligations under the PUMA Bill; (ii) the fact that most of its staff are well-trained academically but have had minimal work experience; and (iii) the competition for scarce budget and other resources which means that PUMA has crowded offices, very limited access to equipment and vehicles, poor telephone services and limited internal support services. The current low capacity of PUMA is not at all unexpected. Capacity building is an incremental process. Capacity cannot be improved until resources are provided but budget resources will always be limited until a new organization has demonstrated that it can deliver the outputs expected. The situation in Samoa is exacerbated by the public sector wide budget constraints and hence PUMA's budget, while adequate for the outputs required, still constrains its rate of capacity building.

f) A summary of Achievement of Purpose 1 In summary, the TA has achieved considerable building of capacity in PUMA in the context of the outputs realized. A deliberate strategy was employed by the consultants and TA team to develop counterpart capacity and Government has both supported and applauded this approach. The TA has played a strong role in taking Samoa from a situation where there was minimal capacity at the start of the TA to the situation where PUMA has is now functioning and has already demonstrated its capacity in several practical ways. As a result, PUMA has now taken major steps to develop both its operating environment and enabling environments via new legislation, Business and Section Action Plans, formulation of Implementation Priorities, and regulatory measures such as housing guidelines. PUMA is well placed to make further achievements and is on-track to achieve its stated goal of reaching full functionality over the next three years. Priority areas for training and capacity building for 2003-2004 are given in Table 12.


Table 11 Assessment of Current Capacity in PUMA Institutional level Attributes needed for PUMA to be fully

functional 48Assessment of current capability in PUMA 49

Comment 50

Low Medium High1. PUMA (as institutional entity)

Legislative framework √ Drafted. Expected to be passed September, 2003 √

Administrative processes and procedures √ Embryonic stage. Most still to be developed/detailed

Budget, corporate and organizational support √ In place first time 2003/4 √

PUMA Board √ Not yet appointed. Functions, membership and roles identified √

Political support/leadership √ Strong support

2. PUMA management Operating/Business Plan, Monitoring arrangements √ Approved May, 2003. To be implemented and monitored 2003-2004 √

Leadership √ Strong, visionary with political backing √

Management team √ Keen, committed, qualified but not experienced. √

Communication √ Community awareness program approved. Resources including skilled

staff available. New and challenging activity √

Planning and information management system - GIS

√ Designed. Basic GIS exists. Planning and Information Management

system to be implemented √

3. Strategic Planning (the Strategic Planning Section in PUMA)

Effective strategic planning section or expertise with adequate, skilled and experienced staff with budget and technical support

√ Small staff numbers with high workload. Well qualified. Minimal experience in the range of skills to deliver strategic planning functions.

Capability primarily constrained by workload √ Appropriate strategies, policies, regulations to

underpin strategic planning

√ Major work to be completed on policies to underpin agreed environmental outcomes. Extensive regulations required under PUM Bill 2003. High

workload. Minimal experience √ Formulate sustainable management plans √ Major work to be dome on completing sustainable management plans

(SMP) - urban, rural and coastal. High workload. Minimal experience in preparing SMP’s. Experience in preparing coastal infrastructure

management (CIM) plans √

48 See definition of fully functional in Section 4: Output 3 – PUMA Business Plan and PUMA Section Action Plans. 50 A tick (√) in the Comments column indicates where capacity building was targeted under the TA via the TA outputs to be achieved.



Institutional level Attributes needed for PUMA to be fully

functional Assessment of current capability in PUMA

Comment

Low Medium High Planning measures such as guidelines, standards

and codes √ Formulation of guidelines, etc, still in infancy. High workload. Minimal

experience √ Coordination of urban services √ Process still to be formalized and institutionalized after passage of PUM

Bill 2003. Limited experience in coordinating urban service providers √ Availability of GIS and planning information √ Planning information system designed but to be implemented. One GIS

staff √ Community education and awareness

√ Good awareness and community education experience. Tasks have to

compete with other higher order priorities √ 4. Regulation – development assessment and environmental protection ( the Sustainable Development Section in PUMA)

Effective regulatory section or expertise in place with adequate, skilled and experienced staff with budget and technical support

√ Small staff numbers with high workload. Well qualified. Minimal experience in the range of skills – assessment, monitoring, appeals and enforcement - to deliver effective regulatory environment. Capability primarily constrained by high workload.

Appropriate strategies, policies, regulations to underpin regulatory functions

√ Major work to be completed on extensive regulations required under PUM

Bill 2003. High workload. Minimal experience √

Development assessment of planning applications including EIA where required

√ EIA functions and associated experience carried over from DLSE. However, minimal experience in overall development assessment process and procedures, development referrals, refusals, consents, legal

agreements, mediation, planning appeals, etc, √ Monitoring and enforcement √ Some monitoring and enforcement experience carried over from DLSE.

However, insufficient to meet increased functional requirements of new PUM Bill.

Multi lateral agreements and target environmental agreements √ Good experience in PUMA special projects. Regulatory implications of

MEA’s - regulation development and processes - need to be mainstreamed into daily functions of Sustainable Development.

Community education and awareness √ Good awareness experience. Tasks have to compete with other higher

priorities √ 5. Coordinated provision of PUMA urban - rural services ( PUMA Services Section)

Manage existing contracts and identify opportunities to improve efficiency of contracts

√ Good contract management experience carried over from DLSE. Town park improvements constrained by budget.

Provide specific urban and rural services such as landfill management

√ Landfill management capacity being developed with external support of JICA Landfill monitoring limited.

Opportunities for more efficient urban services including landfill and market

√ Good management approach, open to examining opportunities for private sector involvement.

Community education and awareness √ Good awareness and community education experience. Domestic waste issues strongly promoted via section.


3860 - Samoa: Implementation of the Urban Planning and Management Strategy cal Assistance Final Report

rtual Consulting Group 45

Institutional level Attributes needed for PUMA to be fully

functional Assessment of current capability in PUMA

Comment

Low Medium High6. Provision for disaster management services (Disaster Management Section)

Integration of existing capabilities of disaster management into PUMA to achieve complementarity and mutual support

√ Unknown at this stage as disaster management unit yet to be relocated from office of Prime Minister

Review existing disaster management plan and identify opportunities

√ PUMA management keen to integrate at all phases, including roles in strategic planning and development assessment

Develop & implement Plans for National Preparedness

√ Unknown at this stage.

Provide secretariat for National Disaster Council √ Unknown at this stage. Capable PUMA management team.

Emergency response capability √ Unknown at this stage.

Community education √ PUMA/MNRE has good resource base.

TA No.Techni

The Vi


Table 12 Recommended Priority Training Areas, 2003-2004

PUMA or PUMA Section

Recommended Priority Training Area 2003-2004

1. PUMA Management

understanding in Government of PUM Bill, 2003 - powers, functions, responsibilities

training for PUMA Board - powers, functions, responsibilities PUMA performance monitoring and team management community awareness seminars on new PUM Bill, 2003 for

private sector establishing administrative procedures and processes both

internal and external including information management 2. Strategic Planning Section

establishing plan making processes and tracking systems

setting plan and policy format and structure including preparing integrated plans (e.g. ‘learn by doing’ CIM Plans, wastewater management plans), options such as statutory and non statutory format

preparation of local ‘Best Practice’ manuals to supplement guidelines, standards and local implementation

regulation setting and development guideline and code development – Apia CBA urban design,

car parking code, Information system development e.g. spatial document layers

and index how to make policy (content, objectives and language) 3. Sustainable Development Section

establishing development assessment processes and tracking systems including referrals, subdivision, EIA

how to make a development application, rights, responsibilities include Planning Appeal mechanisms

setting plan and policy format and structure including preparing integrated plans (e.g. CIM Plans), plan options such as statutory and non statutory format

preparation of local ‘Best Practice’ manuals to supplement regulatory guidelines and standards

regulation setting including revised EIA guidelines how to resolve planning issues – mediation and conflict

resolution development of conditions of consent

preparation of town park management plans including Apia CBA and Salelologa analyzing waste recycling options

4. Urban Services Section

Apia CBA waste collection service – undertaking feasibility natural hazard mitigation (short term) e.g. land slides 5. Disaster

Management Section assessing disaster plan effectiveness and readiness



2. Purpose 2 - Improved Urban Infrastructure

a) The starting point The achievement of improved urban infrastructure has been facilitated under the TA by the key agencies working in a spirit of cooperation to achieve better urban outcomes. Prior to the TA, there was no coordinating body with the mandate to take a lead role and consequently there was little sense of overall direction for setting priorities in urban (and rural) infrastructure and no key agency to ensure that the major urban needs and concerns were responded to and followed through.

b) Improvements in drainage and sanitation The preparation of concept plans for drainage and sanitation by PUMA, which has now been subsequently developed into a project with the Government requesting ADB loan finance, is a tangible result of the TA. A major outcome of the TA has been the commitment PUMA has made to take a coordinating role in planning for the provision of urban infrastructure to meet pressing flood and sanitation concerns in Apia. As a result, other stakeholders are now more confident that PUMA can deliver in its planning and coordination role for improving major infrastructure where commitment and supports exists elsewhere in Government and the community.

c) Other improvements In addition to facilitating the proposed ADB loan project for the Apia Drainage and Sanitation Project, the TA has also provided the foundation for the provision of other improved urban infrastructure and services in the future. Using PUMA as the coordinating agency, the Government and the people of Samoa now have at their disposal, various tools and mechanisms to assist them to achieve better infrastructure outcomes. Key stakeholders have now agreed to the PUMA Implementation Priorities and many priority outputs have already been supported by budgetary inputs and translated in practical activities for the 2003/4 period.

An Apia Physical Framework Plan has been prepared to indicate directions for urban growth and implications for service provision amongst other matters. Guidelines have been prepared for the siting and location of housing, one objective of which is the more efficient provision of infrastructure and services during the development assessment process. Further, the new PUM Bill 2003 places a legal requirement on PUMA to refer major development proposals to referral agencies - agencies such as MoW, SWA, SamoaTel and EPC - to ensure that (i) individual projects complement service capacities of key agencies so as not to place any unnecessary burden on public funding; and that (ii) infrastructure is provided in an efficient and timely manner. In terms of governance, the establishment of the PUMA Board provides a major mechanism to ensure priority infrastructure needs and concerns of Government, community and the private sector are collectively addressed. Continued commitment to the above including support for PUMA in its role as a planning coordinator and facilitator, will result in better urban (and rural) infrastructure and services over the coming years.

3. Purpose 3 - Planning and Policy Framework

a) The starting point The TA has delivered the provision of a Planning and Policy Framework that has allowed PUMA to now reach a strategic decision on its direction and core priorities.

At the beginning of the TA, noting that it commenced just after the physical establishment of PUMA in its new offices, one of the challenges for PUMA as the newly designated planning and urban management agency for Samoa was to clarify the range of issues



and concerns of stakeholders on one hand and the polices and development trends that needed to be addressed on the other. In this initial establishment phase, it was accepted that PUMA needed to clarify and order the many issues and concerns that had led to its establishment. The formulation of a Planning and Policy Framework, as a specific output of the TA, provided the means to consider all the issues and concerns for land, housing, infrastructure and urban expansion in a systematic fashion so that PUMA and its stakeholders were able to make sound strategic decisions.

b) A sense of direction The TA has helped provide PUMA and Samoa with a sense of direction in planning and urban management. This is particularly evident in the Implementation Priorities that focus on selected infrastructure improvements including drainage and sanitation improvements in Apia and Salelologa township on Savaii. The development of the Planning and Policy Framework is reflected in a number of documents including the overarching Planning and Policy Framework report which addresses under one umbrella document: (i) Apia’s issues and needs including demand for urban land and housing; (ii) key values and environmental outcomes which need to be achieved, protected and enhanced under the Apia Physical Framework Plan; (iii) urban expansion needs and issues for the next 10 years; (iv) the policies which must be developed as priorities by PUMA; and (v) the range of measures such as codes, standards and guidelines needed to achieve the environmental and development outcomes embodied in the agreed framework.

c) Tools to deliver desired outcomes The completion of the draft Planning and Development Guidelines for Housing, for example, represents the development of one of the means to achieve the outcomes sought for better housing identified under the framework. Likewise, the identification of priorities and their inclusion in the PUMA Business Plan and PUMA Section Action Plans reflects another part of the framework that has now been institutionalized and detailed in the Samoan context.

The major challenge now for PUMA is to take the agreed Planning and Policy Framework and to continue to develop and embed it into both the development process and within PUMA itself. This can only be achieved by PUMA working with its stakeholders to develop appropriate measures for land, housing, infrastructure and urban expansion in an incremental fashion and in line with capacity and agreed priorities.



VI. Section 6: Achievement of TA Objectives and Goal

A. Achievement of Objectives The four objectives of the TA project were: (i) improved urban infrastructure and services; (ii) improved physical environment; (iii) institutional development and strengthening of PUMA; and (iv) increased private sector participation. Achievements in relation to each objective are summarized below.

1. Improved urban infrastructure and services The most direct contribution of the TA in this regard has been the formulation of the Concept Plans for Drainage and Sanitation in Apia. These plans have provided the basis for subsequent formulation of a drainage and sanitation project proposed to be funded by ADB at the request of Government. A related improvement has been the agreement that PUMA will take a facilitating role in ensuring that urban development is coordinated. Aside from Apia, the first tangible evidence of that role is now emerging as PUMA begins work on planning for a new township at Salelolga on Savaii.

PUMA is also ensuring better services in Apia and in rural areas through its coordination of selected urban services. It is successfully managing a range of contractors collecting solid waste throughout Apia and rural areas, much to the appreciation of residents. Similarly, it is managing the maintenance of public parks in Apia, public toilets and cemeteries. It is managing the main market in Apia and Salelologa as well as landfill activities serving Apia.

PUMA is positioning itself to help coordinate provision of urban services by other service providers through its activities including its Planning and Information Management System and its overall Planning and Policy Framework.

2. Improved physical environment Apart from its efforts to deal with solid waste management, it is too early to claim that PUMA has improved the physical environment of Samoa. It has put in place mechanisms that will undoubtedly lead to improvements in the future but, given the lead times needed for infrastructure projects, it will be several years before the physical improvements can be noted. It is envisaged that one of the earliest improvements will be associated with the proposed drainage and sanitation project with the impact felt in improved water quality in Apia’s waterways and adjoining marine areas. Another early improvement is likely to be evident in improved amenity in housing areas as new development conforms with the Housing Guidelines that have been developed under the TA. With integrated planning and better coordination, an improved physical as well as social and economic environment will result.

3. Institutional development and strengthening of PUMA The capacity building under the TA has been significant, as documented in Section V and as implied throughout the final TA report generally. At the time the TA started, PUMA had only just been established, with staff being recruited and a government-owned house at Vaiala Beach made available to serve as its office. Very few Samoans had ever heard of PUMA and even fewer knew what it was attempting to achieve. By the time the TA ended, things had changed substantially. PUMA was almost fully staffed and had developed a Business Plan that was endorsed by Government and supported with a significant budget of $1.01 million Tala. Each of the Sections in PUMA had developed detailed Action Plans setting out their work for the next 12 months and beyond. The predominantly young staff are academically well qualified and, although they lack work experience, they are enthusiastic and committed to making PUMA a success. The



agency has developed the basic tools needed to start to function as a planning agency and is ready to begin applying those tools. The legislation that will underpin the new planning system has been fully developed and is expected to be passed by Parliament in the December session of Parliament. For the first time PUMA has been able to show how a planning and policy framework can be used to give a sense of direction for planning and development by simultaneously considering and integrating the sometimes diverse needs of the community, the environment, developers and the Government. The public is becoming aware that PUMA exists. The PUMA acronym is becoming increasingly known and people are coming to understand what it is trying to achieve on their behalf. In short, PUMA has come a long way in its first year of existence.

4. Increased private sector participation The TA project has helped create an environment that has encouraged private sector participation in urban development. This has been most evident in efforts to keep the private sector informed about the operations of PUMA and to seek its views on urban needs. The Chamber of Commerce and Industry has been viewed as a key representative of the private sector and PUMA and the TA team have met with the Chamber regularly to keep members briefed on the TA and PUMA activities. The private sector have been made aware of the upcoming opportunity for representatives of the private sector to join the PUM Board and it has been recommended that one of the representatives should be drawn from the Chamber of Commerce and Industry.

Since there has not yet been any detailed design work or urban construction there have been no direct opportunities for the private sector to participate commercially. Nonetheless, PUMA has signaled its intention to make full use of the private sector where appropriate as indicated by its out-sourcing of contract work for solid waste collection, maintenance of public parks, cleaning of public toilets and maintenance of cemeteries. Likewise, the proposed Apia Drainage and Sanitation Project will make major opportunities available to the public sector as contracts are let for detailed design.

PUMA is making a major effort to educate the wider community and to keep the community well-informed. This is evident in the comprehensive Public Education and Awareness Programme that it has developed and which is scheduled to be rolled out over the next 12 months.

B. Achievement of TA Goal The goal for the TA was ‘to help improve the economic, social and physical environment of Apia and Samoa’. It is too early to expect to be able to attribute any changes in slow moving measures of this type to the TA project. Nonetheless, as reflected in this final TA report, there are good indications that substantial progress towards achievement of this goal has and is being made. The main factors impacting on the achievement of the TA goal are indicated in Table 13 below.

Project management during the TA was another factor impacting on the achievement of the TA goal. In general, the impact of project management on achievement of the goal was positive with Government acknowledging that consultant inputs were all delivered as planned and were of high quality. Government also recognized the manner in which the consultants have built capacity at the ‘grass roots’ counterpart level in PUMA as important for the future growth of Samoa. The one aspect of project management that had the potential for a negative impact concerned the withdrawal of the Sanitation Adviser at the beginning of the Loan FFM in February, 2003. This sub-contracted consultant withdrew from the FFM at the last moment, necessitating fielding of a replacement consultant by ADB whilst seeking additional inputs into the Loan FFM by the Team Leader. This resulted in less TA work being done Phase 2 than planned. However, following an



intensive ‘catch-up’ period during the remaining two weeks in Phase 2, the period between Phase 2 and Phase 3 and during the four weeks in Phase 3, the TA project regained the lost time and was able to deliver the scheduled TA capacity building activities and to complete the agreed outputs.

Table 13: Factors affecting achievement of TA Goal Factor Comment

Strength of Samoan Government support for PUMA, the TA and consultants

Has remained excellent from the commencement of the TA. Solid relationship with Government at all levels based on openness, understanding of issues and trust.

Adequacy of staff knowledge, skills and resources to maintain benefits post TA

There are improved counterpart skills, knowledge and resources to take ownership of the outputs produced under the TA. However, counterparts will require targeted support across a range of areas to meet all its functional responsibilities especially those embodied in the PUM Bill 2003.

Adequacy of institutional capacity to maintain organizational, systems and equipment necessary for implementation post TA

The platform for further development and growth of PUMA is now in place with range of management tools agreed – for example, PUMA Implementation Priorities, PUMA Business Plan, PUMA Section Action Plans, Planning and Policy Framework, Planning Management Information System, etc. Targeted institutional support will be necessary.

Extent of private sector involvement

The TA has worked closely in establishing a good dialogue with the Samoa Chamber of Commerce and Industry and its members, keeping them informed of the TA and key components including PUMA legislation, the emerging drainage and sanitation project.51 Potential private sector opportunities will arise from the proposed ADB drainage and sanitation project.

Adequacy of PUMA physical working environment and office space

Improved substantially since Phase 1 of the TA beginning when PUMA offices were being renovated with major work disruption. However, the PUMA office space is still a constraint.

51 The Samoa Chamber of Commerce and Industry were given an update of the progress of the TA by the Team Leader during all TA Phases. In 2003, the full Executive Council of the Chamber were briefed on Monday March 17, 2003, and on Wednesday June 17, 2003, discussions were held with John Boyle, Secretary of the Chamber on PUMA and TA progress.



VII. Section 7: Lessons Learned

A. Importance of a Team Approach and Government Commitment

The TA has shown that where a team approach is adopted and all parties genuinely commit to participating to achieve the outputs sought, the outcomes are likely to be sustainable and pragmatic. In the TA as concluded, the Government with ADB support has made a full commitment to achieving the TA outputs. This commitment has not only been reflected in the political support given to resolving the issues and concerns mandated to PUMA, but the manner in which Government has provided counterparts and associated institutional support so as to embrace a ‘learn by doing’ approach. A team approach whereby stakeholders keep an honest, open and robust relationship so that outputs are kept relevant to achieving the overall TA goal and objectives, has been paramount to the TA success as viewed by Government. The support and cooperation given by PUMA and MNRE in developing a team approach, has encouraged commitment, enthusiasm and leadership from counterparts. This has been critical in resolving the important local issues and concerns at hand. This collaborative team approach has been fundamental to achieving ownership in the Samoa socio-cultural order given leadership and respect is achieved via ‘service by doing’ (tautau).

B. Relevant and Appropriate Solutions The TA reinforces the important lesson that projects need to be appropriately scaled to reflect the prevailing enabling and operating environments including capacity for growth. As noted at the beginning of the final TA report, Samoa is a small island state that has made strong social, economic and environmental gains but like many Pacific island nations, is constrained by its limited human and technical resources. Noting the many previous unsuccessful attempts to (i) establish a planning and development agency and (ii) obtain stakeholder consensus for acceptable solutions to pressing drainage and sanitation concerns, the design of the drainage and sanitation concept plans consciously promoted solutions that: Are appropriate to local development Reflected local needs Reflected local conditions including capacity Have community support Involved stakeholder participation Enjoy support from political leadership Are integrated and multi sectoral Are multi disciplinary Include several solutions to reflect need and affordability Share responsibility

Unlike earlier failed attempts, the solutions for drainage and sanitation that have now been adopted by Government and have broad stakeholder support, embrace the features outlined above. While the drainage and sanitation project is at an early stage of development in Apia, it is likely that the proposed ADB funded project which avoids large scale, radical change but rather proposes incremental solutions, will have the greatest chance of stakeholder acceptance. The importance of learning from the past whilst understanding the capability of the environment to accommodate change, have been at the forefront of solutions developed for drainage and sanitation. These same considerations have also proved to be helpful in the strengthening of PUMA and in the development and implementation of the new planning system in Samoa.



VIII. Section 8: Conclusions and Recommendations

A. Conclusions

1. Achievements At the conclusion of the TA, the project had achieved its goal, objectives and outputs.52 The commitment and support of the key Government stakeholders especially MNRE, PUMA, SWA and Finance in assisting the TA achieve its objectives and outputs, has remained excellent throughout the TA. The strong, positive and robust relationship that was developed between the stakeholders and the consultants has provided the basis for the development of pragmatic and useable outputs so as to achieve the TA objectives. In addition to the specific outputs sought by ADB and Government, the TA has played a significant role in facilitating other outcomes and results including: (i) establishing planning processes; (ii) increasing coordination among key development agencies including MoW and PUMA; (iv) clarifying a clear sense of direction for the growth and development of PUMA including the challenges and opportunities ahead, and (iv) generally elevating the important role of planning and development assessment in both the community and Government. While this final TA report has outlined the specific outputs and outcomes achieved, the real results of the TA including gains in capacity building can only best be measured by talking to stakeholders on the ground in Samoa. The two faceted TA approach of developing the concept plans for drainage and sanitation in Phase I and focusing on achieving and consolidating the other TA outputs in Phase 2 and Phase 3 appears to have been a success. As detailed in this final report, the policy and planning platform for PUMA is now well in place with the PUMA Business Plan, PUMA legislation, PUMA Implementation Priorities, Community Education and the other Planning and Policy Tools developed, approved and ready for application. A primary objective of the TA, the development of concept plans for drainage and sanitation, has been achieved and has led to a proposed Drainage and Sanitation Project.53 ADB and Government commitment to the proposed Drainage and Sanitation Project is reflected in the scheduling of the project loan appraisal for September, 2003. 2. Challenges in moving forward The challenge now for PUMA, MNRE and Government is to take the work that has been completed under the TA and continue to develop and implement it where appropriate. PUMA has built a solid platform on which to begin addressing its functional responsibilities in a systematic way. PUMA will need to continue with its capacity building efforts so as to improve its own operating environment through staff development, procurement of equipment, development of new work processes and at some point expansion of office space. It will also need to continue to work to improve the overall enabling environment by building community awareness and acceptance, by completing the range of regulations, standards and codes needed to complement the PUMA Bill and by improving the efficiency and effectiveness of PUMA as an agency. Most of all, PUMA will need to continue to achieve its priority outputs so as to gain the confidence of all stakeholders that it is an agency worth supporting.

52 Progress on the TA was reported in three ADB missions: (i) the Inception Mission for the Urban Planning and Management Strategy, October 18, 2002 which reported on Implementation of the MOU; (ii) the Reconnaissance Mission for Samoa Sanitation and Drainage Project, November 21, 2002 which reported on progress in its Aide Memoire; and (iii) the Tripartite Meeting, May 21, 2003. 53 See MOU, Loan Fact Finding Mission for Samoa Drainage and Sanitation Project, March 6, 2003



Achieving priority outputs is going to require that PUMA behave strategically in determining its priorities so that it avoids become overwhelmed by its workload. The Implementation Priorities, Business Plan and Action Plans have provided PUMA with a good starting point, focusing on core priority outputs at a range of levels. PUMA intends to move forward with a combination of realistic physical improvements whilst developing the ‘building blocks’ to support growth of the operating and enabling environments. PUMA already has shown that it can take a lead in coordinating the planning and development process and has the potential to achieve more. Aside from developing the drainage and sanitation concept pans and coordinating key stakeholders, other recent examples include: (i) the preparation of TA housing guidelines, where staff now have a strong understanding of the performance-based approach;54 and (ii) the preparation of Coastal Infrastructure Management Plans where, following community consultations in over 15 plus districts, staff have a solid appreciation of the process steps and the outcomes to be achieved. 3. Scope for External Assistance PUMA would benefit from targeted support over the next several years in order to fully develop its capacity to function as a planning and urban management agency. The existing MNRE and PUMA strategy of seeking focused external assistance is likely to speed up PUMA's rate of development by addressing its inherent weaknesses associated with high workload, low level of resources and limited work experience of its staff. 55 PUMA will survive and ultimately thrive even if there is no external assistance but it will just take longer. The main areas where PUMA would benefit from targeted external assistance are: (i) support with transport, office equipment and furniture; (ii) technical assistance in preparation of regulations and associated administrative procedures and processes; (iii) technical assistance in developing the measures to achieve environmental, planning and development outcomes including measures such as plans, policies, standards, guidelines, codes and environmental monitoring; (iii) technical assistance in development of the Planning and Management Information System; and (iv) technical assistance in addressing the wide range of PUMA staff training needs (see Table 12). The highest priority area for external technical assistance will be that associated with establishment of planning processes and procedures for both its strategic planning and regulatory functions. These functions are essentially new in PUMA as opposed to other PUMA sections that have strong functional and operational history inherited from the former DLSE. While overall mentoring and policy support will come from MNRE and PUMA management including the PUMA Board when it is established, the technical support will need to be externally provided given it doesn’t exist locally. Experience in MNRE and PUMA indicates that where external support is targeted and the issues to be addressed are a priority of both Government and community, local counterparts are more than capable to continue undertaking the tasks.56 Until staff fully understand the breadth and depth of an issue and implement the strategy to achieve its resolution – that is, learn by doing the task in the field with targeted support – development of capacity will not be

54 It is acknowledged, however, that staff as yet have no hands on experience in implementing these guidelines in a real world development application/proposal situation pending proclamation of the PUMA legislation 55 PUMA has already shown that it can make good use of external assistance by integrating external project funding to support to support the wider needs of PUMA rather than just the specific project itself such as ozone or climate change. 56 PUMA's experience with the Coastal Infrastructure Management Plans and the Housing Guidelines both demonstrate this.



maximized.57 Given the small size of PUMA and limited number of staff in each section, TA experience suggests capacity is best built by involving and rotating a range of staff, thus exposing them to the knowledge and skills required to resolve major day to day issues and policy matters at hand.58

B. Recommendations

1. Follow-up Actions In order to continue the pace of improvement in PUMA’s capacity and to build on the outputs generated under the TA, the following actions are recommended:

1. Ensure that the PUMA Steering Committee continues in its current planning and coordination role with key stakeholders until the PUMA Board is established.

2. Resolve the siting of the wastewater treatment plant at Sogi to progress the proposed drainage and sanitation project.

3. Ensure that PUMA participates in the forthcoming ADB – Government loan appraisal mission.

4. Ensure that the Apia Framework Plan and related policies are formally raised with Cabinet.

5. Ensure that the Planning and Policy Framework, the Implementation Priorities and the Business Plan are used to guide the development of PUMA.

6. Ensure that PUMA and MNRE use the Implementation Priorities as the overarching PUMA plan with Finance, PUMA Board (when established) and other key stakeholders. Monitor progress against these priorities.

7. Finalize the graphics and print the Planning and Development Guidelines for Housing, promote the Guidelines with community education and awareness and produce ‘Best Practice’ photo guides for developers/applicants.

8. Monitor the progress of the draft Planning and Urban Management Bill 2003 through Parliament with Attorney General's office.

9. Prepare and conduct awareness and information seminars on the PUMA Act when passed.

10. Ensure that PUMA and MNRE use the Business Plan as a management and monitoring tool.

11. Ensure that the Sections in PUMA and PUMA management use the Action Plans as a management and monitoring tool.

12. Ensure that the Public Education and Awareness Program (PEAP) is mainstreamed into PUMA operations.

13. Strengthen the links between PUMA and Corporate Services to assist in effective implementation of the PEAP.

57 For example, see the list of outputs identified in the PUMA Implementation Priorities, PUMA Business Plan and PUMA Section Plans. 58 This recommendation was made clear in the work of the TA GIS Adviser where currently only one staff has the skills to deal with GIS and planning information requests. The counterpart is now on overseas training for 2 months, thus reinforcing the need to have functional back up.



14. Check the electrical wiring in the PUMA offices prior to installing the Planning and Information Management System (Computer network, server, registers, processes and procedures). 59

15. Allocate back-up staff for GIS work.

59 Proposed to be funded under remaining TA budget including use of contingency.



IX. List of Attachments

Attachment 1 TA Terms of Reference (TOR)

Attachment 2 Staffing Schedule

Attachment 3 TA Objectives and Key Outputs

Attachment 4 Progress Report to PUMA Steering Committee, November, 2002

Attachment 5 Key Groups benefiting from Drainage-Sanitation Project

Attachment 6 Planning and Policy Framework

Attachment 7 Planning and Development Guidelines for Housing

Attachment 8 Draft Planning and Urban Management Bill, 2003

Attachment 9 Business and Actions Plans for PUMA

Attachment 10 Functions, Duties and Responsibilities of the Sections in PUMA

Attachment 11 Requirements of the PUMA Board

Attachment 12 Public Education and Awareness Program

Attachment 13 Planning and Information Management System

Attachment 14 Initial Environmental Examination and Preliminary Environmental Impact Assessment
